Mr. Jafarnia is a seasoned corporate & securities attorney with extensive in-house & law firm experience in the financial services industry representing public & private companies in securities offerings & compliance, mergers & acquisitions, & corporate governance matters. Proficiency in relation to investment management programs, investment advisory issues, broker-dealer management/supervision, & organization & operation of regulated financial services businesses. Experienced counsel to fund sponsor & chief compliance officer ("CCO") to affiliate broker/dealer acting as wholesale distribution platform. Experience includes:

Corporate & Securities Law: Represent companies (including REITs) in fund formation, public securities offerings & private placements. Extensive experience in public & private offerings of debt & equity securities as both issuer’s & underwriter’s counsel. Frequently advise publicly registered, non-traded funds or investment programs. Provide ongoing regulatory advice to clients regarding general corporate governance matters, including disclosure issues under federal securities laws, issues arising under state Blue Sky laws, & FINRA regulations.

Regulatory Compliance: Consistent record of achievement as CCO & in house counsel building effective AML/KYC/BSA, anti-corruption & core compliance programs. Established & led enterprise-wide risk management, compliance & ethics efforts to ensure that legal, regulatory & operational exposures were managed, measured & documented.

Alternative Investment Funds: Proficiency in U.S. securities, banking, investment management, Blue Sky & corporate laws, including the '33 Act, '34 Act, '40 Act, capital markets, product distribution, wholesaling, investment banking, & equities, securities regulations, corporate governance & mergers & acquisitions for alternative investments, traded and non-traded REITs and Business Development Companies.