Richard Tulli is a corporate and securities attorney helping individuals as well as privately and publicly-held companies in a variety of industries, including financial services, medical software, hospitality, telecommunications, and oil and gas. For 35 years, Rick has served boards of directors and board committees, executive officers, shareholders, private equity and venture capital firms, institutional investors, investment managers and sponsors of private investment funds.
Clients throughout the U.S. and abroad turn to Rick on their significant transactions, such as:
- Public and private or exempt offerings of equity and debt securities
- Secured and unsecured debt financings and refinancings
- Private equity and venture capital investments
- Arrangements between equity owners
- Executive employment and compensation plans and agreements
- Executive severance arrangements
- Mergers and acquisitions
- Tender offers
- Going-private transactions
- Private investment funds, formation and investment
- Investment management accounts and relationships, and
- Securities and other regulatory matters
He has also assisted publicly-held clients with public reporting and disclosure, director and officer fiduciary duties, corporate governance and policies and regulatory compliance, including Sarbanes-Oxley, Dodd-Frank and securities exchange compliance.
Rick's clients appreciate his approachable manner, breadth of knowledge and detailed focus on getting deals done.
Experience — Represented a major insurance brokerage firm based with the establishment of an SEC registered investment advisory subsidiary. The Firm also represented the client with the review and preparation of disclosure documents and other agreements.
Advisor to SEC-registered mutual funds
Represented the borrower and affiliated entities in the financing arrangements for corporate health care acquisition by a private equity firm of the controlling ownership interest
Bank financings and refinancings in the insurance sector
Represented an LLC company regarding complex governance matters and relationships between its members
Represented a CEO with employment and equity ownership arrangements in preparation for his technology company's IPO
Represented an entrepreneur in his effort to acquire a major league baseball team
Represented a CEO in his engagement as head of a London hotel group, including compensation arrangements.
Family's sale of interest in Gulf Winds International, Inc.
Represented an individual in becoming an independent director of the sponsor of a master limited partnership (MLP). This involved review and negotiation of indemnification arrangements, as well as directors and officers insurance coverage.