Edward T. Swanson has 40 years of experience as a corporate and securities attorney including as a staff attorney with the SEC and as a partner and senior attorney with major firms, with a focus on public offerings, private placements and corporate transactions. Mr. Swanson was primary or senior counsel for more than $2.5 billion (more than $7 billion in current dollars) of completed financings, mergers and other complex transactions.
Mr. Swanson started his practice as an attorney with the SEC’s Division of Market Regulation, where his focus included going private transactions, issuer stock repurchases and issuer tender offers. From 1984 to 2000, he was a partner in law firms in Los Angeles, including Wyman, Bautzer, Kuchel & Silbert, one of the most highly regarded Los Angeles-based law firms. During the seven years he was a Wyman Bautzer partner, Mr. Swanson represented clients such as MGM/UA Entertainment Co., MGM/UA Communications Co., MGM Grand Hotels, SLM Entertainment Ltd., and Reliance Insurance Company.
Mr. Swanson left private practice to serve as vice president and general counsel of eStable, Inc., a start-up internet company. After leaving eStable, Mr. Swanson returned to private practice and joined SMI Group at its inception.
Mr. Swanson has served as an arbitrator for the Financial Industry Regulatory Authority, Inc. (FINRA) and its predecessor, NASD for more than 30 years. FINRA is the SEC-authorized regulatory organization for broker-dealers in the United States. He is a former President of the Century City (Los Angeles) Bar Association, a former member of the Board of Trustees of the Los Angeles County Bar Association, the author of numerous articles on securities and corporate matters, and regularly addresses the State Bar of California’s Continuing Education programs. He has represented Mr. Spivak and businesses in which Mr. Spivak has a financial interest since 1997.
Mr. Swanson received a Bachelor of Arts from Wesleyan University and a Juris Doctor from the University of Connecticut School of Law (with honors). He holds a Series 22 (partnerships/direct participation programs), 63 (state law), 65 (investment advisor), 79 (investment banking) and 82 (private placements) U.S. securities licenses. Mr. Swanson is a U.S. citizen.