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Prior to focusing on environmental matters, Norman Bernstein had an extensive background in mergers, acquisitions, and securities and anti-trust litigations including fraud litigation under rule 10b-5. He has also conducted arbitration proceedings for the New York Stock Exchange and won a leading case in the First Circuit in which he obtained a stay of major securities litigation for his broker-dealer client. He also prepared merger and acquisition and at least one full prospectus.

As a result, in the late 1980s, Norman Bernstein was able to work closely with venture capital firms to develop structures for limiting investor risk involved in environmentally sensitive projects (e.g., landfills acquisitions). Those mechanisms limit investor risk while at the same time being tax efficient, according to separate tax counsel, and offering some of the same "upside" benefit as would normally be available through stock ownership.

Most recently, Norman Bernstein has developed relationships in London which may be of assistance to companies seeking to raise monies on the London Alternate Investment Market (AIM) or that want to engage in project finance in emerging markets and therefore come under the Equator Principles. AIM offers many of the advantages of public ownership while providing extraordinary flexibility and access to a deep pool of capital, and the Equator Principles are rapidly becoming de facto world wide environmental standards in developing countries.

Read more about AIM, including a summary of the types and locations of companies raising money on AIM. This article highlights topics such as the supervision of AIM by the London Stock Exchange and the benefits and costs of listing on AIM. It should be of interest to entrepreneurial affiliates of existing companies, companies emerging from Venture Capital financing, or otherwise sound companies adversely affected by recent contractions in the credit market.

Firm News & Articles

For Norm Bernstein's views on the CERCLA 107/113 issue as expressed in the "Voluntary vs. Compelled Cleanup" section of the recent Bloomberg BNA article (p. 2) titled "Finding the Divide Between CERCLA Cost Recovery and Contribution Actions," click here. Reproduced with permission from Toxics Law Reporter, 30 TXLR 235 (March 5, 2015). Copyright 2015 by The Bureau of National Affairs, Inc. (800-372-1033) < http://www.bna.com>

On January 27, 2014, the Supreme Court of the United States denied a petition for certiorari that sought to overturn our defeat of DOJ's arguments in the Seventh Circuit in Bernstein, et al. v. Bankert, et al. For the front page article in Bloomberg's Toxics Law Reporter, click here. For the Seventh Circuit's decision, click here.

Office Location

N.W. Bernstein & Associates, LLC
800 Westchester Avenue
Suite N319
Rye Brook, NY 10573-1361

Telephone: 914.358.3500
Fax: 914.701.0707

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