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Click to view Proxy Design & Production ServicesProxy Design & Production Services
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Click to view Investor Relations & Press DistributionInvestor Relations & Press Distribution
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Click to view SEC EDGAR FilingsSEC EDGAR Filings
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Click to view Financial Printing ServicesFinancial Printing Services
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Click to view Virtual Data Room Services (VDRs)Virtual Data Room Services (VDRs)
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Click to view iXBRL FilingsiXBRL Filings
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Click to view Mailing Services & Document Management SolutionsMailing Services & Document Management Solutions
Proxy Design & Production Services
The Nuvo Group’s Proxy Design & Production Services help companies streamline the proxy process by delivering professionally designed, accurate, and easy-to-navigate documents that align with corporate goals and boost shareholder participation.
• 24/7 Production team ensures rapid turnaround times with decades of industry expertise.
• End-to-end support manages the entire process from initial design through filing and printing.
• Comprehensive printing offers solutions ranging from simple black ink to premium custom finishes.
• Brand consistency maintains corporate identity standards across all communication materials.
Investor Relations & Press Distribution
NUVOIR services by The Nuvo Group combine compelling messaging with targeted engagement strategies to help organizations reach the right audience and attract new investors. These services deliver tangible results and measurable returns on investment (ROI) for private companies, public companies, and agencies.
• Data-driven strategies combine industry expertise with analytics to create standout messaging.
• Global distribution press releases reach targeted media outlets, journalists, and analysts.
• Engagement tools include webcast services, IR feeds, real-time alerts, and website hosting.
• Flat-fee pricing helps clients maintain cost controls, manage costs predictably, and stay within budget.
SEC EDGAR Filings
When it comes to SEC EDGAR filings, precision, compliance, and timeliness are non-negotiable. The Nuvo Group ensures that every financial filing meets the highest standards, covering mutual funds, proxy statements, annual reports, prospectuses, and key forms such as 10-Q, 10-K, 8-K, 6-K, 11-K, S-1, DEFM14A, and DEFM14C.
• Compliance excellence with meticulous quality reviews ensures all technical requirements are met.
• Software compatibility, working with clients' platforms, eliminates formatting errors.
• 24/7 Availability and around-the-clock support ensure every deadline is met.
• Our expert team of industry veterans helps clients navigate complex filing requirements.
Financial Printing Services
The Nuvo Group offers comprehensive printing solutions for all essential financial documents, including annual reports, proxy statements, offering memorandums, and investor communications.
• Diverse print options run the gamut from black-and-white reports to premium multi-color finishes.
• Advanced production is done with state-of-the-art offset and digital printing capabilities.
• 24/7 Service ensures on-time delivery for time-sensitive projects.
• Custom binding offers multiple finishing options including spiral, coil, and hardcover formats.
Virtual Data Room Services (VDRs)
The Nuvo Group's Virtual Data Room Services (VDRs) provide secure, intuitive platforms for managing sensitive documents during mergers, acquisitions, and capital raises.
• Intuitive interface enables quick document uploads and organization with minimal user training required.
• Document control allows customized access levels and permissions for viewing, downloading, or editing files.
• Security protocols incorporate encryption, multi-factor authentication, and comprehensive activity tracking.
• 24/7 Availability ensures seamless collaboration across time zones during critical transactions.
iXBRL Filings
The Nuvo Group provides inline eXtensible Business Reporting Language (iXBRL) tagging and submission services, ensuring financial statements comply with SEC requirements while meeting critical deadlines.
• Quality assurance maintains precise tagging and alignment with SEC taxonomies through rigorous review processes.
• System integration works within clients' existing financial platforms to maintain formatting consistency.
• Real-time updates enable immediate corrections and adjustments throughout the submission process.
• Expert solutions handle complex financial data across annual reports, proxy statements, and mutual fund filings.
Mailing Services & Document Management Solutions
The Nuvo Group streamlines the delivery of financial communications through comprehensive mailing and document management solutions, from annual reports to shareholder notices.
• Complete mailing handles everything from binding and inserting to domestic and international delivery.
• Secure management provides encrypted portals for document uploads and processing.
• Status tracking offers real-time updates and reporting throughout the delivery process.
• Flexible options accommodate both large-volume mailings and specialized communications.
Events
Harter Secrest & Emery is committed to providing legal education and training for our clients and the business and non-profit communities by participating in speaking engagements and hosting webinars, seminars, conferences and more. Our exclusive HSE Institute programs are presented by our firm and feature our highly skilled and dynamic legal professionals. Below is a listing of our upcoming and past events. We hope to see you soon!
Meet The Securities and Capital Markets Team
Leveraging top talent and a team-oriented approach, we provide responsive, cost-effective, and practical counsel to public companies and organizations of all sizes looking to access the capital markets.
Key Contacts
Alexander R. McClean
Partner, Rochester and New York City
Alex is a practical, results-driven attorney who finds creative solutions to close transactions and resolve his clients most sensitive legal issues. As Chair of the Firm’s Securities and Capital Markets practice group, Alex counsels domestic and foreign companies of all sizes, ranging from early-stage start-up companies to publicly traded companies, with market capitalizations in the tens of billions of dollars. He helps clients successfully raise capital both publicly and privately while navigating complex federal and state securities laws, NYSE and NASDAQ listing standards. Alex also advises public companies regarding their periodic disclosure obligations under federal securities laws, including advice regarding both contested and uncontested proxy solicitations and tender offers. He is a trusted counselor to boards of directors helping them navigate complex corporate governance issues while fulfilling their fiduciary duties to stockholders and complying with federal securities laws.
Alex counsels independent broker-dealers, investment advisers, investment banks and their representatives regarding compliance with federal and state securities laws and FINRA regulations. He has experience advising broker-dealers in connection with change-in-control transactions and navigating the FINRA continuing membership application process.
Alex advises both domestic and foreign companies, as well as foreign law firms, regarding compliance with federal and state securities laws in connection with equity compensation awards issued to U.S. employees.
Additionally, Alex advises companies on all aspects of mergers and acquisitions, with a focus on compliance with federal and state securities laws. He also drafts, negotiates and advises on behalf of clients with respect to all facets of the formation, ownership, operation, transfer and termination of business entities.
C. Christopher Murillo
Partner, Rochester and New York City
After working for over nine years as a corporate and securities lawyer in New York City, Chris transitioned to the craft spirits industry, where he spent six years founding the first post-prohibition distillery company in Queens and then running the distilling and production operations of one of New York’s largest craft distilleries in Brooklyn before returning to private practice. Chris brings his business acumen to the HSE Securities and Capital Markets team. Chris leverages his entrepreneurial and legal perspective, partnering with his clients to help them achieve their objectives.
Chris advises publicly-traded and privately-held companies on accessing and utilizing capital markets while ensuring federal and state securities law compliance. He counsels clients on corporate governance, public and private offerings of securities, FINRA and stock exchange regulatory compliance, compliance with the Securities Act of 1933, the Securities Exchange Act of 1934, NYSE and NASDAQ rules, and mergers and acquisitions.
Chris has extensive experience representing Special Purpose Acquisition Companies, or SPACs, from formation, listing on an exchange and completing their IPO, through to assisting in the negotiating, signing and closing of a business combination. This experience also extends to advising management teams and companies following a business combination to manage the transition from SPAC to operating company with a view to the long-term success of the transaction. Chris also has experience representing underwriters in connection with SPAC IPOs.
Chris serves as Partner in Charge of the firm’s New York City office.
Prior to his distilling career, Chris practiced with Loeb & Loeb LLP and Proskauer Rose LLP in New York City.
Maggie Rhoda
Partner
Maggie is a pragmatic attorney who becomes part of her client’s team to solve complex problems with solutions tailored to fit her client’s needs.
Maggie advises public companies ranging from micro-cap companies to companies with market capitalizations in the tens of billions of dollars on compliance with periodic disclosure obligations under the federal securities laws and related corporate governance matters. She has served as outside corporate secretary for public companies and as a trusted counselor in the boardroom. Maggie has also assisted start-up and micro-cap private companies and investment banks in successfully raising capital in compliance with federal and state securities laws and FINRA regulations.
Maggie has embedded with management teams to quarterback projects, provide legal support and manage securities law and Nasdaq or NYSE compliance for critical events such as:
• initial public offerings and uplistings;
• follow-on offerings, including traditional registered offerings, PIPEs, CMPOs, registered direct offerings, and ATMs;
• resale offerings of public company shares;
• annual and special meetings of shareholders;
• executive succession planning;
• mergers, acquisitions, and dispositions;
• a third-party tender offer and go-dark process following a go-private merger;
• a shareholder meeting to approve the recapitalization of a public company’s equity structure; and
• implementing poison pills.
Before joining Harter Secrest & Emery, Maggie practiced as a real estate capital markets associate at Proskauer Rose LLP in Chicago, IL, with a particular focus on real estate investment trusts (REITs) and mergers and acquisitions.Prior to his distilling career, Chris practiced with Loeb & Loeb LLP and Proskauer Rose LLP in New York City.
Team Members
Thomas R.
Anderson
Partner, Rochester
Tom Anderson, the head of our Mergers and Acquisitions practice, represents private and public companies in connection with mergers, acquisitions and divestitures and various intellectual property transactions.
Ryan S.
Quinn
Partner, Rochester
Ryan Quinn partners with clients to deliver practical legal advice and innovative solutions to complex challenges and opportunities. As a corporate attorney, he offers comprehensive legal and strategic business advice to both public and private companies and serves as outside general counsel for organizations of various sizes.
Ryan served as General Counsel and Corporate Secretary of PGT Innovations, Inc. (NYSE:PGTI) prior to its 2024 acquisition, and Senior Vice President, Co-General Counsel, and Corporate Secretary of LendingTree, Inc. (NASDAQ:TREE). With over a decade of in-house experience, Ryan adeptly advises boards of directors and senior executives on a wide range of matters, including public policy, mergers and acquisitions strategy and integration, commercial transactions, general corporate matters, securities, governance, and equity investments.
In addition to his in-house positions, Ryan gained notable experience practicing with Pierson Ferdinand LLP, and Benesch, Friedlander, Coplan & Aronoff LLP.
Scott B.
Mosley
Associate, Rochester
As a member of the firm’s Securities and Capital Markets practice group, Scott advises publicly held and private companies in federal and state securities law compliance, stock exchange listing requirements, and corporate governance matters. He also conducts due diligence for securities offerings, completes legal research and drafts offering materials, contracts, and other agreements.
Before joining Harter Secrest & Emery, Scott practiced as an associate with a law firm in Utah.
Luke A.
Catalano
Associate, Buffalo
As a member of the firm’s the Securities and Capital Markets practice group, Luke conducts due diligence, legal research and analysis; prepares and reviews securities law filings; and drafts contracts and other agreements.
He previously served as a summer associate with Harter Secrest & Emery, as well as a law clerk at New Era Cap Co., Inc., where he reviewed, revised, and drafted contracts and conducted research on trademarks, trade dress, and copyrights.
Clayton S.B.
Dubin
Associate, Rochester
As a member of the firm’s Securities and Capital Markets practice group, Clayton conducts due diligence, legal research and analysis, prepares and reviews securities law filings, and drafts contracts and other agreements.
Clayton earned his B.A. in Government from Cornell University and went on to Penn State Law for his J.D. His studies also resulted in receiving concentrations in Banking and Financial Regulation; Taxation; Corporate Law and Practice; Commercial Law. While in law school, Clayton was a judicial intern for the Honorable Suzanne Adams of the New York State Supreme Court. He also served as a legal intern for the Penn State Law Entrepreneur Assistance Clinic | Research Assistant for Penn State Law Montague Law Library Legal Research Services.
He previously served as a summer associate with Harter Secrest & Emery, as well as a law clerk at New Era Cap Co., Inc., where he reviewed, revised, and drafted contracts and conducted research on trademarks, trade dress, and copyrights.
Jason W.
Delmont
Associate, Buffalo
As a member of the firm’s the Securities and Capital Markets practice group, Jason conducts due diligence, legal research and analysis, prepares and reviews securities law filings, and drafts contracts and other agreements.
While in law school, Jason was a judicial intern for the Honorable Emilio Colaiacovo of the New York State Supreme Court.
Lindsay M.
O’Connor
Paralegal, Rochester
Lindsay is a paralegal in the Securities and Capital Markets practice group. Using her educational background and exceptional attention to detail, she helps draft filings and conducts research in connection with blue sky (state securities) regulations for both U.S. and foreign companies and prepares filings required under the Securities Act of 1933 and the Exchange Act of 1934. In addition, she assists companies with the preparation of their annual proxy statements and annual meetings of shareholders.
