International Attorney · Veteran Investment Banker · Capital Markets Consultant

Capital Markets, Exchange Listings & SEC Filing Services

Four decades at the intersection of U.S. securities preparation, NYSE and NASDAQ qualification, and cross-border corporate law — now with full-service EDGARization, so your offering is prepared, filed, and listed under one roof.

Request a Consultation EDGAR Filing Services

Financial district skyscrapers — U.S. capital markets

40Years in international law & markets

1994SVP, Prudential Securities Investment Banking

9FINRA examinations held (Series 3–79)

$750MEquity line facilities arranged post-listing

Practice Areas

One advisor from structuring to the opening bell

Issuers entering the U.S. markets face three problems at once: qualifying for the exchange, satisfying the SEC, and structuring the enterprise across borders. Each practice area below is built to solve one of them — together, they cover the entire path to a public listing.

Direct NASDAQ Listings

End-to-end NASDAQ listing preparation, qualification, and uplisting strategy — direct listings without a traditional underwritten IPO, preserving pricing control and avoiding lock-ups.

NASDAQ direct listings →

Direct NYSE Listings

Qualification strategy for the New York Stock Exchange — market value, shareholder, and governance requirements mapped to your cap table before you commit.

NYSE direct listings →

EDGAR Filing Services

Full-service EDGARization: registration statements, periodic reports, Section 16 filings, Inline XBRL tagging, and newswire distribution — accurate, secure, and available around the clock.

Filing services →

SEC Compliance & Reporting

Securities Act and Exchange Act frameworks — Forms 10-K, 10-Q and 8-K reporting, Sections 13 and 16 beneficial ownership, proxy rules, Sarbanes-Oxley, Regulation FD, and insider trading policies.

Compliance practice →

Equity Line Facility

Institutional funding access of up to $750 million after listing — a flexible, lower-cost alternative to bond issues or firm-commitment equity raises.

Equity line facility →

International Legal & Arbitration

Cross-border M&A, joint ventures, foreign-issuer structuring for U.S. market entry, and international commercial arbitration on neutral ground.

Legal affairs →

EDGARization

Every SEC form. Filed right. Filed on time.

Filing is where listings are won or lost. Our EDGAR desk converts, tags, proofs, and transmits your documents to the SEC — with a specialist on the phone, not a ticket queue — including rush and same-day filings.

EDGAR Filing

Document conversion and live filing of registration statements and reports, with confirmation and accession tracking on every submission.

Inline XBRL

Full iXBRL tagging and validation handled for you — no software to buy, install, or learn.

Section 16

Forms 3, 4, and 5 prepared and filed online — the simplest way for officers, directors, and 10% holders to stay current.

Newswire

Press release drafting and distribution timed to your filings, plus Canadian SEDAR+ submissions for dual-listed issuers.

S-1 Form 1-A / Reg A+ 10-K 10-Q 8-K Form D / Reg D Forms 3 · 4 · 5 13D / 13G Form 13H Proxy / DEF 14A SEDAR+

Why Direct Listing

The direct route to the public markets

A direct listing places existing shares on the exchange without a traditional underwritten offering — no lock-up period, lower cost, and pricing set by the market rather than left on the table. In 2020, traditional IPOs averaged underpricing of 48%; direct listings return that value to shareholders.

Live exchange trading screen — direct listing on NASDAQ and NYSE

Advantages

No lock-up period for existing shareholders
Substantially lower cost than a traditional IPO
Greater control over pricing and process
Access to institutional and retail investors from day one

How it works →

What we deliver

Exchange qualification analysis and listing application
Registration statement preparation and EDGAR filing
Regulation A+, D, S, and crowdfunding offering design
Rule 144 / 144A safe harbor opinion coordination

Discuss your listing →

Andy Altahawi · Adamson Brothers Corp.

Full Profile Gallery

The Principal

Trained inside a leading U.S. investment bank. At the bar since 1988.

Andy Altahawi began his U.S. investment banking career in 1994 as Senior Vice President in the Investment Banking division of Prudential Securities, under Chairman and CEO Wick Simons, the former Chairman of NASDAQ. In 1998 he founded Adamson Brothers, which operated as an SEC- and FINRA-registered broker-dealer (CRD #46684) from 1998 to 2007 — through IPOs, follow-on offerings, SPACs, and reverse mergers — before its transition to capital markets advisory. His international legal practice has run in parallel since his bar admission in 1988.

FINRA ExaminationsSeries 3, 4, 6, 7, 24, 55, 63, 65, and 79
EducationPh.D. in Finance, University of Szeged · Bachelor of Civil Law, Cairo University Law School (1986)
AdmissionsEgyptian Bar Association (1988); reciprocal admissions in several jurisdictions
RecordNo customer complaint or FINRA/NASD citation across Adamson Brothers' decade as a broker-dealer, and none in his own registered career · full regulatory history

Transparency

The complete record, from the primary sources

Throughout its operation as a FINRA-registered broker-dealer, Adamson Brothers was never the subject of a customer complaint or a regulatory citation from FINRA or the NASD — a clean record across a decade of multi-office trading, market making, and corporate finance. Mr. Altahawi's own registered career from 1994 was likewise free of customer complaints.

Anyone evaluating an advisor should be able to see the complete record in one place. Mr. Altahawi publishes his full career and regulatory history — including the one regulatory matter in his forty-year career, the 2018–2019 SEC Longfin matter, resolved by consent without admitting or denying the allegations — with links to every official document.

Record & Regulatory History The Longfin Matter — Statement