Tad Michael Mailander

I am a qualified securities attorney with over 33 years of experience representing and counseling reporting companies under the 1933 and 1934 Securities and Exchange Acts. My practice primarily focuses on serving as securities counsel, compliance counsel, and general counsel for corporate clients. I have extensive experience in preparing, completing, and filing Exchange Act reports with the SEC, ensuring timely and accurate compliance with all regulatory requirements.

As compliance counsel, I develop, instruct, and monitor corporate insider trading policies, Sarbanes-Oxley compliance guidelines, and corporate ethics policies.

In my role as general counsel, I advise companies on compliance with state corporate laws and best practices to maintain legal and regulatory compliance. I also design and draft employee incentive compensation plans that align with securities regulations, and I have a strong background in drafting the various contracts associated with these plans, including option agreements, warrant agreements, and restricted stock agreements.

I have successfully completed several SEC securities registrations by working closely with corporate management and auditing firms to create compliant offering documents. Additionally, I have managed mergers and acquisition transactions, overseeing all necessary SEC, FINRA, and DTC filings to ensure the successful completion of these deals.

I emphasize project management, leadership, regulatory compliance, and conflict resolution. I am dedicated to helping my clients navigate the complexities of securities law, ensuring they maintain compliance, and achieving their business objectives.

I hold a J.D. from Western State University and a Bachelor of Arts in Philosophy from Loras College. I am admitted to the State Bar of California, the U.S. District Court for the Southern District of California, and the U.S. Ninth Circuit Court of Appeals.

• Rule 144 Compliance/Clearance of Restricted Securities

• Free Consultation

California

Since 1991

9th Circuit

Since 1994

Federal Circuit

Since 1991

Thomas Jefferson School of Law

J.D. (1989)

1985 - 1989

Loras College

B.A. (1979) | Philosophy

1975 - 1979

American Bar Association

Member

Current

Ninth Circuit Court of Appeals

Member

1994 - Current

California State Bar  # 153570

Member

1991 - Current

U.S. District Court for the Southern District of California

Member

1991 - Current