• New York


  • New York State Bar Association


  • Fordham University School of Law, JD, cum laude
  • State University of New York at Binghamton, BS
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Brad L. Shiffman


New York, NY v. +1.212.885.5442 f. +1.212.885.5001 m. +


Brad Shiffman is an accomplished attorney who concentrates his practice in the areas of securities and corporate law. Mr. Shiffman’s clients find that his accounting background has helped him identify, analyze, and better assist them in structuring transactions with complex accounting issues and with handling these issues as they arise. He has particular experience in the representation of issuers, underwriters and placement agents in connection with public and private securities offerings, including:

  • IPOs and follow-on public offerings
  • PIPEs and registered direct offerings
  • SPACs and other structured blank-check offerings
  • Baby bond offerings
  • Perpetual and term preferred stock offerings
  • At-the-market offerings
  • Rights offerings

Mr. Shiffman also advises clients in structuring, negotiating, and completing venture capital investments, SEC reporting and corporate law and governance matters.

Mr. Shiffman has extensive experience advising investment banks in all steps of a capital markets transaction, from drafting, reviewing and negotiating engagement and retention letters, placement agent agreements, underwriting agreements, agreements among underwriters, selected dealer agreements and other syndicate documents, to advising on SEC and FINRA disclosure and regulatory issues and exchange listing issues.


  • Fortune 1000 wire and cable manufacturer in connection with a refinancing, including a simultaneous public offering; 144A redeemable convertible preferred-stock offering; 144A senior note offering; and the execution of a credit facility.
  • Home- and community-based social services provider to government-sponsored clients in connection with a $70 million convertible senior subordinated notes.
  • Global NASDAQ-listed worldwide brand management company engaged in licensing, marketing, and providing trend direction for a portfolio of consumer and entertainment brands with respect to a
    $288 million 144A convertible senior subordinated notes offering and hedge.
  • A public company engaged in the design, licensing, marketing, and retail sales of consumer brands, in several transactions, including the acquisition of a leading apparel brand, simultaneous private placement of its equity securities, and negotiating a credit facility to fund the purchase price, as well as a reverse merger into a publicly traded company on the OTC Bulletin Board.
  • More than 100 public offerings representing issuers and underwriters.


2017, listed in Legal 500

A description of the standard or methodology on which the accolades are based can be found here.