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Understanding the Securities Laws Fall 2015

Author(s): Gary M. Brown, Mark D. Wood, N. Adele Hogan
Practice Area: Corporate & Securities
Published: Dec 2015
PLI Item #: 58979
CHB Spine #: B2207

GARY M. BROWN, as of January 1, 2018, is a partner with Nelson Mullins Riley & Scarborough LLP, where he concentrates his practice in securities, representation of public companies and corporate governance.  For the last six years, he was the Chief Executive Officer of a financial services firm that concentrated in the life settlement market that, during his tenure, acquired and managed life settlement portfolios with over $4 billion (USD) in face amount. 

In his thirty-one prior years of private law practice, Gary was recognized in both Best Lawyers in America and Chambers – America’s Leading Business Lawyers.  In addition, from 1994 until 2011, he taught corporate and securities law at the Vanderbilt University Law School.  He also served as general counsel to the Ethics and Compliance Officer Association (now known as the Ethics and Compliance Initiative), then the world’s largest group of ethics and compliance professionals. 

Gary is a frequent instructor at securities programs for the Practising Law Institute, co-chairing one of PLI’s national securities programs, Understanding the Securities Laws and instructing at the SEC Reporting and Practice Skills Workshop for Lawyers, a program started in 2015 by The SEC Institute, a division of PLI.  He also is the author of PLI’s Securities Law and Practice Deskbook, PLI’s Master the 8-K and the chapter “Introduction to Life Settlements” in PLI’s treatise Financial Product Fundamentals.  

Mark D. Wood is head of Katten’s Securities practice and concentrates in corporate and securities law.  Mark represents public companies, issuers and investment banks in initial public offerings (IPOs) and other public offerings of equity and debt securities and other securities matters.

Mark also represents clients in complex corporate transactions, including tender offers, mergers, acquisitions, dispositions, going-private transactions, private equity investments, joint ventures and strategic alliances.  He is a leading practitioner in representing investors, public companies and placement agencies in private investment in public equity (PIPE) transactions.  In addition, he also counsels public companies on securities law compliance, disclosures, corporate governance and compensation-related issues.  Many of his clients are middle market and upper middle market companies in the health care, technology, oil and gas, manufacturing, hospitality and commercial banking industries.

Mark is a frequent speaker and writer on securities and corporate law topics.  He is a registered Certified Public Accountant.


Best Lawyers in America, 2010-2017
Best Lawyers Lawyer of the Year 2016 – Mark Wood – Securities Regulation – Chicago


  • JD, University of Michigan Law School
  • BS, University of Illinois