David C.




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With a background in business, finance, and government, David brings experience, understanding, and objectivity to his corporate and securities law practice. Honored as a Colorado Super Lawyer, David provides strategic counsel for public and private companies in a broad range of complex commercial transactions, including business planning and formation, securities offerings and other financings, mergers and acquisitions, corporate governance, and contract negotiations.

As part of his securities practice, David advises public companies on SEC reporting matters, represents issuers and underwriters in public and private offerings, and counsels broker-dealers and investment advisors on state and federal securities law matters. He also serves as legal counsel to independent directors of registered investment companies. David has an extensive alternative investment practice, and he has represented real estate investment trusts and business development companies in more than 25 public offerings totaling more than $25 billion.

David has also been retained by major law firms to serve as special Blue Sky counsel on a number of transactions, including:

  • A $670 million share exchange registered on Form S-4;
  • A court-approved plan of reorganization by a $1.2 billion real estate investment trust;
  • A $1.8 billion exchange offer by a closed-end fund to institutional investor;
  • A $600 million private placement by an investment management company;
  • A $500 million private placement by a private investment fund;
  • A $28 million private placement by a community bank holding company;
  • An equity incentive plan for an Australian public company; and
  • An equity incentive plan for a privately-held investment management company.

Within his mergers and acquisitions practice, David works with clients to negotiate, structure, document, and close transactions. He represents development stage companies, venture capital funds, and private equity groups in a range of acquisition and financing transactions.

David’s experience as a corporate finance attorney at the U.S. Securities and Exchange Commission, as in-house counsel for an investment banking firm, and in private practice spans 30 years. As a complement to his practice, he frequently has served as a speaker at securities law programs for attorneys, CPAs, securities regulators and as a FINRA arbitrator.

A devoted husband and parent, David enjoys tennis, biking, and other outdoor sports.

Publications and Articles

"Surge in energy sector leads to more work for law firms,"
Denver Business Journal, July 2013

Posts by David C. Roos