John S. Preston
Securities Law

Professional Experience:

1990 - Present:

Provided expert testimony in several matters, including compliance with federal and state law (Cal. Corp Code 25400 et. seq. & 1933 and 1934 Securities Act) as well as conducted hundreds of Arbitrations and/ or Mediations in the fields of securities & and or securities fraud, non-suitability, failure to execute trades, breach of broker-dealer standard of care; failure to disclose, unsuitability, excess and breach of fiduciary duty on behalf of the American Arbitration Association, as well as Pacific & New York Stock Exchanges.

Represented numerous clients re security issues; including asset purchases, acquisitions, broker disputes; suitability issues; failure to execute authorized trades; and breach of fiduciary duty issues as well as standard of care issues. Remaining aspects of my private practice of law includes contract and business transactions and other civil litigation, licensure issues; as well as real estate; software, licensing, and development contracts & business transactions between the USA and Japan.

1981 - 1989:

General counsel and Chief Financial Officer for Fayette Manufacturing Corp., and the limited Partnerships known as Wind Energy Technology Associates I & II & III. Fayette grew from $1,000,000 per year in 1981 to $65,000,000 in 1984. This included sales of wind turbines through complex multi-million dollar tax shelter securities, investment contracts, numerous limited partnerships, corporate sales, leasebacks and private placements.

Engineered acquisition of Fayette by New York Stock Exchange Company, Catalyst Energy, including all aspects Due Diligence, tax ramifications, audits, fair value and legal opinions. Responsibilities included all aspects of securities compliance (both federal and state); litigation; negotiation; drafting, development and structuring of these securities; as well as both financial and legal analysis of all aspects of multi-million dollar transactions, including substantial commercial loans--included several international contracts.

These aspects included the drafting of investment prospectuses and limited partnership agreements and creating corporate and transactional structures. Additional responsibilities included every aspect of corporate trouble shooting; including but not limited complying with both federal and state security regulatory requirements.

John S. Preston
1060 Clarendon Crescent
Oakland, California 94610
Tel. 510-763-9131

Copyright © 2012 by John S. Preston. All rights reserved. You may reproduce materials available at this site for your own personal use and for non-commercial distribution. All copies must include this copyright statement.

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