Kenneth Lawrence Schwartz

A highly experienced attorney with a strong background in investment banking and broker-dealer regulation, private equity, and offshore investment funds. With a Juris Doctor from the University of Miami School of Law (1991) and a Bachelor of Arts from Fordham University (1988), they have built a distinguished legal career spanning decades.

Their professional journey includes serving as a partner and associate at Grant, Herrmann, Schwartz & Klinger LLP, as well as gaining international experience as a foreign associate at Bryan, Gonzalez Vargas y Gonzalez Baz S.C. They are an active member of several prestigious legal associations, including the American Bar Association’s Business Law Section and the New York State Bar Association’s Section of International Law.

In addition to their legal practice, they have contributed to the field through speaking engagements at major international conferences and have authored publications on topics such as fund disclosures and offshore investment structures. Fluent in Portuguese, Spanish, and French, they bring a global perspective to their work, advising clients on complex cross-border transactions and regulatory matters.

Features

• Business Formation (LLC, Corporation)
• Compliance and Regulatory Issues
• Contract Drafting and Negotiation
• Corporate Governance
• Employment Law for Businesses
• Intellectual Property Protection for Businesses
• Mergers and Acquisitions
• Shareholder Disputes

• License
  Licensed in District of Columbia
  State: District of Columbia
  Acquired: 1994
  Active
  
  Licensed in New York
  State: New York
  Acquired: 1992
  Currently Registered
  
  Licensed in Connecticut
  State: Connecticut
  Acquired: 1992
  Active
  
• Work Experience
  1992 - 1993 Associate, SILLER, WILK & MENCHER LLP
  1993 - 1995 Foreign Associate, BRYAN, GONZALEZ VARGAS Y GONZALEZ BAZ S.C.
  1995 - 1999 Associate, GRANT, HERRMANN, SCHWARTZ & KLINGER LLP
  1999 - 2005 Partner, GRANT, HERRMANN, SCHWARTZ & KLINGER LLP
• Sample of Legal Cases
  Investment Banking and Broker-Dealer Regulation -
  
  Offshore Investment Funds -
  
  Private Equity Investment -
  
  Private Equity Fund Formation -
  
• Associations
  2010 - Present
  Securities Industry and Financial Markets Association Compliance and Legal Society - Member
  2010 - Present
  Association of the Bar of the City of New York, Committee on Inter-American Affairs - Member
  1998 - Present
  American Bar Association Section of Business Law COMMITTEE ON FEDERAL REGULATION OF SECURITIES, Subcommittee on International Securities; COMMITTEE ON VENTURE CAPITAL AND PRIVATE EQUITY, Subcommittee on Fund Formation - Member
  1998 - Present
  New York State Bar Association Section of International Law - Member
• Education
  1988 - Fordham University - BA - Bachelor of Arts
  1991 - University of Miami School of Law - JD - Juris Doctor
• Speaking Engagements
  2011 - SEC Adviser Registration & Other US Regulatory Issues for Investment Funds and Asset Managers - SEC Adviser Registration & Other US Regulatory Issues for Investment Funds and Asset Managers - SERVICING THE US INVESTOR – FATCA – SEC ADVISER REGISTRATION Impact for Foreign Non‐US Asset and Fund Managers
  1999 - Mergers and Acquisitions in Latin America: an Update on Recent Market Developments and SEC Regulation Initiatives - Mergers and Acquisitions in Latin America: an Update on Recent Market Developments and SEC Regulation Initiatives - Inter-American Bar Association - Canadian Bar Association Joint Meeting, Ottawa, Canada
• Publications
  2020 - Schwartz LLC
  Fund Disclosures Addressing COVID-19 Risks
  1997 -
  LATIN FINANCE - PRIVATE BANKING AND ASSET MANAGEMENT IN LATIN AMERICA Offshore Private Investment Companies and Trusts
  1991 -
  1 THE U. OF MIAMI YEARBOOK OF INT’L LAW 356 Open Price Contracts and Specific Performance Under the U.N. Sales Convention and the U.C.C.
• Languages
  Portuguese - Native / Fluent
  Spanish - Native / Fluent
  French - Native / Fluent