Mr. Shaffer is Of Counsel to Baritz & Colman, focusing on securities and corporate transactions and financial industry compliance. Prior to joining the firm, Mr. Shaffer served as general counsel and chief compliance officer for both public and private financial service companies.

Mr. Shaffer’s securities and corporate transaction practice includes mergers, acquisitions, private placements, public offerings and on-going public filing requirements. Mr. Shaffer’s financial industry compliance practice includes the formation and continuing compliance requirements of domestic and off-shore hedge funds, commodity pools, broker-dealers and registered investment advisers.

Mr. Shaffer has extensive experience both as in-house and outside counsel on securities and corporate transactional matters for public and private companies. His financial industry experience includes the representation of financial service firms from initial filings through cycle examinations, TMMS exams, AML exams and regulatory inquiries by the SEC, NASD, CFTC and state securities regulators. Mr. Shaffer’s legal background also includes extensive experience in commercial and securities related litigation, providing him with a unique understanding of the issues facing his transactional clients.

Mr. Shaffer graduated from the University of Miami School of Law, cum laude, in 1994 and received his Bachelor’s degree in Finance with honors from Florida Atlantic University in 1988.