Partner
Philadelphia, PA
Rick spent part of his career serving as the Deputy General Counsel and Chief Compliance Officer for Tronox Limited, General Counsel and VP of Human Resources for Tronox Alkali Corporation, and Assistant General Counsel at FMC Corporation. He also practiced at Wolf, Block, Schorr and Solis-Cohen in Philadelphia.
Business Transactions, Commercial Contracts, Securities, Venture Finance, Corporate Governance, Compliance and Investigations, Human Resources and Labor Matters, and Pro-bono projects
Represented a registered investment advisor in an investigation by a state securities regulator. Order to show cause vacated as part of settlement.
Negotiated cooperative agreement for distribution of financial products
Represented Fortune 1000 company complete carve-out/sale of two large chemical manufacturing operations using structured sale process
Acquired European manufacturing business for Fortune 1000 company
Represented US based parent in reorganization of Spanish subsidiaries involving closing of plants and managing of environmental legacy
Designed integrated compliance program for horizontal merger of two competing global mining and manufacturing companies.
“I was new to legal issues and felt completely overwhelmed. Rick served as a helpful teacher and guide along the way. He educated me in a way that enabled me to feel in control of the process and to make the most effective decisions at critical junctures during the process. I had evolved from feeling overwhelmed to feeling confident and in command of the situation thanks to Rick’s guidance. And in the end, the final resolution of my legal matter exceeded my expectations.” Eric B. Parnell, CFA Founder & Director Gerring Capital Partners
Academic papers:
“Market power and regulatory capacity in an interdependent world: The case of European chemical regulation”. Presented at:
–Temple University, International Relations Day, March 15, 2019
–University of Washington, Western Graduate Workshop on the European Union, April 13, 2019
–North East Political Science Association, Philadelphia, November 8, 2019
“Private Governance over Human Rights: Do the UN Guiding Principles Help Mining Companies in Developing Countries?” Presented at Temple University, Comparative Politics Day, April 30, 2019
Panel member, Consero Group Compliance Conference, March 2018, Pasadena California
Rick spent part of his career serving as the Deputy General Counsel and Chief Compliance Officer for Tronox Limited, General Counsel and VP of Human Resources for Tronox Alkali Corporation, and Assistant General Counsel at FMC Corporation. He also practiced at Wolf, Block, Schorr and Solis-Cohen in Philadelphia.
Business Transactions, Commercial Contracts, Securities, Venture Finance, Corporate Governance, Compliance and Investigations, Human Resources and Labor Matters, and Pro-bono projects
Represented a registered investment advisor in an investigation by a state securities regulator. Order to show cause vacated as part of settlement.
Negotiated cooperative agreement for distribution of financial products
Represented Fortune 1000 company complete carve-out/sale of two large chemical manufacturing operations using structured sale process
Acquired European manufacturing business for Fortune 1000 company
Represented US based parent in reorganization of Spanish subsidiaries involving closing of plants and managing of environmental legacy
Designed integrated compliance program for horizontal merger of two competing global mining and manufacturing companies.
“I was new to legal issues and felt completely overwhelmed. Rick served as a helpful teacher and guide along the way. He educated me in a way that enabled me to feel in control of the process and to make the most effective decisions at critical junctures during the process. I had evolved from feeling overwhelmed to feeling confident and in command of the situation thanks to Rick’s guidance. And in the end, the final resolution of my legal matter exceeded my expectations.” Eric B. Parnell, CFA Founder & Director Gerring Capital Partners
Academic papers:
“Market power and regulatory capacity in an interdependent world: The case of European chemical regulation”. Presented at:
–Temple University, International Relations Day, March 15, 2019
–University of Washington, Western Graduate Workshop on the European Union, April 13, 2019
–North East Political Science Association, Philadelphia, November 8, 2019
“Private Governance over Human Rights: Do the UN Guiding Principles Help Mining Companies in Developing Countries?” Presented at Temple University, Comparative Politics Day, April 30, 2019
Panel member, Consero Group Compliance Conference, March 2018, Pasadena California
“I was completely new to legal issues and felt completely overwhelmed. Rick served as a helpful teacher and guide along the way. He educated me in a way that enabled me to feel in control of the process and to make the most effective decisions at critical junctures during the process. I appreciated Rick’s awareness to the legal costs that I would be incurring. I had evolved from feeling overwhelmed to feeling confident and in command of the situation thanks to Rick’s guidance. And in the end, the final resolution of my legal matter exceeded my expectations.”
“Hi Rick, I wanted to write to offer my sincere thanks to you for all of your work as my legal counsel in my matter with the PA Department of Banking and Securities. When my matter with the state first began at the end of July, I was completely new to any type of legal issues and admittedly felt completely overwhelmed. But over the course of the next few months, you not only served as my lawyer in defending my case, but you also served as a helpful teacher and guide all along the way through your clear communications and explanations. You educated me on the various legal issues as events unfolded, but you did so in a way that enabled me to feel in control of the process and to make the most effective decisions at critical junctures along the way. I also appreciated that you continuously recognized my limited financial resources and showed respectful awareness to the legal costs that I would be incurring under different scenarios as matters unfolded. By the time we were arriving at the conclusion of my situation, I had evolved from initially feeling overwhelmed to feeling confident and in command of the situation thanks to your guidance. And in the end, the final resolution of my legal matter exceeded the expectations what could have reasonably hoped once the intent of DOBS became clear. I must particularly commend you in this regard, as my final assessment came in at the very low end of your initial projections, and this was thanks to your keen negotiating skills throughout the process. I cannot say enough about your legal expertise and support throughout my legal matter. I could not have realized this final resolution without your help and guidance. Moreover, the fact that I can reflect on the unpleasant experience of a legal defense as one that was a constructive and enriching learning experience says a lot about the quality of the legal services that you have provided. I look forward to remaining in contact with you regarding legal matters that may arise for my family and me in the future if this is OK with you. Thank you again Rick. I wish you and your family a safe and Happy Thanksgiving holiday. Take care and I look forward to talking with you again soon.”
Eric Eric B. Parnell
CFA Founder & Director
Gerring Capital Partners
P.O. Box 11 Glenmoore, PA 19343
Phone: 610-280-3595
Fax: 610-924-7315
At Practus, we handle complex and challenging legal matters. I look forward to talking to you about how we can best meet your goals.
CONTACT ME
