January 12, 2017

N. Noelle Francis | Attorney-At-Law

Noelle Francis is an attorney located in Oakland, California who practices in the area of corporate and securities law.  She represents companies, officers and directors, private funds, investment advisers, broker-dealers, commodity pool operators and commodity trading advisers in various legal matters, including fund formation, private placements, periodic reporting, corporate governance, contract negotiation, mergers and acquisitions and litigation matters.  Noelle is the author of Rule 144 Letter, a website about securities laws, and is the organizer of FUNDamentals, a seminar on how to start and raise capital for a private fund.

 

Bar Admissions

  • California
  • District Of Columbia
  • New York

Court Admissions

  • U.S. District Court for the Northern District of California
  • U.S. District Court for the District of Columbia

Education

  • L.E.C. (Legal Education Certificate), Norman Manley Law School, 2015
  • J.D., Harvard Law School, 2007
  • B.A., Amherst College, 2002

Publications

  • Groping for Gold: $305 Million in Plaintiff Attorney Fee Awards Under Grupo México, 6 DEAL LAWYERS 10, May – June 2012 (co- author)
  • Cold Clout: Fiduciary Duties and Controlling Stockholder Freeze-outs, 44 SEC. REG. & LAW REP. 418, Feb. 27, 2012 (co- author)
  • Is the PSLRA’s Safe Harbor Becoming a Safe Puddle, in PLI’s Sec. Litig. & Enforcement Inst. 2008 Course Handbook, Sept. – Oct. 2008 (co-author)
  • Out of Control: Liability under Section 20 of the Securities Exchange Act, BLOOMBERG L. REP.: SEC. L., Dec. 2006 (co-author)