Marc Wiersum

*** ****** ******, *****, ******* **134 / Ph. 305-***-****, ad2lir@r.postjobfree.com

Licensure

New York Bar (February 2019, Exam Passed, Admission pending)

Florida Bar (July 2019, Exam Passed, Admission pending)

FINRA Series 82 & 63 (November 2020), JSDA Series 7 (Japanese Registered Representative, 1990)

Education

Florida International University College of Law, Miami, Florida

(Transfer from Florida A&M College of Law, May 2015)

Juris Doctor, December, 2018

Honors: Dean List Spring 2017, Fall 2018; CALI Awards of Excellence: Antitrust Law, Banking Regulation

Pro Bono Service: Florida Center for Capital Representation, docket research of active capital cases

University of Chicago, Chicago, Illinois

Master of Business Administration, June, 1995

Honors: Dean’s List Spring 1994

Key Coursework: University of Chicago Law School, The Japanese Commercial Code (Translation & Study)

University of Wisconsin—Madison, Wisconsin

Bachelor of Arts, with Honors, Political Science, May, 1989

Study Abroad: Sophia University, Tokyo, Japan, Junior Year Abroad Intensive Language Study, 1987-1988

Languages

Fluent Japanese & Portuguese; Basic Spanish: Resided in Japan 9 Years, Brazil 3 Years, Netherlands 1 year

Professional Experience

Director, Palladium Capital Group March 2021-Present

Originate investments in early-stage technology companies and raise capital from VC firms and family offices

Negotiate credit and equity investment terms as well as contracts involving NDAs and Engagement Letters

Assist clients with marketing materials and capital raising strategies

Law Clerk, Campbell Legal Group, PLLC, Miami May 2021-March 2023

Research and drafting Complaints involving investment-related securities fraud case (10b-5 claim) and general civil litigation cases as a part-time consultant

Law Clerk, Aponte Law, P.A., Miami May 2018-May 2021

Draft demand letters, motions, and appellate briefs while providing legal research for civil cases involving labor law (Miami-Dade Wage theft Ordinance), breach of contract, and defamation claims (part-time)

Law Clerk, Charles J. Zimmerer, P.A., Miami November 2019-April 2021

Research tax law, draft motions, and file IRS Form documents, to include offers in compromise, collection appeals, collection due process requests, and collections information statements

Leading ongoing consulting project involving tax audit coverage joint venture with Miami-based accounting firm

Law Clerk, Skipper Law, P.A., St. Petersburg, Florida July 2014-May 2018

Researched insurance claim, AAA Arbitration claim (Banking), and Federal Labor Law claim (Banking) from Federal District Court through the United States Supreme Court (denying Cert., but Ordering Brief in Opposition)

Managing Member, Anabasis Capital LLC, Financial Consultant

Senior International Macroeconomic Analyst: Market Realist, USA, Miami, Florida July 2013-August 2014

Private Banker: US Bank, Naples, Florida March 2013-June 2013

Advisor: Private Banking Business Development, Private Client, Miami, Florida March 2012-August 2012

Proprietary Trader: Legend Trading LLC, New York January 2011-March 2012

Guest Lecturer: University of Scranton, Business Ethics in Finance September 2011-March 2012

Advisor: Nile Capital Mngt, an Africa-focused hedge fund, New York, New York June 2009-January 2010

Advisor: Hedge fund-related capital raising, Stonehaven LLC, New York, New York January 2008-June 2008

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Resume of Marc Wiersum

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Vice President, HSBC Private Bank, New York, New York October 2006-June 2008

Private Banker to hedge funds and equity firms and their principals with primary focus on asset-based lending

Originated and closed hedge fund and private equity-related credit transactions exceeding $100MM USD

Analyzed trust and estate-related financing and funding issues involving CLAT’s, GRAT’s, ILIT’s

Analyzed financial statements for private equity-related Capital Call and Co-Investment facilities

Vice President, Bank of America Private Bank, New York, New York February 2004-October 2006

Originated hedge fund-related credit transactions in partnership with Bank of America Prime Brokerage Group

Structured derivatives transactions for hedging interest rate and equity risk

Developed new client relationships as the hedge fund and derivatives specialist for a five-banker team with a credit portfolio of approximately $1BN and $20MM in annual revenue

Trade Finance

Director, Saci Pererê Enterprises, Sole Proprietorship, Brazil April 2000-April 2001& May 2002-February 2004

Financed the sale of 24-ton commercial-use granite containers during the Latin American currency crisis of 2002

Equity & Fixed Income Derivatives Sales & Trading

Equity Department Director, Mizuho Securities, Tokyo, Japan April 2001-May 2002

Developed the global sales-trading operations, with a focus on hedge funds and large asset managers in the USA, Japan/Asia, and Brazil, while working closely with legal and compliance staff (1-Year Consultant)

Negotiated equity block trades with the Corporate Services Departments of the Japanese banks (IBJ, DKB, Fuji), and placed block equities with hedge funds and institutional investors

Fixed Income Derivatives Vice President, JP Morgan, Tokyo, Japan March 1999-April 2000

Negotiated with traders to make markets in OTC products for US, Japan/Asia, and Brazil-based clients

Researched and recommended relative value strategies in fixed income markets utilizing in-house derivative pricing software, portfolio optimization software, and Bloomberg analytics

Created the Japan Daily Commentary on the Morgan Markets website, providing quantitative fixed income analysis and trading recommendations daily

Fixed Income Derivatives AVP, Credit Suisse First Boston, Tokyo, Japan September 1997-March 1999

Researched and recommended relative value strategies involving basis trades, asset swaps, spread trades, and futures and options strategies for US, Japan/Asia, and Brazil-based clients

Initiated and developed the relative value trading operations for the listed derivative-focused group

Created Excel spreadsheets to improve analysis and execution capabilities in listed derivatives markets

Equity Derivatives Vice President, Salomon Brothers, Tokyo, Japan January 1997-September 1997

Negotiated ISDA terms with hedge funds to support trading of Asian convertible bond asset swaps

Traded as agent in convertible bonds, warrants, and listed equity derivatives

Equity Analyst, Summer Intern, San Francisco, California June 1992-October 1992

Analyzed financial statements and created data base of financial statement information on data storage and disk drive manufacturing companies for senior analyst

Equity Derivatives Assistant Vice President, Daiwa Securities, New York, New York June 1995-January 1997

Made markets on a proprietary basis in Japanese equities (Nasdaq ADR’s)

Made markets in convertible bonds, warrants, asset swaps, and block trades for hedge fund clients

Placed new and secondary issues of convertible bonds, warrants and equities with US-based hedge funds

Summer Intern, New York, New York June 1994-August 1994

Placed convertible bonds and warrants with equity relative value hedge funds, hedging underlying equity risk

Equity Analyst, Tokyo, Japan May 1990-June 1991

Interviewed CFOs of Japanese technology firms and provided analysis and investment recommendations

Participated in the analyst training program and passed the Japanese Series Seven exam in Japanese

Money Market Broker, Hattori-Marshall Ltd., Tokyo, Japan June 1991-June 1992

Brokered short-term swaps, forward rate agreements, and deposits between Japanese institutions and offshore money market centers in Hong Kong, Singapore, London, and Bahrain

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