FacultyFaculty/Author Profile
Samuel S. Guzik

Samuel S. Guzik

Guzik & Associates

Los Angeles, CA, USA


Samuel S. Guzik has more than 35 years of experience as a corporate and securities attorney and business advisor in private practice in New York and Los Angeles, including as an associate at Willkie Farr and Gallagher, a major New York based international law firm, a partner at the law firm of Ervin, Cohen and Jessup, in Los Angeles, and in the firm he founded in 1993, Guzik & Associates. Mr. Guzik has represented public and privately held companies and entrepreneurs on a broad range of business and financing transactions, both public and private. Mr. Guzik has also successfully represented clients in federal securities litigation and SEC enforcement proceedings. Guzik has represented businesses in a diverse range of industries, including digital media, apparel, health care and numerous high technology based businesses.

Guzik is a recognized authority and thought leader on matters relating to the JOBS Act of 2012 and the ongoing SEC rulemaking, including Regulation D Rule 506 private placements, Regulation A+, and investment crowdfunding. He has been consulted by Congressional members, state legislators and the U.S. Small Business Administration Office of Advocacy on matters relating to the JOBS Act and state securities matters. He is a frequent blogger on his blog, The Corporate Securities Lawyer Blog, addressing developing corporate and securities laws issues.

He has published two major commentaries on JOBS Act rulemaking in The Harvard Law School Forum on Corporate Governance and Financial Regulation: the first article, entitled “Regulation A+ Offerings – a New Era at the SEC,” discussing the SEC’s proposed regulations implementing JOBS Act Title IV Regulation A+ (also accepted for publication in the Fall 2014 issue of the Texas Journal of Business Law); the second article is entitled “SEC Crowdfunding Rulemaking under the JOBS Act – An Opportunity Lost?” addressing deficiencies in the SEC’s proposed Title III investment crowdfunding regulations. Mr. Guzik also authors a regular column on Crowdfundinsider.com, The Crowdfunding Counselor, addressing JOBS Act issues affecting entrepreneurs, small and emerging companies, investors and Internet-based funding portals. His articles have been cited in national business publications on issues relating to federal securities regulation, including The Economist, Forbes, Bloomberg’s Businessweek, Compliance Weekly and Equities.com, as well as by SEC Commissioners.

Mr. Guzik has also been a regular speaker on federal securities matters, including leading government, academic and trade association forums. He also served as President of the Crowdfunding Professional Association in 2015. Mr. Guzik is also a founding member of The Heritage Foundation Securities Regulation Working Group, focusing on federal regulatory issues affecting small businesses and emerging growth companies, including ongoing JOBS Act and Dodd-Frank SEC rulemaking. Healso serves as an inaugural member of the Advisory Council of the Crowdfunding Professional Association (CfPA), of which he is a member.

He received a B.S. degree in Industrial and Labor relations from Cornell University and is a graduate of Stanford University Law School. He is admitted to practice in both New York and California.
Samuel S. Guzik is associated with the following items:
CHB Chapters  CHB Chapters SEC Quietly Injects Life Into Title III Crowdfunding Solicitation! (June 27, 2016) - Marketplace Lending and Crowdfunding 2016 , Monday, September 12, 2016
JOBS Act Crowdfunding Begins on May 16, 2016: Don’t Get Busted for Solicitation! (March 28, 2016) - Marketplace Lending and Crowdfunding 2016 , Monday, September 12, 2016
The JOBS Act Turns Five, Regulation A+ Turns Two, Regulation Crowdfunding Turns One: What Should Be Next on the SEC Chair Jay Clayton’s Agenda (May 15, 2017) - Marketplace Lending and Crowdfunding 2017, Friday, September 08, 2017
Web Segment  Web Segment Update from Washington and State Houses: Developments in Crowdfunding and Alternative Finance - Marketplace Lending and Crowdfunding 2017, Friday, September 08, 2017
MP3 Audio  MP3 Audio Update from Washington and State Houses: Developments in Crowdfunding and Alternative Finance - Update from Washington and State Houses: Developments in Crowdfunding and Alternative Finance , Friday, September 08, 2017
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg Update from Washington and State Houses: Developments in Crowdfunding and Alternative Finance - Update from Washington and State Houses: Developments in Crowdfunding and Alternative Finance , Friday, September 08, 2017
On-Demand Web Programs  On-Demand Web Programs Marketplace Lending and Crowdfunding 2017, Thursday, September 14, 2017, New York, NY
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