Federica Pantana is a seasoned, multilingual corporate attorney experienced in securities, corporate law, international commercial transactions as well as arbitrations & ADR. As a member of Lucosky Brookman corporate & securities practice, Federica specializes in securities and corporate law with a focus on corporate finance, including public and private offerings, initial public offerings, regulatory compliance, corporate governance as well as M&A transactions. She has extensive experience with U.S. based and foreign clients in the healthcare, technology and digital financial industries. Additionally, she has acted as lead counsel in several securities, international and commercial arbitration, mediation and alternative dispute resolution (ADR) proceedings.

Prior to joining the firm, she spent three years working with a top 50 AM Law 100 firm working out of their New York and London offices, as member of their international capital markets and corporate team, as well as a midsize corporate and litigation law firm in Midtown Manhattan where her practice also focused on securities and corporate law.

Federica graduated magna cum laude from Bocconi University School of Law (Milan, Italy) in 2011, where she was the founder and president of the Bocconi Students International Law Society, a student association that focuses on debating perspectives in international law.  She received a Master of Laws degree in Arbitration and International Law from NYU School of Law in 2012 and is licensed to practice in the state of New York.

  • Represented underwriters in IPOs on Form S-1 for holding companies in the supermarket and liquor distribution sectors;
  • Represented REIT in Regulation A offerings and ongoing regulatory compliance;
  • Advised Greek and European pharmaceutical companies on Form S-3 and F-1 offerings, Exchange Act filings, proxy statements, and SEC compliance;
  • Represented digital asset and crypto mining company in shelf offerings, FPI compliance, and transition to U.S. domestic status;
  • Represented travel company in $2M asset sale; drafted and negotiated deal documents;
  • Led reorganization and $40M sale of NY-based bagel chain to investment fund
  • Advised Enel S.p.A. in €1.6B hybrid securities offering; managed due diligence and offering materials;
  • Represented Intelligent Energy in £71M IPO and LSE listing; led due diligence and documentation;
  • Represented Space S.p.A. (Italian SPAC) in IPO and MIV listing under Rule 144A;
  • Advised as US legal counsel Unite Group plc on LSE offering via firm placement and open offer;
  • Represented as US legal counsel Cairns Homes in €403M IPO on LSE;
  • Represented as US legal counsel underwriters in $100M IPO of Georgia Healthcare Group PLC on LSE;
  • Advised UK biopharma company on AIM IPO and corporate governance matters under the US securities laws;
  • Represented Grifols S.A. in Exchange Act compliance and SEC filings;
  • Advised European pharma company on Nasdaq secondary listing via ADR program and Form F-1 filing.
  • Represented LLC managing member in multimillion-dollar dispute against other LLC members before a sole arbitrator under the NAM arbitration rules;
  • Represented 30+ international clients, recovered in excess of $25 million on their behalf, in connection with fraud claims against a major U.S. brokerage firm with respect to the sale of complex derivative securities;
  • Represented international client in an ICC arbitration in relation to breach of contract claims with issues of scope of the arbitration clause, binding third parties-non signatories and arbitrability;
  • Represented claimants in a multi-party arbitration leading to approximately a $10 million dollar settlement based on fraud claims, including false and misleading financial projections, misleading Offering Memorandum and failure to disclose the criminal background of the company’s managing member, against a major U.S. brokerage firm;
  • Represented top money manager in a securities arbitration resulting in $1.25 million dollar settlement based on unsuitability, excessive trading, breach of SEC and other securities law rules as well as the brokerage firm’s own rules and regulations;
  • Represented US client in a fast-track international arbitration before the ICC against investment firm claiming approximately $1.8 million damages caused by respondent’s breach of contract in delaying a certain sale period of claimant’s shares.

Education

  • Bocconi University, School of Law
    Combined Bachelor and Masters of Laws
  • New York University, School of Law
    Master of Laws (LLM)

Bar & Court Admissions

  • New York