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Edward T. Swanson

Edward T. Swanson, Managing Director of SMIG, President and Managing Director of SMI Capital Markets and General Counsel of SMI Group, SMIG, SMI Capital Markets and SMI Advisors, has more than 30 years of experience as a corporate and securities attorney including as a staff attorney with the SEC and as a partner and senior attorney with major firms, with a focus on public offerings, private placements and corporate transactions.  Mr. Swanson has been Of Counsel to Richardson & Maloney LLP since 2014.  In addition, he has practiced in his own firm since 2001.


Previously, he was vice president and general counsel of eStable, Inc., a start-up internet company.  From 1984 to 2000, he was a partner in various law firms in Los Angeles, including Wyman, Bautzer, Kuchel & Silbert, one of the most highly regarded Los Angeles-based law firms.  Mr. Swanson was primary or senior counsel on nearly $2.5 billion of completed financings, mergers and other complex transactions.


During the seven years he was a partner of Wyman Bautzer, Mr. Swanson represented clients such as MGM/UA, MGM Grand Hotels, and Reliance Insurance Company.  Mr. Swanson started his practice as an attorney with the SEC.  He has served as an arbitrator for the Financial Industry Regulatory Authority, Inc. (FINRA) and its predecessor, NASD since 1980.  FINRA is the SEC-authorized regulatory organization for broker-dealers in the United States.  Mr. Swanson is a former President of the Century City (Los Angeles) Bar Association and a former member of the Board of Trustees of the Los Angeles County Bar Association.  He has represented Mr. Spivak and businesses in which Mr. Spivak has a financial interest since 1997. 


Mr. Swanson received a Bachelor of Arts from Wesleyan University and a Juris Doctor from the University of Connecticut School of Law (with honors).  He holds a Series 22 (partnerships/direct participation programs), 63 (state law), 65 (investment advisor), 79 (investment banking) and 82 (private placements) U.S. securities licenses.  Mr. Swanson is a U.S. citizen.