Firm News
Recent Summary: In the last year, Lev Berlin & Sousa has counseled clients assisting with all phases of corporate governance, from formation, to stucturing, to restructuring, conversions, to dissolutions, for entities based in Connecticut, New York, Delaware, and Massachusetts. Such clients include a plastics manufacturer and supplier, an e-commerce division of a regional pet supply retailer, a landscaping off-shoot from a well-known local nursery, an elective surgery medical practice, a digital web technology application company, a media company, a financial technology company, and an international sports apparel company.
Regulatory: Lev Berlin & Sousa has recently assisted clients in leading internal investigations to review, analyze, and determine to what level certain of a company's officers may have been engaged in misfeasance including usurpring opportunities of the business, in successfully counseling businesses through issues arising with state department of labor and tax departments, and in successfully assisting clients with inquiries relating to state banking departments.
Trademarks: Lev Berlin & Sousa has recently counseled clients across industries in seeking federal trademark approval (including overcoming office actions for likelihood of confusion from the USPTO) and protection (including preventing others from unauthorized use of clients' trademarks), such clients ranging from a joint-venture between leaders in the market research field, a center for public opinion research, consulting companies, manufacturers and suppliers, apparel companies, an international survey research firm, and local artists.
2014 Summary: Lev Berlin & Sousa forms and launches corporations and limited liability companies based in Connecticut, New York, and Delaware, and assist with general corporate governance and structuring for clients involved in in the digital web technology application, interior design, software technology, investment vehicle in renewable energy industry, software and data analysis, and real estate investments.
2016 Summary: Thus far in 2016, Lev Berlin & Sousa has counseled clients in closing private securities financings, representing, underlying offering companies, venture capital firms involved in such offerings, and lead and individual investors subscribing to such offerings. Offering companies in such deals include a healthcare information startup, a company involved in biotech assessments and interventions in workers compensation and disability matters, an atmospheric pressure plasma technology company, a real estate investment fund, an international financial technology provider, and a regional pet product retailer. The offerings have ranged from convertible debt bridge financings to Series A preferred equity, to subsequent rounds of senior preferred equity, offerings often including warrant coverage, and the amounts of the offerings ranged from $750,000 to $4 million.
2015 Summary: Lev Berlin & Sousa counseled clients in closing over a dozen private securities financings in 2015, with representation ranging from the underlying offering company, venture capital firms investing in such offerings, and lead and individual investors subscribing to such offerings. Underlying companies making such offerings ranged from a nautral holistic pet care and animal health products company, real estate development companies, a company involved in biotech assessments and interventions in workers compensation and disability matters, a digital media company, an atmospheric pressure plasma technology company, and a regional pet product retailer. The offerings ranged from convertible debt bridge financings to Series A preferred equity, to subsequent rounds of senior preferred equity, offerings often including warrant coverage, and the amounts of the offerings ranged from $500,000 to over $5 million.
July 2015: Lev Berlin & Sousa represents leading conversation market research comapny client in triangular reverse merger with a Canadian publicly held company which valued our client at more than $5 million USD.
2014 Summary: Lev Berlin & Sousa counseled clients in closing more than ten private securities financings in 2014, with representation ranging from the underlying offering company, venture capital firms investing in such offerings, and lead and individual investors subscribing to such offerings. The offerings ranged from convertible debt bridge financings to Series A preferred equity, to subsequent rounds of senior preferred equity, offerings often including warrant coverage, and the amounts of the offerings ranged from $500,000 to over $5 million. Underlying companies making such offerings ranged from a digital media company, a software provider, a regional pet product retailer, real estate developers (in New York and Connecticut), a market research consulting company, an atmospheric pressure plasma technology company, a renewable energy company relating to tax credits for solar panel equipment lease and installations, a bio-pharmaceutical development company, and a company involved in high-end boarding, day care and grooming facilities for dogs and cats.
December 2014: Lev Berlin & Sousa counsels software provider entity in stock redemption and corporate restructuring transaction.
August 2014: Lev Berlin & Sousa counsels market research consulting company in sale of stock in acquisition transaction.
July 2014: Lev Berlin & Sousa represents "shell" public company on private placement sale of controlling equity interest and related securities filings.
February 2014: Lev Berlin & Sousa issues memorandum discussing the recent ruling by the Securities Exchange Commission's Division of Trading and Markets granting no-action relief to "M&A Brokers" that engage in certain activities in connection with the purchase or sale of privately-held companies from the broker-dealer registration requirements of Section 15(b) of the Securities Exchange Act of 1934, as amended.
October 2013: Jack Sousa represents founders and majority shareholders of web-based software design, development and consulting company in stock sale in excess of $2 million to private company in the healthcare industry.
August 2013: Lev Berlin & Sousa represents video advertising company in capital reorganization, including debt and equity restructuring.
May 2013: Lev Berlin & Sousa represented the purchasers of a regional specialty retailer in a stock purchase transaction and associated debt and equity financing of approximately $10 million.
April 5, 2013: Lev Berlin & Sousa negotiates and closes asset deal on behalf of its client, a real-time weather forecasting company, which sold its assets to a design and manufacturing company involved in the airline industry.
October 2016:

Recent Wall Street Journal article highlighting the difficulties the public opinion industry is encountering in conducting telephone surveys quotes Duane Berlin, general counsel of the Counsil of American Survey Research Organizations, about the federal consumer telephone regulations, known as the TCPA.

Link to full article can be found here: http://www.wsj.com/articles/pollsters-scramble-as-fewer-people-take-their-phone-calls-1477577832

June 2015: Lev Berlin & Sousa advises emerging financial services SaaS firm regarding corporate governance matters and term/revolving loan facilities.
June 2015: Lev Berlin & Sousa represents market research firm in preparation of call center indemnification agreement to address and manage risk under the Telephone Consumer Protection Act.
April 2015: Lev Berlin & Sousa represents international survey research firm in preparation of form agreement for licensing of API for use with automated survey software and SaaS.
March 2015: Lev Berlin & Sousa represents UK market research firm in preparation of form master services agreement.
November 2014: Lev Berlin & Sousa continues to advise market research companies and industry organizations on compliance issues regarding the Telephone Consumer Protection Act amidst increase in TCPA class action lawsuits.
October 2014: Lev Berlin & Sousa advises major international provider of SaaS test/assessment application on agreement with third-party proctoring service.
October 2014: Lev Berlin & Sousa advises major international provider of SaaS test/assessment application in licensing and reseller arrangement with international provider of SaaS offerings.
October 2014: Lev Berlin & Sousa represents venerable US political survey organization in revisions to corporate governance documents.
October 2014: Lev Berlin & Sousa represents international survey research company in three-party data-matching arrangement, including data processing agreement and consent/privacy policy compliance.
October 2014: Lev Berlin & Sousa represents international survey research company in licensing arrangement to provide proprietary SaaS survey offering on a “white label” basis to international market research firm for sublicensing to the firm’s clients.
September 2014: Lev Berlin & Sousa represents software development employee of shipping company with independent commercial arrangement for sale of software, including negotiation of employer company approval and third-party software provider licensing and sales agreement.
September 2014: Lev Berlin & Sousa advises major market research industry association on setting up US-EU and US-Swiss Safe Harbor third-party dispute resolution program, including review of form agreements with clients and agreement with subcontractor.
September 2014: Lev Berlin & Sousa represents textile chemical application company on form of license agreement.
August 2014: Lev Berlin & Sousa represents chapter of national survey research organization on incorporation and IRS approval of tax treatment as 501(c)(6) non-profit corporation.
August 2014: Lev Berlin & Sousa advises international survey research firm on trademark issues regarding web-based use of brand name for SaaS offering.
August 2014: Lev Berlin & Sousa advises international media analysis and monitoring firm in revisions to its form of master services agreement to account for copyright issues.
August 2014: Lev Berlin & Sousa advises major market research industry association on pilot program to provide data privacy compliance certifications.
August 2014: Lev Berlin & Sousa advises international media analysis and monitoring firm in successful resolution of commercial contract dispute.
August 2014: Lev Berlin & Sousa advises major survey research industry organization in connection with quinquennial review of internal corporate governance documents and policies.
August 2014: Lev Berlin & Sousa advises international market research firm in negotiation of master services agreement with major U.S. health care insurer, including regulatory issues related to HIPAA.
July 2014: Lev Berlin & Sousa advises major survey research industry organization on issues regarding state statute requiring reporting of fees paid to health care professionals in the context of market research and related pre-emption under the federal Physician Payments Sunshine Act.
June 2014: Lev Berlin & Sousa represents influential economic survey research company in services agreement with "big three" major television network.
June 2014: Lev Berlin & Sousa represents major survey research company in successful opposition to claim asserting violations of Telephone Consumer Protection Act.
May 2014: Lev Berlin & Sousa advises market research company on compliance with Telephone Consumer Protection Act and industry ethics codes with regard to "cutting edge" in-stadium/in-event market research project utilizing fan mobile devices.
2016 Summary: Thus far in 2016, Lev Berlin & Sousa has closed over a dozen real estate transactions for its clients, including sales, purchases, and refinancings, for residential houses, condominiums, multi-family, and commercial properties. Properties have spanned Greenwich, Stamford, Norwalk, New Canaan, and Wilton, Connecticut for purchase prices ranging from under $500,000 to $1.2 million.
October 2016: Lev Berlin & Sousa represents client in the sale of multiple historic properties at the top of Greenwich Avenue in Greenwich, Connecticut, in combination residential and commercial real estate transaction, for a combined aggregate sale price of approximately $19 million.
May 2016: Lev Berlin & Sousa represents local bank in several recent refinancings for various properties in Norwalk, Connecticut, including residential, commercial, real estate for non-profit organization, and condominiums.
March 2016: Lev Berlin & Sousa represents client in the sale of commercial property at the top of Greenwich Avenue in Greenwich, Connecticut for $5.75 million.
2015 Summary: Lev Berlin & Sousa closes real estate transactions for its clients in 2015 for purchases, sales, and refinancings of residential homes, commercial properties, and condominiums in Norwalk, Stamford, Greenwich, and Bridgeport, for properties ranging from under $500,000 to $4 million.
2014 Summary: In 2014, Lev Berlin & Sousa oversees residential and commercial real estate closings, both purchases and sales, as well as negotiates and enters into refinancing and commercial leases, for homes, office space, and condominium units, for clients in locations including Stamford, Norwalk, Wilton, New Milford, Greenwich, New Jersey, Bridgeport, and North Salem NY, with residential purchases ranging from under $1 million to nearly $2.5 million.
October 17, 2017:

Attorney Jack H. Sousa was recognized by Super Lawyers® as a 2017 Connecticut Rising Star in the field of Business and Corporate law.

For selection information for Super Lawyers, please see: http://www.superlawyers.com/connecticut/selection_details.html

September 30, 2016: Lev Berlin & Sousa is pleased to announce that Jack H. Sousa, Esq. has been named a Principal of the firm. Having joined the firm in 2012, Jack’s experience spans across the firm’s client base and practice areas, with a specific area of focus on business, corporate, securities, and financing work, as well as intellectual property, commercial and residential real estate, and executive employment.
May 26, 2015:

CBRE General Counsel discusses with Law360 the influence that Lev Berlin & Sousa counsel and founder Bruce Lev had on his career.

To review the article in its entirety, please click here.

January 2012: Martindale-Hubbell reaffirms Duane L. Berlin’s AV Preeminent Attorney Rating. Click Here for more information.
January 2011: Duane L. Berlin has been elected to the Board of Directors of The Roper Center for Public Opinion Research (www.ropercenter.uconn.edu). The Roper Center is one of the world's leading archives of social science data, specializing in data from surveys of public opinion. The data held by the Roper Center range from the 1930s, when survey research was in its infancy, to the present. Most of the data are from the United States, but over 50 nations are represented. Founded in 1947, the Roper Center for Public Opinion Research is the leading educational facility in the field of public opinion. The Center exists to promote the intelligent, responsible and imaginative use of public opinion in addressing the problems faced by Americans and citizens of other nations. In an increasingly complex and interdependent global environment, the Roper Center hopes to foster increased international understanding and to promote cross-national research.
December 2010: Principal, Duane L. Berlin named in the 2010 edition of the New Canaan/Darien and Stamford Magazines Top Lawyers.
August 2010: Duane L. Berlin is co-founding member of CASRO’s Social Media Research Task Force. CASRO announced the formation and purpose of the group as follows: To address the many ethical and methodological issues developing in the wake of social media research’s emergence, CASRO has established a task force charged with defining salient topics and soliciting industry-wide commentary with an eye on crafting guidelines that may potentially be included within The CASRO Code of Standards & Ethics.