Alon Y.

Emerging Companies & Venture Capital



T: 516-227-0633

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About Alon

Alon Y. Kapen is a corporate transactional lawyer who focuses on representing entrepreneurs, emerging growth companies and early stage investors in a wide range of entrepreneurial and strategic transactions. He counsels entrepreneurs and emerging growth companies in the formation of business entities, structuring agreements among founders, negotiation of capital-raising transactions, compliance with securities laws, negotiation of technology license agreements, structuring employee incentive arrangements, structuring of crowdfunding, Regulation A and initial coin offerings, and development of effective corporate governance. Alon represents academic entrepreneurs spinning out of universities and other research institutions. He also guides investors in the organization of private investment funds, the negotiation of various stages of equity, debt, and convertible funding transactions and the planning and implementation of exit strategies.

A trusted adviser to mature companies as well, Alon assists venture-backed companies in navigating layers of overlapping investors’ rights. He also counsels SEC reporting companies and special committees regarding strategic transactions, compliance with federal and state securities laws and rules, self-regulatory organization rules, public offerings and other SEC registrations, corporate governance, and specialized areas of securities practice such as takeover preparedness, proxy contests, and other activist shareholder initiatives. He represents private business enterprises in mergers and acquisitions, joint ventures, and spinoffs as well as private equity fund organizers and managers in the formation and funding of venture capital funds, hedge funds, real estate funds, and funds-of-funds.

Alon is a recognized thought leader and highly sought-after speaker. He is the editor of and chief contributor to New York Venture Hub, a blog focused on issues that are important to high-growth entrepreneurs and investors and the professionals who advise them. Alon has been widely quoted in print and digital publications, law journals and Wikipedia.

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  • Brandeis University
  • Cornell Law School

Affiliations & Appointments

  • Middle Market Alliance of Long Island, Board Member
  • COMETS (startup mentoring), Member, Board of Directors
  • College of Engineering and Applied Sciences, SUNY Stony Brook, Member, Dean’s Council
  • Long Island Technology Hall of Fame, Member, Steering Committee
  • Association of Corporate Growth (ACG) New York, Former Chairman, Long Island Division
  • American Jewish Committee, Board Member, Past President – LI Chapter
  • Cornell Law Review, Former Editor
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Articles & Advisories

Do Malls Have Any Business Getting Into Retail?

Vertical integration — apparel retailers that make their own merchandise, farmers that sell their own produce, malls that own their…

February 16, 2021

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Out of Compliance: How Delisting Distracts From a Turnaround

A retailer’s poor sales can send shares spiraling down as investors lose confidence. If the stock price gets below a…

December 04, 2019

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Letters to the WSJ Editor; Outgoing SEC Chair White Will Be Missed

Alon Kapen wrote a letter to the editor of The Wall Street Journal regarding the departure of the SEC Chair, Mary…

November 28, 2016

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Farrell Fritz: Joining in the effort to build Long Island’s innovation economy

Attorney Advertising – Long Island Business News A partner in Farrell Fritz’s corporate department, Alon Y. Kapen leads the firm’s…

June 08, 2015

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LI Focus State of Affairs: Should your business incorporate in Delaware, Nevada or Wyoming?

June 08, 2015

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Letters to the Editor: We Must Make Smaller-Company IPOs Much Easier

The following “Letter to the Editor” appeared in the November 4, 2011 issue of The Wall Street Journal. David Weild’s…

November 04, 2011

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New Accredited Investor Net Worth Test to Impact Private Investment

April 26, 2011

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Client Advisory: New Accredited Investor Net Worth Test to Impact Private Investment

In the Dodd-Frank Act passed last year, Congress required that an individual’s primary residence be excluded from the $1million net…

February 17, 2011

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Symbol lawsuits tap Sarbanes-Oxley vein

September 16, 2005

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Sarbanes-Oxley goes private

The chorus of public company grousing in reaction to the increasingly burdensome and expensive financial reporting and corporate governance requirements…

March 01, 2005

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Corporate Governance — Three Things CFO’s and CEO’s Need to Know Now

In reaction to growing public outrage over financial scandals and weakening investor confidence, President Bush signed into law on July…

August 30, 2002

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Warrants and Reverse Splits

Your company has just consummated a one-for-five reverse stock split. As a result, the market price per share of the…

January 25, 2002

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Elon Musk v. The Twitter Board

April 19, 2022

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Comedians Want Pandora to Pay for Jokes

April 25, 2022

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Alon Kapen Quoted in Yahoo Finance – “Novo Nordisk’s unique structure gives it an extra edge — and risk”

About half of Denmark’s largest companies share a corporate structure that’s common for the Nordic country — a system in…

December 12, 2023

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Alon P. Kapen Quoted in S&P Global: Private equity industry weighs consequences of SEC’s tighter grip

A sweeping set of rules for private fund advisers adopted by the SEC in August has underscored the agency’s recent…

October 02, 2023

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Bed Bath & Beyond Stock Hit a New Low. Bankruptcy Could Still Happen.

As Bed Bath & Beyond ‘s stock price plummets to historic lows, the retailer finds itself yet again on the brink of…

April 06, 2023

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Bed Bath Begins Three-Week Countdown to Possible Bankruptcy

Will Bed Bath & Beyond be able to avoid bankruptcy? Farrell Fritz, P.C. Partner, Alon Kapen, shares his perspective about the retailer with Bloomberg…

April 04, 2023

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Elon Musk Deserves Credit For Tweet Trial Win, Attys Say

Alon Kapen was interviewed by Law360 on continued coverage around Elon Musk and his “Tweet Trial Win” in California. In…

February 07, 2023

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The Year in M&A – 2022 Popular Reads on JD Supra

“Inside the Merger Agreement between Elon Musk and Twitter” by Farrell Fritz Partner Alon Kapen ranked as the second most widely read M&A-related article…

January 13, 2023

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The Year in Social Media – 2022 Popular Reads on JD Supra

“Inside the Merger Agreement between Elon Musk and Twitter” by Farrell Fritz Partner Alon Kapen ranked as the third most widely read Social Media-related…

January 10, 2023

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Musk’s Control Of Twitter Comes With Freedom, Drawbacks

Farrell Fritz partner Alon Kapen was quoted regarding the completion of Elon Musk’s deal to take Twitter private in Law360. “Whether it’s content moderation or…

October 31, 2022

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Elon Musk’s legal battle with Twitter may be over, but his war with the SEC continues

Alon Kapen gives his insights on Elon Musk’s continued battle with the SEC regarding the pending Twitter deal on MarketWatch. “There…

October 07, 2022

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Unpacking Bed Bath & Beyond’s ‘Self-Inflicted’ Crisis

Alon Kapen, a corporate attorney at Farrell Fritz who isn’t involved with the lawsuit, said his review of the complaint…

September 07, 2022

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If Elon Musk Walks Away From His $44 Billion Twitter Deal, He Could Face a Legal Nightmare

M&A contracts are generally designed to insulate parties from the risk of the other side backing out. These kinds of…

May 19, 2022

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Musk Faces A Few More Hurdles Before Acquiring Twitter

Tesla Inc. CEO Elon Musk’s agreement to acquire Twitter Inc. for $44 billion faces several obstacles before it can become reality,…

April 28, 2022

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The Chaotic Week Musk Tried to Buy Twitter – And the Questions That Lie Ahead

Will Twitter’s plan actually stop Musk’s purchase? Under the “poison pill” plan, Musk would have to spend an increasing amount…

April 19, 2022

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Is The Twitter Board Required To Accept Elon’s Offer?

The board could reject Musk’s offer or refuse to negotiate even though the Tesla billionaire offered a substantial premium, as…

April 15, 2022

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Twitter Investors Sue Elon Musk for Failing to Promptly Disclose the Size of His Stake

A group of Twitter shareholders are suing Elon Musk for allegedly failing to disclose he had bought a significant stake in the…

April 13, 2022

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JD Supra’s 2022 Readers Choice Award

Farrell Fritz partner Alon Kapen received JD Supra’s 2022 Readers Choice Award for his New York Venture Hub blog posts. He is ranked…

March 07, 2022

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Two LI Companies See Pot of Gold in Cannabis Greenhouses

Two publicly traded Long Island companies have joined forces to pursue the cannabis greenhouse market. One of companies, Power REIT,…

August 06, 2021

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In hunt for ‘unicorn’ companies, new show invites audience to invest

Mom-and-pop investors will join Apple co-founder Steve Wozniak and a Long Island securities executive in hunting for potential billion-dollar “unicorn”…

May 07, 2021

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Comptroller DiNapoli to Use Pension Fund in Corporate Diversity Effort

New York State is wielding its $250 billion pension fund in a campaign to widen diversity at public companies, including…

February 26, 2021

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GameStop’s Stupefying Stock Rise Doesn’t Hide Its Reality

Behind GameStop’s stock surge is the grim reality of its prospects: The video game retailer is floundering even as the…

February 03, 2021

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Biden’s Regulatory Freeze Unsettles Crowdfunding Advocates

President Joe Biden’s ongoing “regulatory freeze” could enable agencies like the U.S. Securities and Exchange Commission to postpone or reconsider recently approved…

January 29, 2021

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War of words escalates as LVMH countersues Tiffany to nix their deal

The merger between two big luxury names was once touted by them and many analysts as good for both, but…

October 01, 2020

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L Brands slams Sycamore for bargaining down Victoria’s Secret price

L Brands returned Sycamore’s legal effort to get out of its agreement to buy Victoria’s Secret with a lawsuit of its own…

April 24, 2020

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Sycamore looks to back out of Victoria’s Secret deal

L Brands on Wednesday said that Sycamore Partners had delivered a notice to terminate their agreement, announced in February, where the…

April 23, 2020

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Inventive Long Islanders Work to Outsmart the Novel Coronavirus

Long Island companies are shredding their spreadsheets and recharting their course to wage war on COVID-19. Graphic designers are producing…

April 10, 2020

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Bed Bath & Beyond sues 1-800-Flowers to enforce purchase of keepsakes site

Beyond simply wanting to follow through on the desired sale, Bed Bath & Beyond could be concerned about “purchase price…

April 07, 2020

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Ex-Hooters Franchisee Plans to Raise Up to $172.5M to Enter Cannabis Industry

A former hedge fund manager, Hooters franchise owner and blueberry farm president hopes to raise up to $172.5 million to…

January 09, 2020

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Francesca’s adopts ‘poison pill’ after firm grabs nearly 22% stake

Alon Kapen was quoted in a Retail Dive article that discusses Francesca’s and its latest plan to avoid a hostile…

August 07, 2019

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Hunting Unicorns: Eyeing Long Island’s Next Billion-Dollar Startup

If you think unicorns are mythic creatures, you probably haven’t been following finance. A unicorn company is a private startup…

July 18, 2019

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Secrets of Crowdfunding

There are at least 375 crowdfunding sites in North America, according to Statista. Many people are already familiar with the…

May 28, 2019

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Francesca’s plans reverse stock split

Francesca’s is in dire straits, as detailed last week in the report on its fourth quarter — a pivotal period…

May 07, 2019

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LI firm seeks to cut costs by ending stock registration

Vicon Industries Inc. has filed to terminate the registration of its common stock, exempting the Hauppauge company from reporting requirements…

January 24, 2019

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Air Industries to sell $7M in stock to boost liquidity

Alon Kapen, a securities lawyer at Farrell Fritz in Uniondale, said that Air Industries’ disclosures about internal financial controls brings…

June 29, 2017

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Founders’ agreements can help partners avoid messy breakups

You must recognize each founder usually brings unique skills and value to a company, says Farrell Fritz law Alon Kapen,…

April 02, 2017

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Digital Donations plans $13 million IPO by shareholders

Digital Donations Technologies Inc., whose digital crowdfunding systems help nonprofits raise money, has filed government documents for an initial public…

November 16, 2016

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eGifter plans to raise up to $11 million from investors

“This is the future of capital raising,” said Alon Kapen, a corporate attorney at Uniondale-based law firm Farrell Fritz, which…

November 08, 2016

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Three key factors to Kickstarter success, study finds

Starting May 16, entrepreneurs will have an additional avenue to raise money. They’ll be able to solicit up to $1…

April 24, 2016

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Cemtrex sees Nasdaq listing as springboard for growth

“Listing on Nasdaq has a certain implied stability,” said Alon Kapen, a partner at the Uniondale law firm Farrell Fritz…

January 10, 2016

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SMALL BUSINESS: Tapping into THE CROWD Public funding offers new investment sources, but at a cost

Alon Kapen was quoted in a Newsday article SMALL BUSINESS: Tapping into THE CROWD Public funding offers new investment sources,…

November 30, 2015

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Small Business: Still waiting for SEC crowdfunding rules

Currently, public solicitation or advertising of a private equity offering is permitted only if all purchasers are accredited investors (i.e.,…

March 01, 2015

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LI sizzles with $7 billion in mergers

Executives of public companies felt compelled to keep earnings per share rising to keep pace with the stock market, said…

January 04, 2015

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Accelerate Long Island and the Long Island Emerging Technologies Fund Announce $500K in Funding for Five Biotech and Clean Energy Startups

June 09, 2014

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Paying it Forward: Karma411 Spinoff Will Bring Crowd Funding to Startups

April 20, 2012

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Proxy Access Looms: Understanding It And Its Challenges

Please see below to read Alon Y. Kapen‘s interview with The Metropolitan Corporate Counsel‘s Editor. The interview may also be…

August 05, 2009

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SEC Eyeing First Revision of SOX Rules

June 22, 2007

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Hard to Handle: Assembling the Compensation Jigsaw Puzzle

December 01, 2006

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SEC to Companies: To Compensate, You Must Elucidate

August 18, 2006

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Verint Hindered by Comverse Scandal

April 21, 2006

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Gyrodyne May Omit Proposal on Right of Shareholders to Call Special Meetings

November 14, 2005

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Activist Shareholders Showing Muscle — Taking on management has gone from rogue to vogue

November 11, 2005

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Traffic building on the road to privatization

June 24, 2005

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Defense M&A heats up

May 27, 2005

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Audiovox deal to make exec $16 million man

August 20, 2004

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Boiler Room 2

October 24, 2003

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Shareholders Could Nominate Directors Under Proposed Regs

October 17, 2003

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After Ticker Swap, Drug Stock Spikes

July 11, 2003

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Small-Science Conference Draws Some Big Thinkers

March 14, 2003

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Gaffe Clouds CPI’s $7.8M Stock Offering

February 28, 2003

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Andrea Asks for Right to Dillute Stock

January 10, 2003

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CEO’s dad, sis Quit Comverse Board

November 01, 2002

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Bye, Bye Nasdaq

September 27, 2002

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Symbol, CA Signs as Others Shudder

August 16, 2002

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Law Firms Start Niche Practice Groups

August 16, 2002

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Pricey Law Hires Hurt

December 01, 2000

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Press Releases

American Jewish Committee to Honor Alon Y. Kapen with Civic Leadership Award

Farrell Fritz warmly congratulates our partner, Alon Y. Kapen, who will be receiving the American Jewish Committee (AJC) – Long…

March 19, 2014

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JD Supra

2022 Readers Choice Award

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American Jewish Committee

2014 Civic Leadership Award

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Cornell University Law School

Editor, Law Review

Community Work

Alon is president emeritus and a member of the board of governors of the Long Island Region of the American Jewish Committee. He is also a member of the steering committee for Family and Children’s Association, and the board of trustees for the Huntington Jewish Center.