James Brett Guttman

James Guttman helps Canadian companies access U.S. capital markets — and U.S. companies enter Canadian markets — by structuring cross-border securities offerings, exchange listings, and M&A transactions that move capital across borders efficiently.

James brings deep fluency in U.S.-Canada cross-border capital markets to clients navigating a public company's life cycle — from initial public offerings to follow-on equity offerings, debt financings, and strategic acquisitions. Working from Dorsey & Whitney's Toronto office, James advises Canadian issuers seeking to raise capital in U.S. securities markets and U.S. companies looking to participate in Canadian markets, with particular focus on the mining and natural resources, cannabis, healthcare, and technology sectors.

James structures and executes a wide range of securities transactions, including underwritten public offerings, at-the-market programs, private placements, PIPE offerings, convertible note offerings, and shelf registration statements. He regularly counsels clients on Securities and Exchange Commission (SEC) regulatory and compliance matters, including periodic and current reporting obligations for public companies, and advises on listing compliance standards for the New York Stock Exchange (NYSE), NYSE American, Nasdaq, OTCQX, and OTCQB marketplaces.

James' M&A practice spans mergers of equals, cross-border acquisitions, business combinations, and asset sales across the mining, cannabis, technology, and healthcare sectors.

James has guided more than 175 Canadian issuers through the process of trading on the OTCQX and OTCQB marketplaces, and he has led U.S. exchange listings for companies on the NYSE, NYSE American, and Nasdaq. His clients have included Lithium Americas Corp., Eldorado Gold Corporation, Kirkland Lake Gold Inc., Curaleaf Holdings, Canopy Growth Corporation, Energy Fuels Inc., and SilverCrest Metals Inc., among many others.