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We focus our practice on broker/dealer representation, securities, real estate finance, and real estate development.
11422 Miracle Hills Drive Suite 401 Fax: 402.504.3951 |
Quality people make the difference!
Of Counsel
Underwriting Mick & Associates works with the following independent firms and individuals: Management & Support Team Attorneys 
Bryan S. Mick, JD, MBA Bryan S. Mick is the President of Mick & Associates, P.C., LLO in Omaha, Nebraska, and a provider of independent due diligence services for various broker-dealers throughout the country. Mr. Mick was formerly a partner with Blackwell Sanders Peper Martin, a regional law firm based in Kansas City, Missouri. His private practice involves not only broker-dealer representation but real estate acquisition, development, and finance. He was also general counsel and investment banking Sr. VP for a broker-dealer in Omaha that syndicated real estate equity offerings in hospitality, senior living, office and retail development and acquisition. Mr. Mick's due diligence representation involves a concentration in real estate equity fund, development project, distressed debt and REIT reviews. He provides his clients individualized legal opinions with an additional focus on project and fund structure, financing, valuation and exit analysis. Mr. Mick is also privileged to represent several life insurance companies, apartment and subdivision developers, conduit loan servicers and real estate loan opportunity funds. Mr. Mick received his BSBA (Finance) and MBA from Creighton University. He graduated in 1989 from the Creighton University School of Law (with distinction), where he was a member of the Creighton Law Review and authored an ABA-nominated article on hostile takeover defenses. He has also published a number of articles, and presented at many national conferences, covering syndicated tenant-in-common real estate offerings. Mr. Mick is admitted to practice in Nebraska as well as the U.S. District Court for the District of Nebraska, and is a member of the Securities and Real Estate Sections of the ABA. 
Erik C. Booth, JD Erik C. Booth is an associate with Mick & Associates. Mr. Booth's practice focuses on preparing independent third-party due diligence opinions related primarily to real estate equity funds, REITs and sponsor-level reviews. Mr. Booth also represents clients in all aspects of real estate acquisition, financing, development, leasing and sales, as well as assisting commercial lenders with the structuring of real estate mortgages, deeds of trust, promissory notes and related closing documentation. In addition, Mr. Booth's practice involves assisting clients with the formation, purchase and sale of various business entities, as well as representing clients' interests in real estate related litigation. Prior to joining Mick & Associates, Mr. Booth practiced primarily in the areas of general and commercial litigation with a larger Omaha law firm, and earlier represented the interests of various county governmental departments and elected officials as a Deputy Douglas County Attorney. In addition, prior to moving to Omaha, Mr. Booth operated his own law office as a sole-practitioner for three years in Cedar Rapids, Iowa. Mr. Booth received his J.D. from the University of Iowa College of Law in May of 2000. He also received his B.S. from Truman State University majoring in History in May of 1997. Mr. Booth is admitted to practice in Iowa and Nebraska as well as the U.S. District Courts for the Northern District of Iowa, the District of Nebraska and the U.S. Court of Appeals, Eighth Circuit. 
Bradford Updike, LLM, JD, CSA Brad Updike joined our team on August 15, 2006. Mr. Updike's practice focuses on oil and gas, real estate fund and private equity due diligence and advertising review. Prior to joining Mick & Associates, Mr. Updike worked as an attorney at Securities America, Inc. ("SAI"), where he provided legal support to the SAI Compliance Department on tax planning and securities advertising regulation. Mr. Updike is well-versed on the rules that apply to securities advertising, and he has successfully filed hundreds of marketing pieces with the National Association of Securities Dealers. Mr. Updike provided legal support to SAI's Due Diligence Committee on §1031 Products. Mr. Updike also provided legal guidance to SAI's registered representatives on matters pertaining to estate and trust planning, business transactions, and retirement income planning. During his employment with SAI, Mr. Updike was featured as a webcast speaker on estate planning and on §1031 planning. Mr. Updike provided legal expertise and analysis to SAI on several non-traditional financial programs such as private annuity trusts (NAFEP), secondary market life insurance settlements, ESOP/FLP stock buy-out arrangements for closely held businesses (ESOT Resources), as well as various executive compensation arrangements (CRG ISOP Program, Dolgoff Executive Compensation Plan). Prior to joining SAI in October 2003, Mr. Updike was in private practice, focusing on general tax planning and real estate litigation support. Mr. Updike received his JD with honors from the University of South Dakota School of Law in 2000, and he received his LLM in Taxation from the University of Florida School of Law in August 2006. Mr. Updike previously held NASD Series 24 and 7 licenses while employed at SAI. Mr. Updike has been married for fifteen years and has a son Adam, age 8, and a daughter Grace, age 2. In his spare time, Mr. Updike has served as a Youth Soccer Coach and as Legal Counsel to the Omaha Junior Chamber of Commerce. Additional Practice Areas: Publications:
David M. Sengstock joined our team as of counsel in August of 2006 and as an associate in April 2007. Mr. Sengstock’s practice focuses on the representation of broker-dealer clients in connection with Regulation D real estate and real estate-related transactions. Prior to joining Mick and Associates, Mr. Sengstock was a partner at a Milwaukee-based law firm where he practiced primarily in the areas of real estate and bankruptcy. Mr. Sengstock’s prior legal experience included representing corporate-level real estate clients in a wide range of capacities including entity formation, buying/selling real estate, litigating real estate issues in state and federal courts and representing individual and business clients in both discharge and reorganization under the United States Bankruptcy Code. Mr. Sengstock received his J.D. from Creighton University in 1999 and his B.A. degree from the University of Wisconsin-Madison in 1996, where he was also an Academic All-Big Ten award winner, a four-time Big Ten Track and Field Team Champion and an All-Big Ten member of Wisconsin’s 4x100 relay team. He is admitted to practice in Nebraska, Wisconsin and Minnesota as well as the District Court for the Eastern District of Wisconsin. Mr. Sengstock has been married for ten years and has four children.
Aric Wenzl joined our team in August 2007. He received his JD and MBA from Creighton University in May 2007. While in law school he was awarded CALI Excellence for the Future awards for high achievement in the study of Sales and Leases of Personal Property. He co-authored Important Developments in Federal Income Taxation, which was presented at the 2006 meeting of the Great Plains Federal Tax Institute, and worked at the Community Economic Development Law Clinic. He was also inducted into Alpha Sigma Nu, the national Jesuit Honor Society. Mr. Wenzl received his B.S. from Rider University in 1999, where he competed on the varsity tennis team and earned Metro Atlantic Athletic Conference all-academic team honors. Before beginning his law career he managed a $1 million sales company-owned store for a Fortune 500 company. Mr. Wenzl is admitted to practice law in Nebraska and in the U.S. District Court of Nebraska.
Matthew S. Torres is an associate with Mick & Associates. Prior to joining Mick & Associates, Mr. Torres worked as associate counsel for QA3 Financial Corp. where he provided legal support for QA3 and its affiliates, including providing legal support to the QA3 compliance department and due diligence committee. Mr. Torres received his JD from the University of Nebraska College of Law in 2007. He also received his MBA from the University of Nebraska at Lincoln in 2005 and a BS in Business Administration in 2002. Mr. Torres also holds Series 7 and 24 securities licenses. Mr. Torres is admitted to practice in Nebraska and Iowa.
William B. Kimme, JD, MBA, CHP Level 1 Bill Kimme possesses extensive corporate, securities, and regulatory and compliance experience involving multi-million dollar transactions on a global scale. Prior to accepting a position with Mick & Associates, Bill spent over 18 years with FINRA’s Dispute Resolution Department. Bill served as the Assistant Director of Business Strategies in FINRA’s New York office focusing his efforts on corporate, acquisitions, contracts, regulatory and compliance, consulting, and project management on a global scale. He also served as a Senior Attorney and Staff Attorney in FINRA’s (NASD) Dispute Resolution Chicago Regional Office focusing on arbitration and mediation, regional office management, and training. Prior to his employment with FINRA (NASD), Bill was involved in the private practice of law focusing on domestic and international transactions, corporate governance, insurance, and banking issues. Bill also served as an adjunct faculty member at East Central College. Bill regularly speaks before global audiences. He received his B.A. and J.D. degrees from Creighton University, and his MBA from Thunderbird. Bill also holds the Certified Hedge Fund Professional (CHP) Designation Level 1, completed in June 2010, placing in the top 10% of the professionals completing the exam. He is now Hedge Fund Group certified as holding a high level of specialized hedge fund best practices knowledge, including fund of hedge funds, hedge fund strategies, hedge fund due diligence, portfolio analytics, and hedge fund trends. Bill is a former member of the Association of Corporate Counsel, where he was the Chair of the Corporate and Securities Committee for the DELVACCA Chapter. He is also a member of the Hedge Fund Group, and a member of the Society of Industry Leaders. In his spare time, Bill served on the Board of a youth sports organization, and coached tournament fastpitch softball for nine years, with two teams placing 17th and 21st at national tournaments. Of Counsel Eric E. Hamilton, JD Mr. Hamilton is employed at First National Capital Markets where he is responsible for the overall compliance of the firm with regard to securities, banking regulations, and all applicable governing laws. He gained experience working directly with the Private Equity Director in evaluating private placement opportunities. These evaluations included interviews with the issuer, due diligence review, compiling reports to present to the Board and preparing Regulation D documents used in the offering. He is also responsible for ensuring that private placements are properly documented in accordance to NASD/SEC regulations. Before joining First National Capital Markets, Mr. Hamilton was employed in the Legal/Compliance Department at Ameritrade, Inc. as a Senior Attorney and as the Anti-Money Laundering Compliance Officer. Mr. Hamilton was responsible for various issues including understanding Anti-Money Laundering legislation, OFAC, and the Patriot Act - and developing firm guidelines to ensure compliance with regulators. He was also responsible for written correspondence review, collections, audit coordination and complex margin and option account review. Early in his career at Ameritrade, Mr. Hamilton implemented, managed, and supervised the Collections division. He was the recipient of several recognition awards. Mr. Hamilton obtained a JD from the Creighton University School of Law in May of 1998. He also obtained his B.S.B.A. from Creighton University majoring in both economics and finance in May of 1995. Mr. Hamilton holds the following securities licenses: 7, 63, 24, and 53. Underwriting - Mick & Associates works with the following independent firms and individuals: Trinity Partners, Inc. is a privately held real estate advisory firm committed to providing comprehensive investment services to investors seeking investment opportunities in commercial real estate through a partnership with Trinity Partners, Inc. and its affiliated entities. A successful investment in real estate is predicated on measurable returns to the investor. Meeting Trinity Partners' target investment return objectives begins with a roadmap, unwavering discipline, and the ability to swiftly adapt to rapidly changing markets. Website: www.trinitypartnersinc.com Q10 | Daisley Ruff Financial Corporation is a founding member of Q10 Capital LLC and a market leader in commercial mortgage banking in the Nebraska, Iowa and South Dakota region. They focus their efforts on obtaining the most competitive financing for their clients on income producing property from $500,000 to $200 million through their exclusive correspondent relationships with over 20 institutional sources. Website: www.q10daisleyruff.com Alan Lincoln – Real Estate Underwriting. Mr. Lincoln has valuable experience in commercial real estate finance, portfolio analysis and real estate management. Mr. Lincoln served as Senior Financial Analyst for Magnum Resources, Inc, where he was responsible for the administration and analysis of real estate acquisitions and dispositions and due diligence activities . His duties also included preparing forecasts, budgets, and strategic business plans, completing property inspections, reviewing purchase and lease contracts and serving as a key member for the sale of Magnum Resources’ portfolio through an UPREIT transaction to a public company. In addition, Mr. Lincoln also has performed commercial real estate underwriting and due diligence for various other investment groups in and around the Omaha area. Mr. Lincoln received his BS in Finance from Iowa State University, Ames, Iowa and is a Distinguished College of Business Graduate. Management & Support Team Joanne Balok is returning to Mick & Associates, P.C., LLO after a two-year departure working at the Mayo Clinic in Rochester, MN. Ms. Balok has worked in the legal field for over fifteen years in a variety of legal areas including corporate law, commercial real estate, bankruptcy, litigation, employment and tax law. Ms. Balok obtained her BS from the University of Nebraska at Lincoln and holds an Associate’s degree in Paralegal Studies. Ms. Balok is an integral part in supporting the Mick & Associates due diligence and broker-dealer representation services as well as providing legal support in litigation, real estate and general practice matters.
Kevin McLaughlin joined Mick & Associates in November 2008. He has been in the legal field since 2001 working as a legal courier and paralegal mostly in litigation, insurance and real estate. Kevin will be performing litigation due diligence searches and entity checks for the firm. He has Bachelor Degrees in Journalism/Communications and Aviation Studies. He received his paralegal certificate from Metro Community College in Omaha and has worked for Baird Holm, LLP in Omaha, Sonnenschein, Nath and Rosenthal, LLP and Grippo & Elden, LLC in Chicago.
Rebecca Bower is office administrator for Mick & Associates, P.C., LLO. She is primarily responsible for accounts payable/receivable and general bookkeeping. Prior to joining Mick & Associates she held a similar position with an automotive repair business for the past 17 years while raising her three children. She also has previous experience working for the law firm of Abrahams, Kaslow & Cassman as a receptionist and various other office duties.
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David M. Sengstock, JD
Joanne Balok, Paralegal 
Kevin McLaughlin, Paralegal
Rebecca Bower, Office Administrator