Roberts W. Brokaw III

Independent Consultant
Roberts W. Brokaw III


M.B.A., Harvard Business School; Joint B.A. and M.A., economics, Yale University

Summary of Experience

Mr. Brokaw has three decades of investment banking experience in the design and execution of transactions in the context of equity, debt, mergers, and strategic restructurings. In addition to this broad background, he has special expertise in equity-linked securities, preferred stock, high-yield debt, investment banking practices, fairness opinions, and securities covenants, as well as experience as a coverage banker in the utility and transportation industries. His extensive transactional experience includes work for major US and international companies, as well as for smaller enterprises. Over the past decade, he has testified and authored expert reports in a variety of securities-related and valuation matters, in Delaware Chancery Court, US bankruptcy courts, and various US district courts and state courts, as well as in private arbitrations. Most recently, Mr. Brokaw was a senior managing director in the investment banking division of Bear Stearns. Prior to that role, he was head of the corporate finance group at PaineWebber and, earlier, a managing director with Merrill Lynch’s investment banking division. At both PaineWebber and Merrill, Mr. Brokaw was a member of the equity commitment committees and oversaw and implemented the investment banking training programs. Mr. Brokaw has been an adjunct professor of finance at New York University, where he created a new M.B.A.-level course on the structure and valuation of equities, and served as a senior professional fellow with NYU’s Center for Law and Business.

AG Contacts

Andrew Wong