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Welcome to Bowman Law Firm, LLC
The Bowman Law Firm, LLC specializes in conducting independent due diligence reviews of non-traded REITs and other alternative investment products for its independent broker/dealer clients.
Services for Bowman Law Firm, LLC
Due diligence reviews of alternative investment product offerings
Broker/dealer compliance and regulatory consulting
Contract drafting, review and negotiation
Expert witness services
Catherine Bowman, Esq. Biography

Catherine Bowman founded The Bowman Law Firm in April 2008 in order to conduct due diligence on public and private securities offerings ranging in size to over $2 billion on behalf of independent broker/dealers. Ms. Bowman also provides consulting on broker/dealer regulatory and compliance matters; researching ’33 Act and ’34 Act laws and regulations, broker/dealer regulations and state securities laws and regulations; contract negotiation and drafting, as well as providing expert witness services.

Prior to founding The Bowman Law Firm, Ms. Bowman was Chief Compliance Officer, Senior Vice President and Corporate Counsel for CNL Securities Corp., overseeing the compliance department as well as the due diligence department of CNL’s managing dealer of private and public offerings. Earlier in her career at CNL, Ms. Bowman also oversaw the REIT offering document filing process.
Ms. Bowman started her law career over 12 years ago at Gray, Harris & Robinson, P.A. focusing on corporate and securities law practice for publicly held and privately held clients.

Ms. Bowman received her J.D. from Washington & Lee University School of Law and her BSBA in Economics from the University of Florida. She is a member of the Florida Bar, the Tennessee Bar, the American Bar Association, an alumnus of Leadership Orlando (Class 52) and Outward Bound and has obtained her CRCP Designation from the FINRA Institute at Wharton.

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Member Florida Bar and Tennessee Bar

Bart Malcom Research and Due Diligence

Prior to joining the Bowman Law Firm, Mr. Malcom was Vice President of Due Diligence for Realty Capital Securities, LLC (“RCS”). At RCS, Mr. Malcom was in charge of RCS’ internal due diligence on the products being distributed by the wholesale broker-dealer including private placements, non-traded REITs, and a non-traded Business Development Company.

Prior to RCS, Mr. Malcom was Vice President of Due Diligence at CNL Securities Corp. (“CSC”). At CSC, Mr. Malcom was responsible for the internal due diligence reviews of the products syndicated through CSC which included numerous private placements and public non-traded REITs.

Prior to CNL, Mr. Malcom worked for the AIG Advisor Group (“AIG-AG”) as the head of the Alternative Investment Group and was responsible for investment research and due diligence for all of their broker-dealer entities. At AIG-AG, Mr. Malcom covered non-traded REITs, 1031 programs, hedge funds, private equity, tax credits, oil and gas, equipment leasing, and managed futures funds. Additionally, Mr. Malcom wrote a number of white papers for the AIG Advisor Group on the alternative investment industry.

Mr. Malcom received his B.B.A and M.B.A in finance from Georgia State University.  Mr. Malcom is a member of the CFA Institute and the New York Society of Security Analysts.

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Mariah Sparks, Director of Financial Due Diligence

Prior to joining the Bowman Law Firm, Ms. Sparks was an analyst at Behringer Harvard ("BH") for over three years and focused on BH's Multifamily REIT. Ms. Sparks performed all of the fund-level forecasting and financial modeling. She assisted in valuations at the fund level, individual operating and development properties and was responsible for creating the quarterly fund-level reports for the board of directors, senior management team and fund investors.

Prior to her role as an analyst for the Multifamily REIT, Ms. Sparks was Due Diligence Manager at BH for four years. Ms. Sparks led the internal due diligence group at BH which reviewed all of the products syndicated through BH, including several public non-traded REITs and LPs as well as private placements. Ms. Sparks also maintained the relationships with the due diligence professionals at the broker-dealers who worked with BH.

Ms. Sparks received her B.B.A in finance from the University of Texas at Arlington. Ms. Sparks held a Series 7 and 63 licenses while at BH, and is a member of the Real Estate Council.

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Christie E. Susi, Esq.  Associate

Christie E. Susi joined the Bowman Law Firm in June 2014. Prior to joining the Bowman Law Firm, Ms. Susi was Compliance Counsel for W. P. Carey Inc. where she drafted compliance and legal policies and procedures, directed the marketing review process, including addressing all communication related regulatory comments or questions. She rolled out a social media program for the broker-dealer, initiated an enterprise level records retention program, reviewed contracts and oversaw the legal review for broker-dealer technology implementation and maintenance.

Prior to W. P. Carey, Ms. Susi was a financial advisor for Morgan Stanley and then for Merrill Lynch where she built a client base of high-net worth investors and created comprehensive financial plans for her clients.

Ms. Susi received her J.D. from Brooklyn Law School and her BA in communications from University of Pennsylvania. Ms. Susi is a Colorado licensed attorney.

Christine Parry, Esq.  Associate

Prior to joining the Bowman Firm, Ms. Parry worked as an associate at the New York office of Paul Weiss Rifkind Wharton & Garrison. While at Paul Weiss, she focused her practice on '33 and '34 Act transactions, mergers & acquisitions, capital markets and public finance. She relocated to Denver in March of 2012 and worked for small boutique firm specializing in public and private securities.

Ms. Parry received her J.D. from Washington & Lee School of Law and her B.A. in English Literature from Washington University in St. Louis.

Prior to law school, Ms. Parry worked as the Director of Marketing for Koenig & Strey GMAC Real Estate in Chicago. While at Koenig & Strey, Ms. Parry developed and implemented marketing and advertising strategies for mid-large scale residential developers.

Ms. Parry is licensed member of the New York State Bar.

Andrew Nelson, J.D.

Prior to joining the Bowman Law Firm, Mr. Nelson completed his J.D. from the University of Florida - Levin College of Law and his M.B.A. in finance from the University of Florida - Hough Graduate School of Business, where he was a Curtis S. Fry Family M.B.A. Fellow. While in business school, he focused on international financial risk analysis, mergers & acquisitions, and capital markets investment strategies. While in law school, Mr. Nelson focused on both domestic and international transactional and corporate law.

Prior to graduate school, Mr. Nelson worked as a Market Research Analyst for Reis, Inc. in the Commercial Office Group. While at Reis, Inc., Mr. Nelson tracked and compiled market research data on available commercial office space for over 20 different U.S. markets.

Mr. Nelson passed the New York Bar Exam and is seeking admission from the New York and District of Columbia Bar Associations. He received his B.A. from Syracuse University.

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Barbara Smiley, Director of Legal Due Diligence

Prior to joining the Bowman Law Firm, Ms. Smiley was a senior paralegal in the General Counsel's office of Marriott Vacations Worldwide, Inc. assisting the corporate secretary with Board of Directors meetings, SEC filings and due diligence, documentation and closings related to financing transactions.

Prior to her role at Marriott Vacations, Ms. Smiley was a paralegal at CNL Financial Group, Inc. for nine years. Ms. Smiley drafted and filed offering documents and agreements with the SEC and state securities regulators, managed blue sky compliance and coordinated investment due diligence on behalf of CNL's REITs. Earlier in her career, Ms. Smiley gained extensive knowledge of federal and state securities regulation, corporate governance and business transactions in her 15 years as a senior paralegal at the international law firms of Bryan Cave LLP, Hogan Lovells, Cooley LLP as well as at a Fortune 500 company.

Most recently, after relocating to Bloomington, Indiana in 2013, Ms. Smiley was the Administrative Coordinator of REN-ISAC (Research and Education Networking Information Sharing and Analysis Center), an Indiana University-hosted private community of higher education members that shares sensitive information on cyber security threats, incidents, response and protection.

Ms. Smiley received her A.A.S. in Paralegal Studies at St. Louis Community College.

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