Skip to main content

Carolyn Hochstadter Dicker

Securities offerings Attorney at Philadelphia, PA

5.0   5 reviews
  • State Years
    New Jersey - NJ 16 years
    Pennsylvania - PA 27 years
  • Licensed for 16 years
    State NJ
    Acquired 2007
    Active No misconduct found
  • Licensed for 27 years
    State PA
    Acquired 1996
    Active No misconduct found

We have not found any instances of professional misconduct for this lawyer.

About Carolyn

Learn Carolyn’s areas of practice.

Practice areas
  1. Bankruptcy and debt
    Represent business entities & individuals in their capacity as creditors, debtors in bankruptcy, chapter 7, 11 or 13 trustees, debtor or equity committees & indenture trustees. Handle collections, restructuring, work-out & dissolution matters.

    35 years

  2. Business
    Assist in forming company, as well as financing, operations, tax & exit strategy & execute same. Draft equity, investor & employment agreements. Assist with employment policies. Help secure virtual or bricks & mortar office space.

    35 years

  3. Chapter 11 bankruptcy
    Draft Plans, Motions & Settlements. Represent: Barneys, Phoenix Information Systems, Equity Security Holders Committee, Columbia Gas, Bondholders Committee, Federated Department Stores, DBSI Diversified Realty REIT & Trustee, Cajun Electric.

    35 years

  4. Chapter 13 bankruptcy
    Assist client to get a fresh start & keep their homes. Prepare Petition & Schedules. Draft & Administer Chapter 13 Plans. Deal with student loan discharge, exemption, relief stay & related matters. Negotiate loan modifications. Settle disputes.

    35 years

  5. Chapter 7 bankruptcy
    Assist client to get a fresh start. Prepare Petition & Schedules. Run through Means Test & Financial Analysis to qualify for Chapter 7 (v. Chapter 13). Deal with student loan discharge, exemption, relief stay & related matters.

    35 years

  6. Copyright application
    Help secure copyright qualification, protection & licensing. Assist with registration & notice, infringement & take-down issues under Digital Millenium Copyright Act, as well as public domain issues.

    35 years

  7. Corporate and incorporation
    Form corporations. Draft & file relevant state registration documents, namely, Certificate & ByLaws. Draft shareholder agreements, restricted stock purchase agreements & related required agreements & equity benefit or other plans.

    35 years

  8. Debt and lending agreements
    Draft Promissory Notes, Security Agreements, UCC-1 Filing Statements & Mortgage Instruments & perfect/file security interests. Draft ancillary agreements. Assist with payment disputes, prepayments, collections & cross-collateralization issues.

    35 years

  9. Employment and labor
    Assist employees & employers with agreements, policies, restrictive covenants & equity allocation in recruiting, hiring, retention, promotion, termination & severance matters under Title VII, IX, Disability, Age, Nationality, Wage & Hour laws.

    35 years

  10. Equipment finance and leasing
    Draft Equipment Lease & Financing Agreements & related UCC-1 filing statements. Deal with bankruptcy assumption or rejection of true leases & treatment of finance leases, including strategic options for debtor & lessor/financier.

    35 years

  11. Foreclosure
    Defend homeowners from foreclosure actions. Prosecute actions on behalf of lenders. Mediate loan modifications & resolutions of disputes. Assist with reinstatement &/or pay-off.

    35 years

  12. Intellectual property
    Help create, protect & license IP via legal process. Implement trade secret program. Draft restrictive contractual covenants & employment agreements to monitor past employee practices & prevent future employer infringement or misappropriation.

    35 years

  13. International law
    Draft employment, equity, intellectual property, joint venture & other contracts among parties from different countries & venues. Help foreign start-ups establish companies in the U.S. for both business & non-immigrant L, E or other visa purposes.

    35 years

  14. Limited liability company (LLC)
    Form LLC's. Draft & file state registration documents, namely Certificate & Operating Agreement. Draft related property transfer/other agreements. Handle professional practices, L, E or other non-immigrant visa start-ups, music, tech & more.

    35 years

  15. Mergers and acquisitions
    Draft/negotiate/execute asset or stock agreement for purchase or sale of all or part of a company. For tax, licensing & financing purposes, choose triangular or simple, reverse or forward mergers, depending upon private or public structure.

    35 years

  16. Patent application
    Help companies, entrepreneurs & employees secure patents in the U.S. & abroad. Assist with trade secret program v. patent prosecution. Help companies, entrepreneurs & employees avoid/defend infringement suits & obtain relief from infringers.

    35 years

  17. Real estate
    Assist individuals, business entities & investors to purchase, sell or lease commercial & residential property. Draft leases & purchase/sale agreements. Assist with landlord-tenant matters, tax appeals & related matters.

    35 years

  18. Securities offerings
    Assist issuer or investor clients seeking to offer, sell or purchase securities via crowdfunding, private placement or initial public offering (IPO). Draft business plan, prospectus, SEC forms, Survey Letter & LOIs.

    35 years

  19. Trademark application
    Help secure qualifying trademarks for business branding. Assist with policing, registration & notice. Help avoid/defend infringement suits & obtain relief from infringers. Assist with disputes over confusion, dilution or tarnishment.

    35 years

  20. Venture capital
    Assist founders & investors with VC financing term sheets & execution of investment transactions. Includes choice of, or conversion to, a particular entity structure, as well as tax & financing analysis.

    35 years

I have over 25 years of experience in the business law space and am a seasoned Lecturer at The Wharton School.  With a trusted and robust legal network of co-counsel, I strive to bring value to the table, offering clients a unique brand of personalized service that is creative and practical.  My resources include Women Owned Law and Legal Services Firms, boutique niche firms with Big Law expertise, and relevant Legal Trade Associations and International Chambers of Commerce.  I speak French, Arabic, Hebrew and German and enjoy working closely with all of my clients.  I am admitted to practice in the state and relevant federal courts of New York, New Jersey and Pennsylvania, as well as the Third Circuit Court of Appeals.  I look forward to helping you navigate and resolve your legal issues.




Photos and videos

View more


E. Carolyn Hochstadter Dicker LLC
1528 Walnut Street , Suite 511
Philadelphia, PA, 19102


5.0 / 5.0
  5 customer reviews
5 Star
4 Star
3 Star
2 Star
1 Star
Posted by Jason | November 22, 2017
This review is from a person who hired this attorney.
| Hired Attorney
Carolyn is GREAT!
Carolyn is a wonderful attorney. I found her to be highly knowledgeable, responsive to my needs, professional, and all around great to work with. ON several occasions she provided much needed advice that allowed for reassurance and peace of mind. She acted as if my case mattered to her personally. I want to thank you for all her help
Read less
Posted by Adam | November 14, 2017
This review is from a person who hired this attorney.
| Hired Attorney
Saved me from a bad deal
I was contacted by a company to be a consultant in exchange for stock options. Carolyn advised to ask specific questions, for which I did not received satisfactory answers. In the end I walked away. I’m glad that i followed her advice
Posted by anonymous | November 13, 2017
This review is from a person who hired this attorney.
| Hired Attorney
Review of Carolyn Hochstadter Dicker
Personalized attention, responsive, detail oriented. High quality preparation of and review of contracts/related documents for my consulting firm.
Posted by Elaine | November 13, 2017
This review is from a person who hired this attorney.
| Hired Attorney
Carolyn got the job done!
We contacted a well known pool company to do a full renovation. It turned into a nightmare. Thousands of dollars for work so badly done a second renovation along with replacement of fixtures the company’s workers broke were needed after it was “finished “. Carolyn was awesome - a force of nature. Her hard work and savvy resulted in a full redo of the project. Without her representation we were going nowhere with this company. She is smart, focused and committed. Her professional and easy going demeanor make her easy to relate with. We are very thankful we were referred to her and contracted with her to help us. Our pool is once again a source of fun and relaxation thanks to Carolyn.
Read less
Posted by Dana | November 5, 2017
This review is from a person who hired this attorney.
| Hired Attorney
All details covered
Carolyn was excellent. Walked me through every step of the process. Was available to speak whenever I needed. She’s extremely detail oriented, missing nothing.


  • Free Consultation 15 minutes
Payment methods
Cash, Check, Credit Card


AVVO RATING 9.1 (Superb)

Work Experience

  • Lecturer
  • The Wharton School, University of Pennsylvania
  • 2011 - Present
  • Managing Partner and Founder
  • E. Carolyn Hochstadter Dicker LLC
  • 2007 - Present
  • Of Counsel
  • Klehr, Harrison, Harvey, Branzburg & Ellers
  • 1999 - 2007
  • Associate
  • Leboeuf Lamb Greene & Macrae, LLP
  • 1989 - 1999
View all work experience


  • Columbia University
  • JD - Juris Doctor
  • 1989
  • Columbia University
  • MA - Masters Arabic Language & Literature
  • 1986
  • Barnard College, Columbia University
  • BA - Bachelor of Arts
  • 1984

Sample of Legal Cases

  • Angel Financing/Prepayment Default: Assist client with dispute regarding illegal prepayment
  • Advise that prepayment is likely default under contract subject to state law.
  • Consumer/Construction: Assist client with dispute against pool company to complete construction
  • Construction redone timely and to client's satisfaction with cooperation of pool company.
  • Pharma/Consulting Contract: Draft Independent Contractor Agreement with Big Pharma
  • Client use of agreement for Consulting Engagements.
View all legal cases


  • Select Counsel
  • Member
  • 2017 - Present
  • Women Owned Law
  • Chair Governance, Vice Chair Regional Counsel Committees
  • 2017 - Present
  • French American Chamber of Commerce
  • Member
  • 2015 - Present
  • Lechu Neranena
  • President
  • 2012 - Present
  • Pennsylvania Bar Association
  • Member
  • 2008 - Present
  • Philadelphia Israel Chamber of Commerce
  • Executive Committee
  • 2008 - Present
  • Jewish Orthodox Feminist Alliance
  • Chair Phila Chapter, Presidents' Circle Committee; Journal Board
  • 2007 - Present
  • Kohelet Yeshiva
  • Board of Trustees
  • 2006 - Present
  • Philadelphia Bar Association, Solo and Small Firm Committee
  • Member
  • 2002 - Present
  • National Association of Consumer Bankruptcy Attorneys (NACBA)
  • Member
  • 2000 - Present
  • American Bankruptcy Institute
  • Member
  • 1999 - Present
  • Eastern District of Pennsylvania Bankruptcy Conference
  • Member
  • 1999 - Present
View all associations

Languages Spoken

  • French
  • Arabic
  • Hebrew
  • German
  • English
View all languages

Honors and Awards

  • Pro Bono Roll of Honor
  • First Judicial District of Pennsylvania’s
  • 2008
  • VIP Chancellor’s Award
  • VIP (Volunteers for the Indigent Program)
  • 2008
  • Pennsylvania Super Lawyer
  • Super Lawyers Magazine
  • 2004


  • American Bankruptcy Institute Law Review (Winter 1999), Volume 7, No. 2
  • FF&E and the True Lease Question: Article 2A and Accompanying Amendments to UCC Section 1-201(37)
  • 1999
  • 1998-1999 Annual Survey of Bankruptcy Law
  • Prepayment Premiums in Bankruptcy: A Remedy for Unsecured Creditors?
  • 1998
  • 6 CommLaw Conspectus: Journal of Communications Law and Policy 59 (Winter 1998) and Infrastructure (Fall 1997), Volume 37, No. 1
  • PCS Licenses and The ‘Specter’ of Bankruptcy
  • 1998
  • The Bankruptcy Strategist (August 1996)
  • Minimizing Risk: Securing a Loan With an Anticipated Tax Refund
  • 1996
  • Shopping Center Legal Update (Winter 1993), Volume 12, No. 3
  • OREA’s and Bankruptcy
  • 1993
  • Shopping Center Legal Update (Spring 1992), Volume 12, No. 1
  • Judicial Consideration of Adequate Assurance in Bankruptcy Cases
  • 1992
  • International Council of Shopping Centers Report
  • Shopping Centers and Bankruptcy: The Effect of the 1984 Amendments on Leases and Operating and Reciprocal Easement Agreements
  • 1992
  • Real Estate Finance (Summer 1991), Volume 8, No. 2
  • Good Faith and the Single-Asset Debtor: Trends in Recent Bankruptcy Filings
  • 1991
  • Trusts and Estates (November 1990), reprinted in The New York State Bar Journal (February 1991), (March/April 1991)
  • Amending the Estate Tax Return: Respective Duties of an Executor and Counsel to an Executor With Respect to Post-Return Changes in the Estate
  • 1990
View all publications

Speaking Engagements

  • Presentation to Hungarian Trade Delegation
  • Penetrating the U.S. Start-Up Market
  • 2017
  • Lunch & Learn with Attorney & Professor Carolyn Hochstadter
  • Navigating Start-up Law
  • 2017
  • How to Qualify for Investor Visas and Green Cards
  • Establishing a Business in the U.S.
  • 2017
  • Advocating For Change Within The Israeli Legal System
  • We Can Do It!
  • 2017
  • Halacha (Jewish Law) & Community Inclusion
  • Law & Diversity
  • 2016
  • A Survey of Basic Start-Up Issues
  • Legal Aspects of Entrepreneurship
  • 2015
  • Wharton Business and Law Association Second Annual Conference
  • Law for Entrepreneurs
  • 2014
  • Wharton Business and Law Association
  • Legal Aspects of Entrepreneurship Practical Tips and Tool
  • 2013
  • Bankruptcy Basics for 2011
  • Chapter 7 and 13 Bankruptcy
  • 2013
  • Bankruptcy/Foreclosure in Jewish & American Law
  • When the Gelt is Gone
  • 2011
View all speaking engagements

Attorney endorsements

Received (3)
Given (2)
Endorse Carolyn
Corporate and incorporation Attorney | Mar 27
Relationship: Fellow lawyer in community
"Carolyn is highly skilled in establishing businesses for foreign investors. As a seasoned, experienced corporate attorney, she is capable of dealing with complex legal matters relating to start-up U.S. companies. I would highly recommend Carolyn for this type of legal service."
Business Attorney | Nov 16
Relationship: Fellow lawyer in community
"I strongly endorse this lawyer. Carolyn's extensive experience, impressive credentials and creative, practical approach to client concerns, make her especially well qualified to handle a wide variety of business matters, in general, and bankruptcy, as well as debtor/creditor matters, in particular."
Business Attorney | Nov 03
Relationship: Fellow lawyer in community
"Carolyn is a highly regarded and well respected attorney and I strongly recommend her for any of your business legal needs."
Land use and zoning

Avvo Contributions

This attorney hasn't created any legal answers in Q&A or legal guides recently on Avvo.

Philadelphia Securities offerings Lawyer Carolyn Hochstadter Dicker
Carolyn Hochstadter Dicker
Securities offerings Attorney
Philadelphia, PA
Licensed for 27 years
Free Consultation