Securities and corporate finance are vulnerable to perhaps the most significant risk and reward in today’s legal environment. Because of this, it’s more critical than ever to partner with sophisticated counsel who understands not only what investors are looking for, but also the various regulatory challenges such transactions present.

Whether facing a difficult public disclosure question or raising capital to fund growth, our securities and corporate finance lawyers are committed to providing innovative solutions to complex financing challenges with targeted, unique objectives.

Having represented many public companies listed on the NYSE and NASDAQ our lawyers are dedicated to learning each client’s business and industry and implementing lessons learned from decades of practical experience. We represent both issuers and underwriters in publicly registered and exempt securities offerings, including initial public offerings (IPOs), “reverse” mergers, exchange offers and going private transactions. Our attorneys are also well-versed in the traditional transactional and disclosure challenges that can arise during IPOs, recapitalizations, acquisitions and divestitures, and private equity placements.

We represent public companies in matters relating to reporting, proxy and other requirements of the Securities Act of 1933 and Securities Exchange Act of 1934. Further, we advise officers, directors and other affiliates concerning reporting and compliance issues relating to their holdings of securities and related transactions, including compliance with Sarbanes-Oxley. Our attorneys also represent private companies with respect to raising capital in compliance with federal and state securities laws.

Our lawyers stay abreast of developments at the Securities and Exchange Commission (SEC), stock exchanges, and state-level securities commissions to ensure clients are apprised of how new or changing requirements might affect their business.

Further, our securities litigators have in-depth experience with arbitrations, investigations and compliance proceedings brought by the SEC, state securities regulators, NASDAQ and other exchanges.

Our extensive transactional experience also extends to:

  • Convertible debt issuances
  • Common stock registration and offerings
  • Secured note offerings
  • Trust preferred securities issuances
  • Negotiated and hostile tender offers
  • Mergers and other acquisition transactions
  • SEC, National Association of Securities Dealers (NASD) and state regulatory compliance
  • Private placements of securities
  • Investment funds transactions