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, NASDAQ, LSE Main Market and AIM together with Aquis Growth Market, our U.S. and U.K. 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. In the U.K., our practice includes advising on MAR issues and public takeovers. Our lawyers 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 the U.S. Sarbanes-Oxley Act. Our lawyers also represent private companies with respect to raising capital in compliance with federal and state securities laws as well as U.K. securities laws. 

Our lawyers stay abreast of developments at the Securities and Exchange Commission (SEC), the U.K. Financial Conduct Authority, 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 stock exchanges and FINRA.

Our extensive transactional experience also extends to:

  • Convertible debt issuances and hybrid security offerings
  • Common stock registration and offerings
  • Secured note offerings
  • Trust preferred securities issuances
  • Negotiated and hostile tender offers
  • Mergers and other acquisition transactions
  • SEC and state regulatory compliance
  • Private placements of securities, PIPEs and venture capital investments
  • Investment funds transactions
  • Demergers, spinoffs and business combinations
  • Public equity offerings including initial public offerings (IPOs) and secondary fundraisings
Contact Us
  • Worldwide
  • Boston, MA
  • Chicago, IL
  • Denver, CO
  • Dublin, Ireland
  • Edwardsville, IL
  • Jefferson City, MO
  • Kansas City, MO
  • Las Vegas, NV
  • London, England
  • Miami, FL
  • New York, NY
  • Orange County, CA
  • Philadelphia, PA
  • Princeton, NJ
  • Salt Lake City, UT
  • St. Louis, MO
  • Washington, D.C.
  • Wilmington, DE
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Boston, MA
800 Boylston St.
30th Floor
Boston, MA 02199
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Boston, Massachusetts
Chicago, IL
100 North Riverside Plaza
Suite 1500
Chicago, IL 60606-1520
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Chicago, Illinois
Denver, CO
4643 S. Ulster St.
Suite 800
Denver, CO 80237
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Denver, Colorado
Dublin, Ireland
Fitzwilliam Hall, Fitzwilliam Place
Dublin 2, Ireland
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Edwardsville, IL
115 N. Second St.
Edwardsville, IL 62025
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Edwardsville, Illinois
Jefferson City, MO
101 E. High St.
First Floor
Jefferson City, MO 65101
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Jefferson City, Missouri
Kansas City, MO
2345 Grand Blvd.
Suite 1500
Kansas City, MO 64108
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Kansas City, Missouri
Las Vegas, NV
7160 Rafael Rivera Way
Suite 320
Las Vegas, NV 89113
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Las Vegas, Nevada
London, England
Royal College of Surgeons of England
38-43 Lincoln’s Inn Fields
London, WC2A 3PE
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Miami, FL
355 Alhambra Circle
Suite 1200
Coral Gables, FL 33134
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New York, NY
7 Times Square, 44th Floor
New York, NY 10036
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Orange County, CA
19800 MacArthur Boulevard
Suite 300
Irvine, CA 92612
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Philadelphia, PA
2005 Market Street
29th Floor, One Commerce Square
Philadelphia, PA 19103
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Philadelphia, Pennsylvania
Princeton, NJ
100 Overlook Center
Second Floor
Princeton, NJ 08540
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Princeton, New Jersey
Salt Lake City, UT
222 South Main St.
Suite 1830
Salt Lake City, UT 84101
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Salt Lake City, Utah
St. Louis, MO
7700 Forsyth Blvd.
Suite 1800
St. Louis, MO 63105
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St. Louis, Missouri
Washington, D.C.
1717 Pennsylvania Avenue NW
Suite 400
Washington, DC 20006
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Wilmington, DE
1007 North Market Street
Wilmington, DE 19801
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Wilmington, Delaware