Securities Practice

Our securities practice is principally comprised of corporate attorneys who have considerable experience in matters involving federal and state securities laws. The practice encompasses the entire spectrum of securities matters, including public and private securities offerings, mergers and acquisitions, going-private transactions, PIPES, IPO’s, crowd funding and the JOBS Act, broker-dealers, hedge funds and other financial institutions.

In addition to securities offerings, our practice encompasses the continuing disclosure and compliance issues of a public company. Our attorneys routinely provide counsel to clients in connection with the preparation and electronic filing of various periodic reports with the Securities and Exchange Commission under the Securities Exchange Act of 1934.

Our attorneys advise officers, directors and insiders on compliance with various regulatory issues, including Rule 144 promulgated under the Securities Act of 1933 and Section 16 of the 1934 Act, as well as compliance issues with state regulatory agencies.

We have represented issuers, underwriters, investors, financial institutions, accounting firms, Boards of Directors, special committees of the Board, participants in competitive bidding situations and a range of other parties involved in what are frequently complex transactions with multiple layers of interests both in the US and abroad.