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Securities Capabilities

Every business needs advice on buying and selling securities, whether it relates to issuing their own shares, acquiring the shares of another company or obtaining financing from non-traditional lenders.

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Every business needs advice on buying and selling securities, whether it relates to issuing their own shares, acquiring the shares of another company, or obtaining financing from non-traditional lenders.

How We Help

We help our business clients comply with state and federal securities laws in a variety of securities transactions. Our clients are typically privately-held companies and individuals in connection with private placement transactions. Private placements have their own regulatory requirements; we work with clients to ensure compliance with all state and federal exemptions and registration requirements.

We have helped issue securities to:

  • Accredited and non-accredited investors.
  • Institutional investors.
  • Angel investors and venture capitalists.

We guide companies through:

  • Strategic business and legal compliance planning and documentation.
  • Government filings.
  • Monitoring requirements to maintain exemptions from registration of those securities.
  • Preparation of private placement memoranda.
  • Litigation.

Drawing on the expertise of attorneys in other firm practices, we advise our clients about:

  • The relationship of employee benefit plans and securities laws.
  • Stock option plans.
  • Stock appreciation rights plans.
  • Employee stock ownership plans.

Securities Representative Experience:

  • Represented the Commonwealth in civil proceedings relating to securities and investment fraud.
  • Resolved and dismissed various fraud and contract related claims in federal court pertaining to a client’s offer of securities to investors in the automotive industry.
  • Represented the United States in civil and criminal proceedings to recover in excess of $100 million traceable to corporate and securities fraud scheme.
  • Defense of multi-level marketer of anti-aging medicines and nutritional supplements in securities fraud claim by investors resulting in dismissal of all claims.
  • Advise publicly traded companies on Securities Exchange Commission (SEC) regulatory and enforcement matters, analyze the company’s compliance procedures, navigate the SEC subpoena process, conduct internal investigations, and develop strategic responses to SEC inquiries.
  • Represented a start-up company in an highly regulated emerging market with $5,000,000 private placement offering.

Serving our clients successfully since 1900

The same attributes that have anchored over a century of success are still our guiding principles today.

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