Securities & Investment

Broker-Dealers & Investment AdvisorsIndividual InvestorsArbitration & LitigationState & Federal Regulatory LawPrivate Offerings

Securities & Investment

Financing structures involving shares, warrants, convertible debt securities, limited partnership units, membership interests, and other securities or instruments; preparation of offering documents, including prospectuses, public and private equity and debt financings; consulting to help clients access capital.

Securities regulatory compliance including continuous disclosure, corporate governance, directors’ and offers’ duties and liabilities, and assisting companies of all sizes with SEC and State Attorney General compliance.

Shareholder rights and shareholder disputes.

We represent issuers (corporations, limited liability companies, trusts, partnerships, and investment funds), directors, officers, consultants, shareholders, brokerage firms, and industry service providers.