Securities

The Securities Law Practice Group advises clients on a broad range of securities law matters, including transactional matters, SEC reporting and compliance and corporate governance, as well as litigation and SEC, FINRA and state enforcement proceedings.

Our Securities Law Practice Group advises client on a broad range of securities law matters including transactional matters, compliance and regulatory matters, corporate governance, and litigation and SEC, FINRA and state enforcement proceedings. The members of the practice group have extensive experience in assisting clients ranging from development stage companies to public companies and financial institutions, including broker-dealers and investment advisors.

Transactional matters

  • securities offerings (public and private)
  • mergers and acquisitions
  • tender offers (friendly and hostile)
  • going private
  • annual, quarterly and other periodic reports
  • securities ownership and transaction reports
  • proxy contests
  • venture capital and private equity

Regulatory and compliance Matters

  • SEC reporting and compliance for publicly-held companies and their officers, directors and principal shareholders
  • stock exchange listing and governance requirements
  • broker-dealer and investment advisor compliance

Corporate governance

  • board of directors and board committee structure
  • duties of officers and directors
  • code of ethics and insider trading policies
  • executive compensation
  • equity compensation plans

Litigation and Enforcement

Our litigation team has experience in representing clients both inside and outside the securities industry, in private litigation, SEC, FINRA, stock exchange and state enforcement proceedings and in arbitrations. We have represented investors who have lost money through unregistered securities, inappropriate investment recommendations from their investment advisors, unauthorized trades in their investment accounts, “churning,” and other improper actions. We have also represented individuals and companies in securities fraud litigation under Rule 10b-5 (and comparable state law).

Our lawyers have also represented companies and individuals improperly accused of improper dealings in the securities area, whether that be allegations of misstatements in their securities disclosures to investors, or improper trading conduct.