Private and public securities offerings of equity and debt securities in the U.S. and abroad.
- Venture capital
- Commercial Bank Financing
- Private Placements
SECURITIES REGULATORY COMPLIANCE
Representation of public companies, broker-dealers and investment advisors.
- Securities Act of 1933
- Securities Exchange Act of 1934
- Investment Company Act, 1940
- Investment Advisers Act of 1940
- NYSE, NASDAQ, AMEX, OTCBB
Securities investigations and white collar criminal matters.
- SEC, DOC, FINRA investigations
- Securities and white collar criminal matters
- Internal investigations
Prosecution and defense of civil litigation involving complex securities and corporate law issues.
- Class Action Litigation under Federal and State Securities Laws
- Shareholder derivative suits
- Majority and minority disputes over corporate control
- Proxy contest litigation
- Broker-Dealer and Investment Adviser litigation
- Market manipulation
Public and private mergers and acquisitions transactions and other dispositions.
- Stock and asset sales and purchases
Formation of private equity funds, hedge funds, buy-out funds and SBICs.
Formation of new business entities, including corporations, LLCs, limited partnerships, and early-stage counseling.
- Seed capital financing
- stock option plans
- licensing agreements
- employment agreements