The firm provides services in a host of securities law matters, including the following:
Advising clients on securities law compliance for private offerings to raise capital, including Regulation D, Regulation A+ and Regulation S offerings, Rule 144A and PIPE transactions, as well as blue sky law compliance for such offerings.
Advising companies in the process of becoming publicly traded, including regulatory compliance and drafting securities filings for clients such as registration statements
Representing clients in securities law compliance while publicly traded, including advisement on permissible representations, and drafting quarterly and annual reports and all other required disclosures, notices or filings.
Representing clients in mergers and acquisitions and necessary securities filings for same.
Representing private equity clients in all phases of operation, including formation, identification of appropriate targets, management of portfolio companies and engineering a successful exit.
Representing registered investment advisers in formation and registration, as well as regulatory compliance.
Representing clients in securities investigations and enforcement matters, including SEC investigations and enforcement actions and FINRA inquiries.