Our attorneys have a broad range of experience and considerable depth of knowledge regarding corporate finance.  We provide securities counsel and assist both companies and individuals in complying with the frequently complex rules and regulations under federal and state securities laws which affect the financing and capitalization of business enterprises.

We have an active practice in all phases of tax-exempt and taxable financing.  We have served in various private placement and public offering transactions as bond counsel, underwriter's counsel, lender's counsel, and counsel for the corporate obligor or real estate developer.  One of our lawyers has been selected by his colleagues for inclusion in The Best Lawyers in America.

Our securities practice covers the application of federal and state securities laws, to offerings of both debt and equity securities, including interests in limited partnerships and limited liability companies in connection with mergers, going private transactions, acquisitions, and takeovers by means of negotiated transactions, tender offers and proxy contests.

Our business clients include corporations, general and limited partnerships, limited liability companies and partnerships, investment advisors, and broker-dealers.  We advise these clients in all aspects of corporate organization and governance, including directors' and officers' fiduciary duties and liabilities, directors' indemnification, and shareholder rights and agreements.

Also see Financings & Underwritings.

We regularly address the following legal issues for our clients:

  • Acquisition financing

  • Arbitration before AAA, NASD, and NYSE panels

  • Blue Sky laws

  • Bond and note financing

  • Broker-dealer regulatory matters

  • Conduit or pass-through financing

  • Credit enhancement

  • Employee stock ownership plans 

  • Equity securities

  • Federal and state reporting and disclosure requirements

  • Government securities

  • Investment advisor regulatory matters

  • Leveraged and synthetic equipment leasing

  • Public and private investment

  • Private placement offering memoranda and syndication

  • Private purpose financing

  • Project financing

  • Public purpose financings for state agencies, counties, cities, school districts, and municipal nonprofit corporations

  • Refinance and refunding

  • Regulatory compliance

  • Secured and unsecured debt 

  • Securities Act of 1933

  • Securities class actions

  • Securities and Exchange Commission

  • Securities Exchange Act of 1934

  • Securities fraud

  • Securities litigation

  • Securities offerings or common and preferred stock

  • Securities registration and regulation

  • Shareholder suits 

  • Stock exchange requirements

  • Stock warrants and options

  • Tender offers

  • Trust Indenture Act