Securities

Our attorneys represent clients in a broad range of trade regulation and securities matters, including franchising and distribution agreements, mergers and acquisitions, pre-merger notification requirements, pricing, and marketing, trade association activities, purchase and supply agreements, licensing agreements, antitrust compliance programs, and preparation of proxy materials and other SEC and state disclosure documentation.

We assist business clients by developing compliance strategies, including drafting and preparing private placement memorandums, offering circulars, and other disclosure documents. We also ensure compliance with federal and state “blue sky” securities laws by ensuring appropriate filings and notices are made at both the state and federal level.

Our attorneys also help businesses raise investment money. While these services often assist the start-up company, we regularly counsel mature businesses seeking to raise investment dollars. We often serve as general counsel in negotiations with investors, including venture capitalists, private equity funds, private investors, and friends and family investors. Business finance and investment transactions can take many forms, including public offerings, private offerings, crowdfunding, and special purpose vehicles (SPVs).

Offerings can be structured in many different ways, such as equity securities, debt securities, alternative securities, convertible promissory notes, and/or simple agreements for future equity (SAFEs).

We also help venture capitalists, private equity investors, high net worth individuals, and other investors deploy their capital in a wide variety of transactions.