Securities & Venture Capital
We are skilled at handling a wide variety of securities matters, including private placements, venture capital financing, employee stock option plans, public offerings, disclosure filings, securities litigation and arbitrations and regulatory enforcement actions. Our extensive experience includes compliance with the Securities Act of 1933 and Securities Exchange Act of 1934 and all applicable blue sky laws of the fifty states. We regularly devise and implement incentive and non-statutory stock or other equity option plans, bonus programs, appreciation rights and phantom stock.
Our attorneys represent a variety of companies, including large Wall Street firms, in state and federal court, before the National Association of Securities Dealers, before the New York Stock Exchange, and in other forums. We have assisted a company and a bank in their initial public offerings and have experience developing ESOPs. We represent clients in a broad range of securities matters, from those involving allegations of deceptive practices under Section 10b-5, to those alleging improper trading by a broker-dealer, to derivative class actions. Our depth of experience in these various forums helps us better understand our clients’ procedural and strategic needs so that we may assist them in achieving their goals.
We also help institutional investors support entrepreneurship and private enterprise through private placement transactions. Our clients include established, accredited investors such as insurance companies, pension funds, mezzanine funds, stock funds and trusts. We help them structure capital investments through a broad range of private-placement vehicles.