This Group represents companies, their directors, officers, and investors, in all matters affected by federal and state corporate, and securities laws. This includes everything from formation, going public (via IPO or reverse merger), S.E.C. reporting (1933 and 1934 Act), public and private stock offerings, mergers and acquisitions, general corporate concerns, stock option plans, employment agreements, compensation arrangements, proxy statements, and registration statements.

We represent investors, Broker-Dealers, venture capitalists, hedge funds, and other investment funds, and corporate consultants and advisors, and other business entities in various financing transactions. This Group also provides a broad range of legal services to emerging companies, from start-up funding and formation to going public and public company governance and compliance.

Our lawyers handle complex litigation matters, arbitrations, regulatory investigtions and proceedings, parallel criminal and civil proceedings, sales practices claims, employment discrimination claims, U-4 and U-5 defamation claims, unfair competition, markups and other claims of sales practive violations.  The range of proceedings includes administrative hearings, SRO disciplinary proceedings and others.

This area is relationship-driven. We are counselors, advisors and confidants to our clients. Our relationships with others (such as venture capitalists, Broker-Dealers, investment banks, accounting firms as well as our other clients) provide our clients with a network of expertise, market intelligence and access.

Contact our Corporate and Securities Group by Telephone at (516) 222-6200