Preti Flaherty's Securities Law Practice Group offers a broad complement of specialized services to each of the stakeholders in the securities industry. We have successfully represented public and private companies, governmental entities, underwriters, investors, brokers/dealers, investment banks, and emerging companies to address their needs under federal and state securities laws. The group brings the expertise of highly-skilled corporate and litigation attorneys with backgrounds both as principal and counsel in securities, capital formation, mergers and acquisitions, corporate governance and dispute resolution to offer clients cost-effective solutions.
Current trends place superior securities advice and representation in the forefront of business, financial and investing considerations: from raising capital for startup and growing businesses to private equity analysis, negotiation and investment; from compliance under the Securities Exchange Act of 1934, Sarbanes-Oxley and uncertain new hedge fund regulations to stock option grants and other corporate governance best practices; and from investor complaints to shareholder disputes.
Our Securities Law attorneys provide the following services
For Public Companies:
- Periodic Reports—10-Ks, 10-Qs, 8-Ks
- Annual Meetings-- Annual Report to Security Holders, Proxy Statements and Solicitation
- Corporate Governance—Director independence, committees, Sarbanes Oxley
- Insider Trading Policies
- Section 16 Filers—Forms 3-5, Schedules 13D and 13G
- Stock Option Plans—Form S-8, Stock Option Agreements
- Rule 144 Resales
- Press Releases—Reg FD, corporate messaging, investor relations
- Acquisitions and Dispositions
- Private Placements
Members of team: Kara Sweeney
For Private Companies:
- Capital Formation—advice on locating sources; structure; and terms of offering
- Blue-Sky Compliance
- Reg D and other federal exemptions
- Stock Options and other equity-style incentive compensation programs
- Stock Redemptions
- Shareholder Disputes
- Acquisitions and Dispositions
Members of team: John Sullivan, Kara Sweeney
Public Finance:
- Official statements for public offerings of bonds issued by states, state authorities, regional and municipal districts and authorities and other governmental entities
- Private placement memoranda for private placements of bonds issued by states, state authorities, regional and municipal districts and authorities and other governmental entities
- Continuing disclosure agreements for SEC Rule 15c2-12 compliance
- Blue sky memoranda for state blue sky law compliance
- Counsel for issuers, underwriters and purchasers
Members of team: James C. Pitney, Jr. and Bonnie L. Martinolich
For Broker/Dealers and Investment/Hedge Funds:
- Registration and exemptions
- Registered representative compliance
- Regulatory investigations
- Administrative and judicial proceedings
- Investor complaints
- Employment termination and disputes
- Arbitration and litigation
Members of team: Gregory Hansel, John Sullivan, Sigmund Schutz, and Kara Sweeney
For Investors:
- Initial Investment – Advice, negotiations, and documentation on terms of investment
- Liquidation –Advice on sale or other transfer
Members of team: John Sullivan and Kara Sweeney
- Securities violations
- Mismanagement of account
- Arbitration and litigation
Members of team: Gregory Hansel, and Sigmund Schutz
Dispute Resolution:
Our track record in resolution of securities disputes speaks for itself. We are a go-to firm in financial services disputes, securities litigation, and arbitration. Learn more here.