Securities

Our lawyers have experience in representing public corporations and other publically registered entities, as well as directors of public corporations. Our securities practice includes 1933 Act work (public and private offerings) and 1934 Act filings (e.g. annual and quarterly reports, proxy statements, 8K and 13D filings). Our lawyers have extensive experience in Rule 144 issues, taking a company private, actions involving exchanges, and regulatory matters (e.g. Section 16 insider trading issues and FINRA matters).

Representative Experience

  • Preparation of Private Placement Memorandums under Rule 506(b) and 506(c) of Regulation D for large real estate related apartment projects that qualify for exemptions from the Securities Act of 1933.
  • Dealing with the Securities and Exchange Commission upon allegations of improper actions in connection with the raising of capital and receiving a no-action letter closing the matter.
  • Handling of claims of breaches of securities laws associated with the selling of securities in Regulation D exemption situation.
  • Handling of accusations of insider trading claims.
Locations

Houston

9 Greenway Plaza, Ste. 1100
Houston, Texas 77046
Phone: 713.651.0111
Fax: 713.651.0220
Toll Free: 800.535.2701

Dallas

14755 Preston Road
Suite 600
Dallas, Texas 75254
Phone: 972.788.1600
Fax: 972.702.0662

Austin

901 South Mopac Expressway
Bldg. 1, Ste. 500
Austin, Texas 78746
Phone: 512.469.7987
Fax: 512.469.9408
Toll Free: 855.679.6763

 

San Antonio

1020 Northeast Loop 410, Ste. 800
San Antonio, Texas 78209
Phone: 210.224.7098
Fax: 210.212.5698
Toll Free: 800.862.5079

New Orleans

365 Canal Street, Ste. 800
New Orleans, Louisiana 70130
Phone: 504.299.3070
Fax: 504.299.3071
Toll Free: 888.435.8214

Cincinnati

PNC Center
201 E. 5th Street
Suite 1810
Cincinnati, OH 45202