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.
