Securities

Experience

We represent issuers and underwriters in a broad range of corporate securities and municipal bond transactions, including public offerings, institutional private placements of securities, and securitizations. We help clients comply with SEC rules affecting reporting companies and their insiders, periodic reporting obligations and other issues concerning public statements, stock exchange listing requirements, and proxy solicitation rules.

We also represent broker-dealer firms, investment advisors, hedge funds, and commodities pools in connection with formation, regulatory compliance, acquisition, sale, and other matters.

Representative Matters

• Represented a Nassau County financial services company in its initial public offering and NASDAQ listing.
• Represented DA Davidson as distribution agent in an ATM offering for a Pennsylvania company.
• Represented Performance Trust Group as placement agent in numerous private placements of debt.
• Assisted in the formation of a real estate fund having both U.S. and international investors.
• Advised on American securities and business law in connection with the establishment of an international company with over $5 billion in assets.
• Represented the placement agent in the placement and sale of over $1 billion of asset-backed securities, securitizing credit card, auto loan, medical and lease receivables and other contract rights.
• Advised foreign companies on U.S. securities law, listing on the U.S. stock exchanges and the establishment of alternative dispute resolution programs.
• Represented biotechnology mutual funds in private equity investments in publicly traded entities.
• Advised an equipment manufacturer headquartered in Europe, with operations in the United States, on the sale of its stock.
• Counseled the underwriter of $250 million first mortgage bonds issued by a public utility.
• Acted as United States counsel to a multinational mining and metals company in the acquisition of $350 million of secured export notes issued by a Brazilian mining company.