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Securities Representative Experience
Our securities law experience includes:
- Advising clients on sale of public and private offer and sale of securities, including registrations, qualifications, and exemptions as governed by federal and state securities regulations.
- Representing businesses with initial public offerings, corporate equity and debt offerings, real estate syndications, investment trusts and limited partnerships.
- Representing clients in arbitration proceedings before the National Association of Securities Dealers, including claims brought by individual investors against their registered representatives and broker-dealers.
- Serving as lead counsel for financial products company in SEC enforcement action.
- Representing numerous public entities in SEC enforcement actions pertaining to municipal bond issuance disclosure requirements.
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