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Securities and Regulatory Matters

We work with publicly traded companies and investors to prepare required SEC filings under the Securities Exchange Act of 1934, and we guide businesses on compliance with securities, employment, tax, health, and safety laws and regulations.

Our lawyers also advise clients on whether specific business practices comply with applicable laws and regulations.

  • Formation of a hedge fund for acquisition and disposition of fine arts.
  • Represented a publicly traded company in the private placement of common stock.
  • Represented a placement agent in connection with an $11 million private placement of convertible debt and warrants to investors.
  • Represented a subsidiary of a not-for-profit corporation in the private placement of preferred stock.
  • Represented a publicly held computer technology company in stock-for-stock merger with another public company, including filing of joint proxy statement/prospectus with SEC.
  • Strategic advice and implementation of $100 million U.S. oil and gas company strategy for converting stock deregistered in the U.S. to stock trading on a European exchange.
  • Coordination and execution of U.S. and Swiss corporate and securities advice in connection with a multi-million-dollar telecommunications U.S. public company strategy for “going dark” in the U.S. and redomicilation in Switzerland as a private company.
  • International securities and corporate representation for a reverse merger resulting in a needed capital raise. Handled subsequent SEC compliance and filings for a Swiss hardware distribution company.
  • Corporate representation and securities compliance for U.S. public company and its Swiss subsidiary solar panel manufacturer and implementation of “going dark” strategy to decrease U.S. securities law compliance requirements.
  • Negotiated 20 derivatives, repurchase, securities forward, and securities lending master agreements over the past 18 months on behalf of both borrowers and the capital markets group of a New York financial institution.
  • Represented a major foreign financial institution's U.S. subsidiary in a matter involving the negotiation and preparation of securities lending and purchase agreements.
  • Advised a U.S. issuer with offshore operations in connection with dissolution and liquidation under federal and state securities laws.