Practice/Industry Group Overview
We are recognized within Upstate New York as a leader in the securities and capital markets practice. The firm has represented issuers and underwriters in more than 35 public offerings. Our clients include businesses seeking start-up capital as well as Fortune 500 companies. Our securities practitioners assist clients with private and public offerings of securities, ongoing regulatory compliance and reporting, proxy solicitations, tender offers, and securities litigation and arbitration before the Securities and Exchange Commission, self-regulatory organizations, and state and federal courts. We also represent investment bankers and underwriters in connection with fairness opinions, investment banking, and other engagements.
- Public Companies
- Private Start-Up and Growth Companies
Public and Private Transactions.
- Private placements
- Initial public offerings with the Securities and Exchange Commission
- Secondary offerings with the Securities and Exchange Commission
- Public offerings in connection with merger transactions
- Real estate syndications in New York State
- Rule 144A offerings
- WKSI offerings
- Sales of restricted stock
- Compliance with Section 16 short-swing profit provisions
Compliance and Reporting.
- Annual and quarterly reports
- Reports of insider transactions under Section 16 of the Exchange Act
- Proxy Statements and annual reports to shareholders
- Current reports on Form 8-K
- Compliance with Rule 144 resales
- 13D and 13G filings regarding beneficial ownership and possible change of control
- Schedules 13(e)(3), 13(e)(4), and 14(d) going private
- Tender offer filings
Blue Sky (State Securities) Regulation.
- Notification/registration of securities under state securities laws
- Obtaining suitable exemptions under state securities laws for securities offerings
- Representing brokers/dealers in securities litigation and arbitrations
- Reporting registration in class action securities litigation
- Representing boards in connection with compliance with major corporate events
- Representing boards in connection with Sarbanes-Oxley compliance