Practice Areas & Industries: Loeb & Loeb LLP


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Practice/Industry Group Overview

Practice Capabilities

Our Securities Practice Group is a recognized leader in representing issuers and underwriters in initial public offerings (IPOs), special purpose acquisition corporation (SPAC) offerings and acquisitions, private investment in public equity (PIPE) transactions, public companies and emerging growth private companies. Our deals ranged from $24 million to $300 million.


Services Available

Loeb & Loeb regularly counsels clients on purchases and sales of equity and debt securities in negotiated transactions, Rule 144A transactions and registered public offerings. The firm's diverse practice ranges from advising on venture capital financings to complex cross-border financings.

A regular part of our practice is advising clients on compliance issues under the federal securities laws. We assist clients with their public company reporting and financial statement requirements under the Exchange Act, annual report and proxy statement preparation, press releases and other public disclosure requirements, establishment and implementation of insider trading policies, share repurchase programs, stock option and other compensation plans and 10b-5(1) stock sale programs. We also counsel clients with respect to restrictions on securities trading by corporate affiliates and insiders, sales of restricted securities under Rule 144, broker/dealer regulation, going private transactions and compliance with state securities regulations and the Investment Company Act.

Our attorneys have extensive experience dealing with the Securities and Exchange Commission, the National Association of Securities Dealers, the principal U.S. and Canadian securities exchanges and the NASDAQ Stock Market. We have advised issuers and others on the growing use of the Internet to effect securities offerings and secondary market transactions. We counsel clients on the availability of exemptions from the state and federal registration process and obtain SEC no-action letters involving a broad spectrum of matters, including private placements, corporate spin-offs and intrastate transactions.

We are familiar with all of the types of debt and equity securities used in capital formation, including common and preferred stock, warrants, "tracking" stocks, bonds, notes, commercial paper, convertible securities, as well as the various means of effecting purchases and sales of securities, including underwritten public offerings, private placements, tender offers, exchange offers, rights offers and PIPEs.

Clients and Industries

Our clients are involved in a wide range of industries such as technology, media and advertising, financial services, energy and homeland security and on a broad geographic base including China, India, Israel, Latin America and Europe. Loeb & Loeb represents a full range of capital market participants including individual and institutional investors, private equity funds (including venture capitalists), issuers, underwriters, private placement agents, trustees and financial intermediaries.

Leadership in Law

The SPAC Report, DealFlow Media's news and analysis of blank check companies, ranked Loeb & Loeb #2 for the total number of SPAC IPOs the firm advised during 2007. In 2006, Loeb & Loeb tied for 1st place in the U.S. based on the number of issuer clients that consummated SPAC offerings according to IPO Vital Signs. Securities Practice Group Chair, Mitch Nussbaum, was ranked 1st as IPO Issuer Lawyer based on the number of completed IPOs for 2006 according to IPO Vital Signs Corporate Scorecard.

In addition, ranked Loeb & Loeb in 11th place in the "Top 25 PIPE Issuer Law Firms," providing counsel on seventeen deals totaling $193.44 million in 2007. Loeb & Loeb also ranked 14th place in the "Top 25 PIPE Investor Law Firms," providing counsel on eight deals totaling $40.95 million in 2007.

Practice Contact

Mitchell S. Nussbaum