Based in Miami, Florida, we serve the transactional securities and securities litigation needs of corporate America and the regulated securities industry.
We take companies public and assist them with reporting and compliance obligations.
We consult with private companies to ensure that their capital financing transactions, whether public or private securities offerings, are conducted in compliance with federal and state securities laws, prepare ppms and private placement agreements, prepare blue sky filings, draft shareholder buy-sell agreements and internal corporation documents such as bylaws and resolutions, and draft stock option and other equity incentive plans. We are prepared for the era of general solicitation of private securities offerings (Regulation D Rule 506(c)), and are prepared to assist with crowdfunding programs.
We assist broker dealers and investment advisers with registration and SEC and SRO compliance matters.
Our typical litigation matters include the defense of companies and their employees in SEC investigations and litigation and the defense of customer securities civil litigation and arbitration claims.
We also represent industry participants in the prosecution and defense of claims between securities industry member firms and associated persons.
We are hired as co-counsel by non-securities attorneys, local counsel by non-Florida-licensed law firms, and as independent counsel to serve the needs of officers, directors, and employees of organizations where their interests are served by having separate counsel.
Our nationwide and international client base includes publicly and privately held corporations, emerging and development stage companies, start up corporations, private equity firms, real estate investors and syndicators, securities broker dealers and brokers, investment advisers, and other related businesses.