Capital Markets & Securities

The attorneys in the firm’s Capital Markets and Securities practice group have extensive experience with assisting our clients in all aspects of raising capital for their business or project and compliance with federal and state securities laws. We assist investment advisors, start-up entities, established companies, issuers and individuals in a variety of capital market transactions. Our attorneys also advise individuals investors as they seek to invest in SAFEs, family and friends financing rounds and other financing and capital instruments to expand their personal investment portfolio. Our attorneys have extensive experience in raising capital for various real estate projects, including acquisitions and development of multi-family, retail, and hotels and resorts.

We also routinely provide proactive assistance and practical solutions to our clients in regards to ongoing regulatory matters, including issues arising under the Securities Act of 1933, the Securities Exchange Act of 1934, Sarbanes-Oxley, NSMIA, the Dodd-Frank Wall Street Reform and Consumer Protection Act, the Investment Advisors Act of 1940, the Investment Company Act of 1940, the Trust Indenture Act of 1939, the Commodity Futures Modernization Act of 2000, FINRA and U.S. stock exchange rules and regulations, as well as matters arising under state (“blue sky”) securities laws and regulations.

Our Capital Markets and Securities practice group is committed to helping our clients find the best way for them to successfully raise capital and reach their long term business objectives.