Securities & Finance

Our securities practice group provides practical advice on a broad spectrum of securities laws and regulations, including SEC disclosure and compliance, stock exchange listing and compliance, and private placements. We represent issuers, underwriters, venture capitalists, lenders, private equity funds, mutual funds, hedge funds, and other investors in public and private offerings of debt, equity and asset-based securities.

We are more experienced, and have a deeper bench, than firms of comparable size. This gives our clients access to agile legal minds able to anticipate developments and design strategies for each legal challenge, without limit. Regardless of a company’s size or industry, or the size of the deal, our securities practice group brings extensive knowledge of securities laws, reporting and compliance, and expert handling in complex and nuanced deals, to help clients achieve their goals.

In working with the securities practice, clients gain access to the full complement of attorneys at Jones & Keller for end-to-end legal solutions. Our securities attorneys focusing on the transactional side of a business work closely with our finance, employment, regulatory, tax and other practice areas to ensure comprehensive and seamless service. Differing perspectives ensures our clients receive proven and emerging strategies and structures.

We advise our clients on a broad range of corporate and securities matters, including:

  • Going private transactions
  • Management buy-outs
  • Anti-takeover defenses
  • Fiduciary duties of management
  • Tender offers
  • Stock repurchase programs
  • Corporate recapitalizations
  • Stock exchange and self-regulatory organization listing and compliance programs
  • Structuring of stock, debt and partnership or LLC interest offerings
  • Partnership roll-ups
  • Employee stock ownership plans
  • Voting trusts
  • Dividend and stock splits
  • Dissolution and liquidation of entities
  • Private Placements
  • Initial Public Offerings
  • Mutual Fund Representation
  • Securities Filings and Continuous Reporting
  • Asset securitization
  • Project finance