 |
 |
|
|
|
|
|
|
 |
|
Offerings and Filings We represent issuers and broker/dealers in private placement offerings. We prepare offering documents and placement; underwriting agreements. We assist investment funds and individuals in the filing of ownership reports, including Schedule 13Ds, and Forms 3, 4 and 5. We represent issuers, broker/dealers, investment advisers and registered representatives in applications and filings with the SEC, the NASD and state securities agencies. Broker/Dealer We represent broker/dealers in all aspects of their business, including forming and registering firm, preparing or reviewing clearing agreements, and regulatory compliance. Investment Advisers We represent investment advisers in all aspects of their business, including forming or registering a firm and preparing investment advisory contracts. Regulatory Defense Our regulatory experience helps us provide effective representation to clients in investigations and enforcement proceedings conducted by the SEC, the NASD, and state securities agencies and in enforcement or delisting proceedings before national securities exchanges. Securities Industry Litigation Our in-depth understanding of the securities industry helps us provide effective representation in litigation or arbitration related to securities. We represent individuals and brokerage firms in employment, competition and similar claims. Our industry experience enables us to promote our clients' objectives while resolving the issues in a cost-efficient and expedient manner. Business and Corporate Representation We anticipate the impact of state and federal securities laws in our representation of our clients. We provide general and specialized corporate advice on business or strategic issues that might arise with our private and public clients. The scope of this practice includes formation and structure of companies, planning with respect to financing of business operations and growth, buying and selling businesses, merging and consolidating businesses, investor communications and business plan review and advice.
Secore & Waller, L.L.P.
Home //
Firm Overview //
Securities Law Practice The information you obtain at this site is not, nor is it intended to be, legal advice. You should consult an attorney for individual advice regarding your own situation. Copyright © by Secore & Waller. All rights reserved. You may reproduce materials available at this site for your own personal use and for non-commercial distribution. All copies must include this copyright statement. |
