Description
 

Securities Attorneys

Our lawyers have also represented issuers and underwriters in connection with raising in excess of $3 billion in investment capital.  Securities Projects have included state and local bond offerings, initial public offerings, periodic reporting documentation, going private transactions, mergers and acquisitions, private placements and venture capital.  We have assisted state and local governments in public/private partnership transactions and in developing disclosure standards for economic development programs.

The securities practice group is national in scope and our clients include both national and regional firms.  We have appeared in federal and state courts and in arbitration proceedings across the country.  Our highly skilled lawyers are experienced in practicing before the self-regulatory organizations empowered to hear securities industry matters.  We have a thorough understanding of the complicated documentation required to present or defend these cases.  With a detailed understanding of sophisticated trading products and strategies, our securities industry group enjoys an excellent reputation for producing positive results for our securities clients.  We offer the strength of a national practice with the benefit of personalized service.

     
Our Securities team:
     
Dennis J. Concilla   Andrew J. Federico
Ryan G. Eastham   Michael A. Smith
Matthew S. Brown    

Our securities practice group has substantial experience in counseling investment advisors, issuers, firms and individual representatives in matters relating to licensing, registration, disciplinary inquiries and arbitrations.  We have had extensive experience with the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act of 1940, the Investment Advisors Act of 1940, and state securities laws.

 

 

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