Corporate & Securities

We understand that our clients tackle various legal and business challenges as they move through the different stages of their business cycle and many commonly find themselves only engaging counsel here and there on a task-by-task basis. The scope of services available to clients seeking general corporate and securities guidance includes:

Outsourced General Counsel

Formation and Corporate Structuring

Legal Matter Coordination

Operating & Employment Agreements 

Corporate Governance

General Contract Negotiations

Non-Disclosure Agreements

Consulting & Services Agreements

Strategic Planning & On-site Availability

Financial Services 

Today the financial services industry is faced with a regulatory environment that is rapidly changing, from the impact of the upcoming implementation of Regulation BI to the absorption of guidance published by regulatory agencies.  Our attorneys

are committed to anticipating these changes and helping firms adapt their programs.  Our Financial Services practice is

committed to:

  • Broker Dealers

  • Registered Investment Advisers

  • Mutual Funds

  • Cybersecurity

  • Privacy

  • FINRA and SEC Examinations and Inquiries

Private Capital

The federal securities laws provide a number of methods for companies to entities looking for the

opportunity to invest in start-ups or act as angel investors. Our Private Capital practice focuses on: 

  • Private Equity

  • Private Investment Funds and Offering Documents

  • Venture Capital and Early Stage Funding 

  • Due Diligence

Project & Public Finance

Our firm has significant experience in new money transactions, refundings, remarketings, tenders, defeasances, defaults, restructurings, bifurcations and exchanges, in various market sectors, including but not limited to, higher education, special

districts, healthcare, airports, general government, water utilities, electric utilities, gas utilities, K-12 schools, toll roads and

bridges, and public private partnerships. Within our Project and Public Finance practice our firm serves as:

  • Bank's Counsel

  • Bond Counsel

  • Borrower's Counsel

  • Disclosure Counsel

  • Issuer's Counsel

  • Trustee's Counsel  

  • Underwriter's Counsel