Securities

Overview

The firm provides a broad range of advice on securities to broker-dealers, private equity and venture capital partnerships, investment partnerships, national banks, oil and gas exploration and production companies, and registered investment advisors.

We prepare disclosure and corporate documents, handle contract and regulatory filings, interpret federal and state securities laws and represent clients before FINRA, the SEC, and various state commissioners of securities.  We also represent clients in connection with related criminal proceedings in state and federal courts.

We have special expertise with regard to investment advisers.  Our practice includes investment advisor and investment company regulations.  We prepare initial and annual filings, compliance manuals, contracts and related filings.  We also conduct compliance audits and reviews.  

Our securities practice includes matters relating to mergers and acquisitions, broker fiduciary and suitability issues, fiduciary and trust issues, corporate trust and indentures, private placements, FINRA regulations and requirements and public filings.  Sample engagements include:

  • Represented investment advisor in connection with negotiated consent decree with SEC (2015-16).
  • Represented private equity group in $3.25 million debt and equity investment in oil field service company (2014).
  • Represent non-profit, religious issuer in connection with registration and sale of securities (2011- present).
  • Represented private equity group in $12.5 million debt and equity investment in oil field service company (3 rounds) (2014, 2015 and 2017).
  • Representing E&P company in syndication of two oil and gas partnership ($10 million and $5 million, respectively) (2011 and 2012).
  • Advised UK promoter on syndication of U.S. oil and gas investments, including advice on Regulation S (2014).
  • Represented E&P Company in negotiation, restructuring and refinancing of its private equity investment agreements (2012).