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Securities

The attorneys in the Securities Group counsel clients in all aspects of federal and state securities laws and regulations. We assist clients in the raising of capital in the public and private markets, including the preparation of prospectuses and private offering documents required in connection with the public and private sale of securities. In addition, we advise clients regarding ongoing compliance with the rules of the Securities and Exchange Commission, including compliance with the Sarbanes-Oxley Act, as well as state securities bureaus and stock exchanges. This includes the preparation and review of periodic reports required to be filed by public issuers of securities, such as forms 10-K, 10-Q and 8-K. We also assist clients in the preparation of proxy materials for shareholder meetings and, in that capacity, provide clients guidance on applicable disclosure of executive and director compensation and corporate governance.

Our attorneys are experienced in working within the extensive body of laws and regulations governing complex corporate and securities transactions. Our goal is to assure that our clients are in compliance with these laws both in connection with a particular transaction and on an ongoing basis.

We are qualified to provide a broad, diversified range of legal services to the publicly and privately held business client. These services include assisting client on the following types of matters:

  • Initial and secondary public offerings of equity and debt securities, including offerings underwritten by major investment banking firms.
  • Private offerings of equity and debt securities, including venture capital financings.
  • Mergers and acquisitions involving the issuance of registered or unregistered securities.
  • Compliance with the reporting and other requirements of the federal and state securities laws and stock exchanges.

Doing business in this era is challenging regardless of whether the client is an established public company or a privately held business looking to raise capital through the issuance of securities or otherwise access the public markets. Our attorneys are prepared to work with business organizations of all types and sizes, regardless of the industry in which they compete, or where they are located. We often work around the clock to meet a client's goals.

Giordano, Halleran & Ciesla, P.C. | Middletown, NJ | Trenton, NJ | www.ghclaw.com | 1-800-842-1LAW