Private Placement

In connection with a private placement of securities, we prepare the private placement memorandum (“PPM”) to be delivered to qualified prospective investors and all other legal documents relating to the private placement, including “accredited investor” questionnaires and subscription agreements.

Registered Public Offerings

In connection with a registered public offering of securities, we prepare the initial public offering documents, such as the Form S-1 Registration Statement (the “Registration Statement”), and interface with the SEC through its review process until the SEC declares the Registration Statement effective.

Venture Capital Transactions

We provide legal advice and services in connection with all aspects of venture capital transactions (on both the company side and the investor side).

Securities Regulation

We provide legal services to clients to assist with their ongoing compliance with applicable federal and state securities laws and regulations, including the Securities Exchange Act of 1934, as amended (the “Exchange Act”).

LATEST NEWS

Effective Communication with the SEC Staff during Wells Meetings Steven Piekin, Co-Director of the Division…

SEC Charges Hedge Fund Advisor for Inflating Fund Performance SEC Charges Hedge Fund Adviser with…

Raising Capital from Investors without Violating SEC Rules Many companies raising capital from investors unintentionally…

SEC Calls Online Advertisements known as “Ad Packs” an Illegal Ponzi Scheme If you are…

Rick A. Fleming, Investor Advocate U.S. Securities and Exchange Commission[1] Keynote Address, University of Maryland, Robert H….

Chair Mary Jo White New York University School of Law Program on Corporate Compliance and…

Chair Mary Jo White The Economic Club of New York Jan. 17, 2017 Thank you,…

Rick A. Fleming, Investor Advocate NASAA 2017 Public Policy Conference Washington, D.C. May 9, 2017…

FOR IMMEDIATE RELEASE 2017-112 Washington D.C., June 5, 2017— The Securities and Exchange Commission today…

FOR IMMEDIATE RELEASE 2017-102 Washington D.C., May 15, 2017— The Securities and Exchange Commission today…

MEET OUR ATTORNEY GILBERT BRADSHAW

Gil BradshawGil Bradshaw, a member in good standing of the New York State Bar, is a corporate and transactional attorney with experience on both the lender/underwriter side and on the company side.  Mr. Bradshaw is also a member of the Business Law Section of the New York State Bar Association and the American Bar Association. Read More…

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