Our Corporate Finance & Securities Practice provides a broad range of equity and debt capital markets representation to public and private companies across many industries.  We advise startups, growing companies, investors, asset managers, and broker-dealers on the full spectrum of capital markets activities, from ongoing reporting and compliance requirements to Crowdfunding and Regulation A+ capital raises to public listings on the OTCQX, OTCQB, NASDAQ, and the New York Stock Exchange (NYSE).  Our team draws on decades of experience to offer practical insights and to execute transactions efficiently and effectively. 





Public Companies

  • Initial Public Offerings (IPOs) 
  • Principal American Liaison (PAL)
  • Domestic Advisor for Disclosure (DAD) 
  • OTCQX & OTCQB Listings
  • Mergers & Reverse Mergers
  • Registered Direct Offerings
  • Follow-On Offerings
  • 144A

Ongoing Compliance  & Reporting

  • Annual Reports (Form 10-K)
  • Quarterly Reports (Form 10-Q)
  • Current Reports (Form 8-K)
  • Board of Directors Compliance Advisory
  • Sarbanes-Oxley Act
  • Section 16 Reporting
  • Proxy Statements
  • State Filings (Corporate and Securities)
  • Foreign Private Issuer Report (Form 20-F)
  • Exchange & Market Compliance:
    •  NYSE Euronext,  NASDAQ, NYSE MKT,    OTCQX & OTCQB


JOBS Act / Reg A+ / Crowdfunding

  • Equity Crowdfunding
  • Angel Investors
  • Venture Capital
  • Emerging Growth Companies
  • Crowdfunding Portals 
  • Community & Regional Banks
  • Broker-Dealers 
  • Canada

Private Companies

  • Venture Capital Funding
  • Private Equity Funding
  • Private Placements
  • Rule 144A Placements
  • International Private Placements