We advise public and private companies regarding compliance with federal and state securities laws and we assist our clients to prepare private and public offerings of equity and debt securities. Although we are not “investment bankers,” our experience enables us to advise our clients on the financial aspects of a proposed financing. In addition, we know many of the potential funding sources, including investment banks, placement agents, individual investors, and other “players” in the industry.
Our firm provides services to both issuers and placement agents in private placement offerings, including the preparation of offering documents for offerings exempt from registration under the Securities Act of 1933. We also represent clients in matters involving “blue sky” compliance. We have significant experience representing placement agents and funds in the design and implementation of PIPES and equity lines of credit. We prepare and review periodic reports required to be filed by public companies under the Securities and Exchange Act of 1934 and advise our public company clients regarding compliance issues involving Sarbanes Oxley.
We have assisted several companies to become public, reporting companies without the expenses and delays associated with initial public offerings, by facilitating reverse mergers with public companies.
- prepare private placements of debt and equity securities
- prepare registered offerings of debt and equity securities
- prepare 34 Act reports
- negotiate and document PIPE financings