A boutique firm with a breadth of knowledge

Securities Regulation

Growing businesses need access to capital, and Federal and state laws regulate the methods by which companies can raise capital. By initially addressing the complexities of the legal requirements, companies can focus on the more important matters – the business terms.

Offshore Transactions

International transactions are becoming more frequent as the business world shrinks. Companies that once thought of themselves as U.S. centric are now conducting international transactions on an ever-increasing basis.

Mergers and Acquisitions

Often, corporate growth is enhanced through the acquisition of another existing business. The keys to success in the M&A world is knowledge and organization.

Initial Public Offerings

Whether on Nasdaq or the New York Stock Exchange, an initial public offering is a complicated process, but a process that is a sign of business success.

Investment Adviser Regulation

In recent years, investment adviser regulation has become more important as regulators have eliminated many exemptions from registration. Investment advisers are now an essential part of many investment and hedge fund structures.

Investment Fund Regulation

Investment funds have traditionally enjoyed broad exemption from virtually all Federal and state securities laws. Those days are over, and the overlap between investment fund regulation and investment adviser registration is here to stay.

Secondary Offerings

Following an IPO, companies still need access to public markets for additional funding. Fortunately, Federal and state laws streamline this process for qualifying companies that meet certain reporting obligations.

Private Placements

Public and private companies can raise funds through private placements of securities. The cost of such offerings is dependent upon legal structure. If companies are willing to adhere to strict limits, government oversight can be constrained.

General Corporate Representation

All companies require additional assistance for matters outside of transactional and/or securities arenas.

Municipal Finance

Local governments require cost effective expertise to help build the infrastructure that provides people with the services needed to establish and maintain successful communities. For projects encompassing schools, roads water and sewer infrastructure, and courthouses and other government buildings, we offer legal expertise tailored to the financing of projects through the issue of municipal bonds, certificates of participation, bond anticipation notes, and other debt obligations.