Securities

The broad legal and business backgrounds of our Securities Team attorneys provide the experience needed to anticipate and solve both the legal and the practical problems that are an inevitable part of securities issues. From start-ups and emerging businesses to exchange-listed companies and state agencies, we regularly represent diverse industries regarding SEC and state securities matters.

Services offered include matters relating to corporate initial and subsequent public offerings, registration exemptions, underwriter selection, broker-dealer and investment advisor registration and compliance, disclosure requirements, corporate governance and anti -takeover provisions, tax consequences, SEC reporting requirements and compliance, and proxy statements and solicitations.

We act as general counsel to public companies, as well as acting as special counsel for specific projects such as public offerings, proxy contests, equity and debt placements, mergers and acquisitions, and shareholder derivative claims. Additionally, we have extensive experience litigating securities disputes in state and federal courts and before arbitrators.

Representative experience includes:

• Providing securities advice on a regular basis to one of America’s largest mutual funds
• Serving as bond counsel for the Arkansas Development Finance Authority on a wide variety of tax-exempt industrial bond issues
• Serving as bond counsel for the largest tax-exempt general obligation bond issue in Arkansas history
• Serving as underwriter’s counsel on a variety of financings

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