At Kurzman Eisenberg, our securities attorneys provide strategic counsel to issuers, investment banks, and financial institutions navigating the complexities of public and private securities transactions. With deep expertise in capital markets, regulatory compliance, and alternative financing structures, our corporate finance lawyers help clients successfully raise capital, execute securities offerings, and maintain compliance with SEC and FINRA regulations.
Whether guiding startups through initial public offerings (IPOs), advising on private placements, or ensuring compliance with evolving securities laws, our firm delivers sophisticated, results-driven legal solutions to protect and advance our clients’ financial interests.
We Offer Comprehensive Securities Representation
We advise clients in a full range of securities matters, including:
- Public Offerings – Representing issuers and investment banks in IPOs and secondary offerings.
- Private Placements – Structuring and executing exempt offerings under Rule 144, Rule 144A, Regulation D, and Regulation A.
- Debt & Equity Offerings – Handling transactions involving common stock, preferred stock, debentures, convertible debentures, and warrants.
- Alternative Financing Structures – Assisting clients with reverse mergers, PIPEs (Private Investment in Public Equity), and registered direct offerings.
Our firm works with businesses at all stages of development, from startups and growth-stage companies to publicly traded corporations, tailoring financing strategies that align with their goals.
We Ensure SEC & Regulatory Compliance
Navigating securities regulations is essential for companies operating in public markets. We provide ongoing counsel on:
- Securities Exchange Act Compliance – Assisting public companies in meeting SEC reporting obligations under the Securities Exchange Act of 1934.
- Stock Exchange Regulations – Ensuring compliance with the rules of major stock exchanges, including the NYSE and NASDAQ.
- FINRA Compliance – Advising investment banking clients on regulatory requirements set by FINRA.
- Regulatory Filings & Disclosures – Preparing and reviewing SEC filings, including Forms 10-K, 10-Q, 8-K, and proxy statements.
By keeping clients fully informed and in compliance with federal securities laws, we help them mitigate legal risks and maintain strong investor confidence.
We Advise Clients on Complex Securities Regulations
Our team also provides guidance on a wide range of securities laws and regulations, including:
- Sarbanes-Oxley Act of 2002 – Helping companies implement corporate governance controls and financial reporting requirements.
- Dodd-Frank Act of 2010 – Advising on regulations related to financial stability, executive compensation, and market transparency.
- Investment Company Act & Investment Advisers Act of 1940 – Assisting asset managers, investment firms, and financial advisors with compliance.
- Trust Indenture Act of 1939 – Ensuring compliance for debt securities and public bond offerings.
With a deep understanding of securities law, our attorneys help clients avoid regulatory pitfalls, structure legally sound transactions, and maintain investor trust.
We Offer Industry-Focused Legal Counsel
We serve companies across a broad spectrum of industries, including:
- Technology & Life Sciences
- Cannabis & Emerging Markets
- Hospitality & Real Estate (including REITs)
- Food Distribution & Logistics
- Banking, Finance, & Business Services
- Publishing & Media
Our securities attorneys understand the unique challenges of each sector and develop customized strategies to support capital growth and long-term success.
