Securities

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Gordon Feinblatt has a broad and diversified Securities Practice. The Firm represents publicly-traded companies, advising them on general corporate governance matters, SEC and stock exchange regulatory compliance, private placements, registered securities offerings, and periodic reporting, proxy solicitations and other reports under the Securities Exchange Act of 1934.  We counsel public companies on financial reporting, executive compensation, corporate governance and other disclosure matters, and provide advice in connection with insider transactions (including Section 16 and Section 10(b) of the Exchange Act).   We also assist our clients with changes in reporting and corporate governance pursuant to the Sarbanes-Oxley Act, the Dodd-Frank Wall Street Reform and Consumer Protection Act and the JOBS Act; prepare no-action letter and interpretive requests; prepare confidential treatment requests and provide a variety of legal opinions under the federal and state securities laws.

We assist non-public companies with corporate governance and private placement transactions, including related filings with the SEC and state securities commissioners, and broker-dealer issues. We regularly advise and assist clients with capital formation at all stages, from early seed capital through late-stage venture capital financing; with corporate transactions, including mergers and acquisitions; and with equity and executive compensation matters. We also represent venture capital groups, private funds and strategic investors.

The lawyers in the Securities Practice have particular experience in advising banks and bank holding companies and technology and biotechnology companies though the early stages of development. The Securities Practice plays an important role in advising directors, officers and principal shareholders on their responsibilities under the federal and state securities laws and the stock exchange rules, as well as their fiduciary duties under state corporation laws.

Our Securities Team is actively involved in matters that include:

  • Broker-dealer issues
  • Director and officer duties
  • Insider beneficial ownership reports
  • Insider trading policies
  • Investment banker engagements
  • Mergers and acquisitions
  • Private placements and related exemption filings
  • Real estate fund formation and offerings
  • Real estate investment offerings
  • Registered public offerings
  • Reporting and disclosure obligations
  • Sarbanes-Oxley, Dodd Frank and JOBS Act compliance
  • Seed/angel round capital investments
  • Stock-based compensation and benefit plans
  • Venture capital and private equity financings

News, Publications, and Insights

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