Navigating the Market
Over the last several years, incidents of insider trading, embezzled employee pensions, and securities fraud have littered the landscape of corporate America. Businesses and corporations can find themselves in a legal minefield if not educated and equipped to handle the complications of securities regulations.
Brooks Pierce securities attorneys provide the counsel companies and individuals need. Our team includes a certified CPA, a former Assistant Director in the Securities and Exchange Commission’s (SEC) Enforcement Division, and a skilled negotiator who has counseled securities transactions in excess of $1 billion.
Our services include:
- Securities counsel – our attorneys assist corporations, publically-traded companies, private fund managers, and investment advisers on remaining compliant with federal and state law while conducting securities transactions. We also counsel businesses on initial public offerings and underwriting public securities offerings.
- Internal investigations – We conduct internal corporate investigations to ensure compliance with state and federal securities laws. We also represent companies and individuals facing action from state and federal authorities. Our attorneys have tried cases before the SEC, Commodity Futures Trading Commission, the Consumer Financial Protection Bureau, and the U.S. Department of Justice. We have also represented clients in arbitrations before FINRA involving alleged securities violations.
- Civil and criminal litigation – Our firm defends clients in claims brought against them by debt holders, shareholders, and employee stock ownership plans.
- Regulatory filings – We also assist companies in remaining compliant with filing 10Ks, 10Qs, proxy statements, and disclosure statements.
Brooks Pierce brings years of highly regarded and awarded experience to companies of all sizes, understanding the complexities of the securities field and focusing on the nuances of each client’s needs.