Securities

Description

Corporate securities are laws, statutes, and regulations that cover requirements concerning a corporation’s registration and sale of stocks, bonds, and other equity and debt instruments. At OLS, our priority is to ensure our clients comply with the laws and regulations that the SEC has put in place. With this goal in mind, we take the time to understand our clients’ businesses and objectives so that we may more effectively advise them, as well as ensure that any disclosure documents are accurate and complete.

SERVICES

  • Private placements of debt and equity
  • State “blue sky” securities law compliance
  • IPOs, follow-on equity offerings, and transferable and non-transferable rights offerings
  • secured and unsecured public debt
  • Convertible debt
  • Acting as underwriters’ counsel
  • Sales of stock by insiders and other selling stockholders
  • Advising audit committees on their heightened responsibilities under the Sarbanes-Oxley Act and the Dodd-Frank Act
  • Developing disclosure controls and procedures to ensure compliance with the CEO and CFO certification requirements under Sarbanes-Oxley and Dodd-Frank, respectively
  • Advising public companies regarding the corporate governance regulatory requirements of the national stock exchanges
  • Internal control processes and procedures
  • Other accounting-related disclosure issues
  • Stock exchanges, tender offers, and stock repurchase programs
  • Planning and conducting annual and special shareholders’ meetings, and advising in connection with proxy contests, hostile bids, and activist shareholders
  • SEC and Public Company Accounting Oversight Board (PCAOB) accounting and auditing matters, including financial statement materiality assessments and restatements-
  • Responses to SEC accounting and disclosure comments and investigations
  • Representing clients in connection with mergers, acquisitions, divestitures, joint ventures, and strategic alliances
  • Reviewing, structuring, and documenting transactions with insiders

Practicing Attorneys

Simeón Armendáriz

Managing Partner

Daniel Peake

Partner & Practice Group Lead

Liam Gunning

Counsel & Director of Operations

Lila Buchana

Counsel & Director of Business Development

Medoro Udinesi

Counsel

Richard Nacht

Network Attorney

Theodore Hilliard

Counsel

Kayleigh Powell

Counsel

Benjamin Walsh

Network Attorney