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Securities

Securities & Corporate Governance

The lawyers in our Securities Practice Group represent publicly-traded and privately-owned businesses in matters related to securities regulation and corporate governance. Generally, the lawyers in this group represent companies, boards of directors, executives, officers, shareholders/members, offering and controlling investors and various other participants in the securities arena. Our lawyers are able to provide guidance related to a wide variety of phases associated with securities transaction including, but not limited to the following:

  • Business structuring, governance and executive compensation advice.
  • Negotiation of underwriting or purchase contracts and various other documents related to securities transactions.
  • Registration statements and providing preparation.
  • Regulatory and business law guidance.

Our practice includes:

  • Private placement offerings.
  • Spin-off, split-off and carve-out transactions.
  • Equity and hybrid products.
  • High yield debt offerings and acquisition financing.

The lawyers in this practice group have extensive experience assisting clients in matters related to corporate/business governance. As part of such legal representation these lawyers assist our business clients in, among many other things, developing and implementing customized compliance and ethics programs and policies that address issues developing under securities laws. Additionally, from time to time the lawyers in our Securities and Corporate Governance Practice Group also assist with the representation of clients connected to exceptionally sensitive matters such as governmental examinations and civil and criminal activities associated with securities law issues.

The deep understanding of the underlying policies and procedures related to securities laws that the lawyers in this practice group have, and the varied business practices implemented by a broad sample of our business clients, allows our law firm to stay clear of providing a “one-size-fits-all approach” to the practice of law and tailor the suggestions made by our lawyers to the particular demands of each client. Additionally, the lawyers in this practice group keep abreast of the ever-changing economies and markets influencing our clients in order to offer the most appropriate and timely legal counsel available.

Securities Litigation

With skilled attorneys in offices located in Utah, Nevada and Texas, our Securities Litigation Practice Group has the depth of experience and skill to assist clients overcome the many obstacles that exist in today’s business environment.

When faced with litigation, investigations, regulatory examinations, or various other intricate and complicated corporate and securities concerns, our attorneys concentrate on the client’s individualized demands and objectives and work together with the client to manage potential pitfalls and to establish a variety of approaches for getting an effective result in the end. Each attorney in this practice group knows that the issues they deal with are of utmost significance to our clients. Not only are the stakes in the securities game extremely high, but the costs and interruptions to business are frequently substantial as well.

The attorneys in our law firm’s Securities Litigation Practice Group are result-oriented litigators with a track record for providing the highest quality legal services to our clients in an effective, efficient and affordable manner. Our attorneys have significant trial experience and are capable of presenting the most complex problems to judges, juries, and arbitrators in a way that gets results for our clients.

However, from the start of every engagement, our attorneys search for early solutions, whether by negotiation or by utilizing the litigation process. Each time we take a case our law firm becomes fully “geared up” to provide exceptional legal representation, while at the same time maintaining a high level of availability and responsiveness to our clients.

Investigations and Enforcement Actions

Our attorneys provide legal representation to companies and people that are required to respond to or defend themselves during enforcement activities, examinations, and procedures in front of the Securities and Exchange Commission, the Department of Justice, and various other regulatory agencies. Our attorneys also participate in internal investigations for boards of directors and other management groups who require or desire a confidential, objective evaluation of particular business tasks or practices (independent of, or in conjunction with, governmental examinations, regulatory examinations, or private litigation).

Regulatory Compliance

With the enactment of a variety of securities laws and regulations over the last decade, protections and regulatory compliance has become progressively complicated and unwieldy, and the actions of boards of directors, executives and other management groups undergo examination and deal with close scrutiny on a far more regular basis than they once did. Each attorney in our Securities Litigation Practice Group is able to work carefully and closely with our law firm’s corporate and securities attorneys to assist clients manage risks and navigate the present regulatory environment.

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