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Securities Law

Securities Law

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Guiding Our Clients Each Step of the Way

At Stibbs & Co., our experienced securities attorneys represent clients with respect to:

  • Stocks sales and resales
  • Public and private issuer filings
  • Private offering memoranda
  • Sarbanes-Oxley Regulations
  • Regulation D, Regulation S Transactions
  • Rule 144 Resale Transactions
  • EB-5 Visa Investments
  • Other financial instruments

Securities law is largely divided into three areas:

  1. Transactional practice – Our skilled attorneys manage the legal technicalities of initial public offerings, secondary offerings, mergers and acquisitions and private sale and resale of securities.
  2. Regulatory practice – We also carefully walk our clients through the disclosure process, while ensuring all the appropriate paperwork is filed in a timely manner.
  3. Litigation – And if necessary, our talented securities litigators are accomplished at managing civil suits as well as civil or criminal enforcement actions.

Securities are documents or official papers that represent an interest or a right in something else. However, they are not used in the same way as traditional consumer goods. Regulation of consumer goods is an attempt by the government to protect consumers from deceptive advertising or prohibited pricing practices. Securities laws are an effort to ensure that investors have an accurate and informed impression of the type of interest they are acquiring and its real worth. Securities are regulated at both the federal level and state level and it takes a careful analysis of a variety of factors to ensure compliance with both levels.

Types of securities include the following:

  • Treasury stocks
  • Bonds
  • Secured and Unsecured Notes
  • Common and Preferred Stocks
  • Membership and Limited Partnership Interests
  • Debentures
  • Certificates of interest
  • Transferable shares and warrants
  • Investment contracts
  • Certificates of deposit for a security
  • Profit Sharing Agreements
  • Oil, gas and mineral interests
  • Private placement offerings

For more information, please contact us today.