Securities & Corporate Finance

Practice Area

Securities & Corporate Finance

Lewis Brisbois’ Securities & Corporate Finance practice helps public and private companies execute a wide range of capital market transactions. We offer a broad range of securities, corporate finance, and regulatory compliance services, including public and private offerings of equity and debt securities; compliance with federal and state securities laws, disclosure obligations, and filing requirements; and dealings with the Securities and Exchange Commission (SEC) and other regulatory bodies. Additionally, we have a robust cross-border practice that regularly assists foreign private issuers with their capital market transactions and acquisitions in the United States.

A well-rounded practice, our team is comprised of seasoned transactional attorneys as well as former government attorneys who have extensive experience working with the SEC and other enforcement agencies. Clients continually turn to our Securities & Corporate Finance practice for sound legal advice and the efficiency and effectiveness of our national bench. We use our extensive capital markets experience to assist clients in various types of transactions, including:

  • Initial Public Offerings (IPO)
  • Direct Public Offerings (DPO)
  • Alternative Public Offerings (APO)
  • Follow-on debt and equity offerings
  • Shelf and secondary offerings
  • Regulation A Exempt Offerings
  • Regulation D Private Placements
  • Regulation S Off-Shore Placements
  • Private Investment in Public Equity (PIPE)
  • Publicly Registered Share Exchanges
  • Public and Private Mergers, Acquisitions, and Buyouts
  • Going Private Transactions
  • SEC Compliance and Reporting Requirements
  • Rule 144A Institutional Offerings
  • Bank Capital Markets, Mergers, and Acquisitions

Representative Matters

Our Securities & Corporate Finance attorneys recently handled the following representative matters:

  • Initial Public Offering and NASDAQ listing of an energy storage device company.
  • Initial Public Offering, NASDAQ listing, and Follow-on Offerings of an enterprise application software company.
  • Restructuring and Recapitalization of NYSE-listed, China-based micro finance company.
  • Private Placement in energy industry equipment company involving one of the largest Middle Eastern oil companies.
  • Going Private transaction involving a China-based pharmaceutical company.
  • Several community bank acquisitions, dispositions, and capital raises.


Vice Chairs

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