Securities

We meet the legal challenges involved in investing in and offering securities on behalf of both public and private companies and are also experienced in advising investors, investment advisors, underwriters, brokers, finders, agents and other parties involved in such transactions. In addition to providing critical guidance with respect to frequently evolving securities laws, our attorneys take the time to understand the financial needs of our clients’ businesses, making them an integral part of the success of a securities offering or other financial venture. Sherrard & Roe attorneys handle complex transactions in this area including:

• Secured and unsecured debt offerings
• Initial public offerings
• Private placements
• Investment partnerships

• Securities Exchange Act regulatory filings
• Investment advisor regulation
• Employee compensation plans