Securities

McGinnis Lochridge attorneys are experienced assisting clients in all aspects of securities law, transactions, and compliance. They regularly handle a variety of public and private securities matters, representing issuers, underwriters, shareholders, and investors.   

Our experience includes:

  • Securities Exchange Acts of 1933 and 1934 registered offerings, filings, reporting, and disclosures. Rule 144/Restricted Securities Sales, and Section 13 and Section 16 reporting
  • SEC and NASDAQ exchanges reporting and compliance.
  • Securities litigation and National Association of Securities Dealers arbitration.
  • SEC and civil enforcement of securities laws.
  • Securities law considerations in mergers and acquisitions, stock options and stock purchases transactions, and other equity compensation plans.
  • Guiding clients through private placements including venture capital funding and angel investments.
  • Listed and non-listed real estate syndications, real estate investment trusts, and real estate-based securities.
  • International securities matters.