Securities Law

Shumaker Williams, P.C.’s Securities Law Group represents clients in all major areas of securities law. We advise and represent clients in securities transactions, compliance matters, investigations and enforcement proceedings. A substantial number of the region’s transactions were initiated by our Firm. Our representation of securities issuers spans the spectrum of federal and state securities laws, including:

• Capital raising through public and private offerings of equity and debt securities and structured securities in initial and secondary public offerings, warrants, options and rights issues
• Complying with public company registration and reporting obligations, including periodic reporting, proxy statement and self regulatory organization (“SRO”) requirements, insider trading and stock repurchases
• Advising companies on the duties and responsibilities of boards of directors, board committees and executive officers of public companies
• Assisting our clients with mergers, acquisitions and tender offers, as well as, defending against proxy contests and other hostile takeover efforts and “going private” transactions

Some highlights of the Securities Law Group include assisting clients with:

• Initial and secondary offerings
• SEC and SRO reporting and compliance
• Complex and sensitive corporate governance issues
• Private placements
• “Poison pills”
• Stock option and other stock-based employee benefit plans
• Strategic planning

As counsel to more than 100 public companies, having helped many make a smooth transition from private to public company status, we have an appreciation for the legal and business issues that companies encounter and, therefore, better assist private companies in the “going public” process.

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