Securities

The Securities Practice Group advises public and privately held companies about capital raising, disclosure, and other issues affecting the issuance or transfer of securities.  We provide services to clients in a wide range of fields, including the financial institutions, real estate syndications, software, telecommunications, energy, biotechnology, medical devices, and life sciences fields.  We also advise officers, directors, investors, banks, investment bankers, investment advisers, and broker-dealers on both transactional and regulatory matters.  Our litigation attorneys frequently represent issuers, officers, directors, investors, broker‑dealers, and investment advisers in securities fraud, fiduciary duty, and regulatory proceedings, including before the dispute resolution division of the Financial Industry Regulatory Authority ("FINRA").

The scope of our representation includes a broad range of transactional and regulatory advice, including:

  • Public Securities Offerings
  • Private Placements of Debt and Equity Securities
  • Crowdfunding
  • Venture Capital
  • Private Equity
  • Mergers and Acquisitions
  • Reorganizations
  • Broker-Dealer and Investment Adviser Regulations
  • Banking Regulations
  • State "Blue Sky" Compliance
  • Proxy Statements, Annual Reports, and other Periodic Reporting
  • Stock Options and Other Equity Compensation Plans
  • Board of Directors Fiduciary Duties
  • Special Committees
  • Corporate Governance Matters

The attorneys in our Securities Practice Group frequently draw upon the skills and experience of attorneys in other practice groups, including real estate, intellectual property, employment, tax, litigation, and financial institutions.  This allows us to assist our clients with a variety of other legal matters.  

We are your established legal network with offices in Asheville, Greenville, New Bern, Raleigh, and Wilmington, NC.