Capital Markets
Davis|Kuelthau’s Capital Markets and Securities team has extensive experience advising clients in capital formation and securities law matters. Our lawyers are familiar with the ever changing federal and state laws and regulations that govern private placement transactions and reporting requirements, particularly under Regulation D and Regulation A. Our team provides innovative approaches to help our clients navigate these issues. We are also familiar with federal and state laws and regulations governing registered investment advisors and broker-dealers and their reporting requirements. We routinely assist clients in the capital formation process, locating potential sources of capital and organizing, negotiating and closing the deal once debt or equity has been located.
We regularly advise and represent a wide variety of issuers, sponsors, investors, majority stockholders and holding companies with respect to:
- Private placements of debt, equity and convertible securities for clients ranging from mid-sized, closely-held companies to publicly-traded companies
- Private placements of debt and equity securities for real estate developers and investors
- Venture capital and angel investments for start-up and emerging companies
- Private equity and mezzanine financing
- Private Equity Fund and Real Estate Fund formation
- Taxable and tax-exempt bond issuances
- Management-led and other leveraged buy-outs
- Corporate restructurings and recapitalizations
- Compliance with state securities regulatory disclosure and reporting requirements
- Management and operations of registered investment advisors and broker-dealers
- SEC and FINRA reporting, obligations and disclosures
- Organization, licensing and regulatory compliance, and administration
Practice Chair
News & Events
- 5th Annual Midwestern M&A/Private Equity ForumMay 5, 2022 - Events
- Business Email Compromise: What You Need To Know To Protect Yourself and Your ClientsFebruary 3, 2022 - Events
- Davis|Kuelthau Attorney Michael Van Someren Named Chair of Capital Markets TeamDecember 9, 2020 - In the News Press Releases
- Davis|Kuelthau Appoints Robert W. Habich and Sherry D. Coley to its Board of DirectorsNovember 21, 2019 - Press Releases
- Davis & Kuelthau Proudly Announces Bradley D. Page as Firm’s Next PresidentOctober 1, 2013 - Press Releases
- Regulation A+: An Alternative to Private Placements and Initial Public OfferingsMay 4, 2017
- Old National Bank Commercial Real Estate ForumApril 25, 2018 - Events
- Davis & Kuelthau Announces Five New ShareholdersOctober 11, 2017 - Press Releases
- Davis & Kuelthau, s.c. Welcomes Terrance Navin as Executive DirectorOctober 9, 2017 - Press Releases
- Milwaukee Business Journal – Private Equity CEO RoundtableSeptember 12, 2017 - Events
Publications
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SEC Emphasizes Anti-Fraud Protections During COVID-19 Pandemic
March 25, 2020 -
Stay-At-Home and Safer At Home Orders Impose Restrictions on Residential Landlords and Rental Property Managers
March 24, 2020 -
Are You an “Essential Business” in Wisconsin Under the Safer At Home Order?
March 24, 2020 -
Borrowers Under SBA 504 and SBA 7(a) Loan Programs Eligible for Deferral of Principal, Interest and Fees for up to Six Months
March 20, 2020 -
Employer Relief May Be in Sight – Senate Bill Includes Forgivable Loans to Maintain Payroll for Next Four Months
March 20, 2020 -
COVID-19 and Contract Enforceability
March 20, 2020 -
Coronavirus Challenges for Commercial Landlords
March 17, 2020 -
More Accredited Investors? SEC Contemplates Expanding the Pool of Individuals That May Invest In Private Placements
January 8, 2020 -
Private Placements Going Public – Updated Regulation D Allows For General Solicitation of Accredited Investors
June 14, 2018 -
Bringing On Investors: Using Private Placement Memoranda Can Reduce Risks of Personal Liability
April 5, 2018