Davis|Kuelthau’s Securities and Capital Development team has extensive experience advising clients in securities law matters. Our lawyers are familiar with federal and state laws and regulations that govern private placement securities transactions and reporting requirements. 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 planning for corporate finance needs, locating potential sources of capital and organizing, negotiating and closing the deal once financing has been obtained.

We regularly advise and represent a wide variety of issuers, 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
  • Venture capital and angel financing for emerging companies
  • Private equity and mezzanine financing
  • 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