Securities

Primary Practice Contact: Daniel D. Hill

SCM advises public and private companies, management, boards of directors and board committees on the full range of securities law services

Securing and structuring the right sources of funding can be critical to the long-term success of a business. One way to fund a business is by issuing securities.

A security is a financial instrument that represents an ownership position in a publicly-traded corporation (stock), a creditor relationship with governmental body or a corporation (bond), or rights to ownership as represented by an option.

We advise public and private companies, management, boards of directors and board committees on a full range of matters involving corporate governance, securities offerings, fiduciary duties, and compliance and disclosure matters under the Securities Act of 1933, Securities Exchange Act of 1934, the Sarbanes-Oxley Act and the Dodd-Frank Act, as well as the related SEC rules and the listing standards of the New York Stock Exchange, NASDAQ Stock Market and other stock markets.

Public Company Services

We also advise clients on issues specific to public companies, and assist with preparing and filing registration statements; proxy statements; annual, quarterly and current reports; and other SEC filings. We represent issuers, underwriters, investment banks and investors in public and private offerings.

Securities Fraud Defense

When a client is faced with allegations of securities fraud, we conduct a prompt and thorough investigation. Our litigators provide a solid and vigorous defense of clients in mediation, arbitration, and litigation.

Learn More About Our Securities Practice and How We Serve Clients

Our securities lawyers are ready to help. For more information please contact Daniel D. Hill or another member of our team.

Practice Contacts

Daniel D. Hill

Samuel Alba

John E. Gates

Max D. Wheeler