Domestic and international clients request our legal guidance on securities law and litigation, including public companies, investment advisors/broker-dealers, underwriters and investment banks. Burns & Levinson has a skilled Securities team that provides clients with the timely, experienced, efficient and cost effective advice that they need to meet their business objectives. When needed, Burns & Levinson’s Securities group gathers the experience of seasoned arbitrators and litigators in civil, criminal, administrative, arbitration, and regulatory matters to serve our clients.

We take a practical and proactive approach to rapidly changing securities disclosure and corporate governance laws, providing our clients with timely updates. When we identify specific situations in which new laws will impact particular clients such as public companies, either operationally or structurally, we work with them to implement the changes that are either required or advisable to comply with the new regulatory schemes and investor sentiment. We craft business solutions to prevent and resolve disputes before they develop into protracted litigation. In the financial services industry, a single customer complaint or litigation can often implicate related compliance, supervisory, regulatory, employment and criminal issues. We have all the bases covered.

Burns & Levinson has a skilled team of attorneys that pre-empt problems for our clients who are public and private issuers, stockholder groups and individual investors. Clients seek our assistance with corporate governance, fulfilling their ongoing SEC and stock exchange reporting obligations, managing sensitive disclosure issues internally and with industry analysts, preparing proxy statements and handling stockholder meetings. We advise boards of directors and board committees concerning the requirements and restrictions imposed on their actions by the securities laws and corporate governance laws such as Sarbanes-Oxley. We have served as special securities counsel to the Boards and Audit Committees of publicly traded companies looking for opinions or advice of counsel other than their regular outside counsel.

Drawing from experience across the firm’s Corporate and Litigation practices, our attorney team counsels clients on IPOs and follow-on offerings of equity, debt and other securities (including shelf registration takedowns), corporate acquisitions involving registered and restricted stock, mergers and acquisitions where one or both parties are publicly traded, private investment in public equity (PIPE) transactions, equity line of credit financings; private placements, venture capital financings, and complex securities law transactions and issues, including corporate governance/Sarbanes-Oxley and SEC and stock exchange reporting and compliance.

Our attorneys help investment advisory and financial services firms, their officers, advisors, broker-dealers, and employees to effectively navigate the business hurdles that they face on a daily basis. These can range from financing, licensing/registration under federal and/or state laws to operations, compliance, and acquisitions and divestitures. Other hurdles may arise during FINRA customer arbitrations, SEC regulatory investigations or enforcement proceedings, state compliance reviews, federal court class actions, or federal or state grand jury proceedings. Our attorneys have represented underwriters in initial and follow-on public offerings and investment banks in private placements. We can also advise on industry-specific concerns including fiduciary and trust arrangements, supervision cases, compliance audits, raiding cases, promissory notes, and allegations of selling away.

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