Krieg DeVault

Securities

Krieg DeVault serves as counsel to many publicly-traded companies and boards of directors on securities matters. We also advise private companies who are considering raising capital through an initial public offering, and public companies considering de-listing or going private transactions. Our lawyers understand both the business and financing needs of our clients, and can draw on the assistance of colleagues from our firm’s multidisciplinary practice groups to resolve tax, regulatory, and accounting issues that any securities offering can involve. Krieg DeVault’s securities lawyers address a wide range of securities issues on an ongoing basis, including disclosure and regulatory compliance obligations, corporate governance matters, issues arising from the Sarbanes-Oxley Act, and shareholder concerns. We also assist clients in all facets of securities transactions, including capital raising transactions, such as initial, follow-on and rights offerings, and mergers and acquisitions. Our lawyers handle securities-related litigation involving fraud allegations, shareholder class actions and derivative lawsuits, and disputes over proxy contests and tender offers.

Services

  • Private Placements
  • Registered Offerings
  • Shelf Registrations
  • Broker/Dealer Registrations and Compliance
  • Blue Sky Compliance
  • Investment Companies
  • Investment Advisers
  • Regulatory Investigations
  • Recission Offers
  • Proxy Solicitations
  • Tender Offers
  • Control Group Matters
  • 10-K, 10-Q and 8-K Filings
  • Annual Disclosure Documents

 

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