Capital Formation

We have structured many successful offerings of both publicly registered and privately placed securities. We assist business owners and shareholders in all aspects of secured and unsecured financings, including exempt offerings, the sale of securities, complex loans, and loan restructurings. In addition to businesses seeking financing, we have represented venture capital companies, financial institutions, insurance companies, and investment bankers in capital transactions.

Regulatory and Public Licensing Compliance

• We have represented companies raising capital in private or public offering transactions in a wide variety of industries, such as: real estate (including REITs), software and technology, restaurants, retail, manufacturing, and many others.
• We represented the issuer in the first “Plain English” initial public offering registered with the Securities and Exchange Commission.
• We represented issuers in intrastate public offerings of debt and equity in Arizona.
• We represented the issuer in the first coordinated equity “blue sky” review of an initial public offering by NASAA.
• We have represented issuers, underwriters and participating dealers in many types of private limited offerings to accredited investors and others under Regulation D and other comparable exemptions under federal and state securities laws, as well as offers and sales to non-U.S. persons under Regulation S.
• We have assisted companies in listing, maintaining, and de-listing their securities with the New York Stock Exchange, the American Stock Exchange, NASDAQ, and OTCBB markets.
• We assist public companies in complying with SEC public reporting and disclosure requirements.

Regulatory Investigations

• We have assisted public and private companies, and committees of their boards of directors, with investigations of conduct and compliance with laws.
• We have assisted companies and individuals with investigations conducted by the SEC, Arizona and other state securities regulators.