The Securities Practice Group of Lewis Rice provides a full range of securities law representation, advice, and counsel to business organizations in all types of corporate finance and capital formation transactions. We also serve as securities counsel to investment bankers and underwriters/placement agents in securities offering transactions.

Our Services

Attorneys in the Firm's Securities Practice Group serve as both general and special counsel to numerous businesses. Below are some of the securities matters on which we advise:

  • Offerings of equity and debt securities including offerings of common and preferred stock, trust-preferred securities, debentures and other pure debt instruments, asset securitizations, and convertible debt securities
  • Public and private securities offerings including acquisition financing involving the issuance of debt and equity securities
  • Compliance with periodic reporting requirements of the federal and state securities laws, including annual and quarterly reports, Section 16 insider reporting obligations, and the registration and reporting obligations under the state blue sky laws
  • Stock repurchases including ongoing open-market repurchase programs, "Dutch auction" self-tenders, and going-private transactions including squeeze-outs
  • In regards to our publicly held clients, insider trading and compliance matters as well as the rules of national stock exchanges and the Nasdaq National Market
  • Documentation for public and private securities offerings, including the preparation, negotiation, and filing of such documents
  • Securities litigation

Lewis Rice attorneys are well versed in the full spectrum of corporate matters and regularly provide counsel on securities issues in all stages of the business life-cycle. We have experience in the following:

  • Representing and advising emerging growth and start-up organizations seeking venture capital or institutional funding or planning their initial offering of stock to the public
  • Counseling public companies with respect to all types of business combinations, including leveraged buyouts, tender offers, proxy contests, and private transactions
  • Assisting companies in formulating comprehensive anti-takeover programs, including shareholder protection rights plans, and counseling companies in response to hostile takeover threats
  • Counseling and advising public and private companies regarding corporate governance matters including the Sarbanes-Oxley Act of 2002
  • Advising directors and officers of their duties under federal and state securities laws