Corporate and M&A

Securities

Preti Flaherty's Securities Law Practice Group offers a broad complement of specialized services to each of the stakeholders in the securities industry. We have successfully represented public and private companies, governmental entities, underwriters, investors, brokers/dealers, investment banks, and emerging companies to address their needs under federal and state securities laws. The group brings the expertise of highly-skilled corporate and litigation attorneys with backgrounds both as principal and counsel in securities, capital formation, mergers and acquisitions, corporate governance and dispute resolution to offer clients cost-effective solutions.

Current trends place superior securities advice and representation in the forefront of business, financial and investing considerations:  from raising capital for startup and growing businesses to private equity analysis, negotiation and investment; from compliance under the Securities Exchange Act of 1934, Sarbanes-Oxley and uncertain new hedge fund regulations to stock option grants and other corporate governance best practices; and from investor complaints to shareholder disputes.    

Our Securities Law attorneys provide the following services

For Public Companies:

  • Periodic Reports—10-Ks, 10-Qs, 8-Ks
  • Annual Meetings-- Annual Report to Security Holders, Proxy Statements and Solicitation
  • Corporate Governance—Director independence, committees, Sarbanes Oxley
  • Insider Trading Policies
  • Section 16 Filers—Forms 3-5, Schedules 13D and 13G
  • Stock Option Plans—Form S-8, Stock Option Agreements
  • Rule 144 Resales
  • Press Releases—Reg FD, corporate messaging, investor relations
  • Acquisitions and Dispositions
  • Private Placements

Members of team: Kara Sweeney

For Private Companies:

  • Capital Formation—advice on locating sources; structure; and terms of offering
  • Blue-Sky Compliance
  • Reg D and other federal exemptions
  • Stock Options and other equity-style incentive compensation programs
  • Stock Redemptions
  • Shareholder Disputes
  • Acquisitions and Dispositions

Members of team: John Sullivan, Kara Sweeney

Public Finance: 

  • Official statements for public offerings of bonds issued by states, state authorities, regional and municipal districts and authorities and other governmental entities
  • Private placement memoranda for private placements of bonds issued by states, state authorities, regional and municipal districts and authorities and other governmental entities
  • Continuing disclosure agreements for SEC Rule 15c2-12 compliance
  • Blue sky memoranda for state blue sky law compliance
  • Counsel for issuers, underwriters and purchasers

Members of team: James C. Pitney, Jr. and Bonnie L. Martinolich

For Broker/Dealers and Investment/Hedge Funds:

  • Registration and exemptions
  • Registered representative compliance
  • Regulatory investigations
  • Administrative and judicial proceedings
  • Investor complaints
  • Employment termination and disputes
  • Arbitration and litigation

Members of team: Gregory Hansel, John Sullivan, Sigmund Schutz, and Kara Sweeney

For Investors:

  • Initial Investment – Advice, negotiations, and documentation on terms of investment
  • Liquidation –Advice on sale or other transfer

Members of team: John Sullivan and Kara Sweeney

  • Securities violations
  • Mismanagement of account
  • Arbitration and litigation

Members of team: Gregory Hansel, and Sigmund Schutz

Dispute Resolution: 

Our track record in resolution of securities disputes speaks for itself. We are a go-to firm in financial services disputes, securities litigation, and arbitration. Learn more here.

Firm Highlights

Press Coverage

Authorities Refuse to Release Records for Maine School Shooter Hoax Calls

On November 15, 2022, multiple law enforcement agencies in Maine received false calls alerting police to active shooter situations at several high schools throughout the state. In the wake of this widespread hoax, the Kennebec...

Press Coverage

What’s Inside Maine Freight Trains? Public Can Only Hazard a Guess

Due to an exemption from the state's Freedom of Access Act, Maine residents are prevented from reviewing information regarding the transportation through their communities via freight trains of potentially hazardous materials. Rail industry officials...

Publication

Maine Workers’ Compensation New Year Update 2023

The new year brings proposed legislation, an update to the Medical Fee Schedule, and two recent decisions from the Appellate Division. Proposed Legislation Workers’ compensation bill LD 53 (HP 28) would amend 39-A M.R.S.A...

News

Maine Lawyers and Judges Once Again Show Overwhelming Support of Campaign for Justice

2022 proved to be another challenging year for Mainers. Skyrocketing inflation, an uncertain economic future, an ongoing housing crisis and more factors continue to push more at-risk individuals into a tight spot. Maine’s civil...

Publication

FY2024 H-1B Registration Fact Sheet for Employers

Registration Process To file H-1B petitions subject to the FY2024 cap for an employee, you must first electronically register and pay a $10 fee for each electronic registration. The electronic registration includes basic information about...

Event

Bodie Colwell will be a Featured Panelist at ABI Annual Spring Meeting

Bodie Colwell will be a featured panelist on "Danger Ahead! Avoiding and Addressing Ethical Landmines in Attorney Engagement and Compensation" at the American Bankruptcy Institute's Annual Spring Meeting. The panel focuses on disputes regarding engagement...

Publication

Enforcers Make It Easy to Report Cartels

This article was originally published in the American Bar Association  Antitrust Newsletter  on February 8, 2023.  Did you know that global competition enforcers have easy-to-find websites to encourage reporting of anticompetitive conduct? Not only...

News

Attorney Jeffrey Thaler Named to 2023 Lawdragon Green 500: Leaders in Energy Law

For the second time, Preti Flaherty attorney Jeffrey Thaler has been recognized by the esteemed legal publication Lawdragon as an elite practitioner in the field of energy law. Jeff is the only Maine-base lawyer...

News

Benchmark Litigation Names Preti Flaherty 2023 “Maine Firm of the Year”

Benchmark Litigation has named Preti Flaherty as 2023 Litigation Firm of the Year in the State of Maine. The Benchmark Awards honor distinguished litigators and law firms in all 50 states and 10 practice...

Event

Jeff Talbert to Moderate Panel on PFAS Regulatory Action at ABA Toxic Torts & Environmental Law Conference

Jeff Talbert, Chair of Preti Flaherty's Environmental Law Group, will moderate "Regulatory Action: History & Horizon" at the ABA Toxic Torts & Environmental Law Conference. This panel will discuss the 2016 EPA health advisory, the...