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

Court Rules Portland Rents Are Public Information, Not Trade Secrets

Rental information is public information and not protected from public record requests under the Maine Trade Secrets Act, according to a recent ruling by Justice Thomas R. McKeon of the Maine Business and Consumer Court. The...

Press Coverage

Courts Could Throw State Marijuana Markets into Disarray

Over the past two decades, 37 states have legalized the production and/or sale of marijuana in some form. However, due to a lack of federal action, interstate commerce is still considered illegal and barred...

Publication

Another Reminder to Update Policies and Procedures to Reflect Latest COVID-19 Guidance

We  last updated you in early August  regarding the latest COVID-19 quarantine and isolation guidance from the Centers for Disease Control and Prevention (“CDC”).  Cold and flu season is now upon us, and experts are...

Press Coverage

Preti Flaherty Supports Nationally Recognized Investigative Reporting

Preti Flaherty has been recognized for supporting an award-winning investigative Journalism in Maine.  The non-profit  Maine Monitor  published a nationally recognized series titled “Eavesdropping in Maine Jails” revealing widespread recording of  phone calls between jail...

News

Attorney Shana Solomon Recognized by Massachusetts Lawyers Weekly "Top Women of Law" 2022

Preti Flaherty is pleased to announce that attorney Shana Solomon has been recognized by Massachusetts Lawyers Weekly as part of the publication’s “Top Women of Law” list for 2022. Shana is a trial lawyer...

News

Preti Flaherty Continues Year of Remarkable Growth with Addition of Five New Attorneys

Preti Flaherty is pleased to announce the arrival of five new Associates to the firm: Scott A. DeLong, Christopher S. Knight, Kijana Plenderleith, Harper A. Weissburg, and Joshua D. Williams. In our Portland, Maine, office...

News

U.S. News – Best Lawyers Ranks Preti Flaherty Among 2023 Best Law Firms

Preti Flaherty has been named among the 2023 Best Law Firms by the U.S. News – Best Lawyers rankings. To be eligible for ranking, a law firm must have at least one attorney named...

Publication

Portland Referenda and Legislative Leadership Update

In addition to all the state and national legislative races that were (mostly) decided by Wednesday morning, there were also 13 referendum questions on the Portland municipal ballot and one in Bar Harbor of...

Publication

November 2022 Election Update

Maine State House Most of us who are obsessed with electoral politics expected a tight Gubernatorial race and, if not changes in control of the House or Senate, much closer margins between the majority...

Publication

New EEOC Poster Requirement and Guidance on Notice-Posting in Hybrid Workplaces

The U.S. Equal Opportunity Commission (“EEOC”) recently updated the “EEO is the Law” poster and replaced it with a new one: “ Know Your Rights: Workplace Discrimination is Illegal .” The new poster was...