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

Event

2023 Maine Employment Law Summit

For nearly 30 years, Preti Flaherty's Employment Law team has provided Maine employers with practical guidance and best practices at our annual Employment Law Summit. Join us  Thursday, October 5  for the 2023 Employment...

Press Coverage

Maine Media Organizations Oppose Foreign Electioneering Ban

Question 2 on Maine’s November ballot asserts that corporations owned or controlled by foreign governments do not have the same rights to political speech as companies here in the U.S. and that foreign governments should be prohibited...

Publication

131st Maine Legislature End of Session Update

The First Regular Session of the 131st Legislature was expected to end on June 15th or soon after. Instead, the First Regular Session ended on March 30th, and the Governor signed the “continuing services&rdquo...

Publication

Municipal Update: Maine Legislature Acts to Clarify Sales of Tax-Acquired Properties

Early this week, in response to the  United States Supreme Court’s recent decision in  Tyler v. Hennepin County, Minnesota  (598 U.S. (2023)) , the Maine Legislature passed emergency legislation establishing a new process for...

News

Matt Warner Named to Cannabis Law Journal Global Top 200 Cannabis Lawyers 2023

Preti Flaherty attorney and Cannabis Business Group member Matt Warner has been named to the list of Global Top 200 Cannabis Lawyers for 2023-2024. A joint publication of  Cannabis Law Report and  Cannabis Law...

Press Coverage

Maine Center for Public Interest Reporting Wins Public Records Dispute with York County Jail

News

Preti Flaherty Litigation Practice Group Adds Four New Attorneys

Preti Flaherty is pleased to announce the addition of four experienced Associates to the firm’s Litigation Practice Group: Stephen Garvey, Michael Hanify, Hanna May, and Tiffany Ottenga. Stephen Garvey is a graduate of Boston...

Publication

How to navigate the legal side of nondisclosure agreements

Preti Flaherty attorney Kristy Abraham has authored an article for  MaineBiz  on navigating the legal side of nondisclosure agreements (NDAs), outlining six questions for organizations to review before entering into a NDA.

Publication

Schutz and Harriman Author Article for MLRC on Mill's Veto of Constitutionally Fraught Legislation

In an article for the Media Law Resource Center's July 2023 Media Law Letter,  Preti Flaherty attorneys Sig Schutz and Alex Harriman explore Gov. Janet Mills' recent veto of L.D. 1610, “An Act to Prohibit Campaign Spending...

News

Jeffrey Talbert Named to American College of Environmental Lawyers

Jeffrey Talbert, Chair of Preti Flaherty’s Environmental Law Group, has been invited to become a Fellow in the distinguished American College of Environmental Lawyers (ACOEL). Membership in the premiere association of environmental lawyers is by...