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

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

Maine Workers’ Compensation Update - November 2023

The following is an overview of developments with respect to proposed legislation as well as new procedures on independent contractor determinations, medical fee schedule updates, and the use of updated Board forms, including medical...

Event

Sigmund Schutz to moderate panel at 36th Annual Media and the Law Seminar: Under Attack! Existential Threats to Journalism and Free Speech

From unlawful searches and seizures of newsrooms and highly contentious litigation to physical harassment and calls for violence online, journalists and news organizations are under attack like never before. At the 36 th Annual...

News

Attorney Jeffrey Thaler Named to 2024 Lawdragon Green 500: Leaders in Energy Law

Preti Flaherty’s attorney Jeffrey Thaler has been recognized by  Lawdragon  as one of the top 500 Leaders in Energy Law. This is Jeff’s third time named to this prestigious list since the first publication...

Publication

November 7, 2023 Election Results

Maine’s November 2023 statewide elections were exclusively referendum questions, four were citizen initiatives, and four were proposed amendments to the Maine Constitution. Of these, Questions 5, 7 and 8 were placed on the ballot...

Event

Accessing Police Misconduct Records

Preti’s Sigmund Schutz will be one of the Maine panelists in New England First Amendment Coalition’s Accessing Police Misconduct Records series. This series continues NEFAC’s freedom of information lessons and builds on the information...

Press Coverage

Maine media groups challenge new law on foreign spending on referendums

Maine’s two largest media associations, represented by Preti Flaherty attorneys Sigmund D. Schutz, Benjamin S. Piper, Jonathan G. Mermin, and Alexandra A. Harriman, filed a federal civil rights lawsuit challenging a Maine law burdening...

News

David Van Slyke Named to 2024 Lawdragon Green 500: Leaders in Environmental Law

Preti Flaherty’s Managing Partner David Van Slyke has been recognized by Lawdragon as one of the top 500 environmental lawyers in the U.S. It’s the third time he has been named to this prestigious...

Publication

FRBP 9006 Doesn't Take Vacations

Bodie Colwell of Preti Flaherty’s Creditors' Rights & Bankruptcy Group, has authored the article "FRBP 9006 Doesn't Take Vacations," appearing in the October 2023 issue of the American Bankruptcy Institute's Young & New Members Committee newsletter...

News

Preti Flaherty Welcomes Trust and Estate Attorney Elise Salek to the Firm

Preti Flaherty is pleased to announce that Elise Salek has joined the firm’s Trusts & Estates Practice Group. Practicing out of the firm’s Concord, New Hampshire office, Elise brings nearly three decades of experience...