Home / Services / Securities /



Securities Offerings in Capital Raises and Entity Organization

Counsel on securities offerings to multiple broker-dealers and entrepreneurs in capital raises and entity organization for a myriad of ventures, such as wine production, real estate (commercial/residential, assisted living), food services, automotive, manufacturing, IP licensing, and tech start-ups.

Gustaf R. Andreasen

Counsel for Broker Dealer

Counsel to broker dealer on capital raises, private placement memoranda, securities offerings, entity formation, and non-competes.

Gustaf R. Andreasen

FINRA Inquiry

Conducted an internal investigation on behalf of a large multinational bank in connection with a FINRA inquiry relating to fraudulent bond trading.

Eric S. Esshaki

Dismissal Obtained in Securities Lawsuit

Obtained a dismissal with prejudice on behalf of a bank client of all claims brought by four plaintiffs who filed a multimillion-dollar securities lawsuit against the bank arising from their purchase of $7MM unsubordinated debentures.

Jeff Sorenson, Tim Gronewold

Fortune 100 Technology Company Responds to SEC Inquiry

Conducted an internal investigation on behalf of a Fortune 100 technology company relating to a SEC inquiry into various forms of accounting fraud.

Eric S. Esshaki

Securities Fraud

Successfully represented a movie studio in complex securities fraud litigation involving allegations of fraudulent transfer.

Ryan Andrew Ellis

Lead Counsel for Kmart in Securities Fraud Cases

Lead counsel for Kmart in the successful defense of consolidated 10b-5 securities fraud cases, which ultimately settled for nuisance value.

Jon R. Steiger