Securities Attorneys

Our securities law practice covers a wide array of securities law issues. We handle matters involving the following:

• Capital markets
• Cryptocurrencies, blockchain tokens, and Initial Coin Offerings (ICOs)
• Debt offerings
• FINRA arbitration
• Foreign direct investment
• Hedge funds and private equity issues
• Hybrid securities
• Investment analysis and proposal reviews
• Insight into regulatory changes that impact your securities or industry
• IPOs and other stock offerings
• Mergers and acquisitions
• Private placement transactions
• Securities-related taxation issues
• Strategic planning and financing strategies
• Tender offers
• Venture capital acquisition

We pride ourselves on our critical assessments and legal due diligence, as well as practical advice. If you’d like to learn more about our practice areas as well as our approach to securities law, simply request a consultation with a securities attorney at Mangum & Associates today.

Unlike some law firms, our attorneys apply a hands-on, collaborative approach to securities law. This is one of the many reasons that we’ve built a reputation as one of the country’s top boutique securities law firms. We know that our clients appreciate our respect for their time, our sophisticated approach to securities law, and innovative solutions.

We Build Effective Compliance and Reporting Strategies

For many corporations and startups, legal compliance and reporting are significant challenges. Unfortunately, a single mistake or omission can result in penalties as well as undue scrutiny from the SEC and state securities agencies. Today’s securities laws and regulations are constantly evolving. Unless you have a strong understanding of the current rules and how they apply to your transactions, you can make costly mistakes.

At Mangum & Associates, we take this burden off your executive team and let you focus on other critical issues. Our services include the following:

• Assessments of your state blue sky law compliance
• Corporate governance best practices
• Drafting proxy statements and materials
• Insider trading assessments
• Periodic reporting, such as Forms 8-K, 10-K, and 10-Q
• Responses to SEC communications, such as comment letters
• Securities-related audits concerning best practices, Sarbanes-Oxley, and other issues

We help our clients build effective disclosures and statements that meet regulatory requirements while protecting their interests.

We Aim for Efficient and Fair Dispute Resolution
But Prepare Sophisticated Defenses

Like all of securities law, securities-related litigation and arbitration is a highly complex matter. When you’re involved in a significant dispute, you need a seasoned securities attorney by your side. The stakes are simply too high — an unfavorable result might lead to substantial liability, unwanted publicity, and other consequences.

At Mangum & Associates, we don’t just handle securities transactions and audits. We also aggressively pursue our clients’ interests in and out of court. Whether you’re facing claims involving a breach of fiduciary duty claim, a shareholder derivative claim, or a broker dispute, a securities attorney in our firm can provide insight and help you understand your array of legal options. We assist our clients with matters involving the following:

• Bankruptcy
• Earnings restatements
• Investment projections and estimates
• Insider trading
• IPOs
• Mergers and acquisitions
• Private placements
• Proxy solicitations
• Secondary offerings
• Securities transactions
• Stock options and backdating
• Tender offers

Before we craft dispute resolution strategy, a securities attorney at Mangum & Associates will take time to understand the nuances of your claim and defenses. Then, we carefully investigate and research the facts and law surrounding the dispute. Based on your unique needs and priorities, we will then implement tactics that aggressively protect your interests.

While a settlement is sometimes in our clients’ best interests, our securities attorneys are always prepared to present their claims to a judge or arbitrator. We pride ourselves on our effective trial presentations, arbitrator selection strategies, and strong client relationships.

We Guide Clients Through
Government Investigations and Enforcement Actions

No one wants to receive a letter from the SEC, FTC, or state securities regulator. However, you cannot ignore their requests. Instead, it’s in your best interest to consult with a securities attorney and craft a strategy that protects your interests and streamlines the process. A securities attorney can also defend you against alleged securities violations in a civil or criminal matter.

Because our legal team has varied experiences with securities law, we offer our clients a unique perspective. We have handled securities enforcement actions throughout the country and understand that you need to approach them proactively, as well as prepare a robust defense strategy.

Whether you need an analysis of your legal compliance, document preparation, or a robust defense strategy, a securities attorney at Mangum & Associates may be able to help. We assist executives, investors, underwriters, and other key stakeholders with their government enforcement matters.

Request a Confidential Assessment
From an Experienced Securities Attorney

If you’re ready to take control of your securities transactions, compliance, and other matters, it’s time to schedule a meeting with a securities attorney in our office. At Mangum & Associates, we have built a reputation for skilled representation. We are considered by many as one of the elite securities boutique law firms in the U.S. To request a no-risk, confidential consultation, contact our office. One of our staff members will respond to your query as soon as possible.