Securities

Astor Weiss Kaplan & Mandel’s Securities department encompasses a broad spectrum of securities issues relevant to both public and private issuers, their officers, directors and security holders in the United States and abroad. We represent clients in public offering registrations under the Securities Act of 1933, private placement exemptions under the Securities Act and municipal bond offerings. We are also expert in Securities Exchange Act of 1934 registration and continuing compliance, securities exchange listings and Sarbanes-Oxley compliance. We have substantial experience in reverse mergers and corporate restructurings. We have represented companies, officers, directors and other individuals in Securities and Exchange Commission investigations and litigation. Our clients include start-up companies, established businesses, officers and directors of public companies and individual investors.

We have assisted individuals and businesses in responding to Securities and Exchange Commission requests for information and formal investigations. We have represented clients in a number of reverse mergers with public shell companies and are able to guide our clients through this sometimes difficult process. We represent public companies, their officers and directors in their continuing compliance responsibilities under the Securities Exchange Act of 1934, including periodic reports on Forms 10-K and 10-Q for domestic companies and Forms 20-F, 40-F and 6-K for foreign issuers, as well as current reports on Form 8-K. We also assist clients in their compliance with Sarbanes-Oxley requirements. Our attorneys have acted as issuer’s counsel in initial public offerings, secondary offerings, mergers and business combinations and employee stock plan registrations. Our attorneys have acted as issuer’s or underwriter’s counsel in over 200 exempt private offerings for real estate, technology, oil and gas, precious metals and services industries.

Attorneys