Securities Law

Practice Overview

The firm’s securities lawyers have extensive experience in representing investors and issuers in private placements.  Our investor clients include angel and other private investors, venture capital funds and private equity funds.  We also routinely represent our business clients in their capital raising efforts, from start-up rounds with family and friends or other sources of seed capital to complex offerings of preferred equity, debt and convertible debt by growing and mature companies.  The group also frequently works with members of the firm’s tax and ERISA teams to work with our business clients to design incentive compensation plans of every nature and type.

We work with both our investor and issuer clients to review, negotiate and draft the operative offering, disclosure, deal and governance documents.  Our experience with both investor and issuer clients means we know what is market, which allows our securities lawyers to serve you with the technical expertise you deserve and that this area of the law requires, but always with the pragmatism and efficiency our clients expect from Drummond Woodsum lawyers.  We know the law, understand your short-term and long-term goals and pride ourselves on getting deals done on time and on budget.

Drummond Woodsum also advises a number of registered investment advisers, broker-dealers and private funds on regulatory and securities law compliance matters, including advising on licensing and exemptions from licensing at the federal and state level.