The Firm’s Corporate and Securities Practice Group is focused on the small and mid-cap market segment and the ecosystem that encompasses it, including, but not limited to, smaller public and private companies, investment banks, funds, investors and consultants.
The dream of going public is realized by dozens of companies every year. Each going-public transaction is unique, and it takes sophisticated and experienced attorneys to take a company public in uncertain capital markets. Lucosky Brookman has frequently advised and represented issuers in all methods of raising capital and becoming a public company, including mergers, resale registration statements and alternative public offerings. Lucosky Brookman specializes in helping clients navigate the process from the beginning planning stages through to gaining access to the U.S. capital markets. The Firm specializes in Uplisting companies from the OTC Markets to the NASDAQ or NYSE. Moreover, the Firm routinely leads transactions whereby foreign public issuers have sought listing on U.S. exchanges and markets, including companies traded on the AIM, the TSX and ASX.
A PIPE (Private Investment in Public Equity) is one of the financing tools commonly utilized by growing public and emerging companies. We handle both traditional and structured PIPEs, negotiate the terms of the transaction, and counsel clients on all national exchange-related matters, as well as SEC and other regulatory agency considerations, and related registration of the underlying securities.
Lucosky Brookman's corporate governance practice assists boards of directors and committees to achieve their company's business goals within the established legal framework, which includes compliance with fiduciary duty obligations under applicable state corporate law. Our attorneys advise clients on a broad range of corporate governance and compliance matters and best practices, including: compliance with the Sarbanes-Oxley Act of 2002, board and committee membership matters (including audit, compensation and other special committee requirements and responsibilities), special committee issues, executive compensation issues, fiduciary duties, conflicts of interest, codes of conduct and ethics, national exchange rules, internal controls and investigations, and all aspects of securities disclosure.
Effective legal counsel is an integral part of every successful business plan. Lucosky Brookman helps clients build a solid foundation from which their businesses may grow.
Lucosky Brookman, we are business owners and understand the needs of small and mid-sized businesses. We combine our specialized legal knowledge with practical experience to assist you in achieving your business objectives.
Every business is different. Lucosky Brookman prioritizes your company's unique needs in each phase of its development. We provide legal services for start-ups and growing businesses throughout their development. When the time comes, we counsel businesses throughout company financings and, if desired, throughout the going-public process. Our clients include entrepreneurs, small-business owners, midsize regional companies, professional partnerships (including law firms), nonprofit entities, retailers, manufacturers, and many others.