SECURITIES

Lucosky Brookman advises issuers, underwriters, investment funds and placement agents in sophisticated capital-raising transactions. The securities practice combines our lawyers' experience in corporate and securities law matters with business acumen.

We understand the underlying business transaction as well as the complex regulatory framework that governs the way offerings are conducted in today's marketplace. This combination of legal and business experience gives us a unique understanding of the underlying transaction and the legal implications of structuring securities offerings.

Lucosky Brookman represents issuers, underwriters, investment funds and placement agents in public and private offerings of equity, debt and convertible securities offerings, including initial public offerings and secondary offerings. We also represent clients in connection with exchange offers and rights offerings. Our attorneys have developed a leading practice in handling PIPEs (Private Investments in Public Equity), a financing tool often used by public and emerging companies seeking to grow their businesses. In addition to public offerings, we also handle venture capital and private placement financings for clients in a wide range of industries.

Our attorneys have extensive experience in all areas of regulatory compliance, including Securities Act of 1933 and Securities Exchange Act of 1934 securities disclosure requirements applicable to accelerated filers and small reporting companies, Regulation D offerings, national exchange listings, state securities or blue-sky laws, and other SEC compliance matters. Our attorneys have represented public companies in connection with corporate governance and fiduciary matters, securities disclosure, exchange listings, Sarbanes-Oxley compliance, board and committee representations and related issues.

PIPEs

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.

OFFERINGS

The dream of going public is realized by dozens of companies every year. But each going-public transaction is unique, and it takes sophisticated and experienced attorneys to take a company public in uncertain capital markets. Lucosky Brookman assists small and mid-sized businesses go public.

CORPORATE GOVERNANCE

Lucosky Brookman's corporate governance practice assists boards of directors and committees to achieve their Company's business plan 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

  • All aspects of securities disclosure