Axley’s securities attorneys regularly represent a broad range of clients in matters involving federal and state securities laws. Our practice has a broad range of expertise in the following areas:

Compliance and Governance.

We advise companies on their obligations under the Securities Exchange Act of 1934, including the preparation and filing of proxy statements, periodic reports and annual reports.

Corporate Finance.

We represent a variety of companies, investors and underwriters in complex debt and equity offerings under the Securities Act of 1933. This includes public and private offerings, Rule 144A offerings, Regulation S offerings and fund offerings.

Broker-Dealers.

Axley securities attorneys have substantial experience with respect to broker-dealer compliance issues under federal and state law. We develop compliance and supervisory procedures, conduct reviews to identify potential violations and provide on-going regulatory guidance on sales and trading practices across a wide range of equity and fixed income products. We also advise clients regarding the formation, acquisition and sale of broker-dealer operations.

Investment Management.

Axley attorneys advise a variety of investment firms on federal and state securities laws in connection with the formation, operation, acquisition and sale of investment management businesses. In addition, we provide our clients with assistance in federal and state examinations and on-going regulatory compliance and advice, including under the Investment Advisers Act of 1940. Our attorneys also assist in advising on regulatory matters under the Investment Company Act of 1940.

Private Funds. 

Axley attorneys represent clients, including management companies, in connection with the organization and operation of private equity, real estate and hedge funds.

 

Client Successes

Some of our past experience in the field.
Lead Associate - Multimillion-Dollar Securities Fraud Claim Against Partnership Blind Pool Investment Fund
Lead associate in pursuing a multimillion-dollar securities fraud claim against a limited partnership blind pool investment fund on behalf of a group of limited partners.
ESOP & Other Programs
Represented corporation in connection with employee stock ownership plan (ESOP) transaction and implementing deferred compensation program
Oppression Matters & Business Disputes
Represented companies, majority shareholders and minority shareholders and members in freeze out, squeeze out and related shareholder oppression matters and business disputes

Featured Insights

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SEC Proposes New Rules and Oversight of Investment Advisers

The Securities and Exchange Commission (the “Commission”) recently voted to propose new rules that would implement provisions of the Dodd-Frank...

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