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Securities Transactions and Regulations

Skilled in the Full Range of Securities Law Issues

Saul Ewing's Securities Transactions and Regulations (STAR) attorneys represent clients in every major area of securities law, providing regulatory, transactional, and litigation counsel to meet their needs.

Securities Compliance and Corporate Governance

Our corporate attorneys provide advice and support to clients in handling problems associated with corporate governance, such as securities law disclosures, corporate audits, and corporate investigations. We use a proactive approach, with compliance strategies designed to detect potential violations of state and federal laws before they occur. Typical compliance counseling for our clients involves:

  • Registration and reporting of public companies
  • Reporting obligations of directors, officers, and major shareholders
  • Insider trading prohibitions
  • Proxy solicitation rules

In addition, our attorneys provide counsel regarding the formation and compliance of broker-dealers and investment advisors.

Transaction Representation

Attorneys in the STAR group have decades of experience representing companies seeking public and private capital, venture capitalists and strategic investors, investment bankers, and securities professionals. We represent clients in the formation and documentation of private equity funds and advise them in connection with investment of their assets. We bring a practical, problem-solving approach to securities law, helping clients maximize economic and regulatory opportunities. Members of our team include:

  • An attorney designated by the NASD and the Wharton School as a Certified Compliance Professional
  • A member of the American Bar Association's Committee on Federal Regulation of Securities Mergers and Acquisitions: Handling Complex Matters

Mergers and Acquisitions

Saul Ewing's STAR attorneys advise clients in the securities law aspects of merger and acquisition transactions, including:

  • Mergers and consolidations
  • Stock and asset acquisitions
  • Strategic alliances
  • Joint ventures
  • Proxy contests
  • Reorganizations
  • Anti-takeover defenses

We represent purchasers and sellers in a variety of industries, handling transactions ranging from routine acquisitions to complex multi-party negotiations.

In addition, we frequently represent the interests of securities issuers and underwriters through: 

  • Equity and debt offerings
  • Real estate investment trust offerings
  • Asset-backed securities offerings

Recognition

The group includes attorneys who have been named to the following lists:

Trade Groups & Associations

Contacts

Mark I. Gruhin
Justin B. Ettelson