Gallagher & Kennedy's securities practice includes attorneys with highly specialized knowledge of the laws and regulations applicable to securities, broker-dealer, investment company, investment adviser, derivatives, commodities and banking aspects of the industry. We have represented parties in proceedings before the Securities and Exchange Commission, New York Stock Exchange, the NASDAQ Stock Market and other exchanges, and the National Association of Securities Dealers.

Our attorneys’ broad experience permits us to provide cost-efficient legal services to issuers, underwriters, investors, broker-dealers, investment advisers, mutual funds, commodities firms, insurance companies, and securities exchanges. In addition, we provide clients with valuable counsel on important interpretive and procedural issues. We provide our clients with sophisticated and timely advice regarding the many issues arising as a result of recent changes in securities, accounting and other regulations, including issues arising as a result of the Sarbanes-Oxley Act.

Our securities attorneys have been involved in transactions such as:

• Angel Financings
• Private Placement Financing
• Venture Capital Financings
• Private Investments in Public Equity Securities (“PIPEs”)
• Initial Public Offerings
• Follow-on Public Offerings
• Rule 144A Transactions
• Securitization Transactions
• Recapitalization Transactions
• Convertible Debt Offerings
• Private Placements, including under Regulation D and Regulation S transactions
• Listings on Stock Exchanges
• Securities Law Compliance