Warshaw Burstein LLP | Securities
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Practice Areas


Our securities group represents issuers, underwriters, public and private companies and venture capital and private equity firms in a wide variety of areas, including private offerings, public offerings, other securities related transactions and regulatory compliance matters.

In connection with private offerings, we have assisted clients in the following:
  • Venture capital financing
  • Regulation D, Regulation S and Rule 144A transactions
  • Tender offers
  • Private placements
  • Obtaining exemptions from federal and state securities registration laws and related regulatory matters

In connection with public offerings, we have worked with clients to:
  • Prepare registration statements and prospectuses
  • Prepare public offerings of debt and equity securities
  • Devise and document going private transactions
  • Devise and document derivatives and structured products
  • Devise and document debt and equity restructurings
  • Negotiate underwriting and placement arrangements
  • Prepare listing applications on NYSE, NASDAQ, CFTC and COMEX
  • Communicate with shareholders

To make certain our clients are compliant with the ever-changing regulatory landscape, we maintain close ongoing relationships with our clients and provide them with regular continuing assistance on regulatory compliance and governance matters, including:
  • Federal and state securities and commodities laws
  • Public company reporting requirements under the securities acts (including periodic and other reporting under Section 16(a) and Schedule 13D and 13G under the Exchange Act)
  • Restrictions on securities trading by corporate affiliates and insiders and sales of restricted securities under Rule 144
  • Proxy voting

Our securities group draws on the general and specialized expertise of our general and corporate and tax attorneys to provide efficient and effective service and advice. 

Securities Litigation

Our securities litigators have substantial experience addressing complex investigations, regulatory enforcement proceedings, civil litigation and alternative dispute resolutions, where exposure to reputational and financial risks is high.  Our attorneys regularly achieve early case resolution, and are equally successful when a trial on the merits is warranted.
Our litigation clients include major public corporations and private entities, financial institutions, broker-dealers, investment advisers, hedge funds, service providers to the financial services industry and individuals in the securities industry.  Our ability to “partner” with senior management of our clients helps us achieve desired results within budgeted parameters.
We have litigated issues concerning violations of federal and state securities laws, including insider trading, front running, market manipulation, inadequate investment disclosure and communication, inadequate record-keeping and disputes with investors. We represent our broker-dealer clients before FINRA in connection with disputes with their customers and with individual brokers.  In addition, we represent our clients in disputes with federal and state regulators and with each other.
We distinguish ourselves with our in-depth knowledge of the workings of the securities industry and the regulatory and judicial environments.  We work closely with our financial services group so that our advice to clients is always consistent, result oriented and cost sensitive.