Securities

Glaser Weil’s attorneys have extensive experience in representing clients on a variety of securities matters, including public offerings, SPAC and reverse merger transactions, and securities litigation matters.

In conjunction with these offerings, we represent and advise companies regarding securities law and public reporting requirements, corporate governance, Sarbanes-Oxley compliance, stock exchange listings and compliance, entity selection and formation, executive compensation, fiduciary obligations, ethics, and general corporate matters.

Glaser Weil also handles a variety of securities litigation matters, including class actions and individual cases for corporate entities, officers, and directors. The Firm has experience in defending claims under various sections of the Securities Exchange Act of 1934 and the Securities Act of 1933, as well as state securities laws. They also represent clients in shareholder litigation, including cases in Delaware Chancery Court and other federal and state courts throughout the United States. The Firm's litigators are experienced in all types of derivative litigation, including cases that run parallel to securities class actions, stand-alone derivative claims, and investigations of shareholder demands.

Areas of Focus

• 1933 Act registration statements
• ADR registrations and offering
• At The Market (ATM) offerings
• Crowd funding
• Equity Lines of Credit (ELOCs)
• Follow-on, resale, direct and alternate public offerings
• Initial Public Offerings (IPOs)
• Private Investments in Public Equities (PIPEs)
• Private placements
• Proxy and information statements
• Registered direct offerings
• Regulation A, A+, D and S Offerings
• Reverse mergers
• Rule 144 opinions
• Section 16 compliance and reporting
• Securities Exchange Act reporting and compliance
• Securities litigation
• Special Purpose Acquisition Companies (SPACs)
• Stock exchange applications and listings
• Venture capital and private equity financings

• An online and mobile prepared food ordering and delivery company in a $308 million de-SPAC transaction and $75 million convertible note PIPE.
• An Oregon-based producer of premium spirits in a convertible note and warrant PIPE.
• An energy field services company in a $12 million PIPE transaction.
• A biotechnology company in a $25 million PIPE transaction.

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