Securities and Corporate Finance Practice

Sheppard Mullin's securities and corporate finance practice includes a seasoned team of securities attorneys who represent a wide range of public companies and investment bankers. Our attorneys have significant experience in all areas of regulatory compliance and disclosure under the Securities Exchange Act of 1934 and capital formation under the Securities Act of 1933. We advise on corporate governance issues and have extensive experience advising boards, audit committees, compensation committees and nominating and governance committees of public companies. Our securities practice also includes representing public companies and their officers and directors in a wide variety of SEC and exchange investigations.



Corporate Governance and Disclosure

Our attorneys are experienced in addressing the wide range of disclosure issues that confront a public company, as well as its board of directors, management and shareholders, under federal, state and exchange regulations, including:

  • Periodic company reports under the 1934 Act
  • Insider trading reports
  • Proxy statements
  • Shareholder communications and Regulation FD
  • Other 1934 Act disclosure and reporting obligations related to contested elections, going private and tender offers

At Sheppard Mullin, we learn our clients' businesses and invest the time to understand the issues confronting them. Our attorneys combine their securities expertise with practical legal advice, enabling members of management to focus on running the company's business with the confidence that their decisions are based on a solid legal and regulatory foundation.

Corporate Finance and Capital Formation

Sheppard Mullin has experienced practitioners in all areas of corporate finance. Our attorneys have represented issuers, investment bankers, selling shareholders and investors, in a wide range of financing activities involving equity and debt, including public offerings, private placements, and venture capital investments. We have substantial experience in dealing with the SEC's staff and other regulators involved in public offerings. Sheppard Mullin attorneys have experience at every stage of the public offering process, including:

  • Structuring and documenting financing terms
  • Drafting and preparing disclosure documents
  • Processing filings through the NASD Corporate Finance Deparment
  • Listing with the New York Stock Exchange, American Stock Exchange and Nasdaq
  • Dealing with various state "Blue Sky" regulators

Our attorneys have participated in all aspects of the private placement of securities and private financing transactions, including seed financing, angel investments, venture capital financing, later stage equity or mezzanine financing, PIPEs and private debt financing.

Investigations and Enforcement

Sheppard Mullin regularly represents clients in investigations undertaken by the SEC, state securities administrators and exchanges. We also represent board of directors or committees in conducting internal investigations. Our securities attorneys work with our litigation practice group in lawsuits involving financial and securities issues.