Securities
Dufford & Brown maintains a sophisticated securities law practice that includes corporate finance, compliance reporting, proxy
solicitation, exchange listing and other transactions regulated by federal and state securities law. We work with clients pursuing
private and public securities offerings in gaining compliance with registration and disclosure issues. Also, we assist with the
preparation and filing of reports with the United States Securities and Exchange Commission, including annual, quarterly and current
reports.
Federal legislation adopted in 2002 known as Sarbanes-Oxley Act has imposed increased requirements on all public companies in the form
of reporting and compliance procedures. An integral part of the securities practice at Dufford & Brown is the analysis and implementation
of the regulations flowing from the Sarbanes-Oxley Act. We counsel clients in the adoption and administration of corporate charters,
ethics policies, and other exchange-mandated regulations.
Specific Securities Experience
- Assisted a publicly-traded mining company in closing $75 million PIPE financing, subsequent registration of stock with the SEC and listing stock on the AMEX
- Represented another publicly-traded mining company in IPO, listing stock on the OTC Bulletin Board and follow-on PIPE financing registered with the SEC
- Acted as regular outside counsel to several OTC and AMEX companies in SEC compliance reporting
- Acted as regular outside counsel to publicly-held renewable energy company
- Acted as regular outside counsel to technology company in connection with four rounds of venture capital financing
- Acted as outside counsel to two publicly-traded companies in "going private" transactions
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