PRACTICE AREAS


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Securities

For more information about Securities, see its sub-categories listed below.
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  • Broker-Dealer and Agent Compliance

    We advise broker-dealer and agent/representative clients on compliance matters relating to federal and state securities laws and the Financial Industry Regulatory Authority (FINRA).

  • Corporate Governance

    We advise clients on board and committee structures, as well as shareholder or member issues. We also advise clients on board fiduciary duty obligations, annual and special meetings, directors’ and officers’ liability insurance and board reporting obligations under federal securities laws.

  • Securities Law Compliance

    We advise publicly held companies concerning securities law compliance matters, review and prepare periodic reports (such as Forms 10-K, 10-Q, and 8-K) and proxy statements and advise clients regarding disclosure under such reports. We also advise companies on state securities or “Blue Sky” law.

  • Securities Offerings

    We represent issuers in public and private offerings of common stock, limited liability company interests, partnership interests and other securities. These offerings occur in several areas, including private placements, initial public offerings (IPOs), and other related offerings. In addition, we have experience in the preparation of private placement memorandums, registration statements and other disclosure documents.

Our Attorneys / Paralegals

Christopher J. Lent
Christopher J. Lent
    Gregory S. Starnes
    Gregory S. Starnes
      Carey A. Miller
      Carey A. Miller
         


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        The determination of the need for legal services and the choice of a lawyer are extremely important decisions and should not be based solely upon advertisements or self-proclaimed expertise. Memberships and offices in legal fraternities and legal societies, technical and professional licenses, and memberships in scientific, technical and professional associations and societies of law or field of practice do not mean that a lawyer is a specialist or expert in a field of law, nor do they mean that such a lawyer is necessarily any more expert or competent than any other lawyer. A description or indication of limitation of practice does not mean that any agency or board has certified such lawyer as a specialist or expert in an indicated field of law practice, nor does it mean that such lawyer is necessarily any more expert or competent than any other lawyer. All potential clients are urged to make their own independent investigation and evaluation of any lawyer being considered. This disclosure is required by rule of the Supreme Court of Iowa.

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