We help securities professionals innovate amid global competition, act as financial fiduciaries, and translate regulatory and economic policies into everyday business transactions.

Issuers and underwriters rely on our skill as counsel in mergers, acquisitions, and capital raising transactions and as disclosure counsel in placements of private and public offerings for businesses in many economic sectors. We strive to protect our clients and their directors and officers from subsequent securities-related problems by advising on all federal and state securities laws and regulations. In addition to assisting with private securities offerings that involve corporations, partnerships, and limited liability companies, we assist with transactions involving public companies listed on all of the major exchanges.

Our lawyers also regularly represent a wide range of clients—including broker-dealers, registered representatives, financial advisors, and corporate officers and directors—against lawsuits filed under legal proceedings involving the evolving labyrinth of federal and state securities laws and regulations.

We help clients reach solutions with accuracy, speed, and efficiency by applying our experience with both issuer and underwriter sides of transactions. And because we have extensive trial and arbitration experience handling claims of inappropriate investment and trading strategies brought by customers against broker-dealers, clients trust our understanding of case law, as well as securities regulations.

As advisors in transactions and as participants in a service sector with complex employment and customer relations issues, we have a broad understanding of securities industry client needs—from proper safeguards in a securities offering to resolving a dispute in arbitration. Shumaker, Loop & Kendrick, LLP lawyers bring value to clients by combining industry insight with the ability to swiftly resolve problems.

Our lawyers also handle purchase agreements, registration statements for public offerings, private offering memoranda, asset-based and special purpose financings, and many other forms of private capital raising across various states. With our multistate admissions and our full-service capabilities in employment, tax, employee benefit, and corporate law, broker-dealers can rely on Shumaker to aggressively protect their interests.

Our Clients

  • Issuers and financial advisors in public offerings and private placements of securities, including one of the country's largest health care REITs
  • Buyers and sellers in M&A transactions
  • Investment firms and broker-dealers in disputes with customers
  • Broker-dealers facing allegations of misrepresentation or breach of fiduciary duty involving structured financial products that were caught up in the global financial crisis
  • Broker-dealers whose compensation plans were jeopardized by the investment firm consolidation that accompanied the crisis

Our Services

  • Advising on the structure, planning, and timing of private and public securities offerings
  • Drafting offering materials such as registration statements and private placement memoranda
  • Drafting, preparing, and filing federal and state securities law forms and other documents
  • Guidance and assistance with preparing the various reports and filings required of reporting companies under the Securities Exchange Act of 1934
  • Arbitration and mediation of customer disputes before FINRA
  • Representation before state and federal securities regulators and SROs
  • Compensation, separation, and recruitment issues, including those involving covenants not to compete and non-solicitation agreements
  • Advice on federal and state laws and regulations