SECURITIES LAW
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When financial services businesses or market participants need seasoned counsel who are deeply versed in the complexities of the market and the intricacies of its regulation — and can respond on a moment’s notice to meet a client challenge, they go to our firm. Our securities practices provide clients with a fully integrated set of legal services focused on securities law and regulation.
Our firm includes lawyers from the Broker-Dealer, Capital Markets, Mergers and Acquisitions and Securities Litigation Practice Groups, who work together to offer clients a fully integrated set of legal services focused on securities law and regulation. We provide broker-dealers, investment advisers, investment managers, investment banks, hedge funds and other private investment funds, accounting firms, insurance companies, public companies, officers and directors with representation, advice and counsel across a broad spectrum of sophisticated regulatory and compliance issues, complex financial transactions and litigation, enforcement and counseling matters. We offer focused, results-oriented and cost-effective representation to our clients.
We offer clients leading edge advice with regard to cross-border structuring of securities offerings and mergers and acquisitions. We provide counsel on a regular basis to clients seeking to bridge the U.S. capital markets and companies in the Asia Pacific region. Our attorneys have extensive experience in assisting mainland Chinese companies to access the U.S. Capital Markets, as well as assisting hedge funds and investment banks in structuring transactions with Chinese issuers. We have experienced attorneys and support staff in-house that are fluent in Mandarin and Cantonese to allow direct contact between Chinese and U.S. markets participants.
Broker-Dealer & Investment Adviser Compliance
Leser Hunter Taubman & Taubman provides regular guidance to broker-dealer and investment adviser management and compliance personnel regarding numerous areas of heightened regulatory attention, including:Preparing for regulatory routine and cause examinations
Additionally, LHTT conducts training sessions on: Best practices when faced with a regulatory inquiry or investigation
Leser Hunter Taubman & Taubman provides regular guidance to broker-dealer and investment adviser management and compliance personnel regarding numerous areas of heightened regulatory attention, including:Preparing for regulatory routine and cause examinations
- Record keeping requirements
- Supervisory controls
- Updating and maintenance of written supervisory procedures
- Anti-Money Laundering compliance
Additionally, LHTT conducts training sessions on: Best practices when faced with a regulatory inquiry or investigation
- Litigation avoidance
- Recognizing “red flags” of fraudulent or manipulative conduct
Capital Formation & Advisory
At Leser Hunter Taubman & Taubman, our clients range from private emerging businesses to growing public companies. We primarily represent small- and micro-cap companies (companies whose market capitalization -- the number of outstanding shares multiplied by the share price -- is less than one hundred million dollars) focused on increasing revenues and listing on a higher exchange. Regardless of our client’s size, we always offer exceptional legal services and become an integral part of our client’s team.
Since 2002, our team has completed over 30 PIPE transactions - raising over $100 million in proceeds, and more than 20 mergers and acquisitions with aggregate transactional values of over $1 billion. We have particular experience in representing issuers seeking to complete an Alternative Public Offering (the simultaneous closing of a reverse merger and PIPE transaction) which is quickly becoming a popular vehicle among our target size corporate clients seeking to raise funds and enter the public market. Our expertise and market awareness of the APO structure allows us to provide an unsurpassed level of insight and guidance to clients seeking to complete such a transaction.
Some services LHTT provides within the capital formation & advisory practice include:
At Leser Hunter Taubman & Taubman, our clients range from private emerging businesses to growing public companies. We primarily represent small- and micro-cap companies (companies whose market capitalization -- the number of outstanding shares multiplied by the share price -- is less than one hundred million dollars) focused on increasing revenues and listing on a higher exchange. Regardless of our client’s size, we always offer exceptional legal services and become an integral part of our client’s team.
Since 2002, our team has completed over 30 PIPE transactions - raising over $100 million in proceeds, and more than 20 mergers and acquisitions with aggregate transactional values of over $1 billion. We have particular experience in representing issuers seeking to complete an Alternative Public Offering (the simultaneous closing of a reverse merger and PIPE transaction) which is quickly becoming a popular vehicle among our target size corporate clients seeking to raise funds and enter the public market. Our expertise and market awareness of the APO structure allows us to provide an unsurpassed level of insight and guidance to clients seeking to complete such a transaction.
Some services LHTT provides within the capital formation & advisory practice include:
- Counseling concerning sales of securities by insiders and affiliates, including Rule 10b5-1 programs, Rule 144 compliance, and insider trading guidelines and restrictions
- Providing the full range of services for issuers in capital-raising transactions, including bank financing, convertible debt offerings, traditional private placements, PIPE transactions, as well as the range of public offering approaches to the various methods of selling securities through takedowns from shelf registration statements
- Representing companies in special investigations involving matters such as accounting or disclosure issues and SEC enforcement actions
Corporate Governance Issues
Leser Hunter Taubman & Taubman maintains a preeminent practice counseling and representing public companies and boards of directors regarding regulatory matters, corporate governance and compliance, and complex securities transactions. The firm represents newly public companies and small to mid-cap companies in a wide spectrum of industries. With recent changes in the regulatory environment, it is extremely important that public companies are aware of changes to rules and regulations that govern the companies’ conduct as a public entity. We assist our clients in staying current on and having up to date knowledge of the new rules and regulations as well as implementation of procedures required by specific rule changes.
Some services offered to our publicly held clients include:
Leser Hunter Taubman & Taubman maintains a preeminent practice counseling and representing public companies and boards of directors regarding regulatory matters, corporate governance and compliance, and complex securities transactions. The firm represents newly public companies and small to mid-cap companies in a wide spectrum of industries. With recent changes in the regulatory environment, it is extremely important that public companies are aware of changes to rules and regulations that govern the companies’ conduct as a public entity. We assist our clients in staying current on and having up to date knowledge of the new rules and regulations as well as implementation of procedures required by specific rule changes.
Some services offered to our publicly held clients include:
- Counseling on the requirements of Regulation FD and Regulation G in issuing earnings and other announcements to the public and communicating with research analysts
- Counseling on compliance with the Serbians Act and other regulatory rules
- Representing issuers before listing and other regulatory and quasi-regulatory agencies such as Nasdaq, the AMEX and the Divisions of Enforcement and Corporate Finance within the SEC
- Transactional advice across a wide spectrum of deal structures
- Advising boards and their special and independent committees on mergers and other business combinations, affiliated-party transactions, securities offerings, and corporate governance matter
Mergers & Acquisitions
Whether we manage the entire process, work alongside the general counsel or partner with a client’s in-house development team, Leser Hunter Taubman & Taubman helps our clients address every part of the deal, from the intricacies of legal and financial structures to executive compensation and retention. We build on our extensive experience to deliver the resources our clients need to make sure their transactions achieve their business objectives.
We assist in all aspects of mergers, acquisitions, divestitures and joint ventures. From planning to execution, we anticipate our clients' needs and respond creatively as we define the key issues and develop practical solutions to the most challenging matters. We assist clients in all types of M&A transactions including:Exchange offers
Whether we manage the entire process, work alongside the general counsel or partner with a client’s in-house development team, Leser Hunter Taubman & Taubman helps our clients address every part of the deal, from the intricacies of legal and financial structures to executive compensation and retention. We build on our extensive experience to deliver the resources our clients need to make sure their transactions achieve their business objectives.
We assist in all aspects of mergers, acquisitions, divestitures and joint ventures. From planning to execution, we anticipate our clients' needs and respond creatively as we define the key issues and develop practical solutions to the most challenging matters. We assist clients in all types of M&A transactions including:Exchange offers
- Going-private transaction
- Management buyouts
- Joint ventures
- Mergers
- Recapitalizations
- Roll-ups
- Spin-offs
- Stock sales and purchases
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The law firm of Leser Hunter Taubman & Taubman provides specialized services in Corporate, Securities, Litigation, Real Estate, Intellectual Property, Advertising and Cyber Law. Our lawyers are licensed in the states of New York, New Jersey, Florida, California and Washington DC.
NEW YORK
17 State Street, Suite 2000
New York, NY 10004
(212) 732-7184
WASHINGTON, D.C.
1201 15th Street, NW, Second Floor
Washington, D.C. 20005
(202) 347-9090
MIAMI BEACH
1000 5th Street, Suite 200
Miami Beach, FL 33139
(305) 357-0674
CORAL GABLES
255 University Dr.
Coral Gables, FL 33134
(305) 629-8877