Robinson Bradshaw’s Securities Practice Group has extensive experience in handling a full range of securities matters, including capital markets transactions and securities-related litigation for a diverse client base, from publicly traded Fortune 500 companies to startup and growth companies.

Securities Transactions & Advising

We have helped our clients raise billions of dollars in a wide array of public and private securities offerings, including registered investment grade debt offerings, Rule 144A and Regulation S exempt offerings, recapitalizations, PIPE transactions, IPOs and follow-on equity offerings, as well as Rule 506 offerings and other types of private placements.

We regularly advise boards of directors and their audit, compensation, governance and special committees, as well as institutional shareholders and other capital markets participants. We provide securities counsel in significant corporate transactions, such as mergers and acquisitions, tender and exchange offers, and contested transactions.

Public companies routinely call on us to advise them on such matters as disclosure obligations, periodic reporting and proxy matters, insider trading, corporate governance, executive compensation, Securities and Exchange Commission investigations and disciplinary actions, internal investigations, stock exchange regulation, and compliance with Sarbanes-Oxley and Dodd-Frank mandates.

We also regularly assist private entities of all sizes in identifying and navigating securities issues and risks in the context of both capital raising and transactions that implicate securities laws.

Securities Litigation

Robinson Bradshaw has a deep bench of attorneys experienced in securities litigation and arbitration under federal and state securities laws.

A significant part of our securities practice involves defending stock brokerage firms in disputes with their clients or brokers. We have defended claims against commercial banks, investment bankers, underwriters and issuers. We have significant experience in defending public corporations accused of proxy fraud or facing proxy battles and unwanted takeovers by hostile suitors. Additionally, we have been involved in defending officers and directors who have faced claims based on secondary theories of liability, such as control person liability, respondeat superior, and aiding and abetting.

Robinson Bradshaw’s securities practice has received a national Tier 2 ranking in U.S. News and World Report for Securities/Capital Markets Law and its highest Tier 1 ranking in Charlotte for Securities/Capital Markets Law, Securities Regulation and Litigation – Securities. Attorneys in our practice have been recognized as Best Lawyers® Charlotte Lawyer of the Year in more than six categories.


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