Securities and Finance

The Fowler White Boggs Banker Securities and Finance Group is actively involved in all aspects of federal and state securities law representation, as well as other corporate finance-related activities. Lawyers in this group routinely represent clients who are involved in both public and private sales of securities, underwriters in connection with public offerings and private placements of securities, public clients in connection with their annual and periodic reporting under the federal securities laws, broker-dealers in connection with their Securities and Exchange Commission and FINRA compliance matters, and clients involved in a variety of other federal and state securities-related matters, such as Securities and Exchange Commission and state securities agency investigations.

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