Van Winkle’s Securities team works to protect investors in public and private ventures, with a client list that includes brokerage firms, broker-dealers, investment bankers, analysts, traders, advisers, accountants, and officers and directors of publicly-held companies. We represent clients before the Securities and Exchange Commission, stock exchanges, attorney general offices, the Department of Justice, and other regulatory agencies. The firm has extensive experience defending clients against complex and potentially damaging accusations involving insider trading, sales practice violation, broker-dealer regulations, mutual fund regulations, securities and investment-adviser fraud, and public disclosure. The Securities team works with clients to ensure compliance with all state and federal laws and vigorously represents these individuals and companies in arbitration and litigation.

Investments & Securities Law - Types of Services

• Representation before state and federal agencies
• Private equity investments
• SEC registration
• Public offerings
• Follow-on offerings
• Mergers and acquisitions
• Credit facilities and debt instruments
• Reorganizations
• Proxy statements and contested elections
• Executive compensation and benefits