Corporate, Securities, Mergers & Aquisitions

Corporate, Securities, Mergers & Aquisitions

We advise on the full range of corporate, mergers and acquisitions and securities matters. We are strategically positioned enabling us to handle and fully coordinate highly complex domestic, cross-border and multi-jurisdictional transactions.

Our clients range from middle market and emerging companies in a broad range of industries, including our ley industry sectors to small companies looking to access capital markets for the first time.

Our areas of work include:

  • Mergers & Acquisitions
  • Private Equity/Investment Funds
  • Securities
  • General Corporate & Commercial


Businesses often turn to a securities lawyer when they run into questions or issues related to a security. A security is a term used to describe an investment that takes the form of stock shares, bonds, loans, or mortgages. Securities are heavily regulated by federal and state laws, some of which require businesses to submit periodic reports to the Securities Exchange Commission (SEC) regarding their financial condition.

Some issues relted to our Securities assistance include:

  • Equity Capital Markets
  • Intial Public Offerings
  • Private Placements
  • Rule 144A and regulation S offerings
  • Secondary offerings (including rights offerings)
  • Securities law nad exchange compliance
  • Securities regulation and enforcement

Due to the growing number of regulations and the increased pressure on businesses to remain compliant, security lawyers have become a valuable resource within the legal and business industries.

Consulting with a Securities Lawyer

A security lawyer can take on many different roles when working with clients. Much of what security lawyers do involves counseling clients such as small businesses or privately or publicly held corporations. Businesses typically seek advice from a securities lawyer when preparing to go public for the first time or attempting to raise capital to start or expand their business. Clients may also seek a lawyer’s advice if they feel they were misled about an investment they’ve made in the past.

A securities lawyer will conduct a thorough investigation of your legal issue and provide you with recommendations based on his findings.

Representation During Litigation

Experienced securities attorneys can also represent clients in the event that a lawsuit is filed. For example, an investor may pursue legal action against the party that issued the security if the investor believes the issuer misrepresented the investment opportunity.

Disputes involving brokerage accounts are typically settled in arbitration hearings that take place in front of the National Association of Securities Dealers instead of in a courtroom. Security lawyers spend a significant amount of their time preparing for and representing their clients in this type of arbitration meeting.

Ensuring Compliance with Federal and State Laws

Businesses often seek legal advice from a securities lawyer to ensure that they are complying with all federal and state laws. These regulations can be complicated, so staying compliant without the help of an attorney may present an insurmountable challenge for some businesses. For example, businesses must file disclosure statements with the SEC before offering a security to the public. This statement must include a great deal of information about the business’s financial situation and future business prospects. All of the information submitted to the SEC must be accurate because investors will use this data while making financial decisions. Because of this, it’s imperative that the person who prepares your statements has a deep understanding of securities law. Preparing this statement is no easy feat, which is why it’s strongly recommended that you contact a lawyer to help you remain compliant with every securities law.

Mergers & Acquisitions

The DLG Law Group can assist with your next merger or acqusition, whether public or private.

  • Change of control events
  • Purchases and sales of assets and businesses
  • Purchases and sales of securities
  • Joint ventures
  • Going private transactions
  • Proxy contests
  • Tender offers

Private Equity/Investment Funds

For those looking to either acquire or form an private equity fund, the DLG Law firm can help. Some of most common cases we see involve assistance in the following areas:

  • Buyouts, acquisitions, investments, recapitalisations, divestitures, and other monetization events
  • Fund formation and governance
  • Asset and investment management
  • Funds of funds
  • General partners/sponsors, investors/limited partners and portfolio companies

Contact Denver Law Group Today

If you are dealing with an issue related to securities or mergers and acquisitions, get in touch with us today to discuss your situation. Call DLG Law Group at 303-758-5100 or contact us by filling out our online form.