Find Lawyers in America for Securities Regulation

Jonathan Awner serves as Co-Chair of Akerman’s Corporate Practice Group. Ranked by Best Lawyers in America , Chambers USA , and The Legal 500 as a preeminent corporate lawyer, Jonathan Awner advises clients in automotive retail, aviation, distribution, hospitality, logistics, manufacturing, services, technology, waste management and other industries. Described by a client quoted in Chambers USA as a “top-notch” lawyer who is “smart, hard-working and practical,” J...

Chester E. Bacheller is a transactional lawyer practicing in the areas of securities, mergers and acquisitions and finance including, venture capital financing. The majority of Mr. Bacheller's practice has centered on representing companies and investors in various corporate and financial transactions. He has substantial experience in a wide range of corporate, securities and banking matters, including: public offerings of securities registered under the federal and state securities laws; cor...

Michael A. Balascio is an experienced litigator representing clients in securities litigation and arbitration, high-stakes insurance coverage and bad faith cases, and complex commercial litigation. He has first-chair trial experience and has successfully litigated matters in federal and state appellate courts. In his securities practice, Michael counsels investment management companies and brokers in litigated matters and FINRA proceedings in a variety of significant disputes involving securi...

Ben Barkley advises public and private clients in a broad range of corporate finance transactions and securities regulatory matters, including: mergers and acquisitions public offerings and private placements of debt and equity securities venture capital and private equity investments compliance with securities disclosure obligations corporate governance corporate restructurings, recapitalizations and distressed situations joint ventures and strategic alliances special committee, board and in...

Jamie L. Berger is a member of the firm and serves as the firm’s hiring partner. Clients have praised Jamie for her "out-of-the-box solutions to complicated legal problems" and "impeccable judgment." Jamie practices in all aspects of complex litigation. She has litigated, arbitrated, and advised clients in a variety of areas, including securities, corporate governance, contract disputes, and government and regulatory investigations. Her clients come from a range of industries, including...

Brian Blaney concentrates his practice on corporate and securities law, mergers and acquisitions, and private equity investments. Brian has extensive experience in capital markets transactions including public and private offerings of equity and debt securities. Brian regularly advises public companies on mergers and acquisitions as well as on compliance with SEC reporting requirements, stock exchange listing rules, and general corporate matters. In addition to advising companies in a broad r...

For more than three decades, Steve has represented companies raising both private and public financing, and buyers and sellers of businesses of all kinds. Whether seeking initial funding, expanding the business through follow on funding or an acquisition, or pursuing an exit strategy through an asset/stock sale or public offering, Steve offers each client the veteran experience, practical judgement and seasoned know-how to realize even the most lofty goals in all phases of financing and growt...

Andrew Bor, a partner in the firm’s Business practice, has over 30 years of experience providing counsel in the areas of corporate governance and securities regulation, corporate finance, mergers and acquisitions and strategic divestitures and spin-offs. He also handles significant strategic assignments for a number of public companies, boards of directors and special committees, including advising on relationships with activist shareholders, proxy contests, evaluating strategic alterna...

Doug Buford heads the firm’s Securities and Mergers and Acquisition practice area. He focuses primarily on securities law matters, mergers and acquisitions, and corporate governance. His practice includes representation of public and private, local and national corporations in various industries, including transportation and logistics, and banking and bank holdings.

Charmaine is a member of the firm’s Board of Directors and is chair of the firm’s integrated Healthcare Practice Team. She is one of only 129 attorneys certified by The Florida Bar in healthcare law, and has maintained this certification since 2012. Charmaine represents health systems and hospitals, academic medical centers, clinically integrated networks, physician group practices, and other healthcare providers in complex transactions and regulatory matters. Charmaine assists ph...

Suzi Clawson is a shareholder and corporate attorney in Haynsworth Sinkler Boyd's Columbia office, where she focuses her practice on advising corporate governance matters, including corporate governance documents, committee charters and governance principles, director and committee independence, related party transaction issues and fiduciary duties of directors. Suzi also has extensive experience representing both public and private issuers, while also advising public and private company clie...

Dennis Concilla practices securities law, business law and litigation at Carlile Patchen & Murphy LLP, where he provides counsel to securities broker-dealers, investment advisors, registered representatives and banking institutions. CPM’s Securities Practice Group, headed by Dennis Concilla, is nationally recognized as a leader in the field of securities recruiting law and has represented numerous national and regional securities and investment firms. Dennis served as Legal Counsel ...

John H. Cooper is a shareholder in Dentons Sirote’s Birmingham, Alabama office, where he is a member of the Corporate practice group. As the previous managing partner of Dentons Sirote (formerly Sirote & Permutt, PC) (1999–2005; 2006–2015), John’s practice spans corporate, securities and tax law, with an emphasis on mergers and acquisitions, private equity and venture capital, securities, business and succession planning, corporate finance, corporate tax, directors...

Steve Crimmins defends clients in investigations, litigation, ADR and settlement negotiations involving the Securities and Exchange Commission and other financial services regulators. He also litigates private securities and other commercial cases, leads internal investigations, and counsels on financial regulatory matters. In addition to client representation, he chairs securities bar groups and has testified twice before Congress on SEC-related issues. He writes, speaks on professional pane...

Bob Curry has practiced in the areas of mergers and acquisitions, general corporate matters, securities regulation, and international business transactions for over 38 years. He has been responsible for numerous M & A transactions, including both stock and asset acquisitions and dispositions, involving both public and private companies in many different industries. Mr. Curry has represented companies in their initial public offerings, follow-on public offerings and private placements of e...

Jason Day is a partner with the firm's Business practice. He focuses his practice on securities regulations and public offerings. Jason counsels public companies on Securities Exchange Act of 1934, NYSE and NASDAQ compliance and disclosure issues. He also advises public company executives and boards regarding executive compensation, corporate governance, corporate finance, Sarbanes Oxley Act, Dodd-Frank Act, Regulation FD and Section 16 compliance. Jason's securities experience also includes ...

David Doney focuses on M&A and public and private securities financings, corporate governance and compliance matters, as well as Securities Exchange Act reporting. David’s clients include established public companies and privately held companies with significant growth potential in sectors ranging from IT solutions to pharmacy benefits management and underwater exploration. He works closely with these clients on their financings, leveraging his longstanding relationships with source...

Practicing law for over 20 years, founding partner Ray Driver focuses on corporate law (including mergers and acquisitions), business, contracts, venture capital and securities law. He represents clients in business acquisitions, dispositions and mergers, as well as providing ongoing counseling regarding business formation, corporate governance, contract law and ancillary legal issues. He also counsels clients in obtaining capital through private placements, venture capital investments and ot...

Carolyn Duncan’s practice is concentrated in securities issuance and compliance matters. Experienced in a wide variety of public and private securities work, she represents issuers, underwriters, and other parties in numerous facets of this area of law, including public and private offerings of securities, registration and continuous disclosure matters, proxy solicitations, tender offers, business combinations, restricted securities and transactions by corporate insiders. She represents...

Neil Eggleston is a litigation partner in the Washington, D.C., office of Kirkland & Ellis LLP. Neil has a distinguished record of public service, and has held a number of senior government roles. He was White House Counsel to President Obama from 2014 to 2017, and advised the president on all legal and constitutional issues across a broad spectrum of domestic and foreign policy matters. Neil’s practice focuses on enforcement defense including at the U.S. Department of Justice (DOJ)...

Mr. Erly practices commercial law with an emphasis on general representation of midsize businesses engaged in a wide variety of activities including manufacturing, distribution, and resort operations. Mr. Erly has also frequently represented investment funds and other entities in connection with offerings of securities including offerings under the EB-5 immigrant investor program. Mr. Erly also represents entities engaged in investment management in connection with regulatory matters. Mr. Erl...

Carl A. Fornaris is Co-Chair of the firm's Financial Regulatory and Compliance Practice. With 20 years of legal experience, Carl concentrates his practice on the representation of financial services firms in all aspects of their business. In particular, he represents U.S. and non-U.S. firms on finance and corporate matters, and provides supervisory and compliance counseling for institutions regulated by the Federal Reserve, OCC, FDIC, FinCEN, CFPB, SEC, FINRA, Florida Office of Financial Regu...

George C. Freeman, III, is a founding member of the firm. His practice focuses on securities litigation, arbitration, and enforcement. He primarily represents financial advisors and broker-dealers, together with their respective officers, directors, and employees, in customer disputes and in SEC and FINRA proceedings. He also represents underwriters, issuers, and trustees in securities class action cases. Outside the field of securities, George concentrates in complex financial and commercial...

Clients hire Jacob because his aggressive, tenacious, creative and proactive strategies often put the other side on its heels, and because he gets successful results in investigations and litigation. Jacob has secured superior results for his securities enforcement, white-collar criminal defense, FCPA and internal and government investigations clients. Jacob brings his experience and outstanding reputation, including for creative strategies and solutions, to the defense of investigations, lit...

Asher Friend is a partner in the Corporate Practice Group and a member of the firm's M&A and private equity and corporate and securities and executive compensation teams. Asher focuses his practice in the areas of mergers and acquisitions, private equity, securities, and general corporate law. Asher has developed significant experience in the hospitality, healthcare, energy, and technology industries, including representing clients in myriad acquisitions, divestitures, joint ventures, and...

Dan Fritze is a partner of Nelson Mullins Riley & Scarborough LLP who practices in Columbia in the areas of corporate, finance, mergers & acquisitions, and securities law. Mr. Fritze has experience with mergers and acquisitions, corporate formation and governance issues, joint ventures, private placements, and commercial and supply contracts. Mr. Fritze’s prior experience as a CPA allows him to provide financial insight on corporate transactions.

Mark Fullmer practices in the areas of business and finance and corporate and securities. He represents start-up companies as well as companies in the mature stages of their growth cycle. His practice in the area of corporate and securities includes all aspects of public and private company representation, including public offerings, private placements, corporate governance, compliance with Sarbanes-Oxley, and mergers and acquisitions. He has also represented both venture capital funds and in...

Mr. Gardner is a Member in the Jennings Strouss Business Litigation practice and is the Firm's Managing Attorney. He is a trusted advisor to both entrepreneurs and businesses of all sizes. In that capacity, he routinely counsels clients on ways to mitigate risk, achieve business objectives, develop and implement employment policies, and build, secure, and protect intellectual property. Mr. Gardner focuses his litigation practice on securities litigation and arbitration, class action defense, ...

Dennis O. Garris is partner-in-charge of the firm’s Washington, D.C. office and is the former co-head of the firm’s securities, mergers and acquisitions practices. His practice focuses on securities and complex Securities and Exchange Commission (SEC) regulatory and disclosure matters and mergers and acquisitions. Mr. Garris is a nationally known expert on SEC regulatory matters, including the proxy rules, tender offer rules, going-private rules and beneficial ownership reporting ...

Jeremy focuses his practice on securities-related transactions and corporate governance, specifically in connection with private capital financings and public offerings, and the organization, funding, and ongoing representation of emerging growth technology companies and venture firms.Jeremy handles the public offerings of securities, representing both issuers and underwriters, and is experienced in the underwritten offerings of equity securities, as well as 144A private placements of high-yi...

Maureen Gershanik is a partner in the firm’s Business Section. She practices primarily in the areas of corporate law and governance, securities law, and mergers and acquisitions. She also advises clients on ESG initiatives. Maureen has an active business transactional and advisory practice. She works with clients on public and private offerings of debt and equity securities, acquisition transactions, restructuring transactions, business separations, new business formations, and other tr...

Eugene I. Goldman represents domestic and international clients before the US Securities and Exchange Commission (SEC) in financial fraud, auditor misconduct, false disclosure, insider trading and other securities proceedings. He also represents audit committees in internal investigations as well as clients in shareholder litigation, cross-border Foreign Corrupt Practices Act (FCPA) investigations, and the Financial Industry Regulatory Authority (FINRA) and the Public Company Accounting Overs...

Robert J. Grammig is a partner and leader of the firmwide Public Companies and Securities Practice at Holland & Knight. Mr. Grammig has practiced for more than 30 years in the areas of public company mergers and acquisitions, securities law, general corporate law and international business transactions. He serves on the firm's Directors Committee. Mr. Grammig has represented both companies and underwriters in numerous public company offerings. He has also led legal teams on behalf of acqu...

Neil Grayson, a partner with Nelson Mullins Riley & Scarborough LLP and the head of the Firm's Financial Institutions Practice Group, has a corporate practice focused primarily on the financial institutions and mobile payments industries. Mr. Grayson advises clients on matters related to corporate governance, enforcement actions and other bank regulatory matters, recapitalizations, private equity, securities offerings and reporting requirements, mergers and acquisitions, executive compens...

Beau Grenier is a partner in the Corporate Practice Group and co-leader of the firm’s mergers and acquisitions and private equity team. He provides comprehensive legal and strategic counsel on M&A, capital raising, and other business transactions; securities matters; and corporate governance. Beau is a leading corporate and securities lawyer with more than 35 years of experience. For more than 17 years, he also served as the managing partner and board chairman for a diversified AmLa...

Bob Hayward – named a “Notable Gen X Leader” by Crain’s Chicago Business in 2021 and a “Trailblazer in the Midwest” by The American Lawyer in 2022 -- helps lead the team that has been awarded “Capital Markets Practice Group of the Year” numerous times by Law 360. Bob provides direct, thoughtful and practical advice to publicly-traded corporations — across all industries — and private equity funds and their portfolio companies in all ...

David Hooper provides experienced and practical advice to help clients grow and achieve success. Whether assisting public companies, financial institutions, closely held entities, fund sponsors, or individuals, David offers sophisticated guidance in a responsive and collaborative manner on securities, mergers and acquisitions, capital markets, and corporate law matters. David is the chair of the firm’s Securities and Capital Markets Practice Group and concentrates his practice in the ar...

Peter D. Hutcheon, a Member of the firm, practices primarily in the areas of business governance, commercial transactions, securities, banking, and finance. Peter regularly counsels management of public and private companies and banking institutions on governance matters. He also has particular expertise with respect to indemnification and insurance issues affecting directors and officers. Peter has represented parties in major public-private partnership financings. He also represents clients...

Hill Jeffries' practice is focused on a variety of corporate finance transactions, including U.S. and international capital markets offerings, as well as mergers and acquisitions, securities regulation, corporate governance, and the general representation of public and private companies. Mr. Jeffries represents companies and investment banking firms in a wide variety of corporate finance transactions. He has completed over 100 public offerings, including 25 initial public offerings, having an...

Walter Jospin Partner, Finch McCranie LLP Atlanta wjospin@finchmccranie.com Walter Jospin’s practice focuses on advising companies, boards of directors, board committees, and individuals on governance and SEC and other securities regulatory enforcement matters. Mr. Jospin also represents SEC whistleblowers. Government Service Mr. Jospin is the former Director of the Atlanta Regional Office of the U.S. Securities and Exchange Commission, where he served from 2015 to 2018. As Regional Dir...

John W. Joyce is an experienced litigator and trial attorney whose practice includes most types of sophisticated civil litigation. He represents insurance companies in coverage and claim-handling cases, broker-dealers and financial advisors in securities and employment disputes, and both businesses and individuals in contract, fraud, fiduciary liability, shareholder, restrictive covenant, and trade secret litigation. John has represented clients in more than twenty trials, evidentiary hearing...

Robert S. Kant has represented numerous large and small issuers of equity and debt securities in hundreds of securities transactions involving the sale of more than $20 billion of securities through virtually every major investment banking firm in the United States. He regularly represents national, regional and local investment banking firms, as well as a variety of investment banking, private equity and venture funds. He also serves as a director or member of advisory boards to public and p...

Brad D. Kaufman is the Vice President and Treasurer of Greenberg Traurig. He is also Co-Chair of the Securities Litigation Group and leads the firm’s Associate Development Program. He focuses his practice on securities litigation and regulatory actions and has represented virtually every major broker/dealer in virtually all aspects of their business, including traditional litigation in state and federal court as well as arbitrations. Brad has defended both securities class actions and s...

Seth King is a member of the Firm’s corporate and securities group, working primarily in the areas of securities, mergers and acquisitions , commercial finance and general corporate and business law . Mr. King received his law degree in 2000, graduating magna cum laude from Brigham Young University’s J. Reuben Clark Law School, as a member of the Order of the Coif . He also received a Bachelor’s degree in Finance, cum laude , from Utah State University in 1997. Mr. King was ...