Find Lawyers in Florida, United States for Securities Regulation
Practice Area Overview
Clients also need advice in investigations and enforcement actions concerning possible violations of the securities laws. These investigations may be conducted by the SEC, by state securities commissions or attorneys general, FINRA and other self-regulatory organizations (including, for accounting firms, the PCAOB), and federal or state criminal prosecutors. Securities regulatory lawyers may represent individuals or entities in these inquiries, and must often coordinate with other law firms in industry-wide investigations. Securities regulatory lawyers conduct internal investigations for companies or their boards of directors as well as regulatory entities, including individual, class, and derivative actions, and in arbitrations before FINRA, JAMS, AAA, and international arbitration forums.
Securities regulatory lawyers must understand the relevant legal and regulatory issues and the different products and services subject to securities regulation. These products and services include common and preferred stock; corporate, government, agency, municipal and convertible bonds; open-end and closed-end mutual funds; exchange-traded funds and notes; structured products; asset-backed securities; private funds; separately managed accounts; variable annuities; 529 plans; warrants; options; futures; swaps; commodity pools; bank collective trust funds; and insurance separate accounts. Securities regulatory lawyers also must understand the roles of floor-based and electronic exchanges, dark pool and other alternative trading systems, over-the-counter, "upstairs" and private placement markets, the clearance and settlement utilities, and the rules relating to all of these markets. Securities regulatory lawyers must understand how to conduct cross-border transactions consistent with the laws and regulations of the relevant jurisdictions. Finally, securities regulatory lawyers must stay current on legal, regulatory, and enforcement developments of the SEC, CFTC, FINRA, MSRB, PCAOB, the securities and futures exchanges, the states, and, post-Dodd-Frank, the Federal Reserve Board, FSOC, and other banking regulators.
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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...
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...
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...
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...
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...
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...
Matthew W. Miller focuses his practice on private equity and venture capital transactions, public and private securities offerings, mergers and acquisitions, corporate restructurings, secured lending transactions, and general corporate matters. Matthew's specific industry experience includes education, manufacturing, automotive, pharmaceuticals, medical devices, employee outsourcing and leasing, telecommunications, information technology, and aircraft parts sales and leasing.
Steve is a member of the firm’s Board of Directors and a corporate transactional lawyer in the firm’s Business and Healthcare practice areas. Steve’s practice for more than 20 years has focused on the representation of clients in their most important and complicated transactions, including the negotiation and documentation of mergers, acquisitions and stock and asset sales, joint ventures, private equity investments and financings. Steve also represents clients and executive...
Daniel Newman is an experienced litigator of complex commercial, securities, and construction matters in state and federal courts and before various arbitration forums.Mr. Newman represents both plaintiffs and defendants in a variety of business and securities-related litigations, including commercial torts, contracts, shareholder derivative actions, class actions, and common law and statutory securities fraud actions.
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