Financial and Investment Services
Securities Transactions and Reporting
Paesano Akkashian advises publicly reporting companies, private funds and entities, entrepreneurs, and investors regarding the complexities of securities offerings, compliance, and mergers and acquisitions. Our corporate and securities attorneys, Anthony R. Paesano and Devin W. Bone, have decades of collective experience advising clients on the obligations imposed on companies by the Securities Act of 1933, Securities Exchange Act of 1934, and related state “blue sky” laws and regulations.
Capital raising though private and public offerings is a cornerstone of Paesano Akkashian’s securities practice. Mr. Bone regularly advises clients on all aspects of Regulation D offerings, crowdfunding, and other mechanisms provided under federal and state securities laws for private capital raising. Additionally, Paesano Akkashian has a proven track record of aiding clients in “going public” through initial public offerings or registration statement filings with the Securities and Exchange Commission (“SEC”). Our publicly reporting clients are provided guidance on annual and quarterly disclosure obligations, insider transactions, Regulation FD disclosure obligations, option and other equity-based compensation plans, spin-offs, going private transactions, and other corporate restructurings or transactional events. Paesano Akkashian also assists clients in complying with the requirements of the Financial Industry Regulatory Authority (“FINRA”) and national securities exchanges.
Securities Litigation
Should disputes with shareholders or government agencies arise, Paesano Akkashian is equipped to efficiently defend companies in litigation, arbitration, or investigations. Mr. Akkashian and Mr. Bone are an experienced securities litigators who have handled arbitrations and trials throughout the United States. They regularly defend shareholder disputes involving allegations of fraud, misrepresentation, breach of contract, and claims under the Securities Act and states’ consumer protection laws. Paesano Akkashian also regularly defends investigations initiated by the SEC, FINRA, or state regulatory agencies. We defend disputes aggressively, but in a manner that is cost-effective for our clients. Paesano Akkashian understand that funds spent in litigation are better spent in implementing our clients’ business plans.
Paesano Akkashian also handles disputes involving brokers, broker-dealers, and registered investment advisers before the Financial Industry Regulatory Authority (FINRA) and enforcement investigations by SEC and state regulators. Mr. Bone has developed a specialized practice representing independent brokers and investment advisers in suitability cases and employment disputes before FINRA, while Mr. Paesano is a FINRA-approved arbitrator.
Private Fund Formation and Compliance
Paesano Akkashian assists a variety of clients—from start-ups to established industry professionals—in forming and managing private investment funds. From initial formation and corporate governance issues to capital raising guidance, Paesano Akkashian provides investment funds with thoughtful, around-the-clock representation on all legal and compliance matters associated with operating private investment funds and hedge funds throughout the United States.