Culp Elliott and Carpenter’s Securities practice consists of attorneys who have extensive experience representing clients in all aspects of capital markets and securities transactions and ensuring clients comply with, and remain in compliance with, federal and state securities laws. Our attorneys understand it is increasingly important for business owners to have access to capital markets to grow their business or to engage in a planned transaction. It is equally important that business owners receive the necessary guidance to ensure that they, and their business, comply with the myriad of obstacles, both at state and federal levels, which can block the access to much-needed capital.

Our Securities practice is integrated with our other practice areas, such as our tax and business planning, corporate governance, and mergers and acquisitions practice areas. This approach allows our clients to take advantage not only of our attorneys’ technical knowledge in the securities field, but also their experience in managing similar transactions.

Our attorneys have experience in the full range of capital markets and securities transactions, including the following:

  • Structuring, planning and timing private securities offerings;
  • Advising clients on applicable federal and state implications of transaction structures and related planning;
  • Negotiating with broker/dealers, underwriters and purchasers;
  • Drafting offering materials, registration statements and private placement memoranda;
  • Drafting, preparing and filing federal and state securities law documentation;
  • Guidance with respect to the preparation of various reports and filings required under the Securities Act of 1933 and the Securities Exchange Act of 1934; and
  • Guidance with respect to compliance with federal securities laws and state Blue Sky laws.