Offerings & Filings

• Private Placements
• Regulatory Filings
• Registration

Regulatory Defense

• FINRA
• Securities and Exchange Commission
• State Securities Agencies

Securities Litigation

• Litigation
• Arbitration
• Employment

Business & Corporate

• Formation
• Company Structure
• Business Plan

Secore & Waller, L.L.P. provides legal advice and representation to regional and national clients concerning public and private securities offerings and filings, regulatory matters, litigation, arbitration and corporate matters.

Our clients include securities issuers, securities broker/dealers, investment advisers, reporting companies, investment funds, registered representatives, associated persons and affiliates.

We prepare registration statements, offering documents and underwriting or selling agreements for public and private companies. We represent plaintiffs and defendants in securities and business litigation and arbitration. We represent clients in investigations and enforcement proceedings conducted by the Securities and Exchange Commission, the Financial Industry Regulatory Authority and state securities agencies. We have served as independent counsel to public and privately held companies in connection with internal investigations. We provide advice to boards of directors. We assist clients in complying with filing requirements under the Securities Act of 1933 and the Securities Exchange Act of 1934. As part of our representation of persons in the securities business, we provide general advice in connection with formation of entities, mergers and acquisitions, employment, competition, intellectual property and similar issues.