Securities Law

Lockett & Horwitz’s attorneys have a great deal of experience representing clients in the broad spectrum of corporate finance transactions.  Our firm serves as counsel to many companies, both public and private, as well as underwriters and investors.  We pride ourselves on provide quality service related to the many technical legal issues involved in corporate finance transactions in a cost-effective manner.

Our attorneys assist our business clients in the various reporting requirements to the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA), including annual reports on Form 10-K, quarterly reports on Form 10-Q and all other requirements for compliance with the Securities Act of 1933, the Securities Exchange Act of 1934, Sarbanes-Oxley and Dodd-Frank regulations.

Securities services we offer include:

• Obtaining quotation and listing of client securities on national exchanges including NASDAQ, Over the Counter Bulletin Board (OTCBB) and OTC Market Group’s premier international exchange, OTCQX
• Selling shareholder registration statements
• Private offerings and private placement memorandums
• Public offerings, including direct public offerings and underwritten public offerings
• Mergers, acquisitions and reorganizations, including assets sales and stock sales
• Venture capital transactions
• Compliance with state “blue sky” laws
• Rule 144 legal opinions for legend removal from stock certificates