Securities
The Larkin Hoffman Securities practice group helps clients effectively raise capital – be it equity or debt, public or private – as well as filing SEC reports; participating in mergers and acquisitions; and conducting other securities-related transactions.
Our securities team has more than 100 years of practical experience amassed through service as the Minnesota Securities Commissioner, conducting SEC enforcement and working in private practice. Drawing on this experience, we help a wide spectrum of well-informed clients balance defensiveness and thoroughness against cost and time to deliver optimum results.
Clients benefit from our extensive expertise in public offerings and private placements. Our experienced team also supports clients with periodic and event reporting; broker-dealer, investment advisor and agent registrations and licensing; investigations and disciplinary proceedings; and other matters relating to securities law. Historically, this group has focused on entrepreneurial, early-stage enterprises and, as a result, we have developed a strong expertise in the areas of seed funding, private placements and public offerings as well as venture capital financings. We represent both issuers and underwriters in connection with a wide range of initial and secondary public offerings across a variety of industries. In the area of private placements, we serve placement agents and issuers with placements varying in size and formality in a broad range of industries.
We also assist clients in securities-related matters, including: SEC reporting, press releases and informal disclosures; SOX compliance and board committees; proxy matters; insider trading and ownership reporting; restricted stock (rule 144); “finder” issues; and SEC/Blue Sky investigations and prosecutions. Additionally, we advocate simplified regulation for entrepreneurial businesses. We have been the driving force behind Minnesota’s SCOR short-form registration and were one of the leading proponents and drafters of Minnesota’s newly simplified regulatory policy for finders.
