Securities and Capital Markets
Securities and Capital Markets
We help companies of all sizes―and in particular middle-market and emerging growth companies, entrepreneurs, and small-cap and micro-cap companies―navigate their legal and operational challenges, with tactical advice that is timely, practical and grounded in our solid knowledge of both corporate law and the particular needs of their business.

Our clients span industries and continents, and we bring a full complement of interdisciplinary legal services to their challenges.  We counsel U.S., European, Indian and multinational clients in most types of complex corporate and securities transactions, both in the U.S. and internationally.

Our team handles the following types of capital-raising transactions:

  • Private Offerings–Private offerings of common stock and warrants, preferred stock, senior notes, debt securities and units consisting of common stock, debentures and warrants, as well as offerings under Regulation S and Rule 144A.
     
  • Reporting Companies–Preparing and filing reports with the SEC; ensuring compliance with the rules of the NYSE, the NASDAQ National Market, the NASDAQ SmallCap Market and the OTC Bulletin Board; ensuring fair disclosure of material developments and negative news; conducting stock repurchase programs; preparing proxy and information statements; assisting with compliance with insider trading laws; and other matters.
     
  • Public Offerings–Initial, follow-on and secondary public offerings for domestic and foreign companies, involving offerings of common stock and warrants, preferred stock, senior notes, debt securities and units consisting of common stock, debentures and warrants.
     
  • International Clients–Guiding foreign clients in their U.S. and offshore offerings, assisting with U.S. reporting and other requirements, and representing clients in complex transactions that have no U.S.-based nexus.
 
 

Overview

We help companies of all sizes―and in particular middle-market and emerging growth companies, entrepreneurs, and small-cap and micro-cap companies―navigate their legal and operational challenges, with tactical advice that is timely, practical and grounded in our solid knowledge of both corporate law and the particular needs of their business.

Our clients span industries and continents, and we bring a full complement of interdisciplinary legal services to their challenges.  We counsel U.S., European, Indian and multinational clients in most types of complex corporate and securities transactions, both in the U.S. and internationally.

Our team handles the following types of capital-raising transactions:

  • Private Offerings–Private offerings of common stock and warrants, preferred stock, senior notes, debt securities and units consisting of common stock, debentures and warrants, as well as offerings under Regulation S and Rule 144A.
     
  • Reporting Companies–Preparing and filing reports with the SEC; ensuring compliance with the rules of the NYSE, the NASDAQ National Market, the NASDAQ SmallCap Market and the OTC Bulletin Board; ensuring fair disclosure of material developments and negative news; conducting stock repurchase programs; preparing proxy and information statements; assisting with compliance with insider trading laws; and other matters.
     
  • Public Offerings–Initial, follow-on and secondary public offerings for domestic and foreign companies, involving offerings of common stock and warrants, preferred stock, senior notes, debt securities and units consisting of common stock, debentures and warrants.
     
  • International Clients–Guiding foreign clients in their U.S. and offshore offerings, assisting with U.S. reporting and other requirements, and representing clients in complex transactions that have no U.S.-based nexus.
Partner
Email (312) 857-2630(312) 857-2630
Timothy Lavender serves as chair of the firm’s Corporate practice.  With three decades of global transactional experience, Tim is a deal maker and is regarded as a trusted advisor in me...
Partner
Email (212) 808-7540(212) 808-7540
Michael Adelstein is one of the foremost attorneys in the field of “alternative investments” and is the chair of Kelley Drye’s PIPEs and Alternative Investments group.  Mich...
Partner
Email (212) 808-7718(212) 808-7718
John Callagy has served as trial and appellate counsel for numerous disputes in various federal and state courts, representing his clients on virtually all legal issues affecting large domestic an...
Partner
Email (203) 351-8070(203) 351-8070
Brian Calvey is a partner in the firm's Stamford office. He focuses his practice on corporate finance, securities (1933 Act and 1934 Act issues), mergers and acquisitions, joint ventures and s...
Partner
Email (202) 342-8857(202) 342-8857
Joe Hoffman co-chairs the Washington D.C. Business Group.  His commercial practice focuses on real estate and corporate transactions involving the purchase and sale of assets and companies, a...
Partner
Email (212) 808-7714(212) 808-7714
Bruce Kraus is a partner in the New York corporate practice and chair of the Corporate Finance and Securities practice group. A leading practitioner in mergers & acquisitions, corporate financ...
Partner
Email (713) 355-5035(713) 355-5035
Bryce Linsenmayer focuses his practice on securities law and mergers and acquisitions.  He advises issuers and investment bankers in public offerings and domestic and foreign private placement...
Partner
Email (312) 857-7086(312) 857-7086
Andrew Pillsbury focuses on mergers and acquisitions, joint ventures and technology matters, start-up counseling and securities and corporate governance issues.  Andrew also represents lender...
Partner
Email (212) 808-7768(212) 808-7768
A member of the firm’s Corporate practice, Joel Rublin focuses on contract matters, project development and finance, securities law and restructurings, with an emphasis on serving clients in...
Partner
Email (203) 351-8018(203) 351-8018
Merrill Stone’s corporate practice includes finance and securities law, banking, shareholder services and mergers and acquisitions.  Merrill represents banks, financial institutions, pr...
Partner
Email (202) 342-8829(202) 342-8829
Martin Teckler is one of the few attorneys in the country experienced in the programs of the Small Business Administration (SBA) and other federal agencies that provide capital to small businesses...
Special Counsel
Email (973) 503-5965(973) 503-5965
Brian Foley is special counsel in the firm’s Parsippany office.  His practice focuses on real estate finance and the capital markets, particularly in representing institutional lenders ...
Special Counsel
Email (312) 857-7082(312) 857-7082
Jennifer Norkus is special counsel in the firm’s Chicago office.  She focuses her practice on mergers and acquisitions, equity and debt financing, and general corporate matters. Je...
Special Counsel
Email (212) 808-5038(212) 808-5038
Carol Sherman practices in the area of corporate and securities law.  Her experience includes SEC reporting and compliance, equity and debt offerings, corporate governance and mergers and acqu...
Senior Associate
Email (203) 351-8141(203) 351-8141
Wendy Clarke is a senior associate in the firm’s Stamford office, where she focuses her practice on corporate, finance and securities law. Wendy represents private equity funds, global indus...
Senior Associate
Email (312) 857-7076(312) 857-7076
Jennifer Wong is a senior associate in the firm's Chicago office. She focuses her practice on corporate and securities law, including SEC reporting and compliance, equity and debt offerings, c...
Associate
Email (212) 808-5076(212) 808-5076
Jason Katz is an associate in the firm’s New York office. He focuses his practice on securities, mergers and acquisitions, corporate governance, and general transactional matters. Jason has ...
Associate
Email (312) 857-7079(312) 857-7079
Courtney Kleshinski is an associate in the firm’s Corporate practice group and located in the Chicago office. She concentrates her practice on all facets of equity and debt financings, merge...
Law Clerk
Email (212) 808-7646(212) 808-7646
Stephanie Estey is a law clerk in the firm’s New York office and is not admitted to any Bar.