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Securities Law

Securities Industry Knowledge. Masterful Guidance. is a full-service securities law firm representing corporate clients and shareholders in all aspects of the securities industry. With more than 100 years of combined experience, our attorneys deliver a depth and breadth of service on virtually all matters related to securities transactions, corporate oversight and compliance, securities litigation, and securities arbitration.

Orchestrating Complex Securities Transactions

We have extensive experience coordinating securities transactions. We organize the basic and necessary elements, while reconciling any conflicts that may arise among vital issues or key players. Moreover, by understanding your organization’s goals and objectives, we can help guide you to contacts who can help ensure smooth transitions. We can assist in all aspects of your transactions, including capital raising, debt or equity offerings, bank lending and margin regulations, and transactions involving existing securities.

Whether yours is currently a public company or you are seeking access to public markets, can help. We are also able to assist in private placement, such as Regulation S, Regulation D, Rule 144A and PIPE transactions. In the realm of existing securities transactions, we are adept at facilitating and advising on stock repurchase programs, tender and exchange offers, mergers and acquisitions, joint ventures and strategic alliances, resales, and registration under the Securities Exchange Act of 1934.

Assuring Meticulous Securities Oversight can help assure that your company is in compliance with all necessary government regulations. We can advise on requirements arising out of the Sarbanes-Oxley Act of 2002 and the Dodd-Frank Act, and offer dependable counsel to boards of directors, board committees, and financial advisors on corporate governance and compliance issues. We can draft and review policies and procedures, helping to protect against margin violations, options abuse, and failure to supervise charges.

In addition, our team of attorneys can guide your company through AMEX, NASDAQ, and NYSE listings and compliance, blue sky compliance, and SEC compliance. In addition to advising public companies on SEC reporting, officers, directors, and large shareholders often rely on to achieve and maintain SEC compliance.

Aggressive Litigation of Securities Disputes

Controversies surrounding securities can arise between the issuing companies and shareholders, or between broker-dealers and their customers. We vigorously defend our corporate clients against shareholder class actions lawsuits for alleged violations of securities regulations, including actions under the Securities Act of 1933, which covers IPO liability for such transgressions as failure to register, misstatements or omissions in a registration statement, misstatements or omissions in an offering statement, and fraud. also defends clients against allegations of Securities and Exchange Act of 1934 violations, which cover ongoing disclosures. These can include charges of insider trading and tipping, and misleading statements in filed reports. Further, we defend clients against charges of control person liability directed at officers and directors.

Securities Arbitration Representation

Approximately two-thirds of all securities arbitrations are between broker-dealers and their clients. Securities arbitration proceedings are intricate and must follow the strict guidelines of the Financial Industry Regulatory Authority (FINRA). You can trust to thoroughly and effectively protect your financial interest and your reputation against allegations that include:

  • Account overtrading (churning)
  • Unauthorized trading
  • Market manipulation
  • Mutual fund share class violations
  • Negligence
  • Breach of fiduciary duty
  • Omission of facts
  • Misrepresentation/fraud
  • Breach of contract
  • Unsuitability
  • Failure to supervise

A Securities Law Firm with Your Interests at Heart

To schedule an appointment with, call 212-779-4233 or contact us online today.

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Our Offices
  • Stamford Office
    403 Stanwich Road
    Greenwich, Connecticut 06830
    Phone: 212-779-4233
    Fax: 203-547-7540
  • New York Office
    110 E. 59th Street
    Suite 3202
    New York, New York 10022
    Phone: 212-779-4233
    Fax: 203-547-7540

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