Advising Businesses On Transactions, Reporting And Compliance
From launching a startup to running day-to-day operations to dissolving a business, remaining compliant can be a difficult balancing act. Almost every activity involves some sort of law, rule or regulation. No matter how large or small your business is, having a skilled corporate attorney on your side can have a meaningful impact on the success of your operations.
Attorney Devin Bone advises directors and corporate officers on compliance, day-to-day operations and a broad range of other business activities, including:
- Securities offerings
- Mergers and acquisitions
- Initial public offerings
- Private capital raising
- Registration statement filings
Coordinating with a skilled attorney mitigates disputes before they happen and potentially minimizes the damages of those that do emerge.
Legal Representation In Financial Industry Regulatory Authority (FINRA) And SEC Investigations
Coming from a family of financial advisors, Devin is aware of the intricacies of the financial sector and the pressures facing investment professionals. He regularly represents registered investment advisers and brokers in FINRA arbitrations in a variety of disputes.
Devin is known for his success in litigating employment disputes and defending sustainability, churning, and broker misconduct cases. He also has experience defending clients in securities fraud cases, both in court and in private arbitration.
In every case we handle, our goal is to minimize disruption to your business and bring matters to a close as quickly and efficiently as possible.
Devin also has experience representing companies and individuals in investigations and litigation initiated by the U.S. Securities and Exchange Commission. He works frequently with SEC attorneys throughout the United States, facilitating quick resolutions to investigations. When needed, Devin can be an aggressive advocate and develop intricate, nuanced defenses to often complicated SEC lawsuits.
Guidance For Publicly Reporting Businesses
Consideration and adherence to the excessive SEC list of required reporting items is a difficult task for executives who need to focus on day-to-day activities. We have a deep understanding of SEC reporting requirements for publicly reporting businesses. Our services include guidance surrounding:
- Annual and quarterly reporting obligations
- Regulation fair disclosure obligations
- Equity-based compensation plans
- Corporate restructuring
- Insider transactions and other transactional events
We work with businesses of all sizes across a broad range of industries. Our services are cost-effective and minimally disruptive, allowing you to focus on operations while we ensure your business is compliant.