Burr & Forman provides counsel to issuers and investors, as well as litigation services related to federal and state securities laws and regulations for a number of clients including:

  • Public and private companies
  • Fund sponsors
  • Private equity and venture capital investors
  • Broker-dealers
  • Corporate officers
  • Individual investors
  • Insurance companies


Transactional and Compliance Services

We provide legal services and assistance in connection with:

  • Private fund formation
  • Planning and implementing public offerings of securities (including drafting & filing registration statements for initial and secondary public offerings)
  • Private placements and other exempt offerings of securities
  • Broker-dealer registration and compliance
  • Compliance with Securities and Exchange Commission (SEC) reporting requirements
  • Compliance with corporate governance requirements of the SEC and stock exchanges
  • Proxy solicitations
  • Resale of restricted securities
  • Sales of securities by insiders

Litigation Services

Our attorneys assist clients in all forms of securities disputes, whether it is a dispute over a departing stock broker’s book of business or a shareholder derivative suit brought against a publicly-traded corporation. Our team represents clients in disputes in state and federal courts, before the SEC and state securities commissions, and in FINRA arbitrations. 

Looking to discuss your Securities issues?