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KPPB LAW

Corporate Law Firm

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Securities

Home › Securities

SecuritiesKPPB LAW clients rely on our team to gain a thorough understanding of federal and state securities laws and matters regarding securities transactions, compliance and corporate governance. We represent clients in a wide range of industries, with a particular focus on growth companies in the telecommunications, software, internet, electronic commerce, technology, and financial institutions industries.

KPPB LAW’s Securities & Corporate Governance practice provides a complete range of related legal services, including representation of:

  • Directors and committees seeking advice on meeting their fiduciary duties, corporate governance initiatives, conducting investigations, negotiating related party transactions, and addressing derivative claims
  • Businesses seeking to raise capital by means of private offerings, and Rule 144A debt offerings
  • Publicly and privately held businesses in the areas of corporate governance, transaction planning, and risk management
  • Privately held businesses considering M&A transactions
  • Officers, directors and large shareholders in connection with share acquisitions, dispositions and hedging transactions
  • Investment funds in connection with fund formation and capital raising

Private Offerings

  • Advising business owners on structuring the company and the offering
  • Negotiating with investment bankers, venture capitalists, angel investors, and other financing sources (including term sheets, letters of intent)
  • Drafting offering circular and related documents
  • Advising on compliance with state and federal securities laws

Securities Compliance

  • Periodic Reporting Obligations (10Ks, 10Qs, 8Ks, etc.)
  • National Exchange Regulations (NASDAQ, AMEX, etc.)

Private Equity Funds / Investment Advisors

  • Formation of Funds
  • Investment Advisors Act Compliance

Fund Formation & Compliance

SecuritiesKPPB’s Securities and Fund Formation Practice has worked with and advised new and established private funds through the process of structuring their alternative investment vehicles and investments.

The Practice has formed U.S. and off-shore funds utilizing structures that complement each fund’s investment strategy. Our clients include private equity, venture capital and hedge funds that seek our expertise in fund formation and advice on regulatory issues.

The operation of an investment fund is a complex matter and our attorneys are sensitive to, and experienced in dealing with, the problems that can arise. We draw upon this broad and deep experience when advising clients on structuring, negotiating, and preparing fund documents.

Our fund formation attorneys work closely with our Tax Practice to structure funds and their management companies in the most tax efficient way possible, and that comply with the various regulations affecting private equity, venture capital and hedge funds.


Securities Attorneys at KPPB LAW

Raj Mahale KPPB Law Attorney
Raj Mahale

Partner
KPPB LAW - Sonjui Kumar 1x1
Sonjui L. Kumar

Partner
Deven Kane KPPB LAW
Deven S. Kane

Of Counsel

info@kppblaw.com


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GEORGIA

[Corporate Office]
One Lakeside Commons
Suite 800
990 Hammond Drive
Atlanta, GA 30328
678.443.2220
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NEW YORK

575 Fifth Avenue, Suite 1400
New York, NY 10017
203.875.0808
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CONNECTICUT

470 James Street
New Haven, Connecticut 06513
203.800.7417
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161 Kings Hwy E / First Floor
Fairfield, Connecticut 06825
203.576.9211
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VIRGINIA

7330 Heritage Village Plaza
Suite 201
Gainesville, Virginia 20155
571.248.2566
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ILLINOIS

Chicago
312.857.5264
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NEW MEXICO

6605 Uptown Blvd. NE
Suite 240
Albuquerque, NM 87110
505.314.1312
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