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Securities Law

Hawley Troxell represents a wide range of businesses from publicly-held, exchange-traded companies to investors and securities professionals involved in securities transactions, federal and state securities enforcement proceedings, and civil litigation. We are counsel to national and community financial institutions and private lenders as well as limited liability companies, limited partnerships, and corporations. Additionally, we maintain strong relationships with national and regional PCAOB-registered auditors. Our multidimensional experience provides us with the perspective of all sides of a transaction, which helps us anticipate issues and structure deals that are more likely to work in the market place and pass muster with the securities regulators.

Our experience includes both federal and state securities regulation of issuers, brokers, and investment advisors. Our securities attorneys serve as hearing officers for the exempt exchange of securities transactions. We also negotiate and draft numerous term sheets and private placement memoranda for emerging growth companies in a number of Regulation D and other offerings to private investors, venture capitalists and angel investors.

While assisting clients with their securities needs, we are able to involve the experience of our attorneys from other practice areas, including banks and other financial institutions, commercial litigation, corporate governance, entity formation, employment law, executive compensation, insurance, mergers and acquisitions, public finance, and real estate to provide the most comprehensive service possible.


  • Business & Finance
  • Government
  • Insurance