Corporate / Securities

Our firm serves as outside general counsel to numerous companies. We provides day-to-day legal advice on all aspects of business operations, including the duties of the partners in partnerships, members and managers of limited liability companies, and officers and directors of corporations, along with issues regarding the indemnification of officers and the applicability of the business judgment rule. The firm also provides additional advice on corporate governance matters. 

Besides counseling and representing corporations and boards of directors regarding regulatory matters, corporate governance and special securities transactions, we also offer services to family owned businesses, including buy-sell agreements, family limited partnerships, business succession plans, business exit strategies, estate planning, and employment agreements. Advising entrepreneurs in the formation and growth of their businesses is also a significant part of the firm’s corporate and securities practice. We provide our emerging growth clients practical legal advice to help these clients achieve their goals. We assist companies from start-up and early stage ("angel investing"), through its expansion and growth phase, and, ultimately, in the exit stage, whether it is a public offering or a sale. Our attorneys understand the venture capital process and have significant experience with the documentation involved in venture capital financings and other private equity transactions. We serve clients over a wide spectrum of industries, including technology, apparel, and real estate. 

The firm's managing partner served as the head of the compliance and due diligence department of an NASD (National Association of Securities Dealers) broker/dealer and was licensed as a register representative, a registered principle, a registered options principle, and as a registered financial operations principle. Consequently, the firm has unique perspectives and insights to assist its clients in dealing with its corporate and security matters. We offer result-oriented and cost-effective representation for our clients in litigation, arbitration and regulatory cases. Representing clients in a securities enforcement matter requires strategies different from those used to handle an ordinary civil dispute. The mere initiation of an enforcement action by a securities regulator can cause extensive harm to a client’s reputation or business prospects. We actively communicate with regulators when defending clients at the start of an enforcement action, from informal inquiry through the investigation (“Wells”) process, in order to facilitate an acceptable and timely resolution of the matter. However, when necessary, we are driven to achieve favorable outcomes for our clients if the case proceeds to a hearing or trial. 

We can assist both plaintiff and defendants in a wide variety of corporate and security litigation matters, such as: 

Breach of Fiduciary Duties 
Dissolution and accountings 
Partner and shareholder disputes 
Freeze-outs Inadequate or untimely disclosure 
Restatement of earnings 
Advertising violations 
Improper sales practices 
Underwriting practices 
Trading issues 
Insider trading 
Failure to supervise 
Market manipulation 
Regulatory reporting 
Blue sky issues 
Financial reporting fraud 

We use a comprehensive approach in representing the interests of our business clients. Our attorneys work closely with each other to utilize the expertise of attorneys in the firm’s various specialty areas, including intellectual property, employment, litigation,










Hallstrom, Klein & Ward, LLP
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