Schottenstein Zox & Dunn
" We offer our clients a range
of services throughout all phases
of securities transactions."
Securities
At Schottenstein Zox and Dunn, our Securities Practice Area offers a broad range of securities-related advice and services to clients throughout all phases of securities transactions. We represent issuers and investors, as well as industry participants such as broker-dealers and investment advisers. Our securities law compliance and transactional experience includes:
- public offerings
- private placements, including PIPEs and Rule 144 and 144A transactions
- SEC reporting and compliance
- exchange reporting and compliance
- insider trading and Section 16 reporting and compliance
- beneficial ownership reporting and compliance
- Sarbanes-Oxley Act and related SEC rules compliance and corporate governance advice
- going dark and going private transactions
- proxy contests
- issuer and third-party tender offers
- public company mergers and acquisitions
- broker-dealer and investment adviser compliance
- investment company and hedge fund compliance
SZD’s securities attorneys have familiarity in dealing with the National Association of Securities Dealers, the SEC, major stock exchanges, all 50 states’ securities commissions and federal and state banking officials. Our attorneys serve on federal regulation of securities committees for the American Bar Association, have been named Best Lawyers in America and Ohio Super Lawyers and have attained the highest rating through Martindale-Hubbell.
