Securities

Recognizing the growing need in the region for a comprehensive securities law practice, Mackenzie Hughes represents a broad range of companies seeking to raise equity capital or private debt financing from investors through private securities offerings.

Mackenzie Hughes has experience in all phases of economic development, municipal bonds and public finance. And we have worked as bond counsel in both tax-exempt and taxable bond issues.

The firm further represents clients in all aspects of securities fraud litigation and arbitration before FINRA, AAA and state and federal courts.

Services include:

Arbitration

• Representing clients in FINRA arbitration proceedings

Compliance

• Counseling investment advisors, corporations and national bank directors in complying with SEC, FINRA, Sarbanes-Oxley and new corporate governance rules and regulations

Financing

• Helping mature and emerging businesses secure financing through private placements and other initiatives
• Preparing and filing reports including disclosure forms for corporate officers and directors
• Providing advice and counsel on all aspects of initial offerings of corporate stock