Corporate Finance & Securities

Sugar Felsenthal Grais & Helsinger LLP’s corporate finance and securities attorneys counsel entrepreneurs, start-ups, high net worth investors, family offices, investment banks, emerging growth and middle market public and private companies, and their managers, executives, boards of directors and other stakeholders in both simple and complex corporate finance and securities transactions.

Our attorneys are adept at structuring and executing all manner of capital market transactions, including, seed, angel and venture capital financings, private placements of equity and debt securities in Regulation D and Regulation S offerings, initial, direct and alternative public offerings, such as reverse mergers and SPAC acquisitions, follow-on equity, debt and hybrid offerings, such as shelf registrations, registered direct offerings and rights offerings, PIPEs and Regulation A+ offerings.

We counsel clients in structuring and negotiating all manner of debt financings and facilities from traditional sources such as banks to more non-traditional, alternative lenders as well as loans assisted by all manner of government programs including SBA, Freddie Mac, Fannie Mae, and HUD. Our corporate finance and securities attorneys also work closely with our Real Estate and Transactional Tax groups in tax-credit financing transactions.

In challenging times, drawing on the resources and experience of our Restructuring and Transactional Tax attorneys, we offer our clients creative solutions for restructuring their capital structures and investments.

In addition to transactional matters, we also advise clients with regard to compliance with securities and regulatory matters, including with respect to SEC reporting obligations, insider transactions, 10b5-1 trading plans, resales of restricted securities, Regulation FD disclosure obligations, option and other equity-based compensation plans, shareholder proposals, proxy contests, change in control events, use of finders, placement agents and broker-dealers to raise capital, and all manner of corporate governance requirements, such as board and committee structure and composition, conflict of interest avoidance and executive compensation.


Speaking Engagements

Read more about how our Business Transactions attorneys have assisted our clients with corporate finance & securities:

  • Obtained an IRS private ruling allowing a tax-free non-pro rata split off of two family owned businesses due to personality differences between third generation siblings.  Following split off, retained over long term for general corporate and tax representation by one company and numerous family members.

  • Negotiated sale of client's interests in a manufacturing business to her siblings when dispute about management and direction of the business arose after the death of their father/founder of the business.