How We Can Help
Allen & Thomas is ready to support your business with our deep expertise in various practice areas, including decades of experience navigating the nuances of corporate and securities law.
Mergers & Acquisition
Mergers & Acquisition
Protect your company’s interests with expert guidance through the complexities of buying, selling, and merging businesses. We will ensure you understand the financial risks and implications–including tax consequences and antitrust complications– for your company and shareholders. Allen & Thomas can help you with due diligence and draft Letters of Intent, structured deals, representations and warranties, and definitive agreements.
Fractional General Counsel
Fractional General Counsel
Gain access to the legal experience you need for day-to-day corporate governance, strategic advice and counsel to support your growth through M&A, or to protect the business from SEC and other regulatory action. Allen & Thomas has flexible solutions for every business and can act as your primary counsel or augment your current team to provide our unique expertise in securities laws and corporate governance.
SEC & FINRA Defense
SEC & FINRA Defense
If regulatory bodies like the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) are pursuing action against your company, Allen & Thomas’s depth of experience in this field can help you effectively respond to Letters of Inquiry and subpoenas or help prepare your defense during SEC enforcement actions and FINRA disciplinary actions. Our strategic guidance can also help companies mitigate the risks associated with these regulations to costly avoid enforcement and disciplinary actions.
Securities, Registration & Exemptions
Securities, Registration & Exemptions
Our decades of experience in securities law can help you navigate the web of federal and state regulations around registering private and public offerings, including the exemptions under regulations such as Regulation D, Regulation A, and Regulation Crowdfunding. We will help you maintain compliance with the myriad disclosures and financial statements necessary to register with the SEC or to register an exempt status.
Serial Issuers & Broker Dealers
Serial Issuers & Broker Dealers
Allen & Thomas provides serial issuers and broker dealers with the trusted advice they need to pursue ongoing capital-raising activities while avoiding the legal repercussions of violating the requirements of FINRA and state securities regulators. Our expertise can provide you with the best practices that will help maximize opportunities for fundraising while minimizing the risks to companies and shareholders.
Private Investment Funds
Private Investment Funds
Get the support you need to successfully form and manage private investment funds without risking antitrust and fraud violations. Allen & Thomas can help investment companies and crowdfunders structure their offerings around the requirements laid out in applicable securities laws and regulations, including the Investment Advisers Act of 1940 and the Securities Act of 1933, which feature myriad exemptions, registration requirements, and ongoing filing requirements to maintain compliance.