KJK’s Securities Practice Group is known for our hands-on in-house counsel approach to creative problem solving. We represent companies of all sizes ranging from start-ups seeking angel investors to large publicly-traded companies. Our team has extensive experience counseling our clients on a wide array of securities issues, including debt and equity financing, capital formation via both public offerings and private placements, ’34 Act reporting for public companies, directors, officers and other “control” persons, state “blue sky” compliance, tender offers and proxy contests.
Additionally, we counsel brokerage firms, individual brokers and investment advisors in matters of ongoing regulatory compliance, and have comprehensive experience working with regulatory authorities such as the Securities and Exchange Commission, the Financial Industry Regulatory Authority (FINRA), the Ohio Division of Securities and the stock markets and exchanges. Our securities and litigation group team up to represent broker-dealers and investment advisors in arbitrations and enforcement matters.