Financial Services Industry
Investment Management Industry
The number of agencies and entities with regulatory and enforcement power over the securities industry—not to mention their voluminous, complex, and overlapping rules—all simultaneously have a say in how a securities firm does business. Lowenstein Sandler’s Securities attorneys are equally familiar with these regulatory entities and with the securities firms they oversee.
Our attorneys represent underwriters in financing transactions such as initial, follow-on, and secondary public offerings and shelf registrations, and in other transactions securities firms underwrite, including joint ventures, mergers and acquisitions, spin-offs, and going private transactions. We are fully versed in the massive regulatory requirements of doing this kind of business; we draft and review regulatory filings, design and audit compliance programs, prepare for and respond to investigations, advise on corporate governance, and develop and review licensing, registration, and continuing education policies. Our attorneys advise on employment issues particular to the industry, such as insider trading, and on securities-related tax matters. Our securities litigation practice is in-depth and longstanding, and we handle not only securities disputes but white collar, antitrust, and employment litigation on behalf of securities firms.
Lowenstein Sandler’s Securities attorneys help companies develop and market their investment products and draft and negotiate agreements with service providers and customers. As in other technologically advanced industries, intellectual property represents a securities firm’s core assets to be leveraged and protected. Our group advises on the patent, licensing, outsourcing, business privacy, data security, and electronic commerce concerns of the securities business, and we manage their intellectual property litigation. A member of our Securities industry practice previously headed the worldwide intellectual property effort for JPMorganChase’s legal department, serving as lead internal lawyer on multi-billion dollar outsourcing deals and patent litigation. He, and the full Securities team, bring valuable industry insight to the range of matters that most impact securities firms.