dcsimg Securities Compliance

Securities Compliance

Our more than 50 securities compliance lawyers provide experienced guidance and counsel to companies of all sizes, from Fortune 500 organizations to smaller reporting companies. Because many of our lawyers have more than 10 years of experience, our representation draws on judgment that can only come from advising companies of different sizes and complexities day in and day out.

We assist companies listed on various exchanges including NASDAQ, the NYSE, AMEX and AIM. We work with clients in a range of industries, notably consumer products, energy, financial services, hospitality, manufacturing, retail, technology and transportation, and understand the industry-specific issues that affect our clients and their required reporting.

The firm’s securities compliance lawyers assist registrants with their regular reporting obligations under the Securities Exchange Act of 1934, including forms 10-K, 10-Q, 8-K and DEF 14A (proxy statement), as well as assistance with Regulation FD and Regulation G compliance. In addition to such routine filings, we assist clients with the implementation of new rules and listing requirements and on more complex issues, including hostile tender offers, consent solicitations and contested board elections. The result of the volume of work we handle and the diversity of industry-specific issues we address translates to unique best practices and intellectual capital that is available to all of our securities compliance clients.

Our securities compliance lawyers also assist clients with corporate governance matters, including advising boards and registrants with respect to Sarbanes Oxley and Dodd-Frank compliance.

CONTACTS

Richard W. Viola Partner T: +1 704 343 2149 Email
Jane Whitt Sellers Partner T: +1 704 373 8967 Email
Results 1-3 of 3

RESULTS DEPEND ON A VARIETY OF FACTORS UNIQUE TO EACH CASE. PRIOR RESULTS DO NOT GUARANTEE OR PREDICT A SIMILAR OUTCOME.

Representative Matter

Advised Dominion Resources in $4.4 Billion Acquisition to Expand Company’s Natural Gas Assets

Representation of Dominion Resources Inc. in its $4.4 billion acquisition plus the assumption of debt for an enterprise value of approximately $6 billion of Questar Corp. The deal expands Dominion’s natural gas assets into the western United States and will create a combined company to serve 4.8 million electric utility and natural gas customers in seven states.
Representative Matter

Provider of market intelligence, data, and technology solutions

Advised provider of market intelligence, data, and technology solutions to the global capital markets on the acquisition by its English subsidiary of a BVI-registered provider of web-based systems for loan syndication and its group for $31.5 million (subject to adjustments).
Representative Matter

Fortune 500 wireless carrier

Assisting a Fortune 500 wireless carrier with evaluation of device financing proposals for postpaid and prepaid brands.
Results 1-3 of 3
Results 1-25 of 55
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Karen J Adams Karen J. Adams
Counsel
201 North Tryon Street
Suite 3000
Charlotte, NC 28202-2146
Email
T: +1 704 373 8854
F: +1 704 353 6173
vCard
James M Anderson III James M. Anderson III
Partner
Gateway Plaza
800 East Canal Street
Richmond, VA 23219-3916
Email
T: +1 804 775 1044
F: +1 804 698 2155
vCard
Daniel Bidwell L. Daniel Bidwell
Associate
Gateway Plaza
800 East Canal Street
Richmond, VA 23219-3916
Email
T: +1 804 775 7631
F: +1 804 698 2231
vCard
Kevin Boardman J. Kevin Boardman
Partner
2000 McKinney Avenue
Suite 1400
Dallas, TX 75201
Email
T: +1 214 932 6403
F: +1 214 932 6499
vCard
Stephanie K Briggs Evans Stephanie K. Briggs Evans
Partner
201 North Tryon Street
Suite 3000
Charlotte, NC 28202-2146
Email
T: +1 704 343 2249
F: +1 704 444 8711
vCard
Jeff Brooker Jeffrey D. Brooker
Partner
2000 McKinney Avenue
Suite 1400
Dallas, TX 75201
Email
T: +1 214 932 6417
F: +1 214 932 6499
vCard
Thomas William Bruno Thomas William Bruno
Associate
Gateway Plaza
800 East Canal Street
Richmond, VA 23219-3916
Email
T: +1 804 775 1853
F: +1 804 440 7731
vCard
Robert L Burrus Jr. Robert L. Burrus Jr.
Counsel
Gateway Plaza
800 East Canal Street
Richmond, VA 23219-3916
Email
T: +1 804 775 4306
F: +1 804 698 2023
vCard
Boyd C Campbell Jr Boyd C. Campbell Jr
Counsel
201 North Tryon Street
Suite 3000
Charlotte, NC 28202-2146
Email
T: +1 704 343 2030
F: +1 704 444 8715
vCard
Jeffrey R Capwell Jeffrey R. Capwell
Partner
201 North Tryon Street
Suite 3000
Charlotte, NC 28202-2146
Email
T: +1 704 353 6256
F: +1 704 373 8823
vCard
John Cornelius John B. Cornelius
Associate
1345 Avenue of the Americas
7th Floor
New York, NY 10105-0106
Email
T: +1 212 548 7032
F: +1 212 715 6295
vCard
Larry J Dagenhart Larry J. Dagenhart
Counsel
201 North Tryon Street
Suite 3000
Charlotte, NC 28202-2146
Email
T: +1 704 343 2010
F: +1 704 444 8725
vCard
Katherine K DeLuca Katherine K. DeLuca
Partner
Gateway Plaza
800 East Canal Street
Richmond, VA 23219-3916
Email
T: +1 804 775 4385
F: +1 804 698 2084
vCard
Porter Durham J. Porter Durham, III
Associate
201 North Tryon Street
Suite 3000
Charlotte, NC 28202-2146
Email
T: +1 704 373 8059
F: +1 704 353 6202
vCard
Jon Finger Jon W. Finger
Partner
2000 McKinney Avenue
Suite 1400
Dallas, TX 75201
Email
T: +1 214 932 6404
F: +1 214 932 6499
vCard
Hanna Frank Hannah Thompson Frank
Partner
EQT Plaza
625 Liberty Avenue
23rd Floor
Pittsburgh, PA 15222-3142
Email
T: +1 412 667 7936
F: +1 412 402 4194
vCard
Tristan Freeman Tristan Freeman
Associate
1345 Avenue of the Americas
7th Floor
New York, NY 10105-0106
Email
T: +1 212 548 7026
F: +1 212 715 6274
vCard
Julianna Lowe Julianna Lowe French
Partner
201 North Tryon Street
Suite 3000
Charlotte, NC 28202-2146
Email
T: +1 704 343 2296
F: +1 704 444 8850
vCard
Taylor Wedge French Taylor Wedge French
Partner
201 North Tryon Street
Suite 3000
Charlotte, NC 28202-2146
Email
T: +1 704 373 8037
F: +1 704 373 8838
vCard
Seth Goldsamt Seth T. Goldsamt
Partner
1345 Avenue of the Americas
7th Floor
New York, NY 10105-0106
Email
T: +1 212 548 2162
F: +1 212 715 6267
vCard
Rakesh Gopalan Rakesh Gopalan
Partner
201 North Tryon Street
Suite 3000
Charlotte, NC 28202-2146
Email
T: +1 704 343 2275
F: +1 704 805 5026
vCard
Meredith E Green Meredith E. Green
Associate
201 North Tryon Street
Suite 3000
Charlotte, NC 28202-2146
Email
T: +1 704 343 2082
F: +1 704 444 8816
vCard
Mark Griffith W. Mark Griffith
Partner
434 Fayetteville Street
Suite 2600
Raleigh, NC 27601
Email
T: +1 919 755 6616
F: +1 919 755 6587
vCard
Nova D Harb Nova D. Harb
Counsel
Bank of America Tower
50 North Laura Street
Suite 3300
Jacksonville, FL 32202-3661
Email
T: +1 904 798 2639
F: +1 904 798 3260
vCard
Bo Harvey Bo Harvey
Associate - Not Admitted in CA; Admitted to NY Bar
1800 Century Park East
8th Floor
Los Angeles, CA 90067-1501

1345 Avenue of the Americas
7th Floor
New York, NY 10105-0106
Email
T: +1 310 315 8293
F: +1 310 956 3162
vCard

T:+1 212 548 2188
F: +1 212 715 6261

Results 1-20 of 66
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Event

SEC Compliance and Disclosure Update

Tuesday, May 24, 2016
Complimentary Webinar Series
Event

SEC Compliance and Disclosure Update

April 19, 2016
Complimentary Webinar Series
Speaking Engagement

2016 Danish Biotech Conference

April 12-13, 2016
New York, NY
Event

SEC Compliance and Disclosure Update

March 1, 2016
Complimentary Webinar Series
Event

SEC Compliance and Disclosure Update

January 26, 2016
Complimentary Webinar Series
Event

Hot Topics for the 2016 Proxy/Annual Reporting Season

November 17, 2015
Complimentary Webinar Series
Speaking Engagement

Securities and Exchange Commission Developments and Hot Topics

November 11, 2015
New York, NY
Event

SEC Compliance and Disclosure Update

October 27, 2015
Complimentary Webinar Series
Event

SEC Compliance and Disclosure Update

September 22, 2015
Complimentary Webinar Series
Speaking Engagement

National Advanced Summit on Swaps & Derivatives: Global Markets Regulation

June 29-30, 2015
New York, NY
Event

SEC Compliance and Disclosure Update

May 19, 2015
Complimentary Webinar Series
Speaking Engagement

Co-Investing 2015

April 27-28, 2015
New York, NY
Event

SEC Compliance and Disclosure Update

April 28, 2015
Complimentary Webinar Series
Event

SEC Compliance and Disclosure Update

February 24, 2015
Complimentary Webinar Series
Event

SEC Compliance and Disclosure Update

January 27, 2015
Complimentary Webinar Series
Event

FCPA Transactional Diligence:

Can You Be Commercial and Compliant?

December 3, 2014
New York, NY
Event

SEC Compliance and Disclosure Update

November 18, 2014
Complimentary Webinar Series
Speaking Engagement

RR Donnelley Proxy Statement Interactive Lunch Seminar

November 13, 2014
Event

SEC Compliance and Disclosure Update

October 28, 2014
Complimentary Webinar Series
Results 1-20 of 66
Results 1-20 of 111
Show All
Legal Alert

SEC Expands Cybersecurity Compliance Requirements For 2016

Password Protected
January 19, 2016
Legal Alert

A Guide to SEC’s Regulation A+

December 14, 2015
Legal Alert

The Importance of Oversight

Recent Trends in Delaware Financial Advisor Liability

December 9, 2015
Legal Alert

Financial Entity Update

CFTC’s Proposed Margin Rules for Uncleared Swaps – Cross-Border Matrix

November 30, 2015
Legal Alert

Financial Entity Update

CFTC’s Proposed Margin Rules for Uncleared Swaps – America’s Next Top Model

October 13, 2015
Legal Alert

Four Cybersecurity Ideas from CFTC Commissioner Bowen

Password Protected
September 25, 2015
Legal Alert

Fraud Means a “Fairer” Price

In re Dole Finds CEO and COO Personally Liable for Over $148 Million in Damages

September 16, 2015
Legal Alert

Financial Entity Update

CFTC’s Proposed Margin Rules for Uncleared Swaps – Dude, Where’s My Collateral?

September 15, 2015
Legal Alert

Financial Entity Update

CFTC’s Proposed Margin Rules for Uncleared Swaps – Goofy Haircut

August 24, 2015
Legal Alert

Financial Entity Update

CFTC’s Proposed Margin Rules for Uncleared Swaps – Know Thyself

August 3, 2015
Results 1-20 of 111