Securities
Whyte Hirschboeck Dudek S.C.’s Securities Team has experience handling matters ranging from angel and venture investments for small start-ups to SEC compliance work for mature public companies, to mergers and acquisitions involving publicly traded companies. We have represented clients on securities matters in a wide variety of industries including biotech, commercial and residential real estate, retail grocery, industrial, information technology, medical equipment, music, agriculture, beverage, pharmaceutical, health care and many other industries. 
 
While we have represented both public and private companies, the Securities Team focuses primarily on matters affecting private companies. Among other things, we help them raise capital and accomplish acquisitions and corporate reorganizations involving the issuance of equity and debt instruments.

Our Approach

With a solid understanding of our client's business goals we develop appropriate strategies to guide the client in achieving those goals. 
 
Our legal counsel is focused on much more than technical regulatory compliance. We contribute to our client success by focusing on their business goals and helping them design their capital structures and transactions in ways that will promote and achieve those goals and position them for the future. We aim to provide creative, insightful, and effective solutions that help our clients achieve their objectives while minimizing risk. 
 
To serve our clients most completely, our attorneys draw on the further expertise of colleagues in other practice areas within the firm as needed, such as intellectual property, tax, employment, employee benefits, environmental and real estate, among others.

Representative Engagements

Our work in the securities area has provided us with a broad range of experience in structuring debt and equity securities offerings, advising on “blue sky” matters, working with founders selling their stock as well as advising investment advisers and broker-dealers on compliance matters. Members of the Securities Team have prepared disclosure materials for the sale of securities under federal and state securities laws and advised companies in connection with the preparation and filing of annual, quarterly and current reports with the Securities and Exchange Commission. We have advised clients relative to compliance with requirements of Dodd-Frank Wall Street Reform and Consumer Protection Act, Sarbanes-Oxley Act of 2002, disclosure requirements under Regulation FD, and in connection with corporate governance matters.  We have represented independent directors of public mutual funds.
 
We have assisted clients at every stage of their life cycle in structuring and raising capital for their businesses, helping them analyze capitalization structures and evaluate financing alternatives. In addition, we are able to guide clients to opportunities, investors and relationships leveraging our contacts to identify possible partners who can help our clients grow their businesses. 
 
Recent securities matters include advising clients in connection with:
  • Private placements of debt and equity under Regulation D
  • High Yield Notes offering pursuant to Rule 144A
  • Angel and venture capital investments
  • “Going-private” transactions
  • Condominium securities issues
  • Securities implications in private lending transactions
  • Broker-dealer registration issues
  • Investment Advisory issues
  • Business Broker issues
  • Wisconsin Angel Investment and Venture Capital Tax Credits
  • Investment Company Act issues
  • EB-5 transactions

Our Team

From startups to established corporations, we help our clients navigate through the ever-changing regulatory and business environment that exists in the marketplace today. Issuers of securities rely on us to help them analyze proposed investments and to secure the capital necessary on the most favorable terms to grow their businesses. Investors rely on us to provide advice as to investment structures and legal due diligence to help assess the risks associated with a particular investment. 
 
Our Securities Team lawyers understand today's capital markets. Among our Securities Team lawyers are a former Associate General Counsel for a large hedge fund as well as a former licensed Registered Representative and General Securities Principal.  We think strategically and are able to quickly analyze and comprehend the fundamentals of a transaction, develop the most effective financing structure for the client’s needs and proactively identify and address issues or concerns. Our advice reflects an understanding and commitment to each client’s entire business plan, not just the financing process. 
 
Our ultimate goal is the success of our client.