Securities and Corporate Finance Attorneys

practice-imageOur San Diego securities lawyers and corporate finance attorneys’ services include assistance with entity selection, formation and business and tax planning; private placements of securities; assisting corporations and their officers, directors, and shareholders with compliance with state and federal rules and regulations applicable to their business activities and industry, mergers and acquisitions; negotiation and drafting of credit facilities and financing transactions; procurement, licensing, management and auditing of intellectual property, including patents, trademarks, trade secrets, copyrights and related matters, including patents, trademarks, trade secrets, copyrights and related matters, and the full range of contractual matters in which business entities are involved.

The firm’s San Diego securities attorneys and corporate lawyers practice includes the representation of issuers and investors involved in many different segments of the economy in a wide variety of private offerings of securities. The firm has experience in preparing offerings of debt, equity and convertible securities, warrants, and bonds.

Our Corporate Securities Services Include:

  • Advising clients regarding the advantages and disadvantages of going public
  • Preparing a company for a private offering and assistance with preparing for a due diligence investigation
  • Assisting with structuring the terms and conditions of the securities to be offered
  • Planning and developing management and employee participation and incentive programs in connection with an offering
  • Assistance with preparing offering documents
  • Making appropriate filings under the Securities Act of 1933 and Securities Exchange Act of 1934
  • Advising clients regarding reporting requirements under the Securities Exchange Act of 1934, disclosure matters, insider trading issues, and securities enforcement matters

Services to non-profit organizations include entity creation, applications for tax exempt status (federal and state), assistance with annual and other filing requirements, assisting organizations and their officers and directors with compliance with federal and state regulations, protection of assets, endowment funds, unrelated business income and tax-exempt bond issuances. We assist our clients with the formation of joint ventures, strategic alliances and affiliations, and entity dissolutions.

Our Corporate Securities Transactions have Included:

  • $10 Million private placement of common stock for Internet-related issuer of stored value card
  • $2.5 Million private placement of subordinated notes for Internet-based compliance program developer
  • $2.5 Million private placement of convertible preferred stock for Internet-based animated book publisher
  • $3 Million private placement of convertible preferred stock (in two tranches) for a wireless technology company

The Firm also has a strong international practice, which supports cross-border transactions with Mexico, the representation of clients making inbound investments and advising United States-based clients making outbound investments.

Higgs Fletcher & Mack corporate finance and securities lawyers represent professional entertainers and athletes, including professional racecar drivers and motorcycle racers in team formation, team contracts, sponsorship contracts, licensing transactions and book publication agreements. We also represent broadcast personalities in contract negotiations, including agreements with agents.


Serve Clients both Locally and Internationally…

Let the San Diego Corporate Finance and Securities Lawyers at Higgs Fletcher & Mack represent you today. Fill out the free initial contact form to schedule your consultation.

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Video Resources:

  • Choosing a Firm that Matches your Needs

    The most important consideration in choosing a law firm is to find a firm that matches your needs in terms of size, services and costs. Our business model makes us a good fit for mid-market San Diego companies. By managing our overhead, we keep our rates towards the lower range of the full service firms — in many cases, a hundred dollars or more or less an hour. We are local-focused, but through our affiliation in ALFA, we bring national and global reach to our clients. We would appreciate the opportunity to discuss why HFM is a good fit for your company.

  • Selling Mid-Market Companies

    My name is Mike Jones, I’m a corporate transaction partner and my specialty is representing sellers of mid-market companies. Those businesses typically have between two and thirty million dollars in revenue. The two important points in those transactions are, number one: selling your company for the highest possible price, and number two: being able to hold on to those funds after the closing. There’s a little bit of art in that, and I can help with that because of my background as an entrepreneur having sold companies and as an intermediary helping others.