The attorneys in our Securities Practice Group have extensive experience in securities and related corporate governance and litigation matters. Our clients include public and private companies, private equity and venture capital funds, securities brokers and dealers and investment advisers. Members of our Securities Practice Group:

Have served as issuer counsel in initial and secondary public offerings,

Advise public companies in connection with securities, disclosure, reporting and corporate governance matters, including SEC disclosure and reporting requirements (Regulation FD, Sarbanes-Oxley and Proxy Rules) and the rules and regulations of the stock exchanges,

Regularly provide advice and counsel to public company boards of directors and board committees about board and committee eligibility and structure, fiduciary duties, insider and beneficial ownership requirements and shareholder matters,

Provide advice on, and prepare documentation, plans and agreements associated with, employee benefit plans, retirement plans (both qualified and non-qualified plans), executive compensation and employment matters and equity and other incentive plans,

Serve as company counsel and as counsel to investors in private securities offerings, including providing advice on federal (non-public offerings and Regulation D offerings) and state securities disclosure, filing and qualification requirements,

Serve as counsel to companies, boards of directors and individual directors and officers in shareholder derivative actions, shareholder class action litigation, 10b-5 claims and breach of fiduciary duty allegations, and

Provide representation in proceedings before the SEC, FINRA and other federal and state agencies and self-regulatory organizations.

Foremost in our client relationship is our commitment to deliver quality, results-oriented services in a cost-effective manner. The attorneys in our Securities Practice Group are dual members of or can draw upon the resources of our Business and Transactions, Employee Benefits and Executive Compensation, Environmental and Energy, Labor and Employment Law, Litigation, Property and Tax Practices to provide comprehensive expert counsel to our clients.

• Ranked #1 in Syracuse, NY in Securities Law.