Corporate and Securities

McLaughlin & Stern offers a broad array of corporate services, ranging from establishing ventures to complete capital financings and mergers and acquisitions. Clients are similarly varied, and include U.S. public and private held entities (including family owned businesses), international companies, investment advisors and broker-dealers, investment funds, and not-for-profit corporations. We are known for our innovative approach to structuring deals, our in-depth cultural and legal knowledge of cross-border transactions, and for expertise in regulatory issues.

As a boutique firm with a hands-on approach, we view our clients' needs from both a legal and overall business perspective, mirrored by an integrated approach among our practices that enables us to meet all their needs.  We provide a high level of service from senior, experienced attorneys, while also keeping an eye on clients’ costs by staffing matters appropriately and efficiently. Perhaps not surprisingly, clients come to us for one transaction, then consult us time and again, and the vast majority of our business is from referrals.

Securities Registration, Listing & Compliance

Our professionals have significant expertise in drafting, filing and procuring effective SEC registration statements and with counseling clients on SEC compliance issues, including the Sarbanes-Oxley Act of 2002 and the 1934 Exchange Act periodic reporting obligations. With the emergence of the Sarbanes-Oxley Act of 2002, public companies are subject to increased disclosure requirements and new corporate governance requirements for securities traded on the Nasdaq, NYSE, AMEX, OTCBB, Pink Sheets, etc. Our representation of many public companies over the years has allowed us to obtain knowledge and experience with these new requirements and with the SEC registration and reporting requirements that all U.S. public companies are subject to under the U.S. securities laws and regulations. At McLaughlin & Stern, we leverage our extensive experiences in working with the SEC on comments to registration statements and periodic filings to minimize the amount of comments on our registration statements and periodic filings. Our burgeoning experience also allows us to effectively counsel companies on compliance with state Blue Sky laws and other securities law issues such as reorganizations, recapitalizations, board of director and shareholder issues, and employee stock option plans (ESOPs).

Additionally, we represent issuers in assisting FINRA registered broker/dealers in the Form 15c2(11) process to obtain stock quotations on the Over the Counter Bulletin Board (OTCBB) and Pink Sheets, OTCOX Markets, and with national and international exchange listing applications and regulations for the Nasdaq, NYSE and AMEX.

Corporate Finance

Our extensive representation of emerging companies has provided us with a wealth of experience in corporate finance transactions. We are active in representing issuers in public and private debt and equity offerings, including private equity, Private Investment in Public Equity (PIPEs), venture capital, Standby Equity Distribution Agreement (SEDAs), secondary offerings, Regulations D and S offerings, convertible debt, secured and unsecured loans, and bridge financings. We use our relationships in the investment community to introduce clients to sources of capital and have helped our clients raise millions of dollars.

Going Public

At McLaughlin & Stern we have successfully taken numerous private companies public through reverse mergers, direct public offerings by filing a registration statement and underwritten IPOs. We specialize in going public transactions utilizing a reverse merger and PIPE offering which provides companies with an alternative method of going public without an underwriter. This alternative public offering is considerably quicker and less expensive than a traditional IPO and provides the same capital-raising of a traditional IPO.

Investment Advisor and Broker-Dealer Representation

McLaughlin & Stern provides legal counsel to Investment Advisers and Broker-Dealers in registration, compliance, and regulatory matters involving Federal and State securities laws. Our attorneys have represented Investment Advisers and Broker-dealers before FINRA self-regulatory organizations, including FINRA.

Family Owned Ventures

The firm has played a major role with its clients in restructuring successful family owned ventures, dealing both with substantial financings and the investment therein of private equity partners. These transactions invariably involve substantial estate and tax planning attributes.

Not-For-Profit Corporations

McLaughlin & Stern provides a full complement of legal services to not-for-profit charitable corporations, including entity formation, counseling concerning event planning, acceptance and disbursement of funds, and general corporate matters.

Commercial Creditor-Debtor Enforcement/Defense, Reorganization, and Bankruptcy

Our professionals handle corporate re-organization, creditor rights, debtor protection, representing both debtor-in-possession and creditors, acquirers, in and out of court throughout the U.S. and in intra-national situations.

麦斯律师所为公司事务提供广泛的公司法律服务,包括公司成立、融资以及并购法律业务。我们拥有广泛的客户群体,包括美国的上市企业、非公开发行企业(包括家族企业)、跨国公司、投资顾问和券商、 投资基金以及非营利机构。我们以交易架构的独特设计,深厚的文化背景,跨国交易方面深厚的法律知识,以及熟悉政府调控相关法律问题而著称。

作为一个拥有丰富经验团队的中型律所,我们本着客户的利益出发,从法律以及商业的角度,向客户提供一个全方位的服务。我们拥有丰富执业经验的资深律师有能力为客户提供一个高质量的服务,同时也通过高效的工作和团队协调帮助客户节省成本。 这可能就是我们的老客户在接受我们的服务后还不断地愿意就新的交易来咨询我们、并给我们推荐新的客户。具体而言,我所有关的公司证券法法律业务包括以下几个方面:

美国证券注册登记,挂牌上市和合规法律服务

我们的律师团队在拟定、报备和取得美国证监会生效的注册登记申明文件方面有着丰富的经验,同时也向美国上市公司提供有关遵循证券法提供法律咨询, 包括 Sarbanes-Oxley 法案的遵循和1934年美国证券交易法案的合规。在2002年 Sarbanes-Oxley 法案出台以来,在纳斯达克,纽约交易所,美国证券交易所,OTCBB, 粉单以及其他美国证券交易所交易上市的美国公司被要求披露的程度加强,新的相关公司治理结构的要求也增加许多。多年以来,我们代表过很多的美国上市公司,在遵循相关美国证券法和规定方面有着丰富的执业经验, 对于相关的披露条款,公司治理结构,以及其他证券法对美国上市公司的要求都颇为精通。 另外我们也熟悉美国的纳斯达克,纽约交易所,美国证券交易所,OTCBB, 粉单以及其他美国证券交易所的上市规则, 并有着广泛的经验。在麦斯律所,我们运用我们和美国证券交易委员会(SEC)就注册登记申明文件和定期披露文件的评论上的接触经验来减少美国证券交易委员会对于我们登记申明文件和定期披露文件的评论意见。我们的律师也有遵循州证券规则和“蓝天法案”的执业经验,就相关的譬如公司结构重组、资本重组、董事和股东以及职工优先认股权方案(ESOPs)等等法律问题提供法律咨询。

另外,我们也代表上市公司协助在金融业管理局 (FINRA)注册的券商完成15c2(11)表格以获得OTCBB 、粉单和OTCOX市场的股票报价,以及其他包括纳斯达克,纽约交易所,美国证券交易所等美国和国际证券交易所上挂牌交易的申请程序。

公司融资

我们代表过很多的成长性的公司并在协助公司进行融资方面积累了广泛的经验。我们积极参与公开发行,通过发行债或者股票的方式进行私募融资。我们进行过的主 要的融资方式包括有:私募、 上市公司定向增发的融资(PIPE)、风险投资、备用股权分配协议、再次公开发行、规则D和规则S的发行、可转换债、有担保或者无担保的贷款以及 过渡性资金融通。我们曾运用我们在执 业中积累的广泛的投资者客户关系, 成功帮助公司客户融资过成百上千万美元。

公司上市

我们在帮助公司在美国上市方面有着很多的成功经验,上市的方式包括反向并购,通过注册申明登记直接公开发行, 以及承销的首次公开发行 (IPO)。我们擅长帮助公司通过反向并购和“上市公司定向增发的融资” (PIPE)进行上市,这种上市途径无须承销商的参与。 与传统的首次公开发行相比,通过反向并购和PIPE的方式上市融资,即能达到上市融资的目的,又具有时间短, 成本低的优势。

投资顾问和券商代理

我们的客户还包括投资顾问和券商,我们的律师为他们就注册、合规和联邦和州证券法政府监管事项提供法律咨询服务。我们还代表投资顾问和券商就包括FINRA在内的美国金融业管理局事项提供法律服务。

家族企业

律所在帮助客户成功成立家族企业,股份交易架构,以及融资发展方面起着非常重要的作用。这些交易通常也涉及许多有关遗产和税收方面的架构。

非营利企业

我所也为非盈利企业提供法律服务,服务包括非营利企业的成立,对其有关活动提供法律建议,有关捐献基金的接受和分配,以及其他的公司事务。

债权人执行-债务人防御、重组和破产

我们的律师在公司重组、债权人权利、债务人保护有着广泛的经验,在国际和国内的案件里代表过债权人、债务人、受购方出庭或者庭外和解。

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