Corporate & Securities

Combining Legal Experience with Business Acumen

The Firm’s Corporate and Securities Practice Group is focused on the small and mid-cap market segment and the ecosystem that encompasses it, including, but not limited to, smaller public and private companies, investment banks, funds, investors and consultants.

Navigating Complex Regulatory Framework

The Firm routinely represents issuers, underwriters, investment funds and placement agents in public and private offerings of equity, debt and convertible securities offerings, including initial public offerings and secondary offerings. Our attorneys have extensive experience in all areas of regulatory compliance, including Securities Act of 1933 (Registration Statements) and Securities Exchange Act of 1934 (10-K, 10-Q and 8-K) securities disclosure requirements applicable to accelerated filers and small reporting companies, Regulation D offerings, national exchange listings, state securities or blue-sky laws, and other SEC compliance matters. Our attorneys have represented public companies in connection with corporate governance and fiduciary matters, securities disclosure, exchange listings, Sarbanes-Oxley compliance, board and committee representations and related issues.

The Firm distinguishes itself from many other transactional law firms by virtue of its entrepreneurial spirit and not being afraid to use its rolodex to benefit its clients with introductions to capital, service professionals and/or strategic partners when appropriate. Clients also benefit from the Firms working relationships with the regulatory agencies, including the SEC and FINRA; and listing exchanges such as the NYSE and NASDAQ.

Additionally, the Firm’s belief in its ability to drive transactions to close allows us to offer our clients an array of fee arrangements, including “flat-fees”, hybrid fixed fees as well as payment in equity in certain instances. Our clients appreciate these alternative fee arrangements as it often aligns all parties’ interests.

We understand the underlying business transaction as well as the complex regulatory framework that governs the way offerings are conducted in today's marketplace. This combination of legal and business experience gives us a unique understanding of the underlying transaction and the legal implications of structuring securities offerings.

The Firm distinguishes itself from many other transactional law firms by virtue of its entrepreneurial spirit and not being afraid to use its rolodex to benefit its clients with introductions to capital, service professionals and/or strategic partners when appropriate. Clients also benefit from the Firms working relationships with the regulatory agencies, including the SEC and FINRA; and listing exchanges such as the NYSE and NASDAQ.

Additionally, the Firm’s belief in its ability to drive transactions to close allows us to offer our clients an array of fee arrangements, including “flat-fees”, hybrid fixed fees as well as payment in equity in certain instances. Our clients appreciate these alternative fee arrangements as it often aligns all parties’ interests.

We understand the underlying business transaction as well as the complex regulatory framework that governs the way offerings are conducted in today's marketplace. This combination of legal and business experience gives us a unique understanding of the underlying transaction and the legal implications of structuring securities offerings.

The dream of going public is realized by dozens of companies every year. Each going-public transaction is unique, and it takes sophisticated and experienced attorneys to take a company public in uncertain capital markets. Lucosky Brookman has frequently advised and represented issuers in all methods of raising capital and becoming a public company, including mergers, resale registration statements and alternative public offerings.  Lucosky Brookman specializes in helping clients navigate the process from the beginning planning stages through to gaining access to the U.S. capital markets.  The Firm specializes in Uplisting companies from the OTC Markets to the NASDAQ or NYSE.  Moreover, the Firm routinely leads transactions whereby foreign public issuers have sought listing on U.S. exchanges and markets, including companies traded on the AIM, the TSX and ASX.

A PIPE (Private Investment in Public Equity) is one of the financing tools commonly utilized by growing public and emerging companies. We handle both traditional and structured PIPEs, negotiate the terms of the transaction, and counsel clients on all national exchange-related matters, as well as SEC and other regulatory agency considerations, and related registration of the underlying securities.

Lucosky Brookman's corporate governance practice assists boards of directors and committees to achieve their company's business goals within the established legal framework, which includes compliance with fiduciary duty obligations under applicable state corporate law. Our attorneys advise clients on a broad range of corporate governance and compliance matters and best practices, including: compliance with the Sarbanes-Oxley Act of 2002, board and committee membership matters (including audit, compensation and other special committee requirements and responsibilities), special committee issues, executive compensation issues, fiduciary duties, conflicts of interest, codes of conduct and ethics, national exchange rules, internal controls and investigations, and all aspects of securities disclosure.

Effective legal counsel is an integral part of every successful business plan. Lucosky Brookman helps clients build a solid foundation from which their businesses may grow.

Lucosky Brookman, we are business owners and understand the needs of small and mid-sized businesses. We combine our specialized legal knowledge with practical experience to assist you in achieving your business objectives.

Every business is different. Lucosky Brookman prioritizes your company's unique needs in each phase of its development. We provide legal services for start-ups and growing businesses throughout their development. When the time comes, we counsel businesses throughout company financings and, if desired, throughout the going-public process. Our clients include entrepreneurs, small-business owners, midsize regional companies, professional partnerships (including law firms), nonprofit entities, retailers, manufacturers, and many others.