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Back to Practice Areas
Securities & Finance
Synergy’s attorneys have been instrumental in providing securities, finance and corporate counsel to many extremely successful growth companies, OTCBB companies and hedge funds in their finance transactions, private placements (including bank, angel, venture and investment finance), fund formations and public company reverse mergers in industries including software, telecommunications, manufacturing, internet and eCommerce, medical technologies, insurance and green technologies. In the area of finance and investment, we represent investors and firms raising capital in seed and later round investments, hedge funds and financial institutions in a variety of business endeavors and transactions. These include preferred stock and investor rights and preferences, investment agreements, subscription agreements, investment fund offering documents, securities laws compliance, commercial loan transactions and acquisition financing. Our attorneys regularly represent clients in venture, angel and bank financing matters. We provide counsel at early stages to help companies identify and implement legal, capital and governance structure in line with current market expectations. The firm’s acumen within the growth company (with emphasis on technology and eCommerce industries) marketplace has helped with numerous raises of equity capital financing.
Our engagements include:
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- Structuring and Negotiation Transactions
- Private Placements
- Cap Table Planning
- Equity Finance Round Structure
- Term Sheets
- Preferred Stock and Convertible Debt
- Venture & Angel Capital
- Private Equity
- Hedge Funds
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- Fund Formation, Carried Interests and Management
- Stock Option Plans
- Warrants
- Securities Law Compliance (State, Fed)
- Public Company Reverse Mergers
- Rule 144 Re-sales
- Traditional Commercial Loan Facilities
- Secured Transactions/UCC
- Mortgage Banking
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A key differentiator of our firm in this area is our attorneys’ abilities to analyze and recommend possible transaction structures and methods of financing, and explain business and legal ramifications of these in comparison with client needs. We prepare transactional and corporate documentation taking into account client immediate and long-term objectives. We also advise our clients on securities law compliance requirements applicable to these kinds of transactions. Whether a start-up, a small cap public company, an investment fund, or an established growing corporation with international operations, Synergy’s attorneys have structured private placements and negotiated transactions for investment to provide the additional capital needed to accommodate client growth. Our attorneys understand the differing needs of issuers, borrowers, banks and investors, including financial and strategic investors and our breadth of experience help consummate these transactions on terms that protect our client’s interests.
In the public company reverse merger arena, Synergy’s attorneys have been instrumental in assisting clients with securities compliance, investment transaction documents and merger documents to get these deals closed on terms in line with client expectations.
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