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Securities

Through our representation of both public and private companies, we have a wide range of experience with federal and state securities law compliance. We assist our clients with public and private offerings of equity and debt securities, mergers, acquisitions and sales of businesses, SEC reporting and insider trading compliance, corporate governance, shareholder meetings and proxy contests, and regulation of private investment and hedge funds, broker-dealers, and investment advisers.

Our clients operate in a wide range of industries, including financial institutions, manufacturing, malt beverages, staffing services, technology, biomedical products, and media information services.

We use a team approach to meet our clients' needs. Our attorneys have expertise in acquiring and selling businesses, representing borrowers and lenders in loan transactions, banking regulation, federal, state, and local tax issues, corporate governance, emerging business formation and financing, executive compensation, and technology licensing.

Our goal is to earn long-term relationships with our clients through superior client service.

Representative Experience

Represented broker-dealer against claims for violation of federal and state securities laws arising from respondent's securities lending business. Claimant sought damages of over $50 million plus attorney fees. After five days of hearings, panel granted summary award for respondent and awarded it $287,000 in attorney fees and costs.
Represented defendants in NASD securities claims alleging adviser negligence.
Obtained $1.4 million arbitration award and permanent injunction based on claims for corporate raiding, breach of fiduciary duty, aiding and abetting breach of fiduciary duty, and breach of contract.
Represented broker-dealer in lawsuit alleging that broker-dealer and its registered representative failed to follow instructions and recommended inappropriate investments. District court granted client's motion for partial summary judgment and dismissed claims for negligence, breach of fiduciary duty, and violation of Oregon Unfair Trade Practices Act.
We represented Craft Brew Alliance, Inc., in the acquisition of privately held Kona Brewing Company in exchange for a combination of cash and restricted shares valued at $14 million.