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Moore & Bruce, LLP advises with respect to all aspects of
federal and state securities laws. This includes advising
companies on how to raise initial capital and conduct
subsequent private offerings, taking companies public, and
advising public companies on their continuing obligations
under the federal securities laws. Our attorneys have
advised companies with respect to venture capital and public
offerings large and small—of several hundred million dollars
and of less than a million dollars.
The Firm has assisted in the preparation of private offering
documents and SEC registration statements for more than 200
companies, including high technology companies, banks, and
mutual funds. We have advised clients with respect to the
new corporate governance requirements that resulted from the
Sarbanes Oxley Act.
We also have experience in organizing and advising financial
institutions. This includes mutual funds, investment
advisers, broker-dealers, and banks. We have recently been
advising such institutions with respect to their expanded
responsibilities regarding anti-money laundering and other
matters that resulted from the US Patriot Act.
Our goal is to help our clients comply with the law.
However, because of the complexities of the securities laws,
even the most well-intentioned of companies may find
themselves the subject of a government investigation or
enforcement action. We would note in this respect that we
have substantial experience in resolving such actions in a
favorable manner.
Disputes and
Financial Services.
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