Restricted Securities and Alternative Financings

Restricted Securities 

We are experienced advising with respect to sales and transfers of restricted securities (both for public and private companies).  We can help with Rule 144 sales assisting with the entire process from sale/transfer to settlement.  Keith Marlowe brings his 10+ years at hedge funds specializing in PIPE transactions, in which he oversaw hundreds of restricted securities transactions and trades. 

Alternative Financings

We also advise on alternative public financings such as PIPEs, Registered Directs, Equity Lines and Reverse Mergers.  Keith Marlowe’s 14 years acting as counsel in these transactions (primarily investor side but also company side) gives you an insider’s perspective who understands but the business and legal aspects of these complex transactions.  We can advise on all aspects of transaction from investment to exit.  We have vast experience in deal structuring and restructuring.