Mackenzie Hughes attorneys practicing within the Securities
area include:
Richard C. Engel
Clayton H. Hale Jr.
Edward J. Moses
Recognizing the growing need in the region for a comprehensive securities
law practice, Mackenzie Hughes represents a broad range of companies seeking
to raise equity capital or private debt financing from investors through
private securities offerings.
Mackenzie Hughes has experience in all phases of economic development,
municipal bonds and public finance. And we have worked as bond counsel
in both tax-exempt and taxable bond issues.
Our recent acquisition of an exclusive securities-focused boutique firm
and its veteran partner allows us to counsel investment advisers, financial
planners and other investment professionals as they fulfill their ongoing
compliance obligations under the federal securities laws and regulations.
The firm further represents clients in all aspects of securities fraud
litigation and arbitration before the NASD, NYSE and AAA. Services include:
Fraud
• Representing customers with disputes with stock brokers as well
as brokers who may have been wrongly accused by their customers
Compliance
• Counseling investment advisors, corporations and
national bank directors in complying with SEC, Sarbanes-Oxley
and new corporate governance rules and regulations
Financing
• Helping emerging businesses secure private placements under Regulation
D
• Preparing and filing reports including disclosure forms for corporate
officers and directors
• Providing advice and counsel on all aspects of initial offerings
of corporate stock
• Preparing proxy materials
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