Lee Lowinger is a specialty law firm focused on providing value to its clients. It specializes in corporate and securities matters. It provides counseling on a variety of corporate matters, assists with corporate transactions, and advises on regulatory matters
General corporate counseling includes establishing new entities and providing articles of incorporation, bylaws, and shareholders agreements. It also includes providing stock option plans, executive compensation agreements, consulting agreements, joint venture agreements and a host of other agreements.
Transactional work includes representing issuers and placement agents in private placements of debt and equity securities, issuers and underwriters in public offerings, and both buyers and sellers in merger and acquisition transactions.
Our regulatory work focuses on advising broker dealers and investment advisers on regulatory compliance as well as transactions. This includes advising on SEC and FINRA rules and regulations, and assisting with regulatory audits and investigations We also help buyers and sellers of broker dealers achieve FINRA approval of change of control transactions. In addition, we assist clients seeking to establish new broker dealers and new registered investment advisers. We also represent clients seeking to understand and then comply with the broker dealer and investment adviser laws and regulations.
We also provide expert testimony on securities, investment banking, brokerage and related issues.
