Mackenzie Hughes
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Securities

Mackenzie Hughes recently helped an emerging Internet service provider raise private capital for its start-up efforts. The firm prepared a state and federal compliant stock ownership-offering memorandum for prospective investors that included some of the most prominent business leaders in the region. The successful operation currently provides branded Internet services to subscriber-based financial institutions.

Mackenzie Hughes attorneys practicing within the Securities area include:

Richard C. Engel
Clayton H. Hale Jr.
Frederick W. Marty
Edward J. Moses
James H. Nicoll

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 FINRA, AAA and state and federal courts.

Services include:

Arbitration
  • Representing clients in FINRA arbitration proceedings

Compliance
  • Counseling investment advisors, corporations and national bank directors in complying with SEC, FINRA, Sarbanes-Oxley and new corporate governance rules and regulations

Financing
  • Helping mature and emerging businesses secure financing through private placements and other initiatives
  • 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

 

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Prior results do not guarantee a similar outcome.