Securities

Securities

Whether you are looking for a Rule 144 Legal Opinion or need assistance uplisting your company, Garner & Gillen is your law firm! When navigating the complex world of securities and investments, one wrong move can have lasting consequences.

Securities matters often involve federal statutes and nationwide regulatory frameworks, allowing Garner & Gillen to represent and advise clients throughout the country in many securities-related matters.

We have a proven track record of protecting clients in high-stakes financial environments.

We assist clients in the following areas:

  • SEC compliance and regulatory guidance
  • Private placements and public offerings
  • Investor disputes and arbitration
  • Startup and venture capital structuring
  • Fraud defense & internal investigations
  • Uplisting
  • Rule 144 legal opinions
  • Drafting and reviewing security purchase agreements and related documents

Our meticulous and analytical approach to securities law ensures that our clients adhere to all relevant rules and regulations and remain fully compliant. Let us help you safeguard your growth, minimize risk and keep your business one step ahead.