Our securities clients range from Fortune 500 public corporations to middle-market companies and cover a broad range of industries, including retail, manufacturing, insurance, consumer products, home building, information technology, restaurant, financial institutions and air transportation.  Our investor clients include private equity firms, private and angel investors, family offices, venture capital firms and various lenders.

We have extensive experience in advising our clients on federal and state securities compliance and disclosure matters, including:

  • Annual (10-K), quarterly (10-Q) and current reports (8-K)
  • Proxy statements and shareholder proposals
  • Press releases and analyst presentations
  • SEC comment letters
  • Sections 13 and 16 reporting and compliance
  • Securities exchange listing standard compliance
  • Sarbanes-Oxley, Dodd-Frank, Regulation FD and Regulation G compliance

We use our experience to assist clients in navigating the increasingly complex, and constantly changing, regulatory framework imposed by the SEC, the NYSE and NASDAQ, as well as by state securities laws. 

Our securities attorneys place a particular emphasis on developing a thorough understanding of our clients’ businesses, needs and goals.  We believe that this emphasis enables us to provide high-quality, tailored and efficient securities representation that is responsive to our clients. 

Representative Clients

  • Abercrombie & Fitch Co.
  • Air Transport Services Group, Inc.
  • Big Lots, Inc.
  • Diamond Hill Investment Group, Inc.
  • First Financial Bancorp
  • M/I Homes, Inc.
  • Park National Corporation
  • Peoples Bancorp Inc.
  • The Scotts Miracle-Gro Company
  • Worthington Enterprises, Inc.

News & Insights



Jump to Page