"We appreciate their ability to analyze, organize, coordinate and consummate a complex transaction and make it happen." 


Bilzin Sumberg serves the securities needs of both public and private companies, domestically and internationally. The firm's attorneys have represented issuers, underwriters, private equity funds, placement agents and venture capital firms in capital-raising transactions, with particular strength in industries such as, among others, financial institutions, hospitality, real estate, technology and life sciences. Bilzin Sumberg's Securities team advises clients on the full scope of capital raising, including equity offerings and debt offerings- whether public offerings or private placements, in addition to legislative and regulatory compliance.

Service offerings include:

  • The myriad issues involved with securities offerings: SEC reporting requirements, proxy and consent solicitations, general disclosure compliance, primary offerings, secondary offerings, follow-on offerings, tender and exchange offers, stockholders' rights plans, equity incentive plans, and officer and director indemnification issues
  • Reviewing and advising issuers on SEC filings, including proxy statements, 10-Ks, 10-Qs and 8-Ks
  • Reviewing and advising directors, officers and investors on Section 16, Section 13, and Rule 144
  • Assisting companies with private placements under Regulation D, Regulation S, and Regulation CF
  • Seed, angel, venture capital and private equity investments 
  • Reviewing external communications materials with respect to non-GAAP financial measures and for possible Regulation FD and implications
  • Securities-related tax matters
  • Acting as outside general counsel to private equity and venture capital firms during their formation and also with portfolio investments and divestiture transaction
David M. Seifer
Practice Group Leader, Corporate & Finance
Alan D. Axelrod
Chair, Corporate & Finance
Jose Sariego
Clay B. Roberts
Of Counsel