Capital Markets & Securities
Waller is a trusted advisor to companies, underwriters, venture capitalists and financing sources. We work on public and private debt and equity offerings, debt and special financings, and regulatory and compliance matters. Clients of all sizes trust Waller to help achieve their capital market goals. We have helped clients raise billions in new investments that are aligned with the company's overall strategic objectives.
Since the enactment of the Securities Exchange Act of 1934, Waller has served as counsel for public and private companies, national and regional underwriters, venture capitalists and financing sources in public and private financings. We are proud to have participated in the growth of many companies into large national and international corporations. Public companies rely on our corporate team for a variety of securities-related matters, such as:
Our experience extends to the debt markets and includes mezzanine financing, tax-exempt debt financings, corporate restructurings and workouts. In addition, we handle specialized financings including real estate financings and real estate investment trust (REIT) transactions.
Well before the Sarbanes-Oxley Act of 2002 made the demands of corporate governance more complex, Waller's corporate practice established itself as a go-to firm for corporate officers and directors seeking advice on best practices.
As Sarbanes-Oxley, Dodd-Frank, the New York Stock Exchange and NASDAQ corporate governance rules and regulations have continued to evolve, Waller has stayed in step with the changes and maintained its reputation as a leading corporate group. Services include:
Representative clients advised by Waller in capital markets matters include:
Represented Performance Trust Capital Partners as the sole placement agent for the offering by RCB Financial Corporation of $8 million of its 10NC5 4.375% fixed-to-floating rate subordinated notes.
Represented BancorpSouth as special securities and corporate counsel in connection of its merger with FNS Bancshares, Inc.
Represented Performance Trust Capital Partners as the sole placement agent for the offering by Sevier County Bancshares, Inc. of $5 million of its 10NC5 5.25% fixed-to-floating rate subordinated notes.