Capital Markets & Securities

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:

  • IPOs and other public and private securities offerings
  • Follow-on and secondary offerings of common and preferred stock and debt
  • Working with regulatory agencies such as the Securities and Exchange Commission (SEC)
  • Regulation A+, registered direct and PIPE offerings
  • ATM ("at the market") programs
  • Private equity and venture capital financings
  • Tender offers and consent solicitations

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:

  • SEC reporting and compliance
  • Proxy solicitations and contests
  • Federal and state securities laws
  • Broker-dealer and investment adviser compliance

For More Information, Contact:

Email | Bio

Email | Bio

Email | Bio

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