Firm News

Securities

Lev Berlin & Sousa has more than 30 years of experience in venture capital, private equity and related transactions. We are a highly sophisticated securities and corporate boutique, with the qualifications, experience and resources to evaluate, negotiate and close investment and capital formation transactions quickly, efficiently and with superior cost-value contribution. We can assist your business through a variety of complex securities law complications.

We pride ourselves on our ability to achieve our clients' objectives and to ensure that their risks are consistent with their expectations while adding value to their business in the process. Our firm can assist you in accessing the public and private capital markets and ensuring your continued compliance with the web of complex securities reporting and governance regulations. Typical transactions include Reg D private placements, PIPES, Section 4 limited offerings, rights offerings, fund formations and M&A. We have substantial expertise in securities offerings of convertible preferred equity, convertible debt, options, warrants, common stock and LLC and LP membership interests.

We can provide you with assistance in the following areas:

  • Private placements
  • Public offerings
  • Mergers and acquisitions
  • Reporting under the Securities Exchange Act of 1934
  • Broker-dealer regulation
  • Stock exchange listing and maintenance
  • Sarbanes-Oxley Act compliance
  • State ("Blue Sky") securities laws compliance

Do you need assistance?

When you work with Lev Berlin & Sousa, we can help you structure and implement an appropriate course of action to address your capitali formation and transactional objectives. Contact our office to get started.