At Glast Phillips Murray Zopolsky, we offer comprehensive legal counsel and representation to regional and national clients in all aspects of securities law. Our practice spans public and private securities offerings, regulatory compliance, litigation, arbitration, and corporate governance matters. With a deep understanding of the complex securities landscape, our experienced attorneys guide clients through the most intricate legal challenges, ensuring both compliance and protection.

Our clients include securities issuers, broker/dealers, investment advisers, reporting companies, investment funds, registered representatives, associated persons, and affiliates. We pride ourselves on offering the same depth of knowledge and strategic insight as a large firm, while providing the personal attention and cost-effectiveness of a smaller firm. Whether navigating a high-stakes securities litigation or providing day-to-day compliance advice, our focus remains on delivering results that meet the unique needs of each client.

Our securities practice encompasses a full range of services, including the preparation of registration statements, offering documents, and underwriting or selling agreements for both public and private companies. We represent both plaintiffs and defendants in securities litigation, as well as business-related arbitration. Our attorneys are well-versed in defending clients during investigations and enforcement proceedings initiated by the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), and various state securities agencies.

In addition to regulatory defense, we serve as independent counsel to both public and privately held companies, conducting thorough internal investigations to address potential legal concerns before they become larger issues. We also provide valuable guidance to boards of directors, helping them navigate their fiduciary duties and regulatory obligations with confidence and precision.

Our legal team assists clients with compliance under both the Securities Act of 1933 and the Securities Exchange Act of 1934, ensuring that all necessary filings and disclosures are properly prepared and submitted. Beyond securities-specific matters, our attorneys offer a broad spectrum of related services, such as advising on the formation of entities, mergers and acquisitions, employment and competition law, intellectual property, and other corporate governance issues that may arise within the securities business.

At Glast Phillips Murray Zopolsky, we combine our years of experience with a proactive and client-focused approach, ensuring that our clients receive comprehensive, thoughtful legal solutions. Whether you are a business seeking advice on securities offerings or an individual facing regulatory scrutiny, our firm provides effective, cost-efficient legal representation at every stage of the process.