Securities



We provide clients with sophisticated, hands-on counsel to navigate the complex and constantly changing rules for accessing public capital markets and acquiring businesses for public companies.

Our approach

Raising capital is complicated.

Every geography and financial instrument follows its own regulatory requirements. Using our connections with the SEC, stock exchanges and businesses, we help clients with all aspects of securities law and corporate finance—in diverse industries and markets, both U.S. and international.

Our attorneys have the connections and know-how to help with all our clients’ needs: launching public offerings and private placements; equity, debt or convertible securities financing; going-private transactions; and advice on corporate governance issues, securities compliance or disclosure matters.

As leaders in providing proactive securities insights and counsel, we take a unique, team-oriented approach to serving client issuers, investors, underwriters and investment banks. Based in D.C. and NYC, the team is very closely connected to the activities of the regulatory authorities and exchanges. Our clients know what to expect and how to react.

We are lead counsel on public offerings (including offerings under Rule 144A and Regulation S) and work on hundreds of private placements raising billions of dollars.

Volhard returns to Debevoise

Private Equity Manager | March 05, 2017

This roundup of recent executive moves features the appointment of Chicago public company transactions partner David Brown to managing partner of the Chicago office.

Finra targets firms hiring brokers with checkered pasts

InvestmentNews | January 06, 2017

New York City public company transactions partner Dick Langan is quoted in this article about the Financial Industry Regulatory Authority’s plans to establish an exam unit in 2017 to handle how brokerage firms hire and supervise representatives who may have a history of misconduct.

MA survey reflects optimism

The Daily Record (NY) | December 22, 2016

This article highlights Nixon Peabody’s annual MAC survey, citing the survey’s findings throughout. New York City public company transactions partner Dick Langan is quoted discussing the 2016 deal landscape and the history of this survey.

Persistent Energy Ghana raises $1.5 million to support distribution of solar home systems in Ghana

Tech Moran | November 01, 2016

This story is about Persistent Energy Ghana’s $1.5M debt round financing that will be used as capital to buy solar home systems for low-income households in Ghana. New York City public company transactions partners Dan McAvoy and Richa Naujoks, and Boston global finance partner Frank Hamblett are working on this matter.

Nextperts: Why new crowdfunding rules matter

Democrat & Chronicle | July 25, 2016

Rochester public company transactions partner Deborah McLean and associate Brian Becker co-authored this column about the new Regulation Crowdfunding rules.

People on the Move

Washington Business Journal | July 19, 2016

This column notes that Washington, DC, public company transactions associate Pierce Han has been elected vice president of membership of the Asian Pacific American Bar Association of Greater Washington.

Career Tracker

Reuters Legal | June 08, 2016

The arrival of Rochester securities counsel Christine Westbrook is highlighted in this column.

Is the SEC Making Cannava a Scapegoat In 38 Studios Case?

The Bond Buyer | May 11, 2016

Boston Government Investigations & White Collar Defense partner Brian Kelly is quoted in this article discussing the memorandum of law in support of Peter Cannava’s motion to dismiss the SEC’s complaint against him.

Cybersecurity Best Practices for Senior Bank Management

Bloomberg BNA Banking Report | March 21, 2016

Chicago partner Susan Feibus authored this column about important considerations for financial institutions to take in terms of policies and procedures that address the cyber threat environment and resilience to cyber attacks.

Nixon Peabody Promotes NLSIU grad Richa Naujoks to Partnership

Bar & Bench | February 01, 2016

This feature article highlights New York City securities partner Richa Naujoks’ election to the partnership. The article discusses Richa’s practice and also links to the Nixon Peabody 2016 Partner Class video.

Nixon Peabody Adds Tax Partner from Squire Patton

Law360 | January 15, 2016

This feature story highlights the arrival of Washington, DC, securities partner Sean Clancy.

Rekordår för köp göder Wall Street (Record Year for Acquisitions is Feeding Wall Street)

Dagens Industry (Sweden) | December 28, 2015

New York City corporate attorney Hanna Jackson provides third-party commentary in this feature story on the 2015 calendar year on Wall Street.

Private Fund Regulation in 2015—SEC Levels Up

Law360 | December 18, 2015

Boston partner and deputy chairman of the Private Investment Fund Disputes team Stephen LaRose and Boston associate Kathleen Ceglarski Burns co-authored this article. The piece discusses how the U.S. Securities and Exchange Commission’s focus on private fund advisers has shifted from learning and information gathering to examination and enforcement activity.

Nixon Peabody: MAC Survey shows ‘cautious optimism’

Daily Record | December 17, 2015

This article discusses the key findings in Nixon Peabody’s 14th Annual MAC Survey.

Engaging with activist investors may be best approach

Rochester Business Journal | December 11, 2015

Rochester Securities partner Deborah McLean provides third-party commentary in this feature article on how public companies can deal with activist shareholders.

SEC's Next Move on Conflict Minerals Rule Could Open a Pandora's Box

Compliance Week | November 17, 2015

Boston Securities partner Kelly Babson provides third-party commentary in this feature article on the Securities and Exchange Commission’s embattled Conflict Minerals Rule.

Indian American lawyer shortlisted for prestigious award

The Times of India | August 14, 2015

The feature story notes that Richa Naujoks has been shortlisted for Thomson Reuters Foundation's TrustLaw Lawyer of the Year award.

Representation and Warranty Insurance—A Concept That Has Come of Age for M&A

The Deal | June 24, 2015

New York City Public Company Transactions partner Dick Langan authored this column on the coming of age of representation and warranty insurance in mergers and acquisitions.

3 Tips on Forming an SEC-Compliant Private Equity Fund

Law360 | November 18, 2014

New York City Public Company Transactions partner Dan McAvoy provides commentary in this article discussing tips private equity firms can follow to create SEC-compliant funds.

Schooled in Business – On the job

Rochester Business Journal | September 26, 2014

Rochester Public Company Transactions associate John Moragne is featured in this interview discussing his background, how he arrived at law school, and his business-focused practice.

Don't Miss It: Hot Deals & Firms We're Following This Week

Law360 | July 10, 2014

Gannett Co., Inc.’s acquisition of seven Texas television stations from London Broadcasting Company for $215 million is highlighted among the top deals this week. Nixon Peabody represented Gannett. The deal team noted in the coverage includes Public Company Transactions practice group leader John Partigan, Labor & Employment partners Brian Kopp and Michael Hausknecht, Tax partner Christian McBurney, Antitrust partner Gordon Lang and counsel Alycia Ziarno, and associates Tiana Butcher and Pierce Han.

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