Capital Markets/Securities

Steptoe is experienced in securities law matters and has represented clients in public and private offerings of equity, debt, and derivative securities aggregating billions of dollars. In addition to counseling clients on compliance with all the federal securities laws, we also coordinate with Steptoe’s other market-leading practice areas to represent clients in securities enforcement proceedings, as well as litigation involving issues under federal and state securities laws.

Steptoe advises clients on matters relating to the offer and sale of securities in the United States and Europe, as well as prepare and review the transaction documents in connection with such offerings. We help our clients navigate applicable securities laws and regulations, but also support the critical integration with tax, executive compensation, corporate governance, and business matters that arise.

For public companies, we help with ongoing SEC reporting obligations and corporate governance matters and keep up with the latest developments to ensure compliance with US and international securities laws.

Professionals

Danielle F. Fern

Danielle Fern focuses her practice on a broad spectrum of business and commercial transactions, including mergers and acquisitions, technology transactions, intellectual property licensing, product...

Of Counsel

Corporate, Mergers & Acquisitions, Capital Markets/Securities, Retail & E-Commerce

Los Angeles
+1 213 439 9415

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Scott D. Fisher

Scott Fisher advises corporate clients, investment funds, and individuals in connection with public and private offerings of debt and equity securities, corporate governance, mergers and acquisitions...

Partner

Corporate, Capital Markets/Securities, Finance, Mergers & Acquisitions

New York
+1 212 378 7507

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Lewis F. Murphy

Lewis F. Murphy focuses on complex multidistrict and cross-border, bet-the-company and commercial litigation. He has extensive experience in securities and fiduciary duty litigation — both class...

Senior Counsel

Insurance & Reinsurance, Capital Markets/Securities, Financial Services, Commercial Litigation

New York
+1 212 378 7654

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Chris Paparella

Chris Paparella concentrates on financial services litigation and international disputes. He has represented financial institution clients in federal and state court litigation and arbitration...

Partner

Securities Enforcement, International Arbitration, Commercial Litigation, Capital Markets/Securities

New York
+1 212 506 3910

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Michael Thompson

Michael Thompson focuses on transactions involving M&A, joint ventures, private equity, venture capital, start-ups, public listings, corporate governance, duties of directors, reorganizations,...

Partner, Steptoe International (UK) LLP

Corporate, Mergers & Acquisitions, Insolvency & Restructuring, Capital Markets/Securities

London
+44 20 7367 8000

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Representative Matters

Representation of venture capital firm-backed SPAC in $240 million initial public offering and listing on NYSE.
Counseled various trusts (established to hold US government guaranteed notes) in a series of five public offerings (aggregating approximately $1.7 billion) of certificates of beneficial interests.
Represented a major US transportation company in a $200 million debt offering (part of a $500 million "shelf" registration) made in the United States, Canada, the United Kingdom, and Europe.
Represented a major US transportation company in a $270 million common stock offering made in the United States, Canada, the United Kingdom, and Europe.
Represented a heating and air conditioning manufacturer in a $140 million public offering of senior secured notes.
Represented a major US transportation company in issuance of new debt in a $130 million debt exchange offer made to US and European holders of six different series of outstanding debt of such company.
Counseled the borrower, a partnership, in the issuance by the West Virginia Public Energy Authority of $130 million in tax-exempt and taxable bonds.
Served as underwriters' counsel in the sale by a state agency of $124 million of highway transportation bonds.
Represented a government agency in the context of the reorganization of a major US company as issuer of contingent value rights with a maximum value of $96 million.
Represented the European Bank for Reconstruction & Development in connection with its financing of an enhanced digital telecommunications system for the City of Moscow, a transaction reported to be the first limited recourse project financing under the then newly enacted Russian Law on Mortgages and the second project financing in the territory of the former Soviet Union and the first such project financing since the split of the Union into its constituent parts.
Advised a client in the preparation of a proxy statement in connection with a special meeting of its shareholders to vote on a swap of one of its divisions in exchange for a company engaged in the health information business.