Cline Williams' expertise in the area of securities law has put the firm in the enviable position of serving a variety of both public and private entities, across a broad spectrum of industries. These range from bioengineering, biomedicine and biotechnology businesses; to commercial, agricultural, scientific instruments and environmental monitoring device manufacturing; oil and gas production and  transportation; as well as food and restaurants, assisted living and real estate limited partnerships; and other venture capital, real estate and securities investment enterprises.  The services we provide include:

• Registration of transactions or securities pursuant to the Securities Act of 1933 and the Securities Exchange Act of 1934, including initial public offerings
•  Negotiation and documentation of exempt transactions pursuant to Regulation D, including state Blue Sky filings
• Merger and acquisition of public and private companies, including required proxy statements, federal and state filings and related tax opinions
• Mutual fund formation, operation, acquisition and sale, required federal and state filings and related tax opinions
• Investment advisor registration, compliance and required federal and state filings
• Private investment company formation and regulation
• Broker-dealer compliance
• Civil and administrative matters before the Securities Exchange Commission and state regulatory agencies
• Securities litigation and FINRA arbitration