• Overview
  • Professionals

Securities and Corporate Finance

Our attorneys have a great depth of experience representing public companies in a wide range of corporate and securities related matters. We provide outsourced "In-House" counsel services to our public clients and offer flat fee arrangements for general corporate and securities representation. These services include:

  • Assistance in complying with all recurring reporting obligations under the Securities Exchange Act of 1934, including annual reports on Form 10K, quarterly reports ON Form 10Q, 8-K obligations and other compliance advice;
  • Disclosure of material developments;
  • Preparation of proxy statement and assistance in the preparation of the annual report for shareholders' meeting;
  • Attendance at all board and committee meetings and the preparation of corporate minutes;
  • Nasdaq, Stock Exchange and OTC Bulletin Board regulatory compliance;
  • Fulfilling 16(a) responsibilities (Forms 3 and 4) for directors and executive officers;
  • Stock Option Plan administration and regulatory compliance;
  • General corporate advice on a full range of corporate governance issues, directors' duties and responsibilities; and compliance with the Sarbanes-Oxley Act of 2002.

Becker & Poliakoff represents public and private issuers, venture capitalists, angel investors, broker-dealers and investment bankers in a wide range of securities transactions including public and private offerings, acquisitions and exchange offers and shareholder rights plans. We also counsel clients on compliance with securities laws and the disclosure and filing requirements of the Securities and Exchange Commission, the New York Stock Exchange and Nasdaq, and other exchanges and self regulatory bodies. Our clients range from start-ups and mid-level growth companies to seasoned enterprises in a broad range of industries.

Corporate Finance

  • Initial public offerings
  • Public offerings and private placements of debt and equity securities
  • PIPE Transactions
  • Rule 144A and Regulation S offerings
  • Private debt offerings
  • Offerings by mezzanine and leveraged buyout funds
  • Rights offerings and exchange offers
  • Capital raising and risk-hedging transactions
Name Title Phone V-Card Email Office
Victor J. DiGioia Office Managing Partner, New York 212.599.3322 New York
Steven L. Glauberman Shareholder 212.599.3322 New York
Michael A. Goldstein Shareholder 212.599.3322 New York
Stanley R. Goldstein Shareholder 212.599.3322 New York
Adam Kravitz Of Counsel 305.262.4433 Miami
James J. Mahon Shareholder 212.599.3322 New York
Robert I. Rabinowitz Shareholder 732.842.1662 Red Bank
Jie Xiu Shareholder 212.599.3322 New York