Capital Markets & Securities

Recent News:

ESG in the Boardroom: A Guidebook for Directors

Katayun Jaffari, chair of the Corporate Governance Group, co-chair of the Capital Markets & Securities Group, and co-chair of the ESG (environmental social governance) Group, has co-edited a book for the Business Law Section of the American Bar Association titled ESG in the Boardroom, A Guidebook for Directors.

More

Cozen O’Connor works closely with public and private companies, underwriters, and investors to design efficient strategies for capital formation, execute securities transactions, and fulfill regulatory requirements for participation in the U.S. capital markets.

WHAT WE DO

Offerings & Transactions

  • Initial public offerings (IPOs) and stock exchange listings
  • SPAC IPOs and de-SPAC transactions
  • At-the-market offerings (ATMs), equity line offerings, and follow-on equity and debt offerings
  • Alternative public offerings (APOs), including reverse mergers, self-filings, and direct listings
  • Private placements, PIPEs, and Rule 144A/Regulation S offerings
  • Senior, subordinated, secured and unsecured debt offerings
  • High-yield and investment-grade debt offerings
  • Digital currency and token offerings

Compliance

  • U.S. federal and state securities laws, stock exchange rules, and FINRA requirements
  • Periodic reports and other federal securities law reporting matters
  • Proxy statements, consent solicitations, and shareholder proposals
  • Responses to SEC comment letters
  • Section 16 and Section 13 reporting obligations
  • Rule 10b-5 and insider trading compliance
  • No-action letters and other rule interpretive guidance
  • ISS and Glass-Lewis matters

WHY OUR FIRM

Participants in the U.S. capital markets are subject to complex federal regulations, strict reporting requirements, and heightened legal scrutiny and exposure. Cozen O’Connor’s Capital Markets & Securities team includes counsel with decades of relevant legal experience.

Cozen O’Connor rejects the high-leverage staffing model common to many large firms. Rather than supervise armies of junior associates, veteran securities lawyers provide direct client service and bring their experience and judgement to every engagement.

The firm has deliberately prioritized geographic diversity in building out its Capital Markets & Securities practice. Cozen O’Connor has top corporate counsel based in competitive legal markets across the country, not only in high-cost coastal hubs.

Securities transactions are a process rather than a singular event. Cozen O’Connor helps clients lay the groundwork for success by advising on the best mechanism for a capital raise by analyzing both corporate needs and market conditions and engaging at a high level with all stakeholders, including issuers, managers, boards, financial advisers, and lenders.

The importance of achieving best-in-class compliance with legal and regulatory obligations cannot be overstated. We help establish and implement internal compliance regimes, aid in preparation of periodic and current reports, respond to SEC inquiries and shareholder requests, and closely monitor changes in compliance rules and regulations or enforcement priorities.

RELATED PRACTICES

Corporate Governance

We work with boards of directors and management teams of public and private companies, U.S.-listed foreign private issuers, and financial institutions to meet their legal, exchange listing, and fiduciary obligations to corporate entities, shareholders, and employees. Work can range from internal investigations to succession planning to governance structures and protocols.

Employee Benefits & Executive Compensation

We provide guidance about retirement and health plans, implications of business transactions, and plan terminations and withdrawals, and negotiate sophisticated contracts that include proper protections and desirable incentives for both executives, employers, and shareholders.

Securities Litigation & SEC Enforcement

Cozen O’Connor’s Securities Litigation team, led by a former senior attorney with the SEC’s Division of Enforcement, represents clients in SEC, DOJ, and FINRA enforcement investigations and litigates securities fraud cases in federal court and FINRA arbitrations.

M&A

Cozen O’Connor’s national M&A practice handles complex mergers, asset, and stock transactions for major companies in diverse industries. Our attorneys close deals valued from tens of millions to billions of dollars.

Tax

Through the federal tax practice, we advise clients on the tax implications of mergers and acquisitions, securities offerings, financings, entity structure, contractual arrangements, cross-border transactions, and other business arrangements.

White Collar Defense & Investigations

The firm represents individuals, companies, and corporate boards in all aspects of criminal investigations and prosecutions, including internal investigations, enforcement proceedings, plea negotiations, and criminal defense trials.

Publications

Public Companies Brace Yourselves: SEC Issues Game-Changing Rule on Climate-Related Disclosures

April 25, 2022

Mehrnaz Jalali and Rikisha Collins authored an article in The Legal Intelligencer discussing the SEC’s proposed rule on climate-related disclosures and the roles that public companies play in addressing climate change and sustainability.

SEC Proposes New Rules for Cybersecurity Incident Reporting [Alert]

March 28, 2022

In March, the SEC proposed new rules pertaining to reporting material cybersecurity incidents and their cybersecurity risk management and governance.

SEC Issues Proposed Rules For Enhancement and Standardization of Climate-Related Disclosures [Alert]

March 23, 2022

Kathy Jaffari and Rikisha Collins discuss the SEC's proposed amendments to Regulation S-K and Regulation S-X to “enhance and standardize registrant’s climate-related disclosures for investors.”

SEC Proposes Extensive New Regulations for Private Fund Advisers [Alert]

March 21, 2022

Ingrid Welch and Greg Patton discuss the SEC's proposed new and amended rules under the Investment Advisers Act of 1940 that would impose specific disclosure requirements, increase reporting requirements, and prohibit certain activities and practices, primarily impacting private fund advisers.

SEC Proposes Amendments Impacting Beneficial Ownership Reporting [Alert]

March 09, 2022

Katayun Jaffari and Alexandra B. Curtin discuss the U.S. Securities and Exchange Commission proposed amendments to the rules governing beneficial ownership reporting.

Ceres Guidance for Engaging on Climate Risk Governance and Voting on Directors [Alert]

February 07, 2022

Kathy Jaffari and Rikisha Collins discuss the top 10 guidance based on TCFD “governance” recommended disclosures and the net-zero company benchmark as well as climate action 100+ net-zero company benchmark indicators.

A Look Back and A Glimpse Forward: The SEC’s Agenda [The Legal Intelligencer]

January 24, 2022

Kathy Jaffari and Rikisha Collins authored an article in The Legal Intelligencer that addresses how the initiatives of the Securities and Exchange Commission’s (SEC) 2021 rulemaking agenda were instituted, and discusses what to expect from the SEC in 2022.

SEC Approves Anticipated Nasdaq Board Diversity Rules [Alert]

August 10, 2021

Rachel Collins Clarke, Mehrnaz Jalali, and Kathy Jaffari discuss Nasdaq's new rules that require Nasdaq-listed companies to either have or explain why they do not have at least two diverse directors.

SEC Brings Enforcement Action Against All Sides of a Proposed SPAC Transaction for Misleading Disclosures [Alert]

July 15, 2021

Naz Jalali discusses the SEC's first enforcement action in which all sides of a proposed SPAC transaction were targeted. In this action, the SEC brought charges against the SPAC, the SPAC sponsor, the SPAC’s CEO, the SPAC’s proposed merger target, and the merger target’s founder and former CEO.

Gensler's SEC Can Bring Regulatory Clarity to Digital Assets

April 14, 2021

Chris Bellini and Kara Kapp discuss potential changes to be made to the digital assets industry as a result of Gensler’s recent appointment as chairman of the Securities and Exchange Commission in ThinkAdvisor.

SEC Continues to Signal its Commitment to ESG Disclosures and Reporting [Alert]

March 24, 2021

Mehrnaz Jalali and Kathy Jaffari discuss the SEC's signals over the past six weeks to public companies and investors about its commitment to disclosures and reporting of environmental, social, and governance (ESG) issues.

SEC Suspends Trading in 15 Public Companies for Suspicious Social Media & Trading Activity [Alert]

March 04, 2021

Joe Dever and Luke La Rocca discuss the SEC's February 26, 2021 order that suspended the trading of securities in 15 OTC public companies due to questionable trading activity and social media promotions that the SEC suspects to have been part of a coordinated attempt to artificially inflate stock prices.

SEC Releases Sample Comment Letter for Issuers Conducting Offerings During Periods of Volatility [Alert]

February 23, 2021

Chris Bellini discusses the sample letter published by the SEC that identifies a number of sample comments the SEC may provide to issuers conducting securities offerings amid market and price volatility.

SEC Proposed Exemption Provides Regulatory Clarity For Unregistered Finders

January 25, 2021

Joe Dever, Seth Popick, and Lindsey Stillwell contributed an article to Temple's Business Law Magazine discussing the SEC's decision to provide much-needed clarity to the regulatory status of so-called "finders" who assist small businesses in raising capital.

SEC Compliance and Enforcement Answer Book, Practicing Law Institute (2021 ed.)

January 15, 2021

Joe Dever, a member of Cozen O'Connor's Securities Litigation & SEC Enforcement practice groups, co-authored Chapter 16: “SEC Market Manipulation Investigations” of the 2021 edition of SEC Compliance and Enforcement Answer Book, published by Practicing Law Institute and edited by Cravath, Swaine & Moore LLP.

A Survey of Selected Recent SEC Guidance Helpful for Municipal Securities Disclosure

August 20, 2020

Mark Vacha authored an article published in The Ledger, that provides issuers with an overview of a sampling of recent SEC guidance for purposes of disclosure for public bond and other debt offerings.

Public Company COVID-19 Disclosures and Mitigating Securities Litigation Risks [Alert]

March 16, 2020

Joseph Dever, Linda Regis-Hallinan, and Andrew Punzo discuss the SEC's announcement regarding public disclosures in a company's periodic report in light of COVID-19.

SEC Proposes to Expand Private Offerings [Alert]

March 11, 2020

Chris Bellini discusses the SEC's proposal to streamline the current framework of rules and guidance governing exempt offerings and to broaden the availability of such offerings.

Fifth Circuit Affirms Application of Securities Exclusion [Alert]

August 26, 2019

Rafael Rivera discusses Gleason v. Markel American Insurance Company and the importance of the wording of securities exclusions in D&O policies.

SEC Adopts Amendments for FAST Act Modernization and Simplification of Regulation S-K [Alert]

April 08, 2019

The changes adopted by the SEC will become effective on May 2, 2019, except for the requirement to tag all cover page data in Inline XBRL and the amendments to the rules governing redactions of confidential information in material contracts.

A Security is a Security: How Initial Coin Offerings May Trigger Securities Enforcement and Penalties [Wall Street Lawyer]

January 15, 2019

James Billings-Kang authored an article on the government's response to regulate emerging technologies such as cryptocurrency.

SEC Adopts New Smaller Reporting Company and XBRL Rules [Securities Alert]

July 11, 2018

Chris Bellini discusses the SEC's final rules and rule proposals that broaden the definition of “smaller reporting company” and require the use of the Inline XBRL format in certain operating company and mutual fund filings.

SEC Proposes Disclosure Requirements and Name Restrictions for Broker-Dealers & Investment Advisers [Corporate/Securities Alert]

June 18, 2018

In a series of three proposed regulations with requests for comments, the Securities and Exchange Commission (SEC) seeks to enhance communications by broker-dealers and investment advisers to their customers and clients.

SEC Charges 13 Private Fund Advisers for Repeated Filing Failures [Securities Alert]

June 12, 2018

Christopher Bellini and Ingrid Welch discuss the SEC's focus on policing even the most technical of violations and warn advisers to private funds that they should timely file their Form PF and that the information contained in their Form PF is accurate and complete.

SEC Proposed Regulation Best Interest Regarding Duties Of Broker-Dealers [Securities Alert]

June 11, 2018

Ingrid Welch and Greg Patton discuss Release No. 34-83062 (Best Interest Release) proposed under the Securities and Exchange Act of 1934, as amended; the SEC's attempt to make clear that a broker-dealer may not put its own financial interests ahead of its retail customers when making recommendations.

SEC Proposes Clarification Regarding Fiduciary Duties Owed by Investment Advisers [Securities Alert]

May 08, 2018

Ingrid Welch and Greg Patton discuss three proposed regulations made by the SEC to enhance and clarify the standards of conduct and duties owed by brokers-dealers and investment advisers to their customers and clients.

SEC Issues Guidance on Initial Coin Offerings [Securities Alert]

July 28, 2017

The report stems from an SEC inquiry of a “virtual” organization known as “The DAO” and looked into whether The DAO and associated entities and individuals violated federal securities laws with unregistered offers and sales of DAO Tokens in exchange for ether.

Events & Seminars

Past Events

In The News

ESG in the Boardroom: A Guidebook for Directors

April 26, 2022

Katayun Jaffari, chair of the Corporate Governance Group, co-chair of the Capital Markets & Securities Group, and co-chair of the ESG (environmental social governance) Group, has co-edited a book for the Business Law Section of the American Bar Association titled ESG in the Boardroom, A Guidebook for Directors.

Public Companies Brace Yourselves: SEC Issues Game-Changing Rule on Climate-Related Disclosures

April 25, 2022

Mehrnaz Jalali and Rikisha Collins authored an article in The Legal Intelligencer discussing the SEC’s proposed rule on climate-related disclosures and the roles that public companies play in addressing climate change and sustainability.

SEC Proposes New Rules for Cybersecurity Incident Reporting [Alert]

March 28, 2022

In March, the SEC proposed new rules pertaining to reporting material cybersecurity incidents and their cybersecurity risk management and governance.

SEC Issues Proposed Rules For Enhancement and Standardization of Climate-Related Disclosures [Alert]

March 23, 2022

Kathy Jaffari and Rikisha Collins discuss the SEC's proposed amendments to Regulation S-K and Regulation S-X to “enhance and standardize registrant’s climate-related disclosures for investors.”

Cozen O’Connor Continues its Canadian Expansion, Adding Another Three Attorneys to Its Vancouver, B.C. Office

March 21, 2022

Elizabeth Holden, Gosia Piasecka, and Nicholas Krishan will reunite with former colleagues Rory Godinho, Kathy Tang, Lucy Schilling, Brian Fast, and Iain Mingo — five corporate attorneys who moved to Cozen O’Connor from the same Canadian firm earlier this month.

SEC Proposes Extensive New Regulations for Private Fund Advisers [Alert]

March 21, 2022

Ingrid Welch and Greg Patton discuss the SEC's proposed new and amended rules under the Investment Advisers Act of 1940 that would impose specific disclosure requirements, increase reporting requirements, and prohibit certain activities and practices, primarily impacting private fund advisers.

SEC Proposes Amendments Impacting Beneficial Ownership Reporting [Alert]

March 09, 2022

Katayun Jaffari and Alexandra B. Curtin discuss the U.S. Securities and Exchange Commission proposed amendments to the rules governing beneficial ownership reporting.

Cozen O’Connor Continues International Expansion with Corporate Additions, Moves to New Vancouver Office Space

March 07, 2022

Rory Godinho, Kathy Tang, Lucy Schilling, Brian Fast, and Iain Mingo have joined Cozen O’Connor from a major national Canadian law firm.

Ceres Guidance for Engaging on Climate Risk Governance and Voting on Directors [Alert]

February 07, 2022

Kathy Jaffari and Rikisha Collins discuss the top 10 guidance based on TCFD “governance” recommended disclosures and the net-zero company benchmark as well as climate action 100+ net-zero company benchmark indicators.

A Look Back and A Glimpse Forward: The SEC’s Agenda [The Legal Intelligencer]

January 24, 2022

Kathy Jaffari and Rikisha Collins authored an article in The Legal Intelligencer that addresses how the initiatives of the Securities and Exchange Commission’s (SEC) 2021 rulemaking agenda were instituted, and discusses what to expect from the SEC in 2022.

Cozen O'Connor Attorneys Win Securities Fraud Case in Del. Federal Court's First In-Person Trial

October 04, 2021

Martin Bloor and Matthew Elkin were quoted in an article published by the Delaware Court Insider, which discusses a securities fraud case victory.

More Than 205 Cozen O’Connor Attorneys Named Best Lawyers and Ones to Watch By The Best Lawyers In America

August 19, 2021

Best Lawyers selected 210 Cozen O’Connor lawyers from 23 of the firm’s nationwide offices for inclusion in the 2022 edition of The Best Lawyers in America.

SEC Approves Anticipated Nasdaq Board Diversity Rules [Alert]

August 10, 2021

Rachel Collins Clarke, Mehrnaz Jalali, and Kathy Jaffari discuss Nasdaq's new rules that require Nasdaq-listed companies to either have or explain why they do not have at least two diverse directors.

SEC Brings Enforcement Action Against All Sides of a Proposed SPAC Transaction for Misleading Disclosures [Alert]

July 15, 2021

Naz Jalali discusses the SEC's first enforcement action in which all sides of a proposed SPAC transaction were targeted. In this action, the SEC brought charges against the SPAC, the SPAC sponsor, the SPAC’s CEO, the SPAC’s proposed merger target, and the merger target’s founder and former CEO.

82 Cozen O’Connor Lawyers, 19 Practices Earn Top Recognition in Chambers USA 2021 Guide

May 26, 2021

Chambers USA, the leading annual guide to the top lawyers and law firms in the United States, has ranked 82 Cozen O’Connor lawyers as leaders in their respective fields in the guide’s 2021 edition; of those, 15 lawyers have been recognized nationally.

Gensler's SEC Can Bring Regulatory Clarity to Digital Assets

April 14, 2021

Chris Bellini and Kara Kapp discuss potential changes to be made to the digital assets industry as a result of Gensler’s recent appointment as chairman of the Securities and Exchange Commission in ThinkAdvisor.

SEC Continues to Signal its Commitment to ESG Disclosures and Reporting [Alert]

March 24, 2021

Mehrnaz Jalali and Kathy Jaffari discuss the SEC's signals over the past six weeks to public companies and investors about its commitment to disclosures and reporting of environmental, social, and governance (ESG) issues.

SEC Suspends Trading in 15 Public Companies for Suspicious Social Media & Trading Activity [Alert]

March 04, 2021

Joe Dever and Luke La Rocca discuss the SEC's February 26, 2021 order that suspended the trading of securities in 15 OTC public companies due to questionable trading activity and social media promotions that the SEC suspects to have been part of a coordinated attempt to artificially inflate stock prices.

SEC Releases Sample Comment Letter for Issuers Conducting Offerings During Periods of Volatility [Alert]

February 23, 2021

Chris Bellini discusses the sample letter published by the SEC that identifies a number of sample comments the SEC may provide to issuers conducting securities offerings amid market and price volatility.

Cozen O'Connor Represents Underwriters in Cannabis Finance REIT Readies $100M IPO

February 03, 2021

AFC Gamma, a Florida-based real estate investment trust that finances cannabis ventures, set terms for a roughly $100 million initial public offering.

Cozen O’Connor Scores a 100 on the HRC Foundation’s 2021 Corporate Equality Index

February 02, 2021

Cozen O’Connor is pleased to announce it achieved a perfect score on the Human Rights Campaign Foundation’s 2021 Corporate Equality Index.

Cozen O’Connor Expands New York Corporate Governance & Securities Practice with the Addition of Mehrnaz Jalali

January 26, 2021

Jalali brings significant experience advising on corporate governance and securities disclosure and reporting on significant public equity and debt offerings, as well as a strong background in Environmental, Social, and Governance (ESG) matters. The Corporate Governance & Securities Practice has experienced significant growth in activity.

SEC Proposed Exemption Provides Regulatory Clarity For Unregistered Finders

January 25, 2021

Joe Dever, Seth Popick, and Lindsey Stillwell contributed an article to Temple's Business Law Magazine discussing the SEC's decision to provide much-needed clarity to the regulatory status of so-called "finders" who assist small businesses in raising capital.

SEC Compliance and Enforcement Answer Book, Practicing Law Institute (2021 ed.)

January 15, 2021

Joe Dever, a member of Cozen O'Connor's Securities Litigation & SEC Enforcement practice groups, co-authored Chapter 16: “SEC Market Manipulation Investigations” of the 2021 edition of SEC Compliance and Enforcement Answer Book, published by Practicing Law Institute and edited by Cravath, Swaine & Moore LLP.

Katayun Jaffari Named to The Philadelphia Business Journal’s Best of the Bar 2020

October 13, 2020

Cozen O’Connor is pleased to announce that Katayun Jaffari, chair of the firm’s Corporate Governance & Securities practice, has been named to The Philadelphia Business Journal’s “Best of the Bar 2020.”

More Than 200 Cozen O’Connor Attorneys Named Best Lawyers and Ones to Watch By The Best Lawyers In America

August 20, 2020

Best Lawyers selected 201 Cozen O’Connor lawyers from 23 of the firm’s nationwide offices for inclusion in the 2021 edition of The Best Lawyers in America© (Copyright 2020 by Woodward/White, Inc., of Aiken, SC).

A Survey of Selected Recent SEC Guidance Helpful for Municipal Securities Disclosure

August 20, 2020

Mark Vacha authored an article published in The Ledger, that provides issuers with an overview of a sampling of recent SEC guidance for purposes of disclosure for public bond and other debt offerings.

Cozen O’Connor Guides Utz Quality Foods in Business Combination Agreement with Collier Creek Holdings to Form Utz Brands, Inc.

June 10, 2020

Transaction Results in Utz Going Public After Nearly 100 Years as Family Business.

Katayun I. Jaffari Joins Cozen O’Connor as Chair of its Corporate Governance & Securities Group

June 01, 2020

Jaffari, whose clients range from life sciences and energy enterprises, to technology and fintech providers across the United States, comes to the firm from Ballard Spahr LLP.

63 Cozen O’Connor Lawyers, 16 Practices Earn Top Recognition in Chambers USA 2020 Guide

May 14, 2020

Chambers USA, the leading annual guide to the top lawyers and law firms in the United States, has ranked 63 Cozen O’Connor lawyers as leaders in their respective fields in the guide’s 2020 edition.

Cozen O’Connor’s Corporate Practice Continues Rapid Growth, Adding Minnesota Attorney Katheryn A. Gettman

May 11, 2020

Gettman is the eleventh attorney to join the firm’s Corporate Practice this month,

U.S. Companies Walk Legal Tightrope as Earnings Season Kicks Off

April 15, 2020

Chris Bellini discusses how The Securities and Exchange Commission’s guidance on reporting earnings outlooks during the coronavirus pandemic could create pitfalls for U.S. companies in The New York Times.

Public Company COVID-19 Disclosures and Mitigating Securities Litigation Risks [Alert]

March 16, 2020

Joseph Dever, Linda Regis-Hallinan, and Andrew Punzo discuss the SEC's announcement regarding public disclosures in a company's periodic report in light of COVID-19.

SEC Proposes to Expand Private Offerings [Alert]

March 11, 2020

Chris Bellini discusses the SEC's proposal to streamline the current framework of rules and guidance governing exempt offerings and to broaden the availability of such offerings.

Fifth Circuit Affirms Application of Securities Exclusion [Alert]

August 26, 2019

Rafael Rivera discusses Gleason v. Markel American Insurance Company and the importance of the wording of securities exclusions in D&O policies.

SEC Adopts Amendments for FAST Act Modernization and Simplification of Regulation S-K [Alert]

April 08, 2019

The changes adopted by the SEC will become effective on May 2, 2019, except for the requirement to tag all cover page data in Inline XBRL and the amendments to the rules governing redactions of confidential information in material contracts.

A Security is a Security: How Initial Coin Offerings May Trigger Securities Enforcement and Penalties [Wall Street Lawyer]

January 15, 2019

James Billings-Kang authored an article on the government's response to regulate emerging technologies such as cryptocurrency.

Cozen O’Connor Advises Cannabis Industry Leader, Acreage Holdings, Inc., in $160 Million Acquisition of Form Factory, Inc.

January 02, 2019

Acreage will issue approximately 6.4 million Subordinate Voting Shares to Form Factory shareholders at a deemed price of $25 (USD) per share. The transaction is expected to close in the first quarter of 2019.

SEC Adopts New Smaller Reporting Company and XBRL Rules [Securities Alert]

July 11, 2018

Chris Bellini discusses the SEC's final rules and rule proposals that broaden the definition of “smaller reporting company” and require the use of the Inline XBRL format in certain operating company and mutual fund filings.

SEC Proposes Disclosure Requirements and Name Restrictions for Broker-Dealers & Investment Advisers [Corporate/Securities Alert]

June 18, 2018

In a series of three proposed regulations with requests for comments, the Securities and Exchange Commission (SEC) seeks to enhance communications by broker-dealers and investment advisers to their customers and clients.

SEC Charges 13 Private Fund Advisers for Repeated Filing Failures [Securities Alert]

June 12, 2018

Christopher Bellini and Ingrid Welch discuss the SEC's focus on policing even the most technical of violations and warn advisers to private funds that they should timely file their Form PF and that the information contained in their Form PF is accurate and complete.

SEC Proposed Regulation Best Interest Regarding Duties Of Broker-Dealers [Securities Alert]

June 11, 2018

Ingrid Welch and Greg Patton discuss Release No. 34-83062 (Best Interest Release) proposed under the Securities and Exchange Act of 1934, as amended; the SEC's attempt to make clear that a broker-dealer may not put its own financial interests ahead of its retail customers when making recommendations.

SEC Proposes Clarification Regarding Fiduciary Duties Owed by Investment Advisers [Securities Alert]

May 08, 2018

Ingrid Welch and Greg Patton discuss three proposed regulations made by the SEC to enhance and clarify the standards of conduct and duties owed by brokers-dealers and investment advisers to their customers and clients.

Cozen O’Connor Advises Utz Quality Foods, LLC in its Acquisition of Inventure Foods, Inc.

February 14, 2018

Cozen O’Connor represented Utz Quality Foods, LLC in its acquisition of Inventure Foods, Inc. for approximately $165 million.

Utz Quality Foods Acquires Inventure Foods

December 15, 2017

Hanover, PA-based Utz Quality Foods completed its acquisition of Inventure Foods in a deal valued at $165 million. Larry Laubach, chair of Cozen O'Connor's Corporate Practice Group, assisted Utz in the transaction.

SEC Issues Guidance on Initial Coin Offerings [Securities Alert]

July 28, 2017

The report stems from an SEC inquiry of a “virtual” organization known as “The DAO” and looked into whether The DAO and associated entities and individuals violated federal securities laws with unregistered offers and sales of DAO Tokens in exchange for ether.

Contacts

Katayun Jaffari

Chair, Corporate Governance
Co-Chair, Capital Markets & Securities
Co-Chair, ESG

kjaffari@cozen.com

(215) 665-4622

Christopher J. Bellini

Chair, Private Equity
Co-Chair, Capital Markets & Securities

cbellini@cozen.com

(612) 260-9029

Jeremiah G. Garvey

Co-Chair, Capital Markets & Securities

jgarvey@cozen.com

(412) 620-6570

Rory Godinho

Chair, Canadian Capital Markets & Securities Practice

rgodinho@cozen.com

(236) 317-5573

People

Awards

More Than 205 Cozen O’Connor Attorneys Named Best Lawyers and Ones to Watch By The Best Lawyers In America

August 19, 2021

Best Lawyers selected 210 Cozen O’Connor lawyers from 23 of the firm’s nationwide offices for inclusion in the 2022 edition of The Best Lawyers in America.

82 Cozen O’Connor Lawyers, 19 Practices Earn Top Recognition in Chambers USA 2021 Guide

May 26, 2021

Chambers USA, the leading annual guide to the top lawyers and law firms in the United States, has ranked 82 Cozen O’Connor lawyers as leaders in their respective fields in the guide’s 2021 edition; of those, 15 lawyers have been recognized nationally.

Cozen O’Connor Scores a 100 on the HRC Foundation’s 2021 Corporate Equality Index

February 02, 2021

Cozen O’Connor is pleased to announce it achieved a perfect score on the Human Rights Campaign Foundation’s 2021 Corporate Equality Index.

Katayun Jaffari Named to The Philadelphia Business Journal’s Best of the Bar 2020

October 13, 2020

Cozen O’Connor is pleased to announce that Katayun Jaffari, chair of the firm’s Corporate Governance & Securities practice, has been named to The Philadelphia Business Journal’s “Best of the Bar 2020.”

More Than 200 Cozen O’Connor Attorneys Named Best Lawyers and Ones to Watch By The Best Lawyers In America

August 20, 2020

Best Lawyers selected 201 Cozen O’Connor lawyers from 23 of the firm’s nationwide offices for inclusion in the 2021 edition of The Best Lawyers in America© (Copyright 2020 by Woodward/White, Inc., of Aiken, SC).

63 Cozen O’Connor Lawyers, 16 Practices Earn Top Recognition in Chambers USA 2020 Guide

May 14, 2020

Chambers USA, the leading annual guide to the top lawyers and law firms in the United States, has ranked 63 Cozen O’Connor lawyers as leaders in their respective fields in the guide’s 2020 edition.

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