SECURITIES LAW


We Focus on Your Long Term Success

Kalbian Hagerty LLP has a broad securities and corporate finance practice. Our attorneys advise and represent clients in securities transactions, compliance matters, enforcement proceedings, civil litigation and the rulemaking processes before both federal and state regulatory agencies.


We assist both issuers and underwriters with venture capital and offerings of both equity and debt securities, including private placements pursuant to Regulation D, Rule 144A, Regulation S and state Blue Sky laws.


Our focus is not on just the immediate transaction, but on our clients’ success over the long term. The Firm’s securities attorneys provide compliance counseling with respect to:

  • Broker-dealers
  • Insider trading prohibitions & proxy solicitation rules
  • Investment companies & investment advisors
  • Officers and major shareholders
  • Registration and reporting obligations of public companies
  • Reporting and short-swing profit obligations of directors


  • We regularly represent clients before the Securities and Exchange Commission and self-regulatory organizations such as the stock exchanges and the National Association of Securities Dealers, Inc.


    Key Contacts:

    James R. Hagerty

    John F. McCarthy, III


    Business Matters

    •  Business Law
    •  Employment Law

    Dispute Resolution

    •  Civil Litigation
    •  Arbitration & Mediation
    •  Product Liability

    Energy & Environmental Law

    Energy Law
    •  Environmental Conservation

    Finance & Taxation

    •  Corporate
    •  Estates and Trusts
    •  Islamic Finance
    •  Securities Law
    •  Taxation

    Industries & Investments

    •  Aviation Law and Finance
    Health Care Law
    •  Real Estate
    •  Restaurant & Hospitality Law

    International

    Foreign Sovereign Representation
    •  International Law
    Middle East/North Africa Group (MENA)

    Public Sector

    •  Gov't Affairs, Contracts & Public Policy
    •  Nonprofit Law