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Corporate & Securities IconCorporate & Securities

​We provide day-to-day counseling and supervision of legal matters for a variety of business organizations, including structuring, negotiating and documenting a broad spectrum of commercial transactions. We are regularly involved with corporate governance and investor relations matters, as well as various structural transactions involving incorporations, reorganizations and recapitalizations.


Through our longtime representation of several international clients in the manufacturing industry, we have developed specific experience in many of the commercial arrangements utilized throughout the world. This includes substantial experience in the preparation and negotiation of service and supply agreements, lease agreements, employment contracts, joint venture arrangements, distribution agreements and license and technical assistance agreements. Hallett & Perrin has a broad corporate and securities practice that includes the representation of public and private corporations, general partnerships, joint ventures, limited partnerships, limited liability companies, non-profit companies, trade organizations, sole proprietors and other forms of business entities, both our clients, from organization, capital formation and financing, to commercial transactions, mergers and acquisitions.

Our diversity of our clients is one of our greatest strengths. We represent clients in a wide array of industries, including aerospace, broadcasting, construction, entertainment, financial services, food services, healthcare, insurance, manufacturing, packaging, personnel services, pharmaceuticals, real estate development, retail, technology and telecommunications. Our clients range from established, NYSE-listed public companies, to startups, to LBO funds and investment bankers, and we serve them in a wide variety of capacities. For some clients, we supplement their in-house legal staffs by providing highly specialized advice in technical areas, such as SEC or campaign finance matters. For others, we handle discrete transactions such as significant acquisitions or public securities offerings. Other clients retain us to act, in effect, as general counsel in respect to all legal matters facing their organization.

Startup Business - Emerging Growth

We deliver high quality legal services to entrepreneurs engaged in starting new businesses or developing emerging growth companies. Unlike most larger institutional law firms, we offer a level of personal service focused on the unique needs of smaller businesses, at prices that are more in line with their budgets.

Through our representation of many privately help businesses, inventors, venture capitalists, high-tech companies and management teams seeking financing, we have established numerous valuable contacts and relationships which may be beneficial to emerging businesses. We are routinely involved in all phases of an emerging client’s growth and development. Often our involvement includes rendering advice on attracting equity capital, adopting and implementing employee stock option programs, borrowing money from institutional lenders, establishing strategic alliances with other businesses and implementing IPOs. Consequently, we have substantial experience structuring, negotiating and documenting financing transactions through the preparation of private placement memorandums, stockholder agreements and senior and subordinated debt agreements.


We have extensive experience in both transactional and advisory activities involving state and federal securities laws. Our practice before the Securities and Exchange Commission involves both public companies and regulated entities. Our transactional experience includes representing issuers and underwriters in connection with the public and private sale of debt and equity securities, and the attendant compliance with the various state and federal securities laws.

Our expertise extends to a variety of securities offerings, including common stock, preferred stock, convertible securities, warrants and limited partnership interests. These financing transactions include both SEC-registered offerings and exempt transactions subject to Regulation D, Regulation S, or Rule 144A. Our merger and acquisitions practice before the SEC includes the representation of both acquiring companies and target companies in the preparation of proxy materials for transactions submitted to a vote of stockholders.

Our securities law advisory experience includes counseling public companies on a broad range of securities law matters, include compliance with the ongoing disclosure requirements under the Securities Exchange Act of 1934, the preparation and filing of proxy statements, annual reports on Form 10-K, periodic applicable to directors and executive officers, and the laws governing trading on material, nonpublic information.

In addition, we have experience analyzing and advising publicly traded clients with respect to stock exchange listing matters, sales of restricted securities pursuant to Rule 144 and other issues that arise in the context of the regulated securities market. We also are experienced in counseling clients on compliance with state “blue sky” laws, federal and state broker-dealer registration and regulation, and compliance with the Trust Indenture Act of 1939 and the Investment Company Act of 1940.

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