Ioppolo Law Group, PLLC
250 International Parkway, Suite 250
Lake Mary, FL 32746
407.444.1004
Fax: 866.529.4717

Ioppolo Law Group, PLLC
250 International Parkway, Suite 250
Lake Mary, FL 32746
407.444.1004
Fax: 866.529.4717

Securities & Capital Markets

ILG attorneys have worked with a variety of companies to navigate the complex process of raising and investing capital in the public and private markets.

Key Service Areas

  • Private Placements
  • Public Offerings
  • Angel Investments & Venture Capital
  • Mezzanine Debt Financings
  • Fund Formations

Our experience includes representing domestic and international issuers, underwriters and placement agents in connection with equity and debt financings and other capital markets transactions. We assist clients with transactions ranging from start-up, angel and venture capital financings, to large and complex private placements and public offering transactions. We advise issuers, underwriters and investors, on initial and follow-on securities offerings, and concerning compliance with U.S. federal and state securities laws as well as applicable stock exchange listing requirements.

We use our relationships in the industry to act as deal-facilitators and problem-solvers in financing and capital markets transactions.

As issuer’s counsel, we guide our clients through every stage of the offering and funding process, from identifying and selecting placement agents and underwriters, to mapping strategy and setting timetables, to preparing the offering documents and appropriate filings and navigating the weave of applicable regulatory requirements. We deploy a practical and experience-based understanding of federal and state securities laws and stock exchange rules to assist clients in exploiting opportunities and avoiding potential pitfalls that may delay or derail a critical financing transaction.

We have represented issuers and underwriters in equity offerings, including initial public offerings. Our public offering experience covers a variety of industries, including retail, technology, internet, automotive, software and industrial. Our lawyers are familiar with the SEC’s offering reform rules and will work with issuers as they implement new shelf registration statements and offering procedures.

Representative transactional experience in these areas includes the following:

  • Issuer’s counsel to national sports museum and hall of fame in New York City in connection with the raising of over $80,000,000 in debt and equity.
  • Served as issuer’s or underwriter’s counsel in public equity offerings.
  • Served as borrower’s counsel in multiple loans and financing transactions.
  • Served as company’s or investor’s counsel in numerous venture capital financings.
  • Served as fund’s counsel in numerous private equity investments.
  • Representation of issuers and investment banks/placement agents in connection with numerous private placement transactions.
  • Served as lead U.S. counsel to a foreign private issuer to register its stock to trade under the 20-F rules and its subsequent listing on The American Stock Exchange.
  • Representation of foreign issuers in the public offering of their securities as an American Depository Receipt.
  • Formation and representation of a real estate co-investment funds.
  • Representation of companies in connection with de-listing proceedings before Nasdaq and the American Stock Exchange.