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Securities Issues for Transaction Attorneys: Mitigating Risk, Responding to Claims

Recording of a 90-minute premium CLE video webinar with Q&A

This program is included with the Strafford CLE Pass. Click for more information.
This program is included with the Strafford All-Access Pass. Click for more information.

Conducted on Wednesday, April 19, 2023

Recorded event now available

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This CLE webinar will provide corporate counsel with guidance in how to spot securities law issues that may impact a proposed transaction or raising of capital, and steps to take to mitigate against the risks associated with an SEC or state investigation or private party litigation.


Transaction and business attorneys commonly see securities issues come up in matters related to transactions and raising capital. They can include private placements, transactions involving partnership or LLC interests, securities or stock option plans, representations and projections concerning the company, and mergers, acquisitions and other significant decisions by management.

Securities cases typically involve high stakes and sensitive matters. Securities claims present the risk of substantial damage awards and adverse publicity and may bear little relation to the true merits of the claims. When actions come in the form of a letter or subpoena from the SEC, keeping requests in perspective, anticipating risk, and knowing how to proceed can be critical.

Paul Vorndran and Brad Hamilton Jones & Keller, P.C. will address the common securities issues transaction and business attorneys run into with the goal of navigating those issues and guiding clients to best outcomes. Geared toward non-securities lawyers, this session includes assessing the level of involvement in the investigation, whether and how to cooperate, anticipating and managing key decision points, and knowing when to bring in an expert.



  1. Securities best practices for putting together capital-raising transactions
  2. Common securities issues in transactions and business matters
  3. Strategies for responding to SEC and state inquiries and investigations
  4. Voluntarily responding vs. legal options
  5. Anticipating common issues
  6. When to disclose an investigation


The panel will review these and other important issues:

  • What securities issues should be considered when a client is seeking investors?
  • What securities issues should be considered when investing in a startup or emerging company?
  • How should a company respond to an SEC or state inquiry?
  • When should an SEC investigation be disclosed to a company's investors or lenders, and what form should it take?


Vorndran, Paul
Paul L. Vorndran

Jones & Keller

Mr. Vorndran represents clients in complex civil financial matters before state and federal courts and in a variety of...  |  Read More

Hamilton, Brad
Brad Hamilton

Jones & Keller

Mr. Hamilton practices in corporate, securities, business, finance, and transactions law, including public and private...  |  Read More

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