Capital Markets and Securities

Corporate, Finance and Capital Markets

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Stevens & Lee’s capital markets lawyers have substantial experience representing publicly traded and private companies in the complete range of corporate and securities matters, including public offerings, follow-on-equity offerings, private placements and private investment in public equities (PIPE) transactions, shelf registrations of debt and equity securities, medium-term note programs, private debt and equity placements, Rule 144A/Reg S transactions, debt financings, and private equity investments and transactions. We also represent underwriters and placement agents in public and private equity and debt financings.

In addition, our experienced team of structured finance lawyers represents clients in complex securitization matters.

Our team advises corporate clients on a wide variety of U.S. securities laws and general corporate and regulatory matters, including compliance with and reporting under the Securities Act, the Securities Exchange Act and related statutes and the rules and regulations of self-regulatory organizations, including the NYSE, NASDAQ and FINRA.

In addition to assisting with the preparation of offering documents in public and private offerings, we assist companies in preparing periodic filings with the SEC, including Forms 10-K, 10-Q and 8-K, as well as proxy statement filings. We also represent public companies in dealings with the Securities and Exchange Commission, including responding to and resolving SEC comment letters and disclosure and accounting matters.

We counsel companies and their directors and officers on compliance with U.S. insider trading prohibitions, Regulation FD, Forms 3 and 4 reporting and short-swing profit rules. We also advise companies and their transfer agents on the disposition of restricted and control securities under SEC Rule 144 and implement Rule 10b5-1 trading plans for companies and insiders.

Barr_TimothyRandolph

Timothy Randolph Barr

Associate

tba@stevenslee.com

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Valley Forge: 610.205.6023

Berger_Andy

Andy P. Berger

Shareholder

apb@stevenslee.com

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Reading: 610.478.2178

Bowen_Tom

Thomas A. Bowen

Partner

tab@stevenslee.com

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Harrisburg Market Square: 717.255.7363

Buck_Steve

Steven D. Buck

Shareholder

sdb@stevenslee.com

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Reading: 610.478.2273

Carbonell_Ramiro

Ramiro M. Carbonell

Shareholder

rmca@stevenslee.com

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Reading: 610.478.2275

Choquette_Ernie

Ernie Choquette

President and CEO

ejc@stevenslee.com

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Reading: 610.478.2140

cicconi_chris

Christopher M. Cicconi

Partner

cmc@stevenslee.com

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Harrisburg Market Square: 717.255.7351

Connolly_James

James M. Connolly

Of Counsel

jmc@stevenslee.com

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Princeton: 609.987.6677

Demers_Tim

Timothy F. Demers

Of Counsel

tfd@stevenslee.com

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Reading: 610.478.2167

DiSandro_Anthony

Anthony S. DiSandro

Shareholder

asd@stevenslee.com

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Valley Forge: 610.205.6030

Dugan_Ken

Kenneth R. Dugan

Shareholder

krd@stevenslee.com

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Reading: 610.478.2163

Evers_Linda

Linda R. Evers

Shareholder

lre@stevenslee.com

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Reading: 610.478.2265

Gill_Sunjeet

Sunjeet S. Gill

Shareholder

ssg@stevenslee.com

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Valley Forge: 610.205.6076

Philadelphia: 610.205.6076

Grubb_Rich

Richard L. Grubb

Shareholder

rlgr@stevenslee.com

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Harrisburg Market Square: 717.255.7362

Hager_Stephanie

Stephanie R. Hager

Associate

srh@stevenslee.com

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Reading: 610.478.2088

Harenza_John

John A. Harenza

Shareholder

jah@stevenslee.com

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Reading: 610.478.2128

Hinsey_Ryan

Ryan P. Hinsey

Associate

rphi@stevenslee.com

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Reading: 610.478.2101

Hobaugh_Bob

Robert J. Hobaugh, Jr.

Shareholder

rjhj@stevenslee.com

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Reading: 610.478.2141

Hogan_Ned

Edward C. Hogan

Shareholder

ech@stevenslee.com

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Princeton: 609.243.6434

Kelso_Wes

Wesley R. Kelso

Shareholder

wrk@stevenslee.com

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Lancaster: 610.478.2242

Laflamme_Joseph

Joseph A. Laflamme

Associate

jala@stevenslee.com

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Valley Forge: 610.205.6341

Lamb_Harry

Harry T. Lamb

Of Counsel

htl@stevenslee.com

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Valley Forge: 610.205.6035

McElligott_Lisa

Lisa M. McElligott Miller

Shareholder

lmm@stevenslee.com

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Reading: 610.478.2192

Pinto_Rick

Richard J. Pinto

Shareholder

rjp@stevenslee.com

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Princeton: 609.987.6650

Richie_David

David R. Richie, II

Of Counsel

drr@stevenslee.com

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Reading: 610.478.2127

Rodriguez_Cayro_Nick

Narciso (Nick) Rodriguez-Cayro

Shareholder

nrc@stevenslee.com

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Harrisburg Market Square: 717.255.7364

Schieber_Paul

Paul H. Schieber

Shareholder

phs@stevenslee.com

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Valley Forge: 610.205.6040

Spencer_Scott

Scott H. Spencer

Shareholder

shs@stevenslee.com

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Harrisburg Market Square: 717.399.6634

daveswartz

David W. Swartz

Shareholder

dws@stevenslee.com

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Reading: 610.478.2184

Tyminski_Steve

Steven M. Tyminski

Shareholder

smt@stevenslee.com

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Valley Forge: 610.205.6032

Zeidner_Joseph

Joseph P. Zeidner

Associate

jpz@stevenslee.com

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Valley Forge: 610.205.6002

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