Practice Areas
Our Office
151 Railroad Avenue
Greenwich, CT 06830
Phone: 203-869-8744
Fax: 203-869-8648
Monday - Friday:
8:00am - 6:00pm
View Map For Directions
Greenwich, CT 06830
Phone: 203-869-8744
Fax: 203-869-8648
Monday - Friday:
8:00am - 6:00pm
View Map For Directions
Solidly Established Connecticut Securities Law Firm
Law Offices of Kevin T. Hoffman is a full-service securities law firm, representing corporate clients and shareholders in all aspects of the securities industry. For more than 30 years, attorney Kevin T. Hoffman has provided reliable and professional service on matters related to:
- Securities transactions
- Corporate oversight and compliance
- Securities litigation
- Securities arbitration
Orchestrating complex securities transactions
Law Offices of Kevin T. Hoffman has extensive experience coordinating securities transactions by organizing the basic and necessary elements, while reconciling any conflicts that may arise among vital issues or key players. We can assist in all aspects of your transactions, including:
Law Offices of Kevin T. Hoffman has extensive experience coordinating securities transactions by organizing the basic and necessary elements, while reconciling any conflicts that may arise among vital issues or key players. We can assist in all aspects of your transactions, including:
- Capital raising
- Debt and equity financing transactions
- Debt or equity offerings
- Public offering
- Private placement
- Pipe transactions
- Regulation S (off-shore sales)
- Bank lending, margin regulations
- Transaction involving existing securities
- Stock repurchase programs
- Tender and exchange offers
- Mergers and acquisitions
- Joint ventures and strategic alliances
- General commercial matters
- Resales
- Registration under the “34 Act”
Providing meticulous securities oversight
Law Offices of Kevin T. Hoffman helps assure that your company is in compliance with all necessary government regulations. We offer dependable counsel with regards to:
Law Offices of Kevin T. Hoffman helps assure that your company is in compliance with all necessary government regulations. We offer dependable counsel with regards to:
- AMEX, Nasdaq and NYSE listings and compliance
- Blue sky compliance
- SEC compliance
- Reporting by public companies
- Reporting by officers, directors and large shareholders
- Margin violations
- Options abuse
- Failure to supervise
- Corporate governance
- Draft and review policy and procedure
Aggressive litigation of your securities disputes
Controversies surrounding securities can arise between the issuing company and its shareholders, or between broker-dealers and their customers. Law Offices of Kevin T. Hoffman vigorously defends its corporate clients against shareholder class actions lawsuits for alleged violations of securities regulations, including actions under:
Representation throughout the securities arbitration process
Approximately two-thirds of all securities arbitrations are between broker-dealers and their clients. The most common allegations of misconduct by a broker or a brokerage firm are:
Controversies surrounding securities can arise between the issuing company and its shareholders, or between broker-dealers and their customers. Law Offices of Kevin T. Hoffman vigorously defends its corporate clients against shareholder class actions lawsuits for alleged violations of securities regulations, including actions under:
- Securities Act of 1933: covering IPO liability
- Sec. 5 (failure to register)
- Sec. 11 (misstatements or omissions in registration statement)
- Sec. 12 (misstatements or omissions in offering statement)
- Sec. 17 (fraud)
- Securities Exchange Act of 1934: covering ongoing disclosure violations
- Sec. 10(b) Rule 10b-5 insider trading, tipping
- Sec. 18 misleading statements in filed reports
Representation throughout the securities arbitration process
Approximately two-thirds of all securities arbitrations are between broker-dealers and their clients. The most common allegations of misconduct by a broker or a brokerage firm are:
- Account overtrading (churning)
- Unauthorized trading
- Market manipulation
- Mutual fund share class violations
- Negligence
- Breach of fiduciary duty
- Omission of facts
- Misrepresentation and fraud
- Breach of contract
- Unsuitability
- Failure to supervise
Securities arbitration proceedings are intricate and must follow the strict guidelines of the Financial Industry Regulatory Authority (FINRA). Trust Law Offices of Kevin T. Hoffman for thorough and effective representation that protects your financial interest and your reputation.
Contact a determined Greenwich, Connecticut, securities law firm
To schedule an appointment with Law Offices of Kevin T. Hoffman, call 203-869-8744 or contact our office online.
Contact a determined Greenwich, Connecticut, securities law firm
To schedule an appointment with Law Offices of Kevin T. Hoffman, call 203-869-8744 or contact our office online.
The Law Offices of Kevin T. Hoffman is located in Greenwich, Connecticut, and represents clients nationwide.
