Securities

Securities law sits at the intersection of business ambition and regulatory rigor, and having skilled counsel is essential for companies and individuals navigating this complex landscape. OTT Law provides sophisticated securities law representation to public companies, emerging growth companies, private issuers, broker-dealers, investment advisers, and individuals involved in securities transactions or regulatory proceedings. Our attorneys counsel clients throughout Missouri, Illinois, and nationally on the full spectrum of securities law matters.

Our securities practice includes Securities Exchange Act compliance, SEC and FINRA reporting obligations, public and private offerings of securities (including Regulation D, Regulation A, and crowdfunding), insider trading counseling and defense, securities fraud defense, and shareholder disputes. We advise boards of directors and executive officers on corporate governance and disclosure obligations, and we assist companies in preparing for and executing IPOs, secondary offerings, and private placements. When securities regulators investigate, our attorneys provide skilled representation in SEC enforcement proceedings, FINRA arbitrations, and securities litigation in federal and state courts.

In an era of heightened regulatory scrutiny and evolving disclosure standards — including increased attention to ESG factors and cybersecurity risks — staying ahead of compliance obligations is more important than ever. OTT Law serves as a trusted advisor to help clients understand their obligations, implement effective compliance programs, and respond appropriately when issues arise. Whether you are a company raising capital, an executive navigating your obligations, or an individual under investigation, our St. Louis securities attorneys are prepared to provide the expert counsel your situation demands.