Baltimore Securities Lawyers

Attorneys for Securities Litigation and Regulatory Compliance in Baltimore, MD

Silverman Thompson provides sophisticated legal advice in the heavily regulated securities industry. Members of our firm's securities group have represented a wide range of clients in a variety of securities transactions, regulatory matters, administrative arbitrations, and securities-related litigation.

We have extensive experience with private placements (including Rule 144A transactions), mergers and acquisitions, and venture capital investment transactions. We regularly counsel clients on all aspects of state and federal regulatory compliance, including broker-dealer regulations, state registration requirements, reporting obligations, exemptions, and Blue Sky laws.

Our attorneys provide legal advice for boards of directors, officers, managers of LLCs, and investors, helping to address corporate governance issues and concerns related to the relationships between members and shareholders. With respect to securities litigation, members of our team have represented clients in some of the most noteworthy securities-related matters, including obtaining what was, at the time, the largest SEC whistleblower award ever issued. Our litigators regularly represent issuers, company management, brokers, and investors in all aspects of state and federal securities litigation.

Regulatory and Compliance Matters

In the course of structuring and reviewing complex business transactions, including public and private offerings, our securities group provides experienced counsel concerning compliance with applicable state, federal, and self-regulatory laws, regulations, and rules. Our attorneys represent issuers, broker-dealers, brokers, promoters, and investors on all facets of compliance and regulatory matters. In addition, we regularly represent clients during state and federal regulatory investigations, and we negotiate resolutions in formal actions before government and self-regulatory agencies.

Silverman Thompson represents clients in SEC enforcement actions, FINRA investigations, and state regulatory proceedings, including the Maryland Division of Securities. We also represent and counsel investors concerning the rules, laws, and regulations enacted to protect them in public and private investment offerings.

Securities Litigation and Arbitration

Our experienced litigators represent companies, officers, directors, shareholders, investors, and brokers in a wide array of securities litigation, including:

• Shareholder actions arising from mergers and acquisitions
• Public and private offerings
• Derivative claims
• Securities fraud
• Whistleblower complaints
• SEC whistleblower awards

We regularly defend and assert shareholder and member derivative claims for breaches of fiduciary duty against corporations, limited liability companies, officers, directors, and managers.

Our lawyers have unique and extensive experience litigating reverse stock-split squeeze-out transactions, minority shareholder oppression claims, and securities fraud claims under the Securities Exchange Act of 1934 and claims for violations of the Securities Act of 1933. We have litigated federal and state securities fraud claims and civil RICO actions throughout the country, including Maryland, Delaware, Virginia, New York, Washington, D.C., Pennsylvania, California, Louisiana, Illinois, and Oklahoma.

Our clients include:

• Other financial institutions
• Public and private companies
• Partnerships
• Limited liability companies
• Officers
• Directors
• Shareholders
• Hedge funds
• Broker-dealers

The Corporate Transparency Act

Our experienced professionals counsel clients on compliance with a new, important law called the Corporate Transparency Act (CTA). Congress enacted the CTA in 2021 as part of an effort to combat illicit activity such as tax fraud, money laundering, and terrorism financing by capturing ownership information for specific U.S. businesses operating in or accessing the country's market. The CTA went into effect on January 1, 2024, and it requires covered businesses to file and keep current a Beneficial Ownership Information Report with the Financial Crimes Enforcement Network at the U.S. Treasury Department no later than January 1, 2025.

The CTA has teeth: Owners of companies that fail to comply may be subject to harsh penalties, including imprisonment for up to two years and a $10,000 fine, plus civil penalties for each day the company remains noncompliant. We can help clients avoid penalties or defend against claims that they have failed to meet their legal requirements under the CTA.

Significant Cases and Results

• Obtained the largest recovery of any creditor in one of the first plans of reorganization under Subchapter V of the Bankruptcy Code to be confirmed in Maryland
• Obtained a seven-figure recovery for a client who was defrauded in complex asset-based financing fraud
• Represented hundreds of creditors in receivership and bankruptcy proceedings related to a massive Ponzi scheme
• Obtained a six-figure judgment against a borrower and personal guarantors after a trial in the Circuit Court for Prince George's County, Maryland, including a judgment for recovery of our client's attorneys' fees
• Litigated a breach of contract case in the Superior Court for the District of Columbia, resulting in a favorable settlement
• Litigated breach of contract claims against a borrower and guarantors in the U.S. District Court for the Middle District of Florida, resulting in a favorable settlement, including the payment of our client's attorneys' fees
• Recovered collateral throughout Maryland and negotiated numerous forbearance agreements and payment plans with borrowers, resulting in full payment of money judgments
• Frequently advise clients on business formation and entity choice and prepare corporate documents, including Articles of Incorporation, corporate bylaws, SAFE agreements

Contact Our Baltimore, Maryland Securities Attorneys

To ensure that legal concerns related to securities will be handled correctly, reach out to the team at Silverman Thompson. Contact our Baltimore securities litigation lawyers at 410-385-2225.