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Securities and Finance


We help investors, lenders and owners to more effectively achieve financial success.

In-depth securities and finance experience

We take a different approach. Financing transactions are often a seminal event in the life of a business. We make a concerted effort to learn about our clients, their business, their competitive landscapes and their objectives and opportunities. Building on that knowledge, we tailor our actions, advice and even our fees accordingly. We are part of a team with our clients where we measure our own success by our team’s collective success.  

Schwabe has represented clients in virtually all forms of securities and finance transactions and related legal and regulatory issues, including:

  • Private placements
  • Venture capital financing
  • Private equity financing
  • Commercial financing
  • Healthcare financing
  • Capital markets transactions
  • Joint ventures and strategic alliances
  • Emerging growth company financing
  • Public company representation
  • Business transitions
  • Private debt and equity transactions

We also provide extensive counsel in related areas, including succession planning, restructurings, management incentives, ESOPs, equity incentive plans, tax and ERISA planning, and SEC and other reporting issues.

Broad client base

We represent issuers, investment banks, investors and investment groups in a wide range of transactional, compliance and regulatory securities matters. In addition to serving as company counsel, we provide representation for securities offerings, debt financing and other transactions.


  • Represented a private lender with secured loans ranging from $9 million to $100,000
  • Helped a client raise money via a 506(c) offering using a newly permitted general solicitation of accredited investors to acquire a historic hotel
  • Formed an investment fund to acquire and monetize mobile device applications
  • Represented a real estate developer in a $158 million project financing, involving a combination of equity capital, EB-5 funding, senior construction financing and subordinated debt
  • Represent a start-up Alaskan fish-smoking operation in raising equity financing from among members of the local commercial fishing industry
  • Regularly represent real estate developers in commercial bank financing transactions (including HUD, Fannie Mae and Freddie Mac)

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"A very commendable practice, with extremely good attorneys who are easy to work with."

"They have a diverse and strong bench with expertise in different areas. They are very responsive and take care of matters quickly." 

Chambers & Partners USA, client highlights