Capital Markets & Securities Attorney (Public Companies, PIPEs, Uplisting Attorneys) for Fast-Growing Entrepreneurial Firm
1 day ago
New York
Public Companies • Micro-Cap & Small-Cap • PIPEs • Uplisting • M&A • SEC Compliance Hybrid / Remote | Entrepreneurial Platform We are representing a fast-growing, entrepreneurial corporate and securities law firm that operates at the intersection of capital markets, M&A, and growth-stage public companies. The firm is a recognized leader in micro-cap and small-cap public company transactions, advising U.S. and international issuers, investors, placement agents, and funds on complex financings, exchange listings, and strategic transactions. This is an opportunity for a deal-running securities lawyer who understands how capital is raised and transactions are closed in the lower-middle-market public company ecosystem — not just blue-chip IPOs. The Practice The firm serves as outside general counsel and capital-markets quarterback to micro-cap, small-cap, and growth-stage public companies seeking access to U.S. capital markets and institutional investors. The platform handles: • Reverse mergers and alternative public offerings, • PIPEs, structured equity & convertible debt financings, • Uplisting from OTC, TSX, AIM, and other markets to NASDAQ or NYSE, • Initial and secondary public offerings, • Resale registration statements and follow-on financings, • Public company M&A, asset sales, and strategic investments What You’ll Do You will act as lead capital-markets and securities counsel on high-volume, deal-driven matters, including: • Structuring and documenting PIPEs, registered directs, and private placements, • Drafting and reviewing S-1s, resale registration statements, 10-Ks, 10-Qs, 8-Ks, and prospectuses, • Managing NASDAQ, NYSE, SEC, and FINRA processes tied to uplistings and financings, • Advising boards and management on corporate governance, disclosure, and fiduciary duties, • Supporting M&A and recapitalization transactions tied to capital raises Who This Is For This role is ideal for a senior associate, counsel, or junior partner who: • Has 7–10+ years of securities and capital markets experience, • Has worked with micro-cap, small-cap, or growth-stage public companies, • Is comfortable running PIPEs, reverse mergers, uplistings, and follow-on offerings This firm is built around closing transactions in difficult capital markets, offering: • Direct relationships with funds, placement agents, and exchanges, • Creative fee structures (flat, hybrid, equity-based) aligned with deal success, • Deep experience in thinly-traded and cross-border issuer markets, • Real business-development opportunity with capital-hungry clients If you are a capital-markets attorney who understands the micro-cap and small-cap ecosystem and wants to run deals in a platform built for transaction velocity and client growth, we welcome a discreet conversation. Apply to start a confidential discussion.