GGHS's securities practice is led by partners, Edward Gartenberg and Edward S. Gelfand. We handle both public and private offerings of equity and debt securities of all kinds. The firm has been issuer's counsel for public and private offerings. We have special expertise and experience in early-stage companies formerly thought to be too small or immature for the public markets. Local, national and international equity funds are also among our clients.

Mr. Gartenberg was formerly the National Chair of the securities and SEC Defense practice group for a major international law firm. He also served an enforcement lawyer and Special Counsel for the U.S. Securities and Exchange Commission and as a Special Assistant United States Attorney. He regularly serves on FINRA arbitration panels. Mr. Gartenberg has represented plaintiffs and defendants in securities litigation throughout the United States and has represented clients before the SEC, CFTC, FINRA and California Department of Corporations.

Mr. Gelfand, a former enforcement lawyer and special counsel for the SEC has more than 30 years experience counseling both private and public companies and their principals in connection with compliance issues and transactions under federal and state securities laws. Mr. Gelfand has served as an arbitrator in securities matters for the FINRA, and has been selected to serve as a receiver in several SEC enforcement cases. Mr. Gelfand has also represented clients in connection with administrative hearings, formal and informal investigations by the SEC, NASDR, the California Department of Corporations and other regulatory agencies. The firm's services include advising our clients with regard to:

  • Securities private placement and public offering structuring, advice and documentation
  • Public disclosure issues
  • Negotiation of underwriting and placement agent agreements
  • Matters of corporate governance and fiduciary duties
  • Compliance by public companies with SEC requirements
  • Compliance with the SEC and state Blue Sky law regulations
  • Compliance with Rule 144 under the Securities Act of 1933
  • Approval and clearance of offerings with FINRA
  • Representation of claimants and respondents in FINRA arbitration proceedings
  • Representation of broker-dealers and investment advisors
  • SEC, FINRA and state security agency defense