Capital Markets

Download a copy of Chadbourne's
Winter 2014 edition of Capital Markets NewsWire 

Download a copy of Chadbourne's
Accessing U.S. Capital Markets brochure 

Download a copy of Chadbourne's
Global Capital Markets brochure

Our capital markets lawyers regularly advise issuers, underwriters, placement agents and initial purchasers in public and private US and global offerings of securities, including SEC registered offerings of equity and debt, Rule 144A and Regulation D private placements and Regulation S offerings exempt from registration under the Securities Act of 1933.

These transactions range from IPOs by start-up companies to registered shelf offerings and private placements of debt and equity securities by Fortune 500 issuers. These registered, qualified purchaser and otherwise exempt offerings encompass offerings of debt securities (including convertible debt, high-yield debt, medium-term notes and tax-exempt securities), common and preferred stock, warrants, and securities issued in connection with asset securitization and monetization transactions. We also represent issuers in the establishment of commercial paper programs, including 3(a)(3) and 4(2) programs, and employee stock option and other equity compensation plans.

We have extensive securities law expertise in connection with merger and acquisition transactions, spin-offs, tender offers, exchange offers and proxy and consent solicitations.


Our lawyers have substantial experience and expertise in capital markets and securities transactions, many of whom are also active in our corporate governance and securities compliance practices. We work closely with lawyers from Chadbourne’s other practice groups, bringing together those with the necessary industry and product expertise to provide our clients with an efficient and creative team able to provide the right strategic support and advice for virtually any transaction in the capital markets.


Our lawyers represent the key players in public and private securities offerings, including underwriters, placement agents, initial purchasers and issuers. Attorneys in our capital markets practice have represented, as underwriters’ counsel, most of the major investment banking firms. We also regularly represent well-known seasoned issuers and others in connection with their registered and exempt offerings.

Industry Expertise

We offer our capital markets clients in-depth understanding and expertise in every major industry, with particular depth in aerospace and defense, automotive, communications, media and technology, consumer products, energy, food and beverage, insurance and reinsurance, manufacturing, mining, pharmaceuticals and transportation.

Geographic Scope

Our capital markets practice is global, with both domestic and cross-border securities transactional experience. Our clients benefit from the global reach of the firm's network of offices around the world, including New York, Washington, Los Angeles, Mexico City, London, Moscow, Warsaw, and Dubai.

We have a long history of representation in emerging markets offerings. Our capital markets lawyers work closely with carefully selected local law firms in jurisdictions where we do not have offices in connection with international capital markets offerings. For example, we serve as US counsel to Latin American issuers and underwriters of Latin American offerings. We have represented issuers or underwriters in various offerings originating in Latin America, including issuers in Argentina, Brazil, Chile, Colombia, Ecuador, Mexico, Peru and Venezuela. We also have active representation of issuers in Turkey and the Middle East.

Representative Experience

Luis Muñoz Marín International Airport
Representation of a consortium in connection with the procurement process for the public-private partnership of Luis Muñoz Marín International Airport in San Juan, Puerto Rico.
Lima Metro Project – Line 2
Represented the lenders and other financial intermediaries in connection with the project financing of the Metro Lima/Line 2 project in Peru.
US 181 Harbor Bridge, Texas
Representation of a consortium bidding in connection with TxDOT's procurement for the US 181 Harbor Bridge Replacement Project.
[ more representative experience ]

Related Practice Areas

Bankruptcy and Financial Restructuring
Mergers and Acquisitions
Corporate Governance and Risk Oversight
Real Estate
Securities Compliance

Related Industries

Consumer Products
Food and Beverage
Mining and Metals
Infrastructure, Transportation and P3s
Agency Finance
Pharmaceuticals and Medical Devices

Related Regions

Middle East and North Africa
Latin America
North America

Worldwide Contact

Marc M. Rossell
New York
Mexico City
+1 (212) 408-1057
or +52 (55) 3000-0605

Sey-Hyo Lee
New York
+1 (212) 408-5122

Claude S. Serfilippi
New York
+1 (212) 408-2304
or +7 (495) 974-2424

Local Office Contacts

Related Information