LEGAL ~ SECURITIES


Drakeford & Kane LLC apply their depth of knowledge toward furthering capitalization objectives for privately and publicly-held companies. The firm provides counseling for:


  • Compliance and reporting

Drakeford & Kane LLC has extensive experience in advising clients with securities law compliance matters. Our attorneys have intimate knowledge of the securities laws and practices that arise during the IPO registration process. Our professionals are skilled at drafting and filing SEC reporting requirements, such as S1's,10-K’s,10-Q’s, and 8K's. Drakeford & Kane LLC will partner with your company and help manage delicate Investor Relations matters, such as Internet website disclosure and timely news dissemination. Our team is often involved in establishing insider-trading policies and then monitoring their compliance.


  • Venture Capital and Emerging companies finance

The firm has been involved in, virtually, every stage of development financing from initial capitalization through to initial public offering. Our business start-up experience covers business formation, venture capital funding, intellectual property, tax and employment issues. The venture capital associates concentrate on fund formation, including limited partnerships, limited liability companies and other complex investment vehicles.


  • Private offerings

Drakeford & Kane LLC’s areas of specialty are: healthcare, technology, real estate, retail/wholesale, manufacturing and distribution, financial institutions, motion picture and music productions, and research and development partnerships.


  • Public offerings

Drakeford & Kane LLC’s team offers sophisticated services to clients looking to grow their business via the capital markets. In the emerging business segment, our attorneys strive to identify qualified investment banking sources and advise clients during initial public and secondary offerings.


  • Structured finance and securitization

Drakeford & Kane LLC’s has published articles on structured finance and securitization transactions and is well versed in the intricacies of pooled and securitized vehicles. These vehicles create new classes of equity and/or debt investment opportunities that are successful in achieving tax benefits, as well as capitalizing on the latest developments in financial institution regulations.


  • Corporate Governance

Drakeford & Kane LLC's members were sponsors of a symposium entitled, “Reshaping Corporate Governance & Shareholder Activism for the 21 st Century” in 1997 and 1998 which foreshadowed the Enron and other scandals of 1999 and 2000. In light of Sarbanes-Oxley, compliance in this area has become absolutely critical for publicly-held companies and very important for privately-held enterprises and exempt organizations. Our professionals provide assistance with a myriad of issues including, but not limited to:

  • Sarbanes-Oxley compliance
  • Arms-length transaction
  • Director and officer compensation
  • Director and officer liability