Wargo & French advises companies on general corporate and partnership issues, mergers and acquisitions and public and private securities offerings. The Firm assists established and emerging businesses with their formation, ongoing corporate matters, financing and development. Wargo & French advises corporate officers and boards of directors on various matters.

Wargo & French represents both issuers and broker-dealers in private placements of securities, including venture capital financings. Our clients include issuers, registered broker-dealers and investment advisory firms.

As part of its Corporate Practice, Wargo & French advises corporations, partnerships and sole proprietorships on developing internal programs to educate officers, directors and employees in various aspects of compliance.

Wargo & French attorneys represent issuers, underwriters, selling shareholders, venture capital firms and others in public and private transactions involving the offering and sale of equity securities and debt. Wargo & French also advises corporations and their officers and directors in matters involving public disclosure and other aspects of ongoing compliance with the federal securities laws, state securities laws and the rules and regulations of NASDAQ and the New York and American Stock Exchanges. Wargo & French’s services include:

• Assisting clients with registering offerings of securities with the Securities and Exchange Commission and state securities commission, including advising clients as to federal and blue sky law exemptions and drafting prospectuses, offering memoranda and other disclosure documents.
  
  
• Negotiating underwriting agreements and placement agent agreements, and conducting due diligence investigations.
  
  
• Assisting clients on matters relating to disclosure of material corporate developments, Regulation FD, Regulation S-P, and compliance with the reporting requirements of the Securities and Exchange Commission relating to insider trading.
  
  
• Preparing periodic reports required under the Securities Exchange Act of 1934 and assisting with compliance with the requirements relating to the disposition of restricted securities.
  

Wargo & French advises clients forming new business ventures with respect to capital structures, negotiations with investors, and the development of stock-based benefit and incentive plans. Wargo & French also assists clients in registering as broker-dealers and investment advisers and advises such clients regarding ongoing compliance with applicable rules and regulations.

Wargo & French attorneys have worked with clients on transactional matters including web site development, web site hosting, software and patent licensing, joint venture, marketing and strategic matters. Wargo & French has also assisted clients in preparing web site terms and conditions and privacy policies.