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Corporate, Securities and Tax Practice

The emphasis of the firm’s practice is providing legal services to a carefully defined segment of the financial services industry and companies seeking access to capital markets.  The areas of law in which legal skill and training is required to provide these specialized services are generally defined as federal corporate taxation and state and federal securities regulation.  In addition, specialized knowledge is required of specific state and federal regulatory agencies as well as security industry self-regulatory organizations.

The firm provides the following specific client services for the financial industry:

Tax Consulting

Merger and acquisition reviews and debt and equity structuring.
Strategic and new business tax planning
Acquisition basis allocation.
Dispositions, spin-offs, reorganizations and liquidations.
Compensation and employee benefit planning.
International tax planning for inbound and outbound investment.
Personal financial counseling.
Tax implications of innovative and complex financings and financial instruments.

Emerging Issues

Tax implications of innovative and complex financings and financial instruments.
Consultation on swaps, hedges, defeasance, structured financings and other complex transactions.
Business combinations, LBOs and divestitures.
SEC filings for foreign and domestic issuers.
Corporate Finance.
Merger, acquisition, international inbound and outbound investment, financing and disposition services.
Leveraged buyouts.
Joint venture structuring and consulting.
Initial public offerings - U.S. and international.
Capital markets access.
Target screening and selection.
Balance sheet restructure.
Business valuations.
Transaction analysis.
Strategic business/financial planning.

Financial Services Industry Technical Consulting

Technical consulting on accounting issues in banking, securities, insurance, thrifts and futures industries.
Clearinghouse for the firm’s technical position on emerging issues for the financial industries.
Research on issues facing financial industries.
Client representation before SEC, NASD and other professional and regulatory bodies.
Management Consulting.
Systems design and implementation.
Strategic and business planning.
Organization review.
Operations and productivity improvement.
Market/product studies.
Litigation support.
Start up assistance.
New product development.
Joint venture implementation.

Regulatory Consulting

Consultation on net capital and financial responsibility rules of securities firms.
Implementation of regulatory rules and regulations.
Sales practice reviews for broker/dealers and commodities firms.
SIPC and other liquidations.
Fraud investigations, litigation support, expert witness testimony.
New product development (UITs, mutual funds, CMOs, etc.)
Client representation before regulatory bodies.
Financial audits.
Microcomputer advisory services.

Sonfield & Sonfield, 2500 Wilcrest, Suite 300, Houston, Texas 77042 713.877.8333

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