Patricia Garringer-Strickland’s primary practice focuses on advising and assisting clients in all matters of federal and state securities regulation in both private and public transactions, initial securities registration and compliance with Securities and Exchange Commission (SEC) ongoing reporting obligations. This includes the preparation and filing of annual and quarterly reports, proxy statements and shareholder communications, compliance corporate governance standards and stock exchange listing rules and requirements, as well as Financial Industry Regulatory Authority (FINRA) filings and requirements for federal and state-registered investment advisors.
Patricia has represented both issuers and underwriters in multiple debt and equity securities offerings, including initial public offerings, convertible debenture offerings, tender offers, exchange offerings and private placement offerings under Regulation D. She also has experience in advising and assisting clients on the formation and initial funding of business enterprises, as well as raising additional equity financing through the private placement of securities and other recapitalization structures.