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Minneapolis Office
333 S. 7th St.
suite 3000
Minneapolis, Minnesota 55402

612-263-7645 Phone
612-333-9579 FAX

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Minnesota SEC Enforcement Attorneys

Providing meticulous securities oversight

Gaskins Bennett & Birrell LLP helps ensure that your company is in compliance with all necessary government regulations. We offer dependable counsel with regards to:

  • AMEX, Nasdaq and NYSE listings and compliance
  • Blue sky compliance
  • SEC compliance
    • Reporting by public companies
    • Reporting by officers, directors and large shareholders
  • Margin violations
  • Options abuse
  • Failure to supervise
  • Corporate governance
  • Draft and review policy and procedure

Aggressive litigation of your securities disputes

Controversies surrounding securities can arise between the issuing company and its shareholders, or between broker/dealers and their customers. We vigorously defend our corporate clients against shareholder class action lawsuits for alleged violations of securities regulations, including actions under:

Securities Act of 1933: covering IPO liability

  • Sec. 5 (failure to register)
  • Sec. 11 (misstatements or omissions in registration statement)
  • Sec. 12 (misstatements or omissions in offering statement)
  • Sec. 17 (fraud)

Securities Exchange Act of 1934: covering ongoing disclosure violations

  • Sec. 10(b) Rule 10b-5 insider trading, tipping
  • Sec. 18 misleading statements in filed reports

We also defend clients against charges of control person liability directed at officers and directors.

Contact an experienced Minnesota securities law firm

To schedule a consultation with Gaskins Bennett & Birrell LLP, call 612-263-7645 or contact our Minneapolis, Minnesota office online.