Overview
Public Companies
Griffin advises public companies on their governance processes and compliance obligations under federal and state law, including Securities and Exchange Commission (SEC) reporting requirements, fiduciary duties and “blue sky” laws. He also counsels clients on stock exchange rules, and the voting policies and practices of proxy advisory firms and large institutional shareholders.
Capital Markets
Griffin represents issuers and underwriters in public and private debt and equity offerings, including high-yield and investment-grade debt issuances, initial public offerings, confidentially marketed public offerings, private investment in public equity (PIPE) transactions, bought deals and at-the-market (ATM) offering programs. These transactions have ranged in size from less than $5 million to more than $1 billion.
Related Legal Services
Related Industries
Credentials
Bar Admissions
Indiana
Education
George Washington University Law School
J.D. with High Honors, Order of the Coif, The George Washington Law Review (associate) (2015)
Wheaton College
B.A. in Political Science and Economics, magna cum laude (2007)
Insights & Events
Insights
Other Perspectives
- The “Baby Shelf” Requirements: A Compliance Guide for Issuers
Republished in Insights: The Corporate and Securities Law Advisor, October 2022
Honors
- Best Lawyers® — "Ones to Watch," Corporate Governance and Compliance Law, 2023-25; "Ones to Watch," Securities / Capital Markets Law, 2024-25
No aspect of these recognitions has been approved by the highest court of any state.