Securities Lawyers
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Meet some of our Securities Lawyers
Jared S.
I am a business-focused attorney. My practice covers all aspects of business law - from entity formation and contracts to real estate transactions and employment matters. I review, negotiation, draft and analyze contracts including: business asset purchase agreements, non-disclosure/confidentiality agreements, commercial leases, cease-desist letters, payment demand letters, construction contracts, consulting agreements and many more. I also guide clients through estate planning to protect both their business and personal interests.
Lorraine C.
Coats Business Consulting provides a la carte commercial and legal advisory services for private clients, specializing in Start-Ups and small to medium-sized businesses. Services offered include: Start-Up Consulting (Strategic Planning, Investor Pitch Decks, Commercial Filings, Business Organization) Corporate Document Production (Operating Agreements, Shareholder Agreements, Human Resources, including Employment and Independent Contractor Agreements) Contract Interpretation (Drafting, Review, and Negotiation) Corporate Compliance (Federal and State Regulations) Management Consulting (Goal Setting, Revenue Generation, Operations and Process Consulting, Personnel Hiring, and Evaluation) Commercial Real Estate Transactions (Purchase and Sales Agreements, Leases)
"Lorraine was AMAZING! I was intimidated having to update my business agreement document, but Lorraine made the entire process super easy and was extremely knowledgable in everything I needed help with. Definitely recommend hiring her!"
Thomas D.
I graduated from the University of Wisconsin Law School. Upon graduation, I went to McDermott, Will & Emery in Chicago and practiced corporate, real estate and tax law. I then joined Godfrey & Kahn where I became a shareholder in the real estate group, head of real estate lending and continued to practice corporate law. At these firms, I received excellent training and represented some of the largest and most innovative clients in the US. After practicing law for 15 years, I founded a real estate development company. I built a multi-million dollar company and developed many significant projects. I sold the company and was recruited for senior positions by two other real estate companies. I continued to hone my legal skills at these companies by negotiating and drafting countless documents for my businesses. The combination of my legal and business experience helps me foster the growth of clients' businesses, solve their problems and guide them through difficult matters.
"Got the job done. First contract was done quickly and swiftly with a phone call. Second call took some more time where Tom had to redo the operating agreement. Delays on both sides for the second one but he was great."
September 27, 2024
Jo Ann G.
Provides outside general counsel advice to corporate or individual clients with a vast range of legal and business matters. Has extensive general counsel experience in a wide range of legal areas. Has a background as an in house general counsel in the manufacturing, retail and consumer goods industries.
October 2, 2024
Hansen T.
Hansen Tong is the founder of a technology focused boutique law firm that focuses specifically on SAAS, data privacy, digital media, licensing, websites/apps, and AI.
October 8, 2024
Benjamin D.
Benjamin I. Dach, Ph.D., Esq. is an accomplished patent attorney with extensive experience across multiple fields, including intellectual property (IP) litigation, counseling, and prosecution, spanning copyrights, trademarks, and patents. Prior to Weiss & Arons LLP, Benjamin worked at several prestigious law firms, including Quinn Emanuel LLP, WilmerHale LLP, Loeb & Loeb LLP, and Haug Partners LLP. During his decade-plus of legal work experience, Benjamin has litigated several pharmaceutical patent cases involving drugs such as Lialda, Vyvanse, Intuniv, Oxtellar XR, Pomalyst, Revlimid, and Cabometyx. Benjamin has also drafted and prosecuted dozens of patent applications, and counseled clients on IP relating to biological drugs, messenger ribonucleic acid (mRNA) vaccines, and clustered randomly interspaced palindromic repeats (CRISPR). Benjamin earned his Ph.D. in chemistry from Columbia University, where his research focused on solid-phase polymer synthesis on silicon wafers and silica nanoparticles, with applications in drug delivery, solar energy, and semiconductors. His thesis, titled "Designer Polymer Superstructures from Solid Phase 'Click' Chemistry," highlights his expertise in the field. In addition to his scientific background, Benjamin also holds a J.D. from Fordham Law School, with a concentration in intellectual property and information law. Benjamin leverages his technical and legal backgrounds to maximize the value of his clients' IP portfolios. His strong commitment to science and law has made him a highly sought-after attorney in the areas of copyright, trademark, and patent law. Rated by Super Lawyers, Benjamin was selected to Rising Stars in Law. He is admitted to practice law in Florida, New York, New Jersey, and before the United States Patent and Trademark Office.
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Browse Lawyers NowSecurities Legal Questions and Answers
Securities
Offering Memorandum
New York
Can a company be exempt from filing SEC reports if it meets certain criteria?
I am currently researching the requirements for SEC reporting and I came across the concept of exemptions. I understand that certain companies, such as small businesses, may be exempt from filing SEC reports if they meet certain criteria. However, I am unsure about the specifics of these exemptions and the criteria that need to be met. I would like to know if a company can be exempt from filing SEC reports and what these criteria might be.
Danny J.
So to answer your question, yes, certain companies can be exempt from filing SEC reports if they meet specific criteria. This area of securities law is nuanced and can significantly impact a company's regulatory obligations and costs. Let me outline some key points for you: 1. **Small Reporting Company (SRC) Status:** - Companies with public float less than $250 million or annual revenues less than $100 million may qualify for scaled disclosure requirements. 2. **Emerging Growth Company (EGC) Status:** - Available for companies with less than $1.07 billion in annual gross revenues. - Provides certain disclosure and regulatory relief for up to five years after IPO. 3. **Private Company Exemptions:** - Companies with fewer than 2,000 shareholders of record (or 500 non-accredited investors) may be exempt from registration. 4. **Foreign Private Issuer Exemptions:** - Non-U.S. companies may have different reporting requirements. 5. **Rule 12h-3 Suspension:** - Allows suspension of reporting under certain conditions, like having fewer than 300 shareholders of record. While these exemptions can provide relief from full SEC reporting requirements, determining eligibility and maintaining compliance can be complex. Factors such as company size, structure, shareholder composition, and future growth plans all play crucial roles in this determination. It's important to note that even if exempt from full reporting, companies may still have obligations under state securities laws or to their shareholders. Additionally, the benefits of exemption should be weighed against potential drawbacks, such as reduced access to capital markets or decreased investor confidence. Given the complexities and potential consequences of misapplying these exemptions, it would be prudent to conduct a thorough analysis of your specific situation. Would you like to discuss your company's particulars to determine which exemptions, if any, might apply and how to strategically approach your SEC reporting obligations?
Securities
Investment Contract
California
Investment contract legal requirements?
I am interested in investing in a business opportunity, and the company has presented me with an investment contract. I want to ensure that the contract I am signing is legitimate and meets all legal requirements. I am looking for guidance from a lawyer to ensure that the contract is fair and legally binding.
Thaddeus W.
Happy to discuss, but it seem like maybe you want to post a formal request for bids.
Securities
LLC Operating Agreement
Texas
Can an LLC buy stocks for a fee?
I'm forming an LLC in order to manage some money investing in the stock market, (Friends and family only) I will be charging a percentage fee on the profits. Can an LLC be formed to invest in stocks and charge a performance fee? Thank you.
Forest H.
Generally, if you are "advising others regarding investment decisions for compensation" you are regulated by the SEC as an investment advisor and subject to oversight and registration with the SEC. There are exemptions, for example, a "Family Office" is not required to register. However, all investors and owners in a Family Office must be actual family and friends would be excluded.
Securities
Revenue Sharing Agreement
California
How do you fund a restaurant?
I am looking for an attorney who can help me put together restaurant business proposal to funding to expand my restaurant branch.
Russell M.
There is not a lot of detail here so I am going to assume you are not asking about how to get a small business loan, or you aren't interested or able to get SBA financing for what ever reason. If you have a successful restaurant concept, you might want to look into Regulation CF crowdfunding. I am aware of a number of food and beverage businesses that have leveraged their existing loyal and enthusiastic customer bases and a well executed financial and PR campaign to fund expansion sites.
Securities
Subscription Agreement
California
Is it possible to modify a Subscription Agreement after it has been signed?
I recently entered into a Subscription Agreement with a company to purchase shares in their business. However, since signing the agreement, I have come across some unexpected financial circumstances that may prevent me from fulfilling my obligations under the original terms. I am wondering if it is possible to modify the Subscription Agreement to accommodate these changes, or if I am legally bound to the original terms of the agreement.
Christopher N.
The short answer, as with all legal questions, is: it depends. You can certainly propose modify or be reased from your obligations, and depending on the company, your circumstances, your relationship, and their financial position, the company may be willing to entertain accomodations. It doesn't hurt to ask. Be prepared, however, for "penalties," which could mean the loss of your entire investment, significant reductions in the amount of your investment, etc. You may want to consider approaching other investors to see they would be willing to purchase some or all of your stake -- perhaps at a greater value than the company would offer. We highly recommend you consult with a business or securities attorney to be advise you the specifics of your agreement and explore exit or other strategies. Good luck!
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