Securities and Finance

Companies need money to grow. Our goal is to help businesses find the most efficient and useful option for funding so they can buy what they need to continue to expand. To accomplish that, we work closely with a company’s C-Suite executives, accountants, in-house legal and finance teams, and auditors to develop a bespoke solution that meets their goals and complies with all laws.

Securities Laws and Financing

Whether your choice is a public offering, private placement, debt financing, hard asset loan, debt exchange, venture capital round, or other method, there are significant legal and financial implications for your business. Federal and state securities laws are a key concern in starting most types of financing. Companies must take certain steps when raising capital as well as following ongoing requirements. If they fail to do so, they may suffer serious consequences under securities laws.

Securities Offerings

A common way to raise capital is to offer investors stock in your company. However, you cannot legally sell shares in the business unless the offering is registered – known as a public offering – or it falls under an exemption under Regulation D, which is a form of private offering or private placement. Determining which option is best for you is complicated and good legal advice is essential to ensure you make a well-informed decision and meet all legal requirements.

Securities Compliance

Following securities laws can be onerous for most small businesses. Companies must adhere to federal and state laws as well as the requirements of self-regulatory organizations such as FINRA. Importantly, businesses have ongoing reporting and disclosure obligations, so they must stay up to date on any changes that may affect their company.

Securities Enforcement Defense

Violating securities law is a serious matter. Your company may be held liable, as well as its C-Suite executives, senior management, board members, and attorneys. Fines, penalties, and other sanctions may be imposed by the Securities and Exchange Commission (“SEC”). You may be sued privately by shareholders. The matter may be referred for criminal prosecution. To avoid this, the best defense is strict compliance with securities laws. However, if an SEC investigation is opened or a lawsuit is filed, it is critical to find skilled legal representation to help you respond appropriately, protect your rights, and mitigate the damage.

How We Help

To grow your business, you need experienced legal advice at every stage. Our attorneys can guide you through the steps you need to take so you maximize the benefits of financing and reduce potential legal liability that can jeopardize your company. We help you evaluate your choices and tailor your financing to address your unique circumstances. We counsel you about how to comply with securities laws and stay compliant with the necessary filings, so you can focus on running your business. If you run afoul of securities laws, we have the skills and experience to represent you through the entire process and advocate for your interest in settlement, litigation, and appeal.

If you need help with financing your business and/or complying with securities laws, contact us for a consultation.