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Securities Attorney

/Securities Attorney
Securities Attorney2018-09-24T20:02:53+00:00

Securities AttorneyAs your business interests develop, you may consider raising capital with help from a securities attorney. At Randall & Associates, we help our clients structure, negotiate, and issue securities to achieve their financial goals. Depending on your venture’s unique needs, this may involve private equity funds, real estate funds, partnerships, hedge funds, or Regulation D private placement. To learn more about our client-focused, customized approach to securities law, keep reading.

Representing Businesses and Investors With Their Complex Securities Matters

At Randall & Associates, we represent businesses, investors, and other professionals with their varying securities law needs. We take time to understand your financing and investment goals, and then build strategies that help you accomplish them. While some securities offerings require full SEC registration, your business might benefit from exempt offerings, such as private placement.

However, even these simplified options require careful analysis and strict compliance with state and federal laws. Our goal is to ensure our clients’ properly structure their securities as well as meet the applicable disclosure and registration requirements. To learn more about our track record and approach to securities law, simply request a consultation with a securities attorney in our office.

Raising Capital and Registering Your Business’ Securities

Your business’ capital goals are as unique as your value proposition. When you work with a securities attorney at Randall & Associates, we’ll dig deep into your business model, goals, and operations. Based on our clients’ specific needs, we help them both  identify fundraising opportunities as well as craft strategies that comply with relevant securities laws.

Securities Attorney

Our securities law attorneys handle a wide variety of fundraising matters, including the following:

  • Private placement memorandums (PPMs)
  • Subscription agreements
  • Offering contracts and supporting documents
  • State and federal disclosures and compliance, including Form 10-K, 10-Q, and 8-K
  • SEC and state authority registrations, including Form S-1, S-8 and 10
  • Section 14 proxy requirements
  • PIPE transactions
  • Initial public offerings (IPOs) under the Securities Act of 1933
  • Secondary public offerings under the Securities Exchange Act of 1934
  • Forward and reverse mergers, including:
    • Asset purchase agreements
    • Reorganization agreements
    • Merger agreements
    • Stock purchase agreements
  • DTC eligibility
  • Changing corporate information, such as changes in domicile and name changes
  • Rule 144 opinion letters

We aim to create the most efficient structure to protect all parties involved in the fundraising process.

If you’re ready to consult with Randall & Associates about your securities needs, contact us today. We’d love to learn more about your goals and current projects. Based on your needs, a securities attorney can help you craft practical solutions.

Overseeing Compliance With Federal and State Securities Laws

When a business issues securities, you must comply with myriad federal and state laws and regulations. Securities laws require specific disclosures, documentation, and regulatory compliance — otherwise, you might find yourself facing severe penalties. When a securities attorney at Randall & Associates works with your firm, we carefully monitor your compliance with applicable federal securities and state blue sky laws and regulations.

Because securities laws and trends change frequently, it’s in your best interests to consult with a securities attorney at Randall & Associates. We carefully monitor state and federal laws and policies and help our clients maintain their ongoing compliance. We also educate investment professionals about the securities law and cutting-edge developments in the industry. To learn more, contact us today.

Resolving Securities Disputes

Securities AttorneyWhile well-crafted documents and securities disclosures can help prevent some securities disputes, conflict is sometimes inevitable. When conflict occurs, Randall & Associates represent clients in litigation cases and arbitration proceedings. Our firm is authorized to represent clients before numerous judicial and administrative entities, including:

  • Financial Industry Regulatory Authority (FINRA)
  • Securities & Exchange Commission (SEC)
  • American Arbitration Association
  • State securities regulators, including those in Arizona, California, North Carolina, and Utah

We handle litigation, arbitration, and other dispute resolution matters and pride ourselves on a client-focused approach.

Our approach to securities litigation is best described as thoughtfully aggressive. When we’re handling a dispute, we investigate our clients’ claims and defenses and empower them to make wise decisions. We’re not afraid to litigate claims, but also understand that it’s not always in our clients’ best interests. Based on your unique needs, we will build a comprehensive strategy that protects and advances your interests. We represent both investors and investment professionals.

Securities litigation and arbitration can involve a wide variety of civil and criminal securities law matters, such as:

  • Securities fraud and misrepresentation
  • Investment advisor misconduct
  • Stockbroker fraud and misconduct
  • Sales of unregistered securities
  • Disclosure violations

Whether you need help recovering your investment money or defending yourself against unfounded claims, a securities attorney at Randall & Associates would love to hear your story and help you understand your legal rights.

To request a confidential, no-risk consultation with a securities attorney, contact Randall & Associates today. One of our team members will collect your information and help you take the first steps towards resolving your dispute both fairly and efficiently.

Request a Consultation With a Securities Attorney

If your business needs help raising capital or resolving a dispute, contact a securities attorney at Randall & Associates. Our attorneys have extensive experience with business development, securities law, and other corporate law matters. We offer no-risk, confidential consultations and will do our best to help you understand your rights under federal and state securities laws. Simply complete our online form or call us today.