SERVING FLORIDA, OHIO AND CALIFORNIA

The Entrepreneur Lawyers

Private Equity & Securities

“So many companies take risks every day that they’re not even aware of.”

Complying with SEC regulations and Blue Sky Laws

So many companies take risks every day that they’re not even aware of. As they say, you don’t know what you don’t know, right?  Wrong.

Failure to comply with SEC regulations and Blue Sky laws could result in investors (including Aunt Joe and your neighbor, Howard who were involved in your “friends and family round”) getting all of their money back and potentially even filing  a lawsuit against you or your company for securities fraud, landing a business problem on your Corporation’s doorstep, especially when considering future investment rounds.

We work with you and your team of trusted advisors, which should include an experienced CPA and tax consultant (no, they are not both created equal), to determine which federal and state exemptions you can rely on when entertaining a private capital raise (this legalize for “raising or borrowing money from anyone that isn’t you or an institution”). Most capital raises we deal with will end up relying on one of the following federal exemptions available from securities registration: Regulation D, Regulation A/A+, or Regulation S.

Contact us today to learn more about how we can help.

Private Equity and Compliance services include but are not limited to:

  • Private Placement Memorandums (PPMs)
  • Private Placement Offerings (PPOs)
  • Drafting term sheets, promissory notes, convertible notes, warrant rights, subscription and purchase agreements, and other debt and equity fundraising instruments
  • Preparing and filing SEC and state Blue Sky documents and disclosures

How We Can Help

Business Disputes and Commercial Litigation

Commercial Real Estate & Investments

Contracts

Franchising

General Counsel

Intellectual Property

Private Equity & Securities

Tech & E-Commerce

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