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Securities Law Services

Raising money is tricky business, fraught with complicated securities regulations that come with heavy penalties for non-compliance both in the US and abroad. I educate my clients on the finer details of securities regulations and how to meet requirements applicable to their fundraising efforts. Together with senior management, I research and interview investment bankers and broker-dealers, and negotiate placement agent terms. I develop offering circulars and disclosure statements, organize virtual data rooms for investor diligence and general investor relations. I even consult with security token launch platform programmers to ensure the proper protocols are programmed into security tokens and other digital assets.

  • Capital formation strategies and implementation

  • Compliance, disclosure and reporting

  • Equity compensaton strategies and implementation

  • Exchange registration

  • Foreign offerings

  • Investor accreditation verification

  • Intrastate offerings and compliance

  • Mergers and acquisitions

  • Private placements

  • Public offerings

  • Regulations A, CF & D

  • Securities Token Offerings (STOs) / Digital Securities Offerings (DSOs)

  • Tokenomics analysis: security token vs. utility token vs. hybrid token

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