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Securities

We represent shareholders of publicly and privately-held businesses, officers and directors of public companies, broker dealers and investment advisers in a wide range of transactions that give rise to obligations under federal and state securities laws. We also counsel privately-held businesses with respect to the securities issues that arise in connection with raising capital in the private markets, including the use of exemptions from registration under the Securities Act of 1933 and comparable state laws and provide guidance anti-fraud obligations. We have experience providing guidance with respect to:

  • Regulation D
  • Regulation A
  • Exempted Transactions under Section 4 of the Act
  • Intrastate offering exemption under Section 3(a)(11) of the Act and Rule 147
  • Exemptions for exchange offers under Section
    (3)(a)(9) of the Act
  • Exemptions for sales under compensatory benefit programs under Rule 701

Representative transactions:

  • Private placement of $50,000,000 of convertible preferred stock
  • Private placement of $20,000,000 of subordinated debt
  • Private placement of $20,000,000 of common stock
  • Issuance by a financing subsidiary and sale by a broker-dealer of $3,000,000 mezzanine debt
  • Development of an employee stock purchase plan exempt from the application of Federal securities laws
  • Structurin of an exchange of securities with existing security holders
  • Advised various clients of their obligations under Federal and State securities laws relating to capital raising activities
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