Practice Areas – The Going Public Lawyers

Securities Lawyer 101

Hamilton & Associates Law Group encompasses a wide variety of going public, corporate and securities law specialties, including, among others, continuing forensic analysis of domestic and international financial, stock trading, securities and money laundering transactions, general representation of private and public companies; all stages of capital formation transactions, from venture capital and private placements to initial and secondary public offerings (for issuers and underwriters); periodic Securities and Exchange Commission (“SEC”) reporting and disclosure obligations; state Blue Sky compliance; Financial Industry Regulatory Authority (“FINRA”) and stock exchange listings and regulation; and state and federal securities administrative investigations and proceedings.

The firm’s Going Public Lawyers are experienced in all aspects of corporate finance, SEC registration statements, secured loan transactions, equity transactions, venture capital financing, equity and debt restructuring, workouts, and project financing.  Our going public lawyers assist public and private companies by working closely with investment bankers, business and financial consultants, accountants and other professionals and acts as a legal consultant on business financing issues for public and private companies.  We have considerable experience in all aspects of federal and state securities laws, as well as regulations of the SEC and FINRA and the various state securities commissions with extensive experience in the following:

  • Representing issuers in matters arising under the JOBS Act including Rule 506(c) Offerings, Intrastate Crowdfunding, Equity Crowdfunding and Regulation A+;
  • Acting as the going public lawyer in SEC registration statements, Form 211 submissions and OTC Markets matters;
  • Representing issuers, officers, directors, shareholders, investors, transfer agents and other market participants in Federal and State securities matters, with emphasis on the Securities Act of 1933, the Securities and Exchange Act 1934, Florida’s Securities and Investor Protection Act and the Racketeer Influenced and Corrupt Organizations Act (“RICO”);
  • Prosecutions brought under federal and state criminal laws governing business conduct, including foreign corrupt practices, antitrust, RICO violations, insider trading and other securities violations, mail and wire fraud, and other white collar criminal defenses;
  • Representation of witnesses and whistleblowers in securities related civil and criminal proceedings, and corporations and individuals in arbitrations and proceedings conducted by various securities and commodities exchanges;
  • Representing broker-dealers and registered individuals in regulatory matters and securities-related litigation, including representation of issuers, underwriters, attorneys, accounting firms, and individuals;
  • Representation of individuals, issuers, management, transfer agents, attorneys and accounts to insure their compliance with the federal and state securities laws, the rules and regulations promulgated thereunder;
  • Representation of all forms of business clients, including investors, institutions, publicly held and private entities, and other business entrepreneurs in all aspects of commercial transactions;
  • Representation in forming entities such as LLCs, partnerships, corporations, and others including drafting partnership agreements, operating agreements, incorporation documents, and other entity formation documents;
  • Representation throughout the life of a business and facilitates mergers and acquisitions, divestitures, strategic alliances, joint ventures, purchase and sale, and other transactions; and
  • Representation in all other aspects of commercial transactions, including corporate governance, sale and distribution contracts, securities matters, and other issues.

This securities law blog is provided as a general informational service to clients and friends of Hamilton & Associates Law Group and should not be construed as, and does not constitute legal advice on any specific matter, nor does this message create an attorney-client relationship.  For more information concerning the rules and regulations affecting the use of Rule 144, Form 8K, FINRA Rule 6490, Rule 506 private placement offerings, Regulation A, Rule 504 offerings, SEC reporting requirements, Securities Act registration on Form S-1 and S-8, Exchange Act registration on Form 10, Pink Sheet listing, OTCBB and OTCMarkets disclosure requirements, DTC Chills, Global Locks, reverse mergers, public shells, go public direct transactions and direct public offerings please contact Hamilton and Associates at (561) 416-8956 or by email a [email protected].  Please note that the prior results discussed herein do not guarantee similar outcomes.

Hamilton & Associates | Securities Lawyers
Brenda Hamilton, Securities Attorney
101 Plaza Real South, Suite 202 N
Boca Raton, Florida 33432
Telephone: (561) 416-8956
Facsimile: (561) 416-2855