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Securities Compliance And Litigation

Private placements are a common fundraising method for growing companies. A company that needs to raise capital can avoid the onerous requirements of public issuance of stock by following Regulation D of the Securities Act of 1933. Our lawyers guide clients through these processes.

Through provisions of this area of securities law, accredited investors and friends and family of the investors in a business can be protected while capital is raised through private stock sales to them in support of the company’s growth and operations. Lawrence Bartels LLP is a trusted resource of legal counsel for companies with stock offerings up to $20 million. We are available to assist these clients in all aspects of the interpretation of and compliance with Regulation D as well as addressing related disputes.

About Our Assistance With Regulation D Offerings

Our securities law attorneys advise corporate clients who wish to raise capital privately by instructing and guiding them through the process. We help them comply with all requirements of the Securities and Exchange Commission (SEC) for Regulation D offerings as follows:

  • Regulation D offerings are limited to accredited or sophisticated investors.
  • Investors should receive disclosures of the risks of the investment and related financial information of the company and be free of any false or misleading statements.
  • There shall be no public advertising or solicitation for any issuing of shares.
  • All shares issued are restricted securities, which cannot be resold unless registered or the sale qualifies for an exemption, ad generally require holding the shares for at least six months.

In addition, we represent clients on either side of a dispute when Regulation D has allegedly been violated.

Our Firm’s Securities Legal Services Include Litigation

Does your business need protection from accusations that you have violated securities regulations? Were you accused of wrongdoing as you were preparing to sell stock privately in accordance with Regulation D’s rules? Whether you will be a plaintiff or a defendant in a high-stakes securities litigation matter, you can rely on our deep knowledge and experience to be assets in your case.

To schedule a consultation at your convenience, call 949-516-9906 or send an email message for a prompt response.