Securities Law

Our firm serves as counsel to many companies, large and small, public and private. In so doing, we provide advice on all types of business transactions. We are able to handle very technical legal issues, but we are also sensitive to the need to be practical in achieving a result in a timely and cost-effective manner. We regularly advise our clients regarding obtaining financing. We also represent broker-dealers and investment banks, including advising on compliance with FINRA rules and representation in connection with private and public offerings. We own and operate http://www.144opinions.com, an Internet based service which provides fast, flat-rate legal opinions for the removal of restrictive legends from stock certificates under Rule 144.

Our securities services include:

• Contract negotiation, drafting, and review
• Stock option plans, stock purchase plans, and other employee incentive programs
• Promissory notes, security agreements, and other loan transactions
• Mergers, acquisitions, and reorganizations, including asset sales and stock sales
• Public offerings
• Private offerings
• Venture capital transactions
• Compliance with state “blue sky” laws
• Obtaining listing of client securities on the NASDAQ, Over-the-Counter Bulletin Board (OTCBB), and American Stock Exchange (AMEX)
• Sophisticated financing structures such as rights offerings, bond offerings, bridge loans, preferred stock offerings, and debt financing
• Securities and Exchange Commission (SEC) reporting
• Rule 144 legal opinions for legend removal from stock certificates

For more information, see http://www.144opinions.com or call Lynne Bolduc, Esq. at (949) 788-8900.