Business & Corporate
Investment & Securities
Guidance on raising capital, structuring investments and navigating securities regulation.
Overview
What this involves
Raising money or investing it brings a web of rules that protect investors and markets. Whether you are a company raising capital, a fund manager structuring a vehicle or an investor reviewing an opportunity, the documents and the regulatory position need to be right.
We advise companies, founders and investors on private capital raises, investment structures and securities compliance, and we represent investors and firms in securities-related disputes, including FINRA arbitration.
How We Help
How we can help
- Private placements and exempt offerings
- Seed, venture and growth investment documents
- Investment fund formation and investor agreements
- Securities law compliance and disclosure questions
- Reviewing investment opportunities for investors
- Securities disputes and FINRA arbitration
Our Process
How the process works
A clear, structured approach, so you always know where your matter stands and what comes next.
Initial consultation
We learn about you, your goals and your timeline, and identify the key legal issues.
Scope and plan
We agree the scope of work, the approach and our fees in writing before work begins.
Advice and drafting
We prepare documents, give clear advice and negotiate on your behalf where needed.
Completion
We finalize and implement the documents and make sure every step is properly completed.
Ongoing support
We remain available as your needs change and flag developments that may affect you.
Who It's For
Who we help
Companies raising capital
Founders negotiating with investors
Angel investors and family offices
Emerging fund managers
Investors with concerns about a broker or adviser
FAQs
Frequently asked questions
Do I need to register my offering with the SEC?
Many private offerings rely on exemptions from registration, but each comes with conditions. We help you choose and comply with the right route.
Can you review an investment I have been offered?
Yes. We can review the documents, flag legal risks and point out warning signs, though we do not give financial or investment advice.
I lost money through a broker. Can you help?
We can assess whether you may have a claim, including through FINRA arbitration. Outcomes depend on the facts.
This page provides general information, not legal advice. Every situation is different; please contact us to discuss yours.
Request a Consultation
Discuss your investment and securities matter with us.
Tell us briefly about your situation. We will review your inquiry and contact you to discuss how we can help.