Our attorneys provide legal advice regarding compliance with securities laws and regulations which govern private offerings and other securities matters:
Assistance to newly formed or growing enterprises in connection with raising capital via private offerings of securities in reliance upon federal (including Regulation D) and state exemptions from registration
Preparation of Subscription Agreements, Non-Disclosure and Confidentiality Agreements, Investor Questionnaires, Stock Purchase Agreements
Preparation of Securities and Exchange Commission filings and submissions to state regulatory bodies to secure exemptions from registration of securities
Representation with respect to regulatory inquiries and proceedings regarding private placements, broker-dealer and other issues
Advice regarding formation of private equity funds and securities compliance issues
Advice regarding broker-dealer, “finder” status issues
Representation in disputes between customers and financial professionals
Our business and international law attorneys assist clients with legal matters in Maine, New Hampshire, all of New England, throughout the United States and Europe - including Central and Eastern Europe and Russia - the Middle East and Asia.
