Securities Lawyer

I handle securities law matters for my clients.  Primarily I do private company securities work, including:

• Limited offerings and private placements of securities.  I do Rules 504 and 506 offerings, both with and without a private placement memorandum (PPM).
  
  
• Private real estate investment funds (but not funds that invest in securities / paper).
  
  
• Venture capital rounds of financing, including bridge and angel rounds, from either the VC side or the company side.  I have been doing VC rounds for many years and I understand what terms belong in a deal and what terms do not belong (that is, what are current “market” terms).  This is a big help to clients.

Regarding limited offerings / private placements of securities, you might be interested in these articles that I have written:

Introduction to Private Offerings and Private Placements of Securities

Introduction to Federal Securities Exemptions

Introduction to Federal Regulation D

How to Find and Solicit Investors for a Private Offering of Securities

How a Management Company, General Partner or Broker Uses General Advertisements and Solicitations to Get Investors

Resale of Restricted Securities

When is a Promissory Note a Security?

4 Article Series -- Brokers and Finders in Securities Laws

1. Overview
2. Who is a Broker? – Definition
3. Broker Law for Employees and Directors Who Sell Your Stock
4. Finders

6 Article Series -- Private Real Estate Investment Funds

1. Overview
2. Legal Structure of the Fund
3. Manager Compensation
4. Side Letters and Preferential Terms
5. Securities Law
6. ERISA