Practice Areas
What We Do
We only practice law in areas in which we have experience, and we don't practice in areas in which we don't have experience. These are the legal areas we do handle:
- Corporate
- Forming a Business Entity: Incorporation or LLC Formation
- Starting a Business
- Business Licensing
- Local suburban and city licenses to operate business (non-Zoning)
- Professional regulation licensing
- Entrepreneurs & Small Businesses \
- Corporate law for existing Corporation, LLC or Partnership:
- Corporate Maintenance
- Annual Report
- Resolutions
- Minutes
- Reinstatement
- Amendment
- Name Change
- Shareholder Change
- Business Agreements
- Noncompete Agreements
- Corporate Buy-Sell Agreement Among Shareholders
- LLC Agreement Among LLC Members
- Securities Compliance
- Private Placement Securities Compliance
- Issuer Raising Capital from Investors in Private Placement
- Securities Compliance
- We represent the Issuing Companies Only, We Don't Raise Capital
- Forming a Fund
- Hedge Fund,
- Securities Trading Fund
- Futures Fund
- Real Estate Fund
- Fund Issuing Equity to Investors
- Securities Compliance
- Hedge Fund
- Securities Trading Fund
- Futures Fund
- Real Estate Fund
- Fund Manager - Securities and Corporate Compliance
- Investment Adviser (Or spelled Investment Advisor)
- SEC Registration; SEC Registered Investment Adviser
- SEC Compliance
- Compliance Manual
- Form ADV
- State Investment Adviser Registration
- IARD Registration / WebIARD Registration
- SEC/NASD Compliance
- SEC Audit Preparation for Investment Adviser
- SEC Investment Adviser Audit Representation
- RIA
- Blue Sky and Regulation D Rule 506 Compliance for Private Placement
- Regulation D Rule 506 Offering
- Regulation D Rule 504 Offering, SCOR Offering
- Futures Regulation and Commodities Regulation
- EDGAR Filers (Executives and Investors)
- Section 13 Compliance
- Section 16 Compliance
- Schedule 13D Filing
- Schedule 13G Filing
- Form 3
- Form 4
- Form 5
- Rule 144 Advice; Filing Form 144
- Rule 3a4-1 Issuer-Dealer Exemption from Broker Dealer Registration
- Blue Sky for Public Offerings: Acting as Special Blue Sky Counsel (co-counsel with your lead securities counsel) for:
- Public Exchange Offerings or
- SB-2 Offerings
- Issuer's Use of Money Finders:
- Private Placement Broker-Dealer Compliance and Advice
- SEC Registration Coming
- Advice on Rule 3a4-1
- Transactional
- Business Ventures, Partnerships and LLCs
- Buying a Business - Small Business
- Selling a Business - Small Business
- Business Split-Ups or Wind-Downs (Non-litigation transactions)
- Executives and Investors
- Corporate Executive in
- Stock Plan
- Stock Options
- Equity Agreement
- Buy-Sell Agreement
- Individual Investor Making Potential Investment in Private Placement
- EDGAR Filers
- Section 13 Compliance
- Section 16 Compliance
- Schedule 13D Filing
- Schedule 13G Filing
- Form 3
- Form 4
- Form 5
What We Don't Do
Click above on "What We Don't Do", to view the legal areas we don't handle. We'd be happy to refer you to good lawyers who handle these types of matters.
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