Securities Law

Our experienced securities attorneys can help if you are a FINRA broker/dealer, have regulatory issues with the SEC, or seek to raise money through private placements.

If you are an entrepreneur looking to raise capital by selling shares of your company to an individual that won’t be an active partner in your business, you have to be sure you are compliant with federal and state securities laws. If you are selling a portion of your company to an investor, you are... Read more

A common issue faced by registered representatives is the maintenance of current disclosure on their Uniform Application for Securities Industry Registration or Transfer (“Form U4”.) Under Financial Industry Regulatory Authority (FINRA) rules, a registered representative is required to disclose... Read more

Franchise systems are natural acquisition targets for private equity. Steady, contract-based long term cash flow plus limited physical assets and a limited number of skilled employees make it a natural fit for many private equity charters. In addition, mid-sized franchisors that have managed to... Read more

Are you in the process of building an investor group to apply for a Pennsylvania Medical Cannabis dispensary or grower/processor license? Are you trying to raise capital to apply for a Pennsylvania Medical Cannabis dispensary or grower/processor license? Are you already fully funded and simply need... Read more