Since 1993 we have provided representation to a variety of businesses and individuals in the U.S. and abroad, including emerging and established companies, publicly held AMEX, Nasdaq and OTC listed companies, and new business ventures.  We also serve as legal counsel to other law firms from time to time on a project or “of counsel” basis.

Representative engagements include: 
  • General SEC and corporate counsel to Nasdaq, Amex and OTC companies;
  • Counsel to issuers, intermediaries and service providers in the emerging “crowdfinance” industry spawned by the JOBS Act of 2012, including
    • JOBS Act Title II Rule 506(c) private placements to accredited investors utilizing general solicitation.
    • JOBS Act Title III equity crowdfunding.
    • JOBS Act Title IV Regulation A+ “mini IPO’s” up to $50 Million.
  • Counsel to buyers, sellers and shareholders in mergers and acquisitions involving both publicy held and private businesses.
  • SEC counsel to Nasdaq listed company for secondary common stock offering on the Frankfurt Stock Exchange;
  • Special court appointed SEC counsel to Common Stock holders of NYSE company in what is believed to be the largest Chapter 11 bankruptcy proceeding filed in Los Angeles.