SECURITIES

LAW

SECURITIES

LAW

SECURITIES LAW

Securities laws govern stocks, bonds, convertible notes, and a host of other instruments that are deemed “securities” under federal and state law. They are in place in order to prevent fraud, insider training, and market manipulation.

Private offerings of securities are often needed by small and mid-sized companies to avoid the burdensome and expensive process of registering securities. Such private offerings, however, require exemptions from registration which are themselves complex and require high-level legal guidance.

With regard to publicly-traded securities, federal law requires filing of reports with the Securities and Exchange Commission (SEC) about the company’s financial condition, operating results, and executive compensation. These insights shape investment decisions and are, therefore, consequential to investors, shareholders and markets in general.

Leveraged Buyout

Representing private equity clients in all phases of operation, including formation, identification of appropriate targets, management of portfolio companies and engineering a successful exit.

Cap Raise

Advising clients on securities law compliance for private offerings to raise capital, including Regulation D, Regulation A+ and Regulation S offerings, Rule 144A and PIPE transactions, as well as blue sky law compliance for such offerings.

IPO

Advising companies in the process of becoming publicly traded, including regulatory compliance and drafting securities filings for clients such as registration statements

What transactions require a securities lawyer?

Securities lawyers help business owners comply with SEC regulations laid out in the Securities Act of 1933. These rules are often complex and fines and penalties for lack of adherence are damagingly high.

Additionally, securities law includes recovering damages incurred when securities fraud has been committed.

At The Law Offices of Jeffrey T. Petersen, we focus on transactional securities law, and the formation of companies as opposed to securities fraud litigation.

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Testimonials

“The Law Offices of Jeffrey T. Petersen has been a valuable partner in helping our company prosper over the past decade. From business agreements to internal corporate guidance to risk mitigation, the attorneys there have provided practical advice and gotten tasks done efficiently. They are a go-to resource for legal matters, and understand how to assist companies in dynamic markets.”

Mike SawantPresident – Market Ready, Inc.

“Jeff Petersen and his team have been working with our sports hospitality company for several years as corporate counsel, and they’ve been great to work with since day one. Our customer and other contracts are handled quickly and efficiently, and we value Jeff’s insight on larger strategic matters, such as acquisitions and strategic partnerships. I recommend the firm highly to anyone needing experienced business attorneys.”

Alex PramenkoPresident – VIP Sports Marketing, Inc.

“The Law Offices of Jeffrey T. Petersen has been with our business from the beginning, helping us navigate all our legal requirements and providing a valuable resource for compliance and IP matters. Their responsive, team-oriented approach has been the right fit for our company.”

Matt KarisChief Operating Officer – Bandolier

Case Stories

We are in the business of protecting our clients and safeguarding their assets especially in business sale and M&A transactions. These are stories illustrating the ways in which we accomplish this. No stories are a guarantee of results. Please refer to the disclaimer in our footer.

Crafting an Appealing Letter

The firm worked intensively with the client to develop a creative and appealing structure that would resonate with the seller. After several rounds of negotiation with that seller, it accepted the client’s letter of intent, and went on to consummate the purchase.

75 Days To Close

The firm was able to take the client through intensive due diligence, a required Quality of Earnings report, and a tax-free reorganization during the required time period. The deal was negotiated and closed in a timely fashion

A Joint Venture Structure

The firm negotiated with the outside’s party counsel in order to develop a joint venture structure, and coordinated with patent counsel on all aspects of the intellectual property and the venture being formed.

LINKS

SAN DIEGO

12526 High Bluff Dr.,
Suite 300 San Diego, CA 92130
Phone: 858.792.3666
Fax: 858.792.3667

CHICAGO

444 West Lake Street, 17th Fl.,
Chicago, IL 60606
Phone: 312.583.7488
Fax: 312.548.7480

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Disclaimer: The information on this website is provided for general informational purposes only, and may not reflect the current law in your jurisdiction. No information contained on this site should be construed as legal advice from The Law Offices of Jeffrey T. Petersen or the individual author, nor is it intended to be a substitute for legal counsel on any subject matter. No reader of this content should act or refrain from acting on the basis of any information included in, or accessible through, this website without seeking the appropriate legal or other professional advice on the particular facts and circumstances at issue from a lawyer licensed in the recipient’s state, country or other appropriate licensing jurisdiction.

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