Securities

 F&E LLP has extensive knowledge and experience necessary to provide a high level of securities law representation often necessary in advising private and public companies alike and rarely found outside of a large law firm for a reasonable fee. Our attorneys routinely advise and counsel clients on securities compliance and securities issues typically pertaining to capital raise and M&A transactions.

Our approach is to thoroughly understand a company's business and objectives so that we can better and more effectively advise them as well as to help ensure that any disclosure documents are accurate and complete. We also understand the difference between simply assisting our clients to draft offering and disclosure documents and taking that extra step in helping to introduce them to opportunities, investors and relationships that we have by virtue of being in the investment community who can help our clients grow their businesses in an efficient manner. Our significant experience in representing issuers and investors in private offerings allows us to better understand market expectations, the interests of the parties to these transactions, the business needs of our clients and the need for efficient execution and speed of funding.

  

 Compliance with, or meeting requirement for exemptions from, federal and state securities laws is not only the principal focus of private offerings of securities, but can also be an important element in many other business transactions, including mergers and acquisitions, and the formation of new ventures, including corporations, partnerships, limited liability companies and joint ventures.

REPRESENTATIVE TRANSACTIONS:

  • Advised Fintech company in connection with Series A and Series B Preferred Stock issuances.

  • Advised and negotiated Series Seed funding for block-chain start-up.

  • Represented biotech startup in negotiating and drafting convertible note and series seed financing documents.

  • Represented investment fund in fund formation documentation.

  • Advised as to securities compliance and exemptions for various equity incentive plans.