Securities Lawyer
Forbes Law advises on a variety of securities law matters. Forbes Law has significant experience working with a wide array of financial instruments and proceedings. Our experienced law firm has provided advice to our clients in the capital raising process for many years, assisting them with numerous types of securities offerings. We strive to protect our clients from securities law infractions, and assist organizations facing securities litigation, which have the potential to result in major financial ramifications.
Private Offerings
Forbes Law represents issuers and investors in private placement offerings and financing. Private placement offerings are offerings of securities that are exempt from registration under the securities laws of the Unites States. We advise our clients on structuring and conducting private placement offerings to ensure relevant exemption requirements are met. Our office also acts as counsel to clients bringing in employees as owners, as well as clients turning to outside investors. Forbes Law attorneys prepare offering materials, including, if necessary, private placement memorandum (PPM), subscription agreements, investor questionnaires and third-party verifications. We assist our clients in the disclosure of relevant risks and in the proper organization and review of company documents that support statements made in the disclosure materials. We also guide clients through the filings necessary to comply with both federal and state securities laws. The types of securities that are commonly sold in private placements, such as:
- Equity – including common stock, preferred stock, and limited liability company interests.
- Debt – including convertible notes, SAFE notes, and various other debt structures.
- Combination – of debt and equity sold together.
Other Securities Law Services
Forbes Law represents issuers of securities in connection with investigations regarding securities sales by the U.S. Securities and Exchange Commission (SEC), as well as various state regulators. We understand being investigated by regulators regarding compliance with securities laws in connection with securities sales can be very stressful. Our group carefully explains to clients the potential ramifications of any investigation and work to resolve the investigation quickly and successfully.
Forbes Law also routinely reviews and assists in drafts of disclosure documents for its public clients to ensure compliance with the disclosures required by the SEC. Examples of such disclosure documents include 10-Ks, 10-Qs and 8-Ks. From time to time, Forbes Law will also review and assist in drafting of registration statements for our public clients, as well as clients initiating its first public offering.
Contact forbes Law
30 years of experience. A dedication to serving our clients. Those are the keys that make Forbes Law the best Chicago securities lawyer in the city for private offerings, regulator investigations, and SEC disclosure matters. We balance your needs with compliance standards and always keep your interests at the forefront. Receive professional counsel today and contact us to schedule an appointment.