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Who We Are

We are a Law Practice devoted to providing low cost seamless capital markets solutions to clients.

For entrepreneurs seeking to raise money through private placements or public offerings via Regulation A+, Form S-1, or Form 10 Registration Statements, we provide low cost services for preparation of offering documents and filings with the SEC, FINRA and State Administrators. For foreign companies seeking to access US capital markets through debt or share offering, we prepare and file Form F-1 Registration Statements and guide through the entire IPO and listing process.

We also advise you on raising money for Cryptocurrency and Blockchain Trading and Exchange Platforms.

We advise on REITS platform to enable real estate entrepreneurs establish publicly traded REITS for mortgages and real estate development.Above all, we also introduce you to the securities brokerage community through relationships our Principal developed during more than his 30 years of working on Wall Street.

The unique advantage we bring to the service of our clients is hands on experience. Our Principal worked for FINRA and has held various legal and compliance positions in the securities industry. Our principal also holds accounting degree and worked as a Staff Accountant with Deloitte. His accounting background comes in handy in his successful defense of broker-dealers facing FINRA enforcement actions for financial and operations violations.

We represent registered representatives facing FINRA enforcement actions for excessive trading, churning and other misconduct. Our principal’s industry experience provides us with unique insights in defending such matters.

Our principal has also ran several broker-dealers and as such has a first-hand experience of the headaches that come with running a broker-dealer. Therefore, when you retain us to represent you in securities industry matters, you are retaining counsel with both the regulatory and the practical business-side skill sets.

Because of our principal’s industry background, we do not seek to complicate matters or look for problems. We seek solutions for problems.

We anticipate what problems could come up in a typical regulatory and/or compliance situation and advise you on how to address them so when the regulators come knocking at your door, the problems are either very minimal or the regulatory fines or criticisms would have already been drastically muted.

In effect, we take the edge off the regulatory fight long before the battle lines are drawn.

About Us

We also represent individuals seeking to form broker-dealers, hedge funds, investments advisers and provide on-going compliance services to such entities. The unique advantage we bring to the service of our clients is hands on experience.

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Who We Are!

We are a Law Practice devoted to providing low cost seamless capital markets solutions to clients.

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