Corporate & Securities

I provide a broad range of services to businesses, executives, investors and entrepreneurs. Depending on a client's particular needs and preferences, these services may consist of anything from single tasks on as-needed basis, to multiple projects on a continuing basis. Because each client's legal needs are different, it is important to me that I work with my clients to create a relationship that fully addresses their legal needs while balancing their cost considerations.

The following are examples of some of the services I provide:

• General Corporate Services:
  • Formation of corporations, limited liability companies (LLCs), limited partnerships and other business entities.
  • Corporate governance and administrative services.
  • Contract review, drafting and negotiation.
  • Assistance with government compliance, licenses and permits.
  • Risk assessment of general legal matters, assistance with general legal questions and guidance on developments or changes in law.
  • Executive and employee presentations regarding certain transactions, legal responsibilities and/or changes in the law.

• Major Transactions:
  • Asset acquisitions or sales.
  • Equity acquisitions or sales.
  • Mergers.
  • Loans, credit facilities, letters of credit and other debt instruments or facilities.
  • Debt or equity investments or offerings.
  • Structural reorganizations.

• Securities:
  • Private securities offerings.
  • Assistance with capital structure, ownership records and ownership instruments.
  • Public securities and debt offerings.
  • Compliance with the Securities Act of 1933 and Securities Exchange Act of 1934, including registration statements, proxy statements, annual reports, quarterly reports, current reports and beneficial ownership reports.
  • Compliance with the Investment Advisers Act of 1940, state investment adviser laws, FINRA broker-dealer regulations and state broker-dealer laws.

Because I couldn't possibly list all the services I provide, please contact me if you have a question about a particular service or would like to know more about my services.

Cost is one of the most important issues to clients regardless of the size of their business. My approach to legal fees is to openly communicate with my clients my expectations for the cost of a project or request, and to work with my clients to create an arrangement that is acceptable to them. I only charge for actually providing legal services, not for the privilege of having my attention. I want my clients to feel comfortable with calling or e-mailing me with their questions and concerns without worrying about how much a phone call or e-mail might cost them.

Typically, I have an hourly billing arrangement with clients based on a pre-established rate, which I discuss with my clients before my representation officially begins. However, different fee arrangements can be created if desired.

Small Businesses

The services I offer for small businesses are virtually the same for any other kind of business or client. However, I recognize that small businesses may have special needs that require unique solutions or arrangements. For example, a business may have a need for a full-time internal legal function, but it is not practical to add one. If desired, I can act as an extension of the business and maintain a collective knowledge base of the company's legal responsibilities and needs. In some cases, a business may not be aware of its legal risks or the value of having an easily accessible legal resource. Often, clients simply want someone to look out for them, but do not want to worry about substantial legal fees that might be associated with that kind of service. These kinds of services tend to result in a higher level of interaction with small business clients and require me to have a larger role in the planning and strategy decisions of the client. Although an increased role with small business clients often requires larger time commitments, I work with my clients to establish appropriate fee arrangements that provide pratical solutions for their legal needs.

My philosophy with small business clients is that I would like them to eventually become big business clients, so my services should be provided in such a manner as to make that happen. It does not make much sense to me to pile on legal fees on small businesses simply because they may require more of my time.

Entrepreneurs

As with small business clients, the services I offer to entrepreneurs are identical to those provided to other clients. And also similar to small businesses, entrepreneurs are a different type of client that often requires unique legal solutions. To distinguish small businesses and entrepreneurs, my legal services to small businesses tend to be focused more on the company itself whereas my services to entrepreneurs tend to be focused on an individual (or small group of individuals, although there can be a great deal of overlap between the two areas.

I highlight my services to entrepreneurs separately from small businesses because I have met many individuals who are indistinguishable from their businesses. For example, I have represented individuals providing services as consultants, finders, brokers, advisors, incubators and independent contractors. For these clients, representing the individual and the business is often the same thing, which means that a unique approach is required with these kinds of clients.

My philosophy regarding legal fees and expenses with entrepreneurs is similar to small businesses and other clients with special needs. I work with clients to create an arrangement that best fits their needs and constraints and openly communicate my expectations for costs involved with projects.