The following is a general discussion of projects we have assisted with:

We were engaged recently by a public company that was frustrated with the expense and timing of their securities counsel. It needed assistance with regulatory compliance, i.e. Form 10-K, 10-Q and 8-K as well as registration statement assistance for future financings. We were hired to perform these services with a combination of stock and cash compensation. We provide timely responses to their corporate and securities issues and expect this relationship to last throughout the company’s growth.

Over the last two years, we have provided assistance in regard to the transfer of securities portfolios  between institutional investors. We are responsible for reviewing agreements, coordinating the transaction between the issuer, the transfer agent and the parties, and providing any requisite paperwork or legal opinions for the transaction. Following these transactions, the investors often call on us to help with Rule 144 issues and to provide advice as to insider reports.

Recently, we assisted on an expedited basis with the sale of a broker-dealer by a registered investment adviser. We helped negotiate the acquisition agreement and ancillary agreements and complete the closing. The timing was met and we continue to help this client with its compliance issues.

Investment bankers often refer our firm to the public companies they fund. We assist these public companies with negotiating financing agreements and with the SEC registration process. We often continue on to advise these companies in regard to SEC reporting and business issues as they grow.

We work with Pink Sheet issuers who choose to post current information on Pink Sheets to keep their shareholders informed as well as provide for Rule 144 eligibility. We assist in reviewing Pink Sheet reports and provide the requisite attorney letters. We have also helped Pink Sheets issuers move to the OTCBB through the Form 10 process and in compliance with FINRA guidelines.