Securities Lawyers for Maine

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Meet some of our Maine Securities Lawyers

Craig M. - Securities Lawyer in Maine
View Craig
5.0 (3)
Member Since:
August 2, 2021

Craig M.

Attorney
Free Consultation
Maine
10 Yrs Experience
Licensed in ME
New York Law School

I have been practicing law for more than 7 years in Maine and have owned my law practice, Dirigo Law LLC, since 2020. My practice focuses mostly on Real Estate / Corporate transactions, Wills, Trusts, and Probate matters.

Recent  ContractsCounsel Client  Review:
5.0

"In our phone conversation, Craig provided options to resolve my title issue"

Nicholas M. - Securities Lawyer in Maine
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5.0 (46)
Member Since:
June 1, 2023

Nicholas M.

President/Attorney
Free Consultation
Providence, Rhode Island
16 Yrs Experience
Licensed in ME CT, MA, NC, RI
The Catholic University of America, Columbus School of Law

Nicholas Matlach is a cybersecurity expert (CISSP) and an attorney who is dedicated to helping small businesses succeed. He is a client-focused professional who has a deep understanding of the challenges that small businesses face in the digital age. He also provides legal counsel to small businesses on a variety of issues, including formation, intellectual property, contracts, and employment law.

Recent  ContractsCounsel Client  Review:
5.0

"Enjoyed his demeanor. Professional yet down to earth. The document created for me was very explicit and easy to read. I would recommend :)"

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Meet some of our other Securities Lawyers

Umar F. - Securities Lawyer in Maine
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4.4 (3)
Member Since:
April 24, 2024

Umar F.

Startup Legal Counsel
Free Consultation
New York
18 Yrs Experience
Licensed in DC, NY
University at Buffalo School of Law

Hi, I'm Umar from CounselX. I started off doing domestic and international corporate law work at the world's largest law firm Dentons and then moved in-house as Head of Legal of an investment bank before starting my own firm in 2012. We have been a trusted legal resource for founders since our inception. My team has helped over 1,000 startups launch, grow and thrive. When it comes to corporate and commercial law matters, you need an attorney that not only has a deep understanding of the law, but is passionate about your companys continued success. Whether it's helping to get your business off the ground or handling tough negotiations in a pivotal transaction, I'm available to provide insightful legal counsel and trustworthy guidance. To learn if I'm the right fit, schedule a free 15-minute introductory call with me.

Melissa T. - Securities Lawyer in Maine
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Member Since:
April 15, 2024

Melissa T.

In-House Counsel
Free Consultation
Hoboken, NJ
19 Yrs Experience
Licensed in NY
American University Washington College of Law

New York licensed attorney with 17 years of Commercial Real Estate. In-house since 2009. Generalist experience in many areas of law, including Corporate, Real Estate, Finance, Securities, Commercial, Litigation, Cybersecurity, Privacy, Labor, Landlord Tenant, Alternative Dispute Resolution, Transactions and Leasing, etc.

Jodi B. - Securities Lawyer in Maine
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Member Since:
April 1, 2025

Jodi B.

Attorney
Free Consultation
Mount Laurel NJ
23 Yrs Experience
Licensed in NY, OH
Western New England University

I'm a New York Attorney, who would love to review contracts, negotiate on your behalf, review title, and inspection reports to ensure you buy or sell your home with marketable title.

Justine F. - Securities Lawyer in Maine
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Member Since:
April 15, 2024

Justine F.

Real Estate Attorney
Free Consultation
Temecula CA
29 Yrs Experience
Licensed in CA, MI
University of Notre Dame Law

Versatile, analytical, detail-oriented California barred corporate attorney with a comprehensive real estate, transactional and finance background as in-house counsel to large real estate developers, asset and property management companies, Fortune 500 quick service retailers/restaurant franchisors and international energy franchisors (retail and gasoline/mini market). Strong analytical and problem-solving skills, work ethic and integrity. Enthusiastic and quick mastery of new responsibilities, technologies and business strategies.

Brian A. - Securities Lawyer in Maine
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Member Since:
April 16, 2024

Brian A.

Legal Director
Dubai, UAE
18 Yrs Experience
Licensed in TX
Duke Law School

I have been in corporate practice for over 14 years dealing primarily with complex engineering, construction, and project management contracts as well employment contracts.

Marlene G. - Securities Lawyer in Maine
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Member Since:
May 14, 2024

Marlene G.

Real Estate Lawyer, Sole Practitioner
Free Consultation
Miami, FL
34 Yrs Experience
Licensed in FL
Stetson University College of Law

Highly skilled Real Estate Counsel delivering favorable outcomes for clients in real estate transactional matters. Extremely effective negotiator, detail oriented and a licensed real estate broker. Served as In-House counsel for an international real estate development company for more than 10 years.

Romina S. - Securities Lawyer in Maine
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Member Since:
April 18, 2024

Romina S.

Managing Attorney
Free Consultation
Morristown, NJ
20 Yrs Experience
Licensed in NJ, NY
St. John's University School of Law

Attorney licensed in New York and New Jersey with over 15 years of experience in Real Estate, Property Law and Collection/Debt Defense Law.

Jocelyn W. - Securities Lawyer in Maine
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Member Since:
April 21, 2024

Jocelyn W.

Attorney
Free Consultation
Venice, CA
13 Yrs Experience
Licensed in IL, MN
Vermont Law School

Jocelyn A. Walters-Hird focuses her practice on conservation law and other real estate matters. She has provided counsel on dozens of conservation easement transactions as well as fee sales and acquisitions, including the structuring, negotiating, and closing of such projects. Prior to joining the conservation community, Jocelyn worked as a litigator, which has informed her approach to drafting workable documents and resolving post-transaction issues. With both in-house counsel and private practice experience, Jocelyn has a unique skillset allowing her to problem solve and provide sound legal advice to land trusts, landowners, and other organizations. She is the former Sr. Staff Attorney at the Minnesota Land Trust, where she led the legal team of the state’s largest non-profit land trust. She also worked as Attorney for Conservation Partners, LLP, a nationally-recognized boutique law firm that has assisted land trusts and landowners in protecting hundreds of thousands of acres of land. Jocelyn now serves as Contracted Counsel for the firm.

Akash K. - Securities Lawyer in Maine
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Member Since:
May 2, 2024

Akash K.

Partner
Free Consultation
San Francisco, California
10 Yrs Experience
Licensed in DC, NJ, NY
Brooklyn Law School

Practicing in New York, New Jersey, New Delhi & Gurgaon, Akash’s cross-border practice focuses on immigration, intellectual property law, entertainment law and transactional law. With a Juris Doctor from Brooklyn Law School, an LLM from NLSIU, and a master’s in management from Lancaster University, Akash is highly qualified to deliver comprehensive and effective legal solutions to all his clients. Akash's immigration law practice focuses on work-based and family-based immigrant and non-immigrant visas. His expertise spans a variety of services in this sector – including petitions, applications, pre-petition compliances, changes of status, employment authorization, derivative applications, maintenance of status, and much more. He also provides consular law services within India. Akash has a strong academic and practical background in Intellectual Property Rights and Media Law. His practice includes IPR registration, IPR management, IPR auditing, pre- and post-publication review, piracy and copyright matters, media law compliances, and more. Akash's international commercial and transactional law practice specializes in cross-border transactions, business structuring, investments, joint ventures, mergers and acquisitions. His alternative dispute resolution practice, both as a commercial mediator, has resulted in successfully resolving disputes over family affairs, business concerns, and commercial disputes. He is a registered a certified commercial mediator with the Indian Institute of Arbitration and Mediation.

Securities Legal Questions and Answers

Securities

Offering Memorandum

New York

Asked on Nov 24, 2024

Can a company be exempt from filing SEC reports if it meets certain criteria?

I am currently researching the requirements for SEC reporting and I came across the concept of exemptions. I understand that certain companies, such as small businesses, may be exempt from filing SEC reports if they meet certain criteria. However, I am unsure about the specifics of these exemptions and the criteria that need to be met. I would like to know if a company can be exempt from filing SEC reports and what these criteria might be.

Danny J.

Answered Dec 14, 2024

So to answer your question, yes, certain companies can be exempt from filing SEC reports if they meet specific criteria. This area of securities law is nuanced and can significantly impact a company's regulatory obligations and costs. Let me outline some key points for you: 1. **Small Reporting Company (SRC) Status:** - Companies with public float less than $250 million or annual revenues less than $100 million may qualify for scaled disclosure requirements. 2. **Emerging Growth Company (EGC) Status:** - Available for companies with less than $1.07 billion in annual gross revenues. - Provides certain disclosure and regulatory relief for up to five years after IPO. 3. **Private Company Exemptions:** - Companies with fewer than 2,000 shareholders of record (or 500 non-accredited investors) may be exempt from registration. 4. **Foreign Private Issuer Exemptions:** - Non-U.S. companies may have different reporting requirements. 5. **Rule 12h-3 Suspension:** - Allows suspension of reporting under certain conditions, like having fewer than 300 shareholders of record. While these exemptions can provide relief from full SEC reporting requirements, determining eligibility and maintaining compliance can be complex. Factors such as company size, structure, shareholder composition, and future growth plans all play crucial roles in this determination. It's important to note that even if exempt from full reporting, companies may still have obligations under state securities laws or to their shareholders. Additionally, the benefits of exemption should be weighed against potential drawbacks, such as reduced access to capital markets or decreased investor confidence. Given the complexities and potential consequences of misapplying these exemptions, it would be prudent to conduct a thorough analysis of your specific situation. Would you like to discuss your company's particulars to determine which exemptions, if any, might apply and how to strategically approach your SEC reporting obligations?

Read 1 attorney answer>

Securities

SAFE Note

New York

Asked on Mar 30, 2021

What is the difference between a SAFE Note and Convertible Note?

I am considering raising money and have been advised to look at these two instruments to raise money on.

Ramsey T.

Answered Mar 30, 2021

Both SAFES (Simple Agreements for Equity) and Convertible Notes "convert" into equity. The fundamental difference between the two is that SAFES have no built-in interest rate and have no "end date." Convertible Notes are debt so they have an interest rate and after a certain period of time (perhaps two years in most cases) they can be "cashed in" by the holder who can force the start-up to pay back the investor (principal plus interest). SAFES have become very accepted in the investing community at this time and I always recommend that a start-up issue SAFES (and conversely I always recommend that an investor get a convertible note).

Read 1 attorney answer>

Securities

Convertible Note

Ohio

Asked on Jun 24, 2023

Convertible note vs. KISS agreement?

I am an early-stage startup founder looking to raise capital. I am exploring different financing options and am trying to decide between a Convertible Note and a KISS agreement. I want to understand the differences between these two financing options, and the advantages and disadvantages of each, in order to make an informed decision.

Paul S.

Answered Aug 4, 2023

Probably the primary difference is that a convertible note is debt, with interest and a maturity date. I do a lot of work with startups, and I rarely see convertible notes used anymore, and never see KISS agreements used. SAFEs are much more prevalent. That being said, there are a lot of different variables in all these instruments, and you should never just download a template and use it without customizing to your needs and discussing it with an experienced startup attorney. There are also securities law considerations. Raising financing from investors is not a good DIY project.

Read 1 attorney answer>

Securities

Revenue Sharing Agreement

California

Asked on Dec 2, 2021

How do you fund a restaurant?

I am looking for an attorney who can help me put together restaurant business proposal to funding to expand my restaurant branch.

Russell M.

Answered Dec 14, 2021

There is not a lot of detail here so I am going to assume you are not asking about how to get a small business loan, or you aren't interested or able to get SBA financing for what ever reason. If you have a successful restaurant concept, you might want to look into Regulation CF crowdfunding. I am aware of a number of food and beverage businesses that have leveraged their existing loyal and enthusiastic customer bases and a well executed financial and PR campaign to fund expansion sites.

Read 1 attorney answer>

Securities

LLC Operating Agreement

Texas

Asked on Aug 24, 2021

Can an LLC buy stocks for a fee?

I'm forming an LLC in order to manage some money investing in the stock market, (Friends and family only) I will be charging a percentage fee on the profits. Can an LLC be formed to invest in stocks and charge a performance fee? Thank you.

Forest H.

Answered Aug 25, 2021

Generally, if you are "advising others regarding investment decisions for compensation" you are regulated by the SEC as an investment advisor and subject to oversight and registration with the SEC. There are exemptions, for example, a "Family Office" is not required to register. However, all investors and owners in a Family Office must be actual family and friends would be excluded.

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