Securities Law Compliance Lawyers for Cambridge, Massachusetts

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Meet some of our Cambridge Securities Law Compliance Lawyers

Christopher R. - Securities Law Compliance Lawyer in Cambridge, Massachusetts
View Christopher
5.0 (12)
Member Since:
August 25, 2020

Christopher R.

Attorney
Free Consultation
Boston, MA
12 Yrs Experience
Licensed in MA NH
Suffolk University Law School

Corporate and transactional attorney in sixth year of practice. Focus areas include general corporate counsel, labor and employment law, business partnership matters, securities matters related to privately-held companies, and regulatory compliance in securities and finance matters.

Recent  ContractsCounsel Client  Review:
5.0

"Christopher has been incredibly helpful with our ongoing project!"

Briana C. - Securities Law Compliance Lawyer in Cambridge, Massachusetts
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5.0 (60)
Member Since:
February 15, 2021

Briana C.

Founder, Branch Legal LLC
Free Consultation
Boston, MA
14 Yrs Experience
Licensed in MA CA, NY
Columbia University School of Law

Legal services cost too much, and are often of low quality. I have devoted my law practice to providing the best work at the most affordable price—in everything from defending small businesses against patent trolls to advising multinational corporations on regulatory compliance to steering couples through a divorce.

Recent  ContractsCounsel Client  Review:
5.0

"Briana was responsive and quick to put the draft together. It has been a pleasure working with her!"

Jo Ann J. - Securities Law Compliance Lawyer in Cambridge, Massachusetts
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5.0 (7)
Member Since:
February 23, 2021

Jo Ann J.

Partner
Free Consultation
Boston, MA
30 Yrs Experience
Licensed in MA
Suffolk Universtiy Law School

Jo Ann has been practicing for over 20 years, working primarily with high growth companies from inception through exit and all points in between. She is skilled in Mergers & Acquisitions, Contractual Agreements (including founders agreements, voting agreements, licensing agreements, terms of service, privacy policies, stockholder agreements, operating agreements, equity incentive plans, employment agreements, vendor agreements and other commercial agreements), Corporate Governance and Due Diligence.

Recent  ContractsCounsel Client  Review:
5.0

"Greatly appreciate Jo Ann's responsiveness and quick turnaround. Brought an incredible amount of knowledge and experience to a project I have little experience in."

Keidi C. - Securities Law Compliance Lawyer in Cambridge, Massachusetts
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5.0 (18)
Member Since:
August 25, 2021

Keidi C.

Principal Attorney
Free Consultation
Boston, MA
28 Yrs Experience
Licensed in MA NY
New England Law | Boston

Keidi S. Carrington brings a wealth of legal knowledge and business experience in the financial services area with a particular focus on investment management. She is a former securities examiner at the United States Securities & Exchange Commission (SEC) and Associate Counsel at State Street Bank & Trust and has consulted for various investment houses and private investment entities. Her work has included developing a mutual fund that invested in equity securities of listed real estate investment trusts (REITs) and other listed real estate companies; establishing private equity and hedge funds that help clients raise capital by preparing offering materials, negotiating with prospective investors, preparing partnership and LLC operating agreements and advising on and documenting management arrangements; advising on the establishment of Initial Coin Offerings (ICOs/Token Offerings) and counseling SEC registered and state investment advisers regarding organizational structure and compliance. Ms. Carrington is a graduate of Johns Hopkins University with a B.A. in International Relations. She earned her Juris Doctorate from New England Law | Boston and her LL.M. in Banking and Financial Law from Boston University School of Law. She is admitted to practice in Massachusetts and New York. Currently, her practice focuses on assisting investors, start-ups, small and mid-size businesses with their legal needs in the areas of corporate and securities law.

Recent  ContractsCounsel Client  Review:
5.0

"Keidi was excellent; quick turnaround even during the Holidays. Thank you."

Ralph S. - Securities Law Compliance Lawyer in Cambridge, Massachusetts
View Ralph
5.0 (53)
Member Since:
October 31, 2021

Ralph S.

Business, contract, prenup and startups Attorney
Free Consultation
Gainesville FL
15 Yrs Experience
Licensed in MA DC, FL
University of Florida Levin College of Law

Ralph graduated from University of Florida with his JD as well as an LLM in Comparative Law. He has a Master's in Law from Warsaw University , Poland (summa cum laude) and holds a diploma in English and European Law from Cambridge Board of Continuous Education. Ralph concentrates on business entity formation, both for profit and non profit and was trained in legal drafting. In his practice he primarily assists small to medium sized startups and writes tailor made contracts as he runs one of Florida disability non profits at the same time. T l Licensed. in Florida Massachusetts and Washington DC this attorney speaks Polish.

Recent  ContractsCounsel Client  Review:
5.0

"Ralph was communicative, friendly, and efficient - answering questions and serving as an advisor. Strong recommendation!"

Moss S. - Securities Law Compliance Lawyer in Cambridge, Massachusetts
View Moss
5.0 (3)
Member Since:
November 17, 2021
Elizabeth W. - Securities Law Compliance Lawyer in Cambridge, Massachusetts
View Elizabeth
5.0 (8)
Member Since:
December 11, 2021

Elizabeth W.

Legal Counsel
Free Consultation
Bozeman, MT
9 Yrs Experience
Licensed in MA RI
Suffolk University Law School

Liz is an experienced insurance professional, having worked with carriers and brokers for over 10 years. She can review or draft a variety of commercial agreements and is here to help your business. Specialties include: Master Service Agreements, business process outsourcing, marketing and partnership agreements, broker agreements, business associate agreements, and NDAs.

Recent  ContractsCounsel Client  Review:
5.0

"Liz was very responsive, eager to do a good job, and a pleasure to work with."

Richard G. - Securities Law Compliance Lawyer in Cambridge, Massachusetts
View Richard
4.7 (1)
Member Since:
April 21, 2021

Richard G.

Attorney
Free Consultation
Massachusetts
5 Yrs Experience
Licensed in MA
Massachusetts School of Law

Attorney Gaudet has worked in the healthcare and property management business sectors for many years. As an attorney, contract drafting, review, and negotiation has always been an area of great focus and interest. Attorney Gaudet currently works in Massachusetts business, employment, corporate and bankruptcy law.

Ross F. - Securities Law Compliance Lawyer in Cambridge, Massachusetts
View Ross
Member Since:
October 27, 2020

Ross F.

Managing Partner
Free Consultation
Bedford, New Hampshire
15 Yrs Experience
Licensed in MA NH
University of Arizona

I am an experienced technology contracts counsel that has worked with companies that are one-person startups, publicly-traded international corporations, and every size in between. I believe legal counsel should act as a seatbelt and an airbag, not a brake pedal!

Joshua C. - Securities Law Compliance Lawyer in Cambridge, Massachusetts
View Joshua
Member Since:
June 28, 2021

Joshua C.

Attorney/Owner
Free Consultation
Ashland, MA
10 Yrs Experience
Licensed in MA CA
UCLA School of Law

Attorney Joshua K. S. Cali is a respected business, estate planning, and real estate attorney based in Ashland serving Middlesex County and other nearby areas. Joshua graduated summa cum laude from Bentley University in Waltham, MA, and from UCLA School of Law in Los Angeles. Before starting his own firm, Joshua practiced estate planning for high net worth clients at a boutique law firm in San Diego, CA.

Stanley K. - Securities Law Compliance Lawyer in Cambridge, Massachusetts
View Stanley
Member Since:
July 29, 2021

Stanley K.

Corporate Attorney
Free Consultation
Waltham, MA
32 Yrs Experience
Licensed in MA CA, TX
University of Texas School of Law

Stan provides legal services to small to medium-sized clients in the New England region, and throughout the U.S. and abroad. His clients are involved in a variety of business sectors, including software development, e-commerce, investment management and advising, health care, manufacturing, biotechnology, telecommunications, retailing, and consulting and other services. Stan focuses on the unique needs of each of his clients, and seeks to establish long term relationships with them by providing timely, highly professional services and practical business judgment. Each client's objectives, business and management styles are carefully considered to help him provide more focused and relevant services. Stan also acts as an outsourced general counsel for some of his clients for the general management of their legal function, including the establishment of budgets, creation of internal compliance procedures, and the oversight of litigation or other outside legal services.

Doug F. - Securities Law Compliance Lawyer in Cambridge, Massachusetts
View Doug
Member Since:
September 7, 2022

Doug F.

Managing Director
Free Consultation
Boston, MA
44 Yrs Experience
Licensed in MA NY
Boston University School of Law

Doug has over 20 years of private and public company general counsel experience focusing his legal practice on commercial transactions including both software and biotech. He is a tech savvy, business savvy lawyer who is responsive and will attain relationship building outcomes with your counterparty while effectively managing key risks and accelerating revenue. He received his Juris Doctor from Boston University School of Law earning the Book Award in Professional Ethics and after graduation he taught legal writing there for a number of years. Prior to law school, Doug earned a M.A in Mathematics at the State University of New York at Stony Brook, and a B.S in Honors Mathematics at Purdue University. After law school, Doug joined Fish & Richardson, where his practice focused on licensing software, trademarks and biotech. While at Fish & Richardson Doug authored a book on software licensing published by the American Intellectual Property Lawyers Association. Later he joined as General Counsel at FTP Software and led an IPO as well as corporate development. Doug has broad experience with a broad range of commercial agreement drafting and negotiation including SaaS software and professional services, distribution and other channel agreements, joint venture and M&A. Doug continued his leadership, corporate governance and commercial transaction practice at Mercury Computers (NASDAQ:MRCY) leading corporate development. Doug’s experience ranges from enterprise software to biotech and other vertical markets. He joined the board of Deque Systems in 2009 and joined in an operating role as President in 2020 successfully scaling the software business.

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Securities Law Compliance Legal Questions and Answers

Securities Law Compliance

Offering Memorandum

California

Asked on Jun 11, 2025

Can an Offering Memorandum be used for fundraising in a startup?

I am a co-founder of a startup and we are planning to raise funds from accredited investors. We have heard about Offering Memorandums being used for fundraising, but we are unsure if this is applicable to our situation. We want to know if it is legally permissible to use an Offering Memorandum for fundraising in a startup, and if so, what are the key requirements and considerations we should be aware of.

Christopher N.

Answered Jun 13, 2025

Your question does not have a quick or answer, and is highly dependent the very specific facts of your company, your industry, and potential investors, but, the short answer is: yes. The offering memorandum is just that: a (non-binding) offer to sell securities in your company. There are other documents that will have to be prepared if an investor agrees to fund you. Those documents and the underlying "advertising" for the sale of those securities are, as you likely know, very strictly regulated by the SEC and California (under the Blue Sky rules). Run afoul of them to your detriment and you may need very expensive attorneys. We highly recommend you consult with experienced securities attorneys who can help you craft the offering memo, subscription agreements, etc. to address the issues specific to your company and potential investors. Perhaps not the full answer you are looking for, but hopefully a wise note of caution.

Read 1 attorney answer>

Securities Law Compliance

Fundraising Contract

New York

Asked on Jun 30, 2025

What legal considerations should I be aware of when raising funds for a private equity fund?

I am in the process of launching a private equity fund and am seeking legal advice on the various considerations and regulations that I need to be aware of when it comes to fundraising. I want to ensure that I am fully compliant with securities laws, have a thorough understanding of the documentation required, and am aware of any potential pitfalls or risks associated with the fundraising process.

Christopher N.

Answered Jul 1, 2025

You have two major considerations: what are your investors looking for in return and protections against failure (is this a good idea and will I get my money back); and, complying with state and federal securities law as it relates the sales of securities (which you will do because you are selling an interest, shares, etc. in your fund). There are some very significant issues you have prepare for both from the SEC and your investor point of view with whihc you have to deal. My thoughts on the work you have ahead of you (which I basic and not reflective of the many other options available): (1) draft the power point to describe the fund, target industries, etc.; (2) draft the offering memeorandum describing the fund, the risks, the investment strategy, risks, etc.; (3) the subscription agreement; and (4) filing the necessary forms and disclosures with New York and the SEC. GIven the complexity of drafting these documents and complying with the securities laws, you can expect to spend AT LEAST $25,000 for the attorneys to do the work -- but likely much more depending on the law firm. I recommend looking at a smaller form with the necessary experience as they can do the work just as well if not better and at a better price point. Good luck, and we are happy to answer more specific questions if you reach out to us.

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