Securities Lawyers for Minnesota

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Meet some of our Minnesota Securities Lawyers

Emmanuel A. - Securities Lawyer in Minnesota
View Emmanuel
5.0 (1)
Member Since:
June 7, 2024

Emmanuel A.

Law Clerk
Free Consultation
Raleigh, North Carolina
3 Yrs Experience
Licensed in MN
Elon University School of Law

Results-driven young lawyer with over 2 years of combined legal experience. Adept at legal research, contract drafting, reviewing policies, client relations, and case management. Possess a J.D. from Elon Law School and am a member of the Minnesota State Bar in good standing.

Recent  ContractsCounsel Client  Review:
5.0

"Emmanuel is fantastic and very easy to work with! We are so pleased with his quality of work, responsiveness, and attention to detail, and look forward to working with him again on future projects."

Harry N. - Securities Lawyer in Minnesota
View Harry
5.0 (6)
Member Since:
November 21, 2025

Harry N.

Business Lawyer
Free Consultation
Anoka, MN
20 Yrs Experience
Licensed in MN IL
University of Minnesota

Experienced business advisor and in-house counsel with extensive litigation experience, representing parties in a variety of complex commercial disputes, including securities, financial fraud, contract, and antitrust litigation.

Recent  ContractsCounsel Client  Review:
5.0

"Harry was timely, responsive, and on budget. I highly recommend."

Eric H. - Securities Lawyer in Minnesota
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5.0 (2)
Member Since:
April 9, 2026

Eric H.

Partner
Free Consultation
Saint Paul, MN
25 Yrs Experience
Licensed in MN
University of Wisconsin

I'm a M&A, start-up, and commercial attorney providing biglaw service on SMB budgets. Basically, I help people spend large amounts of money slightly less terrifyingly. :)

Recent  ContractsCounsel Client  Review:
5.0

"Eric was awesome. He responded immediately after regular business hours the night before my contract was due to be submitted. Completed it by noon the next day and spoke with me about it. He did a great job and I will definitely use him again."

Heather B. - Securities Lawyer in Minnesota
View Heather
4.6 (27)
Member Since:
November 30, 2025
Christopher L. - Securities Lawyer in Minnesota
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Member Since:
September 6, 2023

Christopher L.

Business Lawyer
Free Consultation
Minneapolis, MN, United States
15 Yrs Experience
Licensed in MN
New England School of Law

I have worked in banking, financial technology and technology as a legal and compliance executive who negotiates and drafts contracts, ensures products and services comply with applicable regulations, implements policies and procedures, oversees litigation, and manages corporate governance programs.

Hao L. - Securities Lawyer in Minnesota
View Hao
Member Since:
October 19, 2023

Hao L.

Partner
Free Consultation
Miami, Florida
3 Yrs Experience
Licensed in MN FL
Golden Gate University School of Law

Florida Licensed Attorney & CFA® Charterholder Specializing in Immigration, Taxation, Aviation, Bankruptcy, Estate & Succession, and Business & Civil Litigation

Misi A. - Securities Lawyer in Minnesota
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Member Since:
December 20, 2023

Misi A.

Senior Counsel
Free Consultation
Inver Grove Heights
19 Yrs Experience
Licensed in MN
Mitchell Hamline College of Law

As a Senior Legal Professional, I have 16+ years experience with extensive background in commercial transactions and as a corporate generalist. I am well versed in contracts lifecycle, risk assessment, compliance, and healthcare regulations. My competencies extend to contract management and detailed project management skills. I have leveraged my legal contracts expertise to mitigate organizational risk, reduce costs, and drive multi-million-dollar revenue increases.

Nichole M. - Securities Lawyer in Minnesota
View Nichole
Member Since:
March 19, 2024

Nichole M.

Solo Practitioner
Free Consultation
Midlothian, Texas
3 Yrs Experience
Licensed in MN TX
UNIVERSITY OF DENVER STURM COLLEGE OF LAW

Ms. Melton-Mitchell is a seasoned executive that has obtained a law degree and is practicing law as a second career. She has spent over 25 years in the health care industry and is well versed in health law, contract law, financial law, trusts and estates, M&A and other types of transactional law. She maintains evening and weekend hours to allow clients flexibility in connecting with her around their schedule.

Song L. - Securities Lawyer in Minnesota
View Song
Member Since:
April 15, 2024

Song L.

Business and Real Estate Lawyer
Free Consultation
Minnesota
30 Yrs Experience
Licensed in MN
University of Minnesota Law School

In her professional life, Song Lo brings in a depth experience as general counsel to various companies and organizations in business and the real estate arena. Over the last 26 years, she has advised both companies and individuals in the areas of corporate investments, real estate development and contracts across multiple markets.Song has extensive experience in understanding how the law impacts companies wherever they might be in their age and stage. Important to investor and entrepreneur efforts, she has advised in the acquisition and transfer of shareholder stocks and assisted in the restructuring of private companies. Her specific areas of expertise are in corporate organization, mergers and acquisitions, employment, investments and real estate development. Specifically in real estate, Song participated in all aspects of development including pre-development and successfully gaining entitlements necessary for residential, senior housing and commercial projects. She holds experience both as legal counsel and as co-developer of real estate development projects. She was an owner and developer of senior cooperatives in Minnesota, with the LifeStyle Communities Group, promoting innovation and active living for all seniors. And, she brings all of this experience to the table at Raven Enterprise Group and RJP Development to enhance and support its services to consult and develop meaningful real estate development projects.

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

Jocelyn W.

Attorney
Free Consultation
Venice, CA
13 Yrs Experience
Licensed in MN IL
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.

Angela B. - Securities Lawyer in Minnesota
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Member Since:
June 1, 2024

Angela B.

Corporate Counsel
Free Consultation
St. Paul, Minnesota
4 Yrs Experience
Licensed in MN TX
Mitchell Hamline School of Law

Angela is a business and transactional lawyer counseling clients in multiple facets of their business. Her practice includes commercial contracts, SaaS and technology licensing, intellectual property licensing, real estate contracts, and general business counseling.

Kendra B. - Securities Lawyer in Minnesota
View Kendra
Member Since:
May 11, 2026

Kendra B.

Business Lawyer
Free Consultation
Stillwater, MN
13 Yrs Experience
Licensed in MN
William Mitchell College of Law

My law practice focuses on transactional business law and serving as outside general counsel for small businesses in Minnesota. I provide practical counseling on a range of day-to-day legal matters and prepare contracts tailored to meet your specific business needs.

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Securities Legal Questions and Answers

Securities

Fundraising Contract

New York

Asked on May 25, 2025

Can I legally raise funds through cryptocurrency for my startup?

I am an entrepreneur looking to raise funds for my startup through an Initial Coin Offering (ICO), a form of cryptocurrency crowdfunding. However, I am unsure about the legal implications and regulations surrounding this method of fundraising. I want to ensure that I am in compliance with relevant laws and regulations to avoid any legal issues in the future.

John B.

Answered Jun 3, 2025

Raising funds through an ICO is legally possible —but only if you navigate securities laws, money‐transmission rules and (often) state “blue‐sky” requirements. Below is a roadmap to the U.S. legal framework you must consider; I’ve included statute citations and SEC guidance where relevant. 1. Determine Whether Your Token Is a “Security” Key Point: If your token meets the definition of an “investment contract” under U.S. law, it’s a security. Selling a security to U.S. investors without registration (or a valid exemption) violates the Securities Act of 1933 and the Securities Exchange Act of 1934. Conduct a “Howey analysis” for your token. Retain counsel to document why—factually and legally—you believe it’s not a security (if that’s your position). But be prepared that the SEC will likely view it as a security offering. 2. If It’s a Security, Register or Find an Exemption Choose the exemption that best fits (e.g., 506(c) if you have only accredited investors and want to market openly). File Form D for Reg D, or engage an SEC-registered crowdfunding portal for Reg CF, or go through Form 1-A for Reg A+. Each has different reporting burdens and limitations. 3. State (“Blue‐Sky”) Securities Laws Even if you rely on a federal exemption like Reg D Rule 506, most states impose their own registration or notice filings. For each state where you permit a sale, either file the required Form U-2 (for 506 offerings) or register/claim exemption. Most startups rely on the uniform notice procedure under 506 to simplify compliance. 4. Anti-Money Laundering (AML) / Know-Your-Customer (KYC) Rules Even if you structure your ICO as a non-security (which is rare), you must still comply with anti-money-laundering laws if your token is considered a “virtual currency” under FinCEN’s rules. If you accept USD (or other fiat) in exchange for tokens, register as an MSB with FinCEN, build out an AML compliance program, obtain state money-transmitter licenses where required (e.g., New York BitLicense), and integrate a robust KYC/AML vendor at token sale. I have been heavily involved in this space since 2017 - feel free to reach out John@BenemeritoLaw.com

Read 1 attorney answer>

Securities

Investment Contract

California

Asked on Jul 10, 2023

Investment contract legal requirements?

I am interested in investing in a business opportunity, and the company has presented me with an investment contract. I want to ensure that the contract I am signing is legitimate and meets all legal requirements. I am looking for guidance from a lawyer to ensure that the contract is fair and legally binding.

Thaddeus W.

Answered Aug 11, 2023

Happy to discuss, but it seem like maybe you want to post a formal request for bids.

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.

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

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>
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Clients Rate Lawyers 4.9 Stars
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