Securities Lawyers for Missouri

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Meet some of our Missouri Securities Lawyers

Garrett M. - Securities Lawyer in Missouri
View Garrett
5.0 (12)
Member Since:
August 30, 2021

Garrett M.

Attorney
Free Consultation
Dexter, MO
10 Yrs Experience
Licensed in MO TX
University of Texas

I am a solo practitioner with a practice mostly consisting of serving as counsel to start-ups and small business owners and investors. With a practical business background, I aim to bring practical, business minded solutions to my client's legal problems and pride myself on efficient yet effective work.

Recent  ContractsCounsel Client  Review:
5.0

"Garrett was extremely professional, attentive, and adhered to the very tight deadlines we had set. I would like to highlight that, in addition to completing the task assigned to him, he took the initiative to research all parties involved in the contract to provide us with the best possible support. We are very satisfied and look forward to working with him again."

Lolitha M. - Securities Lawyer in Missouri
View Lolitha
5.0 (3)
Member Since:
October 27, 2021

Lolitha M.

Managing Prinicipal
Free Consultation
Homewood, IL
5 Yrs Experience
Licensed in MO AL
University of Illinois at Chicago Law School

Small firm offering business consultation and contract review services.

Recent  ContractsCounsel Client  Review:
5.0

"Did great. She was responsive even after hours, will use again!!!"

Drew B. - Securities Lawyer in Missouri
View Drew
4.6 (10)
Member Since:
July 1, 2021

Drew B.

Managing Member
Cleveland, Ohio
28 Yrs Experience
Licensed in MO OH
Saint Louis University

Drew is an entrepreneurial business attorney with over twenty years of corporate, compliance and litigation experience. Drew currently has his own firm where he focuses on providing outsourced general counsel and compliance services (including mergers & acquisitions, collections, capital raising, real estate, business litigation, commercial contracts and employment matters). Drew has deep experience counseling clients in healthcare, medical device, pharmaceuticals, information technology, manufacturing, and services.

Recent  ContractsCounsel Client  Review:
4.7

"Hired for a settlement contract to be written out in legal manner. Ammended contract as well to add clauses that we had not written.Efficient, professional. Said the time-frame would be about 4 business days and he did deliver on that in fact worked through the weekend and mlk day. Offered one final revision as well as a call to finalize language of contract. The final document delivery was more than we expand also he went above and beyond to deliver extra documents we may need. Would highly recommend."

Mark P. - Securities Lawyer in Missouri
View Mark
4.4 (11)
Member Since:
July 21, 2023

Mark P.

Owner
Free Consultation
Bastrtop, TX
11 Yrs Experience
Licensed in MO KS, NE, TX
University of Missouri - Kansas City

I represent a diverse mix in a vast array of specialties, including litigation, contracts, compliance, business and financial strategies, and emerging industries. Credit for this foundation of strength goes to those who taught me. Skilled professors and professionals fostered my powerful educational and professional background. Prior to law school, I earned dual Bachelor’s degrees in Business Administration & Accounting from Peru State College. I received a Master of Business Administration degree from Chadron State College. My ambitions did not stop there. While working full time as a Senior Accountant for the University of Missouri, Columbia, I achieved the lifelong goal of becoming a licensed Certified Public Accountant (CPA). Mizzo provided excellent opportunities and amazing experiences. Managing over $50M in government and private research funding was a gift. As a high ranking professional in the Department of Research, I was given priceless insight into the greatest scientific, journalistic, medical, and legal minds in the world. My passion for successful growth did not, and has not stopped. I graduated summa cum laude (top 3%) with a Doctorate in Law, emphasizing in urban, land use and environmental/toxic tort law from the University of Missouri, Kansas City. This success lead to invaluable experiences of serving as Hon. Brian C. Wimes' judicial clerk for the U.S. District Court for the W. D. of Missouri, as a staff editor/writer for UMKC Law Review, and as a litigation and transactional attorney with Lathrop GPM (fka Lathrop & Gage). My professional and personal network is expansive, with established relationships throughout the U.S. and overseas. Although I engage in legal practice all over the country, I maintain law licenses in Missouri, Kansas, and Nebraska. Federally, I hold licenses in the W.D. and E.D. of Missouri and the District of Nebraska. To offer extra value, efficiency, and options, I maintain a CPA license and am obtaining a real-estate brokerage license.

Recent  ContractsCounsel Client  Review:
5.0

"I contacted Parachini Law after I had sent multiple unanswered information requests a third party. Mark not only send out a record request to the address specified, but also sent out additional requests at other possible business addresses to ensure the request was received. As a result, I finally received the information I was looking for. The firm was very professional to work with."

Braden P. - Securities Lawyer in Missouri
View Braden
Member Since:
August 18, 2020

Braden P.

Partner
Free Consultation
Kansas City, MO
24 Yrs Experience
Licensed in MO KS
University of Kansas School of Law

Braden Perry is a corporate governance, regulatory and government investigations attorney with Kennyhertz Perry, LLC. Mr. Perry has the unique tripartite experience of a white-collar criminal defense and government compliance, investigations, and litigation attorney at a national law firm; a senior enforcement attorney at a federal regulatory agency; and the Chief Compliance Officer/Chief Regulatory Attorney of a global financial institution. Mr. Perry has extensive experience advising clients in federal inquiries and investigations, particularly in enforcement matters involving technological issues. He couples his technical knowledge and experience defending clients in front of federal agencies with a broad-based understanding of compliance from an institutional and regulatory perspective.

Jacob O. - Securities Lawyer in Missouri
View Jacob
Member Since:
February 14, 2022

Jacob O.

Contracts Manager
Free Consultation
Iowa City
6 Yrs Experience
Licensed in MO
University of Iowa - Law

I am bar certified in the lovely state of Missouri. I received my J.D. from The University of Iowa College of Law (2019) and my B.A. in Political Science from BYU-Idaho (2015).

Stephanie C. - Securities Lawyer in Missouri
View Stephanie
Member Since:
March 8, 2022

Stephanie C.

Attorney
Free Consultation
Niceville, FL
6 Yrs Experience
Licensed in MO AL
Southern University Law Center

Alabama & Missouri Licensed Attorney offering Freelance Services for Wills, Trusts, Probate, Family Law Documents, Criminal Matters, and Real Estate Closings.

Neilson B. - Securities Lawyer in Missouri
View Neilson
Member Since:
March 26, 2022

Neilson B.

Managing Attorney
Free Consultation
Charlotte, NC
7 Yrs Experience
Licensed in MO IL, NC
Shepard Broad School of Law

Hi, I am the founding member of Son of Brown Law Firm, based in Charlotte North Carolina. Our firm practices in the areas of Business Transactions, Cannabis/Hemp, Personal Injury and Immigration Law.

Michael V. - Securities Lawyer in Missouri
View Michael
Member Since:
May 5, 2022

Michael V.

Corporate Counsel
Free Consultation
Iowa
11 Yrs Experience
Licensed in MO
Saint Louis University

Seven years experience reviewing and drafting corporate and transactional documents, including NDAs, LLC operating agreements, MSAs, employment agreements, etc.

John C. - Securities Lawyer in Missouri
View John
Member Since:
August 16, 2022

John C.

Attorney
Free Consultation
Leawood, Kansas
45 Yrs Experience
Licensed in MO KS
U.M.K.C Law School

Licensed to practice law in the states of Missouri and Kansas. Have been licensed to practice law for 44 years. Have been AV rated by Martindale Hubbel for almost 30 years.

William W. - Securities Lawyer in Missouri
View William
Member Since:
June 6, 2023

William W.

Principal Attorney
Free Consultation
St. Louis
6 Yrs Experience
Licensed in MO
Saint Louis University School of Law

My name is Will, and I'm the Principal Attorney at Accelerate Law STL, a startup attorney who helps entrepreneurs and small businesses with everything from formation to IPO. Whether your small to mid-sized business needs help drafting or reviewing contracts, securing intellectual property, complying with government regulations, or even streamlining your business' internal policies, I'm prepared to help.

Scott M. - Securities Lawyer in Missouri
View Scott
Member Since:
August 2, 2023

Scott M.

Managing Attorney
Free Consultation
Kansas City
13 Yrs Experience
Licensed in MO KS, TX
Washington University in St. Louis

Skilled/versatile attorney (and RE broker) with 10+ years' experience and diverse background in real estate, business law, injury litigation, estate planning. Select Experience: • Former General Counsel (and current Of Counsel) for a prominent real estate developer touching on all aspects of business in a hands-on and advisory role, including Lease and PSA contract negotiations; • Years of successful injury litigation practice as associate and solo (primarily plaintiff, some defense) with multiple six-figure settlements; • Years of expertise in business law for a variety of industries as well as estate planning for small to mid-size entities.

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Securities Legal Questions and Answers

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

Subscription Agreement

Florida

Asked on Oct 20, 2026

I was considering a private placement into a public company. we spoke about pricing and I wired $125k as the company was poushing for capital. I never received a subscription agreement for 8 months from the company which I then never signed because the SEC investigation caused the stock to drop considerably over 8 months. The company Atty tried to get me to sign subscription agreement and an accredited investor packet. I never didThe class action and SEC investigation ended about 2 years later but we never came to an agreement. The $125k I see booked in their public filings under equity but no details other than that. I want my money back? did the company violate any securities laws by not return ng the money when there was no subscription agreement. I am a Florida resident

I was considering a private placement into a public company. we spoke about pricing and I wired $125k as the company was poushing for capital. I never received a subscription agreement for 8 months from the company which I then never signed because the SEC investigation caused the stock to drop considerably over 8 months. The company Atty tried to get me to sign subscription agreement and an accredited investor packet. I never didThe class action and SEC investigation ended about 2 years later but we never came to an agreement. The $125k I see booked in their public filings under equity but no details other than that. I want my money back? did the company violate any securities laws by not return ng the money when there was no subscription agreement. I am a Florida resident

Kenneth G.

Answered Nov 10, 2026

Holding your money is not, by itself, a securities law violation. The securities laws regulate how the company offered and sold the stock. A company that takes an investor's money before delivering offering documents or confirming accredited investor status has put its private placement exemption at risk. If no exemption applied, Section 12(a)(1) of the Securities Act gives the buyer a right to rescind, but that claim must be brought within one year of the violation and I think it has expired. If the company knew about the SEC investigation when it asked you for capital and did not tell you, you may also have a fraud claim under Rule 10b-5 and the Florida Securities and Investor Protection Act (Chapter 517). Those claims generally must be filed within two years after you discovered the facts and no later than five years after the violation. You learned of the investigation more than two years ago, so timing is a serious obstacle there too. Your stronger claim is probably a state-law claim that no agreement was ever completed and the company therefore has no basis to keep your funds (unjust enrichment or money had and received). Expect the company to argue the opposite, that you agreed on price orally, paid, and became a shareholder. An agreement to buy stock does not have to be in writing to be enforceable, so the missing subscription agreement helps you but does not decide the question. The equity entry in the public filings suggests the company treats your payment as a completed or pending stock purchase. If that is right, the company owes you shares. If it is wrong, it owes you a refund. It cannot keep the money and give you nothing. Florida generally allows four years for unjust enrichment and oral contract claims, and the period may run from the date of your wire. On your timeline, at least two years and eight months have passed, and the law of the company's home state may also apply. I would gather the wire confirmation, every email and text with the company and its attorney, and the page of the filing showing the entry, and I would ask the company's transfer agent whether shares were issued in your name. I would not sign the subscription agreement or investor packet now without advice. A securities attorney should review the documents and send a written demand soon. This is general information based on the facts in your question and is not legal advice.

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

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

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>
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