Securities Lawyers for Syracuse, New York

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Meet some of our Syracuse Securities Lawyers

Joshua S. - Securities Lawyer in Syracuse, New York
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5.0 (5)
Member Since:
September 14, 2023

Joshua S.

Managing Partner
Free Consultation
New York, New York
20 Yrs Experience
Licensed in NY
Boston University

Joshua is an experienced attorney with deep expertise in finance, corporate, and business law. He offers practical legal solutions and personal service. As Managing Partner of Soloway Group PC, he advises startups, growing companies and investment funds on key issues, from formation to fundraising, stock issuances, trademarks and general business. He started out structuring funds and transactions at PwC before launching his own firm in 2009. He has been a partner in several New York law firms and has founded several companies including a banking firm, a real estate business, and a Cleantech company. Joshua has also served as Chief Legal Officer and Chief Strategy Officer of several companies in the tech, real estate, consulting, and sustainability industries. Prior to law school he was an early employee at a SoftBank-backed startup until it’s acquisition. Over the years, Joshua has helped many clients to launch, finance and grow successfully.

Recent  ContractsCounsel Client  Review:
5.0

"Very competent attorney who gets to the point quickly and cheerfully."

Joshua B. - Securities Lawyer in Syracuse, New York
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5.0 (11)
Member Since:
September 19, 2023

Joshua B.

Founder
Free Consultation
Austin, Texas
24 Yrs Experience
Licensed in NY TX
University of Texas

Josh Bernstein has been serving real estate and corporate transactional clients since 2002. His experience is varied, and he enjoys working on and puzzling out novel and complex corporate and real estate matters. Josh’s experience includes, among other things, the following: representation of public companies in connection with SEC reporting and compliance work (proxies, 10-K’s; 10-Q’s; 8-K’s, etc.); representation of public and private company securities issuances (including private placements, and other similar offerings); assistance in structuring and drafting joint ventures, both for investors and operating partners, and including both real estate and corporate ventures; handling public and private company mergers and acquisitions; and asset sales and dispositions; assisting clients, big and small, with real estate acquisitions, sales and financings; managing large-scale and multi-state real estate portfolio acquisitions, dispositions and financings; complex condominium creation, structuring and governance work, including: commercial condominiums, use of condominiums as a land planning tool, wholesale condominium property acquisitions and dispositions, and rehabilitating failed or faulty condominium legal structures to make ready for sale; development of restrictive covenants and owners’ association documents for master-planned communities; compliance with federal statutes governing real estate sale and development (including, without limitation, the Interstate Land Sales Full Disclosure Act, the Housing for Older Persons Act, and the Americans with Disabilities Act); representation of real estate lenders, for both improved and unimproved property, and including numerous construction financings secured by real estate; assistance with commercial leasing; from both the landlord and tenant side, and including condominium leasing; training residential home and condominium sales staff for compliance with applicable local and federal law; and workouts of all kinds. When he’s not busy lawyering, Josh may be found watching 80’s commercials, flying a single-engine plane, playing poker, or trying to be a good dad.

Recent  ContractsCounsel Client  Review:
5.0

"Josh has been extremely helpful sorting through issues with a tenant."

Muhammad Yar L. - Securities Lawyer in Syracuse, New York
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5.0 (4)
Member Since:
November 16, 2023

Muhammad Yar L.

Technology Lawyer
Free Consultation
Pakistan
8 Yrs Experience
Licensed in NY
University of London

I am Muhammad Yar Lak, a New York-licensed technology attorney with extensive experience advising startups, founders, growing businesses, established companies (including Fortune 100 clients), and individuals on the legal matters that shape how they operate, grow, and protect what they have built. My practice covers business relationships, operational and contractual risk, and corporate structure, including the formation and structuring of LLCs and corporations. I hold a law degree from Georgetown University Law Center and am admitted to practice in New York. I am also CIPP/US certified, reflecting my commitment to privacy and data as core concerns in modern business and technology law. I practice as a Senior Associate with Gogo & Moore, a technology-focused law firm with offices in Aspen, Atlanta, and New York. I have built my practice around the industries defining the next decade, including technology, fintech, artificial intelligence, blockchain and digital assets, and e-commerce, while also serving clients in healthcare, manufacturing, real estate, and entertainment. Wherever my clients are building, I am there. My approach is simple: good legal counsel should empower people, not slow them down. I work hard to understand what my clients are actually trying to accomplish and help them get there. If that sounds like the kind of lawyer you are looking for, I would be glad to connect.

Recent  ContractsCounsel Client  Review:
5.0

"Muhammad did great work very quickly and was responsive to my time needs at his own expense. I am grateful."

Artem V. - Securities Lawyer in Syracuse, New York
View Artem
5.0 (1)
Member Since:
December 4, 2023

Artem V.

Attorney
Free Consultation
New York; Texas
6 Yrs Experience
Licensed in NY TX
Fordham University School of Law

Attorney licensed in New York and Texas, with experience in real estate, corporate and finance transactions, contracts, intellectual property, and privacy matters. Artem provides practical, business-focused legal support to startups and small to mid-sized companies, delivering solutions across corporate, commercial, and general business needs.

Recent  ContractsCounsel Client  Review:
5.0

"Working with Artem was a great experience from start to finish. He was professional, approachable, and incredibly helpful, always making sure my questions were answered and that I fully understood each step of the process. I truly appreciated his time, patience, and expertise. It was a pleasure working with him, and I would not hesitate to recommend him to others or work with him again in the future."

Christopher X. - Securities Lawyer in Syracuse, New York
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Member Since:
September 15, 2023

Christopher X.

Attorney
Free Consultation
Staten Island, New York
5 Yrs Experience
Licensed in NY NJ
Hofstra University School of Law

Recent law school graduate with an undergraduate degree in biomedical engineering degree passionate about the intersectionality of law and life sciences. Admitted to New York and New Jersey Bar. Ability to add value in a pharmaceutical or biotechnology entity and provide a unique perspective to multiple disciplines.

Alyssa R. - Securities Lawyer in Syracuse, New York
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Member Since:
November 11, 2025

Alyssa R.

Principal Attorney
Free Consultation
New York, NY
5 Yrs Experience
Licensed in NY
New York Law School

Alyssa M. Reid is a New York–based transactional attorney advising founders, creatives, and companies on commercial agreements, intellectual property, and strategic business matters. Her practice focuses on drafting, reviewing, and negotiating a wide range of contracts, including service agreements, licensing and IP deals, publishing agreements, and talent/influencer contracts. Alyssa is known for combining strong legal analysis with a practical, business-minded approach. She helps clients understand what they’re signing, identify risks, and negotiate terms that protect their long-term interests, particularly around ownership, revenue, and control. She represents clients across media, entertainment, technology, sports, and consumer industries, serving as a trusted advisor from early-stage growth through more complex transactions. Prior to founding AMR Law, PLLC, Alyssa practiced at Sidley Austin LLP and later served as outside general counsel to startups and entrepreneurs. She is licensed to practice in New York and holds a J.D. from New York Law School and a B.A. from New York University.

Angela P. - Securities Lawyer in Syracuse, New York
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Member Since:
October 4, 2023

Angela P.

Attorney
Free Consultation
NY & FL
23 Yrs Experience
Licensed in NY
New York Law School

I am an experienced New York Real Estate Attorney and Florida Licensed Title Agent with extensive knowledge in the Real Estate industry. With more than 20 + years and over 2500 closed transactions, I have become an expert at accurately assessing realtors', lenders' & investors' needs and proposing/implementing viable solutions that bring value to them. I focus on real estate settlement services, education, and training of real estate professionals. I am also skilled working with high-end clients, managing large and complex projects, building solid relationships, effectively and creatively solving complex issues, producing results under stress all with impeccable customer service.

Francine L. - Securities Lawyer in Syracuse, New York
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Member Since:
November 15, 2023

Francine L.

Legal Counsel
Free Consultation
New York, New York
38 Yrs Experience
Licensed in NY
Quinnipiac University School of Law

I am a multi-degreed attorney with more than 17 years of criminal trial experience and more than 15 as a general legal consultant. I'm licensed to practice in New York State.

Andrew R. - Securities Lawyer in Syracuse, New York
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Member Since:
November 28, 2023

Andrew R.

Staff Attorney
Free Consultation
New York, NY
4 Yrs Experience
Licensed in NY
Benjamin N. Cardozo School of Law, Yeshiva University

I'm a tenants rights attorney based (and licensed) in New York. My expertise includes filing complaints and responsive pleadings as well as reviewing leases and contracts and motion practice.

McCoy S. - Securities Lawyer in Syracuse, New York
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Member Since:
December 4, 2023

McCoy S.

Founding Attorney
Free Consultation
Portland, Oregon
35 Yrs Experience
Licensed in NY CA, OR, WA
University of Virginia

P. McCoy Smith is the Founding Attorney at Lex Pan Law LLC, a full-service technology and intellectual property law firm based in Portland, Oregon, U.S.A and Opsequio LLC, an open source compliance consultancy. Prior to his current position, he spent 20 years in the legal department of a Fortune 50 multinational technology company as a business unit intellectual property specialist; among his duties was setting up the free & open source legal function and policies for that company. He preceded his in-house experience with 8 years in private practice in a large New York City-based boutique intellectual property law firm, working simultaneously as a U.S. patent litigator and U.S. patent prosecutor. He was also a patent examiner at the U.S. Patent & Trademark Office prior to attending law school. He is licensed to practice law in Oregon, California & New York and to prosecute patent applications in the U.S. Patent & Trademark Office; he is also a registered Trademark and Patent Agent with the Canadian Intellectual Property Office. He has degrees from Colorado State University (Bachelor of Science, Mechanical Engineering, with honors), Johns Hopkins University (Masters of Liberal Arts) and the University of Virginia (Juris Doctor). While in private practice, and continuing into his in-house career, he taught portions of the U.S. patent bar exam for a long-standing and well-known patent bar exam preparation course, and from 2014-2020 was on the editorial board of the Journal of Open Law, Technology & Society (JOLTS), and starting in 2023 will be on the editorial board of the American Intellectual Property Law Quarterly Journal (AIPLAQJ). He is the author or co-author of chapters on open source and copyright and patents in “Open Source Law, Policy & Practice” (2022, Oxford University Press). He lectures frequently around the world on free and open source issues as well as other intellectual property topics.

Adam T. - Securities Lawyer in Syracuse, New York
View Adam
Member Since:
December 7, 2023

Adam T.

Business Lawyer
Free Consultation
Seattle, Washington
14 Yrs Experience
Licensed in NY DC, NC, WA
Duke Law

Legal professional with 10+ years of Fortune 500 in-house and AmLaw 50 law firm experience in crafting multi-pronged litigation, regulatory, and public policy strategies and negotiating pioneering, high-stakes global cloud services and digital content distribution deals.

Moshe G. - Securities Lawyer in Syracuse, New York
View Moshe
Member Since:
December 11, 2023

Moshe G.

Director corporate and M&A
Free Consultation
Miami
14 Yrs Experience
Licensed in NY
Ono Academic College (Israel)

Motivated and self-starting Corporate and Commercial Counsel with over 12 years of experience in providing strategic legal solutions. Exceptional analytical and negotiation skills, focusing on Cyber Security, Finance, and Software. Proven track record of success in handling complex M&A matters. Expertly led negotiations and full five M&A transactions from start to finish (over $100M), resulting in successful integration including raising capital on Reg. A and Reg. D exemptions. Drafted, reviewed and negotiated commercial agreements including, Restructure Agreements Partnership Agreements, Asset Purchase Agreements, Stock Purchase Agreements, Restructure Agreements, Loan conversion Agreements, Debt Conversion Agreements. Provided business and capital strategy, such as restructuring of companies, due diligence, and SEC filings. Proven expertise in M&A and equity debt finance, with a track record of handling diverse clients. Provided strategic guidance on corporate governance, compliance, fiduciary duties, and ethical issues

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Securities Legal Questions and Answers

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

Private Placement Subscription Agreement

New York

Asked on Nov 10, 2024

Can you please explain the key provisions and considerations in a Private Placement Subscription Agreement?

I am in the process of investing in a private placement offering and have been asked to sign a Private Placement Subscription Agreement. While I understand that this agreement outlines the terms and conditions of my investment, I would like to have a better understanding of the key provisions and considerations that I should be aware of before signing. I want to ensure that I am fully informed about my rights, obligations, and any potential risks associated with this investment opportunity.

Danny J.

Answered Dec 26, 2024

Here are the top 5 most important provisions in a Private Placement Subscription Agreement: 1. Investment Details (number of shares/units, price, total amount) 2. Investor Representations and Warranties (accredited investor status, risk understanding, etc.) 3. Company Representations and Warranties (accuracy of information, compliance, etc.) 4. Transfer Restrictions (limitations on selling or transferring securities) 5. Use of Proceeds (how the company will use the invested funds) It's important to note that there are at least up to 12 key provisions to consider in a comprehensive Private Placement Subscription Agreement. In addition, each agreement can have unique terms that require careful consideration unique to the deal or industry it's for. The specific language used in these clauses can significantly impact your rights and obligations as an investor. Given the complexity of these agreements and the potential risks involved in private placements, it would be prudent to have a thorough legal review before signing. As an experienced securities attorney, I could: 1. Analyze the specific terms of your agreement 2. Explain how each provision may affect your investment 3. Identify any unusual or potentially unfavorable terms 4. Advise on negotiating more favorable conditions, if necessary 5. Ensure the agreement complies with relevant securities laws Would you like to discuss your specific Private Placement Subscription Agreement in more detail to ensure you're making a fully informed decision about this investment opportunity?

Read 1 attorney answer>

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

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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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