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Securities Lawyers for Providence, Rhode Island

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Meet some of our Providence Securities Lawyers

Elizabeth W. on ContractsCounsel
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5.0 (5)
Member Since:
December 11, 2021

Elizabeth W.

Legal Counsel
Free Consultation
Minneapolis, MN
7 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.

Nicholas M. on ContractsCounsel
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5.0 (29)
Member Since:
June 1, 2023

Nicholas M.

President/Attorney
Free Consultation
Providence, Rhode Island
14 Yrs Experience
Licensed in 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.

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Meet some of our other Securities Lawyers

Taren C. on ContractsCounsel
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5.0 (2)
Member Since:
December 4, 2023

Taren C.

Attorney
Free Consultation
Royal Palm Beach, Florida
4 Yrs Experience
Licensed in FL
Nova Southeastern University

The Castro Law Firm, located in Royal Palm Beach, Florida, provides a range of legal services to clients that focus on probate, estate plannnig and business matters. Our staff is fluent in Spanish. We offer free consultations and virtual appointments.

Kenneth G. on ContractsCounsel
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4.7 (1)
Member Since:
November 25, 2023

Kenneth G.

Partner
Free Consultation
Washington, DC
17 Yrs Experience
Licensed in DC, PA
Georgetown University

I build legal solutions which create extraordinary value for my clients. I am a partner in Alliance Law Firm International PLLC in Washington. My specialties include tax, wealth management, estates, corporations/business, venture capital, private equity, and natural resources. Prior to practicing law, I had a decade-long career in international private equity and investment banking. I have worked on building and managing companies in technology, energy, materials, retail, and natural resources. I am licensed to practice in the District of Columbia and Pennsylvania. I have degrees from the Georgetown University Law Center (JD) and the Yale School of Management (MBA).

Alexandra I. on ContractsCounsel
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Member Since:
November 17, 2023

Alexandra I.

Contract Attorney
Free Consultation
Hollywood, California
3 Yrs Experience
Licensed in CA
Southwestern Law School

I am a licensed attorney in California specializing in consumer contract law. My areas of expertise include contract law and employment law, including independent contractor compliance, work-for-hire compliance and general corporate law. I appreciate getting to know my clients and enjoy providing legal guidance, whether they are large corporations, young start-ups about to take off, or just one person in need of legal advice. Some of my recent work has included the drafting of corporate purchase and sale agreements, independent contractor agreements, nondisclosure agreements, and software as a service (SaaS) agreements. I am well-versed in intellectual property law and have successfully obtained trademarks for former clients. My passion for learning, reading and writing has proved advantageous in my practice. I complete continuing education courses to stay current on industry best practices. I take great satisfaction in offering precise and helpful legal advice free from fancy terminology. I look forward to discussing your particular needs and supporting you in achieving your objectives. Please get in touch to learn more about my approach and see whether we are a good fit.

Jana B. on ContractsCounsel
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Member Since:
November 21, 2023

Jana B.

Commercial & Privacy Lawyer
Free Consultation
San Francisco
18 Yrs Experience
Licensed in CA
Universtiy of San Francisco

I am a Silicon Valley tech lawyer with over 13 years of in-house experience and additional years in BigLaw. I provide tech licensing, data privacy, employment, international expansion, go to market, and other corporate and commercial legal services to clients in software, SaaS, bio-tech, cryptocurrency, financing, and construction business. I currently run my own practice concentrating on transactional, commercial, corporate or employment matters. Prior to starting my own practice, I joined as the first in-house counsel to lead the global legal strategy to bring tech products to market, increase revenue, decrease exposure to risk, and raise venture funding for HashiCorp Inc., currently an unicorn technology company with evaluation over $5 billion and venture funding over $350 million; Sysdig Inc., a technology company with venture funding of $195 million; and Anaplan Inc., currently a publicly traded company on the US Stock Market. Furthermore, I acted as in-house counsel advising leading technology enterprise companies such as HP, VMware, and Genentech and currently act as member of strategic advisory boards to several technology companies located globally

Andrew R. on ContractsCounsel
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Member Since:
November 28, 2023

Andrew R.

Staff Attorney
Free Consultation
New York, NY
2 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.

Artem (Art) V. on ContractsCounsel
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Member Since:
December 4, 2023

Artem (Art) V.

Attorney
Free Consultation
New York
2 Yrs Experience
Licensed in NY
Fordham University School of Law

Art is an attorney licensed to practice in New York, specializing in business and corporate law. His expertise encompasses a wide range of services, including corporate governance, finance transactions, contractual issues, non-disclosure agreements, intellectual property, and privacy matters. Art's professional experience also includes advising institutional lenders in the commercial real estate sector on financing, restructuring, and workout projects. Passionate about supporting the growth and development of start-ups, as well as small and mid-sized corporations, Art offers customized legal solutions for a broad spectrum of concerns related to corporate matters, contracts, and general business affairs. His approach is tailored to meet the unique needs of each client, ensuring comprehensive support in navigating the complexities of the legal landscape.

Tayane O. on ContractsCounsel
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Member Since:
December 4, 2023

Tayane O.

Attorney
Free Consultation
Boca Raton, Florida
7 Yrs Experience
Licensed in FL
Nova Southeastern University, Shepard Broad College of Law

Tayane M. Oliveira is a founding partner at Vannucci Oliveira. With a concentration in family law, Tayane is renowned for her commitment to providing compassionate yet powerful representation to her clients. Her experience as an associate attorney at Brodzki Jacobs & Brook, coupled with her unwavering dedication to her clients' welfare, prepared her for her current role at Vannucci Oliveira. Tayane's academic achievements are a testament to her rigorous intellectual curiosity and dedication to her profession. She graduated with a Bachelor of Arts degree in Criminal Justice, supplemented by a minor in Psychology, from Florida Atlantic University in 2013. The culmination of her academic pursuit came in 2017, when she earned her Juris Doctor degree, cum laude, from the esteemed Nova Southeastern University's Shepard Broad College of Law. Before co-founding Vannucci Oliveira, Tayane honed her skills in the heat of the courtroom, representing clients in an array of general civil litigation matters. This diversified exposure instilled in her an ability to tackle complex legal challenges, a skill she employs to benefit her clients in family law. Originally from Brazil, Tayane brings an international perspective to her practice. When not delving into legal briefs or advocating for her clients, she indulges in travelling, reading, spoiling her puppies, and exercising, activities that not only rejuvenate her but also provide her with a broader perspective on the world and her practice. *Supreme Court Certified Portuguese Speaking Mediator

McCoy S. on ContractsCounsel
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Member Since:
December 4, 2023

McCoy S.

Founding Attorney
Free Consultation
Portland, Oregon
33 Yrs Experience
Licensed in CA, NY, 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.

Securities Legal Questions and Answers

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.

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

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

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>
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