Securities Law Compliance Lawyers for Houston, Texas

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Meet some of our Houston Securities Law Compliance Lawyers

Lorraine C. - Securities Law Compliance Lawyer in Houston, Texas
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5.0 (6)
Member Since:
October 10, 2024

Lorraine C.

Managing Partner
Free Consultation
Houston, Texas
21 Yrs Experience
Licensed in TX
The University of Houston

Coats Business Consulting provides a la carte commercial and legal advisory services for private clients, specializing in Start-Ups and small to medium-sized businesses. Services offered include: Start-Up Consulting (Strategic Planning, Investor Pitch Decks, Commercial Filings, Business Organization) Corporate Document Production (Operating Agreements, Shareholder Agreements, Human Resources, including Employment and Independent Contractor Agreements) Contract Interpretation (Drafting, Review, and Negotiation) Corporate Compliance (Federal and State Regulations) Management Consulting (Goal Setting, Revenue Generation, Operations and Process Consulting, Personnel Hiring, and Evaluation) Commercial Real Estate Transactions (Purchase and Sales Agreements, Leases)

Recent  ContractsCounsel Client  Review:
5.0

"Lorraine was AMAZING! I was intimidated having to update my business agreement document, but Lorraine made the entire process super easy and was extremely knowledgable in everything I needed help with. Definitely recommend hiring her!"

Sarah T. - Securities Law Compliance Lawyer in Houston, Texas
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5.0 (30)
Member Since:
January 12, 2025

Sarah T.

Attorney
Free Consultation
Fort Worth, Tx
16 Yrs Experience
Licensed in TX
Texas Wesleyan University School of Law

Sarah has been practicing law since 2010. Prior to becoming an attorney, Sarah worked in the insurance industry for 5 years. Sarah's practice includes civil litigation, contracts, and family matters.

Recent  ContractsCounsel Client  Review:
5.0

"Sarah T. was willing to work with me to accomplish what I needed done. She took the time to talk to me and help me understand everything I needed too. I would hire her again if something ever comes up."

Doyle W. - Securities Law Compliance Lawyer in Houston, Texas
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5.0 (1)
Member Since:
May 1, 2025

Doyle W.

Attorney
Free Consultation
Kerrville, Texas
35 Yrs Experience
Licensed in TX
Regent University School of Law, Virginia Beach, VA

I am semi-retired, and I have over 30 years of legal practice. I can assist you with business formation, business acquisition, contract creation, contract review, and modification, estate plan, will, trust, probate, and general legal advice concerning many areas of law.

Recent  ContractsCounsel Client  Review:
5.0

"Prompt, professional, and very detailed. He answered all of my questions clearly and helped me understand my options. I would definitely hire him again if I needed legal assistance in the future."

Ricardo A. - Securities Law Compliance Lawyer in Houston, Texas
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4.7 (6)
Member Since:
December 24, 2024

Ricardo A.

Associate General Counsel
Free Consultation
San Antonio, Texas
24 Yrs Experience
Licensed in TX DC
Interamerican Law School

Ricardo Aponte Parsi is a real estate and corporate counsel with a 22+-year track record of assessing risk, managing litigation, and building compliance systems to protect organizational interests. Trusted business partner and problem solver, dedicated to delivering exceptional results that advance business objectives through preventive counseling, strategic risk management, and shrewd advocacy. Collaborative team leader and project manager who builds relationships, leads change, and communicates effectively with private and public stakeholders. He obtained a bachelor's degree from Syracuse University (1994) with a major in International Relations and his law degree from the Interamerican University of Puerto Rico School of Law (2000). In May 2014, he completed a Master of Laws from Northwestern University School of Law and a Certificate in Business Administration from IE Business School in Madrid, Spain. In 2018, he completed a second LL.M. at Georgetown University Law School in Securities and Financial Regulation. In 2022, he completed a certification in Privacy Law from Seton Hall University School of Law. He was president of the Board of the Puerto Rico Education Council, the licensing agency for the Commonwealth, and is currently the Chairman of the Board of Trustees of the San Juan Community College. Since November of 2024, he has worked as an attorney-advisor for the United States Air Force Installations, Energy and Environmental Law Division (SAF/GCN) at Lackland Air Force Base, in San Antonio, Texas.SAF/GCN provides legal and policy advice to members of the Secretariat, the Air Staff, and the Space Staff on virtually all matters relating to the Department’s 180 installations, nearly 10 million acres of real estate, Base Realignment, and Closure; annual $7 billion installation and operational energy budgets; annual multibillion-dollar military construction program; $8.3 billion military privatized housing portfolio; programs for environmental planning, compliance, and restoration and natural and cultural resources management; and programs for safety and occupational health. The Division advises the Center of Excellence for Environment, Facilities, and Installations and the Energy, Environmental, and Installations Directorates within the Air Force Civil Engineer Center. Experienced with estate planning, wills, trusts, prenuptial agreements and powers of attorney.

Recent  ContractsCounsel Client  Review:
5.0

"Ricardo helped me document the change from a single member LLC to a multi-member LLC. He was helpful along the way informing me of topics to consider and when to seek CPA advice. Highly recommend."

Atim A. - Securities Law Compliance Lawyer in Houston, Texas
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Member Since:
July 14, 2024

Atim A.

Business Lawyer
Free Consultation
Houston, Texas
4 Yrs Experience
Licensed in TX NY
Georgetown University Law Center

Atim is an international business lawyer licensed in New York and Texas. She advises businesses on smart and fit-for purpose legal and business solutions to achieve their strategic objectives. Equipped with strong legal, regulatory compliance, tax advisory, as well as contract drafting skills, she serves clients internationally at the intersection of law, finance and technology across industry verticals.

Richard H. - Securities Law Compliance Lawyer in Houston, Texas
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Member Since:
September 3, 2024

Richard H.

Solo practice
Free Consultation
Dallas, Texas
45 Yrs Experience
Licensed in TX
Sum Svhool of Law

After 30 years of practice I large, publicly traded companies, I went out on my own. I engaged in general practice for 10 years before retiring. I continue to do work on a contract basis.

Sharon H. - Securities Law Compliance Lawyer in Houston, Texas
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Member Since:
September 14, 2024
Feras M. - Securities Law Compliance Lawyer in Houston, Texas
View Feras
Member Since:
December 21, 2024

Feras M.

Managing Partner
Free Consultation
Houston, Texas
23 Yrs Experience
Licensed in TX
University of Texas School of Law

Feras Mousilli is a globally recognized leader in intellectual property, entrepreneurship, and corporate strategy. As the founder and managing partner of Lloyd & Mousilli, he has driven scalable growth strategies for Fortune 500 companies as well as innovative startups in emerging markets.

David G. - Securities Law Compliance Lawyer in Houston, Texas
View David
Member Since:
February 5, 2025

David G.

Business & Technology Lawyer
Free Consultation
Dallas, Texas
16 Yrs Experience
Licensed in TX
The University of Arkansas School of Law (Fayetteville)

I specialize in commercial and technology agreements, and general corporate and real estate matters. My passion for transactional and corporate work grew out of helping small and medium sized businesses with agreements of all types and real estate matters. Though I primarily represent large private and publicly traded Fortune 500 companies, I very much enjoy representing new and emerging businesses. From the private family office or new start-up to the rapidly growing and mature company, I have a proven track record of exceeding expectations in helping clients achieve their vision.

Cameron D. - Securities Law Compliance Lawyer in Houston, Texas
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Member Since:
February 8, 2025

Cameron D.

Partner
Free Consultation
Houston, Texas
14 Yrs Experience
Licensed in TX
South Texas College of Law

I’m a Texas-based business attorney focused on helping companies—from early-stage startups to established enterprises—navigate their legal needs with clarity and confidence. My practice centers on contracts, corporate governance, and international business matters. Whether you're forming a new company, reviewing a commercial agreement, or expanding into new markets, I bring practical, business-minded legal guidance tailored to your goals. Clients appreciate that I don’t just “paper” deals—I help them understand what they’re signing and protect their long-term interests. I believe in clear communication, fair flat fees, and efficient turnarounds, especially when time is money. In addition to domestic clients, I work with a range of foreign individuals and companies doing business in the U.S., and regularly assist with cross-border transactions, regulatory issues, and contract negotiation. If you’re looking for an attorney who values relationships, communicates clearly, and knows how to get deals done—I’d be glad to connect.

Hannah P. - Securities Law Compliance Lawyer in Houston, Texas
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Member Since:
February 28, 2025

Hannah P.

Attorney
Free Consultation
Pasadena, Texas
8 Yrs Experience
Licensed in TX
University of Houston Law Center

I am an attorney practicing in the greater Houston area. I have experience in various fields like personal injury, probate, real estate transactions, criminal defense, and traffic tickets.

Matthew S. - Securities Law Compliance Lawyer in Houston, Texas
View Matthew
Member Since:
April 10, 2025

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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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