Securities Law

Securities law compliance is critical for anyone selling a security, but can be difficult to achieve without the help of an experienced securities lawyer.

Dunn Carney’s securities law practice is a multidisciplinary group that comprises corporate lawyers, real estate lawyers, securities lawyers and tax lawyers. We are a highly sophisticated securities team with the necessary experience, qualifications and resources to efficiently evaluate, negotiate and close capital raise transactions in a cost effective manner.

We provide valuable assistance as you navigate the web of complex securities laws.

When is an investment a security?

Any time an investor is making a profit based on the efforts of others, it is a security. The sale of securities comes in many forms, such as common stock, preferred stock, convertible debt, options, warrants, limited liability company interests and limited partnership interests.

Accurately completing required disclosure documentation and properly conducting the offer and sale of the security  is critical to avoid triggering an enforcement action which can result in civil liability and even criminal prosecution.

Anyone selling a security, whether to one investor, family and friends, or an array of separate, sophisticated investors, must comply with federal and state securities laws and regulations.

Whether you are raising capital for your start-up, experienced business, private equity fund, real estate syndication or real estate fund, Dunn Carney’s corporate and securities attorneys can efficiently and effectively provide the necessary assistance to help ensure compliance with applicable regulatory requirements.