• Yale University (2017) – Certification, Financial Markets
• Wharton School of Business – Certification (2017/2018) Startups and Entrepreneurship
• University of Notre Dame Law School (2004) – Juris Doctorate
• University of Michigan (2000) – Bachelor of Arts
• Associate Professor of Law – California University,  Securities / Banking Law (2014)

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Honors and Awards: 

• “Top Women Lawyers of Southern California” – Los Angeles Magazine
• “Top Women Lawyers of Southern California”  SuperLawyers Rising Stars
•  Corporate LiveWire Global Award for Excellence in Law
• Recognized by Euromoney’s “Leading Guide to Lawyers and Law Firms”
•  “Top Business Law Firm” – Finance Monthly Magazine’s Global Awards
• “Gamechangers” in Business Law by ACQ Global/Intertrust Magazine

    Securities Transactions

Axis assists clients with a wide variety of securities transactions. The most common types of securities transactions for business clients include the following:

• U.S. SEC Filings
• Securities offerings
• Securities Issuances
• Securities filings
• Private placements
• Debt and equity-based securities issuances
• Regulation D
• Rule 506(b) Securities offerings
• Rule 506(c) Securities offerings
• Regulation A + Offerings
• Regulation S (Non-U.S.) Offerings
• Regulation A Offerings
• Regulation A+ Offerings

• Debt offerings
• Venture capital
• Private placement memorandum
• Investor financings
• Secondary offerings
• 144A Private Placement
• Offering Circulars
• Convertible Notes
• Bridge Financings
• Mezzanine Financings
• ICOs and Cryptocurrency securities
• Token-based issuances

     Securities Compliance

 Federal and state law generally requires ongoing compliance for businesses with securities issued to private or public investors. These can include working with your business to prepare registration statements and reporting obligations, including but not limited to the following:

• Registration Statements (S1, S3, SB-2, F-20, 10, 10SB Statements)
• Periodic Reports (10K, 10Q, 8K statements)
• Compliance with state blue sky laws

• Securities Act of 1933 Compliance
• Securities Act of 1934 Compliance
• Sarbanes-Oxley Compliance
• Compliance with California Department of Business Oversight

     Tax Law and Banking Law Compliance

 We assist clients seek compliance with the myriad of tax, regulatory, and compliance laws that accompany securities filings, including but not limited to:

• FinCEN Compliance
• IRS Compliance
•  Commodities Futures Trading Commission Compliance

• Tax compliance
• Anti-Money Laundering Compliance and Policies
•  Money-Transmitter Business licensing
• Money Services Business (MSB) Regulations

• Department of Treasury Regulations
•  U.S. Banking Laws
• Bank Secrecy Act Compliance

   Shareholder Rights

Axis also regularly represents shareholders, members, and other owners of companies in legal matters involving shareholder rights. These can include, but are not limited to:

• Shareholder Inspection Rights
• Shareholder Participation in Corporate Governance
• Shareholder Derivative Claims
• Breaches of Shareholder Agreements
• Self-Dealing / Misuse of Corporate Assets
• Minority Shareholder Freeze-Outs and Squeeze-Outs

• Stock Broker Malpractice and Professional Negligence
• Dealer Liability
• Corporate Mismanagement
• Breaches of Fiduciary Duty
• Corporate Fraud
• Conflict of Interest Transactions
• Fraud
• Investor Fraud

► Read our Business FAQs

Our FAQs answer the most common issues faced by startups and  businesses.

We have an extensive FAQ Library that covers the most common questions we get from businesses, as well as FAQs on recent changes in  law affecting businesses .

►Visit our Entire FAQ Library

► Learn About Our Recent Projects

Have we counseled businesses like yours? All the time.

We have represented a variety of business clients in numerous industries across multiple disciplines and practice matters.