Securities Attorney | Securities Lawyer | U.S. Securities Law Firm 2019-12-23T23:33:13-08:00

Securities Attorney | Securities Lawyer
U.S. Securities Law Firm 

► Seeking the right Securities attorney?

Our Securities Law Practice combines
outstanding technical talent with exceptional value.

Experienced. Affordable. World Class Talent. 

Headquartered in Los Angeles, California, Axis Legal Counsel represents securities clients throughout the world with a wide variety of U.S. securities law matters. We are a U.S. based law firm based out of Los Angeles, California assisting clients with securities transactions throughout the United States and from across the globe around the world.

We represent clients in the formation of private and public companies, raising capital, state and federal SEC-compliant, securities offerings, including private placements made pursuant to the U.S. Securities and Exchange Commission’s rules.

  • 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

 

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***  No attorney-client relationship exists until we are retained through an engagement agreement.  By submitting a request you are agreeing to this Site’s Terms and Conditions.

► Who We Represent

We serve all types of startups, companies, funds, and investors, including but not limited to:

  • U.S. startups and businesses
  • Delaware corporations
  • British Virgin Islands entities
  • Isle of Man entities
  • Cayman entities
  • Hong Kong / Singapore
  • Funds / Fund formations
  • Cryptocurrencies
  • Token-based issuers
  • Holding companies
  • Asset management companies
  • International issuers
  • U.S. investors
  • International investors
  • Private companies
  • Brokers and dealers
  • Escrow agents

 

► The Securities Law Transactions We Service 

Axis provides full-service securities law support and advice/counsel for startups and established businesses in all types of securities transactions.  We represent all types of business clients in numerous industries, whether at the emerging stage, such as pre-seed, seed-stage, or early stage ventures, or established businesses, whether small businesses, mid-sized companies, or large international businesses with a multitude of offices and employees.

Having experience and knowledge of securities law   is crucial to providing legal advice. We serve a variety of securities law transactions, including but not limited to the following:

  • Securities filings
  • Regulation D filings
  • Private Placements
  • Private placement memorandums
  • Offering Circulars
  • White papers
  • Securities offerings Offerings
  • Cryptocurrency SAFTs / Simple Agreements for Future Tokens
  • Cryptocurrency Smart Contracts

 Securities Law Practice Areas

 

 

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:

  • Equity issuances and offerings
  • Debt offerings
  • Venture capital
  • Private placement memorandum
  • Investor financings
  • Secondary offerings
  • 144A Private Placement
  • Offering Circulars
  • Private Placements
  • Debt-based Offerings
  • Regulation S Offerings
  • Regulation D Offerings
  • Regulation A Offerings
  • Regulation A+ Offerings
  • 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

Intellectual Property & Licensing

We assist Cryptocurrency clients with a wide variety of intellectual property and licensing matters, ranging across copyright, trademark, trade secret, licensing, confidentiality, and related matters:

  • Confidentiality Agreements
  • Copyrights
  • Copyright Assignments
  • Copyright Infringement
  • Content-Licensing Agreements
  • End-User Agreement
  • Endorsement Deals
  • Intellectual Property Assignment
  • Licensing Contracts
  • Merchandising
  • Non-Disclosure Agreements
  • Privacy Policies
  • Promotional Agreements
  • Records Retention Policies
  • Software Licensing Agreements
  • Sweepstakes & Contests
  • Trademarks
  • Trademark Disputes
  • Trademark Infringement
  • Trademark Registrations
  • Web Hosting Agreements
  • Website Terms & Conditions

 

Securities Litigation

Axis has represented a wide variety of client with all types of disputes, controversies, and litigated matters. The most common issues in securities litigation involve shareholder lawsuits, shareholder derivative claims, buyer and seller misrepresentations, fraud on the part of brokers and dealers, materially misleading facts or inadequate disclosures to investors and stockholders.  From a legal perspective, there are a number of laws governing the duties, activities, and disclosures required by private and public companies issuing securities.  These include a variety of types of legal claims:

  • Breaches of Fiduciary Duty
  • Securities Fraud
  • Breaches of Trust
  • Investor Fraud
  • Misrepresentations/Fraud in the Sale or Purchase of Securities
  • Insider Trading Liability
  • Stock Broker Malpractice and Professional Negligence
  • Dealer Liability
  • Breaches of Shareholder Agreements
  • Liability for the Sale of Unregistered Securities
  • Ponzi Schemes

 

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

 

Our Billing Philosophy and Fees

 We have a wide variety of billing arrangements that are flexible for businesses of all sizes and types. On many  occasions, we provide legal services to business clients on a flat fee, or budgeted basis, by which the overall legal expenses are capped for purposes of the task or project being performed. It is generally a very straightforward  process, and many clients are pleased to learn how affordable it can be to obtain reliable legal advice for their business matter.FeesButton

We also use traditional legal billing structures, such as hourly services, as well as hybrid billing arrangements for clients whose billing needs are more specific. Our billing practices reflect the philosophy of providing value-added services for clients, in a cost-effective, affordable, and reliable manner. Most businesses generally cannot afford the high legal fees of large law firms, which can feel overwhelming, especially when there are multiple timekeepers assigned to a file all doing what appears to be the same or similar tasks. Our billing philosophy specifically is designed to avoid the types of billing practices that frustrate business clients the most.

► Getting Legal Help

If you need experienced legal counsel in connection with representation with securities law matters requiring the assistance of a securities attorney or securities law firm, please contact us for legal assistance today. Call today for free consultation, and in as little as 15 minutes, you could have peace of mind with respect to the handling of  your legal matter. Call us today at (213) 403-0130 or info@axis.legal.

 

 

► Read our Business FAQs

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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

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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. Here are some of the highlights:

 

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► AS SEEN IN

Our talented legal counsel has been quoted in a number of press outlets, including the following:

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Our Awards and Accolades

Our talented legal counsel has  consistently been recognized for excellence in legal services, and has been rated or ranked by Avvo, SuperLawyers, Euromoney’s Definitive Guide to Leading Litigation Lawyers & Law Firms, Los Angeles Magazine, and others.

  • Superlawyers – Rising Stars (2013, 2014, 2015, 2016, 2017, 2018, 2019, 2020) – Top 2.5% of Attorneys in the State
  • “Superb” Rated by Avvo.com (2011, 2012, 2013, 2014, 2015, 2016, 2017, 2018, 2019, 2020)
  • “Top Attorneys – Los Angeles Magazine (2013, 2014, 2015, 2016, 2017, 2018, 2019, 2020)
  • Recognized as one of the Global 100 Lawyers in Business Law (2017)
  • “Business Law Firm of the Year” – ACQ/Intertrust Magazine (2016)
  • “Top Business Law Firm” – Finance Monthly Magazine (2016)
  • “Superb” Rated by Avvo.com (2011, 2012, 2013, 2014, 2015, 2016, 2017)
  • Lawyers of Distinction (2016)
  • “Up and Coming Attorneys” (2010)
  • Euromoney’s Definitive Guide to Leading Lawyers and Firms (2009)

 

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*** Testimonials are not a guarantee of any success or outcome, nor any guarantees about your legal matter. Each case is unique.

► Serving Clients Nationwide and in 22+ Countries Internationally

We represent clients throughout the U.S. and in 22+ countries internationally.

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KEYWORDS

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