Securities Law

At POHL, PA, we represent clients in all areas of financing and securities law compliance, including private placements and public offerings of debt, equity and hybrid securities, venture capital, SEC reporting and compliance, broker-dealer matters, franchising, securities arbitration and litigation.

We work closely with clients to help them avoid problems through careful planning and due diligence, while assisting them in raising needed capital and providing employee stock incentives.



Federal and state securities laws provide important exemptions from securities registration requirements for the nonpublic offering of securities. These exemptions are available to large companies placing securities with large institutions as well as to small companies raising equity from friend and family. The issues are the same regardless of size or type of private offering. We have significant experience in designing and supervising all types and sizes of privately placed securities, including debt, common stock, preferred stock, limited partnership units, stock warrants, and limited liability company units.



We understand the needs of both the start up company and the venture capital provider in reaching a balanced investment decision. Our lawyers have documented and designed a wide variety of venture-type investment programs, including convertible preferred stock or debentures, joint ventures, strategic partnering, and asset-based financing.



Our activities cover a wide array of registration statements, offering circulars, official statements and information statements, and assisted with billions of dollars in securities placed. We have also assisted with debt to equity and into hybrid securities, such as securitized auto loans and home mortgages.



We have advised some of the largest and most prominent mortgage companies on compliance with Securities and Exchange laws and regulations. This long and broad experience has served us well in the same representation of smaller companies with similar problems. Our counseling includes corporate management advice as well as significant shareholder help to meet personal securities reporting requirements.



We have a good relationship with state securities regulatory agencies, and we are experienced in seeking and obtaining ad hoc exemptions from local securities authorities for some financings and recapitalizations.



We have organized and registered securities broker-dealers and investment advisors, and have advised these companies with respect to ongoing regulatory compliance issues such as "know your customer", net capital and Form U-4 questions.



We have counseled several private companies with respect to acquisition and merger transactions involving the registration of stock or other securities.

If you are looking for an attorney whom you can turn to for sound advice, call us today.