The Spencer Law Firm has represented investors and issuers in SEC, FINRA and Texas State Securities Board investigations. The Firm is well versed in the applicable regulations and possible exceptions surrounding the sale of securities. Whether you or your company has been the subject of scrutiny at a regulatory agency or whether you are an investor who believes securities violations may have been at play in the issuance or sale of the security, The Spencer Law Firm can help you evaluate or defend these matters.
If you are structuring a sale of securities, you should ensure that your offering documents and other items related to the offering and sale of the securities are compliant with the Texas Securities Act and the regulations published by the Texas State Securities Board, the SEC, FINRA and other applicable regulators.
An attorney experienced in drafting offering memoranda, private placement documents, and structuring the registration, exemption, offer, and sale of securities should be a member of your business team before your investment package enters funding.
In order to get an experienced lawyer to assist you with any potential or ongoing SEC, FINRA, & Texas State Securities Board inquires or investigations, contact us today or call us, toll-free, at (888) 237-4529.