REPRESENTATIONS AND WARRANTIES FOR M&A SELLERS: What They Are and Why They Matter As you explore the possible sale of...
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“Linden Law Partners has helped us raise capital through multiple private placement offerings by creating the right securities, guiding us on disclosure requirements, and distilling complex regulations into practical, results-driven advice.”
– Bill Taylor, Co-Founder, WindTalker Software Company
Entrepreneurs, companies, and investors rely on Colorado-based Linden Law Partners regarding federal and state securities laws in connection with private placements of debt and equity securities. We apply decades of experience structuring and negotiating financings and transactions designed to be exempt from federal and state securities regulations, including: friends and family financings, angel investments, seed capital, senior and subordinated debt, venture capital, private equity, real estate equity investments, accredited investor offerings, and other “Reg D” and “Reg S” securities issuances.
Unbeknownst to many companies, mergers, acquisitions, and other business transactions involving the issuance or exchange of private securities must comply with securities law. We blend deep knowledge of both securities law and the business transaction process to keep deals on track, benefiting our clients.
Investment advisers, broker-dealers, and other regulated entities and individuals turn to us for legal counsel regarding securities compliance matters in regulatory proceedings, enforcement actions, and other litigation involving the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), the Public Company Accounting Oversight Board (PCAOB), and other state and federal regulators.
Whether you are considering the best capital structure for a new company, financing for a growing company, forming an equity fund, are an investor, or are navigating regulations, contact the securities attorneys at Linden Law Partners for efficient, pragmatic advice.
Hedge Fund
Formation and $100 million initial capital raise
Real Estate Development Company
Multiple private placement offerings ranging from $5 to $40 million
Sports Hospitality Company
$30 million private securities offering
Private equity firm
$15 million private placement offering of a debt fund
Antibody Licensing Company
$10 million private placement transaction
AI company
$10 million private securities offering
Real Estate Private Equity Firm
$8 million private placement offering for a mixed-use development project
Hotel chain
$7.5 million private offering
SaaS company
$5 million private securities offering
HR e-solutions company
$5 million private placement
Healthcare staffing company
$4.5 million private placement offering
CBD processing company
$4 million private securities offering
Private investor
$3 million investment in sports car dealership
Digital Marketing Company
$3 million private securities offering
Greenhouse Construction Company
$2.5 million private placement
Early-Stage Cannabis Company
$2 million private offering
Animal Products Company
$2 million debt offering
Startup Title Company
$1 million equity offering
Digital Guided Tour Company
$250,000 friends and family offering
Our team is highly experienced in managing compliance with state and federal regulations during capital raises. We guide our clients through the complexities of Reg D, Reg S, Rule 144A, and other relevant securities laws, ensuring documentation such as Private Placement Memorandums (PPMs) and other offering materials are properly prepared, disclosed, and compliant.
Our services include support with Regulation D, S, and 144A transactions, PIPE transactions, federal securities law compliance, state Blue Sky Law compliance, equity and debt financings, and more. We frequently prepare PPMs and other disclosure documents required for private securities offerings.
We handle a wide range of private placement offerings, including friends and family financings, angel investments, seed capital, senior and subordinated debt, venture capital, private equity, real estate equity investments, accredited investor offerings, and other offerings which are exempt from registration under Regulation D and Regulation S.
Exempt securities offerings permit companies to raise capital through private placements and limited offerings without the full registration process required for initial public offerings (IPOs) and similar public securities ransactions. We help find applicable exemptions from registration for small and mid-sized businesses in private offerings of equity, debt, convertible debt, and hybrid instruments like SAFES and KISS documents.
Yes, we structure and create venture capital, private equity, and hedge funds to help ensure their ongoing compliance with relevant securities laws, including the Investment Company Act of 1940.
Our attorneys defend clients in securities litigation involving the SEC, state securities regulators, and other bodies, ensuring skilled representation in complex legal disputes.
Compliance with SEC and FINRA regulations is critical for investment advisers and broker-dealers to avoid enforcement actions and regulatory penalties. We provide legal counsel to navigate these regulations, helping ensure our clients meet all necessary compliance requirements.
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