​LLP

​​100+ Years of Legal Experience and Innovation 

3636 Nobel Drive, Suite 215, San Diego, California 92122 | (858) 404-9800 | info@rowemullen.com

​​​​​​​​ROWE|MULLEN

Securities


Compliance with securities laws is of critical importance when forming a corporation or startup business that seeks to raise funding. Securities are highly regulated, and failure to comply can expose you and your company to significant civil, and even criminal, penalties. We guide businesses as to what type of offering is best, and will prepare the necessary filings to ensure legal compliance. 


We offer fixed monthly fee arrangements for ongoing public reporting matters (e.g. Annual Reports on Form 10-K, Quarterly Reports on Form 10-Q, Current Reports on Form 8-K, Proxy Statement on Schedule 14A, and planning/coordinating Annual Shareholder Meetings).  This enables us to support our clients without the concern of runaway fees. 


Our services include:  


  • Entrepreneurial Guidance
  • Shareholder Agreements
  • Initial and Secondary Public Offerings
  • PIPE Transactions
  • Reverse Mergers
  • Alternative Public Offerings
  • Exchange Act Reporting and Compliance Matters
  • Registration Statements
  • Restricted Stock and SEC Filing Matters
  • Stock Exchange Listing Matters
  • All aspects of Mergers and Acquisitions, including legal due diligence, stock issuances and exchanges, business sales and capital financings
  • Advice on business formation, shareholder agreements, employment agreements, non-compete and non-disclosure agreements, contractor and lease agreements and more
  • Branding and Business Plan development
  • Trademark, Patent and other Intellectual Property Rights matters
  • Employee Stock Option or other compensation plans


CONTACT US REGARDING YOUR SECURITIES ISSUES