Phone: 949-468-3204
Orange
County
Securities
Lawyer
Matt
Sumrow
works
with
private
corporate
clients
of
all
sizes
to
finance
the
growth
of
their
business
through
securities
offerings.
With
over
20
years
of
experience,
Matt
understands
the
nuances
of
securities
laws
with
regard
to the regulatory framework, and he provides guidance on the
available financing vehicles
appropriate to each client’s needs.
Contact our office at (949) 468-3204 to schedule a
complimentary strategic consultation
with
Securities Attorney Matt Sumrow.
Securities Offerings
A
“security”
includes
any
investment
of
money
in
a
common
enterprise
with
an
expectation
of
profits
to
be
derived
from
the
efforts
of
others.
Common
types
of
“securities”
include
shares
of
stock
in
a
corporation,
ownership
interests
in
partnerships
and
limited
liability companies, bonds, options, warrants, profit-sharing agreements, investment contracts and interests in oil and gas wells.
There are only three types of securities offerings under the securities laws:
•
(i) registered
•
(ii) exempt from registration
•
(iii) illegal
Registered
securities
offerings
include
initial
public
offerings
(IPO’s)
in
which
the
offering
is
registered
with
the
Securities
and
Exchange
Commission
(“SEC”)
and
subject
to
extensive
regulation.
An
exempt
offering
is
a
private
offering
of
securities
that
does
not
have to be registered with the SEC and that is also exempt from qualification requirements under State law.
An
illegal
securities
offering
is
any
offering
that
is
not
registered
and
does
not
qualify
for
an
exemption
under
applicable
Federal
and
State
securities
laws.
Any
illegal
offer
or
sale
of
securities
subjects
the
issuer
of
those
securities
and
any
persons
involved
making
the
offer
and
completing
the
sale
to
potential
significant
civil
and
criminal
liability.
At
a
minimum,
a
person
who
purchases
securities
in
an
illegal
offering
is
entitled
to
rescind
the
sale and recover the full purchase price from the seller.
Before
offering
or
selling
any
securities
through
a
private
offering,
one
should
consult
an
experienced
securities
law
attorney
to
determine
what
available
exemptions
from
registrations
may
be
available.
If
the
securities
will
be
offered
or
sold
in
more
than
one
State,
the
laws
of
multiple
States
will
have
to
be
considered.
Available
State
and
Federal
securities laws exemptions have numerous precise requirements, and exemptions will be lost if all the requirements are not met.
Securities
law
issues
also
include
such
matters
as
granting
stock
options
to
employees,
private
investments
in
public
equity
(PIPE
transactions),
registration
requirements
for
public
offerings
(such
as
registering
an
initial
public
offering
or
a
secondary
offering),
and
reporting
requirements
for
public
companies
(such
as
10-K,
10-Q,
8-K
and
proxy
statement
filings).
Orange
County
Securities
Law
Lawyer
Matt
Sumrow
has
extensive
experience
representing
public
companies,
private
companies
and
investors
in
numerous
public
and
private
securities
offerings,
ranging
from
small
private
placements
by
start-up
companies
to
public
offerings
of
over
three
hundred
million
dollars.
He
has
also
represented
companies
on
numerous matters related to issuing stock options and warrants, Rule 144 sales, securities related disclosure requirements and reporting requirements for public companies.
Contact our Skilled Securities Lawyer for a Strategy Session
For
a
complimentary
consultation,
contact
Corporate
Attorney
Matt
Sumrow
at
(949)
468-3204,
or
contact
us
online.
He
is
dedicated
to
helping
clients
grow
their
businesses,
protect their interests, and avoid potential liability. From an office in Costa Mesa, California, Matt works with clients throughout the country.
General Business Practices
Mergers & Acquisitions
Industry Experience
Law Office of Matt Sumrow
575 Anton Boulevard
Suite 750
Costa Mesa, CA 92626
Phone: 949-468-3204
Fax: 866-471-4537
Call for Complimentary Consultation
Orange County Securities Law Attorney Matt Sumrow
Location
Other Areas of Practice