Exceptional and accessible legal representation across Kentucky and Nationwide

Exceptional and accessible legal representation across Kentucky and Nationwide


We can help you legally make money

On Behalf of | Nov 13, 2019 | Regulatory Work |

Are you sitting on a goldmine of an idea regarding a business development or a natural gas harvest? Even the best ideas usually need a large influx of cash to bring them to fruition.

But you might have that bridge crossed as well. Let’s say that you have secured the capital you need to develop your concept through a private placement transaction.

So, everything is golden and you can proceed without a hitch, right?

Slow down a bit. Now is certainly not the time to forget to dot your “I’s” or cross your “T’s.” It just may be that the privately-raised capital that you plan to use to launch your plans is exempt from the regulatory restrictions imposed on the public securities markets.

But it just might be that the capital they decided to use is decidedly not exempt from registration. There are all sorts of ways to run afoul of state and federal regulations regarding securities. It’s guaranteed that you want to experience none of them.

Being noncompliant with regulatory rules can get you in all sorts of legal hot water. From encounters with the Kentucky Department of Financial Institutions to investigations by the Division of Securities in other states and targeted criminal investigations, we make sure that our clients’ rights are protected at all junctures.

Many people wind up in trouble not out of malice or chicanery but simply because they didn’t know or understand the laws in the first place. Unfortunately, as a legal defense to criminal charges, ignorance falls far short of the mark.

When in doubt, reach out. We can offer advice and counsel that allows you to sidestep potential problems and proceed with your plans.

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