Brian Lebrecht

How To Choose a Transfer Agent

All of our public company clients use a transfer agent to keep track of their shareholders, and with over 16 years of securities law experience, I have interacted with dozens of transfer agents. This article will highlight just…more

| Securities Law

When Can I Crowdfund?

The JOBS Act was approved in March, and signed into law in April 2012. In early April, I posted a blog outlining what I thought was the most interesting part of the Act, that being the ability to solicit investors in a 506…more

| Business Organizations, Securities Law

The Facebook IPO – Highlighting Alternatives?

The recent publicity surrounding Facebook’s IPO – information leaks, underwriter control, and post-IPO trading, highlight some of the downsides of a traditional underwritten IPO. The fallout – many lawsuits have been filed…more

| Securities Law

Ethical Standards for Transactional Lawyers

Any analysis of ethics, confidentiality, and the attorney-client privilege should begin in the applicable rules of professional conduct (the “Rules”). For purposes of this article, I will review the applicable sections of …more

| Securities Law

Broker-Dealer Due Diligence Obligations in Reg. D Offerings

In April 2010, FINRA published Regulatory Notice 10-22, reminding broker-dealers of their obligation to conduct a reasonable investigation of the issuer and the securities they recommend in Regulation D offerings. What,…more

| Securities Law

Broker-Dealer Due Diligence Obligations in Reg. D Offerings

In April 2010, FINRA published Regulatory Notice 10-22, reminding broker-dealers of their obligation to conduct a reasonable investigation of the issuer and the securities they recommend in Regulation D offerings. What,…more

| Securities Law

Free Fallin' - From NASDAQ to the Pink Sheets

More and more issuers are finding that the exchange or quotation medium on which their stock is traded is being changed, sometimes without their consent or knowledge. And today there are a variety of new quotation services, or…more

| Securities Law

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