Raising Capital

We can’t personally fund your company or provide you with leads interested on investing or loaning you money. We can, however, clarify your options and help you move through any legal obstacles to that capital where ever that may be in North America, Europe, Asia or other jurisdictions.

Over the last nineteen years we have provided advice and prepared legal documents for debt instruments, private placements, public offerings, and stock options in a number of small and not so small companies located in the US and Canada. We will help you work through the rules and regulations of each applicable jurisdiction and make sure that those rules are complied with when completing your financing.

We know that when markets are hot you need to strike quickly and efficiently. We respond accordingly. In the past, we have initiated and closed over a private placements ranging from $5,000 to $200,000,000. The largest private placement we have been involved with in recent years involved over twenty eight States, two Provinces and six countries outside of North America. Our coordination and efficiency were key to having all regulations in play met to complete the financing.

Failure to address the securities laws in each applicable jurisdiction may result in securities regulators requiring you to rescind (buy-back) all securities sold to investors in contravention of those laws. This recision offer may include the expense or preparing and filing a prospectus or other comprehensive disclosure document. In addition, directors and officers of the company may face regulatory fines and sanctions which could include a regulatory ban from the public markets.

This is not the only area where companies may face problems when raising capital. Securities laws on both sides of the border have specific rules on who can sell and buy, bans and limitations on advertising, informational, filing and restrictive legend requirements, among other rules. These rules are in constant flux and you cannot rely on what was the law last year or even three months ago.

In this section you will find over 50 articles on raising capital. It is a topic we understand and we are happy to share our knowledge with you.

When you are ready, contact our office to discuss your plans to raise capital. We can make the process relatively seamless and legal.