Inquiries & Investigations
The Spencer Law Firm has represented investors and issuers in SEC, FINRA, Texas State Securities Board investigations and investigations from the other 49 states’ securities commissioners, the Justice Department, the Postal Inspector and the IRS. The firm is well-versed in the applicable regulations and possible exceptions surrounding the sale of securities. Whether you or your company has been the subject of scrutiny at a regulatory agency or whether you are an investor who believes securities violations may have been at play in the issuance or sale of the security, The Spencer Law Firm can help you evaluate or defend these matters.
If you are structuring a sale of securities, you should ensure that your offering documents and other items related to the offering and sale of the securities are compliant with the Texas Securities Act and the regulations published by the Texas State Securities Board, the SEC, FINRA and other applicable regulators including each state in which securities will be sold.
An attorney experienced in drafting offering memoranda, private placement documents, and structuring the registration, exemption, offer and sale of securities should be a member of your business team before your investment package enters funding.