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505-983-6026 505-983-6026

Solidly Established New Mexico Securities Law Firm

I have a full-service securities law practice, representing corporate clients and shareholders in all aspects of the securities industry. For more than 20 years, I have provided reliable and professional service on matters related to:

  • Securities transactions
  • Corporate oversight and compliance
  • Securities litigation
  • Securities arbitration

Orchestrating complex securities transactions

I have extensive experience coordinating securities transactions by organizing the basic and necessary elements, while reconciling any conflicts that may arise among vital issues or key players. I can assist in all aspects of your transactions, including:

Capital raising

Debt and equity financing transactions

Debt or equity offerings

  • Private placement
  • Pipe transactions
  • Regulation S (off-shore sales)

Bank lending, margin regulations

Transactions involving existing securities:

  • Stock repurchase programs
  • Tender and exchange offers
  • Mergers and acquisitions
  • Joint ventures and strategic alliances
  • General commercial matters
  • Resales
  • Registration under the “34 Act”

Providing meticulous securities oversight

I help assure that your company is in compliance with all necessary government regulations by offering dependable counsel with regards to:

  • AMEX, Nasdaq and NYSE listings and compliance
  • Blue sky compliance
  • SEC compliance
  • Margin violations
  • Options abuse
  • Failure to supervise
  • Corporate governance
  • Drafting and review of policy and procedure

Representation throughout the securities arbitration process

Approximately two-thirds of all securities arbitrations are between broker-dealers and their clients. The most common allegations of misconduct by a broker or a brokerage firm are:

  • Account overtrading (churning)
  • Unauthorized trading
  • Market manipulation
  • Mutual fund share class violations
  • Negligence
  • Breach of fiduciary duty
  • Omission of facts
  • Misrepresentation/fraud
  • Breach of contract
  • Unsuitability
  • Failure to supervise

Securities arbitration proceedings are intricate and must follow the strict guidelines of the Financial Industry Regulatory Authority (FINRA). Trust in my experience for thorough and effective representation that protects your financial interests and your reputation.

Contact a determined Santa Fe, New Mexico securities attorney.

To schedule an appointment with me, call 505-983-6026 or contact my office online.