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.