► Securities Law

U.S. Securities & Exchange Commission building photo credit courtesy of secunion.org.

Axis represents business clients in securities transactions and regulation.

We represent businesses of all sizes and backgrounds with securities law, transactions, and securities regulation matters.

► Who We Represent 

Axis Legal Counsel provides full-service support for Securities Law matters throughout California, and for clients throughout the U.S. and internationally involving California Securities Law legal matters.  Drawing on the multidisciplinary experience of seasoned attorneys and other industry professionals  when circumstances require industry expertise, Axis strives to deliver outstanding legal services in all areas of Securities Law.

  • Founders
  • Co-founders
  • Investors
  • Stockholders
  • Directors and boards
  • Company officers
  • Corporations
  • LLCs
  • Companies
  • Investors
  • Angel investors
  • Venture capitalists
  • Private equity firms

► Securities Law Practice Areas

Axis provides full-service securities law support and advice/counsel for startups and established businesses in all types of securities transactions.  We represent all types of business clients in nearly every type of industry, whether at the emerging stage, such as pre-seed, seed-stage, or early stage ventures, or established businesses, whether small businesses, mid-sized companies, or large international businesses with a multitude of offices and employees.

Securities Transactions

Axis assists clients with a wide variety of securities transactions, including but not limited to the following:

  • Equity issuances and offerings
  • Debt offerings
  • Venture capital
  • Private placement memorandum
  • Investor financings
  • Secondary offerings
  • 144A Private Placement
  • Offering Circulars
  • Private Placements
  • Debt-based Offerings
  • Regulation S Offerings
  • Regulation D Offerings
  • Regulation A Offerings
  • Regulation A+ Offerings
  • Convertible Notes
  • Bridge Financings
  • Mezzanine Financings



Securities Compliance

 Federal and state law generally requires ongoing compliance for businesses with securities issued to private or public investors. These can include working with your business to prepare registration statements and reporting obligations, including but not limited to the following:

  • Registration Statements (S1, S3, SB-2, F-20, 10, 10SB Statements)
  • Periodic Reports (10K, 10Q, 8K statements)
  • Securities Act of 1933 Compliance
  • Securities Act of 1934 Compliance
  • Sarbanes-Oxley Compliance
  • Compliance with California Department of Business Oversight


Securities Litigation

Axis has represented a wide variety of client with all types of securities litigation matters, including but not limited to shareholder lawsuits, shareholder derivative claims, buyer and seller misrepresentations, fraud on the part of brokers and dealers, materially misleading facts or inadequate disclosures to investors and stockholders.  From a legal perspective, there are a number of laws governing the duties, activities, and disclosures required by private and public companies issuing securities.  These include a variety of types of legal claims:

  • Breaches of Fiduciary Duty
  • Securities Fraud
  • Breaches of Trust
  • Investor Fraud
  • Misrepresentations/Fraud in the Sale or Purchase of Securities
  • Insider Trading Liability
  • Stock Broker Malpractice and Professional Negligence
  • Dealer Liability
  • Breaches of Shareholder Agreements
  • Liability for the Sale of Unregistered Securities
  • Ponzi Schemes


Shareholder Rights

Axis also regularly represents shareholders, members, and other owners of companies in legal matters involving shareholder rights. These can include, but are not limited to:

  • Shareholder Inspection Rights
  • Shareholder Participation in Corporate Governance
  • Shareholder Derivative Claims
  • Breaches of Shareholder Agreements
  • Self-Dealing / Misuse of Corporate Assets
  • Minority Shareholder Freeze-Outs and Squeeze-Outs
  • Stock Broker Malpractice and Professional Negligence
  • Dealer Liability
  • Corporate Mismanagement
  • Breaches of Fiduciary Duty
  • Corporate Fraud
  • Conflict of Interest Transactions
  • Fraud
  • Investor Fraud


Read our Business FAQs

Our FAQs answer the most common issues
faced by California businesses and startups.

We have an extensive FAQ Library that covers the most common questions we get from businesses, as well as FAQs on recent changes in California law affecting businesses throughout California.

Visit our Entire FAQ Library

Our Recent Projects

Have we counseled businesses like yours?
All the time.

We have represented a variety of business and startup clients in numerous industries across multiple disciplines and practice matters. Here are some of the highlights.


► Our Latest Charitable Giving Projects

Did you know that our clients’ legal dollars are hard at work giving back to the community? Axis is a significant donor and supporter of a multitude of charitable giving projects in the Los Angeles, California community as well as nationwide, donating a portion of legal fees to a variety of underserved needs and causes. Check out at our latest charitable giving projects below, and know that in supporting Axis, you are helping us improve hundreds of lives.