► Securities Law

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.

Whether your business is a startup raising its initial round of financing, an established business seeking outside investors, or compliance with federal and state securities laws, or if you are an investor who is planning or has already made an investment into a new business venture, Axis can help.

► Who We Represent 

Axis Legal Counsel provides full-service support for Securities Law matters for domestic clients, as well as for international clients seeking to conduct security offerings in the U.S. or seeking compliance with U.S. state and federal securities laws.  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 numerous industries, 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. The most common types of securities transactions for business clients include 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
  • ICOs and Cryptocurrency securities
  • Token-based issuances

 

 

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)
  • Compliance with state blue sky laws
  • 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 disputes, controversies, and litigated matters. The most common issues in securities litigation involve 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 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 law affecting businesses.

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.

BusinessListTeaser

► 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 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.