Securities Regulation

Abraham has served as legal counsel for entities embarking on diverse securities transactions. From burgeoning startups to well-established corporations, he has guided clients through the dynamic terrain of equity markets, marked by constant regulatory shifts. His role spanned the spectrum – nurturing issuers in scrutinizing investment proposals, fortifying their capital base for growth, and equipping investors with strategic insights and comprehensive legal due diligence to assess issuer viability.

Abraham is well-versed in contemporary capital markets, swiftly grasps transaction nuances, sculpts cost-effective financing structures, and proactively troubleshoots potential hurdles. He goes beyond financing processes, encompassing a holistic understanding of each client’s business blueprint, a testament to a deep understanding and strategic approach that shuns one-size-fits-all solutions.  He has served as both issuer and investor perspectives in securities transactions.

Navigating public and private offerings, Abraham expertly guided public firms and emerging enterprises aspiring to access public markets. His diverse array includes:

  • ICOs
  • SAFE financing
  • Public common stock offerings (IPOs and follow-on offerings)
  • Securitizations and hybrid securities
  • Shelf registrations
  • Reverse and public merger transactions
  • Private placements with resale registration (PIPE transactions)
  • Rule 144A offerings
  • Reg A+ offerings
  • Angel financings and venture capital financing rounds
  • Retail and institutional private placement transactions
  • Venture capital finance and growth capita
  • Compliance and reporting, in the intricate regulatory landscape, hinge on responsive, experienced securities counsel to include: Preparing mandated periodic reports (Forms 10-K, 10-Q, 8-K), advising on reports about trading by insiders, analyzing state “blue sky law” requirements, guiding corporate governance matters, addressing SEC and state securities regulator inquiries
  • Working with CPAs