Wells Fargo Tower, 420 20th Street North, Birmingham, Alabama, 35203
Practice Areas : Arbitration & Mediation
5 securities attorneys are listed in Birmingham, working on private placements and exempt offerings, registration and reporting obligations, broker-dealer and adviser regulation, SEC and state enforcement, FINRA arbitration and shareholder litigation.
Raising money from investors triggers securities law even for a small private company. Ask which exemption you are relying on before you accept the first cheque.
If a regulator has made contact, get counsel before responding — informal inquiries have a way of becoming formal investigations.