Our Transactional Practice

Overview

We practice securities law and all major areas of corporate and business law, providing cost effective solutions whatever your needs. We can provide professional representation and advice on the full range of issues and transactions that arise in the organization, financing and operation of a publicly or privately owned growth company. We handle all kinds of financing, investment, or business transactions. A core expertise of Guardi LLP is SEC compliance and corporate governance. Our substantive knowledge of commercial and business litigation carries over to transactional matters and works to your advantage. We have fee plans that help minimize your cash investment for obtaining the appropriate representation you need.

Securities

Emerging growth companies througout the United States and Canada have benefitted from our representation in a wide range of financing transactions: public and private offerings, investment banking and venture capital transactions, equity or debt financing of all kinds and now, Regulation A+ offerings and large crowdfunding offerings under Rule 506 for special purpose vehicles and smaller offerings under crowdfunding regulations. We have substantial expertise in creating and registering equity incentive compensation plans. We render legal opinions on securities transactions, including new issues and sales of restricted and control securities.

Regulation

Our clients are publicly owned companies, crowdfunding portals and issuers, investment advisers, financial planners, broker-dealers, and many privately owned businesses. We have represented businesses in many different industries information technology, natural resources, medical technology and franchising, to name a few, with regulatory reporting and filings. We help our clients avoid the undue regulatory risk and costs of noncompliance with reporting and filing requirements, such as litigation and regulatory problems that can derail a business. We are expert at SEC reporting for publicly owned companies. We apply our extensive knowledge of the rules governing meetings of equity stakeholders and management to facilitate your successful meetings.

Business Transactions

Sometimes a  poorly organized entity or substandard documentation can create issues and obstacles that we can help you avoid, like personal liability, wasteful disputes, regulatory problems and taxes.

If you are just starting a business, we can organize your corporation, limited liability company or partnership the right way.

When a transaction or other action is required to be approved at a meeting of your equity stakeholders or management, we make sure the approval is obtained legally and the proper documents drawn up.

If you are investing in, buying, or selling a company or business, or merging with another company, we have the experience needed to seal the deal for you.