Douglas, Haun & Heidemann, P.C.’s Securities Practice advises clients on Missouri and federal securities law, including regulatory compliance, private offerings and capital formation, registration matters, examinations and enforcement, and securities litigation and FINRA arbitration.
Our Springfield securities lawyers represent businesses, investment advisers, broker-dealers, issuers, developers, sponsors, investors, and securities-industry professionals throughout Missouri.
Our practice includes former Chief Counsel of the Missouri Securities Division, Blake Shier. Mr. Shier’s senior regulatory experience gives clients uncommon insight into how securities regulators evaluate registration, offerings, disclosure, supervision, compliance, and enforcement.
Why Should I Hire a Springfield Securities Lawyer?
Securities laws reach far beyond the sale of stock or a formal capital raise. Issues can arise when a business accepts money from outside investors, a developer pools capital for a project, an investor evaluates a private offering, an adviser or broker-dealer changes ownership, a professional changes firms, or a regulator opens an examination. And some violations can occur even without any intent to deceive.
Depending on the circumstances, missteps can lead to lost exemptions, investor rescission rights, civil liability, regulatory sanctions, and, in serious cases, criminal exposure.
Involving securities counsel early helps determine whether an arrangement is a security, identify the applicable registration or exemption requirements, structure and document an offering, evaluate a proposed investment, or prepare for an examination.
When an investigation or dispute has already arisen, our securities attorneys work to protect the client’s rights, assess claims and defenses, manage communications with regulators and opposing parties, and provide representation through enforcement, litigation, and arbitration.
Private Offerings and Capital Raises
We advise issuers, business owners, developers, and sponsors on private offerings involving equity, LLC and partnership interests, promissory notes, convertible securities, SAFEs, and other financing structures.
Our Springfield securities attorneys help startups, closely held and family businesses, and established companies raise capital for expansions, acquisitions, major projects, lender-equity requirements, ownership transitions, and employee or management buyouts.
Our securities lawyers also prepare the private placement memoranda, subscription agreements, Form D filings, and state notice filings a raise requires and advise on the continuing disclosure and reporting obligations that can follow a closing.
Crowdfunding and Intrastate Offerings: Crowdfunding and intrastate exemptions can offer alternatives to a traditional private offering. We evaluate whether they fit a particular raise and help clients comply with their offering, disclosure, investor, and filing requirements.
FINRA Arbitration
Our securities attorneys in Springfield represent investors, brokerage customers, securities professionals, and firms as claimants and respondents in customer and industry FINRA arbitrations.
Customer matters typically involve claims such as misrepresentation, unsuitable recommendations, churning, unauthorized trading, failure to supervise, breach of fiduciary duty, and fraud, across a range of investments, including complex or illiquid ones.
Industry and employment matters can involve recruiting and firm transitions, compensation, promissory notes, restrictive covenants, U4 and U5 disputes, expungement, and defamation.
Our Springfield attorneys handle these arbitrations from pre-filing assessment and statement of claim through discovery, hearing, settlement, and proceedings to confirm or challenge an award.
Securities Litigation
We handle securities litigation in state and federal court arising from private offerings, unregistered securities, false or incomplete offering disclosures, diversion of investor funds, and ownership and management disputes.
These cases often involve claims of fraud, breach of fiduciary duty, and other misconduct tied to private placements, promissory notes, LLC or partnership interests, and real-estate syndications.
Depending on the matter, we pursue and defend claims for damages, rescission, restitution, and injunctive relief.
Investment Adviser and Broker-Dealer Registration and Compliance
We assist investment advisers, broker-dealers, and their representatives with state and federal registration: Forms BD, ADV, U4, and U5, along with renewals, amendments, ownership and personnel changes, and registration transitions.
Our Springfield securities lawyers also counsel firms on compliance policies, supervisory systems, books and records, custody, fees and billing, advertising, conflicts of interest, disclosure, and examination readiness.
Finally, we also offer on-site mock examinations, developed and overseen by a former Director of Examinations at the Missouri Securities Division, to identify and correct potential deficiencies before an actual examination by state or federal regulators.
Regulatory Examinations and Enforcement Defense
Our firm represents advisers, broker-dealers, issuers, and other market participants in examinations, investigations, and enforcement matters before the Missouri Securities Division, the SEC, and FINRA.
We handle examination and deficiency responses, subpoenas and testimony, allegations of unregistered securities or professional activity, Wells submissions where appropriate, settlement negotiations, and formal enforcement proceedings.
When your livelihood, your business, or your professional credentials are on the line, our securities attorneys in Springfield combine senior securities-regulatory and litigation experience to develop a coordinated defense, protect your rights, and pursue the best available resolution while seeking to minimize the collateral business and professional consequences.
Contact Douglas, Haun & Heidemann Today to Schedule a Consultation
Whether you are preparing to raise investor capital, forming or acquiring an investment adviser or broker-dealer business, responding to a regulatory examination, evaluating a private investment, or facing a securities-related dispute, our Springfield securities team at Douglas, Haun & Heidemann, P.C. can help.
Contact a Springfield securities lawyer online or call (800) 743-5728 to discuss your matter with a member of our Securities Practice.