Securities & Syndications

nvestments in businesses, real estate, etc. are only as good as the carefully thought and sound advice put into them. Our securities and syndications attorneys are here to ensure that you make the right investment, at the right time, with the right people. At Dodson Legal Group, we offer our counsel and representative services to anyone considering or wanting to pursue an investment or some other form of a business transaction.

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Real Estate & Corporate Transactions

Corporate practices and Real Estate dealings are often highly complex activities that carry a significant amount of weight towards a company’s current and future state of the business. These deals and changes could very well make or break a company as well as its owners and investors. At Dodson Legal Group, we represent companies, big, small, foreign, and domestic, as well as investors with their complex corporate and securities transactions.

Investment Adviser Compliance

Formation and registration of investment advisers under the Investment Advisers Act of 1940 or state blue sky law
Preparation and review of advisory agreements and customer disclosure documents
Review and advice regarding advertisements, marketing materials, performance reporting and presentations
Preparation of compliance procedures
Guidance on general compliance and legal issues arising under the Investment Advisers Act and state blue sky
law, including personal trading, trade allocation, affiliated brokerage transactions, best execution, and soft dollar arrangements
Assistance with SEC (or state) examinations, deficiency letters, and administrative actions
Mergers, acquisitions, reorganizations, and joint ventures involving mutual funds, investment advisers and broker-dealers

Real Estate & Corporate Funding

Private Investments
Off-Shore Financings
Debt Financing & Restructuring
Insider Trading Counseling
Rule 144 Sales
Securitizations & Asset-Backed Financing Structures
State “Blue Sky” Securities Compliance
Investment Company Formation & Compliance
Investor Adviser Act Formations, Compliance & Maintenance

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*The submission of information for a consultation request does not create an attorney-client relationship with the firm. Please do not send any confidential information to us until such time as an attorney-client relationship has been established.