Securities Offerings

As you're running your business, you may find yourself in need of outside financing for equipment, payroll, expansion, suppliers and other uses, and we have the securities law background to help assist you in raising funds from outside investors. 


The type of financing options available for your business will vary according to your legal entity, amount of funds needed and size of your business. We'll work with you (and your financial advisor, if available) to find an affordable fundraising option that will help you move closer to your business goals.

Our securities law services include:


  • preparing term sheets,

  • researching securities law issues,

  • drafting disclosure documents (such as private placement memoranda ) and other related agreements,

  • assessing and documenting the risks involved with your issuance,

  • providing legal opinions,

  • performing due diligence and

  • ensuring compliance with state and federal securities laws.


We have experience in helping businesses issue:

  • common stock,

  • preferred stock,

  • membership interests/units,

  • bonds,

  • warrants/options and

  • promissory notes (secured, unsecured or convertible).

Currently, we focus on private placements (primarily under Sections 3 and 4 of the Securities Act and Regulation D) purchased by financial institutions, insurance companies, accredited investors and a limited number of non-accredited investors. 

Let's Talk Securities!

Contact below or call us at 206.452.5049 to set up a FREE legal consultation

*Use of this form does not create an attorney-client relationship.

Copyright © 2019 by McCauley Investment Risk & Legal Consulting PLLC. All Rights Reserved. 


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The information on this website is not, and should not be construed as, a replacement for individualized legal advice. This website is for educational and promotional purposes only.  Use of this website, inculding the use of the contact form, blog posts and attachments, does not create an attorney-client relationship. The contents of this web site may contain attorney advertising under the laws of various states. Prior results do not guarantee a similar outcome.

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