Securities Law

Securities Law Attorney

Located in the Seattle/Bellevue Metro Area and Serving Businesses Nationwide

Eugenie Rivers, business and securities attorney, has been part of the NW community for over 30 years. Her primary focus is on helping local area entrepreneurs and startups, as well as established businesses and investors with affordable, comprehensible, and expert legal assistance.

  • Capital structuring and planning
  • Private placements: equity, debt, hybrid
  • Common or Preferred Stock
  • LLC interests
  • Convertible Debt, Warrants
  • EB5 Offerings
  • Buy-Sell Agreements
  • Equity/Debt Restructuring and Recapitalizations
  • Tender and exchange offers
  • Brokerage and finders contracts

Capital Structuring and Planning

Not all business structures are created equally. The decisions should be made strategically with an eye towards reducing risk, minimizing tax exposure, having flexibility to raise additional funds, and creating a management structure that optimizes performance.

Private Placements

Private placements are not exempt from SEC oversight. Careful care must be taken to meet the requirements for a private placement under Regulation D. The bulk of this work is ensuring extensive disclosures regarding the investment opportunity and avoiding anything that could be construed as a public offering.

EB5 Offerings

The EB5 visa program was designed primarily to bring new investors into the United States, but EB5 offerings are still securities subject to financial regulations. An offering must either comply with the Securities Act of 1933 or be exempt from SEC disclosure requirements.

Bellevue Securities Law Attorney - Eugenie RiversBuy-Sell Agreements

Buy-sell agreements protect a business and its owners in the event that an owner wishes to leave voluntarily or if an owner is forced to leave due to disability, death, or other causes. These agreements trigger automatically based on a specified event, and properly structuring them is vital to ensuring business continuity and protecting the investments of all owners.

Equity/Debt Restructuring and Recapitalizations

Converting debt into equity can allow a business in financial stress to reduce crippling debt payments while continuing to operate and allow creditors to recuperate their investments. It can also improve the business’s financial position to allow it to raise additional capital.

Tender and Exchange Offers

When a business wishes to convert non-convertible debt into equity, it can take advantage of SEC rules allowing for an abbreviated tender offer.

Brokerage and Finders Contracts

Using a business broker can be useful to both sides of a transaction, but the contract should be carefully structured to protect the legal interests of all parties.

To schedule a consultation with an experienced securities law attorney, contact Eugenie Rivers at Cairncross & Hempleman in Seattle, Washington today.