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Working To Ensure Securities Compliance

At the law firm of BA Folk, our attorneys advise a wide range of clients throughout North Carolina on matters involving securities, investments and commodities law. Running afoul of this area of the law can result in harsh consequences. We can help ensure securities compliance and protect your important interests. To find out how we can help you, call our law offices in Cary at 919-825-1250.

Help With Transactions And Regulatory Issues

Our lawyers are committed to providing clear, creative and practical advice in connection with all types of transactions and regulatory issues, including:

  • Compliance
  • Capital funding and raises
  • SEC and FINRA investigations
  • State investigations

Our clients include issuers of securities, investment advisers, broker-dealers or companies interested in raising capital. Whether your compliance manual needs updating, your ADV needs amending, or you have been cited by one of the agencies that govern securities violations, we are here to provide you with sound legal advice.

We can also assist you with securities transactions, including Regulation D, Regulation A and Regulations CF. These transactions often involve complex resale and trading issues. We render advice regarding exemptions from federal and state securities registration laws, and related regulatory matters.

An Attorney Who Understands How The Other Side Works

One of our partners, Amy Folk, is a former enforcement attorney with the North Carolina Securities Division. There she prosecuted broker-dealers, investment advisers, companies and individuals for violations of securities law. Now she uses her experience to help clients who are facing enforcement actions.

Contact Us For Your Securities Law Needs

To find out more about how we can help meet your securities law needs, call 919-825-1250 or contact us online. From our offices in Cary, we serve clients throughout Raleigh and the greater Triangle area.