Comprehensive Corporate & Securities Law Practice

Few areas of the law are as complex and intricate as the state and federal laws that govern securities. Understanding the registration, reporting, and myriad compliance obligations that permeate the securities industry can be a daunting task, one that even otherwise knowledgeable attorneys may lack the background and experience to effectively navigate. It can be equally challenging to find securities lawyers who can provide exceptional securities counsel while offering personal, attentive, and responsive service.

At FitzGerald Yap Kreditor, our experienced securities lawyers provide meticulous and personal guidance on reporting and compliance requirements, prepare offering documents, conduct due diligence, and assist our clients with all securities law issues. We represent broker-dealers and investment banks, including advising on compliance with FINRA rules and representation in connection with private and public offerings. We also own and operate, an Internet based service which provides fast, flat-rate legal opinions for the removal of restrictive legends from stock certificates under Rule 144.

FitzGerald Yap Kreditor’s comprehensive securities law practice includes:

  • Initial public offerings (“IPO’s”), including federal and state registration obligations
  • Private offerings, including preparation of offering documents and filing all documents with the U.S. Securities and Exchange Commission (“SEC”) and U.S. state securities divisions (“blue sky filings”)
  • Preparation of SEC reports for public companies, including Annual Reports, Quarterly Reports, and Proxy Statements
    Conducting thorough due diligence on companies and their management
  • Venture capital transactions
  • Obtaining listing of client securities on all stock exchanges
  • Sophisticated financing structures such as rights offerings, bond offerings, bridge loans, preferred stock offerings, and debt financing
  • Structuring and forming private funds, including hedge funds and venture capital funds
  • Rule 144 legal opinions for legend removal from stock certificates

For more information, visit or call Lynne Bolduc, Esq. at (949) 788-8900.