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Securities & Investments

Navigating the complexities of securities and investment law requires deep expertise, strategic foresight, and a comprehensive understanding of regulatory compliance and investor protections. Pino Law Group provides tailored legal solutions for both institutional investors and individual investors, offering guidance in capital markets, regulatory compliance, securities litigation, and investment fraud recovery.

For institutions, we assist with structuring virtually any type of securities offerings and supporting transactional documents, regulatory filings, and litigation defense in financial disputes. For individual investors, we provide legal representation in evaluating securities offerings, cases involving investment fraud, unsuitable recommendations, and financial loss recovery.

With decades of experience in securities transactions totaling well in excess of $3.5 billion, as well as in arbitration and litigation, our firm is dedicated to protecting clients’ interests in an increasingly complex financial landscape. Up and down the broad spectrum of securities-related matters, our team offers the legal insight and advocacy necessary for success in the securities industry.

Institutional Investors

Our institutional clients consist of corporations, investment funds, limited liability companies, partnerships, brokerage firms, and other entities involved in all aspects of securities transactions.

Securities Regulatory Compliance

  • Ensuring compliance with SEC regulations, State Attorney General requirements, and corporate governance laws.
  • Continuous disclosure obligations for companies issuing securities
  • Investor Suitability review
  • Blue Sky Filings
  • Rule 144 Letters

Financing Structures & Private Offerings

  • Assistance with structuring securities offerings, including:
  • Shares, warrants, debt instruments, limited partnership units, and membership interests.
  • Private Placement Memorandums (PPMs).
  • Regulation A Offerings (Tier I & Tier II), Regulation D (Rules 506(b) & 506(c)), 1933 and 1934 Act Offerings as well as Offerings under the Investment Act of 1940
  • Advising issuers such as corporations, LLCs, trusts, partnerships, and investment funds.

Securities Arbitration & Litigation for Institutions

  • Legal representation for investment funds and financial institutions in securities disputes.
  • Litigation services include:
  • Market manipulation.
  • Failure to supervise.
  • Negligence and breach of fiduciary duty.
  • Mutual fund share class violations.
  • Misrepresentation and Fraud
  • Breach of Contract
  • Unsuitability

Individual Investors

We represent investors — be they individuals, institutions or family offices — which require representation related to their involvement in investment transactions.

Investment Evaluations through Investment Review Opinion Letters (IRO’s)

  • Evaluation of Securities Offerings
  • In depth review of Investment Opportunities
  • Confidential IRO’s on specific investments

Investment Loss Recovery & Enforcement

  • Representation for individual investors who have experienced losses due to:
  • Fraudulent or misleading investment sales pitches or offering materials.
  • Account manipulation (churning).
  • Unauthorized trading.
  • Failure to execute trading instructions.
  • Unsuitable investment recommendations.
  • Omission of facts, misrepresentation, or fraud.
  • Confidential, no-cost evaluations available for investors seeking to recover losses.

Securities Arbitration & Litigation for Individual Investors

  • Representation in state and federal courts for individuals involved in securities disputes.
  • Legal claims may include:
  • Breach of contract.
  • Securities fraud.
  • Negligence in investment recommendations.
  • Unauthorized account activity.

For any aspect of securities transactions, Pino Law Group is a one-stop shop to handle institutional and individual needs.