Bauman...& Associates Law Firm 
PHONE: (702) 533-8372 OR (800) 991-8697

Securities Law

Site Under Construction!

Frederick C Bauman is an experienced Nevada securities attorney.

LAS VEGAS, NEVADA CORPORATE AND SECURITIES LAWYERS

Securities law is important to companies of all sizes, as well as securities industry professionals and investors. We represent public and private companies in their securities filings and registrations. We have brokers, hedge funds, investment advisors, stock transfer agents and other securities industry professionals as clients.

Bauman & Associates founder Fred Bauman started off on Wall Street in the 1970’s doing securities legal work for major investment houses such as Morgan, Smith Barney and DLJ. He also provided securities legal services as general counsel or in-house securities counsel for both Fortune 100 and mid-size public companies. We understand securities legal issues for public companies, investors and market professionals.

FULL SERVICE SECURITIES LEGAL REPRESENTATION

Specific Services:

  • SEC Registration Statements (Form S-1 and Form 10)
  • Nevada Securities Division Filings and other State Blue Sky Filings
  • Private Placement Memoranda (PPM), Subscription Agreements and Form D’s
  • Forms 3, 4, 13D
  • DTC chill opinions
  • FINRA corporate actions
  • Legal opinions for Form S-1, FINRA Form 211
  • Restricted Stock – Rule 144 Opinions
  • Due diligence for investors
  • Reverse mergers and preparation of Super 8K
  • 1934 Act reporting such as Form 10K, 10Q, 8K
  • Shareholder meetings and disputes
  • Proxy Statements (Schedule 14A) and Information Statements (Schedule 14C)
  • Forward and Reverse Stock Splits
  • Increase in authorized shares
  • Corporate Name Changes
  • Hedge Fund Formation

NEVADA - FAVORITE STATE TO INCORPORATE

We are members of the Nevada Bar and give legal opinions on Nevada corporations. We form Nevada corporations and Nevada limited liability companies (LLCs) for our clients.

SECURITIES COMPLIANCE, INVESTIGATIONS

We represent issuers and securities professionals in investigations and inquiries, formal and informal, by the SEC, Nevada State Securities Division and FINRA. We offer personalized legal consultation and advice to assist our clients in evaluating the likely consequences of the investigation and options for mitigating risk.

INTERNATIONAL CLIENT BASE

We have clients from Canada and Asia as well as the United States. Our securities clients represent a good cross-section of industry. Many of our clients are engaged in mining and mineral exploration; others are in ecommerce, independent film production, retail sales, petroleum marketing, green energy, recycling, financial services, stock brokerage, education finance and dozens of other lines of business that are important to the world economy. While a majority of our United States corporate clients are incorporated in Nevada, they are based throughout the United States, with concentrations on the East and West Coasts.

Call (702) 533-8372 or contact us by email (fred@lawbauman.com) to discuss your case or transaction with an experienced Nevada securities attorney.