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Securities Legal Counsel For Compliance, Risk Management And Defense

Whether your business is set to go public and sell stocks for the first time or is an established presence in the stock market, your company deserves the edge that solid securities legal counsel can provide. Is your company in need of a regulatory compliance audit or defense in the face of an investigation by The U.S. Securities and Exchange Commission (SEC)? Turn to a legal adviser who has extensive experience addressing these matters from both the business and government sides of the coin.

Founded and led by George Koenig, a former senior attorney in the federal government and a former general counsel with LandBridge Equity, a real estate investment company, Koenig Law Group, P.C., brings reliable, solutions-focused guidance to investors, brokers and emerging and longstanding publicly traded companies. For more than 25 years, Mr. Koenig has helped businesses comply with state and federal securities laws, provided white collar criminal defense and represented clients in complex business litigation. He has guided companies through mergers and acquisitions and represented clients before government agencies, federal departments and the U.S. Congress.

Securities-Related Services

Koenig Law Group offers a full array of legal solutions for publicly traded entities, including the following services:

  • Assistance in registering new broker-dealers and investment advisers
  • Guidance for legally launching and securing investment funds through stocks, bonds, mutual funds, annuities, 529 plans, futures, commodity pools and other financial products and services
  • Conducting SEC compliance audits
  • Responding to SEC disclosure comments
  • Drafting public and private offering documents
  • Responding to disciplinary actions or threats by the Financial Industry Regulatory Authority (FINRA)

Attorney Koenig brings a wealth of experience and knowledge about securities law and related issues from his diverse, productive career to date in government as well as the private sector. He is well prepared to help ensure your business’s compliance with securities laws and, if necessary, represent your company in the face of an SEC investigation.

Securities Investigations

Knowledgeable legal counsel is essential for proactive and reactive responses to securities-related investigations from inside or outside a company. Koenig Law Group offers the services that clients need most in light of audits and investigations, such as:

  • Advising clients facing potential enforcement actions over securities law violations
  • Representing individuals and organizations in SEC and FINRA investigations
  • Assisting with companies’ internal investigations and audits of boards and organizations to ensure securities compliance

Kick-Start Your Winning Strategy

Address your business’s finance-related legal challenges head-on, beginning with a frank discussion with securities lawyer, Mr. Koenig. Call 678-392-4558 or contact the firm online. In a free initial 15-minute consultation, get a glimpse of strategies to protect your interests.