8 Questions to Ask Before Hiring a Securities Attorney

Securities attorney Syndication Attorneys Coeur d'Alene, ID St. Augustin, FL
Are you hiring the right attorney for your securities offering? When interviewing a firm to see if it meets your needs, the first step is to ask the right questions. Here are eight questions that you should ask before hiring a securities attorney.

This article will help you decide what to look for in a securities attorney when you are interviewing to find the best one for your needs. (Or you could just hire our firm!)

  1. How many offerings has the securities attorney or firm done?

Our partners have written more than 350 securities offerings. That has enabled our clients to raise well over $1 billion.

  1. What if you want to do a securities offering but aren’t quite ready? Does the securities attorney provide an introductory rate?

We offer a Quickstart Annual Retainer Agreement. It provides up to three hours of legal advice over the course of a year for just $1,000. We can use this time to review your written marketing materials such as your company profile, business plan or investment summary, websites and educational products. That’s a huge discount off our $525/hour rate. And if you hire our securities attorneys to do a Private Placement Offering within the period of the agreement, we’ll credit the $1,000 toward your lump-sum legal fee.

  1. Does the law firm educate syndicators on the rules of raising private money?

We have an extensive library that we make available to clients. It contains more than 30 articles, videos and guidance documents related to raising private money. Our syndication clients also receive free tuition for two persons to attend one of our educational Syndication & Crowdfunding Workshops. We hold these workshops several times each year at various locations around the country.

  1. Does the securities attorney’s firm carry malpractice insurance for corporate securities work?

We do. Securities malpractice coverage is one of the highest insurance premiums in the industry. That’s why a lot of other firms don’t carry it.

  1. What is the firm’s average total legal fee for past securities offerings?

Although other firms might quote you a low rate up-front, it might not include everything you need. And that could result in your having to pay additional hourly fees. Our lump-sum fees are comprehensive. We won’t “nickel and dime” you.

Our lump-sum legal fees include:

  • A one- to two-hour structuring consultation and unlimited phone calls/emails with an experienced securities attorney while we are drafting your documents.
  • Formation of your legal entities.
  • Drafting of your disclosure documents, subscription agreement and investor agreements.
  • Continuing legal support for six months after your offering is complete.
  • Review of your marketing materials and website.
  • Editing of your business plan.
  • An invitation for two persons to attend one of our two-day syndication workshops (a value of up to $1,500).

We rarely charge supplemental fees. And if you do ask us to do something that will incur an additional fee, we’ll let you know. The best part is that you can get reimbursed for our legal fees from your new company after you raise the money and start operations.

  1. Do the firm’s fees include filing federal and state securities notices?

Our reasonable, lump-sum legal fees include filing a Form D with the SEC and filing required securities notices with up to 10 state securities agencies. We only bill for the actual filing fees. Our time is included in your lump-sum legal fee.

  1. How long does it take to complete your syndication documents?

Our private placement documents take as little as three weeks—depending on how quickly you review them and provide comments. Average time to complete Regulation D offering documents is three to four weeks for specific offerings. It may take a little longer for blind pools. And you should expect approximately six months for regulatory approval of a Reg A+ filing.

  1. Does the attorney have any practical experience with investing or as an issuer of securities offerings?

We do. Collectively, our partners have practical experience as real estate brokers and syndicators/investors.


Our lump-sum legal fees are reasonable and very competitive for the industry. We can help clients in any state with federal securities offerings. We do Regulation D, Rule 506(b) or 506(c), and Regulation A+, Tier I and Tier II offerings. Additionally, we do IPOs and California and Florida intrastate securities offerings.

We have many repeat clients, and we
 want you to be one, too!

NOTE: This information is of a general, educational nature and may not be construed as legal advice pertaining to your specific offering, exemption or situation. Any such advice must be sought from your own attorney pursuant to an attorney-client relationship, after consideration of your specific facts or questions. At Syndication Attorneys, PLLC, we will be happy to discuss your investing goals with you. You can schedule a free, 30-minute consultation by clicking this link.


Are you ready to raise private capital?

At Syndication Attorneys LLC, we are committed to your success – book a consultation with one of our team members today!

Are you ready to raise private capital?

At Syndication Attorneys LLC, we are committed to your success – book a consultation with one of our team members today!

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Are you ready to raise private capital?

At Syndication Attorneys LLC, we are committed to your success – book a consultation with one of our team members today!