Russell C. Weigel, III, P.A
Based in Miami, Florida, we serve the transactional securities and securities litigation needs of corporate America and the regulated securities industry.
Russell C. Weigel, III, P.A
Based in Miami, Florida, we serve the transactional securities and securities litigation needs of corporate America and the regulated securities industry.
We take companies public and assist them with reporting and compliance obligations.
We consult with private companies to ensure that their capital financing transactions, whether public or private securities offerings, are conducted in compliance with federal and state securities laws, prepare ppms and private placement agreements, prepare blue sky filings, draft shareholder buy-sell agreements and internal corporation documents such as bylaws and resolutions, and draft stock option and other equity incentive plans. We are prepared for the era of general solicitation of private securities offerings (Regulation D Rule 506(c)), and are prepared to assist with crowdfunding programs.
We assist broker dealers and investment advisers with registration and SEC and SRO compliance matters.
Our typical litigation matters include the defense of companies and their employees in SEC investigations and litigation and the defense of customer securities civil litigation and arbitration claims.
We also represent industry participants in the prosecution and defense of claims between securities industry member firms and associated persons.
We are hired as co-counsel by non-securities attorneys, local counsel by non-Florida-licensed law firms, and as independent counsel to serve the needs of officers, directors, and employees of organizations where their interests are served by having separate counsel.
Our nationwide and international client base includes publicly and privately held corporations, emerging and development stage companies, start up corporations, private equity firms, real estate investors and syndicators, securities broker dealers and brokers, investment advisers, and other related businesses.
Main Office
5775 Blue Lagoon Drive
Suite 100
Miami, FL 33126
786-888-4567
Corporate Law
Crowdfunding Legislation in Florida Stalls
Florida's little-publicized crowdfunding bill, which is sponsored by both Republican and Democratic party members, appears to have stalled due to opposition from the Florida Office of Financial Regulation, according to sources attributed in an April 18, 2014 posting by www.crowdfundinsider.com. HB 1299, entitled, "Small Business Investment," is sponsored by Republican State Representative Brian Nelson, []
SEC Case Rules Former Goldman Sachs Vice President to Pay Fine
The former vice president of Goldman Sachs Group was found responsible for an investment of $1 billion in an SEC securities litigation case yesterday. The Manhattan court ruled that Fabrice Tourre must pay an amount over $825,000, which includes civil penalties and a bonus including interest. Additionally, the judge ruled that Tourre is not allowed []
Issuer Compliance Alert
Securities Attorney: Russell C. Weigel investmentattorneys.com Issuers contemplating a capital raise using the new exemptions from registration made available in the JOBS Act must be aware that with freedom comes responsibility. From a compliance perspective, of the various changes to the offering process made available to all issuers by the JOBS Act,
Practice Areas:
-Securities Transactions and SEC/Blue Sky Disclosure Compliance;
-Securities Litigation, Securities Arbitration, and SEC/FINRA Defense;
-Securities Broker Dealer and Investment Adviser Regulatory Compliance.
Mr. Weigel is the president of Russell C. Weigel, III, P.A and a securities lawyer with over 25 years of legal experience. Prior to establishing the firm in 2005, for five years Mr. Weigel worked as a securities transactional and securities litigation attorney in private practice successively for two law firms where he assisted and advised on public company mergers, general corporate and securities regulatory compliance matters, defense of NYSE and SEC investigations, and prosecuted and defended securities arbitration and civil litigation matters.Between 1990 and 2001, Mr. Weigel worked for the Securities and Exchange Commission (also known as the SEC) as an enforcement attorney. Mr. Weigel supervised and conducted over 80 investigations and litigated over 35 civil injunctive and administrative proceedings nationwide on behalf of the SEC, most involving allegations of fraud, sales of unregistered non-exempt securities, or regulatory compliance violations by stock promoters, public companies, broker dealers, investment advisers, and stock transfer agents, among others. Mr. Weigel also supervised investigations and litigated cases involving securities issuers' Ponzi schemes and false financial reporting.Prior to his SEC experience, between 1989-1990, Mr. Weigel served as a Florida assistant state attorney where he tried bench and jury trials in criminal prosecutions. Mr. Weigel is an AV-rated* securities attorney.
Education:
-B.A., Vanderbilt University (1986);
-J.D., University of Miami School of Law (1989).
Bar Admissions:
-Florida (1989), District of Columbia (1990), and New York (2001);
-U.S. District Courts for the Southern District of Florida, Middle District of Florida, and Northern District of Florida;
-U.S. District Courts for the Eastern District of New York and Southern District of New York;
-U.S. District Court for the Eastern District of Michigan;
-U.S. Court of Appeals for the Eleventh Circuit;
-U.S. Court of Appeals for the District of Columbia Circuit.
Professional Memberships:
-Securities Industry & Financial Markets Association, Inc.;
-Association of Securities and Exchange Commission Alumni, Inc.;
-Miami Finance Forum.
-Mr. Weigel serves his local community through continuous service to the Miami Rescue Mission and to Calvary Chapel Miami Beach, Inc.
University of Miami School of Law
Juris Doctorate ,
Practice Areas:
-Securities Transactions and SEC/Blue Sky Disclosure Compliance;
-Securities Litigation, Securities Arbitration, and SEC/FINRA Defense;
-Securities Broker Dealer and Investment Adviser Regulatory Compliance.
Mr. Weigel is the president of Russell C. Weigel, III, P.A and a securities lawyer with over 25 years of legal experience. Prior to establishing the firm in 2005, for five years Mr. Weigel worked as a securities transactional and securities litigation attorney in private practice successively for two law firms where he assisted and advised on public company mergers, general corporate and securities regulatory compliance matters, defense of NYSE and SEC investigations, and prosecuted and defended securities arbitration and civil litigation matters.Between 1990 and 2001, Mr. Weigel worked for the Securities and Exchange Commission (also known as the SEC) as an enforcement attorney. Mr. Weigel supervised and conducted over 80 investigations and litigated over 35 civil injunctive and administrative proceedings nationwide on behalf of the SEC, most involving allegations of fraud, sales of unregistered non-exempt securities, or regulatory compliance violations by stock promoters, public companies, broker dealers, investment advisers, and stock transfer agents, among others. Mr. Weigel also supervised investigations and litigated cases involving securities issuers' Ponzi schemes and false financial reporting.Prior to his SEC experience, between 1989-1990, Mr. Weigel served as a Florida assistant state attorney where he tried bench and jury trials in criminal prosecutions. Mr. Weigel is an AV-rated* securities attorney.
Education:
-B.A., Vanderbilt University (1986);
-J.D., University of Miami School of Law (1989).
Bar Admissions:
-Florida (1989), District of Columbia (1990), and New York (2001);
-U.S. District Courts for the Southern District of Florida, Middle District of Florida, and Northern District of Florida;
-U.S. District Courts for the Eastern District of New York and Southern District of New York;
-U.S. District Court for the Eastern District of Michigan;
-U.S. Court of Appeals for the Eleventh Circuit;
-U.S. Court of Appeals for the District of Columbia Circuit.
Professional Memberships:
-Securities Industry & Financial Markets Association, Inc.;
-Association of Securities and Exchange Commission Alumni, Inc.;
-Miami Finance Forum.
-Mr. Weigel serves his local community through continuous service to the Miami Rescue Mission and to Calvary Chapel Miami Beach, Inc.
University of Miami School of Law Juris Doctorate ,
Practice Area:
-Business Immigration Visa Applications.
Jacqueline Delgado is of counsel to the firm, focusing in the area of business investment visa applications. Ms. Delgado represents businesses and investors in their applications for EB-5 green cards and E-2, H-1B, L-1, O, and P visas.
In addition to her work in immigration business matters, Ms. Delgado also represents individuals seeking green cards, naturalization, asylum, or other humanitarian relief before the Immigration Court.
Further, she has served as In-House Counsel for Butler Search Group which specializes in hospitality recruitment of J-1 and H-2B employees for hotels and private country clubs throughout the United States and other investment and property management corporations throughout the South Florida area.
Ms. Delgado, a former assistant public defender, frequently lectures on the crossroads between immigration law and criminal defense throughout Palm Beach and Broward Counties. She has also argued appeals before the Florida Third and Fourth District Courts of Appeal. Jacqueline is also a member of the Palm Beach County Liaison Committee for the American Immigration Lawyers Association.
Education:
-B.A., University of Miami (2004);
-J.D., St. Thomas University School of Law (2007).
Bar Admissions:
-Florida;
-U.S. District Court for the Southern District of Florida.
Professional Memberships:
-Palm Beach Association of Criminal Defense Lawyers;
-Florida Association of Criminal Defense Lawyers;
-American Immigration Lawyers Association.
Languages:
-English;
-Spanish;
-French.
St. Thomas University School of Law
Juris Doctorate ,
Practice Area:
-Business Immigration Visa Applications.
Jacqueline Delgado is of counsel to the firm, focusing in the area of business investment visa applications. Ms. Delgado represents businesses and investors in their applications for EB-5 green cards and E-2, H-1B, L-1, O, and P visas.
In addition to her work in immigration business matters, Ms. Delgado also represents individuals seeking green cards, naturalization, asylum, or other humanitarian relief before the Immigration Court.
Further, she has served as In-House Counsel for Butler Search Group which specializes in hospitality recruitment of J-1 and H-2B employees for hotels and private country clubs throughout the United States and other investment and property management corporations throughout the South Florida area.
Ms. Delgado, a former assistant public defender, frequently lectures on the crossroads between immigration law and criminal defense throughout Palm Beach and Broward Counties. She has also argued appeals before the Florida Third and Fourth District Courts of Appeal. Jacqueline is also a member of the Palm Beach County Liaison Committee for the American Immigration Lawyers Association.
Education:
-B.A., University of Miami (2004);
-J.D., St. Thomas University School of Law (2007).
Bar Admissions:
-Florida;
-U.S. District Court for the Southern District of Florida.
Professional Memberships:
-Palm Beach Association of Criminal Defense Lawyers;
-Florida Association of Criminal Defense Lawyers;
-American Immigration Lawyers Association.
Languages:
-English;
-Spanish;
-French.
St. Thomas University School of Law Juris Doctorate ,
We take companies public and assist them with reporting and compliance obligations.
We consult with private companies to ensure that their capital financing transactions, whether public or private securities offerings, are conducted in compliance with federal and state securities laws, prepare ppms and private placement agreements, prepare blue sky filings, draft shareholder buy-sell agreements and internal corporation documents such as bylaws and resolutions, and draft stock option and other equity incentive plans. We are prepared for the era of general solicitation of private securities offerings (Regulation D Rule 506(c)), and are prepared to assist with crowdfunding programs.
We assist broker dealers and investment advisers with registration and SEC and SRO compliance matters.
Our typical litigation matters include the defense of companies and their employees in SEC investigations and litigation and the defense of customer securities civil litigation and arbitration claims.
We also represent industry participants in the prosecution and defense of claims between securities industry member firms and associated persons.
We are hired as co-counsel by non-securities attorneys, local counsel by non-Florida-licensed law firms, and as independent counsel to serve the needs of officers, directors, and employees of organizations where their interests are served by having separate counsel.
Our nationwide and international client base includes publicly and privately held corporations, emerging and development stage companies, start up corporations, private equity firms, real estate investors and syndicators, securities broker dealers and brokers, investment advisers, and other related businesses.
Main Office
5775 Blue Lagoon Drive
Suite 100
Miami, FL 33126
786-888-4567
Corporate Law
Crowdfunding Legislation in Florida Stalls
Florida's little-publicized crowdfunding bill, which is sponsored by both Republican and Democratic party members, appears to have stalled due to opposition from the Florida Office of Financial Regulation, according to sources attributed in an April 18, 2014 posting by www.crowdfundinsider.com. HB 1299, entitled, "Small Business Investment," is sponsored by Republican State Representative Brian Nelson, []
SEC Case Rules Former Goldman Sachs Vice President to Pay Fine
The former vice president of Goldman Sachs Group was found responsible for an investment of $1 billion in an SEC securities litigation case yesterday. The Manhattan court ruled that Fabrice Tourre must pay an amount over $825,000, which includes civil penalties and a bonus including interest. Additionally, the judge ruled that Tourre is not allowed []
Issuer Compliance Alert
Securities Attorney: Russell C. Weigel investmentattorneys.com Issuers contemplating a capital raise using the new exemptions from registration made available in the JOBS Act must be aware that with freedom comes responsibility. From a compliance perspective, of the various changes to the offering process made available to all issuers by the JOBS Act,
Practice Areas:
-Securities Transactions and SEC/Blue Sky Disclosure Compliance;
-Securities Litigation, Securities Arbitration, and SEC/FINRA Defense;
-Securities Broker Dealer and Investment Adviser Regulatory Compliance.
Mr. Weigel is the president of Russell C. Weigel, III, P.A and a securities lawyer with over 25 years of legal experience. Prior to establishing the firm in 2005, for five years Mr. Weigel worked as a securities transactional and securities litigation attorney in private practice successively for two law firms where he assisted and advised on public company mergers, general corporate and securities regulatory compliance matters, defense of NYSE and SEC investigations, and prosecuted and defended securities arbitration and civil litigation matters.Between 1990 and 2001, Mr. Weigel worked for the Securities and Exchange Commission (also known as the SEC) as an enforcement attorney. Mr. Weigel supervised and conducted over 80 investigations and litigated over 35 civil injunctive and administrative proceedings nationwide on behalf of the SEC, most involving allegations of fraud, sales of unregistered non-exempt securities, or regulatory compliance violations by stock promoters, public companies, broker dealers, investment advisers, and stock transfer agents, among others. Mr. Weigel also supervised investigations and litigated cases involving securities issuers' Ponzi schemes and false financial reporting.Prior to his SEC experience, between 1989-1990, Mr. Weigel served as a Florida assistant state attorney where he tried bench and jury trials in criminal prosecutions. Mr. Weigel is an AV-rated* securities attorney.
Education:
-B.A., Vanderbilt University (1986);
-J.D., University of Miami School of Law (1989).
Bar Admissions:
-Florida (1989), District of Columbia (1990), and New York (2001);
-U.S. District Courts for the Southern District of Florida, Middle District of Florida, and Northern District of Florida;
-U.S. District Courts for the Eastern District of New York and Southern District of New York;
-U.S. District Court for the Eastern District of Michigan;
-U.S. Court of Appeals for the Eleventh Circuit;
-U.S. Court of Appeals for the District of Columbia Circuit.
Professional Memberships:
-Securities Industry & Financial Markets Association, Inc.;
-Association of Securities and Exchange Commission Alumni, Inc.;
-Miami Finance Forum.
-Mr. Weigel serves his local community through continuous service to the Miami Rescue Mission and to Calvary Chapel Miami Beach, Inc.
University of Miami School of Law
Juris Doctorate ,
Practice Areas:
-Securities Transactions and SEC/Blue Sky Disclosure Compliance;
-Securities Litigation, Securities Arbitration, and SEC/FINRA Defense;
-Securities Broker Dealer and Investment Adviser Regulatory Compliance.
Mr. Weigel is the president of Russell C. Weigel, III, P.A and a securities lawyer with over 25 years of legal experience. Prior to establishing the firm in 2005, for five years Mr. Weigel worked as a securities transactional and securities litigation attorney in private practice successively for two law firms where he assisted and advised on public company mergers, general corporate and securities regulatory compliance matters, defense of NYSE and SEC investigations, and prosecuted and defended securities arbitration and civil litigation matters.Between 1990 and 2001, Mr. Weigel worked for the Securities and Exchange Commission (also known as the SEC) as an enforcement attorney. Mr. Weigel supervised and conducted over 80 investigations and litigated over 35 civil injunctive and administrative proceedings nationwide on behalf of the SEC, most involving allegations of fraud, sales of unregistered non-exempt securities, or regulatory compliance violations by stock promoters, public companies, broker dealers, investment advisers, and stock transfer agents, among others. Mr. Weigel also supervised investigations and litigated cases involving securities issuers' Ponzi schemes and false financial reporting.Prior to his SEC experience, between 1989-1990, Mr. Weigel served as a Florida assistant state attorney where he tried bench and jury trials in criminal prosecutions. Mr. Weigel is an AV-rated* securities attorney.
Education:
-B.A., Vanderbilt University (1986);
-J.D., University of Miami School of Law (1989).
Bar Admissions:
-Florida (1989), District of Columbia (1990), and New York (2001);
-U.S. District Courts for the Southern District of Florida, Middle District of Florida, and Northern District of Florida;
-U.S. District Courts for the Eastern District of New York and Southern District of New York;
-U.S. District Court for the Eastern District of Michigan;
-U.S. Court of Appeals for the Eleventh Circuit;
-U.S. Court of Appeals for the District of Columbia Circuit.
Professional Memberships:
-Securities Industry & Financial Markets Association, Inc.;
-Association of Securities and Exchange Commission Alumni, Inc.;
-Miami Finance Forum.
-Mr. Weigel serves his local community through continuous service to the Miami Rescue Mission and to Calvary Chapel Miami Beach, Inc.
University of Miami School of Law Juris Doctorate ,
Practice Area:
-Business Immigration Visa Applications.
Jacqueline Delgado is of counsel to the firm, focusing in the area of business investment visa applications. Ms. Delgado represents businesses and investors in their applications for EB-5 green cards and E-2, H-1B, L-1, O, and P visas.
In addition to her work in immigration business matters, Ms. Delgado also represents individuals seeking green cards, naturalization, asylum, or other humanitarian relief before the Immigration Court.
Further, she has served as In-House Counsel for Butler Search Group which specializes in hospitality recruitment of J-1 and H-2B employees for hotels and private country clubs throughout the United States and other investment and property management corporations throughout the South Florida area.
Ms. Delgado, a former assistant public defender, frequently lectures on the crossroads between immigration law and criminal defense throughout Palm Beach and Broward Counties. She has also argued appeals before the Florida Third and Fourth District Courts of Appeal. Jacqueline is also a member of the Palm Beach County Liaison Committee for the American Immigration Lawyers Association.
Education:
-B.A., University of Miami (2004);
-J.D., St. Thomas University School of Law (2007).
Bar Admissions:
-Florida;
-U.S. District Court for the Southern District of Florida.
Professional Memberships:
-Palm Beach Association of Criminal Defense Lawyers;
-Florida Association of Criminal Defense Lawyers;
-American Immigration Lawyers Association.
Languages:
-English;
-Spanish;
-French.
St. Thomas University School of Law
Juris Doctorate ,
Practice Area:
-Business Immigration Visa Applications.
Jacqueline Delgado is of counsel to the firm, focusing in the area of business investment visa applications. Ms. Delgado represents businesses and investors in their applications for EB-5 green cards and E-2, H-1B, L-1, O, and P visas.
In addition to her work in immigration business matters, Ms. Delgado also represents individuals seeking green cards, naturalization, asylum, or other humanitarian relief before the Immigration Court.
Further, she has served as In-House Counsel for Butler Search Group which specializes in hospitality recruitment of J-1 and H-2B employees for hotels and private country clubs throughout the United States and other investment and property management corporations throughout the South Florida area.
Ms. Delgado, a former assistant public defender, frequently lectures on the crossroads between immigration law and criminal defense throughout Palm Beach and Broward Counties. She has also argued appeals before the Florida Third and Fourth District Courts of Appeal. Jacqueline is also a member of the Palm Beach County Liaison Committee for the American Immigration Lawyers Association.
Education:
-B.A., University of Miami (2004);
-J.D., St. Thomas University School of Law (2007).
Bar Admissions:
-Florida;
-U.S. District Court for the Southern District of Florida.
Professional Memberships:
-Palm Beach Association of Criminal Defense Lawyers;
-Florida Association of Criminal Defense Lawyers;
-American Immigration Lawyers Association.
Languages:
-English;
-Spanish;
-French.
St. Thomas University School of Law Juris Doctorate ,
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