California Securities Law & Business Law Firm
Stoecklein Law Group is a boutique San Diego securities and business law firm, representing growing companies in California and around the globe. Clients rely on our expertise in general corporate practice, securities law, corporate governance, mergers and acquisitions, and compensation to help them establish and expand their business ventures. Please refer to our practice areas overview for more information about our professional services.
With unique experience in the legal and business world, Stoecklein Law Group provides cost-effective and progressively creative and sophisticated solutions to the challenges faced by modern corporations. Our clients include public and private companies primarily in growth industries, such as gold mining, oil and gas, telecommunication technology, internet and mobile applications, and software and technology, as well as broker dealers and small hedge funds. For businesses seeking to increase revenues and market share, we interface with OTC, NYSE, and NASDAQ. Across our diverse client base and in all matters, we work to provide consistently provide excellent legal advice and truly become an integral part of a client's team of advisors and consultants.
If your organization needs assistance with going public, raising growth capital, or almost any other corporate matter, please contact Stoecklein Law Group.
401 West A St., Suite 1150
San Diego CA 92101
General Corporate Practice
Our firm provides advice on almost any corporate matter. We work closely with the company with regard to its business structure, formation, organization or incorporation, compensation, contract review and labor or employment matters.
We represent issuers, underwriters and selling shareholders and others in many types of public and private transactions involving the offering and sale of securities. We also counsel corporations and their officers and directors in matters of public disclosure and other aspects of ongoing disclosure and compliance with State and Federal securities laws. We assist with the drafting and filing of Forms 10K, 10Q and 8K, as well as assist individuals with the filing of their 16a reports such as Forms 3, 4 and 5.
We assist both public and private businesses to formulate and implement practice and procedures to help ensure that governance issues do not arise. If a governance issue does arise, we can counsel and assist businesses as to management of that issue. We advise corporations and their officers and directors about governance issues, regulatory compliance and similar matters. Our clients receive advice on matters of fiduciary responsibility of directors and officers, disclosure issues, financial reporting, management succession and compensation, board compensation and structure, conflict of interest and change of control matters, including proxy contests, stockholder rights plans and other poison pills, and receive advice regarding OTC, NYSE and NASDQ corporate governance requirements.
Mergers and Acquisitions
We represent clients in acquisitions and divestitures of both publicly held and privately held companies. We assist in the structuring, negotiation and management of the entire Merger and Acquisition process. We also ensure compliance with appropriate public disclosure through the whole process, when necessary.
Restricted Securities Issues
Our office provides information and advice regarding securities acquired in unregistered, restricted issuances from an issuer or unregistered private transfers from an affiliate of issuer. Particularly shares acquired under exemptions such as Section 4(2), Section 4(1/2), Rule 701 and Rule 144 and 145. To request a Legal Opinion contact Jennifer Trowbridge at [email protected]
Registration and Reporting of Public Companies
We prepare and file Registration Statements, such as Form S-1, with the SEC to ensure proper disclosure of material information. We work with each company when drafting and develop complete disclosure of the information required by Regulation. Upon "effectiveness" of the registration statement, we assist the company in the timely filing of their periodic reports such as Form 10K, 10Q and 8K when needed.
Regulatory and Compliance
Our firm can conduct a review of corporate documents and filings to confirm that applicable Federal and State Regulations are being met. We can assist a company in ensuring that they have not violated any Securities laws and counsel the clients to correct any issues.
Executive Compensation/Stock Compensation
We provide services to assist our clients in the development of Compensation Plans ranging from the complex Executive Compensation arrangements to other simpler employment situations. Our services include the creation and management of a Stock Incentive Plan giving our client the ability to compensate employees, directors and others with Incentive Stock Options, Non-Qualified Stock Options and Restricted Stock. We can review, draft and negotiation Employment Agreements and assist in other employment or labor issues.
Public and Private Offering of Equity and Debt Securities
Our firm assists the start-up and development stage companies in structuring venture capital and private equity investments. We also represent public companies in connection with financing transactions under the 1933 Act and disclosure compliance under the 1934 Act. Our experience includes preparing and filing registration statements on From S-1, employee benefit plan registrations on Form S-8, and short form registration statements on Form S-3. We have extensive experience with structuring exempt securities transactions, including private placements.
San Diego, CA
Email: [email protected]
Donald Stoecklein is the Managing Partner of Stoecklein Law Group, LLP . Mr Stoecklein has extensive experience with representing micro-cap and small-cap publicly traded companies. For over three decades, Mr. Stoecklein has been active in all legal aspects of representing publicly traded companies, from assisting them with executing and developing their business plan to listing their securities on a national exchange. He plays a strategic role for clients by structuring registered equity and debt public offerings, PIPEs, equity lines, convertible debentures, venture capital and mezzanine financing. Additionally, Mr. Stoecklein oversees the preparation of registration statements with the SEC, preparation and filing of quarterly and annual reports with the SEC, along with handling board and stockholder meetings. Mr.Stoecklein provides practical business-oriented solutions to his clients' problems, focusing on accomplishing their objectives effectively and efficiently.
B.S. in Economics from the University of San Diego.,
J.D. from Thomas Jefferson Law School in 1975
California - 1976.
U.S. District Court, Southern District of California
Supreme Court of California
American Bar Association
San Diego County Bar Association