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Intellectual Property

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Intellectual Property

Over the years we have dealt with various types of intellectual property situations whether a business or individual is looking to protect, license, purchase, sell or commercialize the asset. A critical point in understanding intellectual property, one needs to know how to protect themselves every step of the way.  While obtaining patents is beneficial for some intellectual property, “market share” and a credible “growth story” are key in getting the right valuation under any transaction scenario.

Patents, while a good defensive tool to potential infringers are useful,  they are also expensive, time consuming and can take years to obtain. Importantly, patents also run the danger of putting your “cook book” in the hands of the public which can be a dangerous risk. In most instances, it’s best to be buttoned up from a document standpoint, and keep this valuable asset under stealth-mode as a trade secret and know-how.

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Mergers & Acquisitions

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Mergers & Acquisitions

Successful M&A transactions come down to an ironclad and well structured term sheet. This will make the deal flow better throughout the due diligence and legal documentation process. Keep this in mind, strategic purchasers are always far better to deal with than financial buyers. They are less concerned with valuation and more with the asset fit against their current product offerings. Also, typically, the process moves much faster.

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Securities / SEC / FINRA Matters

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Securities / SEC / FINRA Matters

We have handled many securities/RICO cases in the federal courts. Be prepared and understand that, with crowded dockets today in most courts, justice might take a while unless you have the “smoking gun” that will lead you to a quick settlement. Prior to running down that path, it is critical to get the right lawyer, one that does not gouge or guarantee a result. There are many moving parts to any litigation, this requires solid preparation and litigation strategy from the out-set.

We also have successfully handled several SEC and FINRA disciplinary proceedings filed against Broker Dealers and brokers in various jurisdictions across the country. In addition, we are involved in several SEC investigations initiated against public reporting act companies.