If you are in need of corporate financing assistance or any other aspect of securities law contact us at 1.888.978.9901 or get in touch with us online. The firm's founder, experienced entrepreneur himself, attorney Adam S. Tracy, J.D., M.B.A. has a strong background in criminal and business law and extensive knowledge in the area of securities law and is able and willing to help you.

Corporate Finance Attorney in Your Corner

You can depend on our corporate finance attorney for legal counsel and advice on the full range of public and private financings. Our experience includes all combinations of debt and equity instruments issued by U.S. and international companies in markets all over the world.

Businesses and corporations usually need substantial amounts of capital to get started, to expand and to go public. At The Tracy Firm, we have a securities compliance lawyer who can assist various business and corporations of various sizes with their financing needs. In addition to his legal background, Attorney Adam S. Tracy also has a background as a serial entrepreneur who has a Master of Business Administration (M.B.A.) and a bachelor’s degree in finance. Our firm can assist with various types of private and public offerings, which include the following:

Private Investment in Public Equity (PIPE) transactions: This involves offering a certain amount of the company’s stock at a price that is below the existing market value. This allows the company to speed up the process of selling shares, which in turn allows it to raise capital faster. This type of corporate financing is seen as being particularly favorable for small- and medium-sized public companies.

Private Offerings: In private placements, securities are sold to a smaller group of investors, which oftentimes include large banks, insurance companies, mutual funds, etc. Because of the more exclusive group of investors involved in a private stock offering, registering the placement with the Securities and Exchange Commission (SEC) is not required. The company will, however, need to draft a private placement memorandum to ensure that federal anti-fraud requirements are being met.

Public Offerings: In public offerings, equity shares are made available for sale to the public (defined as 35 people or more). These offerings require SEC registration and approval.

Restricted Stock: These are company shares that are granted to certain insiders in the corporation, which may include executives and other directors. These unregistered shares, which are governed under SEC Rule 144, cannot be transferred until certain criteria have been met. Other common names for this type of stock are “letter stock” and “section 1244 stock.”

Seek counsel from a securities compliance attorney!

At The Tracy Firm, Ltd., we are here to help you decide which corporate financing route is right for your company. We know how important it is for the future of your corporation to have access to sufficient financial resources. Contact us for excellent legal counsel from an experienced securities compliance lawyer!

Hire The Tracy Firm for Effective Representation

We are able to assist with many other types of litigations. The firm’s founder, Attorney Adam S. Tracy, has a strong background criminal and business law and extensive knowledge in the area of securities law. While our firm’s offices are located in Wheaton, Illinois and Beverly Hills, California, we serve clients throughout the United States. Call 1.888.978.9901 now or Contact us online!


Adam S. Tracy, J.D., M.B.A.

Attorney Adam Tracy has a strong background in all facets of commercial law and extensive experience in litigating complex commercial disputes, and is able and willing to help. He is also a well-versed legal scholar in the United States copyright law. A former competitive rugby player and serial entrepreneur, Adam Tracy has a wealth of experience on both sides of the table. He has advised many companies with regards to legal issues, law compliance and capital markets matters.

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