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Russell C. Weigel, III
Mr. Weigel is the founder of InvestmentAttorneys and is a securities lawyer with over 26 years of legal experience. His law firm’s securities transactional and litigation practice is focused on mergers and acquisitions, advising public and private company clients on capital raising transactions and compliance with federal and state securities offering regulations, preparing their SEC reports and registration statement filings, taking companies public, and defending corporate executives and financial professionals involved in shareholder/investor corporate litigation and securities litigation claims, securities arbitrations, and SEC and state securities enforcement matters.
Mr. Weigel currently is the founder of InvestmentAttorneys, a corporate and securities boutique law firm. He is a securities lawyer with over 26 years of legal experience. His law firm’s securities transactional and litigation practice is focused on mergers and acquisitions, advising public and private company clients on capital raising transactions and compliance with federal and state securities offering regulations, preparing their SEC reports and registration statement filings, and taking companies public. In the EB5 and L1 investment and business immigration contexts, the firm provides securities offering and immigration compliance services to regional centers, new commercial enterprises, and foreign and domestic investors. The firm’s litigation practice focuses on defending corporate executives and financial professionals involved in shareholder/investor corporate litigation and securities litigation claims, securities arbitrations, and SEC and state securities enforcement investigations.
Between 1990 and 2001, Mr. Weigel worked for the U.S. Securities and Exchange Commission in various capacities as an enforcement attorney, including four years as a branch chief and two years as a special counsel. In general, Mr. Weigel supervised and conducted investigations and litigated 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 and is the author of a recently published book - Capital for Keeps - written for entrepreneurs and executives on raising capital and limiting litigation risk when doing so. The book is available in stores. Mr. Weigel is also a frequent lecturer on securities compliance issues and provider of continuing legal education seminars to other lawyers.
Questions and Answers
- As a licensed Florida Real Estate Sales Associate, How and where may I lawfully get involved? (4 answers)
- As an overseas agent/broker to what extent is one allowed to have an office to conduct operations in the US - 3rd April, 2013 (2 answers)
- I’ve heard about foreign brokers. How is this different from foreign finders? (3 answers)
- If all the promotion and sales of an investment is done overseas, is US brokers license required? - 3rd April,2013. (2 answers)
- Question on offshore broker/dealers setting up offices in the US and soliciting issuers - 3rd April, 2013 (2 answers)
- Question on SEC involvement asked during USCIS conference (4 answers)
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