Legal & Compliance, LLC
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Securities Attorney Laura Anthony is the founding partner of Legal & Compliance, LLC, a national corporate and securities law firm that represents public companies and private companies going public. Ms. Anthony’s focus includes, but is not limited to OTC Marketplace Companies (OTCBB, OTCQB and OTCQX), going-public transactions and all regulatory reporting requirements. Ms. Anthony’s legal experience and expertise spans registration statements, including Forms S-1, S-4, S-8 and Form 10, PIPE transactions, debt and equity financing transactions, private placements, reverse mergers, forward mergers, asset acquisitions, joint ventures, crowdfunding, and compliance with the reporting requirements of the Securities Exchange Act of 1934 including Forms 10-Q, 10-K and 8-K, the proxy requirements of Section 14, Section 16 filings and Sarbanes-Oxley mandated policies.
Ms. Anthony is recognized throughout the "Going Public" industry as the creator and author of SecuritiesLawBlog.com, the OTC Marketplace news hub, and the producer and host of LawCast.com(c), the securities law network.
Ms. Anthony is an honors graduate from Florida State University College of Law and has been practicing law since 1993. Prior to founding Legal & Compliance, LLC, she served as Chief Legal Counsel for a national investment banking firm and NASDAQ broker dealer with over 200 employees. Ms. Anthony headed the firm's legal and compliance department and coordinated all legal work for the firm including all aspects of FINRA and SEC regulations, FINRA arbitrations, and public and private transactions.
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330 Clematis Street, Ste. 217
West Palm Beach
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