Laura Anthony, Esq.
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Corporate, Business Transaction and Securities Attorney
West Palm Beach, Florida AreaLaw Practice
Laura Anthony, Esq.
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Laura Anthony, Esq.
500+ connections
Legal & Compliance, LLC
Legal & Compliance, LLC
Founding Partner
Starting October 2001
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Posts
SEC Proposes Transfer Agent Rules
February 23, 2016
SEC’s Financial Disclosure Requirements For Sub-Entities Of Registered Companies
February 16, 2016
SEC Study On Unregistered Offerings
February 9, 2016
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Summary
Securities Attorney Laura Anthony
Founding Partner
Legal & Compliance, LLC
Corporate, Securities and Going Public Attorneys
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.
Moreover, Ms. Anthony represents both target and acquiring companies in reverse mergers and forward mergers, including preparation of deal documents such as Merger Agreements, Share Exchange Agreements, Stock Purchase Agreements, Asset Purchase Agreements and Reorganization Agreements. Ms. Anthony prepares the necessary documentation and assists in completing the requirements of federal and state securities laws and SROs such as FINRA and DTC for corporate changes such as name changes, reverse and forward splits and change of domicile.
Ms. Anthony is recognized throughout the “Going Public” industry as the creator and author of www.Securities-Law-Blog.com, the OTC Marketplace hub for news and regulatory developments. She currently resides in West Palm Beach with her husband and daughter.
Experience
Legal & Compliance, LLC
Founding Partner
Legal & Compliance, LLC
October 2001 – Present (14 years 5 months) | West Palm Beach, Florida Area
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. She currently resides in West Palm Beach with her husband and daughter.
Education
Florida State University
Florida State University
Juris Doctorate
1990 – 1992
Florida State University College of Law
Activities and Societies: Honors
Skills
Private Placements
Mergers
Corporate Law
Venture Capital
Securities Regulation
Securities
Investment Banking
Joint Ventures
FINRA
Private Equity
Mergers & Acquisitions
IPO
Start-ups
Entrepreneurship
Trading
Executive Management
Investments
Corporate Finance
Due Diligence
Intellectual Property
Funding
Corporate Development
Restructuring
Reverse Mergers
Alternative Investments
M&A experience
Structured Finance
Capital
Angel Investing
Public Companies
Financial Structuring
Venture Financing
Investor Relations
Emerging Markets
Corporate Governance
Deal Sourcing
Capital Raising
Mezzanine
Growth Capital
Cross-border Transactions
LBO
Divestitures
Capital Structure
Project Finance
Hedge Funds
Debt Restructuring
Leveraged Finance
Private Equity Funding
Acquisitions
Equity Capital Markets
Recommendations
A preview of what LinkedIn members have to say about Laura:
Laura is someone who is trustworthy and is eager to meet the needs of her clients. Laura has a unique knowledge of numerous areas within the public market for small caps… she is able to add value to her clients on matters ranging from DTC, market makers, reverse mergers, S-1s, private placements, capital structures and other corporate transactions. As a transfer agent, we often work with companies who need opinion letters and quick turnaround time – Laura is always extremely responsive and eager to deliver results.
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Groups
BDCs - Business Development Companies
BDCs - Business Development Companies
Venture Capital – Public Equity – Funding – Investment
Venture Capital – Public Equity – Funding – Investment
JD Supra Updates
JD Supra Updates
Growth Capitalist
Growth Capitalist
Crowdfunding Intermediaries & SEC Notice of Proposed Rulemaking
Crowdfunding Intermediaries & SEC Notice of Proposed Rulemaking
LawCast.com
LawCast.com
DealFlow Source Network | Private Equity, Venture Capital, M&A Deal Flow
DealFlow Source Network | Private Equity, Venture Capital, M&A Deal Flow
OTC Securities Attorneys
OTC Securities Attorneys
SEC Talk
SEC Talk
SIFMA
SIFMA
Reverse Merger Advising
Reverse Merger Advising
Corporate & Securities Law Group
Corporate & Securities Law Group
Regulation A - Updates and Professionals
Regulation A - Updates and Professionals
Securities Attorneys
Securities Attorneys
WOW....Recognized in the industry for writing going public blogs and an honors graduate! She scares me to death!
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