Our Services

The Sale of Securities pursuant to SEC Registration Statements

 Rule 144 and Rule 144(k) pertain to the sale of restricted stock.  We believe that you should have expert assistance to ensure that all procedures involving the sale comply fully with SEC and be confident that the broker-dealer handling the transaction has the sophistication and ability to secure the best possible price.  We pride ourselves in the prompt processing of forms and expeditious clearing of stock certificates.

10b5-1 Plans - Executives who receive a significant portion of their compensation in the form of options, restricted stock, or stock grants, have a continual need to sell stock. Yet SEC regulations, company insider trading policies, and fears of allegations of insider trading keep many executives from properly diversifying their holdings.  Properly drafted Rule 10b5-1 plans allow executives flexibility to sell the stock while complying with SEC regulations.

Employee Stock Option Plans - We offer professional assistance with qualified and non-qualified stock option plans with cashless exercise. 

Corporate Stock Repurchase - Many public companies employ stock repurchase programs to increase shareholder value or to minimize dilution.  We work closely with our clients to repurchase their own company shares in an efficient, cost-effective manner while in compliance with provisions contained in the federal securities laws.

401k and Retirement Plans - We can help you start, maintain, or transfer retirement plans of all types. Let our investment advisors review your 401k plan needs and other retirement planning goals that you may have.  Our investment professionals can advise you as to the most suitable plan based on number of employees, revenues, etc.