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🍀 G.s. 78a-16 11

a. $1,000,000, less the aggregate amount received for all securities sales by the issuer made in reliance on this exemption within the 12 months prior to the first offer or sale made in reliance on this exemption, if the issuer has not undergone and made available to each prospective investor and the Administrator the documentation resulting from a financial audit or revision.
b. Two million dollars ($2,000,000), less the total amount received for all securities sales made by the issuer in reliance on this exemption within the 12 months preceding the first offer or sale made in reliance on this exemption, if the issuer has undergone and made available to each prospective investor and the Administrator the documentation resulting from a financial audit or review.

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Financial institutions, real estate syndications, and companies in the software, telecommunications, oil, biotechnology, medical device, and life science industries are among the industries for which we provide services.
Our securities and patent lawyers are also working to provide Fintech services for tokenized securities offerings and initial coin offerings (ICOs) using blockchain and smart contracts, as well as crowdfunding and other media-assisted offerings for venture capital funds, portfolio firms, and businesses seeking alternative financing.
In securities fraud, fiduciary duty, and regulatory proceedings, our litigators often represent issuers, officers, directors, investors, broker-dealers, and investment advisors, including before the Financial Industry Regulatory Authority’s dispute resolution division (“FINRA”).

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Columbia University School of Law

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The University of North Carolina at Chapel Hill is a public university in Chapel Hill, North Carolina.

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United States District Court for the Eastern District of New York, United States District Court for the Eastern District of North Carolina, United States District Court for the Southern District of New York, and United States District Court for the Southern District of North Carolina, New York and North Carolina

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Wake Forest University School of Law is a law school in Wake Forest, North Carolina.

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The University of North Carolina at Chapel Hill is a public university in Chapel Hill, North Carolina.

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North Carolina, the Middle District of North Carolina, the Eastern District of North Carolina, the Western District of North Carolina, the 4th Circuit, the Federal Circuit, Florida, the United States Tax Court, California, the United States Supreme Court, and South Carolina

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North Carolina Company, Best Lawyers in America, and NC Super Lawyers are a group of lawyers who have excelled American Law Institute, American Board of Trial Advocates… The Consumer Advocate’s Defective Bid Bonds and Construction Defects Law (919) 313-4571 Law School at the University of Kansas The Pacific Northwest Missouri State University is a public university in Missouri. Kansas, Texas, and North Carolina are represented by the 10th Circuit, the 5th Circuit, the United States Supreme Court, and the 10th Circuit. Dallas Business Journal, Marquis Martindale-Hubbell, University of Kansas School of Law, NW North Carolina State Bar and Texas State Bar…Missouri State University… Analyses of Litigation Involving the FDIC — 1990 Forecast: “THE AGENCIES’ ‘SUPERPOWERS’—The D’Oench, Duhme Doctrine, 12 USC 1823(e), and the Federal Holder in Due Course Doctrine”…

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The most popular securities allegation we’ve seen is when a customer purchases an unsuitable investment that was suggested to them. The suggested investment, for example, might be too risky for the client’s age and other sources of income. Alternatively, the investment may be extremely speculative if the investor requires all of the investment income to meet his everyday needs. Alternatively, the investment could be too large a proportion of his overall holdings. An unsuitability argument appears to have a common thread: the client couldn’t afford to lose any money on the investment, and the broker knew it.
However, whether or not the proposed investment is unsuitable is determined by all of the investment’s circumstances as well as the particular client. Clearly, one client’s investment can be unsuitable whereas another’s is.
Another popular securities allegation arises when a broker fails to adequately clarify the risks and benefits of a recommended investment, or misrepresents the investment’s facts, or fails to disclose relevant details to the client. The broker must provide all material details about the investment to the client so that the client can make an informed decision to purchase the suggested investment. In addition, the broker must have “all material information appropriate to make the statements made not misleading.”

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