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Investors often find themselves in possession of restricted or controlled securities and want to gain market liquidity. To sell restricted securities, the seller must first obtain an exemption under SEC rules and regulations. This process is called a 144 exemption and allows for the public resale of restricted securities.
To sell restricted or controlled securities under Rule 144, there is a six month to one year holding period. There must be adequate information about the issuing company, there are certain limitations regarding commissions, and there are notice requirements for the sale within a 90-day window.
Warren Law Group can prepare your 144 Opinion Letter and work with your transfer agent to gain access to your locked away equity.
The Warren Law Group attorneys, led by Christopher Warren, have joined Scarinci Hollenbeck, LLC. Warren and his team of attorneys help launch a dynamic 25-attorney financial services, government investigations, and business litigation law office in Manhattan, NYC. This deal not only marks a significant expansion for Scarinci Hollenbeck, LLC into New York, but also reinforces its commitment to providing top-tier, diverse legal solutions in the heart of Midtown Manhattan.
“Teaming up with Scarinci Hollenbeck, LLC is a big step for us. It puts us in the league of firms that large companies trust in New York City,” said Christopher Warren, Managing Partner of Warren Law Group. “I’m thrilled to work with my new colleagues at Scarinci Hollenbeck, LLC who, like us, are all about teamwork, innovative solutions, and relentless dedication to our clients. We’re using the latest tools to bring real value to our clients, a kind of value that traditional law firms just don’t offer.”
Press Release: Read the Official Announcement
Scarinci Hollenbeck, LLC defends individuals and companies in all types of litigation. Our team has decades of experience in all types of litigation, white collar defense, securities litigation, and financial services enforcement proceedings.