Securities Attorney San Diego for Founders and Funds
Weintraub Law Group has served as lead counsel on more than 500 public and private offerings — representing the companies and funds raising capital, not investors pursuing claims. Nearly 50 years of issuer-side securities practice, at boutique rates.
Securities Counsel for Founders, Funds, and Companies Raising Capital
Whether you are structuring a first private placement or managing a registered investment adviser's ongoing compliance program, the exposure from a misstep is real. SEC enforcement, FINRA sanctions, and blue sky violations do not wait for a second chance. We work with clients at every stage of the capital formation process to make sure the structure is sound before the offering goes to market.
Our securities practice covers the full range of matters that issuers, sponsors, and financial professionals encounter:
- Private placements and Regulation D offerings — Rule 506(b) and 506(c) exemptions, investor qualification, offering memoranda, and blue sky filings
- Hedge fund and investment adviser formation — fund structure, investment adviser registration, operating agreements, and ongoing compliance
- Public and private offerings — registered offerings, shelf registrations, and secondary transactions
- Crowdfunding — Regulation Crowdfunding and Regulation A+ structures for early-stage capital raises
- FINRA and regulatory compliance — broker-dealer obligations, FINRA examinations, and SEC regulatory response
- Ongoing securities compliance — reporting obligations, Rule 144 transactions, and insider trading policy
Four Practice Areas. One Integrated Counsel.
Each area of our securities practice links to a dedicated subpage with deeper coverage of the relevant rules, structures, and how we approach the work.
Fund formation, investment adviser registration, and the compliance infrastructure that keeps sponsors and RIAs on the right side of the SEC and state regulators.
Lead counsel on 500+ offerings across the full spectrum — from private placements to registered transactions — structured to close without regulatory exposure.
Broker-dealer compliance, FINRA examination response, and SEC regulatory matters for financial professionals who cannot afford a compliance failure.
Regulation D, Regulation Crowdfunding, and Regulation A+ counsel for founders raising capital from accredited and non-accredited investors.
Why Founders and Funds Choose Weintraub Law Group
- Nearly 50 years in securities practice — Rick Weintraub admitted to the bar in 1978
- Lead counsel on more than 500 public and private offerings, private placements, and registered transactions
- Big Law experience at rates under $1,000 per hour — the firm has prevailed against Cooley, Sheppard Mullin, and Procopio
- AV-rated by Martindale-Hubbell, the highest peer-review rating available
- Instructor of securities law at UCLA, UCSD, and USD; NBI CLE presenter on securities compliance
- Issuer-side practice only — we do not represent investor plaintiffs on contingency
San Diego Securities Counsel With a National Practice
Our primary office is in San Diego, and we serve founders and funds throughout California and nationwide for securities, capital raising, and regulatory compliance matters. Clients in Los Angeles, New York, and across the country retain us for the depth of experience that most regional firms cannot match at this rate structure.
If you are looking for a securities attorney in San Diego who focuses on the issuer side of the transaction, we are one of the few firms in the region built specifically for that work.
Frequently Asked Questions About Securities Law
What is the difference between a securities attorney and an investor fraud lawyer?
Most securities attorneys in plaintiff-side practices represent investors who claim they were defrauded. We represent the other side: the companies, founders, and fund sponsors raising capital, issuing securities, or managing compliance obligations. If you are structuring an offering or forming a fund, you need issuer-side counsel, not a litigation firm.
What is a securities attorney for raising capital in San Diego responsible for?
Capital raising counsel structures the offering to qualify for an exemption from SEC registration — most commonly under Regulation D — or guides a registered offering through the SEC review process. We prepare the offering documents, advise on investor qualification, handle blue sky filings in applicable states, and make sure the transaction closes without triggering a securities violation.
Do I need a lawyer to issue stock or sell equity in my company?
Yes. Any sale of equity is a securities transaction subject to federal and state law. Without proper structuring and disclosure, even a straightforward friends-and-family round can create regulatory exposure. The cost of getting it right at the outset is a fraction of the cost of addressing a securities violation after the fact.
Can Weintraub Law Group handle securities matters outside California?
Yes. While our primary office is in San Diego, we handle securities law matters, capital raises, fund formations, and regulatory compliance engagements for clients nationwide. Federal securities law is national in scope, and our practice reflects that.
What is a blue sky filing and when is it required?
Blue sky laws are state-level securities regulations that apply alongside federal law. Even when a Regulation D offering is exempt from SEC registration, issuers are typically required to file notice documents with each state where securities are sold to investors. We handle blue sky compliance as part of every private placement engagement.
How do I know if my capital raise qualifies as a securities offering?
The Howey test, established by the Supreme Court, defines an investment contract as a security when there is an investment of money in a common enterprise with an expectation of profit from the efforts of others. If your capital raise meets that standard — and most equity and debt raises do — it is a securities offering subject to federal and state law. We can assess your specific structure in a consultation.
The Cost of the Wrong Securities Counsel Is Real.
Weintraub Law Group PC is a San Diego-based securities and corporate law firm with nearly 50 years of issuer-side practice. Rick Weintraub, the firm's founder, has served as lead counsel on more than 500 public and private offerings and holds an AV rating from Martindale-Hubbell. The firm has represented founders, fund sponsors, and financial professionals in securities matters throughout California and nationwide.