The Law Office of Conrad C. Lysiak, P.S. offers legal services in the following areas:
- Assisting officers, directors and shareholders of private companies going public;
- Drafting, filing and completing Form S-1, Form S-3, Form S-4, Form S-8 and registration statements, and the other various registration statements which can be filed under the Securities Act of 1933, as amended;
- Drafting, filing and completing Form 10, Form 20 and the other various registration statements which can be filed under the Securities Exchange Act of 1934, as amended;
- Maintaining compliance with SEC and FINRA rules, regulations and policies;
- Maintaining compliance with reporting requirements of OTC Markets at the PINK, OTCQB and OTCQX levels;
- Drafting, filing and completing Form 10-K, Form 10-Q, Form 8-K, and the other various reports which are required to be filed under the Securities Exchange Act of 1934, as amended;
- Drafting, filing and completing Private Placement Memorandums;
- Conducting reverse mergers, acquisitions, and forward mergers and acquisitions;
- Maintaining Blue Sky filings and compliance;
- Operating as ongoing corporate attorney to small public issuers;
- Assisting officers, directors and shareholders understanding their roles in publicly-traded companies;
- SEC investigations and enforcement actions;
- Administrative hearings before the SEC, FINRA and the Public Company Accounting Oversight Board (PCAOB); and
- SEC/white collar defense; broker-dealer regulation and compliance.
- We prepare Form 1-A and related documents and schedules in connection with an offering pursuant Regulation A of the Securities Act of 1933, as amended.
- My office offers complete financial filing service – EDGAR, COBRA, FINRA, OTC Markets, SEDAR, SEDI and XBRL. My staff completes filings for my clients and filing only clients as well.
I have decades of legal experience representing clients who operate in the public arena. I am a former compliance officer of an SEC registered stock exchange; former president and compliance officer of an SEC and FINRA registered broker-dealer; and, currently rated AV Preeminent Peer Review Rated by Martindale-Hubbell® attorney, the highest recognition possible for legal abilities and adherence to ethics.
I am a OTCQX Advisor for OTCQX U.S. and a Principal American Liaison (PAL) for OTCQX International with the OTC Markets. To qualify for OTCQX U.S., companies must be sponsored by a third-party OTCQX Advisor. Approved OTCQX Advisors serve as a securities professional knowledgeable in both the disclosure requirements of U.S. securities laws and the most effective investor communications practices. Eligibility is limited to experienced and qualified securities attorneys or certain FINRA member investment banking firms.
Consequences of Failing to Comply with the Law
Failure to comply with state and federal securities laws can result in both civil and criminal actions against corporations as well as their officers and directors. Criminal convictions can result in fines and confinement in state or federal penal institutions. Civil remedies include fines, suspensions, and bars from certain activities. Our objective is to make sure you are regulatory compliant in all areas of your business.
When you or your company need an experienced securities attorney who will provide you with personalized service to achieve your goals call, The Law Office of Conrad C. Lysiak, P.S. at 509-624-1475 or via the form on this website.