Synopses & Reviews
Raising Capital for Your Company or Your Real Estate Acquisition?
Russell Weigel has been practicing securities law since 1990. For more than ten of these years he was an attorney for the Securities and Exchange Commission. Since 2001, he has been in private practice counseling public and private capital raisers and defending the securities industry and corporate executives from SEC and FINRA enforcement matters.
Russell Weigel opens your eyes to the risks of raising capital but shows you a path to minimize these risks.
Whether private or public, companies raising capital the wrong way and not properly planning for unforeseen events can result in substantial loss. Capital for Keeps is designed to save the entrepreneur thousands of dollars in legal fees by educating them on their options and the standards of conduct expected of them to stay away from the courthouse.
Review
"Russell Weigel's book is valuable for capital raisers and boards of directors as they try to follow complex regulations to avoid the risk of litigation." -- Hon. Arthur Levitt, Jr., Chairman, U.S. Securities and Exchange Commission (1993-2001).
"Russell's book is a great guide for small company execs. If it doesn't both help you and scare you at the same time, you weren't paying attention." -- Jim Czirr, Executive Chairman, Galectin Therapeutics (NASDAQ: GALT).
"Russell takes a very complex subject and presents it in a very readable form. This book is a must-read for startup executives. This information is important, few write about it, and no one else presents it to the people who need it most - the business community." -- Ted Felix, CPA / Former Director AICPA Quality Control Review Division, a former vice-president and trustee of the New Jersey Society of Certified Public Accountants, and for a number of years the co-author of the Thomson Reuters loose-leaf treatise SEC Compliance: Financial Reporting and Forms.
"Nearly every business from a start up to the most seasoned companies need capital. There are many sources of money. Connecting demand with supply while staying within the rules and regulations governing raising capital is what this book is about. Many people think they are following the correct path when looking to raise capital. Visit any business meeting, real estate investment association meeting or seminar where people are teaching how to connect with money and compare what is said and taught to what is in this book and you will see the problem. When learning a new topic it is wise to listen to an absolute expert. Russell is that person and he generously shares that expertise in this book. --Steve Pohlit, CPA / Real Estate Investing and Business Coach/ StevePohlit.com
Synopsis
The author has started working locally in Miami, Florida with Books and Books to integrate into its business network and arrange a book-signing event. He will be promoting events to stimulate interest amongst the business community and will seek speaking opportunities at small business workshops, business incubators, and conferences, which he has done previously. He will also seek guest-speaking opportunities at college and university classes on entrepreneurship, finance, real estate, ethics, and business law. He will seek joint venture opportunities with small business communities, including those that host small business and small public company trade shows. Plans to film videos that will give viewers some basic information from the book, which will provide value to the community as well as market the book. Also seeking magazine advertising and joint venture opportunities with other business-oriented publishers to feature the book.
Social Media: Author has a website for Capital for Keeps online at www.CapitalForKeeps.com. The website features an introduction to the book, testimonials, and bonus feature content. The book is also featured on the author's law firm's social media and website at www.InvestmentAttorneys.com. His events will be updated on the firm's social media and website to reflect the event details.
Twitter Handle: RussellWeigelPA
Facebook page: https://www.facebook.com/InvestmentAttorneys
LinkedIn: https://www.linkedin.com/pub/russell-c-weigel-iii/1/1a1/541
Other social media: https://plus.google.com/+RussellWeigel
The author plans to market the book on three powerful platforms to maximize his potential audience, while creating an engaging approach with events, online, and print advertising mediums. Marketing directly to university entrepreneurship programs.
About the Author
Russell C. Weigel, III, Esq., a Florida resident, has been practicing securities law since 1990. Mr. Weigel served as an attorney for the Securities and Exchange Commission (1990-2001), and then in private practice worked successively for two law firms as a securities transactional and litigation attorney (2001-2005). Mr. Weigel continued his transactional and litigation securities practice since 2005 at his own law firm. Mr. Weigel is an AV-rated securities attorney, a graduate of Vanderbilt University (B.A., 1986), and the University of Miami School of Law (J.D., 1989). Russell Weigel has been a featured speaker at conferences such as MegaPartnering VI, has taught webinars on securities law topics, and is a regular contributing author to the Microcap Review.
Table of Contents
Foreword by Wayne Allyn Root
Foreword by R. Richard Hawkins, II
Chapter 1.Raising Capital---An Overview of the Regulation of Investment Offerings and the Risks of Non-Compliance
Chapter 2.Taking Inventory: Your People, Your Cash Needs, and Your Friends
Chapter 3.Mindset of Management: Corporate Pirates or Kumbayah-Culture?
Chapter 4.What Does "General Solicitation and Advertising" Mean, and Why Is It a Problem?
Chapter 5.Penalties and Problem Areas
Chapter 6.The Solicitation to the Investor: Making an Offer
Chapter 7.Who Can and Cannot Communicate with Prospective Investors
Chapter 8.Who You Should Not Speak to
Chapter 9.Methods of Communicating Financial Offers
Chapter 10.How Much Capital Do You Need? Exemption Planning
Chapter 11.What Is the Roadmap to Raising Capital with the Least Litigation Risk?
Chapter 12.A Simple Real Estate Financing Example
Chapter 13.A Simple Business Buyout Example
Chapter 14.A Simple Start-Up Business Capital Raise
Chapter 15.Capital for Keeps - Keeping Investors Happy
Chapter 16.Professional Assistance
Appendices
Sample Form Officer and Director Questionnaire
Sample Due Diligence Checklist
Sample SEC Form D
Sample New York Regulation D Rule 506 Notice of Exemption
Sample New York Selling Agent Registration
Sample Uniform Consent to Service