Introduction
For the sake of the firm’s partners and employees, our many valued clients, prospective clients, and our associates throughout the small-cap industry and corporate finance sector; it is my responsibility as the Founder of Legal & Compliance, LLC to address any and all disparaging, false and anonymous rhetoric directed against the firm and the aforementioned parties, no matter how farcical the content or venue where it appears.
It is common knowledge that at least one online platform exists that permits anonymous persons to publish misinformation pertaining to any public company, its officers and directors, and any and all service providers in the small-cap sector and corporate finance industry. Even when said misinformation is baseless and solely intended to harm individuals and companies, anonymous online platforms allow these statements to proliferate. The individuals who author such propaganda are afforded the luxury of anonymity by the operators of said platforms and use aliases as opposed to their actual names.
The anonymous online platform operates in stark contrast to legitimate and well-established industry news websites that only publish factual news stories authored by named and clearly identifiable journalists and contributing writers. Authentic industry journalists take advantage of every possible opportunity to propagate their identities. These reporters endeavor unremittingly to establish and maintain highly credible reputations so that their readership comes to depend upon the value and integrity of their work product.
It is with the utmost humility and gratitude that I thank those in the small-cap and corporate finance community who have come to know me as a bona fide journalist, even though I am a corporate and securities attorney by trade.
With that being said, we at the firm categorically refute and dismiss any and all written materials that are authored anonymously. As clichéd as it sounds, we will not dignify any particular comment with any response other than this summary statement.
Should clients, prospective clients, and our associates throughout the small-cap industry and legal community desire to learn more about the law firm and myself, we recommend that they review any of our websites, podcasts, white papers, blogs and feature stories, many of which have been referenced and/or published in established, well-known industry news outlets.
Additionally, we welcome inquiries from anonymous writers under the condition that they approach us in the same fashion as any true journalist: by providing their name and contact information when introducing themselves.
Financial Motivation
Generally speaking, an individual who dedicates time to any endeavor does so in pursuit of financial gain. Mechanical engineers spend years turning their concept into a working prototype, research scientists do the same in order to perfect innovative pharmaceuticals and medical treatments, and technology experts work incalculable hours to create the next virtual communication breakthrough. Ultimately, if they succeed, they are financially rewarded for their relentless dedication toward achieving a very well-defined and highly calculated goal.
The same is true for the anonymous Internet writer.
In the unlikely and unfortunate event that their misinformation negatively impacts the share price of a publicly traded company they have targeted, short-sellers stand to prosper. Similarly, if their false and negative campaigning dissuades a prospective client from retaining a competitor in their respective field, they may not directly reap financial reward, but their competitor will be deprived of an additional client.
Fortunately, anonymous writers are relegated to a very small and unaccepted Internet platform, and the stories they create are dismissed because they have no identifiable source.
Achievement Entices Critics
Legal & Compliance, LLC has grown dramatically since it was founded in 2001. The firm currently serves many clients domestically and abroad.
We are fortunate to have created a legal team comprised of exceptional individuals, as well as long-standing, positive and productive working relationships with many transfer agents, PCAOB accounting firms, investment bankers, broker-dealers, corporate and securities law firms, and virtually of every other conceivable specialist in the field of securities and corporate finance. Our news-based websites, such as SecuritieslawBlog.com and LawCast.com, have come to proliferate throughout the investment banking community and the Internet itself. The firm’s growth and expansion are directly attributed to the hard work of our talented and dedicated attorneys and support staff as well as the remarkable work product they create.
However, it is impossible to innovate and grow a business in any field of endeavor without encountering naysayers.
Ken Olsen, founder of Digital Equipment Corporation, is now famous for his 1977 quote, “There is no reason anyone would want a computer in their home.” Eighteen years later, in an article published by Newsweek in 1995, renowned scientist Clifford Paul Stoll said the Internet was a fad. In 2005 Sir Alan Sugar, business magnate, technology baron, and a member of the House of Lords said, “Next Christmas the iPod will be dead, finished, gone, kaput.”
Sure, it seems funny now.
We at Legal & Compliance, LLC have no intention of decreasing the intensity of our expansion. We are well aware that the greater our proliferation into the securities and corporate finance sector becomes, the greater the possibility we will inadvertently affront competitors and other individuals who may not be as fortunate. This inevitability comes with the territory.
Freedom of Speech
Freedom of speech is one of the most American liberties. The First Amendment states: "Congress shall make no law respecting an establishment of religion, or prohibiting the free exercise thereof; or abridging the freedom of speech, or of the press; or the right of the people peaceably to assemble, and to petition the Government for a redress of grievances."
People, regardless of race, creed or religion, may speak their minds without fear of reprisal; they are protected by the law. These people have names and faces; anonymous Internet writers, by contrast, do not.
We cordially invite any and all anonymous Internet writers to come forward and enter into an open and intelligent discourse should they do so in a genuine and professional manner. Of course, we request that they identify themselves the same way I have done here.
Sincerely,
Laura Anthony, Esq.
Founding Partner
Legal & Compliance, LLC
Attorney Laura Anthony
Founding Partner, Legal & Compliance, LLC
Corporate, Securities and Going Public Attorneys
Securities attorney Laura Anthony and her experienced legal team provides ongoing corporate counsel to small and midsize private companies, OTC and exchange traded issuers as well as private companies going public on the NASDAQ, NYSE MKT or over-the-counter market, such as the OTCQB and OTCQX. For nearly two decades Legal & Compliance, LLC has served clients providing fast, personalized, cutting-edge legal service. The firm's reputation and relationships provide invaluable resources to clients including introductions to investment bankers, broker-dealers, institutional investors and other strategic alliances.
The firm's focus includes, but is not limited to, compliance with the Securities Act of 1933 offer sale and registration requirements, including private placement transactions under Regulation D and Regulation S and PIPE Transactions as well as registration statements on Forms S-1, S-8 and S-4; compliance with the reporting requirements of the Securities Exchange Act of 1934, including registration on Form 10, reporting on Forms 10-Q, 10-K and 8-K, and 14C Information and 14A Proxy Statements; Regulation A/A+ offerings; all forms of going public transactions; mergers and acquisitions including both reverse mergers and forward mergers; applications to and compliance with the corporate governance requirements of securities exchanges including NASDAQ and NYSE MKT; crowdfunding; corporate; and general contract and business transactions.
Attorney Laura Anthony and her firm represents both target and acquiring companies in reverse mergers and forward mergers, including the preparation of transaction documents such as merger agreements, share exchange agreements, stock purchase agreements, asset purchase agreements and reorganization agreements. Ms. Anthony's legal team prepares the necessary documentation and assists in completing the requirements of federal and state securities laws and SROs such as FINRA and DTC for 15c2-11 applications, corporate name changes, reverse and forward splits and changes of domicile.
Securities attorney Laura Anthony is an approved PAL Advisor with OTC Markets Group, the creator and author of SecuritiesLawBlog.com , the OTC Market's top source for industry news, and the producer and host of LawCast.com, The Securities Law Network, and a contributing blogger for The Huffington Post.
Contact Legal & Compliance, LLC
Inquiries of a technical nature are always encouraged.
