Frederick M. Lehrer

Securities Law

Q: What is a flat-fee securities law arrangement?

Frederick M. Lehrer offers a flexible and transparent flat fee arrangement, allowing clients to pay a predictable monthly fee for unlimited legal services, with the exception of registration statements and large document preparation which are also offered on a flat fee basis.

Q: What securities law services does Frederick M. Lehrer offer?

Frederick M. Lehrer offers comprehensive securities law services including SEC disclosure and reporting, SEC registration statements, going public matters, private placement memoranda, OTC market filings, proxy statements, insider reports, private exemptions, Blue Sky compliance, investor relations compliance, and Rule 506 compliance.

Q: What is Frederick M. Lehrer's background with the SEC?

Before entering private practice, Mr. Lehrer spent nine years as an enforcement attorney in the SEC's Division of Enforcement, investigating and prosecuting fraudulent schemes and other violations of federal securities laws. He also spent three years as a Special Assistant United States Attorney in the Southern District of Florida.

Q: Does Frederick M. Lehrer serve international clients?

Yes. Frederick M. Lehrer, Attorney and Counselor at Law, is a national and international law practice that focuses on securities and corporate law matters. He serves clients worldwide from his office in Clermont, Florida.

Securities Law Attorney

Securities law is a complex and ever-evolving area of practice that governs the issuance, trading, and regulation of financial instruments such as stocks, bonds, and other investment vehicles. For businesses and investors, understanding and complying with these laws is crucial to avoiding legal pitfalls and ensuring successful financial transactions.

Frederick M. Lehrer is an experienced securities law attorney who has spent years helping businesses and individuals navigate the intricacies of securities regulations. His extensive background includes nine years as an enforcement attorney with the Securities and Exchange Commission (SEC) and three years as a Special Assistant United States Attorney, giving him a unique perspective on securities law compliance and enforcement.

What Is Securities Law?

Securities law encompasses a broad range of regulations and statutes that govern the issuance and trading of securities. These laws are designed to protect investors, maintain fair and efficient markets, and facilitate capital formation. Key areas of securities law include:

Registration of securities offerings with the SEC

Disclosure requirements for publicly traded companies

Insider trading prohibitions and regulations

Anti-fraud provisions

Broker-dealer regulations

Investment advisor regulations

Securities laws are in place to help businesses understand and adhere to the regulations set by the governing bodies, such as the U.S. Securities and Exchange Commission (SEC). This includes providing guidance on reporting requirements, insider trading restrictions, and disclosure obligations. By staying compliant, companies can avoid potential fines or penalties from regulatory agencies.

Unlimited, Flat-Fee Securities Services

Frederick M. Lehrer offers a wide range of securities law services tailored to meet the diverse needs of individuals and businesses worldwide. Some of the primary services he offers include:

Corporate securities offerings

When companies plan to raise capital through public or private offerings, they need to comply with securities laws to avoid severe penalties. Mr. Lehrer assists businesses with preparing and filing the necessary documentation required by both the SEC and Florida-specific requirements, such as registration statements, prospectuses, and private placement memoranda.

Investment fraud cases

Investment fraud can result in devastating financial losses for investors. Whether it is a case of Ponzi schemes, misrepresentation, or insider trading, Mr. Lehrer has the experience to protect victimized clients. He works diligently to recover losses and hold liable parties accountable, employing creative strategies that center on enforcing investor rights under Florida law as well as the Securities Act of 1933 and the Securities Exchange Act of 1934.

SEC investigations

Being the subject of an SEC investigation can be intimidating. Frederick M. Lehrer provides clients with skilled representation during regulatory investigations and enforcement actions. His prior attorney experience with the SEC and the US Attorney's office and understanding of securities law and experience in government-related matters make him a trusted advocate capable of defending his clients' rights.

Drafting and reviewing contracts

Contracts play a pivotal role in securities transactions, and ensuring their accuracy is crucial to avoiding disputes and legal trouble. Mr. Lehrer offers meticulous drafting and review services for investor agreements, subscription agreements, partnership documents, and other legal instruments related to securities.

Operating a business in Florida also presents unique challenges and opportunities in securities law. Blue Sky Laws are designed to add an extra layer of protection for investors trading securities locally. These laws require particular disclosures and registration processes to ensure transparency between issuers and buyers.

Why Choose Frederick M. Lehrer?

Attorney Frederick M. Lehrer has built a reputation around his deep industry knowledge and his client-centered approach. By offering unlimited securities services for a single monthly flat fee, he strives to advocate for his clients through open communication and transparent availability.

Extensive experience

With a career spanning three decades including his representation of public companies and private companies going public, Mr. Lehrer offers practical industry insight and hands-on experience for businesses and investors seeking sophisticated legal support.

Personalized attention

Unlike larger law firms, Frederick M. Lehrer provides individualized attention to every case. Clients work directly with Mr. Lehrer to benefit from one-on-one guidance and his unwavering commitment to achieving their goals.

Local representation

Based in the Orlando, Florida area, Mr. Lehrer understands the unique needs of Florida businesses and other businesses worldwide. Whether addressing Florida-specific securities matters or managing federal regulations, his tailored approach aims to make sure his clients receive strategic, locally-informed advice.

Results-driven approach

Securities law disputes or compliance issues often arise at critical junctures in business or investment endeavors. Mr. Lehrer's focus is always on delivering practical and efficient solutions, allowing his clients to move forward confidently.

International Securities Law Attorney

Securities law is a highly complicated and regulated area of practice, and navigating requires a sharp legal mind, practical experience, and attention to detail. Whether you are a business owner raising capital or a Florida professional striving to comply with the law, Frederick M. Lehrer is here to guide you.

Located in the Orlando, Florida area and worldwide, Mr. Lehrer is committed to providing exceptional securities law services that protect his clients' rights and advance their financial objectives. He also offers unlimited corporate and securities services for a flat monthly cash fee to improve the accessibility of his services. Contact the firm today to schedule a free consultation.

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Enforcement Perspective

How an SEC Enforcement Background Changes Securities Law Advice

"The SEC staff reviewing your registration statement is asking one question: does this disclosure accurately describe the company's actual condition, or is it constructed to minimize investor concern? I spent nine years asking that same question on behalf of the Commission. That experience is what I bring to every disclosure review I conduct for clients today."

— Frederick M. Lehrer

Securities law compliance is not a checklist exercise. The Securities Act of 1933 and the Securities Exchange Act of 1934 establish broad disclosure obligations, but the practical question — what does adequate disclosure actually look like for a company in your industry, at your stage of development, with your specific risk profile — is answered through experience, not through reading the statute.

Frederick M. Lehrer served in the SEC's Division of Enforcement from 1991 through 2000. During that period, he evaluated hundreds of filings, participated in investigations of misleading disclosures, and developed a detailed understanding of how the SEC staff identifies disclosure deficiencies. When that experience is applied to the preparation and review of registration statements, periodic reports, and investor communications, the result is disclosure work that is evaluated from the regulator's perspective before it is submitted.

The firm's securities law practice covers the full spectrum of issuer-side representation: SEC periodic reporting under the Exchange Act, registration statements under the Securities Act, Regulation D private placements, Regulation A offerings, Rule 144 tradability analysis, and ongoing compliance advisory for public reporting companies. The firm also advises on SEC comment letter responses — a critical service for companies whose filings have drawn regulatory scrutiny — and on disclosure strategy for companies operating in industries where the regulatory framework is still evolving, including cannabis, artificial intelligence, and digital assets.

Read: How the SEC Builds a Securities Fraud Case →

Contact

Schedule a Free Consultation

Contact Frederick M. Lehrer today to discuss your securities law needs and discover how he can help you achieve your goals.

Enforcement Intelligence

Deep-Dive Analysis from a Former SEC Enforcement Attorney

Understanding how the SEC investigates and prosecutes securities violations is essential for any issuer. These analyses are written from the inside perspective of someone who built these cases.

How the SEC Builds a Securities Fraud Case

Investigation workflow, Wells Notice process, and case pattern analysis.

Form S-1: Where the SEC Applies Scrutiny

The specific S-1 sections that attract the most SEC comment letters.

Rule 144 and Tradability Opinion Risk

Holding period requirements, affiliate status, and opinion letter risks.

Regulation D Enforcement Triggers

The most common Reg D violations that trigger SEC enforcement.

Insider Trading Enforcement Mechanics

How the SEC detects, investigates, and prosecutes insider trading.

Common Questions

Securities Law FAQ

What SEC reports does a public company need to file?+

Public companies must file annual reports (Form 10-K), quarterly reports (Form 10-Q), and current reports (Form 8-K) for material events. Frederick M. Lehrer assists with all SEC periodic reporting obligations, ensuring accurate and timely disclosures.

What is a Rule 506 private placement exemption?+

Rule 506 of Regulation D provides a safe harbor exemption from SEC registration for private securities offerings. Under Rule 506(b), issuers may raise unlimited capital from up to 35 non-accredited investors and unlimited accredited investors. Under Rule 506(c), issuers may generally solicit if all purchasers are verified accredited investors.

What is Blue Sky compliance in securities law?+

Blue Sky laws are state securities regulations that require issuers to register securities offerings or qualify for an exemption in each state where securities are offered or sold. Frederick M. Lehrer handles Blue Sky filings and compliance for both public and private offerings.

What is an S-1 registration statement?+

Form S-1 is the standard SEC registration statement used by companies for an initial public offering (IPO). It requires detailed disclosure of the company's business, financials, risk factors, management, and use of proceeds. Frederick M. Lehrer prepares and files S-1 registration statements for companies going public.

What are insider reporting requirements under Section 16?+

Section 16 of the Securities Exchange Act requires officers, directors, and 10%+ shareholders of public companies to report their beneficial ownership and transactions in company securities. Reports include Form 3 (initial statement), Form 4 (changes in ownership), and Form 5 (annual statement).