CEO's GUIDE to planning
a private capital raise
- Explains the legal risks of seeking investors incorrectly
- Helps you plan to raise private capital correctly
- Educates you to know what you need from your lawyers
About The Author
Russell C. Weigel, III, Esq.
Author, Speaker, Attorney and former SEC Attorney
About Russell C. Weigel, III, Esq.
Mr. Weigel, a Florida resident, has been practicing securities law since 1990. Capital For Keeps is a product of his government regulatory and private practice of law experiences. These private sector experiences include fifteen years of advising public and private company clients on capital raising transactions, preparing SEC reports and registration statement filings, taking companies public, counseling on general corporate and securities regulatory compliance matters, and defending corporate executives and financial professionals involved in shareholder/investor corporate litigation and securities litigation claims, securities arbitrations, and SEC, FINRA, and state securities enforcement matters, among other types of representations.
Mr. Weigel’s perspective is also founded on his more than ten years’ of experience working for the Securities and Exchange Commission enforcing the federal securities laws as an attorney. Mr. Weigel supervised and conducted investigations and litigated civil injunctive and administrative proceedings nationwide on behalf of the SEC, most involving allegations of fraud, sales of unregistered non-exempt securities, or regulatory compliance violations by stock promoters, public companies, broker dealers, investment advisers, and stock transfer agents, among others. Mr. Weigel also supervised investigations and litigated cases involving securities issuers’ Ponzi schemes and false financial reporting.
Ted Whitlock, Registered Patent Attorney, P.A.
As a patent lawyer, I constantly run into very early-stage entrepreneurs with a simple (sometimes brilliant!) idea and a hope to make money -- with little cash, even struggling to come up with the money for an initial patent filing. Your book gives me the general outline of why, and how, to avoid the pitfalls, and why early planning is essential.
Dan Bradbury, V-Rooms
I read your book over the weekend.... Very insightful for those needing to raise capital.
Judy E., Senior Living Center Developer, Melbourne, FL
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Wayne Allyn Root, American politician, entrepreneur, television and radio personality, author, television producer and political commentator
I've had the pleasure to know Russell and one thing is clear, he is on a mission to protect America's business community and support our economy. These are goals that I share.
Hon. Arthur Levitt, Jr, Chairman, US Securities & Exchange Commission (1993-2001)
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.
Ted Felix, CPA, Former Director AICPA Quality Control Division, a former VP 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
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.
JIM CZIRR, Executive Chairman, Gelactin Therapeutics (NASDAQ: GALT)
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.