About Us

We remain committed to serving our clients' needs during Shelter In Place Orders related to the Coronavirus, and are available by Conference Calls.  Plese send pdf copies of non-classified documents to fladd@sec-law.com.

We provide cost effective and innovative solutions in areas that include:

  • Securities Law, advising entrepreneurs and small businesses how to raise capital at the lowest costs under Regulations A and D, 4(a)(2), and other private offering exemptions;
  • Securities Litigation, representing investors, businesses, and officers and directors before federal and state courts and agencies, as well as FINRA;
  • Corporate Business and Tax Law, helping clients select and structure the best form of business entity to meet their needs, while minimizing taxes and meeting other regulatory requirements, including Federal Acquisition Regulations, Technology Control Plans and ITAR;
  • Corporate Governance, design effective corporate compliance programs that reduce exposure to civil and criminal penalties, meet government contract and exchange listing requirements, and improve management efficiency;

  • Commercial Litigation bring and defend claims for breach of contract and/or fiduciary duty, unfair trade practices, and securities law violations before state and federal courts, FINRA, and foreign courts and tribunals under the Hague Convention.

  • Aviation Law, regulatory filings and actions before the FAA, FAA enforcement, and tort claims.

Mr. Ladd is recognized by peers as a "Super Lawyer" in Securities Litigation, Securities & Corporate Finance and Business Litigation, and is a leading advocate with Congress and the U.S. Securities and Exchange Commission for improving our capital markets while protecting investors.  Mr. Ladd Chairs D.C. Bar Securities Law Committees, leads seminars with Members of Congress, SEC Commissioners, Senior SEC Staff and Internationally and Nationally recognized securities experts.  Mr. Ladd drafted provisions in the JOBS Act and comments to the SEC that were adopted the SEC"s Whistleblower Regulations and the new Regulation  A Amendments.  

This firm was retained by the National Small Business Association to prepare an amicus brief supporting the SEC's new Regulation A Amendments in actions brought by States seeking to void preemption of State Blue Sky registration requirements.  On June 14, 2016, the Circuit Court for the District of Columbia issued a judgment that rejected the States' challenge in Lindeen and Galvin v. SEC,  Case Nos. 15-1149 and 15-1150 (D.C. Cir. 2016), which allows businesses to avoid the costs and delays imposed by State Registration requirements on primary offerings up to $50 Million under Tier 2 of Regulation A.

On November 17, 2016, Mr. Ladd reintroduced a proposal to the SEC Small Business Forum to recommend that the SEC use it rulemaking authority to preempt all primary and secondary sales of Regulation A/Tier 2 securities and registered securities under the 34 Act.  This proposal was adopted as proposed, and if followed by the SEC, will allow businesses to raise up to $50 Million under Regulation A, or up to $75 or $250 Million as a fully registered security, with lower costs similar to those for preparing private offerings restricted to accredited investors.  We congratulate the SEC Small Business Forum for approving these proposals for a second time because these changes will open the door for Regulation A and Smaller Reporting Company offerings to help increase economic growth and good-paying jobs, while enhancing investor protection.

Contact Us


2111 Wilson Blvd., 8th Floor, Arlington, VA 22201

(703) 836-4880


Open today

09:00 am – 05:00 pm

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