Soreide Law Group, PLLC
At Soreide Law Group, we help investors, shareholders, and publicly traded companies navigate the complex federal rules governing the resale of restricted or control securities. Our attorneys understand that clearing restrictive legends and ensuring compliance with Rule 144 or other resale exemptions can be time-sensitive and critical to protecting shareholder rights.
Our firm regularly issues Rule 144 legal opinions, Section 4(a)(1) opinions, and Regulation S opinions under the Securities Act of 1933. These legal opinions confirm that your shares qualify for lawful resale, helping you remove restrictive legends and complete compliant transactions.
Our Core Opinion Services
• Rule 144 Tradability Opinions
We assist shareholders in clearing restrictive legends from stock certificates or electronic shares. These opinions verify compliance with key Rule 144 conditions, such as the required holding period, affiliate status, and availability of current public information. Our Rule 144 opinions are frequently requested by brokers, transfer agents, and clearing firms before shares can be deposited or sold.
• Affiliate Sale Opinions
Affiliates and control persons who wish to sell company stock—whether restricted or unrestricted—must meet specific SEC resale requirements and limitations. We prepare tailored Rule 144 legal opinions confirming that all necessary conditions are satisfied, enabling lawful sales through brokerage accounts.
• Section 4(a)(1) Opinions
When Rule 144 is unavailable, particularly for non-reporting or former shell companies, we issue Section 4(a)(1) opinions verifying that the shareholder qualifies for an exemption under established securities law principles.
• Regulation S Opinions
For securities issued offshore to non-U.S. persons, we provide Regulation S opinions confirming compliance with the offshore transaction and resale requirements.
Why Choose Soreide Law Group
Our firm combines deep securities law experience with responsive, practical service. We issue clear, accurate, and timely opinions recognized by major transfer agents, broker-dealers, and clearing firms nationwide. Whether you’re removing a legend or ensuring compliance with resale exemptions, Soreide Law Group provides the precision and reliability you need.
Reach out today for a clear, trusted Rule 144 legal opinion tailored to your situation.
Pending customer claims on BrokerCheck name Michael Graham (CRD 3263494) and list LPL Financial as the firm. Each claim is pending and unproven, and no arbitrator has ruled on any of them. The customers allege that Graham misrepresented guaranteed principal and returns on a secured loan related to a real estate deal.
An SEC decision involving Titan Securities (CRD 131392) of Plano, Texas became final on August 7, 2026, according to FINRA's October 2026 Disciplinary and Other FINRA Actions report. The decision fined the firm $50,000. The record lists the firm as JTA Securities Management, Inc. dba Titan Securities.
Every settled customer dispute on Peter Maller's BrokerCheck report names Lincoln Financial as the firm. Maller holds CRD number 2322403. The newest dispute, filed on March 5, 2024, settled on August 15, 2024 for $12,500 against alleged damages of $50,000. The claimants alleged that the representative represented an oil and gas investment as safe.
Phone:
Fax: 1-954-760-6553
Email: [email protected]