Hamilton & Associates Securities Lawyers
101 Plaza Real S #202 N, Boca Raton, FL 33432, USA
Phone: 561-416-8956 Fax: 561-416-2855
  • Professional Bio

Brenda Lee Hamilton, our law firm’s founder has counseled clients in legal and compliance matters involving securities and financial transactions including underwritten and direct public offerings, equity and debt offerings, corporate legal and compliance matters and restructurings, securities go public direct transactions and disclosures, corporate identity theft and hostile takeovers.
Brenda Lee Hamilton assists clients in all aspects of the go public direct process including filing of Form S-1 and other Registration Statements, Form 211′s with the Financial Industry Regulatory Authority (“FINRA”) and electronic trading applications with Depository Trust Company (“DTC”).

Brenda Lee Hamilton counsels clients in stock exchange listings involving the New York Stock Exchange, American Stock Exchange, NASDAQ and the OTC Markets. She also assists clients with obtaining dual and single go public direct listings on international exchanges such as the Frankfurt, TSX Venture Exchange , Toronto and London exchanges including legal and compliance with regulatory requirements of the various Securities Commissions, including corporate governance matters, liaising with the various Securities Commissions, continuous disclosure and other filing requirements with the various Securities Commissions, prospectus preparation and filings (IPO and non-IPO), domestic and international direct public offerings, preparation and filing of stock exchange listing submissions, compliance with various stock exchange policies.

University of Miami School of Law, Miami, Florida 1993
University of Arkansas, Fayetteville, Arkansas, JD, 1993
Admitted to practice – State of Florida

Hamilton & Associates Securities Lawyers
Because we do things the right way in each step of the going public process our clients obtain public company status and DTC eligibility without unnecessary delays. Since our beginning our end goal has remained the same — to provide highly skilled and efficient representation the right way, for the issuer.

Lawyer - in Law firm with 2-10 attorneys

Practice Areas:
Finance and Investments


Member, American Bar Association Member, Boca Raton Chamber of Commerce Benefactor, Boca Raton Community Hospital Foundation Sponsor, The Haven Benefactor, Boca Raton Historical Society Underwriter, Junior League of Boca Raton Trinkets and Treasures Patron of the Arts, Boca Raton Museum of Art

Skills & Education:
The firm’s practice provides private and public companies with representation in various going public, securities related transactions, disclosure, general business transactions, and business law. Our services include Securities and Exchange Commission (SEC) disclosure and compliance, preparation and review of registration statements filed pursuant to the Securities Act of 1933 and the Securities Exchange Act of 1934, preparation and review of SEC periodic reports and filings, remedial and corrective SEC disclosure, Sarbanes-Oxley compliance and related corrective and remedial disclosure. The firm is recognized for its experience in securities investigations including forensic analysis of securities transactions involving trading activity, short sales and securities transfers. The firm has participated in Dodd Frank matters and internal and corporate investigations of matters involving hundreds of publicly traded corporations with investor losses exceeding an estimated $500,000,000. Notable Representation ♦ Multiple domestic and international oil and gas issuers in connection with its registration statement filed with the SEC and subsequent SEC reports and filings. ♦ Domestic manufacturer of customized armor solutions for tactical and non-tactical transport vehicles, and construction equipment used by the military in connection with its private placement, and registration statement filed with the SEC. ♦ Multiple international and domestic gold, silver and copper mining companies in connection with their private and public offerings, SEC filings and reports, registration statements, corporate matters and going public transactions. ♦ Prescription drug manufacturer in connection with its private offering and its registration statement filed with the SEC. ♦ International hotel and entertainment center in connection with a registration statement filed with the SEC. ♦ Israeli telecommunications provider in connection with a registration statement filed with the SEC. ♦ Assisted a Greece based entity in its corss border purchase of securities. ♦ Application of a Chinese manufacturer for quotation filed with the FINRA. ♦ Alternative fuel company in connection with its registration statement with the SEC . ♦ Central American Mining company listing application for the Frankfurt Stock Exchange. ♦ Listing of an oil and gas company in connection with listing on the Frankfurt Stock Exchange. ♦ A European Alternative Energy Company in connection with a NYSE stock exchange listing. ♦ Russian manufacturer of consumer products in connection with its filing of a registration statement with the SEC and subsequent SEC reports and filings. ♦ Corporate internal investigation after a corporate hijacking which resulted in removal of the Board of Directors and shareholders regaining control of the issuer without litigation. ♦ Controlling shareholders in a dispute involving the hijacking of as multiple publicly traded companies, and/or ticker symbols which resulted in removal of the Board of Directors and legitimate shareholders regaining control of the corporate entity without litigation. ♦ Officer of public company in matter against an issuer, attorney and other securities professionals, based on firm involvement in an estimated $40,000,000 securities fraud by other issuer based upon fraudulent financial statement entries. ♦ A shareholder in a matter against an Issuer and other securities professional involving an estimated $32,000,000 securities fraud based upon non-disclosure of related party and unregistered securities violations. ♦ An entity in a matter involving an estimated $4,000,000 securities fraud based upon an alleged corporate hi-jacking by a transfer agent and its attorney. ♦ An individual in a Dodd Frank matter involving an issuer that inflated its stock price by touting fake treatments for diseases including diabetes, cancer and the HIV virus. ♦ An individual in a Dodd Frank matter involving a fraudulent reverse merger transaction which resulted in the loss of his patent and other intellectual property as well as assisted litigation counsel in regaining control of the patent and other intellectual property. ♦ Representation of an individual in a matter involving criminal and civil referrals under the Dodd Frank Act of attorneys and other individuals, who allegedly established a fictitious law firm to render legal opinions for publicly traded companies. ♦ An issuer, in an internal investigation after a corporate hijacking, criminal and SEC investigations, and related civil litigation. As part of the investigation, Ms. Hamilton reviewed thousands of documents and emails and interviewed witnesses. At the conclusion of the investigation, a corporate indictment and SEC action were avoided by the issuer. The firm is also recognized for its analysis of complex frauds, trading schemes and white collar crimes involving microcap stocks, reverse mergers and securities transactions.

Area served:
Securities Law • Initial Public Offerings; • Direct Public Offerings; • Secondary Offerings; • Rescission Offerings; • Private Placements & Exempt Offerings; • Blue Sky Registration and Exemptions; • Secondary Trading Opinions; • Legal Opinions and Resales Under Rule 144; • Remedial Disclosure; • Preparation and Filing of Proxy Materials; • Section 17(b) Disclosures; and • Investor Relations and Public Relations Matters. Corporate Matters • Corporate Reorganizations; • Mergers; • Acquisitions; • Buy Outs; • Corporate Divorce; • Hostile Takeovers; • Corporate Hijackings; • Corporate Legal and Compliance Matters; • Internal Investigations; • Corporate Identity Theft; • Domestications; • Conversions; and • Corporate Governance Matters;


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