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Business Attorney | Law Office of Maritza S. Nelson, LLC
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  • Home
  • Who We Serve
  • Practice Areas and Fees
    • General Counsel Service
    • Business Law >
      • LLC Formation
      • LLC Operating Agreements
      • Close Corporation Formation
      • Corporate Bylaws
      • Close Corporation Agreements
      • Other Business Law Services
    • Business Contracts >
      • B2B Service Agreements
      • Contract Review and Advice
      • Customer Agreements
      • Financial Agreements
      • Joint Venture Agreements
      • Lease Agreements
      • Noncompete Agreements
      • Nondisclosure Agreements
      • Waiver and Release Agreements
      • Website Privacy Policies
      • Website Terms of Service
    • Business Sales >
      • Business Purchases and Sales
      • Letter of Intent
      • Purchase Agreements
      • Buy-Sell Agreements
      • Membership Interest Transfer Agreements
      • Business Succession & Disaster Planning
      • Business Dissolutions
    • Raising Money From Investors >
      • Private Placement Memorandums
      • Investment Agreements
    • Franchising and Business Opportunities >
      • Franchise Disclosure Documents
      • Franchise Agreements
      • Ohio Business Opportunity Plans
    • Nonprofit Law >
      • Nonprofit Formation
      • Co-op Formation
      • Tax Exempt Status
      • Nonprofit Governance
      • Nonprofit MOUs and Agreements
      • Nonprofit General Counsel Service
    • Intellectual Property >
      • Trademark Search
      • Trademark Registration
      • Trademark Maintenance
      • Copyright Registration
      • Work For Hire Agreement
      • Licensing Intellectual Property
      • Assigning Intellectual Property
      • Proprietary Information and Invention Assignment Agreements
      • Confidentiality Agreements
      • Intellectual Property Audit
    • Employment Law >
      • Employment Contracts
      • Employee Handbooks
      • Employment Policies
      • Independent Contractors
  • Adding Value
    • Legal Audit Checklist
    • Legal Dictionary
    • 7 Common Legal Mistakes
    • Succession and Emergency Planning Worksheet
    • Business Contracts: Review Checklist
    • Webinars >
      • HR 101: Managing the Growing Pains That Come With Growing Your Business
      • Hiring Independent Contractors
      • Legal Audit and Risk Assessment
      • Structuring a Social Enterprise
  • Bio
  • Blog
  • Scheduling
    • Prospective Client Scheduling
    • Existing and Former Client Scheduling
    • Networking Scheduling

Investment Agreements

Investment Agreements

Private Placement
   Memorandums

​Investment Agreements
In addition to issuing a private placement memorandum (or some other similar offering memorandum), the business also needs an investment agreement (sometimes called a subscription agreement). While the PPM provides a lot of disclosures and helps to protect the business and its principals if things don’t work out, the investment agreement is the actual contract between the business and the investor. The investor promises that they are, in fact, sophisticated or accredited investors; they understand they can potentially lose their entire investment, and they agree to pay $X. In exchange for the investment, the business is promising to give the investor the actual securities, i.e., an equity interest in the business or, in some cases, a form of debt owed by the business. 

In addition to the investment agreement, investors who are receiving an equity interest in the business (whether that’s membership interests in an LLC or stock in a corporation) are usually also provided with the company’s  operating agreement  or corporate shareholder agreements to sign. 
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Investment Agreement: $1,050

Note: A standalone investor agreement (without an accompanying offering document) is rarely, if ever, appropriate. All securities transactions are subject to the anti-fraud provisions of state and federal securities laws. This means that the business and its principals cannot make any false or misleading statements, whether orally or in writing, about the business, the securities offered, or the offering itself. In addition to government criminal, civil and/or administrative enforcement actions, the investors in a business can bring a private action for securities fraud and potentially recover a refund of their entire investment. The offering document not only helps to document your compliance with securities laws, but it's the best record of exactly what the business and its principals told potential investors.

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The information contained on this website is not legal advice or legal opinion and should not be relied upon. Furthermore, nothing contained in this website is intended to create or establish, and does not constitute, an attorney-client relationship. 

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