Russell C. Weigel, III

Russell Bio Picture

Attorney Russell C. Weigel, III has been practicing corporate and securities law since 1990. A former supervisor and litigator for the Securities & Exchange Commission, he now counsels capital raisers and prepares their offering documents and defends companies and executives from SEC & FINRA enforcement investigations and litigation.

His practice is focused on advising public and private company clients on capital raising transactions, preparing their SEC reports and registration statement filings, taking companies public, and defending corporate executives and financial professionals involved in shareholder/investor corporate litigation and securities litigation claims, securities arbitrations, and SEC and state securities enforcement matters.

Prior to establishing his own law firm in 2005, for five years Mr. Weigel worked as a securities transactional and securities litigation attorney in private practice successively for two law firms where he assisted and advised on public company mergers, general corporate and securities regulatory compliance matters, defense of NYSE and SEC investigations, and prosecuted and defended securities arbitration and civil litigation matters.

Between 1990 and 2001, Mr. Weigel worked for the Securities and Exchange Commission as an enforcement 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.

Prior to his SEC experience, between 1989-1990, Mr. Weigel served as a Florida assistant state attorney where he tried bench and jury trials in criminal prosecutions.

Mr. Weigel is an AV-rated* securities attorney, the highest rating offered by Martindale-Hubbell, and is the author of a recently published book written for entrepreneurs and executives on raising capital and limiting litigation risk when doing so. The book is available in stores and online at www.CapitalForKeeps.com.

EDUCATION 

B.A., Vanderbilt University (1986)
J.D., University of Miami School of Law (1989)

LEADERSHIP, MEMBERSHIP & HONORS

Securities Industry & Financial Markets Association, Inc.;
Association of Securities and Exchange Commission Alumni,Inc.;
Miami Finance Forum.
Mr. Weigel serves his local community through continuous service to the Miami Rescue Mission and to Calvary Chapel Miami Beach, Inc.

 

COURT ADMISSIONS

Florida (1989), District of Columbia (1990), and New York (2001);
U.S. District Courts for the Southern District of Florida, Middle District of Florida, and Northern District of Florida;
U.S. District Courts for the Eastern District of New York and Southern District of New York;
U.S. District Court for the Eastern District of Michigan;
U.S. Court of Appeals for the Eleventh Circuit;
U.S. Court of Appeals for the District of Columbia Circuit.

PRACTICE AREAS

  • Investment Due Diligence
  • Corporate Law
  • Corporate Finance Regulatory Compliance
  • Securities Transaction Compliance
  • Private Placement Offering Documents and Compliance
  • Crowdfunding Issuer and Funding Platform Compliance
  • Blue Sky Compliance
  • Initial Public Offerings
  • Securities Registration
  • SEC Disclosure and Reporting Compliance
  • Broker-Dealer Registration
  • Investment Adviser Registration
  • EB-5 Securities Compliance
  • SEC Enforcement Defense
  • FINRA Enforcement Defense
  • Corporate Investigations
  • Broker-Dealer Arbitration
  • Business Litigation
  • Commercial Litigation
  • Securities Arbitration
  • Securities Litigation
  • Commodities Arbitration
  • Shareholder Derivative Actions