Affiliates

An affiliate is a person who is an officer, director, or 10% or more shareholder of the issuer from which the request for restricted legend removal is being requested. Please be advised that we need the following information to complete each non-affiliate legal opinion:

A completed Affiliate Shareholder Representation Letter;
A copy of each certificate (front and back);
A copy of any agreements concerning the shares underlying the certificate submitted for legend removal;
A completed Brokers Representation Letter;
A completed Form 144 ; and
A list of the sales of shares by the affiliate shareholder during previous 90 days.

Once we receive the all of the requested information from the shareholder, we will make every effort to send your legal opinion to the transfer agent within three business days. Please note that the issuer retains authority and control over the acceptance or denial of our legal opinion.

You may contact us by e-mail using the form below. A representative of the firm will respond as soon as possible.