Laura Anthony, Esq.
Founding Partner
LAnthony@LegalAndCompliance.com
Attorney Laura Anthony is an honors graduate from Florida State University College of Law and has been practicing law since 1993. After receiving her Juris Doctorate, she was admitted to the Florida Bar and began her career in West Palm Beach, Florida, where she developed expertise in the fields of corporate and securities law. Ms. Anthony is licensed in the state of Florida.
After working with Cohen, Norris, Scherer, Weinberger and Wolmer for six years in an of-counsel relationship, Ms. Anthony became Chief Legal Counsel for a national investment banking firm and NASDAQ broker dealer with over 200 employees. Ms. Anthony managed the firm’s legal and compliance department and coordinated all legal work for the firm in regard to FINRA and SEC regulations, FINRA arbitrations, and public and private transactions.
In 2001 Ms. Anthony founded Legal & Compliance, LLC, a law firm designed to represent small and mid-size private and publicly held companies, their officers and directors.
Ms. Anthony’s focus includes but is not limited to crowdfunding, registration statements, including Forms S-1, S-4, S-8 and Form 10, PIPE transactions, private placements, reverse mergers, and compliance with the reporting requirements of the Securities Exchange Act of 1934 including Forms 10-Q, 10-K and 8-K and the proxy requirements of Section 14. Moreover, Ms. Anthony represents both target and acquiring companies in reverse mergers and forward mergers, including preparation of deal documents such as Merger Agreements, Stock Purchase Agreements, Asset Purchase Agreements and Reorganization Agreements. Ms. Anthony prepares the necessary documentation and assists in completing the requirements of federal and state securities laws and SROs such as FINRA and DTC for corporate changes such as name changes, reverse and forward splits and change of domicile.
Ms. Anthony is highly regarded in her field and has built lasting relationships with clients and corporate professionals alike. The firm’s trademark philosophy is to practice law from a business perspective, concentrating on avoiding problems, not just solving them.
Ms. Anthony is a member of the Society of the Four Arts, Young Friends of the Norton Museum of Art, Palm Beach County Zoo Society, Kravis Center for the Performing Arts, the Palm Beach County Bar Association, Crowdfunding Professional Association (CfPA), the Florida Bar Association and the ABA committee on Federal Securities Regulations. She is active in her community and volunteers her time with various charitable organizations. She currently resides in West Palm Beach with her husband and daughter.
Lazarus Rothstein, Esq.
Of Counsel
LRothstein@LegalandCompliance.com
Mr. Rothstein has held senior legal positions in a number of public companies in addition to his experience in the private practice of law. At CD International Enterprises, a U.S.-based company that produces pure magnesium in China and provides business and financial consulting services, Mr. Rothstein was responsible for Securities and Exchange Commission compliance work, mergers and acquisitions, drafting and negotiating a wide variety of contracts and managing litigation.
At Elizabeth Arden, a global prestige fragrance and beauty products company with operations in over 17 countries, Mr. Rothstein supported major business units in negotiating customer and product supply agreements, license, distribution, marketing, logistics and information technology agreements. Mr. Rothstein successfully completed several mergers and acquisitions, and was responsible for SEC compliance and reporting and public debt and equity offerings.
Previously, Mr. Rothstein worked in the legal department at the Sports Authority, the nation’s largest full-line sporting goods retailer, operating over 385 stores throughout the United States. Mr. Rothstein was involved in the negotiation of vendor supply agreements, marketing and sponsorship agreements and providing strategic legal advice and support on a wide range of other contracts, SEC matters, litigation and the successful $1 billion merger with Denver, Colorado-based Gart Sports.
Mr. Rothstein was the general counsel at Daleen Technologies, a billing and customer care software provider for which he supported an international sales team in the negotiation of software license and service agreements. In addition, Mr. Rothstein was responsible for general corporate matters that included drafting employment and non-compete agreements, human resources compliance, patent and trademark management, SEC compliance and litigation matters.
Mr. Rothstein was also the general counsel at Let’s Talk Cellular & Wireless, a specialty retailer of wireless communication products and services that operated over 270 stores in the United States. Mr. Rothstein negotiated commercial leases, joint venture agreements, sales agency agreements, intellectual property, technology license and operating agreements, and numerous acquisitions of retail store chains, and oversaw the real estate, legal and construction departments during a period of rapid growth.
While in the private practice of law, Mr. Rothstein has represented corporations, partnerships and entrepreneurs in general business transactions, raising capital, real estate sales and leasing, mergers and acquisitions, and commercial litigation, and represented high-net-worth individuals in estate planning.
Prior to entering private law practice, Mr. Rothstein was a law clerk with the U.S. Securities and Exchange Commission.
Mr. Rothstein earned his Bachelor of Science in Accounting from Florida State University and his Juris Doctor Degree from Nova Southeastern University Law School.
Mr. Rothstein is a member of the Florida Bar and is a past president, treasurer, secretary and board member of the Association of Corporate Counsel’s South Florida Chapter, a corporate bar organization with over 350 members in Miami-Dade, Broward and Palm Beach Counties in the state of Florida.
