Table of Contents
- Stephen N. Tollefsen
- Securities and Business Attorney
- High Court Supports the Fight against Unsolicited Text Messages
- U.K. Begins to Advance Protection of Whistleblowers
- OSHA Issues New Guidelines for Whistleblower Case Settlements
- Local EB-5 VISA Fraud
- One-year statute of limitations – Embezzlement
- National Whistleblower Appreciation Day
- Federal Anti-kickback Statutes
- Regulatory Compliance: It’s the Little Things…
- Fair Chance – Washington
- WA Consumer Protection Law applies extraterritorially
Stephen N. Tollefsen
Securities and Business Attorney
Steve Tollefsen provides clients with advice and counsel on U.S. transactional, corporate and securities law. A major emphasis of his practice has been serving the needs of start-up, developmental and emerging growth companies, and enabling smaller reporting companies comply with the requirements of state and federal securities laws in a cost-effective manner. He has more than 25 years experience in SEC filings including public offerings, quarterly and annual reporting, proxy solicitations, and tender offers.
Steve has represented both shareholder “activists” seeking representation on the Board of Directors of a public company, as well as representing issuers in defending against insurgent attacks and hostile takeovers. He regularly represents foreign private issuers with capital raising transactions in the United States. Steve’s practice includes assisting public and private issuers regarding strategic alternatives, planning and structuring activities in conjunction with their financing needs, the preparation of disclosure materials utilized in private placements and public offerings of securities, the preparation and filing of current and periodic reports and proxy materials for Exchange Act reporting companies, assistance with corporate governance matters, contract negotiations, and public company compliance matters.
Steve Tollefsen’s work for his clients also includes recurring corporate services such as drafting organizational documents and corporate records (e.g. minutes of directors and shareholders); drafting contracts (e.g. Internet commerce agreements, sale and acquisition agreements, employee equity incentive plans, and transaction-specific contracts); reviewing press releases and corporate communications for compliance with relevant law; advising with respect to corporate governance matters and initiatives relating to audit committees, reporting requirements, and compliance with the Sarbanes-Oxley Act; and advising regarding and completing trademark registration work.
Prior to entering the legal profession Steve worked for several years in the management of a capital equipment manufacturing business. For a number of years he has served on the board of Aboki International, a charitable nonprofit organization. Steve is of counsel to Tollefsen Law.
Contact Stephen N. Tollefsen
Steve can be reached at (425) 353-8883.
Steve attempts to respond without charge to all short email questions. Please do not send any confidential information unless you have formally established an attorney client relationship with our firm.
Licenses & Certifications
Attorney at Law, State of Washington
State Court Admissions
Steve graduated was admitted to the Washington bar in 1997 after completion of a 4-year internship program supervised by the Washington State Bar Association at the direction of the State Supreme Court.
Bachelor’s Degree – University of Washington, 1974
American State Bar Association
ABA State Regulation of Securities Committee
ABA Federal Securities Committee
Washington State Bar Association
Regulatory penalties can be devastating for a company, yet many companies, especially small companies, fail to plan for or devote resources to regulatory compliance. These companies can be confused and incredulous when they become the focus of investigations or sanctions and may delay responding until their very existence is at stake. Proper counsel can help companies understand regulators’ focus which helps them to prepare for and address compliance issues in a timely manner.
Under the CPA an out-of-state plaintiff may bring a claim.against a Washington corporate defendant for allegedly deceptive acts. Similarly, an out:of-state plaintiff may bring a CPA claim against an out-of-state defendant for the allegedly deceptive acts of its in-state agent.