Firm: BA Folk
Practice Areas: Securities Offerings
Amy is one of the founding members and managing partners of BA Folk. She is a litigator with experience in a variety of practice areas including securities law, complex commercial litigation, and products liability defense.. SECURITIES LAWAmy is a former Enforcement Attorney with the North Carolina Securities Division. During her service as a regulator, Amy investigated and prosecuted violations of the NC Securities Act, Investment Advisers Act, and Commodities Act. She focused on enforcement matters related to cryptocurrencies, auto-trading, registration of securities, firms and people, and securities fraud. In addition to working with the Securities Division's internal sworn agents, Amy partnered with the SEC, FINRA and other State and Federal law enforcement agencies to develop her cases.. While in government service, Amy played an important role in drafting the regulations that govern the North Carolina Providing Access to Capital for Entrepreneurs and Small Businesses (NC PACES) Act, and she reviewed the applications for those exemptions.. Amy now uses this experience to advise companies and individuals in the areas of corporate and securities law, including regulatory compliance for investment advisers, broker/dealers and securities, corporate formation, capital raising, broker-dealer and investment adviser formation and registration, securities litigation, white collar criminal defense, FINRA arbitrations, and SEC investigations, litigation, and appeals. Amy has registered investment advisers and broker dealers. She drafts private placement memoranda and subscription agreements. She provides compliance plans, memoranda, and the required contracts and disclosures to companies interested in raising funds using various exemptions like Reg D, Reg A+, and Reg CF. Additionally, Amy works with investment advisers to ensure compliance with the Investment Advisers Act.. CIVIL LITIGATIONAmy also brings large-firm litigation experience to the firm. Amy was a litigator in the Mass Tort practice group at Womble Bond Dickenson, LLP where she represented major medical centers, manufacturers, and service providers on matters involving products liability, toxic torts, explosions, and medical malpractice.. While at Womble, Amy developed and implemented litigation strategies, performed investigations, developed expert witnesses, drafted and argued motions, conducted discovery, negotiated settlements, prepared for trials, and drafted appeals. Beyond litigation, Amy worked with her clients to evaluate their cases, develop budgets, and create internal policies for her clients to decrease the need for litigation.. OUTSIDE THE FIRMAmy is a wife, a mother of two and she currently serves on the multiple boards. From these activities, Amy brings meticulous organization, energy and a sense of humor. Additionally, when advocating for her clients, Amy brings an intensely competitive attitude, honed from her years as a Division I athlete and coach.
Contact: Not Available
