Limited Scope Representation – SEC Form 13H Filing
Last Updated: 9 Sep 2025
1. Conflict Check
Representation will not begin until Sutter Law P.C. completes an internal conflict of interest check. If a conflict is found, we will promptly notify you, if we cannot get a conflict waiver we will release any hold on your credit card or debit card.
2. Scope of Representation
You are engaging Sutter Law P.C. solely to provide SEC Form 13H compliance services in accordance with the package you select:
Package 1 – One-Time Submission – $999 – Prepare and file Initial Form 13H; set up SEC EDGAR account; provide EDGAR username & password; no further obligations after filing unless SEC thresholds are crossed again.
Package 2 – Ongoing Compliance – $999 initial + $599/year until canceled – All services in Package 1 plus annual Form 13H filings until canceled in writing.
Package 3 – One-Time & Withdrawal – $1,699 – Prepare and file Initial Form 13H; set up SEC EDGAR account; file Form 13H Termination (Withdrawal); no further obligations after withdrawal.
The scope does NOT include: legal analysis of your trading strategy or other SEC filings; representation in SEC enforcement actions or investigations; compliance advice outside of Form 13H. Any other services require a separate written agreement.
3. Fees and Payment
Fees for your selected package must be paid in full before work begins. Payments are non-refundable once services are rendered.
4. Client Responsibilities
You agree to: be truthful with Sutter Law P.C. at all times; cooperate fully with the Firm and follow reasonable instructions related to your filing; provide complete and accurate information necessary to prepare your Form 13H filing, including any trading data, account information, or other supporting documents requested; promptly inform the Firm of any information or developments that may affect your Form 13H filing or compliance obligations, including changes in your trading activity, contact information, or broker relationships; respond promptly to the Firm’s communications and requests for additional information; review all draft filings carefully before submission to the SEC; abide by all terms of this Agreement, including payment obligations; keep the Firm informed of your current mailing address, telephone number, and email address at all times; and if necessary, assist the Firm in providing additional documents or appearing for any required proceedings related to your Form 13H filing. Failure to fulfill these responsibilities may delay your filing, impact compliance with SEC deadlines, or result in termination of this engagement.
5. No Guarantee of Outcome
We will provide services in a professional manner consistent with applicable standards of practice. However, we make no guarantees as to any specific outcome or result.
6. Confidentiality
All information you provide to Sutter Law P.C. in connection with this engagement will be treated as confidential and protected by attorney-client privilege and in accordance with applicable laws and the rules of professional conduct governing attorneys in California. We will not disclose your confidential information to any third party without your consent, except: (a) as necessary to perform the services described in this Agreement (e.g., filing your Form 13H with the SEC), (b) as required by law, court order, or applicable regulatory authority, or (c) as permitted under the attorney-client privilege or work product doctrine. Our duty of confidentiality continues even after this engagement concludes. You acknowledge that communications over the internet may not be 100% secure, and you authorize us to communicate with you electronically unless you instruct otherwise in writing.
7. Discharge and Withdrawal
Client’s Right to Discharge: You may discharge Sutter Law P.C. at any time, for any reason, by providing written notice.
Firm’s Right to Withdraw: We may withdraw from representing you with your consent or for good cause. Good cause includes, but is not limited to: your breach of this Agreement (including nonpayment of fees), your refusal to cooperate with the Firm or to follow our advice on a material matter, or any fact or circumstance that would render our continued representation unlawful or unethical under applicable rules of professional conduct.
Financial Obligations Upon Conclusion: When our services conclude, all unpaid charges will immediately become due and payable.
Client Files and Property: After services conclude, we will, upon your request, deliver your file and any of your property in our possession, subject to applicable law.
Fee Dispute Resolution: If you dispute any charges, you have the right under applicable State Bar rules to seek fee arbitration. Sutter Law P.C. agrees to fully participate in any applicable arbitration process. Any disputed funds held in trust will remain in trust until the arbitration or other dispute resolution process is complete.
8. Arbitration Clause
Any dispute, claim, or controversy arising out of or relating to this engagement, including its validity or enforcement, shall be resolved by binding arbitration administered by JAMS in accordance with its Comprehensive Arbitration Rules & Procedures. The arbitration shall be conducted in Contra Costa County, California, before a single arbitrator. Judgment on the arbitrator’s award may be entered in any court with jurisdiction. The Federal Arbitration Act governs this clause.
9. Severability
If any provision of this Agreement is found to be invalid, illegal, or unenforceable for any reason, that provision shall be enforced to the maximum extent permissible, and the remaining provisions of this Agreement shall remain in full force and effect.
10. Modification
This Agreement may be modified or amended only in writing, signed or otherwise expressly agreed to by both you and Sutter Law P.C. No oral modifications will be effective.
11. Entire Agreement
This click-through agreement contains the entire understanding between you and Sutter Law P.C. for the services described above. Any changes must be in writing and accepted by both parties.
Acknowledgment
By checking the box and clicking “I Agree,” you acknowledge that you have read, understood, and agree to be bound by this Limited Scope Engagement Agreement, and you authorize Sutter Law P.C. to proceed with services as described, subject to conflict clearance.