Securities

KEY CONTACT: John Y. Kim
OFFICE: 2879 368 949 EMAIL:

Our securities transactional Attorneys provide advice regarding ongoing securities law compliance issues and manage all types of securities transactions, including public equity and debt offerings, venture capital transactions, private placements and other forms of private financing. We are capable of representing corporate issuers, underwriters, placement agents and purchasers in numerous private and public offerings. Furthermore, our securities transactional Attorneys work closely with our firm's securities litigation team. When our Clients invest their hard earned money in and sustain damages from public and private offerings and financings stemming from securities fraud, our adept securities litigators have proven themselves to be successful advocates. We use a team approach in providing legal services by putting at our Clients' disposal the talents and resources of our entire firm. ::Securities Transactions:: Successful businesses, regardless of size, share a common strength: adequate capitalization. Our securities transactional Attorneys have worked closely with large companies and emerging growth companies alike in assisting them with their capital needs while assuring compliance with applicable securities laws. We have the experience and the capability to represent small, medium and large public and private companies in a wide range of securities matters. Our securities transactional Attorneys have experience with the Securities and Exchange Commission ("SEC") compliance issues, including the registration statements. Our securities transactional Attorneys have experience with filing registration statements and working with the SEC on getting them effective. Additionally, our Attorneys are capable in handling all of the reporting requirements a U.S. public company is subject to under the various securities laws and regulations. We have experience with corporate finance transactions, including public company offerings. In addition, we have the qualifications to handle other forms of debt and equity offerings, including secondary offerings, 144A offerings, Reg. S offerings, and convertible debt and bridge financings. Furthermore, we can handle taking private companies public, whether through an underwritten initial public offering, an initial listing by filing a registration statement or a reverse merger. Our securities transactional Attorneys have the qualifications to handle the following securities transactions for our Clients:

  • Initial and Later Stage Public Offerings.
  • Private Equity Placements.
  • Debt Financing.
  • Regulation S Offerings.
  • Rule 144a Private Placements.
  • Registration Statements (S-1s, S-3s, SB-2s, S-8, F-20s, 10, 10SB, etc.) and Periodic Reporting Obligations (10Ks, 10Qs, 8Ks, etc.).
  • Securities Law Compliance Matters, including Sarbanes-Oxley Compliance and Related Corporate Governance Matters.

When you need of a securities transactional Attorney in the Orange County or Los Angeles County area, call us to schedule your free initial consultation. ::Securities Litigation:: Our securities litigation Attorneys have handled a wide variety of lawsuits and arbitrations involving shareholders' and investor's losses due to, among other things, seller and buyer misrepresentations, stock broker or dealer negligence or wrongdoing, corporate management wrongdoing, investor error, or simply bad market conditions. As securities lawyers and investors, our Attorneys thoroughly understand the nature of securities investments and those events and conditions that can or may cause investment losses. Our Attorneys also thoroughly understand the law governing securities transactions, those involved in those transactions, such as stock brokers and dealers, sellers, and buyers, and the shareholders. We have successfully handled securities lawsuits involving the following:

  • Liability for Alleged Misrepresentations and/or Fraud made in the Sale or Purchase of Securities under Federal and State Law.
  • Liability for Insider Trading Liability under the Insider Trading Sanctions Act of 1984, the Insider Trading and Securities Fraud Enforcement Act of 1988, and Other Federal and State Laws.
  • Liability for the Alleged Sale of Unregistered and/or Unqualified Securities under Federal and State Law.
  • Alleged Ponzi Schemes and Endless Chain Schemes (California Civil Code section 1689.2).
  • Aiding and Abetting Liability and Conspiracy Liability.
  • Stock Broker and/or Dealer Liability for Alleged Professional Negligence or Wrongdoing.
  • Alleged Breaches of Shareholder Agreements.
  • Shareholder Rights to Vote and to Inspect Corporate Records and Books.
  • Transactions between Corporations and Shareholders, Directors, and/or Officers.
  • Shareholder Derivative Actions to Assert Corporate Claims.
  • Shareholder Actions Involving the Alleged Wrongful Conduct of Persons, and Controlling the Corporation, including other Shareholders, Directors, and/or Officers, under Jones v. Ahmanson (1969) 1 Cal.3d 93.
  • Dissolutions of Various Entities including but not limited to Corporation and Limited Liability Company.

Our Attorneys have extensive experience appearing in securities arbitrations before the NASD, the American Arbitration Association, and others. We have successfully pursued and defended claims of wrongful termination, churning, failure to supervise, unsuitability of investments, misrepresentations, negligence, breach of fiduciary duty, margin rule violations and failure to settle trades, and violation of various industry rules. When you need the services of a litigation securities Attorney in the Orange County or Los Angeles County area, call to schedule your initial consultation.