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Securities law compliance can be a concern for companies of all sizes. Privately-held companies in California face a host of compliance obligations under state and federal law, and compliance shortcomings can have drastic consequences. We help our clients avoid these consequences with a proactive and strategic approach to compliance. Our clients range from start-ups to established corporations in industries including, but not limited to, manufacturing, distribution, professional services, entertainment, technology, retail, transportation and food services. 

Within our securities law practice, our services include providing advice and representation for:

  • Mergers and acquisitions
  • Joint ventures and strategic alliances
  • Private placements
  • Venture capital and other outside equity investments
  • Business entity selection and formation
  • Corporate ownership, governance and finance issues
  • Contract drafting and negotiations
  • Equity-based compensation for executives and other employees
  • Family-owned business issues
  • Tax considerations related to the issuance of securities¬†