Santa Rita Park Securities Lawyers

Sean Prosser defends clients facing investigations and enforcement actions by the U.S. Securities and Exchange Commission (SEC), U.S. Department of Justice (DOJ), including FBI and Grand Jury proceedings, and other government agencies. He also defends companies and their executives in shareholder litigation. With offices in San Diego and Los Angeles, Sean leads Mintz Levin’s California Securities Litigation practice. His clients include public and private companies, officers and directors, board committees, broker-dealers, banks, investment advisors, hedge funds, CPAs, individual stock traders and public officials. Sean regularly represents clients before the following agencies and regulators: U.S. Securities and Exchange Commission...

Jay has represented and advised investors of public companies in shareholder derivative actions and complex class action litigation for over a decade. He helped secure millions of dollars in financial recovery and corporate governance reforms. He investigated and litigated claims involving such issues as accounting fraud, executive compensation, board entrenchment, board elections, corporate takeovers, inadequate internal controls, and violations of the False Claim Act, the Foreign Corrupt Practices Act, anti-money laundering laws, and vehicular and aeronautical safety regulations.

Since 2017, Jay has focused his legal practice on helping entrepreneurs successfully form and operate their businesses, representing clients in contract or business...

Lynne Bolduc, a Partner with Oswald & Yap, practices securities and corporate law. She represents both private and public companies, as well as investment bankers and broker/dealers. Lynne's experience includes entity selection and formation matters for businesses just getting started, contract negotiations and drafting, mergers and acquisitions, private offerings, taking private companies public, and public company reporting with the Securities and Exchange Commission. She has structured and implemented over $1 billion in financings.

I was born in Louisiana and raised in Eastern Arkansas. I was fortunate to receive both my undergraduate education and legal training at leading private universities in the Midwest and California. I also studied for a year in Europe. I have been admitted to practice law in three major U.S. jurisdictions, each of which plays an important role in the commercial life of this country. My knowledge of both business and business law is extensive, having been gained through work in a large corporate law firm, as an in-house attorney for a leading multinational corporation,...

Business attorney with demonstrated record of success in high-stakes litigation. Adviser to multi-national corporations, growth-focused startups, closely held companies and non-governmental organizations. Skilled in dispute resolution, class actions, insurance, financial and regulatory actions. Experience growing businesses from idea to exit. Founder of and adviser to multiple companies in U.S. and abroad.

Mr. Wittenberg began a career on Wall Street 20 years ago. He then attended Berkeley Law where he focused his legal education and securities and business transactions. Upon graduating, Mr. Wittenberg was recruited by large law firms to work on tens of billions of dollars of securities offerings and business transactions. Mr. Wittenberg founded Wittenberg Law several years ago to provide more personalized service to people who are seeking representation from a law firm who will champion their cause, provide strategies and diligence that will achieve their goals, and assist in helping them be winners.

Roger E. Naghash is dedicated to aggressively advocating for the rights and interests of his clients in a broad range of legal matters. He provides customized legal services and representation to fit the specific needs of each client. Always with honesty and integrity, Roger is a fierce advocate who fights for the justice his clients are entitled to under state and federal laws. He is committed to keeping clients informed and involved, and pursuing the best possible outcomes with quality, hands-on, and affordable service.

Roger earned his B.S. from Western State University and his J.D. from Western State University College of...

Kresimir Peharda is a corporate and M&A attorney.

Kresimir advises on commercial agreements, corporate and corporate governance, investment, M&A, and securities. He represents private equity funds, multi state operators, and public companies in acquisitions and vertically integrated companies in sales, financing and reorganization transactions.

Kresimir has represented companies in all stages of development from start-ups to public reporting companies in various industries including education, healthcare, real estate, technology and software. His clients benefit from his experience representing public companies and hands-on operational experience in three start-ups, two in healthcare and one in real estate.

His clients...

John P. “Jack” Kennedy is an associate at the Disclosure Law Group, APC. His practice primarily focuses on mergers, acquisitions, reorganizations, and securities regulations. He is licensed to practice law in California and Washington D.C. Mr. Kennedy has represented both private and publicly held companies in a wide range of transactions. Some of his notable transactions include: negotiating the stock purchase of a subsidiary of an internet technology company from a publicly- traded corporation through a 338(h)(10) election; redeeming the repurchase of shares from an officer of a multi-million dollar technology company; negotiating equity swaps between various corporate entities;...

Jin H. Kim is a skilled and knowledgeable Attorney at Sparer Law Group. Her practice areas include a variety of Business, Securities, and Real Estate Law matters. Ms. Kim has more than a dozen years of experience advocating for clients with legal needs. She is committed to providing the highest quality legal representation.

Ms. Kim received a B.A. and M.A. from the University of California, Berkeley. In 1999, she obtained her J.D. from the University of California, Berkeley School of Law. Ms. Kim is a member of the State Bar of California.

Kevin K. Hull is an experienced securities lawyer who benefits clients with his multifaceted background from multiple positions in the securities industry, regulation and law since 1988. Prior to reentering private practice, Mr. Hull was the CEO of Grubb & Ellis Securities, Inc., a position he held for nearly six years. Responsible for all aspects of the firm, including compliance, accounting, national accounts and sales management, Mr. Hull was successful in managing the structure and operations of the firm to be in line with current regulatory expectations while achieving sales during his tenure of approximately $3.4 billion across multiple product...

Matthew R. Wilson is a managing partner at Meyer Wilson, LPA. Born in Circleville, Ohio, he earned his B.A. in Philosophy from Denison University in 1997 graduating magna cum laude, Phi Beta Kappa. He went on to attend law school at the University of Virginia in Charlottesville, Virginia, where he earned his J.D. in 2000. After law school, Mr. Wilson spent two years working for Vorys, Sater, Seymour, & Pease LLP and another four years working for the international law firm Jones Day. During that time, he defended many of the world's largest financial institutions and other corporations in a variety...

Brett Evans delivers experience in securities, corporate, mergers and acquisitions, energy and tax law with his securities career beginning in 1995. At Evans Law, PC, Evans counsels corporations, asset management companies, securities issuers, broker-dealers, investment advisers, registered representatives and other financial industry participants in the areas of securities offerings, arbitration, litigation, broker-dealer and registered investment adviser regulation, compliance, due diligence, securities investigation and enforcement and a diverse range of transactional matters. During his career, Evans has been involved in structuring and drafting more than $1.7 billion in private placement and joint venture transactions in energy, real estate and...

Since 2004, Ms. Smith has dedicated her practice to representing individuals - including employees and consumers - in complex litigation against some of America's largest companies. She has successfully fought for these plaintiffs in cases involving labor law (wage and hour) violations, consumer fraud, unfair competition, securities fraud, antitrust, asbestos exposure and defective products.

Prior to joining Aegis Law Firm, Ms. Smith worked with the Hon. Scott B. Cooper at The Cooper Law Firm prior to him being appointed to a judgeship with the Orange County Superior Court, where they represented employees and consumers in wage and hour and consumer...

Hornstein Law Offices, Prof. Corp. is a 20-year old California-based law firm concentrating in business, securities, intellectual property and related transactions and litigation. We have served clients across the country and in abroad. Our client base ranges from individuals. start-up companies to multi-national corporations in all fields of business. Mr. Hornstein has been in practice for 30-years. Prior to HLO, he was with large international law firms and in-house corporate counsel. Please call to discuss any questions in these areas.

Phil Cook is a first-chair business trial lawyer with experience in jury and bench trials, as well as domestic and international arbitrations before AAA, FINRA and ICC panels. He has argued appeals in the Ninth Circuit and the California Court of Appeal.

Although Phil focuses on policyholder insurance recovery, corporate governance and partnership disputes, and securities and financial products claims, he has represented clients in individual and class action cases involving contract disputes, Business and Professions Code section 17200 claims and other business torts, antitrust and trade regulation, patent and trademark infringement, trade secrets, product liability and toxic torts, governmental...

Mr. Young is a graduate of Harvard College and The Cornell Law School. He was Law Clerk to the Chief Justice of the Supreme Court of Alaska, and Assistant Attorney General of Alaska. Mr. Young was a member of the legal team involved in the structuring and financing of the Trans-Alaska Oil Pipeline, one of the largest construction projects in the United States. He was further involved in the litigation which allowed the Trans-Alaska Oil Pipeline to be successfully built. Besides business transactions and litigation, Mr. Young is experienced in complex litigation against State and Federal Governments and Agencies, including...

Mr. Morris is a former SEC Enforcement Attorney. He specializes in complex securities litigation with special emphasis in representing issuers, officers and directors, investment funds, analysts, and brokers in connection with Securities and Exchange Commission and Financial Industry Regulatory Authority investigations, litigation, and arbitration.

Glenn Fuller is a partner and business lawyer with Raines Feldman LLP, where his practice centers on a wide array of matters including real estate acquisition, financing, and leasing of a variety of commercial urban and regional development, redevelopment and revitalization projects.

Terrance J. Evans is a partner in the Trial Practice Group of Duane Morris in San Francisco. He concentrates his practice in representing the financial services industry, which includes international, national and community banks; loan service companies; and insurance companies.

With respect to the insurance industry, Mr. Evans concentrates his practice in complex commercial litigation and policy interpretation and analysis. He has represented commercial primary, excess and umbrella insurers in a wide range of multimillion-dollar cases, including declaratory relief, bad faith, rescission, subrogation, indemnity, additional insurance, interpleader and reformation actions.

In relation to the banking industry, Mr. Evans has represented international,...

We have a national practice and exclusively represent investors in claims against brokerage firms for securities fraud, the sale of unsuitable investments, defective financial products, breach of fiduciary duty, and the failure to supervise. FINRA Securities Arbitrations. We handle all cases on a contingency fee basis meaning that there is no cost or obligation, unless we are able to make a recovery for you, and there is never any charge for a free consultation. Contact Us.

Mr. Thomas graduated from the University of Florida in 1984 and received his Juris Doctorate from the University of Florida College of Law in December 1987. He became a member of the California Bar in 1988. With over 1,500 cases and 26 years of experience in every type of investment case Mr. Thomas has a proven track record of success. As an advocate for investors Mr. Thomas utilizes his extensive experience and knowledge of the securities and commodities markets as a former licensed Series 7 stockbroker and Series 3 commodities broker with Shearson Lehman Brothers. His professional memberships include the...

Michael Gallo is a dedicated and skilled Business, Employment, and Securities Law Attorney with Sparer Law Group. Since 2002, he has represented clients in a broad array of areas involving securities, employment, employee raiding, trade secret, public utility ratemaking, and professional responsibility. His experience includes plaintiff and defendant class action matters as well. Mr. Gallo is committed to providing comprehensive representation for his clients' legal needs.

Mr. Gallo received his B.A. from Swarthmore College and M.A. from University of California at Berkeley. In 2001, he obtained his J.D. from the University of California at Berkeley, Boalt Hall School of Law. Mr....

Chad M. Kohler, an associate attorney at Meyer Wilson, LPA, was born in Sidney, Ohio. He attended the University of Dayton and graduated cum laude in 1998 with a B.A. After earning his undergraduate degree, he attended the Case Western Reserve University School of Law and earned his J.D. in 2001. After graduating from law school, Mr. Kohler focused his practice on business litigation involving contracts, fiduciary relationships, and business torts. Later, he worked as a stockbroker at one of the nation's largest brokerage firms and obtained his Series 7, 63, and 65 securities licenses. In addition, Mr. Kohler has managed regulatory...

As Principal FINRA Attorney of Zafis Law, R. Craig Zafis, APC, provides experienced and effective legal counsel for matters of Securities Fraud / Regulatory Defense, SEC / FINRA investigations and securities arbitration matters. We Defend firms, advisers as well as private investors under a wide variety of circumstances.

Kyle K. Lauby is a partner in the Riverside office of Fernandez & Lauby. Mr. Lauby graduated in 2003 from the University of California at Los Angeles School of Law with a specialization in business law. In 1999, he graduated magna cum laude from Arizona State University with a Bachelor of Science degree in Business. Mr. Lauby is admitted to practice in the State of California and before the United States District Court for the Central District of California. He has litigated cases in a variety of practice areas, including construction defect, wrongful death, personal injury, securities fraud, antitrust, and general...

David T. Bartels is an experienced business attorney, representing businesses, and their officers and directors, in government enforcement actions, class actions and complex commercial litigation, as well as transactional and regulatory issues.

His experience includes securities and government enforcement litigation, complex commercial litigation, and intellectual property litigation. Mr. Bartels advises corporate directors and defended individuals, companies, underwriters, financial institutions and accounting firms in shareholder class action and derivative lawsuits, merger and acquisition disputes and in proceedings before the Department of Justice, the Securities and Exchange Commission (“SEC”), the Financial Industry Regulatory Authority (“FINRA”) and the Federal Trade Commission (“FTC”). Mr. Bartels...

Patrick Delahunty is a former federal prosecutor and a seasoned trial attorney with more than 15 years of experience litigating in federal and state courts. Patrick’s practice focuses on white-collar criminal investigations and litigation resulting from them, including regulatory issues and corporate litigation. He guides his clients with clear advice about their options, legal risks, and—most importantly—the full spectrum of their rights that he will vigorously protect. At each step of the way, he looks for efficient and cost-effective solutions. He has a long track record of securing successful outcomes for his clients with this approach. Prior to...