Risks of 409A Non-Compliance (Part 2 of 2)

After asking whether you need a 409A valuation before issuing stock options for your startup, the answer was likely: yes. Still, it is not uncommon for entrepreneurs to reconsider seeking a valuation ... Read more

Should Your Startup Have a 409A Valuation? (Part 1, Series of 2)

Stock options in a startup company can be a valuable form of compensation for employees. Many early startup employees have become wealthy by getting in on the ground floor with stock options that may ... Read more

Financial Elder Abuse In California Securities Arbitrations

California’s Welfare & Institutions Code provides a series of remedies for financial abuse of those age 65 or older. For years, financial elder abuse has been plead in investor arbitration c ... Read more

Can I Recover My Attorney’s Fees?

Litigation is expensive. Although every case is different, it is not uncommon for a case that runs through trial to cost each side hundreds of thousands of dollars in attorney’s fees. As a resul ... Read more

FINRA’s 2016 Regulatory and Examination Priorities Letter

Earlier this year, FINRA released its annual Examination Priorities Letter, which offers its members a glimpse into what they can expect from examinations during the coming year. Click here for a link ... Read more

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