North Palm Springs Securities Lawyers

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,...

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...

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...

Ryan C. Nerney, Esq. is a Senior Associate in the San Diego office of Tully Rinckey PLLC, where he focuses his practice primarily on national security law, with experience in federal employment and military matters. Ryan represents clients who have security clearance issues against agencies such as CIA, NSA, DIA, DOD, NRO, and DOE. He has represented numerous clients in security clearance revocation proceedings and has a proven record of saving clients’ jobs, as well as anticipating and resolving potential future issues with their security clearances.

Prior to joining Tully Rinckey PLLC, Ryan spent more than five years representing clients in...

With exceptional experience in securities dealings and business, I am a corporate and transactional attorney focused on helping business owners succeed. My professional journey encompasses significant roles on both the lender/underwriter side and the company side, allowing me to navigate complex legal landscapes effectively. I provide legal guidance on every aspect of starting, maintaining, and expanding a business. My clients include small startups with ambitious goals to established companies with global headquarters. I also dedicate part of my time to academia as an adjunct professor of securities regulation at Whittier Law School in Costa Mesa, California, where I teach on Monday...

Richard S. Frankowski is the owner of The Frankowski Firm, LLC based in Birmingham, Alabama and Incline Village, Nevada. Mr. Frankowski has represented hundreds of investors around the country in FINRA arbitrations and in court. His practice focuses on stock broker fraud, consumer class actions, and direct and derivative shareholder litigation. He is an AV Preeminent-rated attorney by Martindale Hubbell and is a member of the Alabama and Florida Bars, as well as a member of the American Bar Association, the American Association for Justice, and National Trial Lawyers. Mr. Frankowski co-authored The Practitioner's Guide to...

For over 30 years, Mark Anchor Albert has consistently achieved outstanding results for his clients in complex business litigation and trials. He has been instrumental in obtaining hundreds of millions of dollars in recoveries for his clients from corporations and their insurance carriers in difficult cases involving complicated liability, damages, and related insurance coverage issues. He also has successfully defended companies and individuals facing hundreds of millions, even billions of dollars in potential liability, often succeeding in having difficult cases dismissed by motion before trial, or otherwise obtaining deeply discounted settlements on favorable terms.

Mr. Albert provides sophisticated legal services for...

I am an experienced California Business and Securities Law attorney. I am committed to solving complex business issues for clients from a wide range of industries.

For over 40 years, my practice has been focused on effectively solving problems and creating solutions. I am dedicated to guiding my clients towards achievement of their business goals.

Experienced attorney with a demonstrated knowledge of commercial real estate, business and corporate law. Skilled in contract drafting and review, legal research and negotiations. Strong customer service focus and desire to help all individuals.

Education:

-Bachelor's of Arts in Business Management with emphasis in Legal Studies from California State University, Fullerton

-Juris Doctorat with emphasis in Corporate and Business Law from University of San Diego, School of Law

For more than twenty five years I have represented investors and consumers in class-action litigation, focusing primarily on federal civil appeals. I have briefed and argued appeals before all but two of the thirteen federal circuits, and was intimately involved in briefing the merits in three cases before the United States Supreme Court. My pro bono work has included writing and filing amicus curiae briefs on behalf of religious organizations and faith leaders opposing discrimination and supporting religious liberty and equal rights for all.

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...

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.

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.

I am the founder of Kirkland Law PC, and I have the privilege of representing fast-growing companies in the US and Canada as well as private equity funds in the emerging cannabis industry. I provide a broad array of legal services with a focus on corporate structure, private offerings, secured debt financing, and tax matters. I have been the lead attorney on over $260 million in private offerings for cannabis companies since May of 2016. I also handle licensing agreements, equity incentive plans, and other legal issues that businesses face as they expand. I also assist companies through the arduous...

My practice focuses on estate planning and helping investors recover losses caused by unethical or incompetent financial advisers. I am the managing attorney at Basalt Legal PLLC, a law firm nestled in Washington wine country but serving clients throughout Washington State and California.

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...

Jeffrey Lendrum’s practice is devoted to representing clients with disputes involving financial fraud, investment loss recovery, financial advisor malpractice, financial elder abuse, and breach of fiduciary duty.

Mr. Lendrum is recognized by his peers as a leader in investment fraud litigation and has received the distinguished AV Preeminent rating each year since 2001. This rating is awarded to select attorneys who demonstrate preeminent legal abilities and the highest ethical standards.

As a former prosecutor, federal law clerk, and lawyer for fortune 500 companies, Mr. Lendrum has the knowledge, experience and track record to create winning strategies for his clients. Whether your...

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;...

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.

The Carlson Law Firm, APC was formed in 2001 by Mr. Carlson with the intent to specialize in securities law claims. Prior to that Mr. Carlson was a law clerk to a Federal Bankruptcy Judge and then worked at the San Diego Law Firm of Ault, Deuprey, Jones and Gorman specializing in business litigation. He then bacame a Partner at Brewer & Carlson, LLP practicing primarily in securities law claims. The Carlson firm primarily represents plaintiffs in claims against their financial advisors, brokers and brokerages. The team at the Carlson Law Firm emphasizes direct personal attention with...

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...

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...

Anthony Geraci is the managing partner of the Geraci Law Firm. He is a leading expert in mortgage lending and securities law and has authored numerous articles on real estate finance and securities subjects. Mr. Geraci is a leader in creating national mortgage pools and mortgage funds as well as sophisticated net branching arrangements among several mortgage companies.

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...

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...

I have extensive experience in legal, finance, management and company-building.

As an attorney, my focus has been on transactional drafting and negotiation and providing ongoing legal counsel and contract interpretation to numerous private individuals as well as companies in varied fields such as media and entertainment, oil and gas, mining and exploration, virtual reality technologies, private health care, cannabis, and mortgage lending and real estate.

As an entertainment professional, I have acquired, or produced, and distributed dozens of feature films, while usually being active in managing the business and legal affairs of most the companies I have worked for or founded. My...

For over a decade, I have been litigating complex, multi-district, and multi-party lawsuits. I recovered over two hundred million dollars in value for clients and literally changed the law to help protect them.

Because I am routinely involved in “bet the company” litigation, I face (teams of) the best attorneys in America. This forces me to compete at the highest levels and hone my craft. My competence in the most complex litigation makes victory in ordinary disputes easier. Your opponents play checkers while we play chess.

After considerable professional success, in 2016 I decided to take a sabbatical from the practice...

I am a trial attorney focused on serving clients in the areas of insurance coverage, securities litigation, and white collar criminal defense. I have represented mutual funds, corporations, Native American tribes, law firms, accounting firms, small businesses, and individuals as both plaintiffs and defendants in a variety of high-stakes disputes. Through my experience in private practice and as a former prosecutor, I have tried nearly fifty jury trials to verdict. In the area of insurance coverage, I have represented policyholders and other insureds in coverage disputes and civil actions alleging bad faith...

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...

Brian J. Robbins is a co-founder and the managing partner of Robbins LLP. He has committed his entire career to representing shareholders, employees, consumers, and small businesses in complex litigation. Mr. Robbins has prosecuted hundreds of cases across the country, often in leadership roles, and has achieved sizable monetary recoveries and corporate governance improvements on behalf of his clients.

Mr. Robbins’ achievements are proof positive that shareholder derivative actions are an important tool for keeping corporate management and fraud in check. His dedication to shareholder rights has helped propel Robbins LLP into a nationally recognized leader in shareholder rights litigation. As...

Cyndie M. Chang is the Managing Partner of the firm's Los Angeles office and a member of the firm's governing Partners Board. Ms. Chang manages risks and resolves business challenges. She advises and partners with clients to defend them in commercial disputes, enforce their rights, mitigate exposure, and litigate their commercial disputes. She has often handled corporate litigation involving mergers & acquisitions, asset or stock sales, fraud, securities, purchase and sale agreements, business or partner break-ups. She also has handle many other complex or class action disputes involving contracts, trademarks, licensing, products liability, product safety and recall, construction defect, trade...

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.

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...