Phoenix Securities Attorneys & Lawyers

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Geoffrey A.

Geoffrey Amend

787 reviews
Geoffrey Amend has over 21 years of experience as a business attorney. He is licensed to practice law in Kansas. Geoffrey has represented numerous corporate clients, including JungleBee, MomoCentral and APIMATIC. He started his own legal firm in 2013 and was the general counsel at Chelsea Partner before starting his own firm. Geoffrey graduated with a J.D. in law from the Washburn University School of Law in 1995.
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Richard G.

Richard Gora

200 reviews
Looking for an attorney with experience? Richard Gora is the exact attorney you want. Having defended over 100 cases both in state and federal courts and working with clients from around the globe, Richard has an array of different experiences. His services are wide-ranging and include business litigation, securities litigations, employment litigation, and business counsel. Prior to founding Gora LLC, he worked for Finn, Dixon & Herling LLP for eight years.
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Brig R.

Brig Ricks

146 reviews
I am a senior executive and strategic legal adviser with 19 years of experience providing legal services in international environments. I am a general counsel who can advis... read more
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Baruch G.

Baruch Gottesman

117 reviews
Baruch Gottesman is a corporate attorney with over a decade of experience. He is licensed to practice law in both New Jersey and New York. Baruch obtained his J.D. degree in law from the Benjamin N. Cardozo School of Law, Yeshiva University. He is skilled in providing legal assistance to startup companies, with exceptional experience in drafting, negotiating and reviewing commercial contracts. Baruch founded his own law firm in January 2010.
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Joshua K.

Joshua Kushner

30 reviews
Joshua Kushner has over 20 years of experience advising early, growth and enterprise stage companies in emerging industries. Josh brings a unique mix of legal, business, an... read more
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Troy K.

Troy Krich

22 reviews
Mr. Krich is a practiced civil litigator with experience in business, employment, and construction litigation. In addition, Troy applies a significant portion of his servic... read more
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Eric B.

Eric Broad

14 reviews
I’m the Founder and CEO of Bowery Legal, a firm composed of startup and venture capital lawyers and entrepreneurs who have worked at big law firms such as Latham & Watk... read more
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M A.

M A

2 reviews
Mr. Ahmadi is an honors graduate of Loyola Law School and a corporate transaction specialist with more than 20 years of experience advising private equity and venture capit... read more
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Jade C.

Jade Carpenter

2 reviews
Jade Carpenter is dedicated to helping entrepreneurs protect themselves and their business. As the founding attorney of Zeidman & Carpenter, she focuses on small busine... read more
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Matthew R.

Matthew Roazen

1 review
Bilingual (English/Russian) attorney with over 30 years of in-house and private practice international corporate experience and clientele around the world, currently specia... read more
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On UpCounsel, you can find and connect with top-rated Phoenix securities attorneys & lawyers that provide a range of securities law services for startups to large businesses. Any of the top-rated Phoenix securities lawyers you connect with will be available to help with a variety of your securities law related legal needs on-demand or on an ongoing basis in the city of Phoenix, AZ.

From primarily dealing with things like SEC filings, initial public offerings (IPO), transactions, legal disputes involving broker fraud, breach of fiduciary duty, and stockbroker negligence, the Phoenix securities lawyers on UpCounsel can help you with a variety of specialized and general securities law related legal matters. No matter what type of securities law needs you have, you can easily hire an experienced Phoenix securities lawyer on UpCounsel to help you today.

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Form 8-K

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If your company sells securities, you have a duty to keep investors informed. Often, this is done through your quarterly and annual reports. Other events may need to be reported on Form 8-K.

What Is Form 8-K?

The form's official title is "Form 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934." It is used to report material events affecting a company subject to SEC oversight.

An event is material when it could affect a reasonable shareholder's investment decision. This includes:

Acquisition of or by another company.

Bankruptcy.

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Convertible Preferred Stock

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Updated October 1, 2020: 

What is Convertible Preferred Stock?

Convertible preferred stock is a type of preferred stock that gives holders the option to convert their preferred shares into a fixed number of common shares after a specified date. It is a hybrid type of security that has features of both debt (from its fixed guaranteed dividend payment) and equity (from its ability to convert into common stock).

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Portfolio Company

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What is a Portfolio Company?

A portfolio company is a term used to describe a company in which investors own equity in a company or buy out a company. The goal of the investor is to increase the value of the portfolio company and earn a return on their initial investment.

The investment could be in the form of private equity in established companies or venture capital in companies just starting out. One portfolio company usually forms part of a group of companies in the investor's full portfolio.

Who Invests in Portfolio Companies?

Portfolio companies are used by venture capital firms, private equity firms, and other financial investment firms. Some firms build a portfolio of companies that specialize in a specific sector, such as science or engineering. Others have a diverse mix of portfolios.

Private Equity Firms: Private equity is a type of financ

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409A Valuation

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What does a 409A Valuation Mean?

A 409A Valuation is a formal report that sets the current value of your company's common stock and the strike price to exercise an option to purchase that stock.

Typically a company hires a professional appraiser to prepare the report since stock options set at a strike price below the current value of the common stock can result in large tax penalties to the option recipients.

Section 409A of the U.S. tax law requires that the strike price (the set future price per share to exercise a stock option) not be lower t

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