The owners of a public company, its shareholders, can be individual people, institutions, or other corporations. Each of these parties must abide by a shareholder agreement. Shareholders and company directors aren't generally the same. Shareholders typically don't...
Seasoned Trial Attorneys,
Month: February 2022
What your firm and broker-dealers should know about FINRA audits
As a California business that operates in the financial services sector, you are well aware that your company and the registered investment advisors (RIAs) are subject to significant government oversight. It's not uncommon for the Financial Industry Regulatory...
California contract law & breaches
Contracts are the backbone of any business. They outline the obligations expected from both parties. The terms set therein (and those that California law applies, whether the conditions are in the contract or not) are the basis for managing smooth partnerships. ...