Phoenix Securities Attorneys & Lawyers
How it Works
Anthony Dispoto, Esq.
Lauren Garsten Caplan
Phoenix Securities Lawyers
Why use UpCounsel to hire a Phoenix Securities Attorney?
You always get experienced professionals and high caliber work.
Your work gets done quickly because professionals are always available.
More cost effective
We use technology to cut traditional overhead and save you thousands.
UpCounsel has been talked about in:
Money-Back Guarantee on All of Your Legal Work
Applies to all transactions with verified attorneys on UpCounselIn the event that you are unsatisfied with the work of an attorney you hired on UpCounsel, just let us know. We’ll take care of it and refund your money up to $5,000 so you can hire another attorney to help you.
Legal Services Offered by Our On-Demand Phoenix Securities Attorneys
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.
Improve Your Legal ROI with Affordable Securities Attorneys that service Phoenix, AZ.
What Our Customers Have to Say
"UpCounsel gives me access to big-firm lawyers minus the big-firm price tag. I work with several attorneys on the platform and there are never surprises...I always receive quality legal work at competitive rates that larger firms simply cannot match."
"Every startup needs to know about UpCounsel. We found great attorneys at great prices and were able to focus our resources on improving our business instead of paying legal bills."
"Before UpCounsel it was hard for us to find the right lawyer with the right expertise for our business. UpCounsel solves those problems by being more affordable and helping us find the right lawyer in no time."
- 8 min read
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.
- 4 min read
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:
- 4 min read
What does a 409A Valuation Mean?
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 than the current real value of a s
- 5 min read
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).
All stocks represent a portion of the ownership of a company. They can be divided into different types. Common stock is the most common, as the name suggests, follo