California Business Attorneys | Oakland CA

California Business Attorneys | Oakland CA

Finkel Law Group | San Francisco Bay Area

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    • Ruth Auerbach
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The Securities Exchange Act of 1934: Key Aspects and Practical Insights for Your Business

Apr 25, 2025 by Lonnie Finkel

The Securities Exchange Act of 1934 (“Exchange Act”) is the cornerstone of securities regulation in the United States, providing the framework for public company disclosures, anti-fraud provisions, and the oversight of the public securities markets. Enacted as part of the response to the stock market crash of 1929 – in addition to the Securities Act […]

Securities

Illustration of Regulation FD of the Securities and Exchange Commission

Understanding Regulation FD to Ensure Fair and Accurate Disclosure of Your Company’s Information in Securities Markets

Feb 14, 2025 by Lonnie Finkel

In today’s rapidly evolving financial markets, transparency is not just a best practice—it’s a regulatory imperative. Regulation FD (Fair Disclosure) plays a crucial role in leveling the playing field for investors and market participants by mandating that material, non-public information be disclosed to the public promptly.  In this blog we delve into the origins, key […]

Securities

Navigating Federal Securities Laws and Regulations to Avoid Common Pitfalls for Companies Raising Money in the U.S.

Nov 26, 2024 by Lonnie Finkel

Federal securities laws play a crucial role in regulating how companies raise capital, communicate with investors, and ensure transparency in their financial operations.  For companies in California, compliance with these laws is not only mandatory but essential to avoid costly penalties, regulatory scrutiny, and potential lawsuits.  Compliance with California’s securities laws is also required.  Understanding […]

Corporate Law, Securities

Spotting Securities Fraud: Red Flags for California Investors

Feb 28, 2024 by Lonnie Finkel

In the dynamic world of investment, California investors face both opportunities and risks. While the allure of financial gain can be enticing, it’s crucial to navigate the investment landscape with caution.  The securities fraud lawyers at Finkel Law Group would like you to be aware of one such risk you may encounter when considering an […]

Securities

Federal District Court in New York Decides that Whether a Cryptocurrency is a Security Depends on When and How It is Sold

Aug 23, 2023 by Lonnie Finkel

On July 13, 2023, the U.S. District Court for the Southern District of New York issued a decision in SEC v. Ripple Labs, Inc., a closely watched cryptocurrency case involving alleged securities law violations.  The court held that Ripple Labs unlawfully sold unregistered securities in violation of the Securities Act of 1933 (“Act”) when it sold […]

Cryptocurrency, Securities

Recent Posts

  • U.S. District Court for Northern District of California Enters Partial Summary Judgment Finding Using Copyrighted Material to Train AI Platforms is a Fair Use
  • U.S. Court of Appeals for the Federal Circuit Upholds Major Trade Secrets and Contract Damages Award in Lawsuit Stemming from Failed Merger Talks
  • Fourth Circuit Court of Appeal’s Decision Finds that Likelihood of Confusion in a Trademark Case Depends on Much More than Geography
  • Best Practices for Your Company to Protect and Preserve its Trademark’s Strength Through Proper Use
  • Ninth Circuit’s Decision in Briskin v. Shopify, Inc. Significantly Expands Federal Court’s Personal Jurisdiction Over E-Commerce Companies
  • Finkel Law Group P.C. Joins More Than 800 Law Firms Signing the Amicus Curiae Brief Filed on Behalf of Jenner & Block
  • Finkel Law Group Joins the Amicus Brief Filed on Behalf of WilmerHale LLP in its Lawsuit Against the President of the United States
  • Enforcing Your Company’s Trademark Rights: Opposition and Cancellation Proceedings

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Oakland Office 1999 Harrison St, Ste 1800 Oakland, CA 94612. (510) 344-6601

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