Call Firm NowPhone: 949-724-1180 Fax: 949-724-1190
4100 Newport Place, Suite 230 Newport Beach CA 92660 U.S.A. Orange County View Map

Business

Employment Law
Protection for Workplace Safety Whistleblowers More...
Mergers
Disclosure and Shareholder Approval Requirements for Stock Options During Mergers More...
Investment Manager Reports To Be Filed With the Securities and Exchange Commission
Institutional investment managers must report to the Securities and Exchange Commission on Form 13F those securities registered under Section 13(f) of the Securities Act of 1933 over which the investment managers exercise discretion. More...
Short-Swing Profits
Section 16(b) of the Securities Exchange Act of 1934, 15 U.S.C.S. § 78p(b), limits the ability of corporate insiders and principal stockholders to profit from their access to nonpublic information about their company. Under Section 16(b), profits from two trades of a company's publicly traded securities within six months by a director, officer, or beneficial owner of more than ten percent of a security of the company are owed to and may be recovered by the company. If the company does not retrieve those profits, shareholders may file a derivative action to obtain a court order to have the profits given over to the company. More...
The U.S. Foreign Corrupt Practices Act
Corrupt payments to foreign officials to obtain or keep business are prohibited by the U.S. Foreign Corrupt Practices Act. There are five elements of a violation of the provisions of the Act prohibiting bribery of foreign government officials. More...

Areas Of Practice

  • Corporate Law
  • Litigation
  • Estate Planning/ Probate
  • Trust Litigation
  • Mergers and Acquisitions
More

This web site is designed for general information only. The information presented at this site should not be construed to be formal legal advice nor the formation of a lawyer/client relationship. Cates Peterson LLP website is powered by LexisNexis® Martindale-Hubbell®. || Sitemap