Securities Governance
Securities Governance - Securities law & corporate governance attorneys. Call (818) 514-7680.
Securities & Corporate Governance
Securities law counsel for public and private companies in California. We handle SEC enforcement defense, insider trading investigations, proxy contests, shareholder derivative actions, securities fraud defense, corporate governance, executive compensation, and regulatory compliance.
Contact us: (818) 514-7680.
Fees, Costs and Case Results
Where representation is offered on a contingency basis there is no attorney fee unless we recover, and the firm advances case costs — filing fees, expert witnesses and medical records — which are then repaid out of any recovery. If there is no recovery, you owe no attorney fee. The specific terms that apply to a matter are set out in the written fee agreement for that matter.
Where this site refers to a verdict, settlement or court order, that result was dependent on the facts of that case, and results will differ if based on different facts. Past results do not predict or guarantee the outcome of any other matter, and no particular outcome is promised or guaranteed.
Frequently Asked Questions
- What is corporate governance and why does it matter?
- Corporate governance encompasses the policies, procedures, and structures that direct and control a company. Strong governance protects directors from personal liability, satisfies institutional investor expectations, meets SEC and stock exchange requirements, reduces litigation risk, and enhances company reputation. We help California companies implement governance best practices including board committee structures, director independence standards, executive compensation policies, and shareholder engagement protocols.
- What SEC reporting requirements apply to California public companies?
- Public companies must file periodic reports with the SEC including: Form 10-K (annual report), Form 10-Q (quarterly reports), Form 8-K (current reports for material events), Schedule 14A (proxy statements), and Forms 3, 4, 5 (insider ownership and transactions). Our securities team ensures timely, accurate filings that meet SEC disclosure requirements and reduce enforcement risk.
- Do you handle SEC investigations and enforcement actions?
- Yes. We represent California companies and executives in SEC investigations, enforcement proceedings, and DOJ criminal referrals. Our defense practice covers Wells notices and Wells submissions, SEC subpoenas and document requests, testimony preparation, settlement negotiations, administrative proceedings, and litigation defense. Early engagement of experienced securities defense counsel significantly impacts investigation outcomes.
- What board advisory services do you provide?
- We serve as outside corporate counsel to boards of directors, providing governance advice, fiduciary duty guidance, and board meeting support. Our board advisory services include board and committee charter review, director independence analysis, conflict of interest policies, D&O insurance evaluation, board evaluation processes, management oversight frameworks, and crisis governance response.
- How do you handle shareholder activism?
- We help California companies prepare for and respond to shareholder activism including hedge fund campaigns, proxy contests, and ESG-focused investor engagement. Our activism defense includes advance preparation and vulnerability assessments, Schedule 13D monitoring, shareholder engagement and negotiation, proxy fight strategy, poison pill evaluation, and public relations coordination.
Contact Trembach Law Firm
Trembach Law Firm, APC
27001 Agoura Road, Suite 350, Calabasas, CA 91301
Phone: (818) 514-7680
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