Securities Lawyers for Glendale, Arizona

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Meet some of our Glendale Securities Lawyers

Daniel D. - Securities Lawyer in Glendale, Arizona
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5.0 (8)
Member Since:
September 2, 2024
Richard C. - Securities Lawyer in Glendale, Arizona
View Richard
5.0 (3)
Member Since:
December 7, 2024

Richard C.

Managing LP
Free Consultation
Laveen, Arizona
2 Yrs Experience
Licensed in AZ
University of Arizona James E Rogers College of Law

Caudill Arundell Law PLC is a Phoenix based civil law firm providing quality, effective and affordable legal services. Richard C Caudill-Arundell, LP, MLS (Hons), G Cert LP is the Managing LP for the firm and is licensed to practice limited jurisdiction civil law in the State of Arizona (Legal Paraprofessional). Offering affordable real estate rental, transactional and business contract drafting, review and analysis, and breach of contract advice. Publications: https://scholar.google.com/citations?user=za5yjFcAAAAJ&hl=en Education: University of Arizona James E Rogers College of Law - Master of Legal Studies Cum Laude, Graduate Certificate LP

Recent  ContractsCounsel Client  Review:
5.0

"I had the pleasure of working with Richard while preparing a complex demand, and his support made all the difference. He was incredibly attentive, responsive, and thorough throughout the process. Richard made sure my concerns were fully understood and helped move things forward at a time when I really needed it. He also played a key role in getting an attorney involved, which I truly appreciated. His professionalism, compassion, and follow-through stood out, and I’m very grateful for everything he did to help. Highly recommend working with him if you get the chance."

David U. - Securities Lawyer in Glendale, Arizona
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4.7 (2)
Member Since:
June 22, 2023

David U.

Attorney
Free Consultation
CO, AZ, OK
26 Yrs Experience
Licensed in AZ CO
The University of Oklahoma College of Law

For the last 25 years I've focused on representing businesses and entrepreneurs in transactional law deals, including LLC creation, operation and sale of businesses; real estate sales and leasing; and general contract negotiation and drafting. While I've helped all manner of businesses work out a variety of contract and business matters, I am an expert at helping clients with buying and selling commercial properties including multi-family and office projects and buildings, subdivisions, and retail shopping centers. I am also a recognized expert negotiating leases for retail and office tenants and landlords. Over 25 years I've honed my skills a lawyer at one of the largest law firms in the world, an elite real estate boutique in Aspen, Colorado and a highly regarded firm based in Denver, Colorado, before starting my own practice in 2016. Since 2016 I've been helping my clients with real estate and business deals. I'm a commercial real estate and business expert with a passion for helping clients forge successful ventures in an efficient and understandable manner.

Recent  ContractsCounsel Client  Review:
4.7

"David was very informative during our initial call, and helped me understand the scope of work that my project needed depending on how many legal avenues I wanted addressed and covered. The work he provided was detailed and completed by the deadline that he provided."

Elizabeth A. - Securities Lawyer in Glendale, Arizona
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4.7 (1)
Member Since:
October 2, 2023

Elizabeth A.

Attorney
Free Consultation
Phoenix, Arizona
15 Yrs Experience
Licensed in AZ
Pepperdine University School of Law

I represent business and consumer clients to help them address the range of legal issues that concern them including business contractual disputes, debt litigation, and related matters.

Recent  ContractsCounsel Client  Review:
4.7

"Elizabeth was very responsive. Even though the review took longer than expected and we faced some scheduling issues, she was quickly to follow-up and adjust her schedule to finish."

Courtney A. - Securities Lawyer in Glendale, Arizona
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Member Since:
July 19, 2023

Courtney A.

Branding and Business Law Attorney
Free Consultation
Phoenix, Arizona
10 Yrs Experience
Licensed in AZ
California Western School of Law

Hello! I am a transactional attorney enthusiastic about helping entrepreneurs launch and protect their businesses. Let me know how I can support you with drafting and negotiating contracts, setting up your LLC, copyrighting creative content, or trademarking your brand. I am experienced with drafting and negotiating business contracts, including service/vendor agreements, NDAs, marketing agreements, licensing agreements, terms & conditions, terms of use, and many more! I have helped companies develop strong template agreements and strategies for contract management. My goal is to deliver a simple, stress-free client experience!

Holly W. - Securities Lawyer in Glendale, Arizona
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Member Since:
September 5, 2023

Holly W.

attorney
Free Consultation
Tucson, AZ
22 Yrs Experience
Licensed in AZ
University of Arizona James E Rogers College of Law

I am a solo legal practitioner in Tucson, Arizona who focuses on Estate Planning, Probate, Business Formation and Mediation. I have expertise and experience in not only law but as a Registered Nurse and teacher. I use this background and knowledge to provide compassionate and individualized service for my clients.

Connie M. - Securities Lawyer in Glendale, Arizona
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Member Since:
September 8, 2023

Connie M.

Copyright Lawyer
Free Consultation
Phoenix, AZ, United States
43 Yrs Experience
Licensed in AZ
Gonzaga University - J.D.

Copyright, trademark, and intellectual property contracts and licenses. General Business contracts. Practical and comprehensive advice and contract drafting in an efficient, no-nonsense manner. She routinely represents clients needing copyright, trademark, and intellectual property contracts and licenses in the book publishing industry, music publishing, and all aspects of art and entertainment. She has represented both sides of the table - creators and authors and corporations and businesses. After 40 years of experience she has seen most business models and structures and has worked with many general contracts in different industries.

Darren W. - Securities Lawyer in Glendale, Arizona
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Member Since:
November 5, 2023

Darren W.

Attorney
Free Consultation
South Jordan, Utah
22 Yrs Experience
Licensed in AZ CO, UT, WY
J. Reuben Clark, BYU

My main focus is estate planning and business transactions, but I have had many practice areas throughout my career, including criminal defense and prosecution, civil litigation from neighborhood squabbles to corporate contentions. I have also worked in bankruptcy, family law, collections, employment law, and personal injury. I stand ready to assist in any area to which I feel I can be of service, but will not try to fake it if I do not know the area of law I am being asked to serve in.

Brian S. - Securities Lawyer in Glendale, Arizona
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Member Since:
December 15, 2023

Brian S.

Corporate Attorney
Free Consultation
Arizona, United States
25 Yrs Experience
Licensed in AZ CA, DC, TX
South Texas College of Law Houston

I am a corporate lawyer with over 15 years of experience in litigation and in advising companies on a variety of legal issues, including mergers and acquisitions, securities regulations, and contract negotiations. I have a deep understanding of the technology industry and have represented numerous tech companies in my career.

Matthew S. - Securities Lawyer in Glendale, Arizona
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Member Since:
July 26, 2024

Matthew S.

Business Lawyer
Free Consultation
West Hollywood, California
14 Yrs Experience
Licensed in AZ CA, FL, MA
Boston University School of Law

I am a business, Internet, and intellectual property lawyer. My practice is split between both transactional work and litigation. Prior to law school, I earned a master’s degree in computer science, which gives me the background and experience to understand technology, software, and the Internet better than most attorneys, and so my practice focuses on these areas. However, I represent clients in almost any industry, including real estate, construction, medicine, service, and consumer products.

Ethan B. - Securities Lawyer in Glendale, Arizona
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Member Since:
May 21, 2025

Ethan B.

Managing Partner
Free Consultation
Mesa, Arizona
5 Yrs Experience
Licensed in AZ IL
Chicago-Kent College of Law

Ethan specializes in preparing and structuring transactional deals and advising business owners as outside general counsel. Ethan enjoys working with business owners and entrepreneurs who strive to achieve growth through utilizing modern-day solutions and implementing business strategies that get results. Ethan is passionate about helping families and individuals with disabilities to design, form, and administer special needs trusts, ensuring individuals with disabilities remain eligible for federal and state benefit programs while living their best lives. Ethan has experience from previous firms in civil litigation, estate planning, and regulatory matters. Ethan holds a JD from Chicago-Kent College of Law, and a Masters of Law in Taxation (LLM) from Georgetown Law University Law Center. Prior to law practice, Ethan earned a Bachelor’s degree in Journalism from Indiana University of Pennsylvania and was promoted to Chief Editor at a regional news publication.

Alexander C. - Securities Lawyer in Glendale, Arizona
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Member Since:
August 23, 2025

Alexander C.

CEO
Free Consultation
Tampa, Florida
6 Yrs Experience
Licensed in AZ MO, NJ, NY, SD
The George Washington University Law School

I am a solo practitioner that runs my own legal practice. I am currently licensed in 16 states and I'm working to expand that reach.

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Securities Legal Questions and Answers

Securities

SAFE Note

New York

Asked on Mar 30, 2021

What is the difference between a SAFE Note and Convertible Note?

I am considering raising money and have been advised to look at these two instruments to raise money on.

Ramsey T.

Answered Mar 30, 2021

Both SAFES (Simple Agreements for Equity) and Convertible Notes "convert" into equity. The fundamental difference between the two is that SAFES have no built-in interest rate and have no "end date." Convertible Notes are debt so they have an interest rate and after a certain period of time (perhaps two years in most cases) they can be "cashed in" by the holder who can force the start-up to pay back the investor (principal plus interest). SAFES have become very accepted in the investing community at this time and I always recommend that a start-up issue SAFES (and conversely I always recommend that an investor get a convertible note).

Read 1 attorney answer>

Securities

Convertible Note

Ohio

Asked on Jun 24, 2023

Convertible note vs. KISS agreement?

I am an early-stage startup founder looking to raise capital. I am exploring different financing options and am trying to decide between a Convertible Note and a KISS agreement. I want to understand the differences between these two financing options, and the advantages and disadvantages of each, in order to make an informed decision.

Paul S.

Answered Aug 4, 2023

Probably the primary difference is that a convertible note is debt, with interest and a maturity date. I do a lot of work with startups, and I rarely see convertible notes used anymore, and never see KISS agreements used. SAFEs are much more prevalent. That being said, there are a lot of different variables in all these instruments, and you should never just download a template and use it without customizing to your needs and discussing it with an experienced startup attorney. There are also securities law considerations. Raising financing from investors is not a good DIY project.

Read 1 attorney answer>

Securities

Subscription Agreement

California

Asked on Jun 10, 2025

Is it possible to modify a Subscription Agreement after it has been signed?

I recently entered into a Subscription Agreement with a company to purchase shares in their business. However, since signing the agreement, I have come across some unexpected financial circumstances that may prevent me from fulfilling my obligations under the original terms. I am wondering if it is possible to modify the Subscription Agreement to accommodate these changes, or if I am legally bound to the original terms of the agreement.

Christopher N.

Answered Jun 13, 2025

The short answer, as with all legal questions, is: it depends. You can certainly propose modify or be reased from your obligations, and depending on the company, your circumstances, your relationship, and their financial position, the company may be willing to entertain accomodations. It doesn't hurt to ask. Be prepared, however, for "penalties," which could mean the loss of your entire investment, significant reductions in the amount of your investment, etc. You may want to consider approaching other investors to see they would be willing to purchase some or all of your stake -- perhaps at a greater value than the company would offer. We highly recommend you consult with a business or securities attorney to be advise you the specifics of your agreement and explore exit or other strategies. Good luck!

Read 1 attorney answer>

Securities

Fundraising Contract

New York

Asked on May 25, 2025

Can I legally raise funds through cryptocurrency for my startup?

I am an entrepreneur looking to raise funds for my startup through an Initial Coin Offering (ICO), a form of cryptocurrency crowdfunding. However, I am unsure about the legal implications and regulations surrounding this method of fundraising. I want to ensure that I am in compliance with relevant laws and regulations to avoid any legal issues in the future.

John B.

Answered Jun 3, 2025

Raising funds through an ICO is legally possible —but only if you navigate securities laws, money‐transmission rules and (often) state “blue‐sky” requirements. Below is a roadmap to the U.S. legal framework you must consider; I’ve included statute citations and SEC guidance where relevant. 1. Determine Whether Your Token Is a “Security” Key Point: If your token meets the definition of an “investment contract” under U.S. law, it’s a security. Selling a security to U.S. investors without registration (or a valid exemption) violates the Securities Act of 1933 and the Securities Exchange Act of 1934. Conduct a “Howey analysis” for your token. Retain counsel to document why—factually and legally—you believe it’s not a security (if that’s your position). But be prepared that the SEC will likely view it as a security offering. 2. If It’s a Security, Register or Find an Exemption Choose the exemption that best fits (e.g., 506(c) if you have only accredited investors and want to market openly). File Form D for Reg D, or engage an SEC-registered crowdfunding portal for Reg CF, or go through Form 1-A for Reg A+. Each has different reporting burdens and limitations. 3. State (“Blue‐Sky”) Securities Laws Even if you rely on a federal exemption like Reg D Rule 506, most states impose their own registration or notice filings. For each state where you permit a sale, either file the required Form U-2 (for 506 offerings) or register/claim exemption. Most startups rely on the uniform notice procedure under 506 to simplify compliance. 4. Anti-Money Laundering (AML) / Know-Your-Customer (KYC) Rules Even if you structure your ICO as a non-security (which is rare), you must still comply with anti-money-laundering laws if your token is considered a “virtual currency” under FinCEN’s rules. If you accept USD (or other fiat) in exchange for tokens, register as an MSB with FinCEN, build out an AML compliance program, obtain state money-transmitter licenses where required (e.g., New York BitLicense), and integrate a robust KYC/AML vendor at token sale. I have been heavily involved in this space since 2017 - feel free to reach out John@BenemeritoLaw.com

Read 1 attorney answer>

Securities

Revenue Sharing Agreement

California

Asked on Dec 2, 2021

How do you fund a restaurant?

I am looking for an attorney who can help me put together restaurant business proposal to funding to expand my restaurant branch.

Russell M.

Answered Dec 14, 2021

There is not a lot of detail here so I am going to assume you are not asking about how to get a small business loan, or you aren't interested or able to get SBA financing for what ever reason. If you have a successful restaurant concept, you might want to look into Regulation CF crowdfunding. I am aware of a number of food and beverage businesses that have leveraged their existing loyal and enthusiastic customer bases and a well executed financial and PR campaign to fund expansion sites.

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