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Corporate Governance & Securities Regulation

Maintaining compliance with corporate governance and securities regulations is vital to keeping your business running properly. However, compliance and enforcement issues frequently happen, incurring staggering costs to your company and making it highly valuable to prevent the need for legal proceedings in the first place. Counseling, arbitration, mediation, and other legal services provided by David & Hart can protect your company from securities and governance liability.

Corporate Governance

Since 2002, corporate governance has become a big issue in business, especially after the passing of the Sarbanes-Oxley Act. Corporate governance laws have become more important and more involved in order to protect the interests of the numerous stakeholders in a company, including shareholders, financiers, suppliers, customers, and managers. Ultimately, the purpose of these regulations is to help businesses maintain a level of integrity that benefits the community as a whole.

Corporate governance laws set standards for reporting, accounting practices, and overall accountability of leaders within your company, including officers, shareholders, managers, boards of directors, auditors, etc. Compliance with these regulations is key to protecting your business from the financial strain that litigation can bring on while preserving your good reputation.

Compliance with governance standards includes establishing practices concerning directors, board and committee composition, analysis of fiduciary duties, and implementing procedures to minimize liability. Hart David Carson can provide you with experienced counseling in complying with corporate governance policies as well as assistance resolving disputes.

Securities Regulation

Tradable financial assets such as bonds, stocks, forwards, swaps, and other securities are all closely regulated by federal and state laws. The U.S. Securities and Exchange Commission (SEC) is the primary federal entity over securities regulations—regulations which are highly extensive to say the least. Keeping in full compliance with these laws requires legal experience, which is where David & Hart comes in.

Hart David Carson provides consultation, arbitration, mediation, and litigation services to protect your company. We help you avoid legal complications associated with securities regulations while helping you maintain compliance with federal and state law. Contact us for the legal representation you need with the following cases:

  • Securities fraud
  • Failure to execute
  • Negligence
  • Breach of contract
  • Breach of fiduciary duty
  • Misrepresentation
  • Unauthorized trading
  • Insider trading compliance

We have resolved numerous cases in our clients’ favor, which include both domestic and international investors.

Legal Assistance With David & Hart

Hart David Carson provides highly experienced legal representation and consultation services to businesses of all sizes and industries. Our experience includes corporate governance and securities regulation, so we are well equipped to help your business comply with these standards:

  • Due diligence and research of governance practices
  • Compliance with SEC regulations
  • Compliance with corporate governance policies
  • International and domestic litigation
  • Resolution of securities disputes
  • Arbitration and mediation

In a world of ever-evolving policies and standards, attorneys who are experienced in the fields of business law and management are key to maintaining good corporate standing. Illinois businesses have trusted us with ensuring their compliance with federal and state standards, and we are ready to help you as well. Contact us today for a free consultation.

Client Reviews
We have been working closely with HDC for about 4 years now, we trust them for our own legal work and for all of our clients. They have proven themselves to be dependable and hardworking. They have yet to let us down in any capacity. We are looking forward to growing this relationship for us and our clients. Azmi S. (Elmhurst, IL)
I have known the people and Hart David Carson for quite some time now and I can say, with a particularly high degree of confidence, that they are some of the most professional, courteous, and competent lawyers I have ever had the privilege to know. They are attentive, knowledgeable, and really take the time to provide a very personal experience. I would highly recommend anyone to avail themselves of their truly amazing legal services!! Brian N. (Chicago, IL)
These attorneys are the best! They are professional and driven individuals that are passionate about what they do. They listened and worked with me from beginning to end. I strongly encourage using them! You will not be disappointed! Shannon D. (Arlington Heights, IL)