Small Business Operations

New York, New York Small Business Operations Lawyers

Small and medium sized businesses confront a number of legal and financial challenges when transitioning to a publicly traded company. At the law office of Gallion & Spielvogel LLP, our attorneys represent business in regard to compliance issues associated with Sarbanes-Oxley and the Security Exchange Acts of 1933 and 1934. Since these cases typically involve allegations of wrongdoing on the part of executives or a board of directors, civil damages and criminal charges are often involved. Working closely with private investigators, forensic accountants, and a number of financial specialists, our lawyers intervene early to diffuse misunderstandings and investigative fishing expeditions on the part of prosecutors.

Our office has been effective in gathering evidence and information that undermines charges of malfeasance while establishing plausible deniability in cases involving questionable actions on the part of others. To schedule a confidential consultation in order to discuss your case, contact us today.

Partnering with Small Businesses – Protecting Your Name and Bottom Line

The law office of Gallion & Spielvogel LLP counsels and represents clients in regard to the following issues:

  • Allegations of business mismanagement
  • Sarbanes-Oxley compliance
  • Foreign Corrupt Practices Act
  • Shareholder derivative actions
  • Allegations of improperly granted stock options
  • The Security Exchange Act of 1933 and 1934
  • Executive compensation
  • Internal Investigations

Confronting Allegations of Mismanagement

In civil cases in which disgruntled shareholders or investors are seeking damages involving allegations of business mismanagement, evidence must be provided demonstrating financial harm, negligence, or violations of state and federal law. When confronting these kinds of allegations, our attorneys provide financial reports, memos, board minutes, and other documents that establish due diligence on the part of our clients in complying with Sarbanes-Oxley requirements and federal law.

Internal Investigations and the Threat of Criminal Charges

Due to the fact that those bringing allegations often do not have access to important, pertinent information about a small business’ operations, authorities may be brought in prematurely to investigate criminal wrongdoing. Our attorneys take pre-emptive action in assisting small businesses in internal investigations that can often have the effect of preventing a criminal investigation from getting started. By demonstrating a willingness to conduct an investigation and hold those liable for any wrongdoing, small businesses can often convince prosecutors to forestall criminal charges.

Contact Gallion & Spielvogel LLP Today

Companies are organic, growing changing entities. We recognize that in the process of going public, a certain amount of uncertainty or confusion can create a false impression for impatient or disgruntled shareholders. Our attorneys have the experience, knowledge, and resources to defend you against charges of malfeasance and criminal wrongdoing.

To schedule a consultation to learn how we can help you, contact us today.