Securities and Exchange Commission (and FINRA) Investigations

When the SEC believes that a company or an individual is violating the securities laws, they may launch an investigation into the potential violations. Some of the most commonly investigated violations include those related to the sale of unregistered securities, insider trading, stealing funds or securities from customers, manipulating prices of securities in the market, orRead More

What are some key factors to know about Non-Disclosure Agreements?

Non-Disclosure Agreements are commonly used in situations where a business is sharing important information with a potential investor, business partner, distributor, or prospective buyer to make sure the business and the information they are sharing is protected. Please note that there are two types of Non-Disclosure Agreements, mutual or one way. In a mutual Non-Disclosure Agreement,Read More

How do I register a trademark?

When a client who owns a business comes to us with a intellectual property that they would like to protect, our firm can assist in registering that trademark. When you make the decision to register a trademark, there are a number of steps you need to take. First, you should have your attorney conduct a trademarkRead More

Effect of New Bad Actor Provisions on Regulation D Private Placements

The private placement exemption included in Rule 506 of Regulation D is a commonly used method for raising capital. However, after the enactment of Dodd Frank, it now includes a “bad actor” disqualification provision that makes Rule 506 unavailable if the issuer has violated certain securities laws. (See SEC Release No. 33-9414.) Specifically, the disqualificationRead More

Preserving Privilege in the Electronic Age

In the wake of the recent revelations of the National Security Agency’s surveillance of friends and foes alike, you may have increased concerns regarding the confidentiality of your privileged communications. Spying notwithstanding, privilege is created when communication — written or oral — regarding legal advice takes place between a lawyer and the lawyer’s client inRead More