Finding A Way.

Start-Ups: Get Your Pre-nup

Two or more people decide to launch a new business, and this is how it typically goes down regarding the relationship between them: "We have known each...

Countdown To Launching Your Business: Key Legal Safety Checks

In this post I aim to give you an overview of some important steps on the road to protecting and growing your company’s true value. Not all...

Friends and Family—A Good Funding Source?

It is tempting. It is difficult to raise funds from angels and VCs, especially when most of what you have is just an idea. I get it. ...

Year in Review: SEC Round Up for 2013

I love taking stock of the highlights of a year as it draws to a close, so I am doing a mini-series of posts on topic.  The...

The NYT Dealbook Conference 2013: Opportunities for Tomorrow

The New York Times Dealbook Conference was one of the most inspiring conferences that I have attended in a long, long time. Maybe ever. The line-up: Curated...

Three Steps to an Effective Whistleblower Program

Everyone should have one. If you need more convincing, please read my post, or any post for that matter, about the record $14 million award the SEC...

Taking It To A New Level — SEC Awards Whistleblower Unprecedented $14 Million

The Securities and Exchange Commission awarded more than $14 million to a whistleblower earlier this month.  The information led to an enforcement action that recovered substantial investor...

What Are the Hallmarks of a Strong Compliance Program?

I thought it would be interesting to hear it from the horse’s mouth once more. Speaking before the Society of Corporate Compliance and Ethics’ 12th Annual Compliance...

Stop the Abuse—Elder Fraud Prevention and Privacy Laws

Several financial regulators, including the SEC, the CFTC, the FTC and the CFPB recently issued joint guidance clarifying that advisers and brokers, among others, may alert the...

FINRA Approves Revamped Broker Compensation Proposal

On September 19, FINRA’s Board of Governors approved a proposal that would require brokers to disclose recruitment compensation paid to them as an incentive to move to...

Page 1 of 212