Two or more people decide to launch a new business, and this…
Read MoreCountdown To Launching Your Business: Key Legal Safety Checks
In this post I aim to give you an overview of some…
Read MoreFriends and Family—A Good Funding Source?
It is tempting. It is difficult to raise funds from angels and…
Read MoreYear in Review: SEC Round Up for 2013
I love taking stock of the highlights of a year as it…
Read MoreThe NYT Dealbook Conference 2013: Opportunities for Tomorrow
The New York Times Dealbook Conference was one of the most inspiring…
Read MoreThree Steps to an Effective Whistleblower Program
Everyone should have one. If you need more convincing, please read my…
Read MoreTaking It To A New Level — SEC Awards Whistleblower Unprecedented $14 Million
The Securities and Exchange Commission awarded more than $14 million to a…
Read MoreWhat Are the Hallmarks of a Strong Compliance Program?
I thought it would be interesting to hear it from the horse’s…
Read MoreStop the Abuse—Elder Fraud Prevention and Privacy Laws
Several financial regulators, including the SEC, the CFTC, the FTC and the…
Read MoreFINRA Approves Revamped Broker Compensation Proposal
On September 19, FINRA’s Board of Governors approved a proposal that would…
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