Legal Articles, Securities

Basic SEC Rules for Startup Companies

Starting a Company? Don't solicit investments until you consult an attorney regarding the Securities and Exchange Commission (SEC) and State Registration Rules regarding soliciting and receiving investments.

James T. Flynn-Former VOYA Financial Broker-Subject of Numerous Customer Suits Involving REITs-Greenville, SC

We recently filed several FINRA arbitrations for customers of former VOYA Financial financial advisor James T. Flynn of Greenville, S. Carolina.

Dexter L. Thomas Investigation March 2019 Update-Dallas, TX

We are representing a large group of former clients of now decease, former financial advisor, Dexter Thomas of Dallas, Texas.

New “Defend Trade Secrets Act” Creates Right to Sue in Federal Court

A blog post about how a new act is affecting the way courts hear business and trade secret cases.

A Nondisclosure Agreement Can Protect Trade Secrets

A blog post about how your business can protect its trade secrets.

Did You Suffer Losses in FS Energy and Power Fund (FSEP)?

Many investors have suffered losses in FS Energy and Power Fund (FSEP) due to the recommendation of their brokers or financial advisors.

Lawsuit Filed Against Ameritas Investment Corp

Lawsuit Filed Against Ameritas Investment Corp alleging that advisor Thomas Carreras mishandled investor funds.

Civility in the Practice of the Law - What Winnie the Pooh Can Teach Lawyers About How We Operate

Addresses the importance of civility in the practice of the law, in particular, focuses on various techniques one may employ to hold his or her ground but remain civil.

Regulation A+ Lawyers

Regulation A+’s new rules provide investors with more investment choices and issuers with more capital raising options during their going public transactions. Some confusion has arisen about whether SEC qualification of a Regulation A+ offering will result in the assignment of a stock ticker or...

How Can Regulation A+ Be Used By Small Companies To Go Public Without A Reverse Merger?

Regulation A+ offerings can be used in combination with direct public offerings and initial public offerings as part of a going public transaction.

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