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When clients realize that they have been defrauded by a fund or investment manager, pursuing a civil claim of securities fraud can be the most effective way to seek recovery of their lost investment. This process is complex and requires a solid understanding of securities law, strategic planning, and diligent

As a securities attorney, I often get questions from clients about their obligations to file periodic reports with the Securities and Exchange Commission (SEC), particularly the Form 10-K and Form 10-Q. These forms are essential for maintaining transparency with shareholders and complying with U.S. securities laws. In this post, I

Raising capital is a critical step for many businesses, particularly for startups and growing companies. When seeking to raise funds, companies must be mindful of the U.S. Securities and Exchange Commission (SEC) regulations to avoid costly penalties. The SEC requires companies to register most securities offerings, but there are several

Entrepreneurs, fund managers, real estate investors, and small business owners often need to raise money in order to launch their next great enterprise. Most find that raising money can be difficult and the laws surrounding fundraising are complex. Raising money the wrong way can lead to unhappy investors or legal

Navigating a Private Placement Memorandum (PPM) can be daunting for fund managers, our clients that are raising money, and for prospective investors. Generally, a PPM is a legal document used in private securities offerings to inform investors of the risks, terms, and conditions of the investment. It is crucial both

What Is a Wells Notice? If you’ve received a Wells Notice from the Financial Industry Regulatory Authority (FINRA), it’s a serious matter that requires immediate attention. A Wells Notice is a formal notification that FINRA is considering enforcement action against you due to alleged violations of securities laws or regulations.