Alternative investment sellers: If you can’t answer these questions, step to the sidelines
You may be liable for what you don’t know. The questions to ask before offering alternative investments to your clients.
You may be liable for what you don’t know. The questions to ask before offering alternative investments to your clients.
The unconscionable actions and rantings that led up to the murder of the son of a New Jersey federal judge show the sad underbelly of gender discrimination in law. U.S. District Judge Alia Moses and Nicole Westbrook, a litigator with Jones & Keller, say the current construct of the legal profession feeds anti-feminist thinking, but it can change. Learn how we can constructively move toward an expedited and effective judicial process based on the facts of a case, not the gender of the attorneys trying or presiding over the case.
Remote arbitration during Covid-19 can put litigators at a disadvantage, if not done well. In Bloomberg Law Insights, Nicole Westbrook, a trial instructor and attorney at Jones & Keller, says some sort of remote arbitration will most likely last after the pandemic and offers tips on how litigators can fight its equalizing effects to achieve client goals.
As Colorado transitions to a phased economic reopening, businesses should consider requiring customers to sign liability waivers.
Frustrated by a lack of federal response to lingering inaction, some states are easing into their own requirements for broker-dealer registration when using finders to secure private funding.
If you are an adviser who sold these investments without knowledge that they were unlawful, or have received a notice from regulators, take steps to protect yourself and your retail clients. By Paul Vorndran The warnings issued by the SEC to investors about Ponzi schemes that prey on senior investors in 2018 remain true today… Read more »
The pandemic’s impact varies based on local, state, and regional factors. Here’s how two past SEER Section chairs see the pandemic affecting their practices.
Several concepts of contract law may provide the non-paying party relief from default and breach of contract claims or termination when the cause is government ordered closure due to a pandemic.
Business contracts and financial agreements may have hidden risks triggered by today’s pandemic. Curb those risks with a real-time review of your operating agreements and legal contracts. Here’s where to start.
By Dave Thayer The SEC recently issued orders (Release No. IA-5469 and Release No. 34-88318) providing conditional regulatory relief and assistance to reporting companies impacted by the COVID-19. If certain conditions are met, the order provides companies an additional 45 days to file certain Securities and Exchange Act of 1934 (the “Exchange Act”) reports otherwise… Read more »