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When Unregistered Companies are Drawn into SEC Investigations

| September 23, 2021 | Articles

What must – and should — a non-registered company do when the SEC comes calling? By Paul Vorndran and Blaine Bengtson It is well known that the U.S. Securities and Exchange Commission is the nation’s primary regulator of activities related to securities. The SEC has the authority to investigate registered entities and financial professionals affiliated… Read more »

Fishy MLM Contract Provisions to Watch For

| July 28, 2021 | Articles

When MLM companies fail to deal conscionably with the large array of legal issues and personalities along the growth curve, especially when its distributors circle the globe, the ramifications are commonly heaped onto the shoulders of the distributors. By Nicole Westbrook and Al Sahlstrom When it comes to network marketing companies, commonly referred to as… Read more »

What’s in your ransomware defense toolbox?

| July 21, 2021 | Articles

The rising cost of ransomware attacks puts a premium on prevention. Put to use these practical, preventative measures to minimize the threat of being held hostage by a ransomware demand, By Larry Lee and Christopher Johnson The cost to companies and governments in ransomware attacks is growing exponentially. On May 7th of this year the… Read more »

Will Pandemic Lessons Learned Accelerate SEC Investigations?

| June 11, 2021 | Articles

Accelerated enforcement actions and new rapid response techniques at the SEC are likely to be with us for the long-haul. By Paul Vorndran Despite mandatory telework and asset reallocations, 2020 was a record year for whistleblowers and financial remedy orders at the Securities and Exchange Commission, according to the Division of Enforcement 2020 Annual Report… Read more »

A Rookie Mistake and Cooperation in the Courtroom

| June 04, 2021 | Articles

A rookie mistake sheds light on how cooperation among opposing counsel can lead to better client outcomes, and tips on how to get there. By Nicole Westbrook for the National Institute for Trial Advocacy Ed Lyons, a commercial litigator at Jones & Keller, has more than four decades of courtroom experience trying tough cases in… Read more »

Estate Administrator: Who Best to Unwind Asset Trails

| June 01, 2021 | Articles

One of the toughest decisions in estate planning is selecting an estate administrator because once appointed, they are difficult to remove. Think hard through these considerations before selecting the individual or team who will settle your estate. By Dylan Metzner There is no treasure map in settling an estate where a simple X identifies the… Read more »

Is a will or trust right for business succession?

| May 10, 2021 | Articles

Both a will and a trust work to transfer a business owner’s interest to beneficiaries. Which works best and why? By Dylan Metzner. Wills and trusts are legal documents that provide for a smooth transfer of assets. When and how they accomplish this mission differs based on the intended outcome and whether the ownership transfer… Read more »

Will SPAC History Repeat Itself? SEC Takes Aim at SPACS

| April 21, 2021 | Articles

SEC requirements on SPACs are ramping up. The last time they did so, blank-check companies languished. How will greater scrutiny this time round impact the momentum of SPACs in play and in the planning stages? By Brad H. Hamilton, April 21, 2021 The surge in today’s market darling special-purpose acquisition companies (SPACs) has the SEC… Read more »

Workplace Transitions: Managing a Stressed-out Workplace

| April 13, 2021 | Articles

Common signs of “distress” are present in the workplace, requiring a nuanced and sophisticated response from employers for both the wellbeing of employees and the company. By Larry Lee The negative effects of the COVID-19 pandemic on the collective mental health of the U.S. workforce are likely to linger for months and perhaps years to… Read more »