The Coming National Registry of Entities
By George W. Gregory
Congress has created a new registration requirement designed to target money launderers, tax evaders, and terrorists. As collateral damage it also hits small businesses and probably other entities. This requirement was created by The Corporate Transparency Act, (“CTA”) part of the over 10,000 pages of legislation enacted in December 2020…
Read Full Article Here

Insider Trading — Fed’s Employ New Weapon
By Stuart Sinai and Jay L. Morse
Although the Justice Dept. has accumulated over 100 criminal convictions in the last several years, including a congressman, and maybe more to come whose recent trading is suspicious, it could have had more wins if not hampered by the principal law used to prosecute…
Read Full Article Here

Investment Advisors and Expungement
By Stuart Sinai  [Spring 2018]
Nothing can be more devastating to acquiring new clients and maintaining present ones than unwarranted customer complaints challenging an investment advisor’s honesty, treatment of clients, and reputation…
Read Full Article Here

Insider Trading Gap Closed
By Stuart Sinai  [Winter 2017]
The Supreme Court recently took on the issue of whether leaking information even for nothing in return, i.e., making a gift of material non-public information to a relative or friend, is sufficient to support a criminal conviction of both the tipper and the tippee.
Read Full Article Here

Attracting Investors: New Reg. A+ Offers or Private Venture Financing
By Stuart Sinai   [Summer 2015]
The raising of private funds from venture capital sources or individual investors have traditionally been undertaken by means of federal exemptions that have allowed offerings primarily to “accredited investors.” However, those offerings frequently limit who can invest, market re-sales and secondary market trading and provide no liquidity for investors.
Read Full Article Here

Insider-trading: “tips” can be dangerous to your freedom
By Stuart Sinai    [Winter 2013]
It may sound improbable but … Your good friend, a stock broker calls. He has information that could be valuable. Of course you’ve heard his puffery over the years and lost money each time. He attended a stock analysts dinner and sat next to a VP of finance of a NASDAQ company. After several drinks, the VP bragged about the results of his company and contrasted them to the disappointing earnings and revenue of a competitor, also a high-tech NASDAQ company. The VP had become aware of the news concerning the other company from an acquaintance in the accounting department of the other company who feared for his job and was looking to join the VP’s company.
Read Full Article Here

Investment losses – arbitration may work for you
By Stuart Sinai    [Summer 2011]
If it were just the bumps (actually cliffs we all fell over) in the market that caused us to lose substantial sums of money that would have been devastating enough but when those losses occurred in broker recommended investments that you now see you should have never been in at all, you feel foolish, outraged and cheated.
Read Full Article Here

Remain wary of Wall Street pirates
By Stuart Sinai    [Summer 2010]
More dangerous than Somalian pirates and Madoffian Ponzi schemes are CMOs, CDOs, CLOs, ARS, CDS, and SIVs. These “securities” are still weapons of choice of our Wall Street gangs (and too often our Main Street gangs).
Read Full Article Here

Labor/Employment | Legislation/Litigation | Taxes | Finances/Banking/Securities | Estate Planning/Probate | Real Estate/Environmental | Intellectual Property/IT | Family/Elder Law | Business Planning | Property Tax Appeal

Back to Newsletters & Articles