If your company is under investigation by the Securities and Exchange Commission (SEC) for financial fraud, should you notify your investors? Some companies believe that transparency is important, so they disclose these investigations.Another common reason for...
Most Louisville residents have never heard of the Sarbanes-Oxley Act that was signed into law by President George W. Bush back in 2002. But this comprehensive federal law — it has 11 sections — could indeed adversely impact your life if you wind up on the...
It isn't easy running a startup organization in the tech industry these days -- and the Securities and Exchange Commission (SEC) isn't about to make it any easier.The SEC has increasingly been focused on incidents of white collar crime and fraud in private companies....
Do you feel like the broker-dealer firm you signed on with courted you with false promises? Do you feel misused by a company that you thought really valued you -- enough that they even gave you a sign-on bonus?Well, take a close look at that signing "bonus" that you...
When you decide to invest your money, it is always a risk. Anyone who tells you otherwise is probably running some sort of scam or trying to build up a false confidence. The risk may be low, but it is always there.One example of risk is the market risk itself. The...
When you suffer losses in your investment portfolio that you believe goes beyond the typical actions of the market, you could have some legal recourse. There are several factors that could have contributed to your losses for which you can seek relief.Some of these...
In early June, the Canadian social media giant Kik began seeking funding to fight the U.S. Securities and Exchange Commission (SEC). They estimated that it would cost 5 million to do so.When the company initially went into business in 2017, they did so using $100...
Investing nearly always carries some risk. However, there are numerous state and federal securities laws that publicly traded companies and securities professionals must abide by. These help prevent investors from putting themselves at unnecessary risk due to false or...
Initial public offerings (IPOs) can be tricky things. Calculating the value of a stock before it becomes available to the public for purchase isn't an exact science. Uber's IPO earlier this month was widely considered to be a "flop" as it quickly dropped below its IPO...
There are plenty of do-it-yourself options out there for people who want to buy stocks and other types of securities. However, many investors turn to brokers for their experience and knowledge. Brokers, like other types of professionals, owe a duty of care to their...
