There is often a lot of confusion about mineral rights. While someone else may own the land and the buildings above the ground, another person or corporate entity might have ownership of the mineral rights below the surface.
You may think that it's highly unlikely you will ever need a securities law attorney. After all, the trades you've made on the market were always transparent and above-board.
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.
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 wrong side of the law with the Securities and Exchange Commission (SEC).
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.
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?
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.
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.
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.
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 incomplete information provided by companies or from less-than-honest brokers and other securities professionals.