Starting an open-ended investment fund as a DST. What entity should be used to register the management company?

I echo the comments of the other attorneys, all of which are well-taken here. But one BIG thing you haven't described in your efforts to have the...

Incorporated startup raising capital from and issuing stock to friends & family, what is there beyond Regulation D?

Any offering under Regulation D has a slew of requirements that need to be met, all of which are best reviewed with counsel. Remember, if you...

When are law enforcement engage by corporations who discovered accounting irregularities?

A publicly traded company is not going to call in law enforcement unless it has all the facts at the ready. It appears that they do not. You...

Question 14(a) on Form U4 is problematic in this instance, because not only does it ask if you were convicted, but also if you were charged. How...

Your "general partner" should be the LLC or other entity you have actually managing your fund and collecting fees. Hopefully, you're in the early...

Can I sue pro se when plaintiff is LLC

Time is not on your side in filing a lawsuit - 3 years is a long time for an investigation, albeit there may be more than meets the eye. And if...

Recovering debt for overseas business entity

Some courts in the US may look unfavorably upon an assignment done specifically to create jurisdiction in a US court. Speak with skilled...

Is there any way I can help a start up raise capital, and take a % of it without being a broker-dealer?

Virginia has very strict rules on this sort of thing, and there have recently been a slew of enforcement decisions on people acting as brokers for...

Does it violate SEC insider trading rules to short the stock of the company you work for?

Even shorting a stock in a bona fide hedge based on information not generally available to the public may create issues. Before you go down the...

Can I take legal action directly against an investment advisor if my FINRA six year claim eligibility period has passed?

Without knowing all of the facts, you may well have a tough road to climb. While the six year eligibility window has passed, that means you are...