Securities Basics

  The Gulf oil spill has caused BP's stock value to fall BP shareholders have filed lawsuits against the company and more may follow With billions of ... read more
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Securities FAQs
What's an IPO? What type of information can be found in a company's prospectus? Why's a preliminary prospectus sometime called a red herring? What's Sarbanes-Oxley, and how does it affect public companies? How's an "affinity fraud" perpetuated by a scam artist? What's the "Big Board," and where's it ... Read more

What's Insider Trading?
  In 2008, the Securities and Exchange Commission (SEC) filed charges against Mark Cuban for violating insider trading laws In May 2010, the case is far from over Illegal insider trading is when an investor buys or sells a company's securities, usually shares of stock, based on non-public information ... Read more

AIG Executives Escape Jail Time
  In May 2010, the US Department of Justice (DOJ) decided not to file criminal charges against American International Group (AIG) or three of its executives The DOJ conducted a two-year investigation of AIG's investments in the subprime mortgage market It may not be over for AIG, though, as the Securities ... Read more

On the Wire: Mutual Fund Management Fees Case
Update On March 30, 2010, the justices of the US Supreme Court all agreed to send the Jones v. Harris Associates case back to the federal trial court. The issue is about how much stock brokers and others may charge investors for managing mutual funds. In its unanimous decision, the Court said courts ... Read more

Oil Spill Hits BP's Stock, Threatens It's Future
  The Gulf oil spill has caused BP's stock value to fall BP shareholders have filed lawsuits against the company and more may follow With billions of dollars at stake, BP's future may be in jeopardy Take action to protect your property and investments   In the wake of the 2010 oil spill in the Gulf ... Read more

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Philadelphia FINRA Lawyers: UBS Seeks to Overturn FINRA Ruling

Swiss financial wirehouse UBS is seeking to vacate a Financial Industry Regulatory Authority (FINRA) ruling and $18.5 million award on the basis that two out of three arbitrators on the case were not ... Read more

Treating Stock Options and RSUs as Assets vs. Income in a Divorce

A recent opinion by the Massachusetts Appeals Court in the case of Ludwig v. Lamee-Ludwig (2017) has clarified an area of MA law that has beleaguered judges, attorneys, and divorce litigants for some ... Read more

Equity Shares as Bonus or Compensation for Private Startup Companies

A new trend in the gig economy is to offer unusual forms of compensation for work. Private companies, as well as publically traded companies, can offer equity shares as part of a compensation package ... Read more

Risks of 409A Non-Compliance (Part 2 of 2)

After asking whether you need a 409A valuation before issuing stock options for your startup, the answer was likely: yes. Still, it is not uncommon for entrepreneurs to reconsider seeking a valuation ... Read more

Should Your Startup Have a 409A Valuation? (Part 1, Series of 2)

Stock options in a startup company can be a valuable form of compensation for employees. Many early startup employees have become wealthy by getting in on the ground floor with stock options that may ... Read more

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