Blog

Aug
20
2018
In July 2018, the SEC sanctioned an investment adviser firm after finding that it failed to timely refund unearned prepaid fees to clients, and that it also misrepresented and omitted information about its own financial condition. These violations proved to be costly to the firm.
Aug
09
2018
Attorney Joel Beck shares a case study of a recent project for a client to help clean up his Form U4, seeking to expunge certain criminal history record information from his U4, and to resolve tax liens and remove those from the U4.
Aug
09
2018
Joel Beck explains why many people who think they just need a "simple will" really don't, as their situation may be much more complex than they believe.
Aug
08
2018
Investment banks are apparently cracking down on reimbursement claims for car service and overtime meals for investment bankers. We've received multiple calls this week from bankers at different firms with concerns about internal reviews for reimbursement claims for car service or for after-hours meals. If you're facing an internal review for these reimbursements, we've got some information you need to know.
Jul
23
2018
Your company's contracts say a lot about your business, and sometimes it is not all good. Read on to find out what we found when we reviewed a contract for one of our clients.

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