Finance Lawyers in the USA

Finance Lawyers in the USA Other Countries



All Articles »Finance - Recent Legal Articles

  • U.S. Economic Sanctions: A 3/4-Year Review

    Aside from one last mid-January initiative by the Obama Administration to begin rolling back sanctions targeting Sudan, the U.S. Treasury Department's Office of Foreign Assets Control ("OFAC") was quiet at the start of 2017 and during the first 100 days of the transition.

  • Can a Private Lender Initiate a Voluntary Foreclosure?
      by HG.org

    Foreclosure of a property is often devastating to the person that is leasing or that owns the house. There are several processes involved in this event, and the lending agency holds the most power over the entire situation with the ability to initiate a voluntary foreclosure in usual circumstances.

  • Common Litigation Challenges for Financial Advisors

    In the securities law arena, there are more issues than just fraud, misrepresentation, breach of contract, etc. Financial advisors are sometimes involved in the following types of litigation problems and should, therefore, be familiar with the following terms: Promissory Notes, Broker Raiding, Regulatory Compliance, Solicitation, Broker Protocol and Sunset Agreements/Sale of Practice.

  • The Financial Advisor Expungement Process

    Financial advisors registered with FINRA each have information regarding their experience in the securities industry available on FINRA’s Broker Check. The purpose of BrokerCheck is to help investors make informed choices about brokers and brokerage firms-and to provide easy access to investment adviser information.

  • Are Wages to Independent Contractors Subject to Garnishment?
      by HG.org

    Persons that work for themselves are considered independent contractors even if they are employed within the building of a company. These individuals are not considered employees and may not be subject to various regulations or stipulations, and this means that numerous aspects do not apply to these persons as they would a standard employee.

  • Overview of Business Development Company (BDC) Investments

    A Business Development Company (“BDC”) is a form of investment company that invests in small and mid-sized businesses. Investors can buy shares in a BDC, and the money from their investments is used to fund the businesses. In turn, investors can profit from dividends paid on their investments, or, in some cases, the sale of their shares.

  • Financial Advisor Promissory Notes (Up-front Forgivable Loans)

    Promissory Notes (often called an up-front forgivable loans) are commonly used as a recruiting tool by many of the major brokerage firms in the securities industry, including Morgan Stanley, Merrill Lynch, Wells Fargo, Ameriprise and UBS Financial Services. Essentially, brokerage firms use the up-front forgivable loans to recruit financial advisors from other firms to bring their clients (or “book of business”) to the new firm.

  • Real Estate Financing for California Real Estate Investors

    The financial commitments required in real estate investing can vary in size and scope, from purchasing a handful of shares in a real estate investment trust (REIT) or real estate syndicate to purchasing a house or office building.

  • Importance of Brokerage Firm Due Diligence on Alternative Investments

    “Alternative investments” generally refer to all non-traditional investments – like stocks, bonds, and mutual funds. Examples include oil and gas limited partnerships, non-traded REITs, business development companies, tenant-in-commons, and equipment leasing funds. The commonality is that alternative investments are high-risk, generally illiquid, and pays a high commission to the advisor that recommends them.

  • Issuing Equity to Employees in Exchange for Compensation in a Startup
      by HG.org

    Equity may be issued to employees as a form of compensation when a startup company is initially opening for business. The shares, stock or interest may be passed to these workers, but to do so, the owner should understand fully how this could affect him or her and the business both in the startup phase and later when the equity means more.


Find a Lawyer

Find a Local Lawyer