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Investor Suitability Requirements for Broker Dealer Recommendations

Broker dealers may make investment recommendations to investors only if the broker dealer first determines that the recommended investment would be suitable for the investor. Suitability depends upon the investor’s...

June 20, 2014

Legal Blog

Disputes between Landlords and Tenants

A wide variety of disputes can arise between a landlord and a tenant. The nature of the dispute can be large or small. For instance, the dispute can relate to the responsibility for a minor repair to the leased premises. In...

June 20, 2014

Legal Blog

Securities Law Additional Offerings, Disclosure & the Securities Exchange Act of 1934 Tender Offers

A company goes private by reducing the number of its stockholders to less than 300. The company thereby no longer is required to file public company reports with the Securities and Exchange Commission. Public companies that...

June 20, 2014

Legal Blog

The Rule 505 Exemption from Registration Requirements for Small Securities Offerings

Before selling shares of stock to the public, a company normally must file a detailed registration statement with the Securities and Exchange Commission. The usual registration statement must contain a prospectus with audited...

June 20, 2014

Legal Blog

Inspections and Punch Lists

When a buyer works with a builder to plan the construction of new home, the buyer will have an opportunity to look at models, drawings, plans and specifications. The combination of these documents gives the buyer a general...

June 20, 2014

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