No business relishes an investigation from the Securities and Exchange Commission (SEC). Running afoul of federal regulations can result in significant fines and penalties and, in come cases, even criminal charges. A few keys to mitigating such risks include: Meeting...
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Four Ways for a new company to protect its intellectual property
For an entrepreneur starting a new business venture, there are many things to think about. Advertising, product, employment issues, financing, real estate issues and other major concerns can be overwhelming. One of the most important issues that, unfortunately, many...
5 things every business should include in an employee handbook
If you’re a business owner with employees, you need to put together an employee handbook. A handbook can help you better enforce workplace rules and regulations. Failing to have an employee policy in place can also lead to a litigation nightmare. That said, it can be...
Beware of intellectual property trolls
We’ve all encountered trolls in online comments and message boards. Usually, it’s best to ignore their absurd and risible statements. Eventually, they’ll return to the underside of their bridge or their mother’s basement. However, some trolls are more insidious and...
Is your customer list a trade secret?
Your list of customers is invaluable to your business operations. As such, you must always guard against the stealing of this type of information. There are several steps you can take to help limit the threat of your client list falling into the wrong hands. One...
Is registering my LLC enough protection for my company name?
Marketing is an essential part of building a business. You count on your clients to recognize your name for the unique products and services you bring to the market. Brand confusion happens when a company has a similar name or logo that can easily be mixed up with...
A guide to the FINRA arbitration process
The Financial Industry Regulatory Authority was established to provide some protection to investors while holding broker-dealers to ethical standards. One way FINRA does so is through the use of arbitration to resolve disputes. The arbitration process differs from...
How prevalent is insider trading?
Any business owner, executive or board member is aware of the possibility of insider trading. But for most people, it is something that one might see in the movies or in fiction. It is hard for many to believe that insider trading could be a daily occurrence in some...
What protection does my logo need?
Creating great branding for your product is essential. Your logo and other branding can signal to your customers that they will get the quality and service that they expect from your products. As you develop your business and your brand, you know it is essential to...
When does a person breach their fiduciary duty?
A fiduciary is a person who is obligated to act in the best interests of another party. For example, a board member has a fiduciary duty to act in the best interests of the company or in the interests of the company’s shareholders. While the concept is simple enough,...
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