Published Works
The 501(d) model of tax exemption echoes all the way back to the use of home-brewed alcohol sales by monks to help keep their monastery running. The tradition of the monastically produced alcoholic beverage goes back over 1,000 years and has yielded the discovery of many a potent potable, from the Trappist style of beer…
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How to Properly Handle Witness Proffers in Criminal and Regulatory Investigations David Rosenfield When you think of Martha Stewart, do you think of cooking shows or white collar criminal cases? Martha Stewart’s case is one of the more infamous and recent to come to mind for most regulatory attorneys. Stewart participated in what’s known as…
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The U.S. Securities and Exchange Commission has an onerous problem with Tesla Inc. CEO Elon Musk.How does the staff enforce securities laws, with mostly draconian remedies, against one of Musk’s tweets that asked a question of a polled Twitter audience? How does the staff decide if discussing a Twitterquestion is considered insider trading? How does…
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Over the past four decades as an attorney (I know it’s been that long!), I have assisted uncountable optimistic and fresh entrepreneurs in building and maintaining their start-up companies. Starting and building a business from the ground up is certainly a challenge many wouldn’t expect as a company grows. For certain, threshold legal and tax…
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John Keenan & Christopher Warren If you are considering a significant commercial investment from the United States into Canada or vice versa, this article should be of particular interest. The updated United States-Mexico-Canada Trade Agreement effectively eviscerated your rights, a fact not known generally to potential investors. History of United States-Mexico-Canada Trade Agreements Since the…
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Thomas McCabe & Christopher Warren A securities self-regulatory organization (“SRO”), like the Financial Industry Regulatory Authority (“FINRA”), has invited you to give on-the-record testimony (“OTR”) in connection with a pending inquiry, investigation, or disciplinary proceeding. You may be a target or one of many targets. You may be viewed by the SRO’s Examiners/Investigators (the “Examiners”)…
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The Start-Up Perspective Corporate Team of Warren Law Group Managing a capital raise is like walking a tightrope – balance is the key to success. A growing business must strike a balance between its interests and its investors’ demands. The downside risk and the lure of a rewarding upside, all while ensuring the venture has…
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To Cooperate Or Not To Cooperate – That Is The Question David Rosenfield and Christopher Warren You are under investigation for a white collar crime. Government agents or prosecutors approach you; they want you to cooperate. The agents want to speak with you and ask you to provide information about criminal activities you may have…
Read MoreBy Managing Partner Christopher Warren and Partner Todd Kulkin So you’re thinking of adding private equity to your investment portfolio. Rather than investing through a public exchange such as the stock market, private equity funds invest directly into private companies or buy out public companies, delisting them from the public market. Capital raised by private…
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