Published Works

Let’s Sue Canada

By John Keenan / February 10, 2022
Posted in

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…

Read More

On-The-Record: Survival Tips for Witnesses

By Thomas McCabe / February 2, 2022
Posted in

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”)…

Read More
Warren Law Group

Four Key Strategies for a Successful Capital Raise

By Todd P. Kulkin / January 27, 2022
Posted in

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…

Read More
Warren Law Group

WHITE COLLAR CORNER

By David Rosenfield / January 19, 2022
Posted in

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 More

The Pros & Cons of Investing in Private Equity

By Todd P. Kulkin / November 8, 2021
Posted in

By 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…

Read More
Warren Law Group

Work-Around Entities: S Corporations, LPs, and LLLPs.

By Christopher D. Warren / April 5, 2021
Posted in

by Paul Share In previous posts, we discussed business types that exist without any filing (sole proprietorships and partnerships) and corporations, the first type of entity to exist under US law that provided investors “limited liability”—the ability to invest in an enterprise without exposing all of one’s assets to liabilities of the enterprise. But, we…

Read More
Warren Law Group

Taxation of Corporations vs Pass-Through Entities

By Christopher D. Warren / February 23, 2021
Posted in

by Paul Share In consideration of what type entity to use for your startup, taxation is a major consideration. In our previous post, we discussed, in general terms, how taxation works for “pass-through” entities like sole proprietorships and partnerships. In this post we discuss how taxation works for corporations, as contrasted with pass-through entities. Corporations…

Read More
Warren Law Group

Corporations: Shareholders, Liability, and Litigation

By Christopher D. Warren / February 16, 2021
Posted in

By Paul Share The prototypes of corporations go back to the royally chartered entities formed to colonialize the Indies and the new world, especially to develop colonies like New Amsterdam. These were projects too expensive and risky for any one person to bear the risk of—especially if one’s whole net worth were available to cover…

Read More
Warren Law Group

Federal Whistleblowers: Good Deeds Rewarded

By Christopher D. Warren / February 3, 2021
Posted in

Federal Whistleblowers: Good Deeds Rewarded by Christopher Warren and Todd Kulkin Whistleblowers—informants in government investigations—are instrumental in revealing crimes and misconduct that otherwise may never come to light. In the securities industry, whistleblowers are a frequent source of information for regulatory agencies and are often the lynchpin of successful government investigations, both state and federal.…

Read More