Private placement debt offerings offer a compelling alternative to traditional lending for many companies. The legal landscape governing these transactions involves key statutes, regulations, and the critical steps required...more
Federal Securities Lawyer and Founding Attorney of Oberheiden P.C., Dr. Nick Oberheiden, answers FAQs about private placements under Regulation D....more
Whistleblowers play a key role in the federal government’s ongoing fight against procurement fraud. Government procurement fraud is extraordinarily costly; and, despite the government’s vast resources, detecting procurement...more
4/9/2025
/ Evidence ,
False Claims Act (FCA) ,
Federal Acquisition Regulations (FAR) ,
Federal Contractors ,
Fraud ,
Government Agencies ,
Procurement Guidelines ,
Qui Tam ,
Reporting Requirements ,
Subcontractors ,
Whistleblowers
Government procurement fraud is pervasive. The vast majority of government procurement fraud goes undetected, and federal agencies rely heavily on whistleblowers to help them determine when scrutiny is warranted. Blowing the...more
4/1/2025
/ Bid Rigging ,
Bribery ,
Buy American Act ,
Conflicts of Interest ,
False Claims Act (FCA) ,
Federal Acquisition Regulations (FAR) ,
Federal Contractors ,
Fraud ,
Government Agencies ,
Procurement Guidelines ,
Subcontractors ,
Trade Agreements Act ,
Whistleblowers
Regulation A+ has emerged as a powerful tool for companies seeking to raise capital from both accredited and non-accredited investors. This Regulation A+ Offerings Guide provides a comprehensive overview of Regulation A+,...more
3/25/2025
/ Capital Markets ,
Capital Raising ,
Compliance ,
Disclosure Requirements ,
Initial Public Offering (IPO) ,
Investors ,
Regulation A ,
Regulation D ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Startups
Early crowdfunding often broke securities laws due to unregistered offerings. In 2015, the SEC's Regulation Crowdfunding (Regulation CF) addressed this, stemming from the JOBS Act. It provides an exemption for certain...more
3/18/2025
/ Capital Markets ,
Capital Raising ,
Compliance ,
Crowdfunding ,
Disclosure Requirements ,
Financial Services Industry ,
Investor Protection ,
Regulation CF ,
Regulatory Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Small Business
For companies seeking to raise capital without the complexities and costs of a public offering, Regulation D under the Securities Act provides a valuable exemption from SEC registration. This allows for private placements,...more
3/11/2025
/ Accredited Investors ,
Capital Markets ,
Compliance ,
Financial Markets ,
Investment Funds ,
Investment Management ,
Private Equity ,
Public Offerings ,
Regulation D ,
Rule 504 ,
Rule 506(c) ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
Section 4(a)(2) private placements can help companies raise capital without an Initial Public Offering (IPO). While exempt from registration, these offerings do require strict compliance to avoid legal pitfalls. Companies...more
A couple of recent large-scale enforcement actions suggest that the U.S. Department of Justice (DOJ) may be placing increased emphasis on targeting black market prescription drug diversion. This is when pharmaceutical...more
3/5/2025
/ DEA ,
Department of Justice (DOJ) ,
Distributors ,
Enforcement Actions ,
Healthcare Fraud ,
Medicaid ,
Medicare ,
Pharmaceutical Industry ,
Pharmacies ,
Prescription Drugs ,
White Collar Crimes
Targeting multi-level marketers (MLMs) and other “money-making opportunity sellers” has been among the U.S. Federal Trade Commission’s (FTC) top priorities in recent years. The FTC has pursued several enforcement actions...more
2/26/2025
/ Consumer Fraud ,
Consumer Protection Laws ,
Enforcement Actions ,
False Advertising ,
Federal Trade Commission (FTC) ,
MLM ,
Proposed Rules ,
Pyramid Schemes ,
Rulemaking Process ,
Settlement ,
Unfair or Deceptive Trade Practices
Financial institutions need to remain vigilant about managing anti-money laundering and Bank Secrecy Act (AML/BSA) compliance in 2025. As the financial ecosystem becomes increasingly complex, and as transactions increasingly...more
When it comes to raising capital for your business, private placements offer a compelling alternative to traditional methods like bank loans or venture capital. However, navigating the intricate legal landscape of securities...more
As a U.S. taxpayer, one of the last things that you want to hear is that the Internal Revenue Service (IRS) has disagreed with your tax assessment and has imposed penalties for noncompliance. The good news is that the IRS...more
The U.S. Environmental Protection Agency (EPA) expects companies to self-police their environmental compliance efforts. While the EPA regularly conducts inspections focused on assessing environmental compliance, it also...more
8/21/2024
/ Audits ,
CERCLA ,
Clean Water Act ,
Compliance ,
Compliance Monitoring ,
Environmental Policies ,
Environmental Protection Agency (EPA) ,
Environmental Violations ,
EPCRA ,
FIFRA ,
RCRA ,
Risk Assessment ,
Risk Mitigation ,
Safe Drinking Water Act ,
Toxic Substances Control Act (TSCA)
The United States Environmental Protection Agency (EPA) has long conducted inspections to assess the efficacy of companies’ environmental compliance programs. However, under the EPA’s Climate Enforcement and Compliance...more
Federal law enforcement agencies, including the U.S. Drug Enforcement Administration (DEA), have amped up their investigations into the drug ketamine in recent years, likely in reaction to some high-profile overdose deaths....more
8/1/2024
/ Controlled Substances ,
Controlled Substances Act ,
DEA ,
Defense Strategies ,
Drug Possession ,
Government Investigations ,
Health Care Providers ,
Internal Investigations ,
Litigation Strategies ,
Physicians ,
Prescription Drugs ,
Risk Assessment ,
Risk Mitigation ,
White Collar Crimes
One avenue for whistleblowers to take to report fraud against the government is to file a qui tam lawsuit under the federal False Claims Act. These lawsuits are complex because they have not two, but three parties to them –...more
7/24/2024
/ Anti-Retaliation Provisions ,
Defense Strategies ,
False Claims Act (FCA) ,
Federal Funding ,
Federal Grants ,
Fraud ,
Government Investigations ,
Healthcare Fraud ,
Law Enforcement ,
Paycheck Protection Program (PPP) ,
Qui Tam ,
Whistleblower Awards ,
Whistleblower Protection Policies ,
Whistleblowers ,
White Collar Crimes
The U.S. Environmental Protection Agency (EPA) is responsible for enforcing the federal laws, regulations, and Executive Orders focused on protecting the environment for the benefit of the American people, threatened and...more
7/17/2024
/ Compliance ,
Defense Strategies ,
Discovery ,
Document Review ,
Enforcement Actions ,
Enforcement Priorities ,
Environmental Policies ,
Environmental Protection Agency (EPA) ,
Environmental Violations ,
Evidence ,
Investigations ,
Litigation Strategies ,
NPDES ,
Penalties ,
Risk Mitigation
People who work on Wall Street come into contact with important information all the time. Sometimes, though, that information indicates that a major corporation or company is breaking the law. If this happens to you, you have...more
7/10/2024
/ Anti-Retaliation Provisions ,
Bribery ,
Corporate Misconduct ,
Defense Strategies ,
Fraud ,
Insider Trading ,
Retaliation ,
Wall Street ,
Whistleblower Awards ,
Whistleblower Protection Policies ,
Whistleblowers ,
White Collar Crimes
Whistleblowers in the nation’s capital should strongly consider getting experienced legal help to develop their case and present it to federal law enforcement personnel. By hiring an experienced whistleblower attorney, you...more
The healthcare industry relies heavily on whistleblowers to bring fraudulent conduct and other forms of waste and abuse to the attention of regulators, law enforcement, and the public in general. If you have found signs of...more
6/25/2024
/ Anti-Retaliation Provisions ,
Defense Strategies ,
False Claims Act (FCA) ,
Health Care Providers ,
Healthcare Fraud ,
Retaliation ,
Whistleblower Awards ,
Whistleblower Protection Policies ,
Whistleblowers ,
White Collar Crimes ,
Wrongful Termination
Anyone who has obtained evidence that a person or company is committing tax fraud or evasion can become a whistleblower by reporting it to the Internal Revenue Service (IRS). Due to the volume of reports that the agency...more
6/18/2024
/ Anti-Retaliation Provisions ,
Corporate Misconduct ,
Defense Strategies ,
Document Productions ,
Evidence ,
IRS ,
Tax Evasion ,
Tax Fraud ,
Whistleblower Awards ,
Whistleblower Protection Policies ,
Whistleblowers ,
White Collar Crimes
Companies in a wide range of industries are subject to the oversight of the United States Environmental Protection Agency (EPA). The EPA enforces numerous environmental laws, environmental regulations, and executive orders to...more
6/11/2024
/ CERCLA ,
Clean Air Act ,
Clean Water Act ,
Compliance ,
Endangered Species Act (ESA) ,
Enforcement ,
Environmental Policies ,
Environmental Protection Agency (EPA) ,
FIFRA ,
FQPA ,
NPDES ,
RCRA ,
Regulatory Requirements ,
Risk Mitigation ,
Safe Drinking Water Act ,
Toxic Substances Control Act (TSCA)
The Sarbanes-Oxley Act of 2002, also referred to as SOX or as Sarbox, is a federal statute that requires specific corporate recordkeeping measures as well as financial reporting. It was passed in the aftermath of several huge...more
6/4/2024
/ Corporate Misconduct ,
Fraud ,
Publicly-Traded Companies ,
Recordkeeping Requirements ,
Regulatory Violations ,
Retaliation ,
Sarbanes-Oxley ,
Securities and Exchange Commission (SEC) ,
Whistleblower Awards ,
Whistleblower Protection Policies ,
Whistleblowers
All healthcare providers and other businesses in the healthcare industry need to comply with the Anti-Kickback Statute (AKS). The AKS imposes criminal penalties for knowing and willful violations, and even inadvertent...more