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Regulation A+: The Ultimate Guide from Eligibility to Compliance

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

Regulation CF: An Ultimate Guide to the SEC’s Crowdfunding Regulation

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

Regulation D: An Ultimate Guide to Private Capital Raising

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

Section 4(a)(2): Private Placement Ultimate Guide

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

Recent DOJ Enforcement Actions Signal New Trend Toward Targeting Black Market Prescription Drug Diversion

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

Targeting MLMs and Other “Money-Making Opportunity Sellers” Remains an FTC Priority in 2025

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

10 Keys to Conducting an Effective AML/BSA Audit in 2025

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

10 Keys to Selecting the Best Private Placement Attorney

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

5 IRS Penalty Abatement Strategies

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

10 Tips for Handling an EPA Environmental Audit

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

How to Handle an EPA Inspection: Tips for Success and Mistakes to Avoid

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

4 Things to Know About Ketamine Investigations

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

A Guide to Qui Tam Lawsuits for Whistleblowers

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

EPA Litigation Defense in 2024: Strategies for Companies Facing Civil or Criminal Penalties

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

Need a Wall Street Whistleblower Attorney? Your Questions, Answered

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

Selecting a Washington, D.C., Whistleblower Lawyer: 5 Things to Keep in Mind

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

A Handy Guide for Healthcare Whistleblowers

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

IRS/Tax Whistleblower Guide

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

EPA Compliance in 2024: 10 Key Areas of Concern (and 5 Tips for Success)

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

A Guide to Whistleblowing Under the Sarbanes-Oxley Act (SOX)

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

Ultimate Guide to the Anti-Kickback Statute

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

A Handbook for FCPA Whistleblowers

Enforcement of the Foreign Corrupt Practices Act of 1977 relies heavily on whistleblowers, both in America and abroad. If you have information about a potential violation of the law and want to report it to the authorities,...more

A Handbook for SEC Whistleblowers

The U.S. Securities and Exchange Commission’s (SEC) Whistleblower Program was created in Section 922 of the Dodd-Frank Act of 2010, which amended the Securities Exchange Act to include a whistleblower provision. It has since...more

10 Tips for Filing a Qui Tam Lawsuit in 2024

The federal government is continuing to rely heavily on whistleblowers in 2024. While there are now several federal whistleblower programs, the qui tam provisions of the False Claims Act remain among the government’s most...more

Corporate Transparency Act Compliance: What Company Owners Need to Know in 2024 (and Beyond)

The federal Corporate Transparency Act (CTA), formed under the National Defense Authorization Act, establishes new disclosure obligations for millions of companies operating in the United States and abroad including...more

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