Jeff Peterson, Author at The Law Offices of Jeff Peterson

DEI for legal teams

January 11, 2022 in Corporate Transactional Law, News /by Jeff Peterson

DEI initiatives are no longer the sole purview of the human resources team, leadership and legal need to be involved too.

Chinese Companies Delisting off the NYSE

January 4, 2022 in News, Securities Law /by Jeff Peterson

Chinese Companies delisting off the N.Y.S.E. mean that US investors will have less transparency into those stocks should they invest in foreign markets

M&A trends for 2022

December 22, 2021 in Mergers & Acquisitions, News /by Jeff Peterson

The strong M&A volume predicted for 2022 is being driven by a hot Private Equity environment, ESG initiatives and remote work, among other factors…

How to Close a Business in California

November 22, 2021 in Corporate Transactional Law /by Jeff Peterson

Closing a business in California is a process that requires attention to detail, here is a brief overview of the main elements to keep in mind…

SANDBAGGING CLAUSES IN M&A AGREEMENTS

November 10, 2021 in Mergers & Acquisitions, News /by Jeff Peterson

In an agreement for the sale of a business, there will be a number of representations and warranties by the seller across the spectrum of the company’s business.

AN OVERVIEW OF SEC REVISIONS TO FORM ADV AND RECORD-KEEPING RULE

November 9, 2021 in Corporate Transactional Law /by Jeff Peterson

The SEC recently adopted revisions to Part 1A of the Form ADV that became effective on October 1, 2017. The SEC has also expanded the scope of Rule 204-2 of the Advisers Act regarding communications about performance results or rates of return. We will address the revisions to Form ADV reporting requirement first.

FLORIDA MAN BEING SENTENCED FOR WIRE FRAUD IN CONNECTION WITH TRADING COMPANY

October 30, 2020 in News /by Jeff Peterson

The United States Attorney’s Office for the Southern District of Florida issued a press release about a Kissimmee, Florida resident being sentenced to more than seventeen years in prison after having been convicted at trial of wire fraud.

TEXAS OIL COMPANY PAYS $5.4 MILLION TO SETTLE SEC SUIT

October 29, 2020 in News /by Jeff Peterson

The SEC entered into a settlement on its recently-filed securities suit against defendants Southlake Resources Group, LLC (“Southlake”), Cody Winters, and Nicholas Hamilton. The defendants consented to entry of the SEC’s proposed final judgments without admitting or denying the allegations in the SEC’s complaint.

MANHATTAN TAX ATTORNEY AND CPA INDICTED FOR TAX EVASION

October 29, 2020 in Corporate Transactional Law, News /by Jeff Peterson

The United States Attorney’s Office for the Southern District of New York announced that Manhattan tax attorney Harold Levine and Florida certified public account Ronald Katz were charged in Manhattan federal court in an eight-count Indictment with engaging in a multi-year tax evasion scheme involving the diversion of millions of dollars of fees from a Manhattan law firm, and the failure to report that fee income to the IRS.

DEFINING A SELLER’S KNOWLEDGE IN AN M&A AGREEMENT

October 24, 2020 in Mergers & Acquisitions, News /by Jeff Peterson

In any M&A transaction there will be representations and warranties across the company’s business. To limit exposure look at setting knowledge qualifiers.

About Jeff Peterson

Entries by Jeff Peterson