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Business

Criminal Liability of Corporate Officers
Under Section 807 of The Sarbanes-Oxley Act of 2002 (Act),1 any person who knowingly commits securities fraud is subject to a hefty fine, a prison term of up to 25 years, or both. Section 807 does not criminalize securities laws violations for the first time; however, it does combine several existing laws so as to facilitate and streamline federal prosecutions. Section 807 does impose significantly harsher criminal penalties than the penalties prescribed under prior laws. More...
Criminal Liability of Officers and Directors for Corporate Antitrust Violations
Criminal Liability of Officers and Directors for Corporate Antitrust Violations More...
Off-Exchange Foreign Currency Trading
Trading in foreign currency futures and options contracts by retail customers outside of an organized exchange is unlawful unless the party offering the futures and options contracts is a regulated entity described in the Commodity Exchange Act enforced by the Commodity Futures Trading Commission. More...
Securities Law
(An Outline of Federal Securities Laws) More...
Time Requirements for Settlement of Securities Trades
Due to the risk of volatility in the value of securities, the Securities and Exchange Commission requires that a securities transaction must be settled or completed within three business days. "T+3" is the name given to this settlement requirement. More...

Areas Of Practice

  • Bankruptcy
  • Business Enterprises
  • Buying or Selling a Business
  • Buying or Selling a Home
  • Closely Held Business
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