• elderly couple walking
    November 5, 2018

    Determining client capacity – ABA 10 Commandments

    The American Bar Association recently published some very helpful guidance for lawyers in considering client capacity to make legal and other decisions. The most important directive is that the correct question is NOT whether a client has capacity — it is whether a client has capacity TO DO A PARTICULAR THING.

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  • magnifying glass and circuit board
    November 5, 2018

    Insurance coverage for SEC investigation of your ICO?

    A question that businesses contemplating an initial coin offering (ICO) should consider is whether they have insurance coverage for an SEC or other government investigation. This is an excellent analysis of the question on the D&O Diary. Guest Post: ICO-Related Claims and Insurance Coverage: Questions You Should be Asking   Lisa Bragança recovers losses for investors all over the country, protects whistleblowers, and defends individuals and businesses in government investigations. As a Branch Chief with the SEC Division of Enforcement, Lisa conducted and supervised insider trading investigations and a wide range of investment fraud and Wall Street misconduct. Lisa represents participants in the digital coin/cryptocurrency industry. You can reach Lisa at (847) 906-3460 or Lisa@SECDefenseAttorney.com. www.SECDefenseAttorney.com Disclaimer: This information is for general purposes only and should not be interpreted to indicate a certain result will occur in your specific legal situation. The information on this website is not legal advice and does not create an attorney-client relationship.  

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  • Grim reaper
    October 26, 2018

    Collateralized debt obligations are back – that is scary!

    Collateralized debt obligations rise from the dead A frightening Halloween development – the rise from the dead of collateralized debt obligations ( CDOs). These little darlings nearly brought down the entire financial system in 2008. But the fees that CDOs generate are just too attractive for financial firms to pass them up. And even if they blew up and contributed to the Great Recession, nobody went to jail.

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  • smartphone and investment decisions
    October 24, 2018

    Smartphone – bad investment decisions

    Investment decisions based on smartphone research We think that using our smartphones to do research — including research for investment decisions — is a good thing. After all, how could using this tool to access more information be bad?   It turns out smartphones and investing go together like peanut butter and tuna fish. Two things that are just fine on their own but should not be combined.

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