Tag Archives: tips

NDA’s Restrict Whistleblowing

See something, say something? But what if your employment agreement has a confidentiality provision? Can you still go to law enforcement? Note that many companies have corporate policies that encourage or require reporting malfeasance up the corporate ladder through the … Continue reading

Posted in Congress, Crowd Fund Act, Crowd Fund Act of 2012, Crowd Funding At the Margins, Crowd Funding Platforms, Jobs, Legislative Intent, SEC, Wall Street | Tagged , , , , , , , , , , , , , , , , , , , , , , , , , , , , | Leave a comment

SEC Denies Whistleblower Awards

You can make up to 30% on all monetary sanctions over $1 million imposed by the SEC as a whistleblower. Last week the SEC handed out $875,000 to 2 informants. http://www.sec.gov/News/PressRelease/Detail/PressRelease/1370541980219#.U5YWa_ldWVM However, your information had better be correct. The SEC … Continue reading

Posted in Broker dealers, Congress, Crowd Fund Act, Crowd Fund Act of 2012, Crowd Funding At the Margins, Crowd Funding Platforms, Funding Portals, Investments, Jobs, Legislative Intent, SEC, Small Business, Wall Street | Tagged , , , , , , , , , , , , , , , , , , , , , , , , , | Leave a comment

Crowd Funders: Caveat Advertiser

The SEC is currently fishing for examples of private placement advertising on its website. Some crowd funding companies may be mislead by the posting which invites “voluntary” filing of their general solicitation materials. In the same breath, the notice invites … Continue reading

Posted in Congress, Crowd Fund Act, Crowd Fund Act of 2012, Crowd Funding At the Margins, Crowd Funding Platforms, Film, FINRA, Funding Portals, Investments, Jobs, Legislative Intent, SEC, Small Business, Venture Capital, Wall Street | Tagged , , , , , , , , , , , , , , , , , , , , , , | Leave a comment

A New JOBS Act Job – Whistleblower

The crowdfunding public is already pretty vigilant, with a few high profile frauds having been sniffed out. But when the crowdfunding regs get published, a new profession may appear, that of the whistle blower. The SEC actually has an Office … Continue reading

Posted in Broker dealers, Congress, Crowd Fund Act, Crowd Fund Act of 2012, Crowd Funding Platforms, FINRA, Funding Portals, Investments, Jobs, Legislative Intent, SEC, Wall Street | Tagged , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , | Leave a comment

Crowdfunding Myths Explained (Sort Of)

IndieGoGo has published its “Top 10 Myths About Crowdfunding,” trying to debunk a number of recent criticisms. Because most campaigns do not reach their funding goal, IGG explains that this isn’t failure, it’s a learning experience. While its been proven … Continue reading

Posted in Broker dealers, Congress, Crowd Fund Act, Crowd Fund Act of 2012, Crowd Funding At the Margins, Crowd Funding Platforms, Film, FINRA, Funding Portals, Investments, SEC, Small Business, Wall Street | Tagged , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , | Leave a comment