Paul Peter Nicolai
Supreme Court Limits Shareholder Suits
The U.S. Supreme Court unanimously ruled that a corporation's failure to disclose certain information about its future business risks,...
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Paul Peter Nicolai
Mar 125 min read
Using Warrants to Get A Deal Done
An essential part of scaling for start-ups and emerging companies is the strategic use of investment tools. Stock options and warrants,...
Paul Peter Nicolai
Sep 19, 20234 min read
New Exemption from Securities Broker Registration for M&A Brokers
There is a new exemption that allows M&A brokers to avoid registering as securities brokers. President Biden signed the Consolidated...
Paul Peter Nicolai
Dec 20, 20229 min read
Cryptocurrency Enforcement Has Arrived
The rise of cryptocurrencies and digital assets has given rise to a crucial question: which federal regulator - the SEC or the CFTC -...
Paul Peter Nicolai
Jul 26, 20221 min read
Investors can recover lost-expectation damages
An investor claimed a company owner lied when he sold him 1% of his company by not disclosing that outstanding options diluted his...
Paul Peter Nicolai
Mar 1, 20221 min read
SECURITIES CLASS ACTION REVIVED
Carbonite launched a data backup product in October 2018. It withdrew the product from the market in July 2019 after it could not remedy...
Paul Peter Nicolai
Sep 21, 20211 min read
Non-Registered Broker Dealer Means No Contract
An investment banking firm which assists companies in selling their businesses sued to enforce a commission agreement from the sale of a...
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