What you’ll learn: Why early-stage legal protection is critical for startups, how securities lawyers help businesses avoid costly mistakes, and how legal counsel ensures compliance and investor confidence. Starting a business is exciting, but without the right legal foundation, it can quickly become risky. Founders often focus on growth and funding while overlooking legal compliance—until […]

RUSSELL EDWARD FIEGER (RUSS FIEGER, RUSSELL E FIEGER), according to FINRA’s BrokerCheck, available to the public on FINRA’s website, is currently registered as a a financial advisor with COLORADO FINANCIAL SERVICE CORPORATION of OVERLAND  PARK, KANSAS since 4/25/2024, and as a broker with CORNERSTONE SECURITIES LLC of OVERLAND PARK, KANSAS since 5/19/2006. Fieger was also […]

In a recent article from InvestmentNews, Bruce Kelly writes that a three-person FINRA arbitration panel awarded $92.2 million in damages to a group of nine investors in a high-risk trading strategy linked to a financial advisor shorting shares of Tesla Inc. The panel found UBS Financial Services liable for $69.1 million, or 75 percent the […]

MICHAEL FELIX GRECO (MICHAEL F GRECO) is currently registered as a broker with MML INVESTORS SERVICES, LLC of Coral Springs, Florida.  According to FINRA’s BrokerCheck, available to the public on FINRA’s website, Greco has been with MML since 4/6/2006.  MICHAEL F GRECO, according to BrokerCheck, has been in the securities industry for 41 years and […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Joseph Dewey Jackson (also known as Joe Jackson, Joey Jackson) [CRD#: 2351290, Fayetteville, North Carolina]. With over 31 years of experience, Jackson has been affiliated with ten different firms, currently operating as a General Securities Principal and Investment Adviser Representative at Capital Investment Group, […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Thomas Samuel Lisk (also known as Tom Lisk) [CRD#: 5010650, Bristol, Virginia]. Lisk has been in the financial industry for 19 years and has been associated with multiple firms throughout his career, including Center Street Securities, Inc., Arete Wealth Advisors, LLC, and currently, Realta […]

JON PETER LINDBERG, according to the Financial Industry Regulatory Authority’s (FINRA) BrokerCheck, was a former broker with PROEQUITIES, INC of Birmingham, Alabama from 08/02/1989 - 08/10/2018. On FINRA’s BrokerCheck, available to the public on FINRA’s website, two “Regulatory” actions listed are currently pending. On May 27, 2020, the state of Montana initiated a regulatory action […]

How to raise capital legally and efficiently without full SEC registration, using exempt offerings under Regulation D, Regulation CF, and Regulation A. Raising capital fuels business growth, but SEC registration can be slow and expensive. Fortunately, many companies can avoid the full process by using exempt offerings—a faster, cost-effective way to secure investment while staying […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Robert Joseph Earls Jr. [CRD: 1369915, Roanoke, Virginia]. Earls was previously registered as both a broker and an investment adviser, most recently working for LPL Financial LLC from June 2011 to February 2024. Recent disclosures detail multiple customer disputes, allegations of misappropriation, and an […]