The Defense Logistics Agency (DLA), is cracking down on procurement fraud and contract fraud. It has recently issued multiple referrals for suspension or debarment, and it is targeting not only prime vendors, but subcontractors,…
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/ Administrative Law, Commercial Law & Contracts, Criminal Law, Government Contracting
The Financial Crimes Enforcement Network (FinCEN) is one of a handful of federal authorities that have adopted whistleblower programs focused on facilitating enforcement in hard-to-target areas. While FinCEN focuses its…
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/ Administrative Law, Commercial Law & Contracts, Finance & Banking, International Law & Trade
Rule 144A and Regulation D offer exemptions from federal securities registration requirements under the Securities Act of 1933. However, they apply to different situations, and overseas companies must follow distinct compliance…
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/ Finance & Banking, Securities Law
Just as with private placements of equity, issuing bonds privately requires careful attention to federal law. Bonds are usually classified as "securities," triggering various regulatory requirements. Companies pursuing this…
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/ Finance & Banking, Securities Law
Private placement debt offerings offer a compelling alternative to traditional lending for many companies. The legal landscape governing these transactions involves key statutes, regulations, and the critical steps required to…
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/ Commercial Law & Contracts, Finance & Banking, Securities Law
Federal Securities Lawyer and Founding Attorney of Oberheiden P.C., Dr. Nick Oberheiden, answers FAQs about private placements under Regulation D…
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/ Business Organizations, Finance & Banking, Securities Law
Whistleblowers play a key role in the federal government’s ongoing fight against procurement fraud. Government procurement fraud is extraordinarily costly; and, despite the government’s vast resources, detecting procurement…
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/ Civil Procedure, Commercial Law & Contracts, Government Contracting
Government procurement fraud is pervasive. The vast majority of government procurement fraud goes undetected, and federal agencies rely heavily on whistleblowers to help them determine when scrutiny is warranted. Blowing the…
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/ Administrative Law, Antitrust & Trade Regulation, Criminal Law, Government Contracting
Regulation A+ has emerged as a powerful tool for companies seeking to raise capital from both accredited and non-accredited investors. This Regulation A+ Offerings Guide provides a comprehensive overview of Regulation A+,…
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/ Business Organizations, Finance & Banking, Securities Law
Early crowdfunding often broke securities laws due to unregistered offerings. In 2015, the SEC's Regulation Crowdfunding (Regulation CF) addressed this, stemming from the JOBS Act. It provides an exemption for certain…
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/ Business Organizations, Finance & Banking, Securities Law
For companies seeking to raise capital without the complexities and costs of a public offering, Regulation D under the Securities Act provides a valuable exemption from SEC registration. This allows for private placements,…
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/ Business Organizations, Finance & Banking, Mergers & Acquisitions, Securities Law
Section 4(a)(2) private placements can help companies raise capital without an Initial Public Offering (IPO). While exempt from registration, these offerings do require strict compliance to avoid legal pitfalls. Companies must…
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/ Finance & Banking, Mergers & Acquisitions, Securities Law
A couple of recent large-scale enforcement actions suggest that the U.S. Department of Justice (DOJ) may be placing increased emphasis on targeting black market prescription drug diversion. This is when pharmaceutical…
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/ Antitrust & Trade Regulation, Commercial Law & Contracts, Criminal Law, Health
Targeting multi-level marketers (MLMs) and other “money-making opportunity sellers” has been among the U.S. Federal Trade Commission’s (FTC) top priorities in recent years. The FTC has pursued several enforcement actions…
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/ Antitrust & Trade Regulation, Consumer Protection, MLM / Direct Sales
Financial institutions need to remain vigilant about managing anti-money laundering and Bank Secrecy Act (AML/BSA) compliance in 2025. As the financial ecosystem becomes increasingly complex, and as transactions increasingly…
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/ Administrative Law, Finance & Banking, Securities Law
