Monthly Archives: March 2025
SEC Charges Investment Adviser and Officers: Key Lessons for Corporate Executives
On March 7, 2025, the Securities and Exchange Commission (SEC) announced charges against Momentum Advisors LLC, a registered investment adviser, along with its former managing partner, Allan J. Boomer, and former chief operating officer, Tiffany L. Hawkins. The charges focus on allegations of misuse of fund and portfolio company assets, highlighting critical lessons for… Read More »
Navigating Regulation D: Maximizing the Benefits of Rule 506 Offerings for Private Companies
For private companies seeking to raise capital efficiently, understanding and strategically utilizing Regulation D under the Securities Act of 1933—particularly Rule 506—is essential. Rule 506 offerings represent one of the most popular private placement exemptions available today, allowing businesses to raise unlimited amounts of capital from accredited investors without undergoing the costly and time-consuming… Read More »
