Category: Banking and Finance

Laura M. Kaplan

Venture Debt: Down Round Protection Without Triggering Downside Provisions

There is increasing chatter in the startup and investor space surrounding venture debt. It is not at all surprising that as the availability of ready capital has contracted considerably over the past two years, debt and debt-like items have come to the front of mind. It is tempting to think that it is only venture-backed…
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Actions vs. J.P. Morgan, Monolith Serve as SEC Compliance Check Reminders

The Securities and Exchange Commission (SEC) recently settled charges against J.P. Morgan Securities LLC (JPMS) for impeding hundreds of advisory clients and brokerage customers from reporting potential securities law violations to the SEC.[1] JPMS agreed to pay $18 million in civil penalties to the SEC to settle the charges. According to the SEC, from March…
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Thomas Carlotto

Thomas E. Carlotto

Zachary Darrow

Zachary G. Darrow

Joshua A. Berlinsky
Jon Restivo

Jon M. Restivo

Andrew Howayeck

Andrew G. Howayeck

Eric R. Everett