Brinen & Associates

09/24/2026

Forming a corporation is about more than filing paperwork. The right entity choice can affect liability, taxation, ownership, financing, growth, and your eventual exit strategy.

Before you incorporate, make sure the structure you choose aligns with where you want your business to go.

Forming a corporation is more than filing paperwork and coming up with a name. Learn more on choosing the entity that will actually work.

08/12/2026

A successful business takes years to build. Planning for what happens next is just as important.

Business succession planning can help protect your company’s value, maintain continuity, and prepare for future leadership or ownership transitions.

Learn why starting early can make all the difference.

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07/23/2026

Protecting your business starts with knowing your options when disputes arise. From contract disagreements to partnership conflicts, early legal guidance can help minimize risk, control costs, and keep your business moving forward.

Learn more:

Business dispute resolution involving contracts, partnerships and transactions shouldn't impact continuity, performance or relationships. Read more.

07/09/2026

Regulatory scrutiny can escalate quickly—and the consequences can be significant. Whether you're responding to an SEC investigation, FINRA inquiry, or other securities enforcement action, experienced legal counsel can help protect your business and your interests.

Learn how Brinen & Associates assists companies, executives, and market participants in navigating complex securities enforcement matters with strategic, practical legal guidance.

Securities enforcement plays a critical role in maintaining fair and transparent financial markets. Regulatory agencies and enforcement authorities oversee market activity to protect investors, promote market integrity, and ensure compliance with federal and state securities laws. When allegations o...

06/24/2026

Offshore assets and international tax obligations demand precision and compliance. From offshore reporting and tax structuring to navigating IRS scrutiny, experienced legal guidance can help protect your interests and reduce risk. Learn more.

Offshore tax compliance has become an increasingly important area of focus for businesses and individuals with international financial interests. Expanding global reporting requirements and increased regulatory coordination have significantly changed how offshore assets, foreign accounts, and intern...

06/04/2026

A Temporary Restraining Order (TRO) can be a critical legal tool when immediate action is needed to prevent harm or preserve the status quo while a case proceeds through the courts. Whether involving business disputes, property rights, or other civil matters, understanding how TROs work can be essential to protecting your interests. Learn more and the impact of a TRO here:

Temporary restraining order for civil cases lists unavoidable requirements. See if your situation meets the requirements.

05/28/2026

Congratulations to Katie V. Fitzgerald Madigan and Cameron Lebson on passing the New York Bar Exam. Brinen & Associates is proud to celebrate this major milestone and the hard work, dedication, and professionalism each of them has shown throughout their journey. Read more:

New York, NY – April 22, 2026 – Brinen & Associates is thrilled to announce that Katie V. Fitzgerald Madigan and Cameron Lebson have each passed the New York Bar Exam taken this past February. This milestone highlights their dedication, perseverance, and disciplined preparation for one of the mo...

04/20/2026

A company closes a capital raise. Six months later, the investors want their money back.

The reason? The person they hired to find those investors was never registered with FINRA.

That is not a rare edge case. It happens to growing companies all the time, usually because they assumed FINRA rules only apply to public offerings or big Wall Street firms. They do not.

If anyone in your fundraising process is soliciting investors, negotiating terms, or getting paid a success fee, FINRA registration may be required. Skip that step and you are not just risking a fine. You are risking the entire deal being unwound.

Beyond capital raises, FINRA governs how investments are marketed, how broker-dealers supervise their teams, and what compensation structures are actually permitted. Weak supervision and misleading marketing materials are two of the most common triggers for enforcement actions.

In 2003, FINRA levied $88.4 million in fines and permanently barred 178 individuals from the industry. Enforcement does not distinguish between intentional violations and ones made out of ignorance.

We put together a full breakdown of what FINRA compliance actually requires and where businesses and financial professionals tend to get caught off guard.

FINRA compliance is inevitable for selling investments or helping businesses raise capital. Here are the 4 top FINRA core areas. Read more here.

04/16/2026

Most companies do not have a capital problem. They have a structure problem.

Raising money is the easy part. Doing it correctly, within complex state and federal regulations, is what separates sustainable growth from future liability.

Corporate finance strategy is not just about getting funds in the door. It is about structuring securities properly, managing risk, and making decisions that actually support long-term growth.

Whether you are launching, scaling, or preparing for a major transaction, the right legal framework matters.

If you are thinking about your next move, start here:

Corporate finance law- know the best ways to raise capital for your business. Learn the mistakes to avoid here.

03/31/2026

Raising capital? A finder arrangement that looks simple on the surface can create serious regulatory risk.

Many companies do not realize that paying success-based compensation or involving a finder too deeply in investor discussions and negotiations may trigger broker-dealer registration issues.

Understanding where the line is matters. The cost of getting it wrong can be significant.

Our latest article explains what companies need to know about “Your Own Finder” arrangements and how to avoid costly compliance mistakes.

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Your Own Finder approach might seem like a simple way to raise funds, but it is in fact one of the most corporate finance areas. Learn more.