Brinen & Associates

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.

Read more:

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.

03/25/2026

Everyone thinks picking a broker dealer name is branding.

It is not.

It is compliance decision that can determine whether your firm moves forward or gets stopped before it even begins.

At Brinen & Associates, we regularly see firms invest time and resources into a name that ultimately cannot pass regulatory scrutiny. Not because it lacks creativity, but because it creates confusion, overlaps with an existing firm, or implies services the firm is not licensed to provide.

Certain terms carry regulatory weight. Similarity to existing name raises immediate concerns. What appears to be a branding choice is often reviewed as a risk.

Regulators are not evaluating how the name sounds. They are evaluating whether it is accurate, clear, and compliant.

Broker-dealer naming and control issues can create serious regulatory problems if not correctly handled. Learn more here.

01/21/2026

Many M&A deals don’t fall apart because of bad intentions. They fall apart thanks to poor planning, incomplete due diligence, unrealistic expectations and cultural misalignment.

Understanding the common pitfalls before closing can help protect your investment and set the deal up for long-term success. Read more:

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01/13/2026

The real risk in M&A is not the Deal. It is the .

Due diligence is the moment of truth in every or . This is where assumption meets reality.

For buyers, it confirms what they are actually acquiring. For sellers, it is the proof behind the valuation.

When due diligence is rushed, incomplete, or poorly structured, the consequences can be severe. Deals collapse late in the process, hidden liabilities surface after closing, negotiations turn adversarial, and litigation becomes a real risk.

Most failed M&A transactions do not fail because of price. They fail because critical risks were missed, ignored, or misunderstood during diligence.

The good news is that these outcomes are largely preventable with the right legal, financial, and operational diligence strategy.

Learn the consequences of failed M&A due diligence and how to avoid them here.

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12/10/2025

Every successful M&A deal begins long before the data room opens. It begins with the Letter of Intent (LOI).

This is where economics take shape, responsibilities are defined, and the entire framework of the transaction is created.

When the LOI is unclear or unbalanced, it breeds surprises, drags out negotiations, and often kills otherwise promising deals.

If you are preparing to exit or evaluating a target, understanding the LOI stage may be the smartest investment you make.

LOI Stage is crucial to mergers and acquisitions. So preventing breakdowns at this juncture is paramount to success. Read more here.

12/05/2025

Bringing two companies together, buying a competitor or creating a new entity altogether all come with their own legal, financial, and operational challenges. A smooth deal depends on solid due diligence, clear agreements and thoughtful planning.
M&A isn’t just a growth play — it’s also about managing risk and choosing the structure that supports your long-term goals.

Understanding the legal framework is key to making these deals work.

Understanding mergers, acquisitions, and consolidations that open new markets and fuel your growth. Learn more about the legal ramifications here.