Tag Archives: SEC

Is it Equity, Debt, or Some of Each?


Investor financing for today’s tech companies is complex, different terms in convertible debt, warrants, and preferred stock can result in surprising and difficult accounting treatments. At a recent Public Company Accounting Oversight Board (PCAOB) workshop, both SEC and PCAOB representatives emphasized the risk of financial statement misstatements due to complexities in equity vs. liability determination […]

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Insider Threat Realized: Morgan Stanley to pay $1M in SEC Settlement

Morgan Stanley will pay a $1M settlement to the Securities and Exchange Commission (SEC) for failing to protect its customers’ personally identifiable information (PII) from unauthorized disclosure. From 2011 – 2014, a former Morgan Stanley employee, Galen Marsh transferred Morgan Stanley client account data to his personal laptop via his personal website. The information was […]

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