Understanding the Advice of Boardroom Lawyers, Directorship, January/February 2017
Engaging corporate counsel is about more than avoiding culpability.
How Media Disaffection Hurts Small-Cap Companies, Directorship, November/December 2016
A plea to the U.S. business media to treat small-cap companies for what they are.
5 Things I Wish I Knew About Boards When I Was an Institutional Investor, MicroCapClub, November 2016
When Large and Small Worlds Collide, Directorship, September/October 2016
When considering small-cap board service, large-cap company professionals need to adjust their expectations.
A Buy-Side Perspective on Stock Ownership Guidelines, Nasdaq MarketInsite, August 2016
Silicon Valley’s Legendary Investors Are Stuck in the Past, Business Insider, July 25, 2016
An Epidemic of Value-Eroding Communication, Directorship, July/August 2016
Many small public companies waste valuable time meeting with and communicating to investors who can’t and won’t buy their stocks.
David Weild: The Father of the JOBS Act Has a Magic Bullet for Small-Caps, Directorship, May/June 2016
Commentary regarding changes that are needed to revitalize the capital markets for small-cap companies.
Board Composition From a Buy-Side Perspective, Nasdaq MarketInsite, May 2016
Corporate Governance Is Not One Size Fits All, Financier Worldwide Magazine, May 2016
When large-cap companies define what constitutes corporate governance issues, small-cap shareholders suffer.
Small-Cap Special Situation Hedge Funds Should Double Down On Corporate Governance, HFM Week, March 23, 2016
Small-Cap Boards: Follow the Numbers, Directorship, March/April 2016
Two statistics in particular emanating from 2015 should have small-cap board members’ attention.
Every Small-Cap Makes At Least 4 Of These 10 Critical Financing Mistakes, Growth Capital Investor, March 1, 2016
Taking Risk Management Clues From Small-Cap Companies, Directorship, January/February 2016
Small-cap companies make up the majority of American businesses, and many thrive despite long odds. Explore what enterprise risk managers could learn from these companies.
The Time is Now for Small-Cap FCPA Compliance, Nasdaq Amplify, Fall/Winter 2015
This content is only available to Nasdaq issuers within the Nasdaq.net ecosystem.
Small-Cap Governance’s ‘Aha!’ Moment?, Directorship, November/December 2015
What if boards of small-cap companies could be seen as a means of adding value?
A One-Size-Fits-All Approach to Corporate Governance Is Poorly Conceived, The Business Times (Singapore), October 9, 2015
The focus on issues faced by directors of large firms fails to take into consideration how SMEs work and their challenges.
Buy-Side Memo to Small-Cap CEOs: Hire In-House Counsel ASAP, Directorship, September/October 2015
Consider these five reasons small, public companies should hire in-house counsel.
Internal Audit and SOX on a Budget, Directorship, July/August 2015
Small-cap companies have limited budgets, but every company can afford to set the right tone.
Cybersecurity Insurance 101: Focus on What’s Excluded, Directorship, May/June 2015
Issues that small-cap boards should keep in mind when considering cybersecurity insurance.
Shareholder Activism Redux: The Good, Bad and Ugly, Corporate Governance, April 30, 2015
Inside the New American College of Governance Counsel, Directorship, March/April 2015
ACGC’s goal is to promote the highest professional standards in the field of corporate governance.
A Conversation with Boris Feldman: Iconic Silicon Valley Securities Litigator, Directorship, Jan/Feb 2015
The Board’s Role in Avoiding Common Post-Financing Mistakes, Directorship, Nov/Dec 2014
It’s a mistake for boards to end their oversight of micro- and small-cap financings when the money is in the bank.
Thinking Strategically About Cyber Risk – A Conversation with the Hon. Tom Ridge, Directorship, Sep/Oct 2014
Investor Meetings: When Board Deference Can Be Fatal, Directorship, July/August 2014
Sometimes CEOs of micro- and small-cap companies lack appreciable experience running public companies. Boards all too often overlook the same when it comes to financings and investor meetings.
A Conversation with Scott Kupor: Small-Cap Capital Formation, Directorship, May/June 2014
A Conversation with Keith E. Gottfried, Proxy Contest Defense Counsel, Directorship, March/April 2014
A Big Reason Small-Caps Undertake Bad Financings: Board Composition, Corporate Governance, February 5, 2014
A Big Reason Why Small-Cap Companies Undertake Bad Financings Every Day: Board Composition, Directorship, Jan/Feb 2014
Many micro- and small-cap companies are serial capital raisers, yet often lack any board members with capital markets or corporate finance experience.
A Small-Cap Conundrum: Purchasing Legal Services Without In-House Counsel, Directorship, Nov/Dec 2013
Directors should consider the following insights into common circumstances involving legal services.
A Conversation with IPO Icon Lise Buyer, Directorship, Sept/Oct 2013
Shareholder Activism Creates Unique Challenges for Smaller Companies, Directorship, July/Aug 2013
Small public companies must consider additional factors when dealing with activist investors.
10 Lessons Learned from Interviewing Hundreds of Micro-Cap CEOs, MicroCapClub, June 17, 2013
Audit Firm Selection: Think Like an Institutional Investor, Directorship, May/June 2013
With so many choices, how can the audit committees of small public companies efficiently weigh their options? One way to simplify the process is to think like an institutional investor.
Are Venture-Backed Companies Keeping Pace, Directorship, March/April 2013
The average venture-backed IPO company needs to build a solid board pre-IPO, with newly public companies facing more serious challenges than ever before and very little room for error as fewer companies go public.
The Broken Small-Cap Market Undermines the Recovery, Bloomberg Businessweek, March 11, 2013
Trading Volume: The Unsung Enterprise Risk of Small-Cap Companies, Directorship, Jan/Feb 2013
The more trading volume a small-cap stock has, the easier it is to attract investors.
Communicating with the Street: Addressing Small-Cap Challenges, Directorship, Nov/Dec 2012
Many small-cap companies struggle to effectively communicate with the Street.
Noteworthy Legal Issues for Pre-IPO and Small-Cap Directors, Directorship, May/June 2012
The legal implications of current events for directors of pre-IPO and small-cap companies.
The Constraints of Thin-Cap Company Boards, Directorship, March/April 2012
The role of the board is different for small-cap companies, where the line separating governance from management issues isn’t so bright.
ERM: The Elephant in the Room, Directorship (online), July 20, 2011
Boards are destined to underperform if they don’t understand the risks they are asked to monitor.
Risk Mitigation on a Budget, Directorship (online), May 2, 2011
Directors have multiple opportunities for risk management education, from formal classes to casual networking.
Social Media and Compliance, Directorship (online), January 24, 2011
Companies must be cautious that the information disseminated by employees on both company and personal social media pages complies with federal securities laws.