Most Popular Banking and Finance Law Blawgs Expanded View List View

Blogs 1 - 45 of 55
Sorted by Popularity | Sort by Name | Sort by Last Post Date
Today | This Week | This Month | All Time |

Mortgage Fraud Blog

Mortgage Fraud Blog

Covers mortgage fraud information, fraud schemes and indictments. By Rachel Dollar.

http://mortgagefraudblog.com/
  • Aug 18

    Indictment Alleges Servicer Diversion of Borrower Payment

    Indictment Alleges Servicer Diversion of Borrower Payment
    Robert Pena, 67, the president and founder of the now-defunct mortgage company, Mortgage Security, Inc. (MSI), a Falmouth, Massachusetts mortgage company was indicted on conspiracy and wire fraud charges in connection with and alleged…
  • Aug 15

    Indictment for Fake Mortgage Release

    Indictment for Fake Mortgage Release
    David Tyrone Johnson, 48, Washington, D.C. was indicted on charges that he conspired to commit bank fraud and other crimes arising from a real estate scheme involving a forged mortgage satisfaction document. Johnson was named in a…
  • Aug 15

    Fake Law Firm Modification Scheme Nets Guilty Plea

    Fake Law Firm Modification Scheme Nets Guilty Plea
    Bryan D’Antonio, 50, Brea, California, pled guilty one count of conspiracy to commit mail and wire fraud related to his role as the owner and operator of a multi-million dollar fraudulent mortgage modification scheme that posed as…
Rank this Week: 3

Illinois Business Law Journal

Illinois Business Law Journal

Covers recent developments affecting business law. From the University of Illinois College of Law.

http://www.law.illinois.edu/bljournal/
  • Nov 27

    Two Sides of the Same [Bit]coin: Why Regulating Bitcoin Works in Its Favor

    Two Sides of the Same [Bit]coin: Why Regulating Bitcoin Works in Its Favor
               The reality of the most notorious virtual currency is that it is only a matter of time before it comes under the purview of a regulatory body.  Bitcoin is a cryptocurrency that exists entirely…
  • Nov 27

    The Ride-Sharing Economy: Keeping Liability in the Rearview

    The Ride-Sharing Economy: Keeping Liability in the Rearview
                      In large cities the world over, passengers have stopped reaching into the air to hail a cab and have begun reaching into their pockets for their smartphones.  Companies such…
  • Nov 27

    Two Sides of the Same [Bit]coin: Why Regulating Bitcoin Works in Its Favor

    Two Sides of the Same [Bit]coin: Why Regulating Bitcoin Works in Its Favor
               The reality of the most notorious virtual currency is that it is only a matter of time before it comes under the purview of a regulatory body.  Bitcoin is a cryptocurrency that exists entirely…
Rank this Week: 207

Mandelman Matters

Mandelman Matters

Covers the foreclosure crisis. By Martin Andelman.

http://mandelman.ml-implode.com
Rank this Week: 228

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Aug 29

    GAO examines conflict minerals reports, cites Commerce’s failure to fulfill Dodd-Frank responsibilitie

    GAO examines conflict minerals reports, cites Commerce’s failure to fulfill Dodd-Frank responsibilitie
    By Jacquelyn LumbThe Government Accountability Office, in its annual report to Congress on the effectiveness of the SEC’s conflict minerals rules, found that companies continue to experience difficulties in fulfilling their disclosure…
  • Aug 26

    California leads: Public pension funds must disclose private equity fee

    California leads: Public pension funds must disclose private equity fee
    By Jay Fishman, J.D. California, by passing a bill, has taken the lead on requiring all public pension funds to publicly disclose the various fees paid to private equity managers on Wall Street. Assemblyman Ken Cooley’s AB 2833,…
  • Aug 25

    Commodities 'spoofing statute' survives constitutional challenge

    Commodities 'spoofing statute' survives constitutional challenge
    By Anne Sherry, J.D.Defendants accused by the CFTC of spoofing activity in futures contracts lost a challenge to the constitutionality of the Commodity Exchange Act and a CFTC regulation. 3Red Trading, LLC, and its principal allegedly engaged…
Rank this Week: 277

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Aug 29

    BRT’s Updated Governance Principles: What’s Good for the Goose…

    BRT’s Updated Governance Principles: What’s Good for the Goose…
    The Business Roundtable recently updated its “Corporate Governance Principles” for the first time since 2012.  The updates focus on encouraging more shareholder engagement, boardroom diversity, and…
  • Aug 26

    Disclosure Effectiveness: Item 400 Series “Proposal”

    Disclosure Effectiveness: Item 400 Series “Proposal”
    Yesterday, as the latest in Corp Fin’s disclosure effectiveness project, the SEC posted an 8-page “request for comment” on the disclosure requirements in Subpart 400 of Regulation S-K. The scant press release named three…
  • Aug 25

    Hi. I’m the New Guy.

    Hi. I’m the New Guy.
    Hello everybody, I’m John Jenkins – the newest editor here at TheCorporateCounsel.net.  Some of you may have noticed me lurking around the “Q&A Forums” while Broc has been struggling valiantly…
Rank this Week: 375

The Reverse Merger & SPAC Blog

The Reverse Merger & SPAC Blog

Covers reverse mergers, special purpose acquisition companies (SPACs), and other alternatives to initial public offerings (IPOs). By David Feldman.

http://www.reversemergerblog.com/
  • Aug 28

    Corporate Governance for Estate Taxes of the Deceased

    Corporate Governance for Estate Taxes of the Deceased
    Will the amount paid under the agreement to heirs of a deceased shareholder govern for estate tax purposes? Not necessarily. It is possible that the internal revenue service could determine that the actual fair market value of the stock for…
  • Aug 26

    The Real Problem With Most Companies: They’re Not Built to Sell

    The Real Problem With Most Companies: They’re Not Built to Sell
    There is a real sickness in most lower middle-market businesses: they’re not built to sell. They’re built to operate, make money and provide a living, but they’re rarely prepared to transition as a standalone package deal.…
  • Aug 21

    #EquityCrowdfunding for Mergers & Acquisitions: Liquidity for Business Owners?

    #EquityCrowdfunding for Mergers & Acquisitions: Liquidity for Business Owners?
    The hype over the JOBS Act was certainly warranted. For over 70 years, the ability for private companies to have access to capital has been limited–and for good reason. Lack of sophistication on the investors’ part combined with…
Rank this Week: 410

Southeast VC

Southeast VC

Covers businesses, trends, technology and venture investing in the Southeast. By Jason Caplain.

http://southeastvc.blogs.com/southeast_vc/
  • Feb 11

    Public SaaS Valuations Are Diving. How Should You React?

    Public SaaS Valuations Are Diving. How Should You React?
    I received data 48 hours ago from Pacific Crest which shows valuations of SaaS companies in a sharp decline. Given 90% of our investments are into software companies, this is very relevant and I forwarded the data to a few...
  • Sep 14

    Why It's a Mistake to Raise Money Too Soon

    Why It's a Mistake to Raise Money Too Soon
    The topic of raising money is popular with many entrepreneurs. But here is some great advice to from Joel Holland, CEO Washington DC-based VideoBlocks. He tells founders to wait as long as possible and not have a "race to raise."...
  • Jun 16

    Andreessen Horowitz: What's Going on in Venture Capital

    Andreessen Horowitz: What's Going on in Venture Capital
    Really good deck from Scott Kupor and the guys at Andreessen Horowitz on the current VC market and thought it would be good to share here. Topics: What's going on in the public markets. What are all these unicorns What's...
Rank this Week: 388

Sharesleuth.com

Sharesleuth.com

Offers investigative reporting aimed at exposing securities fraud. By Chris Carey.

http://sharesleuth.com/
  • Nov 22

    SEC expands fraud case to include Lenco Mobile, subject of a prior Sharesleuth investigation

    SEC expands fraud case to include Lenco Mobile, subject of a prior Sharesleuth investigation
    The Securities and Exchange Commission has quietly expanded its fraud case against financier Izak Zirk De Maison, adding seven more people as codefendants and identifying five more stocks he used in his schemes. According to the SEC’s…
  • Feb 4

    Trick Play: Memorabilia company peddled Patriots, Seahawks gear with forged player autograph

    Trick Play: Memorabilia company peddled Patriots, Seahawks gear with forged player autograph
      Just days after the Seattle Seahawks and New England Patriots claimed their spots in Super Bowl XLIX, a memorabilia company called The Highland Mint contacted customers with a tantalizing list of autographed collectibles. Highland…
  • Dec 31

    Kandi Technologies Group Inc.: Where are the Go-Karts?

    Kandi Technologies Group Inc.: Where are the Go-Karts?
    When the global economy collapsed in the fall of 2008, the sharp drop in consumer spending threw the power sports industry into a steep decline. Sales of motorcycles, go-karts and all-terrain vehicles each plunged by 30 percent or more,…
Rank this Week: 524

Ponzitracker

Ponzitracker

Covers Ponzi schemes. By Jordan Maglich.

http://www.ponzitracker.com/
  • Jan 27

    SEC Charges Wisconsin Man With $10.4 Million Ponzi Scheme

    SEC Charges Wisconsin Man With $10.4 Million Ponzi Scheme
    A Wisconsin man was charged by the Securities and Exchange Commission with operating a Ponzi scheme that took in more than $10 million from at least 122 investors.  Loren Holzhueter, 69, was the subject of an emergency enforcement action…
  • Jan 26

    Ohio CPA Gets 21 Years For Role In $40 Million Ponzi Scheme

    Ohio CPA Gets 21 Years For Role In $40 Million Ponzi Scheme
    An Ohio man was sentenced to serve twenty-one years in federal prison for his role in funnelling investors to the massive "Black Diamond" Ponzi scheme that ultimately duped over 400 investors out of at least $40 million.  Jonathan…
  • Jan 26

    California Men Plead Guilty To $100 Million ATM Ponzi Scheme

    California Men Plead Guilty To $100 Million ATM Ponzi Scheme
    Two California men have entered guilty pleas to operating a massive Ponzi scheme that allegedly caused losses of over $100 million to victims who thought they were investing in a profitable ATM leasing operation.  Joel Barry Gillis, 74,…
Rank this Week: 550

OFAC SDN Sanctions Removal Lawyers

OFAC SDN Sanctions Removal Lawyers

Covers the Department of Treasury's Office of Foreign Assets Control and its Specially Designated Nationals list. By McNabb Associates, P.C.

http://ofac-sdn-list-removal.com/
Rank this Week: 555

Securities Law Blog

Securities Law Blog

Features news, commentary and thoughts on the law of the securities markets. By Mark Astarita.

http://seclaw.blogspot.com/
  • Aug 29

    SEC Adopts Amendments Providing Authorities Access to Data Obtained by Security-Based Swap Data Repositorie

    SEC Adopts Amendments Providing Authorities Access to Data Obtained by Security-Based Swap Data Repositorie
    The Securities and Exchange Commission today adopted amendments to a rule that would require security-based swap data repositories to make data available to regulators and other authorities, allowing them to share information and more…
  • Aug 29

    Next Insider Trading Case? Bresch Dumped Mylan Shares Before EpiPen Scandal

    Next Insider Trading Case? Bresch Dumped Mylan Shares Before EpiPen Scandal
    Rawstory (let's keep the source in mind) is reporting that Heather Bresch, the CEO of Mylan and next Pharma Bro (Pharma Sis?) dumped more than 10 percent of her shares of the pharmaceutical company’s stock as analysts warned of…
  • Aug 29

    Candidates for FINRA Board Want Greater Focus on Regulatory Pain

    Candidates for FINRA Board Want Greater Focus on Regulatory Pain
    Four candidates for the small-firm seat on the board of governors of the Financial Industry Regulatory Authority Inc. want to make the broker-dealer regulator responsive to the compliance pain their sector is feeling.Candidates for Finra…
Rank this Week: 795

Big Four Blog

Big Four Blog

Covers accounting news, events and opinions by Big Four alumni.

http://bigfouralumni.blogspot.com/
Rank this Week: 728

Financial Industry Review

Financial Industry Review

Covers asset management, litigation, and rating agencies. By Orrick, Herrington & Sutcliffe LLP.

http://blogs.orrick.com/financial/
  • Aug 29

    Rating Agency Development

    Rating Agency Development
      On August 22, 2016, Fitch issued an amended report outlining its Criteria for Rating Granular Corporate Balance-Sheet Securitizations. Report. On August 22, 2016, Fitch issued a report titled: Global Bond Fund Rating Criteria. Report.…
  • Aug 29

    FHFA Further Adjusts Multifamily Lending Caps for Fannie Mae and Freddie Mac

    FHFA Further Adjusts Multifamily Lending Caps for Fannie Mae and Freddie Mac
      On August 18, 2016, the Federal Housing Finance Agency (“FHFA”) announced an additional increase to the 2016 multifamily lending caps for both Fannie Mae and Freddie Mac. The caps for both Fannie Mae and Freddie Mac were…
  • Aug 29

    SEC Adopts Amendments to Form ADV

    SEC Adopts Amendments to Form ADV
      On August 25,  2016, the Securities and Exchange Commission (SEC) adopted amendments to Form ADV that are designed to provide additional information regarding advisers, including information about their separately managed account…
Rank this Week: 1015

Bank Lawyer's Blog

Bank Lawyer's Blog

Covers accounting/auditing, commercial lending, credit unions, electronic banking, privacy, RESPA and stocks. By Kevin Funnell.

http://www.banklawyersblog.com/3_bank_lawyers/
  • Aug 28

    Drilling Down On De Novo

    Drilling Down On De Novo
    After reading one of my recent posts on the headwinds faced by those who are thinking of starting a new (de novo) bank, David Rice, the Senior Editor of the Federal Reserve Bank of Richmond's Econ Focus, kindly sent me...
  • Aug 21

    Rent Seeking "Reform"

    Rent Seeking "Reform"
    In an opinion piece in the Wall Street Journal, Holman W. Jenkins, Jr. responds to a New York Times editorial that claimed that President Obama has been frustrated throughout his two terms by the "political dysfunction" caused by a…
  • Aug 14

    No Light At The End Of The Tunnel

    No Light At The End Of The Tunnel
    Investment banker (and former OTS official) C.K. Lee has been keeping his finger on the pulse of the financial institution capital markets for years, and when it comes to the future of de novo banks, the outlook, to him, looks...
Rank this Week: 950

InfoBytes Blog

InfoBytes Blog

Monitors and reports on news, legal developments and legislative actions affecting the financial services industry. By Buckley Sandler LLP.

http://www.infobytesblog.com/
  • Aug 26

    CFPB Issues Proposed Rule Seeking to Amend Procedures for Disclosing Certain Confidential Information

    CFPB Issues Proposed Rule Seeking to Amend Procedures for Disclosing Certain Confidential Information
    On August 24, the CFPB published a proposed rule seeking to amend procedures used by persons in the public domain to obtain information from the CFPB under the Freedom of Information Act, the Privacy Act of 1974 and legal proceedings. In…
  • Aug 26

    CFPB Responds to Senators’ Request to Tailor Regulations to Exempt Smaller Financial Institution

    CFPB Responds to Senators’ Request to Tailor Regulations to Exempt Smaller Financial Institution
    On August 17, CFPB Director Cordray responded to a request, from a 70 senator coalition spearheaded by Senators Donnelly (D-IN) and Sasse (R-NE), that the CFPB further tailor its regulations that may be “unduly burdensome” for…
  • Aug 26

    CFPB Announces New Board and Council Member

    CFPB Announces New Board and Council Member
    On August 19, the CFPB announced new members to the Consumer Advisory Board, the Community Bank Advisory Council, Credit Union Advisory Council, and Academic Research Council. Pursuant to the Dodd-Frank Act, the CFPB established the Consumer…
Rank this Week: 1016

Florida Banking Law Blog

Florida Banking Law Blog

Covers legal developments impacting banking, finance and loan enforcement in Florida. By Rogers Towers, PA.

http://www.floridabankinglawblog.com/
Rank this Week: 1105

Broke and Broker

Broke and Broker

Covers the Wall Street docket of criminal, civil, regulatory, and arbitration cases. By Bill Singer.

http://brokeandbroker.com/index.php
  • Aug 18

    Feds Charge Alt-Fuel, All Electric Company Simply Old Fashioned Hot Air Stock Scam

    Feds Charge Alt-Fuel, All Electric Company Simply Old Fashioned Hot Air Stock Scam
    Consider this bit of recent history "StarPoint USA and Niyato Industries Enter Into Exclusive Vehicle Distribution Agreement" (Nasdaq Globe Newswire, June 6, 2012), where we learn, in pertinent part: StarPoint USA, Inc. announced today that…
  • Aug 18

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
    Compliance Is a Sentence, Not a WordBy Elisabeth Miller, Managing Partner, Milava ConsultingFor many the word "compliance" represents the practice of following rules. These rules are generated externally and come as edicts from a monolithic…
  • Aug 18

    Compliance Is A Sentence, Not A Word

    Compliance Is A Sentence, Not A Word
    Compliance Is a Sentence, Not a WordBy Elisabeth Miller, Managing Partner, Milava ConsultingFor many the word “compliance” represents the practice of following rules. These rules are generated externally and come as edicts from…
Rank this Week: 1043

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • Jul 29

    A SHOT ACROSS THE BOW OF ROBO-ADVISERS

    A SHOT ACROSS THE BOW OF ROBO-ADVISERS
    The Massachusetts Securities Division – one of the most active and sophisticated in the nation – recently issued a Policy Statement “to provide its state-registered investment advisers who establish concurrent or…
  • Jul 29

    A SHOT ACROSS THE BOW OF ROBO-ADVISERS

    A SHOT ACROSS THE BOW OF ROBO-ADVISERS
    The Massachusetts Securities Division – one of the most active and sophisticated in the nation – recently issued a Policy Statement “to provide its state-registered investment advisers who establish concurrent or…
  • Jul 19

    84 Year Old Takes on Edward Jones for Unauthorized Trading

    84 Year Old Takes on Edward Jones for Unauthorized Trading
    An elderly St. Louis man has filed a FINRA arbitration claim against Edward Jones and one of its financial advisers. The elderly client alleges that the financial adviser over-rode his objections to liquidating over a thousand shares of…
Rank this Week: 1110

Blog y Lana finanzas personales…

Blog y Lana finanzas personales que se entienden

Porque de nada sirve ganar mucho dinero si no sabemos mantenerlo en nuestra bolsa. Finanzas personales que se entienden.

http://www.blogylana.com/
  • Apr 17

    Novedosa alternativa para monetizar tu trabajo creativo. Podcast #167

    Novedosa alternativa para monetizar tu trabajo creativo. Podcast #167
    Monetizar (tener ingresos) las creaciones en linea en México y en algunos lugares de latinoamérica no ha sido fácil  de productos en internet. Dios sabe que yo también he batallado a pesar de generar contenido…
  • Apr 13

    ¿Invertir sin miedo? Descubre como lograrlo

    ¿Invertir sin miedo? Descubre como lograrlo
    No se pueden tener unas finanzas sólidas si solo ahorras. Ahorrar es la primera parte de la ecuación. ¿La segunda? Es invertir. Hacer que ese dinero que ya ahorraste ¡crezca! El problema es que si nadie nos…
  • Apr 10

    Evita el NO de los mejores proveedores y clientes Podcast #166

    Evita el NO de los mejores proveedores y clientes Podcast #166
    En el podcast #162 El Arte de Pedir explico los pequeños y a veces grandes detalles que hacen que uno reciba un NO cuando se pide algo. Mi querida invitada a este podcast Leonora Varo quiso retomar un poco el tema con un ángulo…
Rank this Week: 877

AG Deal Diary

AG Deal Diary

A collection of insights and analysis on hot topics impacting companies, funds, dealmakers and directors. By Akin Gump.

http://www.akingump.com/en/experience/practices/corporate/ag-deal-diary/index.html
  • Aug 28

    SEC Announces Enforcement Actions Under its Muni Bond Disclosure Initiative

    SEC Announces Enforcement Actions Under its Muni Bond Disclosure Initiative
    Last week, the Securities and Exchange Commission (SEC) announced that it brought enforcement actions against 71 municipal issuers and other obligated persons as part of the SEC’s Municipalities Continuing Disclosure Cooperating (MCDC)…
  • Aug 17

    2016 Changes to Delaware Law Go into Effect

    2016 Changes to Delaware Law Go into Effect
    Amendments to the Delaware General Corporation Law Several significant amendments to the Delaware General Corporation Law (the DGCL) were signed into law on June 16, 2016, and went into effect on August 1, 2016.1 Most significantly,…
  • Aug 11

    Recommended Reading: Corporate Governance by the Number

    Recommended Reading: Corporate Governance by the Number
    This week we highlight governance data collected by the EY Center for Board Matters on more than 3,000 U.S. public companies further discussed here. The information focuses on topics such as board composition, board meetings and size,…
Rank this Week: 1232

NC Business & Banking Law Blog

NC Business & Banking Law Blog

Legal news and analysis on matters affecting financial institutions and other businesses, with an emphasis on North Carolina. By Matt Cordell.

http://bizlawnc.com/
  • Aug 28

    Need to Raise Investment Dollars for Your Company? New(ish) Rule 506(c) May Be Your Best Bet!

    Need to Raise Investment Dollars for Your Company? New(ish) Rule 506(c) May Be Your Best Bet!
    Anyone who has been paying attention lately knows that there are some new ways to raise money from investors. State crowdfunding laws and SEC rule changes have opened up opportunities that have not been available in more than eighty years. …
  • Jul 8

    North Carolina Adopts A Virtual Currency Statute

    North Carolina Adopts A Virtual Currency Statute
    House Bill 289, passed by the General Assembly this week, re-writes the Money Transmitters Act and includes a new concept of Virtual Currency.  The North Carolina Commissioner of Banks will soon be regulating those who engage in Bitcoin…
  • Jul 5

    Business Associates Beware! The Feds Are Coming!

    Business Associates Beware! The Feds Are Coming!
    If your organization is a business associate of a HIPAA covered entity (such as a health care provider or employee health benefit plan), you should know that the Department of Health and Human Services' Office of Civil Rights (OCR) is…
Rank this Week: 1310

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Aug 19

    A More Sober Approach

    A More Sober Approach
    The author of The 10b-5 Daily has a guest post on Forbes concerning the use of confidential witnesses in securities class actions.  Please give it a read.
  • Jul 6

    Scienter Samba

    Scienter Samba
    The Sixth Circuit continues to be a source of interesting opinions regarding corporate scienter.  In 2014, the court held in its Omnicare decision that only a limited set of corporate officers (including officers who had either…
  • May 25

    Shaky Ground

    Shaky Ground
    In Halliburton II, the U.S. Supreme Court held that defendants can rebut the fraud-on-the-market presumption of reliance at the class certification stage with evidence of a lack of stock price impact.  In a typical case, where the…
Rank this Week: 1544

The Swap Report

The Swap Report

Covers regulatory and transactional issues related to derivatives. By Reed Smith LLP.

http://www.theswapreport.com/
Rank this Week: 1177

That Credit Union Blog

That Credit Union Blog

Covers current issues affecting the credit union industry. By the law firm of Weltman, Weinberg & Reis.

http://thatcreditunionblog.wordpress.com
  • Feb 24

    How IRS Form 982 Can Aid Credit Unions and their Members with Debt Settlement

    How IRS Form 982 Can Aid Credit Unions and their Members with Debt Settlement
    By: Nicholas K. Rohner, Esq. For any credit union seeking to negotiate with one of its members over a lump-sum settlement of the member’s delinquent, unsecured debt,[1] one potential roadblock is IRS Form 1099-C. This form reports the…
  • Nov 20

    Bankruptcy Forms to Change December 1st

    Bankruptcy Forms to Change December 1st
    By Keri P. Ebeck, Partner As of December 1, 2015, the United States Bankruptcy Courts will mandate usage and filing of the forms approved at the Judicial Conference in September 2015. Although many of the official bankruptcy forms will…
  • Oct 16

    Fraud Alert-Forged Paystub

    Fraud Alert-Forged Paystub
    By Matthew M. Young, Attorney While forging paystubs to obtain credit is not a new concept, I have a number of credit unions that have advised me of an alarming increase in the use of these phony documents to support employment and…
Rank this Week: 1769

North Carolina Business Litigation…

North Carolina Business Litigation Report

Reports on judicial decisions of significance to business and shareholders. By Mack Sperling of Brooks Pierce LLP.

http://www.ncbusinesslitigationreport.com/
  • Feb 3

    A Couple Of Things Not To Do In The NC Business Court

    A Couple Of Things Not To Do In The NC Business Court
    The NC Business Court's decision last month in Krawiec v. Manly, 2016 NCBC 7, illustrates a couple of things not to do in the Court. Don't Make "Aiding and Abetting" Claims The Plaintiff made a claim against some of the Defendants for aiding…
  • Jan 18

    Arbitration Provision Which Completely Prohibited Any Discovery Enforced By NC Business court.

    Arbitration Provision Which Completely Prohibited Any Discovery Enforced By NC Business court.
    I don't draft arbitration provisions in agreements, but if I did I would not draft one like the one in Taggart v. Physicians Pharmacy Alliance, Inc.  Not because it turned out to be unenforceable, but because it was found to be…
  • Jan 12

    NC Business Court Revokes Pro Hac Vice Admission Of Out Of State Lawyer

    NC Business Court Revokes Pro Hac Vice Admission Of Out Of State Lawyer
    Judge McGuire came down pretty hard on a Florida attorney admitted pro hac vice (meaning "for this one particular occasion") by another Superior Court Judge, in McCarthy v. Hampton, 2016NCBC 4.  He revoked the lawyer's admission and…
Rank this Week: 1754

Securities Fraud Attorney Blog

Securities Fraud Attorney Blog

Covers securities fraud, and other areas of securities law and banking and finance law. By Rich, Intelisano & Katz, LLP.

http://www.securitiesfraudattorneyblog.com/
Rank this Week: 1320

Asset Hunter: Tracking…

Asset Hunter: Tracking International Financial Fraud

Covers the legal ramifications of financial fraud related to multinational corporations, multinational financial institutions, foreign governments, foreign officials and high-profile individuals in sensitive regulatory, civil and international criminal matters. By Michael Diaz, Jr.

http://www.michaeldiazjr.com
  • Dec 2

    Diaz Reus Forms Drone Legal Practice

    Diaz Reus Forms Drone Legal Practice
    In response to the growing phenomenon of domestic drones and legal/regulatory issues surrounding their use, the Florida-based international law firm of Diaz Reus announces the launch of its Unmanned Aircraft Systems (UAS) practice. Headed by…
  • Feb 5

    Diaz Reus & Targ LLP scored a stunning…

    Diaz Reus & Targ LLP scored a stunning victory in the U.S. District Court for the Southern District of New York last week on behalf of the government of Venezuela, obtaining complete and final dismissal with prejudice of a suit brought by…
  • Sep 25

    Bolivia’s Anti-Corruption Colonel, Mario Fabrizio Ormachea, Arrested in Miami FBI Sting | Trial period set for October

    Bolivia’s Anti-Corruption Colonel, Mario Fabrizio Ormachea, Arrested in Miami FBI Sting | Trial period set for October
    Mario Fabrizio Ormachea, the colonel leading Bolivia’s Anti-Corruption Unit, is being held without bail in Miami, awaiting an October 21 trial period after being arrested in an August 31 Miami FBI sting operation where he attempted to…
Rank this Week: 1765

Bank D&O Liability Law Blog

Bank D&O Liability Law Blog

Covers bank director and officer liability. By Jennings, Strouss & Salmon, PLC.

http://www.bankdandolaw.com/
Rank this Week: 1692

Financial Institutions Legal…

Financial Institutions Legal Snapshot

Covers banking, finance and insurance law in South Africa. By Norton Rose Fulbright.

http://www.financialinstitutionslegalsnapshot.com/
  • Aug 29

    A US double insurance contribution case

    A US double insurance contribution case
    A Los Angeles appeal court ordered two excess insurers to contribute pro rata to a $4 million settlement of a lawsuit by a building inspector who was paralysed after falling from a ladder at a construction site. Westchester Insurance Co…
  • Aug 24

    Blockchain – will this be trade and commodity finance’s Uber?

    Blockchain – will this be trade and commodity finance’s Uber?
    Uber’s success is that it made it as easy to order and pay for a ride as clicking a few buttons. It created a multi-billion dollar market that didn’t exist just a few years ago. Blockchain is a payment technology that enables…
  • Aug 23

    Is anti-competitive behaviour insurable?

    Is anti-competitive behaviour insurable?
    The August 2016 first-of-its-kind judgment against South African Airways in favour of Nationwide Airlines, for damages arising from conduct that was held to be an anti-competitive exclusionary act preventing Nationwide from entering into or…
Rank this Week: 2080

Pension Risk Matters

Pension Risk Matters

Focuses on pension financial risk issues from a governance and fiduciary perspective. Published by Susan M. Mangiero.

http://www.pensionriskmatters.com/
  • Aug 29

    Surveys Highlight Importance of Fiduciary Focus When Hiring Advisor

    Surveys Highlight Importance of Fiduciary Focus When Hiring Advisor
    According to an August 17 press release from Fidelity Investments, "fiduciary responsibility tops plan sponsors' reasons for hiring advisors." What's more, this poll of nearly 1,000 defined contribution plan…
  • Aug 9

    Reading Books For Longevity?

    Reading Books For Longevity?
    In celebration of National Book Lovers Day, it's worth noting that some scientists are extolling the virtues of words for good health. According to "Reading books could increase lifespan" by Honor Whiteman (Medical News Today, August 8,…
  • Aug 5

    Valuing Public Pension Fund Liabilitie

    Valuing Public Pension Fund Liabilitie
    In 2006, I penned "Will the Real Pension Deficit Please Stand Up?" as a way to draw attention to the urgent need to understand what reported numbers mean. Ten years later, questions remain about how best to measure defined benefit plan…
Rank this Week: 3383

Financial Institutions Law Blog

Financial Institutions Law Blog

Covers issues such as usury, form compliance for federal and state consumer transactions, UCC and securitization issues. By Sheppard Mullin.

http://www.financialinstitutionlawblog.com/
Rank this Week: 2290

RIA Compliance Blog

RIA Compliance Blog

Covers registered investment advisor regulations. By Parker MacIntyre.

http://www.riacomplianceblog.com/
  • Aug 25

    FINRA Proposes Changes to Gifts and Gratuities Rule

    FINRA Proposes Changes to Gifts and Gratuities Rule
    Earlier this month, FINRA issued a regulatory notice advising that it has proposed various changes to the rules relating to gifts, gratuities and non-cash compensation.  If adopted, the proposal would amend FINRA Rule 3220 (the…
  • Aug 2

    Performance-Based Fee Threshold Will Change Effective August 15, 2016

    Performance-Based Fee Threshold Will Change Effective August 15, 2016
    Pursuant to an order entered by the Securities and Exchange Commission (“SEC”) on June 14, 2016, the exemption contained under Rule 205-3 of the Investment Advisers Act (“Advisers Act”), which allows registered…
  • Jul 28

    Private Equity Fund Adviser Sanctioned for Acting as Unregistered Broker-Dealer

    Private Equity Fund Adviser Sanctioned for Acting as Unregistered Broker-Dealer
      Last month the Securities and Exchange Commission (“SEC”) sanctioned a registered investment adviser and its managing member for violating the Investment Adviser’s Act of 1940 (“Adviser’s Act”) and…
Rank this Week: 3418

Payment Law Advisor

Payment Law Advisor

Provides legal commentary and resources for the payment industry. By Davis Wright Tremaine LLP.

http://www.paymentlawadvisor.com/
  • Aug 22

    CFPB Proposes Changes to Mortgage Industry

    CFPB Proposes Changes to Mortgage Industry
    The Consumer Financial Protection Bureau recently issued a proposed rule regarding integrated disclosure for mortgage transactions and, more recently, published a policy paper regarding loss mitigation programs in housing transactions. …
  • Aug 11

    CFPB Official Offers Update and Guidance on Regulation

    CFPB Official Offers Update and Guidance on Regulation
    This morning we attended the meeting of the Financial Services Roundtable’s Consumer Working Group, which featured a presentation by David Silberman, Acting Deputy Director of the Consumer Financial Protection Bureau. Deputy Director…
  • Aug 2

    HIPAA Wake-Up Call for Financial Institutions: First HIPAA Settlement with Business Associate

    HIPAA Wake-Up Call for Financial Institutions: First HIPAA Settlement with Business Associate
    It’s a HIPAA first. A business associate has settled a direct enforcement action over allegations that it potentially violated the Health Insurance Portability and Accountability Act (HIPAA). This settlement portends future HIPAA…
Rank this Week: 2740

Strictly Business

Strictly Business

Covers business law for entrepreneurs, emerging companies and the investment management industry. By Alexander J. Davie.

http://www.strictlybusinesslawblog.com/
  • Aug 17

    Legal Considerations for Selling an Emerging Growth Company Part 1: The M&A Proce

    Legal Considerations for Selling an Emerging Growth Company Part 1: The M&A Proce
    Everyone knows that a primary goal for many, if not most, startups and tech companies is to eventually sell the company, even if the founders intend to remain with the company. It goes without saying that selling your company can result in an…
  • Jul 12

    The Pros and Cons of Taking Venture Capital Money

    The Pros and Cons of Taking Venture Capital Money
    In many ways, the dilemma of deciding whether to take venture capital money from an interested VC firm can be filed under “Good Problems to Have.” The majority of startups never get to this point, either failing outright, or, even…
  • Jun 14

    5 Questions to Answer As You Prepare Your Startup for a Seed or Angel Round

    5 Questions to Answer As You Prepare Your Startup for a Seed or Angel Round
    Last month I wrote about the four stages of startup capital – (1) seed rounds, (2) angel rounds, (3) venture rounds, and (4) bridge/pre-ipo stage rounds. This month we’ll take a look at what startups need to do to prepare…
Rank this Week: 3112

Financial Regulatory Report

Financial Regulatory Report

Covers financial services regulation, compliance, enforcement and litigation. By Reed Smith LLP.

http://www.financialregulatoryreport.com/
  • Aug 16

    CFPB Finally Adopts Amendments To Its Mortgage Servicing Rule

    CFPB Finally Adopts Amendments To Its Mortgage Servicing Rule
    On August 4, the Bureau of Consumer Financial Protection (“CFPB”) finally adopted amendments (the “Amendments”) to its 2013 mortgage servicing rules (the “Servicing Rules”). The Servicing Rules implemented…
  • Jun 17

    FCA Enforcement Action Overview

    FCA Enforcement Action Overview
    Reed Smith’s Enforcement Action by the FCA 2016 is a useful overview of enforcement action taken by the FCA in 2016.  Enforcement action is important in terms of showing where the focus of the regulator is in terms of…
  • May 11

    CFPB Moves Forward With Proposal To Ban Class Action Waivers In Arbitration

    CFPB Moves Forward With Proposal To Ban Class Action Waivers In Arbitration
    The Consumer Financial Protection Bureau has published its long anticipated 377-page proposed rule to bar banks and regulated financial institutions from including class action waivers in mandatory arbitration provisions in consumer…
Rank this Week: 3963

The Venture Alley

The Venture Alley

Covers business and legal issues for entrepreneurs, startups, venture capitalists and angel investors. By DLA Piper.

http://www.theventurealley.com
  • Aug 11

    Equity Compensation Trend: Extending Time to Exercise Vested Stock Option

    Equity Compensation Trend: Extending Time to Exercise Vested Stock Option
    From our colleagues William H. Hoffman and Cisco Palao-Ricketts Due to high competition to attract employee talent and to improve employee recruiting and morale, several private companies in the technology sector have recently altered typical…
  • Jul 26

    Choosing a Corporate Name: Practical Considerations and Legal Requirement

    Choosing a Corporate Name: Practical Considerations and Legal Requirement
    By: David Lai (Seattle) Deciding on the name for your to-be-formed company can be a stressful process given the seemingly endless number of possibilities and the limited legal requirements. Whether you have brainstormed a robust list of…
  • Jul 22

    Privacy Shield is final: What it means for businesse

    Privacy Shield is final: What it means for businesse
    The US Department of Commerce announced that it will begin accepting applications for Privacy Shield certifications beginning on August 1. For US organizations collecting personal data from the EU, the past year has been an anxious one, as…
Rank this Week: 3782

Private Funds Law Update

Private Funds Law Update

Covers private funds and alternative investments. By Reed Smith LLP.

http://www.privatefundslaw.com/
  • Aug 9

    ESMA Advice Extending the AIFMD Passport: Including the United States, Hong Kong, Singapore and Switzerland

    ESMA Advice Extending the AIFMD Passport: Including the United States, Hong Kong, Singapore and Switzerland
    On 18 July 2016 the European Securities and Markets Authority (ESMA) published its advice to the European Parliament, the Council and the Commission on the application of the Alternative Investment Fund Managers Directive (AIFMD) passport to…
  • Aug 9

    The SBEEA: Register of Significant Beneficial Ownership

    The SBEEA: Register of Significant Beneficial Ownership
    The SBEEA (Part I: People with Significant Control) Against the backdrop of an increasing push for greater transparency of company ownership, the Small Business Enterprise and Employment Act 2015 (“SBEEA“) took effect on 6 April…
  • Aug 5

    Proposed changes to the UK Limited Partnership Act 1907

    Proposed changes to the UK Limited Partnership Act 1907
    On 23 July 2015, the UK Treasury published a consultation paper and draft Legislation Reform (Limited Partnership) Order 2015 setting out its proposed amendments to the Limited Partnership Act 1907 (LPA 1907). The proposals were intended to…
Rank this Week: 3973

Canadian M&A Perspectives

Canadian M&A Perspectives

Covers developments in private and public mergers and acquisitions, and private equity. By McCarthy Tetrault.

http://www.canadianmergersacquisitions.com
Rank this Week: 3786

Investment Fund Law Blog

Investment Fund Law Blog

Provides updates and insights on legal issues facing fund managers and investors. By Pillsbury Winthrop Shaw Pittman LLP.

http://www.investmentfundlawblog.com/
  • Jul 27

    Investment Adviser Sanctioned for Inadequate Trading Away Disclosure

    Investment Adviser Sanctioned for Inadequate Trading Away Disclosure
    On July 14, 2016, the Securities and Exchange Commission (“SEC”) announced an enforcement action against RiverFront Investment Group, LLC, a registered investment adviser serving as sub-adviser to clients in wrap fee programs…
  • Jul 19

    PILLSBURY BREAKFAST EVENT CONNECTS WOMEN ENTREPRENEURS WITH WOMEN INVESTORS

    PILLSBURY BREAKFAST EVENT CONNECTS WOMEN ENTREPRENEURS WITH WOMEN INVESTORS
    Pillsbury is hosting Plum Alley Investments, a private-membership on-line platform connecting women investors with businesses run by women entrepreneurs.  The breakfast will feature an intimate conversation about shaping the world by…
  • Jul 7

    Rising Hedge Funds Stars Discuss Keys to Succe

    Rising Hedge Funds Stars Discuss Keys to Succe
    Pillsbury is hosting a hedge fund startup event with 100 Women in Hedge Funds next Thursday, July 14.  Experts representing two firms named as Institutional Investor’s 2015 Hedge Fund Rising Stars will discuss the essentials to…
Rank this Week: 3308

Al-Mirsal

Al-Mirsal

Covers Middle East banking and finance law. By Latham & Watkins LLP.

http://www.al-mirsal.com/
  • Jun 2

    Climate Change Further Threatens MENA Water Security

    Climate Change Further Threatens MENA Water Security
    Climate Change Further Threatens MENA Water Security The Middle East and North Africa (MENA) is home to 14 of the 33 most water scarce countries globally, with six times less water availability than the worldwide average and less than 2…
  • May 25

    Telemedicine in the UAE

    Telemedicine in the UAE
    Telemedicine is a product of 20th century information and communication technologies. It is generally defined as the provision of healthcare services from a healthcare professional to a patient from a remote location using a telephone or the…
  • Mar 31

    New Saudi Companies Law – Accumulated Losses and Risk of Statutory Dissolution

    New Saudi Companies Law – Accumulated Losses and Risk of Statutory Dissolution
    For the past few decades, the obligations of companies with losses reaching 50% or more of their share capital has been a topic of high debate in the Kingdom of Saudi Arabia. That is due to the uncertainty surrounding the application of…
Rank this Week: 3891

Texas Debt Suit Defense 101

Texas Debt Suit Defense 101

Covers credit card and other debt suit litigation in Texas from the defense side, including substantive legal and evidentiary issues, and comparative analysis of pleadings, legal theories, and litigation strategy. By Wolfgang Demino.

http://debt-suit-litigation-in-texas.blogspot.com
Rank this Week: 2527

RESPA Lawyer Blog

RESPA Lawyer Blog

Covers the Real Estate Settlement Procedures Act (RESPA). By Sterbcow Law Group LLC.

http://www.respalawyer.com/
Rank this Week: 4457

Lenders 360.

Lenders 360.

Covers business and legal issues affecting the financial services industry. By Winstead PC.

http://www.lenders360blog.com
  • Jan 26

    eSign & Commercial Finance: A License to Trash the Original Note?

    eSign & Commercial Finance: A License to Trash the Original Note?
    Are “electronic document” provisions appearing in your commercial loan documents?  This is the second in a series examining two provisions recently reviewed by me in commercial real estate transactions.   Unfortunately,…
  • Jan 26

    eSign & Commercial Finance: A License to Trash the Original Note?

    eSign & Commercial Finance: A License to Trash the Original Note?
    Are “electronic document” provisions appearing in your commercial loan documents?  This is the second in a series examining two provisions recently reviewed by me in commercial real estate transactions.   Unfortunately,…
  • Jan 5

    eSign & Commercial Finance: On the Bank Report Card in 2016

    eSign & Commercial Finance: On the Bank Report Card in 2016
    Last year, a new topic started to appear in commercial mortgage loan documents: provisions covering the use of electronic documents (aka “electronic records” or “eDocs”).  Unfortunately, two provisions examined by…
Rank this Week: 3876

Lenders 360

Lenders 360

Provides news, information and commentary on important issues affecting the financial services industry. By Higier Allen & Lautin, P.C.

http://www.lenders360blog.com/
  • Jan 26

    eSign & Commercial Finance: A License to Trash the Original Note?

    eSign & Commercial Finance: A License to Trash the Original Note?
    Are “electronic document” provisions appearing in your commercial loan documents?  This is the second in a series examining two provisions recently reviewed by me in commercial real estate transactions.   Unfortunately,…
  • Jan 26

    eSign & Commercial Finance: A License to Trash the Original Note?

    eSign & Commercial Finance: A License to Trash the Original Note?
    Are “electronic document” provisions appearing in your commercial loan documents?  This is the second in a series examining two provisions recently reviewed by me in commercial real estate transactions.   Unfortunately,…
  • Jan 5

    eSign & Commercial Finance: On the Bank Report Card in 2016

    eSign & Commercial Finance: On the Bank Report Card in 2016
    Last year, a new topic started to appear in commercial mortgage loan documents: provisions covering the use of electronic documents (aka “electronic records” or “eDocs”).  Unfortunately, two provisions examined by…
Rank this Week: 2258

Kueser Law Firm Blog

Kueser Law Firm Blog

Covers securities and investment fraud, as well as other consumer and investor-related issues.

http://blog.jmkesquire.com
  • Jan 14

    When is “Rate of Return” not the Real Rate of Return?

    When is “Rate of Return” not the Real Rate of Return?
    Investors need to be careful when they review and rely on performance reports provided by their stockbroker or financial advisor.  I recently reviewed a performance report that was provided to an investor by a major warehouse brokerage…
  • Apr 8

    FINRA BrokerCheck: Beware the … Blue … Flags?

    FINRA BrokerCheck: Beware the … Blue … Flags?
    FINRA recently underwent some changes to its BrokerCheck website.  For those that do not know, BrokerCheck is the online repository in which the Financial Industry Regulatory Authority (FINRA) discloses certain information about stock…
  • Mar 27

    FINRA Securities Arbitration Statistics – February 2011

    FINRA Securities Arbitration Statistics – February 2011
    FINRA recently reported its February 2011 arbitration statistics. For the two-month period ended February 28, 2011, 837 claims were filed. This represents a decrease of 9% as compared to the number of cases filed in February 2010 (918). The…
Rank this Week: 4779