Banking and Finance Law Blogs - Law Blogs, Legal Blogs Directory & Search Engine

Mortgage Fraud Blog

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

http://www.mortgagefraudblog.com

May 21
Conspirator Jailed for Lying to Obtain Mortgage

Conspirator Jailed for Lying to Obtain Mortgage

Safieh Fard, 52, Escondido, Calif., was sentenced to 63 months in prison by U.S. District Judge Cormac J. Carney. Fard was also ordered to pay $594,000 in restitution to the Internal Revenue Service (IRS) for unpaid individual income taxes.…
May 21
Real Estate Investors Admit Rigging Bids at Foreclosure Auction

Real Estate Investors Admit Rigging Bids at Foreclosure Auction

Robert M. Brannon, Laurel, Mississippi, and his son, Jason R. Brannon, Mobile, Alabama, both real estate investors, were sentenced in U.S. District Court for the Southern District of Alabama in Mobile, for their participation in conspiracies…
May 21
Woman Admits Supplying Straw Buyers with Down Payment

Woman Admits Supplying Straw Buyers with Down Payment

Bonnie M. Gardner, 55, Apollo, Pennsylvania, pleaded guilty in federal court to a charge of mail and wire fraud conspiracy. The defendant pleaded guilty to one count before United States District Judge Nora Barry Fischer. In connection with…

Rank this Week: 2

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/

May 17
The U.S. Department of the Treasury’s Office of Foreign Assets Control (OFAC): “Treasury Removes Sanctions on Iraqi Bank”

The U.S. Department of the Treasury’s Office of Foreign Assets Control (OFAC): “Treasury Removes Sanctions on Iraqi Bank”

The U.S. Department of the Treasury on May 17, 2013 released the following: “Action Follows a Verified Change of Behavior from the Elaf Islamic Bank WASHINGTON – The Department of the Treasury today lifted sanctions against the…
May 17
The U.S. Department of the Treasury’s Office of Foreign Assets Control (OFAC): “The List of Foreign Financial Institutions Subject to Part 561 (the “Part 561 List”) Name Removal”

The U.S. Department of the Treasury’s Office of Foreign Assets Control (OFAC): “The List of Foreign Financial Institutions Subject to Part 561 (the “Part 561 List”) Name Removal”

The U.S. Department of the Treasury on May 17, 2013 released the following: “5/17/2013 OFFICE OF FOREIGN ASSETS CONTROL Part 561 List Update: The following deletions have been made to OFAC’s Part 561 List: ELAF ISLAMIC…
May 16
The U.S. Department of the Treasury’s Office of Foreign Assets Control (OFAC): “Treasury Increases Sanctions Against Syria”

The U.S. Department of the Treasury’s Office of Foreign Assets Control (OFAC): “Treasury Increases Sanctions Against Syria”

The U.S. Department of the Treasury on May 16, 2013 released the following: “Action Targets Senior Syrian Officials as well as Companies Supporting the Government of Syria and Linked to Iran’s IRGC-QF and Hizballah WASHINGTON…

Rank this Week: 68

Mandelman Matters

Covers the foreclosure crisis. By Martin Andelman.

http://mandelman.ml-implode.com

May 21
Alabama Slamma’ – Not for Better, Far Worse… As Foreclosures we Chart.

Alabama Slamma’ – Not for Better, Far Worse… As Foreclosures we Chart.

We seem to be having a national recovery in much of the media, but in the states themselves the numbers are refusing to cooperate. I guess if you can have a “jobless recovery,” then you can probably have a national recovery…
May 20
The Foreclosure Bowl: Connecticut Finally Makes it Into Top 10

The Foreclosure Bowl: Connecticut Finally Makes it Into Top 10

RealtyTrac Vice President, the ubiquitous Daren Blomquist, said he had “no immediate concern” related Connecticut’s newfound foreclosure prowess, which makes perfect sense since he’s not losing a home there.
May 20
Foreclosure Surprise! Stomping on Maryland Homeowner

Foreclosure Surprise! Stomping on Maryland Homeowner

So, how do I know where the other undiscovered and unreported stockpiles of foreclosures are hiding as the banks wait until they feel like recognizing losses, having fixed the document problem to the degree that they can start booting people…

Rank this Week: 104

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/

May 21
Obama Administration Opposes SEC Regulatory Accountability Act

Obama Administration Opposes SEC Regulatory Accountability Act

While reaffirming its commitment to smart and effective regulations and the value of cost-benefit analysis, the Obama Administration opposes passage of the SEC Accountability Act, H.R. 1062, because its burdensome and disruptive new…
May 19
UK FRC Proposes Guidance on Financial Instruments for Outside Auditors of Company Financial Statement

UK FRC Proposes Guidance on Financial Instruments for Outside Auditors of Company Financial Statement

In light of the financial crisis and changes to international auditing and accounting standards, the UK Financial Reporting Council proposed revisions to its guidance for outside auditors of company financial statements on financial…
May 18
House Passes SEC Regulatory Accountability Act

House Passes SEC Regulatory Accountability Act

By a vote of 235 to 161 the House of Representatives passed the SEC Regulatory Accountability Act, H.R. 1062. Seventeen Democrats voted to pass the bill. Rep. Scott Garrett (R-NJ), Chairman of the Financial Services Subcommittee on Capital…

Rank this Week: 148

Australian Regulatory Compliance…

Australian Regulatory Compliance Review

Covers legal and regulatory impacts on Australian businesses. By David Jacobson.

http://www.djacobson.com/australian_regulatory_rev/

May 21
Review of the Franchising Code of Conduct

Review of the Franchising Code of Conduct

We've Moved! Update your Reader Now. This feed has moved to: http://www.langes.com.au/australian_regulatory_compliance/feed/ Update your reader now with this changed subscription address to get your latest updates from us.
May 20
AML/CTF customer due diligence review

AML/CTF customer due diligence review

We've Moved! Update your Reader Now. This feed has moved to: http://www.langes.com.au/australian_regulatory_compliance/feed/ Update your reader now with this changed subscription address to get your latest updates from us.
May 20
ASIC reviews charitable investment fundraiser

ASIC reviews charitable investment fundraiser

We've Moved! Update your Reader Now. This feed has moved to: http://www.langes.com.au/australian_regulatory_compliance/feed/ Update your reader now with this changed subscription address to get your latest updates from us.

Rank this Week: 200

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/

May 21
Arbitrary, Instrusive, and Ubiquitou

Arbitrary, Instrusive, and Ubiquitou

Inspired by last night's post, a regular reader pointed me to last Friday's post by Tom Brown, who was off to the races over two recent utterances by high-level CFPB officials. The post's title, "The Beginnings of Overreach at the...
May 20
Save Me From Myself

Save Me From Myself

Marvin Umholtz's latest CU Strategic Hot Topics email newsletter contains a lengthy discussion of a position paper issued late last month by the National Consumer Law Center (NCLC), which calls on the CFPB to restrict bank and credit union…
May 19
You Have Nothing To Lose But Your Chain

You Have Nothing To Lose But Your Chain

The latest edition of Ballard Spahr's "CFPB Monitor" starts off with an article by Barbara Mishkin about how CFPB employees have voted to unionize. Apparently, getting starting salaries of $173,000, plus tuition for courses in basic…

Rank this Week: 212

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/

May 21
The Battle Over JPMorgan's CEO/Chair Split Proposal: The Gloves Are Off!

The Battle Over JPMorgan's CEO/Chair Split Proposal: The Gloves Are Off!

The Battle Over JPMorgan's CEO/Chair Split Proposal: The Gloves Are Off! Today is the vote for what looks to be the most contentious battle of the proxy season - at least if the metric is ink spilt - here is...
May 20
Corp Fin Issues 15 New & Revised CDIs: Spring Cleaning

Corp Fin Issues 15 New & Revised CDIs: Spring Cleaning

Corp Fin Issues 15 New & Revised CDIs: Spring Cleaning Last week, Corp Fin issued a batch of 15 new and revised Compliance & Disclosure Interpretations in both the '33 and '34 Act contexts. Sort of a hodge podge. Here...
May 17
The SEC Staff Speaks on Whistleblower Development

The SEC Staff Speaks on Whistleblower Development

The SEC Staff Speaks on Whistleblower Developments In this half-hour podcast, Sean McKessy, Chief of the SEC's Office of the Whistleblower brings us up-to-date on what is happening in his Office, including: - How do you like the job so...

Rank this Week: 410

Ponzitracker

Covers Ponzi schemes. By Jordan Maglich.

http://www.ponzitracker.com/

May 21
Accounting Firm Ordered to Pay $180,000 in Sanctions For Withholding Documents Relating to Seattle's 'Mini-Madoff'

Accounting Firm Ordered to Pay $180,000 in Sanctions For Withholding Documents Relating to Seattle's 'Mini-Madoff'

A federal judge ruled that an accounting firm should pay $180,000 in legal fees resulting from multiple failures to respond to a subpoena issued by the trustee overseeing a massive Seattle Ponzi scheme whose mastermind became known as…
May 21
$27 Million ATM Ponzi Scheme Results in Prison For California Brothers, Woman

$27 Million ATM Ponzi Scheme Results in Prison For California Brothers, Woman

Two California brothers and a woman who lived with them were sentenced for masterminding a $27 million Ponzi scheme based on video advertisement screens mounted on ATMs and vending machines. Alan G. Flesher, 65, Wayne D. Flesher, 62,…
May 18
Death Sentence for Chinese Woman Convicted of $70 Million Ponzi Scheme

Death Sentence for Chinese Woman Convicted of $70 Million Ponzi Scheme

A Chinese woman who masterminded a $70 million Ponzi scheme has been sentenced to death by a Chinese court - possibly by firing squad. Lin Haiyan, 39, from the Wenzhou province, received the sentence as part of a broader push by Chinese…

Rank this Week: 438

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/

May 21
Spotlight on the SCRA (Part 3 of 3): Federal vs. State

Spotlight on the SCRA (Part 3 of 3): Federal vs. State

Thus far SCRA enforcement activity has focused on the federal act, leaving the states overlooked. “Most states have an SCRA equivalent,” explains Kirk Jensen, Partner in BuckleySandler’s Washington, DC office. “One of…
May 20
CFPB Announces RESPA Action against Homebuilder

CFPB Announces RESPA Action against Homebuilder

On May 17, the CFPB announced an enforcement action against a homebuilder the CFPB alleges violated Section 8(a) of RESPA through joint venture arrangements. According to the CFPB, the homebuilder created two joint ventures, one with a state…
May 20
Federal Reserve Board, Illinois Regulator Issue Joint Enforcement Action Against U.S. Subsidiaries of Foreign Bank, OCC Issues Parallel Action

Federal Reserve Board, Illinois Regulator Issue Joint Enforcement Action Against U.S. Subsidiaries of Foreign Bank, OCC Issues Parallel Action

On May 17, the Federal Reserve Board released an April 29, 2013 written agreement between the Federal Reserve Board, an Illinois state regulator, a foreign bank, and its U.S. bank holding company subsidiary (the Holding Company) regarding…

Rank this Week: 543

Financial Industry Review

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

http://blogs.orrick.com/financial/

May 20
The AIFMD Development

The AIFMD Development

HM Treasury Responds to Consultation on Transposing AIFM Directive On May 13, HM Treasury published its response to its January 2013 consultation on transposing the Alternative Investment Fund Managers Directive (2011/61/EU) (AIFM…
May 20
European Commission Requests ESMA Deliver Draft Regulatory Technical Standards on Cross-Border Application of EMIR

European Commission Requests ESMA Deliver Draft Regulatory Technical Standards on Cross-Border Application of EMIR

On May 13, the European Securities and Markets Authority (ESMA) published a letter (dated April 22, 2013) from Jonathan Faull, European Commission Director General of Internal Market and Services, to Steven Maijoor, ESMA Chair. The…
May 20
European Commission Consults on EU Banking Structural Reform

European Commission Consults on EU Banking Structural Reform

On May 16, the European Commission published a consultation paper on reforms to the structure of the EU banking sector, which focuses on policy options for structural separation. The Commission is seeking views on policy options…

Rank this Week: 539

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/

May 17
Vocación Profesional: vale la pena encontrarla Podcast #105

Vocación Profesional: vale la pena encontrarla Podcast #105

Encontrar la vocación profesional no es fácil, y puede tardar muchos años (como fue mi caso) pero ¿saben qué? NUNCA hay que dejar de buscarla porque trabajar en lo que te encanta es la fórmula segura…
May 15
Sin gastar dinero: 25 cosas diferentes que hacer

Sin gastar dinero: 25 cosas diferentes que hacer

No siempre es necesario gastar dinero para hacer algo divertido, entretenido, diferente o especial. Prueba algunas de estas 25 cosas y ¡te reto a que me desmientas! Jajaja 1. Limpiar objetos viejos para revivirlos (brochas de…
May 13
Como emprender sin descalabrar tu cartera

Como emprender sin descalabrar tu cartera

Uno de los más grandes temores a la hora de animarse a emprender es LA LANA. ¿Cómo emprender si no tengo mucho dinero? o, tengo dinero, pero ¿y si se acaba? Por supuesto que en este mundo no hay nada garantizado,…

Rank this Week: 650

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/

May 20
There Seems To Be An Uptick In FDIC Lawsuits Against Directors And Officer

There Seems To Be An Uptick In FDIC Lawsuits Against Directors And Officer

2013 is shaping up to be a bad year for former directors and officers of seized financial institutions.Cornerstone Research, a consulting firm, has issued a report entitled "Characteristics of FDIC Lawsuits against Directors and Officers of…
May 19
Is the legal equivalent of a nurse practitioner (a "legal practitioner") the future of legal services in the U.S.?

Is the legal equivalent of a nurse practitioner (a "legal practitioner") the future of legal services in the U.S.?

Nurse practitioners and physicians assistants are increasingly becoming the providers of choice for routine medical care. This is largely a function of labor supply and cost pressures (from insurers, other third-party payors, and…
May 15
Ethical Email for In-House Counsel

Ethical Email for In-House Counsel

When may a lawyer copy or "Reply All" to an opposing party, and when is it prohibited? I wrote an article in The Business Lawyer entitled "Ethical Email for In-House Counsel: What the Ethics Committee of the North Carolina State Bar…

Rank this Week: 668

Pension Risk Matters

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

http://www.pensionriskmatters.com/

May 19
The Importance of Clear Communication

The Importance of Clear Communication

A funny thing happened the other day while having a snack in a Paris bakery. I am here for a few days, tagging along with my husband who is teaching for a month. Shortly after we sat down, a Japanese family arrived, went to the counter…
May 13
Economic Indicators to Include Focus on Pension

Economic Indicators to Include Focus on Pension

In what most people would call a significant announcement, the U.S. Bureau of Economic Analysis ("BEA") will begin measuring economic growth this summer by taking public pension finance into account. According to its March 2013 announcement,…
May 8
Pensions and Politic

Pensions and Politic

I have a favorite shirt that gets a few laughs when I wear it. Its message is "Change is good. You go first." That is how I feel when I hear pundits talk about the future of pensions and the need for reform. What I continue to…

Rank this Week: 745

The Venture Alley

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

http://www.theventurealley.com

May 20
Washington State to Regulate Fund Manager

Washington State to Regulate Fund Manager

CONTRIBUTED BYAsher Bearmanasher.bearman@dlapiper.com This article is appearing simultaneously on The Venture Alley and on Startup Law Blog. Readers may feel free to re-post this content elsewhere as well. The world is changing for venture…
May 14
Investigative Crises: Surviving Until Help Arrive

Investigative Crises: Surviving Until Help Arrive

Article prepared by and republished courtesy of our colleagues in the White Collar, Corporate Crime and Investigations practice group of DLA Piper; originally published here:…
May 12
2013 Private Equity Survey Indicates Cautious Optimism

2013 Private Equity Survey Indicates Cautious Optimism

CONTRIBUTED BYMegan Muirmegan.muir@dlapiper.com The 2013 Private Equity Survey of McGladrey, done by the research unit of SourceMedia, indicates growth and optimism in the PE sector although the funds remain cautious about the broader…

Rank this Week: 792

That Credit Union Blog

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

http://thatcreditunionblog.wordpress.com

May 15
Credit Unions Capitalize On Mobile Banking Trend

Credit Unions Capitalize On Mobile Banking Trend

By Angie Picardo It’s no secret that mobile banking has exploded in the past five years. As smartphone and tablet saturation increases, consumers have begun to expect that their financial institution will offer a free mobile application…
May 13
Indirect Lending and the CFPB

Indirect Lending and the CFPB

By Jennifer Monty Rieker, Partner and Amy Clum Holbrook, Partner Earlier this week the Consumer Financial Protection Bureau (CFPB) issued guidelines for how indirect auto lenders can avoid violating the Equal Credit Opportunity Act…
May 9
The Consumer Financial Protection Bureau and Private Student Loan

The Consumer Financial Protection Bureau and Private Student Loan

By Timothy K. Spencer, Attorney Recently, the Consumer Financial Protection Bureau (CFPB) indicated an interest to delve further into overseeing and making recommendations concerning the private student loan market. Chiefly, the Bureau…

Rank this Week: 876

Florida Banking Law Blog

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

http://www.floridabankinglawblog.com/

May 21
Municipal Liens vs. Mortgages: Florida’s Supreme Court Rules on Superpriority Issue

Municipal Liens vs. Mortgages: Florida’s Supreme Court Rules on Superpriority Issue

Authored by Douglas L. Waldorf, Jr. of Rogers TowersIn my April 18th post, I discussed the recent trend of municipalities enacting ordinances designed to give their code enforcement liens “superpriority” over prior-recorded…
May 16
Magistrates to Handle Florida Residential Foreclosure Actions – Florida Supreme Court Amends Rule 1.490 and Significantly Changes Landscape of Residential Foreclosure Litigation

Magistrates to Handle Florida Residential Foreclosure Actions – Florida Supreme Court Amends Rule 1.490 and Significantly Changes Landscape of Residential Foreclosure Litigation

Authored by Scott St. Amand and Douglas L. Waldorf, Jr. of Rogers TowersIt is no secret that Florida consistently ranks among the worst states in the union in regards to the mire of the residential mortgage foreclosure case backlog. From 2007…
May 9
What can Twinkies and Beer Teach Investors about Purchasing the Assets of an Insolvent Corporation?

What can Twinkies and Beer Teach Investors about Purchasing the Assets of an Insolvent Corporation?

Authored by Scott St. Amand and J. Ellsworth Summers, Jr. of Rogers TowersWhen Hostess announced last November that it would be shutting the doors to its factories, spooked by the news and likely addled by decades of cream filling, hoarders…

Rank this Week: 1001

Mortgage Crisis Watch

Covers business and legal issues affecting loan repurchases, mortgage-backed securities and mortgage insurance. By Bilzin Sumberg.

http://www.mortgagecrisiswatch.com/

May 21
Lehman Reaching Beyond the Grave

Lehman Reaching Beyond the Grave

Lehman is demanding millions of dollars from non-profits As widely reported, in the latest Lehman bankruptcy “fundraiser,” managers of the Lehman estate are now demanding millions of dollars from non-profit retirement homes,…
May 17
Loan Modification and the Failure to Mitigate Damage

Loan Modification and the Failure to Mitigate Damage

Freddie Mac Streamlined Modification Freddie Mac has announced the immediate implementation of its Streamlined Modification program, a no-document modification program offered to severely delinquent borrowers. The implementation of…
Apr 19
Bank of America Settles Class Action Brought By Mortgage Investor

Bank of America Settles Class Action Brought By Mortgage Investor

$40 Billion Settlement Bank of America has agreed to settle a class-action lawsuit brought by investors who claimed they were misled by its Countrywide unit into buying risky mortgage securities. Bank of America acquired Countrywide…

Rank this Week: 1074

Broke and Broker

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

http://brokeandbroker.com/index.php

May 20
A Family Affair In FINRA Discretion Settlement

A Family Affair In FINRA Discretion Settlement

You might not think it would be a big deal for a registered person to handle the brokerage account of a family member -- but, then again, not a lot of Wall Street regulation is intuitive and this is one of those issues that trips up many…
May 20
EMPLOYMENT TUESDAY at BrokeAndBroker.com

EMPLOYMENT TUESDAY at BrokeAndBroker.com

EMPLOYMENT TUESDAY AT BROKEANDBROKER.COMVisit the BrokeAndBroker Employment Page BrokeAndBroker.com Jobs...
May 19
SEC Alleges Bank Guarantee Train Pulled Away From Trading Platform

SEC Alleges Bank Guarantee Train Pulled Away From Trading Platform

Standby Letters of Credit. Bank Guarantees. Trading Platforms. Oh the crap that gets pushed on the unsuspecting and the unasked questions that too many investors fail to voice. All of which usually ends with the collision of scam and failed…

Rank this Week: 1111

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/

May 17
Shrug, Concur, and Move On

Shrug, Concur, and Move On

In a famous market manipulation that lead to multiple criminal convictions, the A.R. Baron brokerage engaged in a pump-and-dump scheme to induce customers to purchase the securities of small companies at artificially inflated prices. Among…
May 10
What Next?

What Next?

Based on the Supreme Court's recent decisions, a plaintiff is not required to prove the existence of loss causation (Halliburton) or materiality (Amgen) to certify an investor class. In the Halliburton case, however, the defendants pursued a…
Apr 26
Cornerstone Report On Accounting Case

Cornerstone Report On Accounting Case

Cornerstone Research has issued a study of 2012 securities class actions involving accounting allegations. The notable findings include: (1) The number of accounting filings fell from 78 in 2011 to 45 in 2012. Two factors that contributed to…

Rank this Week: 1184

BeyondVC

Covers entrepreneurship, venture capital, technology, investing, and globalizaiton. By Ed Sim.

http://www.beyondvc.com/

May 17
Branding first starts with your team

Branding first starts with your team

External branding starts with developing a consistent, internal message first. When you think of branding and positioning, remember that your first line of offense and the most important representation of your company comes from your…
Jan 15
Camping out and closing deal

Camping out and closing deal

I am sure you can see a common thread in many of my recent posts - Sales, Sales, Sales! I don't care how great your product is because without an ability to articulate the value proposition succinctly, tell the world about it in a…
Sep 28
Cutco Knives and startup

Cutco Knives and startup

When I worked for Cutco Knives one summer in college selling the world's finest cutlery, my dream was to sell the Homemaker +8 at every meeting. It was the Rolls Royce of knife sets and in every sales call I had, I always tried to flog the…

Rank this Week: 1160

The PSLRA Nugget

Covers securities class action case law. By Christopher S. Jones.

http://pslranugget.blogspot.com/

Feb 3
The Nugget is Moving to a New Home

The Nugget is Moving to a New Home

Please update your bookmarks, as the PSLRA Nugget is moving to a new easier to remember website address. Also if you are getting this by email, and you would like to continue getting it that way, you just need to go to
Feb 2
Yes Shorter is Better (at least in legal briefing)

Yes Shorter is Better (at least in legal briefing)

OK, you know who you are. The serial page extension requesters. But Judge, we have to have 100 pages to explain it. I know, I know, we've all done it. And yes I agree sometimes it's necessary. But District Judge Joy Flowers Conti…
Mar 18
Confidential Sources Still Alive & Kicking

Confidential Sources Still Alive & Kicking

What's that? You thought Tellabs banned confidential witnesses? Well, let's not get carried away here, as there's certainly at least two ways to read that opinion. Of course, after the 7th Circuit decided Higginbotham v. Baxter, it was…

Rank this Week: 1189

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/

May 7
Claims For Legal Malpractice Aren't Assignable In North Carolina

Claims For Legal Malpractice Aren't Assignable In North Carolina

Maybe you've wondered whether a claim for legal malpractice can be assigned. Maybe you haven't. But yesterday, the North Carolina Court of Appeals answered that question. In Revolutionary Concepts, Inc. v. Clements Walker PLLC, the…
May 1
Fourth Circuit Takes A Narrow View On Recovery Of E-Discovery Cost

Fourth Circuit Takes A Narrow View On Recovery Of E-Discovery Cost

You've undoubtedly prevailed in a federal case -- either at summary judgment or after a trial -- and you have probably struggled with what you are entitled to recover as costs under 28 U.S.C. §1920. And recently, your client,…
Apr 29
Arbitration Compelled Based On Unsigned Arbitration Agreement

Arbitration Compelled Based On Unsigned Arbitration Agreement

If you were thinking that an arbitration agreement needs to be signed in order to get an order compelling arbitration, your world may have been turned on its ear by the Order from the Business Court last week in Morton v. Ivey, McClellan,…

Rank this Week: 1277

Banking Law Prof Blog

By Professor Ann Graham.

http://lawprofessors.typepad.com/banking/

Apr 4
Early Jail Release for Enron's Jeff Skilling?

Early Jail Release for Enron's Jeff Skilling?

The Enron collapse in 2001 remains a significant example of greed run amok and corporate governance standards in complete rout. The Enron scandal led directly to passage of the Sarbanes Oxley Act (SOX) in 2002. Now the Justice Department…
Apr 3
Pay Corporate Directors Like CEOs - Does "Aligning Incentives" Really Work?

Pay Corporate Directors Like CEOs - Does "Aligning Incentives" Really Work?

Is this a new trend -- and is it likely to improve long-term profitability of publicly traded corporations? Or will it create a new compensation "arms race"? Two hedge funds are promising their director nominees compensation tied to…
Apr 2
Fannie Mae and Freddie Mac - Update

Fannie Mae and Freddie Mac - Update

The Secondary Mortgage Market giants Fannie Mae and Freddie Mac are back to making big profits. A significant question is whether, when, and how to scale back government involvement in the U.S. housing market through these two Government…

Rank this Week: 1431

Securities Law Blog

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

http://seclaw.blogspot.com/

May 17
FL Court Rules Statute of Limitations Apply in Arbitration

FL Court Rules Statute of Limitations Apply in Arbitration

We finally have a ruling on the questionable argument that is often advanced that the statute of limitations does not apply in arbitration. The argument is premised on a contorted interpretation of a Florida statute and requires one to…
May 14
SEC, FINRA Issue Investor Alert On Pension or Settlement Income Stream

SEC, FINRA Issue Investor Alert On Pension or Settlement Income Stream

The SEC and FINRA issued an investor alert entitled Pension or Settlement Income Streams – What You Need to Know Before Buying or Selling Them. The investor alert informs investors about the risks involved when selling their rights to…
Apr 23
FINRA Wants Your Facebook Account

FINRA Wants Your Facebook Account

You read that right, just as the SEC is embracing social media, FINRA wants access to brokers' Facebook accounts.We all know that an employer's demand for access to an employees Facebook account is illegal in many states, and probably illegal…

Rank this Week: 1498

The Swap Report

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

http://www.theswapreport.com/

May 14
A Practical Guide to Lender Compliance with Eligible Contract Participant (ECP) Requirement

A Practical Guide to Lender Compliance with Eligible Contract Participant (ECP) Requirement

By David Surbeck, Reed Smith LLP In the attached piece, David Surbeck of Reed Smith LLP offers practical insights about the documentation of eligible contract participant (ECP) provisions in the context of single bank loan and syndicated…
May 11
CFTC Open Meeting Scheduled for 5/16 at 9:30 a.m. Eastern: Block Sizes, Made Available to Trade, SEFs and Anti-disruptive Trading Practice

CFTC Open Meeting Scheduled for 5/16 at 9:30 a.m. Eastern: Block Sizes, Made Available to Trade, SEFs and Anti-disruptive Trading Practice

The proposed agenda covers: Minimum Block Sizes for Swaps; The "Made Available to Trade" Rule Under section 2(h)(8) of the Commodity Exchange Act and Swap Transaction Compliance and Implementation Schedule; Core…
May 1
A Practical Guide to the Eligible Contract Participant (ECP) Definition: A Q&A for Banks and Borrower

A Practical Guide to the Eligible Contract Participant (ECP) Definition: A Q&A for Banks and Borrower

By Andrew Cross, Crystal Travanti and Tom Watterson of Reed Smith LLP We have prepared the above-referenced guide to the eligible contract participant ("ECP") definition under section 1a(18) of the Commodity Exchange Act ("CEA"). …

Rank this Week: 1630

pomtalk

Covers pension funds, hedge funds, and other institutional investors. By Pomerantz Haudek Block Grossman & Gross LLP.

http://www.pomtalk.com/pomtalk/

Oct 17
The Citi That Almost Slept

The Citi That Almost Slept

As Susan Weiswasser reports in the current issue of The Pomerantz Monitor, a New York District Court has preliminarily approved a $590,000,000 securities class action settlement between Citigroup, the country’s third largest bank, and its…
Sep 17
Things Get Rough in Mr. Roger's Neighborhood

Things Get Rough in Mr. Roger's Neighborhood

As reported in the current issue of The Pomerantz Monitor, Duke Energy recently acquired Progress Energy. When their proposed merger was announced 18 months ago, the two companies said that Johnson, head of Progress, would take over as chief…
Sep 6
The Failure of Self-Regulation

The Failure of Self-Regulation

In the current issue of The Pomerantz Monitor, Joshua Silverman reports on self-regulatory organizations (SROs).

Rank this Week: 1689

Southeast VC

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

http://southeastvc.blogs.com/southeast_vc/

Mar 15
SEVC - Quick Recap

SEVC - Quick Recap

David and I spent the last 2 days at the Southeast Venture Conference. The 7th annual conference was in Charlotte for the first time. The conference was completely sold out and I was told there was a long waiting list....
Mar 5
Southeast Venture Conference - Charlotte

Southeast Venture Conference - Charlotte

We're looking forward to the 2 day Southeast Venture Conference, which will be held next week in Charlotte. It is the first time Charlotte has hosted SEVC. I was in Charlotte yesterday for a few hours and there is definitely...
Dec 31
Andreessen Horowitz, NEA, Intel and Grotech Coming to Raleigh for Entrepreneurs' Serie

Andreessen Horowitz, NEA, Intel and Grotech Coming to Raleigh for Entrepreneurs' Serie

Join us for Entrepreneurs' Series: Venture Outlook in Raleigh the morning of January 30th. Check out the lineup and to register here. Panelists include: Jed Carlson, President and Co-Founder, ReverbNation Brian Carney, Principal, Harbert Andy…

Rank this Week: 1809

The Reverse Merger & SPAC Blog

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

http://reversemergerblog.com

Nov 26
Flash: Schapiro Stepping Down as SEC Chair

Flash: Schapiro Stepping Down as SEC Chair

SEC Chairman Mary Schapiro announced this morning that she is leaving her job effective December 14. This was widely expected. The short span from announcement to departure was not as widely expected. Rumors floating name a Treasury…
Nov 23
Reverse Merger Market Improving

Reverse Merger Market Improving

We learn from the latest DealFlow Report that November has already been the best month for reverse mergers since June. Eight deals have already been completed this month. If one more gets done then it will tie November of last year.
Nov 17
The (Good?) Old Days Part VI – Speech Recognition

The (Good?) Old Days Part VI – Speech Recognition

As I try to be slightly ahead of the curve I am here to say that much is about to change in the world of technology in the 10 or so years to come. Namely: thanks in part to Apple’s dive into the speech recognition software world with the…

Rank this Week: 1879

RESPA Lawyer Blog

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

http://www.respalawyer.com/

May 17
CFPB RESPA ENFORCEMENT ACTION ALERT

CFPB RESPA ENFORCEMENT ACTION ALERT

The Consumer Financial Protection Bureau "CFPB" ordered a Texas homebuilder, Paul Taylor, to pay $118,194.20 he received in kickbacks for referring mortgage origination business to Benchmark Bank and to Willow Bend Mortgage Company in…
Apr 12
RESPA CONFERENCE: MARX STERBCOW TO PRESENT AT NATIONAL SETTLEMENT SERVICES SUMMIT IN CLEVELAND, OHIO

RESPA CONFERENCE: MARX STERBCOW TO PRESENT AT NATIONAL SETTLEMENT SERVICES SUMMIT IN CLEVELAND, OHIO

Attorney Marx Sterbcowof the Sterbcow Law Group will lead a panel presentation along with Attorney Jeff Arouh of McLaughlin & Stern at the October Research Corporation's National Settlement Services Summit being held at the Marriott at…
Mar 12
MARX STERBCOW AND CHARLES CAIN TO PRESENT AT RESPA News' RESPA WEBINAR SERIES ON MAY 18, 2013

MARX STERBCOW AND CHARLES CAIN TO PRESENT AT RESPA News' RESPA WEBINAR SERIES ON MAY 18, 2013

Marx Sterbcow, Managing Attorney at Sterbcow Law Group, and Charles Cain, Of Counsel to Sterbcow Law Group and Senior Vice President to WFG National Title Insurance Company, have been selected by RESPA News to co-present a webinar on the…

Rank this Week: 2123

Canadian M&A Perspectives

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

http://www.canadianmergersacquisitions.com

May 14
You Can’t Always Get What You Want

You Can’t Always Get What You Want

Making realistic projections during an auction processBy Robert Hansen and Shane C. D'Souza The recent Delaware ruling in In Ancestry.com Inc. Shareholder Litigation provides a cautionary tale relating to a target company developing…
May 9
Challenges for State-Owned Enterprises Arising From Proposed Amendments to the Investment Canada Act

Challenges for State-Owned Enterprises Arising From Proposed Amendments to the Investment Canada Act

By Oliver J. Borgers and Michele Siu The Canadian government’s Bill C-60 contains proposed amendments to the Investment Canada Act that will significantly impact foreign investors whom the Canadian government considers as state-owned…
May 6
Ignorance is not bliss: beware minimal due diligence

Ignorance is not bliss: beware minimal due diligence

Lessons from the Quebec Court of AppealBy Martin Boodman and Shane C. D'Souza The Quebec Court of Appeal’s decision in Francoeur v. 4417186 Canada Inc., 2013 QCCA 191, provides a cautionary tale on the dangers of entering into a share…

Rank this Week: 1945

Strictly Business

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

http://blog.alexanderdavie.com/

May 13
The JOBS Act, a Year Later – Part 4: Online Angel Investment Platform

The JOBS Act, a Year Later – Part 4: Online Angel Investment Platform

This post is the fourth in a series examining the impact of the Jumpstart Our Business Startups Act (or JOBS Act) one year after its passage and focuses on the provisions related to online angel investment platforms. In the last post of this…
May 12
Selling Your Business — Practical Tips for Sellers — Part 10: Indemnification (Part One)

Selling Your Business — Practical Tips for Sellers — Part 10: Indemnification (Part One)

This post was jointly written by Casey W. Riggs and Jennifer Wilson. This is part 10 of our series discussing the sale of a business from the seller’s perspective. We’ve covered commencement of a potential deal through…
Apr 29
Working Effectively with Your Lawyer: Five Tips to Effectively Engage and Use Legal Counsel

Working Effectively with Your Lawyer: Five Tips to Effectively Engage and Use Legal Counsel

Like it or not, most business owners will require legal counsel from time to time. In most circumstances, using legal counsel will be in the context of a transaction, like raising capital, buying a competitor, or bringing in a key…

Rank this Week: 2028

The Journal of the Business Law…

The Journal of the Business Law Society

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

http://www.law.uiuc.edu/bljournal/

Mar 26
Entrepreneurship in Brazil

Entrepreneurship in Brazil

Bolivians, mainly members of affected indigenous groups, protested the Brazilian construction company OAS’s project to build a road through a remote Bolivian indigenous territory. Meanwhile, citizens of Argentina, Paraguay, and…
Feb 23
Entrepreneurship in Turkey

Entrepreneurship in Turkey

Although Turkey is often considered an emerging market, and indeed has many positive attributes that make it an attractive place to invest and do business, it is not a hotbed of entrepreneurship; and until it receives more governmental and…
Dec 7
Shadow banking: Help is on the Way

Shadow banking: Help is on the Way

Despite being recognized as a primary culprit of the financial crisis, shadow banking has continued to flourish. According to the Financial Stability Board (FSB), shadow banking has grown since the onset of the crisis from $62 trillion…

Rank this Week: 2153

Current Issues in Credit Unions

Covers credit unions and the issues they face daily. Hosted by Brian Witt, Guy Messick, Gwen Baker and Robert Rutkowski.

http://ciicu.libsyn.com

Dec 31
Best of CIiCU December 2012

Best of CIiCU December 2012

We took December off so I give you a "best of" created by Victor, our loyal producer.
Nov 30
Current Issues in Credit Union #76.

Current Issues in Credit Union #76.

Hal, Guy, Katherine & Rob bring you this month's topics.
Oct 30
Current Issues in Credit Unions Episode 75.

Current Issues in Credit Unions Episode 75.

Live from the NAFCU Compliance Conference in Seattle Washington.

Rank this Week: 2170

Sharesleuth.com

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

http://sharesleuth.com/

Oct 15
Rockwell Medical countersues former drug-development executive

Rockwell Medical countersues former drug-development executive

Rockwell Medical Inc. (Nasdaq: RMTI) has filed a countersuit against its former chief medical officer, alleging that he overstated his qualifications, breached a confidentiality agreement and made false and defamatory statements about the…
Oct 2
Houston American says SEC probing its Colombian resource claim

Houston American says SEC probing its Colombian resource claim

Houston American Corp. (AMEX: HUSA) says the Securities and Exchange Commission’s investigation into the company appears to be focused on disclosures about the potential of its CPO-4 prospect in Colombia in late 2009 and early 2010.…
Jun 20
Former Rockwell Medical executive alleges SEC violation

Former Rockwell Medical executive alleges SEC violation

The former head of drug development at Rockwell Medical Technologies Inc. (Nasdaq: RMTI) says the company and its chief executive knowingly issued false and misleading press releases and violated other securities laws. Dr. Richard C. Yocum,…

Rank this Week: 2172

Inside Sarbanes Oxley

Covers Sarbanes-Oxley and compliance.

http://www.insidesarbanesoxley.com/

Sep 10
Whistleblowing – What you need to know about the Dodd-Frank Act

Whistleblowing – What you need to know about the Dodd-Frank Act

If your organization isn’t already offering incentives to ferret out inappropriate behaviors, the new Dodd-Frank Act and whistleblowing rewards just might (and could make your company the next public spectacle). Deloitte’s…
May 26
Internal Audit: The Continuous Conundrum

Internal Audit: The Continuous Conundrum

The department painstakingly went through its inventory of SOX controls to determine which ones could be assessed just by analyzing data in company systems. Then data-analytic scripts were written to allow exceptions to be found. Now, for…
May 26
How to choose the right nonexecutive board leader

How to choose the right nonexecutive board leader

Ever since stock-listing requirements prompted many US companies to name an independent director to serve as the chairman, lead director, or presiding director of the board, these companies have been grappling with what, exactly, this board…

Rank this Week: 2326

RIA Compliance Blog

Covers registered investment advisor regulations. By Page Perry LLC.

http://www.riacomplianceblog.com/

Sep 7
California Court Decision May Allow Brokers to Expunge Their Records More Easily

California Court Decision May Allow Brokers to Expunge Their Records More Easily

In a decision last month, the California Court of Appeals may have opened the door for brokers to bypass the Financial Industry Regulatory Authority's (FINRA) rigid expungement rules in order to remove matters from their CRD records. …
Aug 27
States Report RIA Enforcement Cases Doubled in 2011

States Report RIA Enforcement Cases Doubled in 2011

The North American Securities Administrators Association (NASAA) released preliminary numbers this month showing that the number of enforcement cases brought by state regulators doubled during 2011. During that year, states brought about 400…
Jul 26
Bachus SRO Bill Likely Dead This Year; Waters Introduces User Fee proposal

Bachus SRO Bill Likely Dead This Year; Waters Introduces User Fee proposal

Proposed legislation designed to create a self-regulatory organization (SRO) for investment advisers may not be acted on during this Congressional session, according to its sponsor, Rep. Spencer Bachus (D-Ala.). Rep. Bachus, Chairman of the…

Rank this Week: 2808

Securities Fraud Attorney Blog

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

http://www.securitiesfraudattorneyblog.com/

Dec 9
Bloomberg Update on $383M Client Case v. Citigroup

Bloomberg Update on $383M Client Case v. Citigroup

Below is a piece by Bloomberg on our firm's $383 million claim against Citigroup. There's more on this case on the firm's website at http://www.riklawfirm.com/ Citigroup’s Mathur Said to Depart With Hybrid Traders as Pandit Cuts Jobs By…
Dec 1
American Lawyer Piece on Firm's Citigroup Case

American Lawyer Piece on Firm's Citigroup Case

Below is an American Lawyer piece which explains our clients' pending $383 million FINRA arbitration against Citigroup. It goes on to talk about how there are more and more large and complex cases at FINRA. It's true. As partner John Rich…
Nov 30
Bloomberg Piece on $383M Client Case v. Citigroup

Bloomberg Piece on $383M Client Case v. Citigroup

Below is Bloomberg piece about our client's $383 million FINRA arbitration claim against Citigroup Global Markets, Inc. related to hedge funds, private equity, and derivatives. Bloomberg Citigroup Saudi Deal Haunts Pandit By Donal Griffin -…

Rank this Week: 2511

Investment Fraud Lawyer Blog

Covers securities fraud and investor education topics. By Block & Landsman.

http://www.investmentfraudlawyer-blog.com/

Jul 17
Block & Landsman Wins $5 Million FINRA Arbitration Award For Lehman Structured Notes Investment

Block & Landsman Wins $5 Million FINRA Arbitration Award For Lehman Structured Notes Investment

A FINRA arbitration panel awarded damages in excess of $5,052,500 against Neuberger Berman and it's broker Brian Hahn in connection with the sale of Lehman Brothers Structured Notes to three customers. The investors were represented by Block…
Jun 22
Defrauded Investors Given Hope of Recovery As Morgan Keegan Parent Settles Regulatory Charges for $210 Million

Defrauded Investors Given Hope of Recovery As Morgan Keegan Parent Settles Regulatory Charges for $210 Million

Nearly 40,000 investors who lost $1.5 billion in fraudulent subprime mortgage-backed mutual funds were given a small boost in their claims for recovery as the parent company of investment banking firm Morgan Keegan & Co., Regions Financial…
Jun 19
Class Action Lawsuit Filed Against FINRA for Violating Brokers' Constitutional Due Process Right

Class Action Lawsuit Filed Against FINRA for Violating Brokers' Constitutional Due Process Right

Block & Landsman joined other firms in filing a class action lawsuit against the Financial Industry Regulatory Authority (FINRA) seeking injunctive relief to stop the regulatory authority from violating the constitutional due process rights…

Rank this Week: 2862

Banking Law Update

Provides updates and commentary on developments in law affecting banks and financial institutions. By Verrill Dana LLP.

http://www.bankinglawupdate.com/

Apr 24
CFPB Issues Bulletin On ECOA Risks In Indirect Auto Lending

CFPB Issues Bulletin On ECOA Risks In Indirect Auto Lending

The Consumer Financial Protection Bureau (“CFPB”) recently issued a compliance bulletin warning financial institutions that they may face potential liability as indirect lenders for fair lending violations in the process of making…
Apr 12
CFPB Issues Small Entity Compliance Guide on Ability-to-Repay and Qualified Mortgage Rule

CFPB Issues Small Entity Compliance Guide on Ability-to-Repay and Qualified Mortgage Rule

The Consumer Financial Protection Bureau (“CFPB”) recently issued a Small Entity Compliance Guide on the Ability-to-Repay and Qualified Mortgage Rule (the “Rule”). The Rule was issued under Dodd-Frank. The Guide…
Apr 10
Federal Agencies Publish Guidance on Leveraged Lending

Federal Agencies Publish Guidance on Leveraged Lending

The FDIC, Federal Reserve, and OCC have issued joint guidance on the practice of leveraged lending (the “Guidance”). Although definitions of “leveraged lending” vary, generally speaking the practice involves the…

Rank this Week: 3460

Lenders 360.

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

http://www.lenders360blog.com

Apr 16
Foreclosure Tip #1: Inspections – Do It Before You Own It

Foreclosure Tip #1: Inspections – Do It Before You Own It

In some parts of the country, a recovering local economy means the special asset (or problem loan) groups are reducing staff, as loan production groups come back to life. Leaving the special asset group under-staffed could be a mistake…
Apr 3
Refresh Your Mortgage Loan Documents with these Tech Topic

Refresh Your Mortgage Loan Documents with these Tech Topic

Most commercial real estate loan documents give meaning to the phrase “real estate is old as dirt.” Why? Because just as dirt doesn’t change, commercial mortgage loan documents largely ignore the impact of technology…
Mar 26
Business Focus on Connections & Information Ignores . . . Lawyer

Business Focus on Connections & Information Ignores . . . Lawyer

As I look around the business landscape, much of the focus of company growth seems to center on leveraging the internet for greater connections (with their trading partners) and for more information (“big data”). It’s a…

Rank this Week: 3178

The AAO Weblog

Deals with current accounting topics related to investment and finance. By Jack Ciesielski.

http://www.accountingobserver.com/PublicBlog/tabid/54/BlogId/1/Default.aspx

Nov 17
Fair Value Puzzles: M&T Buys Wilmington Trust

Fair Value Puzzles: M&T Buys Wilmington Trust

First-things-first disclosure: I own M&T Bank in my accounts and in accounts of clients.
Feb 25
For Your Reading Pleasure

For Your Reading Pleasure

Finished writing an Accounting Observer report on the FASB's recent amendments of revenue accounti
Feb 23
Deciding To Decide

Deciding To Decide

At an open meeting tomorrow morning, the SEC's commissioners "will consider whether to publish a statement regarding its continued support for a single-set of high-quality globally accepted accounting standards and its ongoing consideration…

Rank this Week: 3335

Venture Law Lines

Venture capital and startup business advice. By Suzie Dingwall Williams.

http://venturelaw.blogspot.com/

Nov 17
When University Commercialization Offices Turn Troll

When University Commercialization Offices Turn Troll

Bloomberg reports that the patent licensing office at the University of New Mexico has launched a lawsuit against Intel alleging infringement of a UNM patent for a process of making circuit boards.The lawsuit comes on the heels of rumoured…
Nov 16
What to do When Blackberry KIKs You to the Curb

What to do When Blackberry KIKs You to the Curb

This morning the blogosphere was abuzz with news that Blackberry had removed KIK from the Blackberry APP World store, without apparently providing any reason for doing so. It's not clear whether this is actually the case, but let's assume for…
Sep 23
Founder CEOs and Severance Agreements: Drafting tips from Mark Hurd

Founder CEOs and Severance Agreements: Drafting tips from Mark Hurd

The value of a severance agreements for departing CEOs lies not only in how much they promise to pay, but in what protection it preserves. Mark Hurd's agreement with HP sets out some of the subtleties that you should ensure your own…

Rank this Week: 3183

The Big Do-Over

Covers financial regulation. By Wendy Fried.

http://www.thebigdo-over.com/

Apr 28
Lloyd and Me: Goldman Hysteria, Revisited

Lloyd and Me: Goldman Hysteria, Revisited

In my last post, I suggested that the ranting in Congress over Goldman’s practices was a tad overdone, thus gleaning some interesting personal insults from Goldman-hating Seeking Alpha readers.Guys, ya got me; Lloyd Blankfein bribed me to…
Apr 27
Goldman Hysteria: Put Away Childish Thing

Goldman Hysteria: Put Away Childish Thing

Kenneth Griffin, head of the Citadel hedge fund, says it's "childish" to use the uproar over Goldman’s Abacus deal as a basis for regulatory reform.I feel ya, Ken. There are good reasons to be angry at Goldman, but this is turning into an…
Apr 21
Citi, the FCIC, and The End of History

Citi, the FCIC, and The End of History

Yesterday I saw a preteen kid wearing a T-shirt that said: “I’m surrounded by idiots.” Bill Thomas, Vice Chair of the Financial Crisis Inquiry Commission, should totally have worn that shirt to the Commission’s last hearing.As former…

Rank this Week: 3454

Attorney R. Tamara de Silva's Blog

Features a skeptical lawyer's take on financial reform, Wall Street and white collar crime.

http://attyrtamaradesilva.wordpress.com

Aug 19
Fat Tail and the Bail Out

Fat Tail and the Bail Out

“It ain’t what you don’t know that gets you into trouble. It’s what you know for sure that just ain’t so.” Mark Twain
Aug 19
Market Transparency

Market Transparency

Market Transparency and Accountability Act of 2009 Misses the Mark R. Tamara de Silva February 22, 2009
Aug 19
Proposed Regulation

Proposed Regulation

Proposed Regulations, If Needed, Ought to Value Assets Better R. Tamara de Silva August 19, 2009 Are the United States Treasury, along with the Executive and Legislative branches looking everywhere but at the causes of the financial crisis…

Rank this Week: 3138

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/

May 9
Best Laid Plans Gone Awry: Practices for Rule 10b5-1 Trading Plan

Best Laid Plans Gone Awry: Practices for Rule 10b5-1 Trading Plan

Written by Sarah A. Good, Cindy V. Schlaefer, Brian M. Wong, Gabriella A. Lombardi and Laura C. Hurtado Rule 10b5-1 trading plans are in the limelight due to investigations initiated by U.S. Attorney’s Offices and the SEC into…
Apr 29
Lifting Ban on Hedge Fund Advertising

Lifting Ban on Hedge Fund Advertising

Today, Jay Gould was interviewed by Deirdre Bolton on Bloomberg TV’s “Money Moves” where Jay discussed lifting the ban on hedge fund advertising.
Apr 16
Private Equity Fund Managers as Unregistered Broker Dealers - Sanctions and Rescission

Private Equity Fund Managers as Unregistered Broker Dealers - Sanctions and Rescission

Written by: Jay Gould On April 8, 2013, we reviewed a recent speech by David Blass, the Chief Counsel of the Division of Trading and Markets of the Securities and Exchange Commission (the “SEC”), in which Mr. Blass provided…

Rank this Week: 5222

Most Popular Banking and Finance Law Blawgs Expanded View List View