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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 16

    SEC Uncovers Wide-Reaching Insider Trading Scheme

    SEC Uncovers Wide-Reaching Insider Trading Scheme
    The Securities and Exchange Commission today announced insider trading charges against seven individuals who generated millions in profits by trading on confidential information about dozens of impending mergers and acquisitions.  Data…
  • Aug 15

    SEC Charges KPMG with Audit Failure

    SEC Charges KPMG with Audit Failure
    The Securities and Exchange Commission today announced that KPMG has agreed to pay more than $6.2 million to settle charges that it failed to properly audit the financial statements of an oil and gas company, resulting in investors being…
  • Aug 11

    SEC Files Charges in Oil Drilling Investment Scheme

    SEC Files Charges in Oil Drilling Investment Scheme
    The Securities and Exchange Commission today charged two Tennessee men and an accomplice in Fort Lauderdale with allegedly defrauding investors they lured by false promises of high returns from an oil drilling investment opportunity.According…
Rank this Week: 2250

NextGen Financial Services Report

NextGen Financial Services Report

By Dykema. Provides news and analysis of legal issues affecting the financial services industry.

http://www.nextgenfinancialservicesreport.com/
Rank this Week: 1849

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Aug 16

    Revised opinion expands list of vacated pre-Dodd-Frank bar

    Revised opinion expands list of vacated pre-Dodd-Frank bar
    By Rodney F. Tonkovic, J.D.A petition for rehearing by the SEC has resulted in the 11th Circuit vacating and revising a month-old opinion. The panel had previously denied an unregistered broker's petition for review of a lifetime bar from the…
  • Aug 15

    ISDA opposes EC’s proposed amendments on harmonization of moratoria power

    ISDA opposes EC’s proposed amendments on harmonization of moratoria power
    By Amanda Maine, J.D.The International Swaps and Derivatives Association (ISDA) has published a position paper outlining its concerns with the European Commission’s proposed amendments to its Bank Recovery and Resolution Directive…
  • Aug 14

    ABA says costs of PCAOB’s proposed standard on auditing estimates will exceed benefit

    ABA says costs of PCAOB’s proposed standard on auditing estimates will exceed benefit
    By Jacquelyn LumbWhile PCAOB standards technically apply only to audits of public companies, the American Bankers Association (ABA) believes the Board’s proposal on auditing estimates, including fair value measurements, will have a…
Rank this Week: 470

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Aug 16

    Should Passive Shareholders Not Be Allowed to Vote?

    Should Passive Shareholders Not Be Allowed to Vote?
    Recently, Liz blogged about an article that indicates that some investors that are considered “passive” may be more on auto-pilot than some would think. Now we have a paper that wants passive funds to be restricted from voting in…
  • Aug 15

    Climate Change: Vanguard to Provide More On Its Voting Record

    Climate Change: Vanguard to Provide More On Its Voting Record
    As we’ve blogged (also see this article), Vanguard recently received a shareholder proposal requesting additional disclosure about its climate change voting record – but Vanguard announced yesterday that it had negotiated the…
  • Aug 14

    Tomorrow’s Pre-Conference Webcast: “Pay Ratio Workshop – What You (Really) Need to Do Now”

    Tomorrow’s Pre-Conference Webcast: “Pay Ratio Workshop – What You (Really) Need to Do Now”
    For those registered for the upcoming “Pay Ratio & Proxy Disclosure Conference,” tune in tomorrow – 2 pm eastern (audio archive goes up when the program ends; transcript available in a week or so) – for the second…
Rank this Week: 484

Mortgage Fraud Blog

Mortgage Fraud Blog

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

http://mortgagefraudblog.com/
  • Aug 15

    Arizona Loan Office Sentenced to 3 Years in Prison

    Arizona Loan Office Sentenced to 3 Years in Prison
    Mortgage Fraud Blog. Michael Quiroz, Tucson, Arizona, was sentenced by U.S. Chief District Judge Raner C. Collins to 36 months in prison.  Quiroz was previously found guilty at trial of wire fraud and conspiracy to commit wire…
  • Aug 15

    First rule of holes: When in one, stop digging

    First rule of holes: When in one, stop digging
    Mortgage Fraud Blog. Margie P. Shephard, 51, Kansas City, Missouri, pleaded guilty to obstruction of justice after forging a court order to get another inmate released from prison. Shephard was incarcerated as an inmate at Federal…
  • Aug 15

    Former NYC Police Officer and Pal Indicted in Short Sale Fraud

    Former NYC Police Officer and Pal Indicted in Short Sale Fraud
    Mortgage Fraud Blog. Michael Rizzi, 45, Brooklyn, New York,and Edward Monahan, 45, Staten Island, New York, were each charged in a criminal complaint with one count of bank fraud and on count of conspiracy to commit bank fraud,…
Rank this Week: 2

Financial Regulatory Report

Financial Regulatory Report

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

http://www.financialregulatoryreport.com/
  • Aug 15

    ISDA Considers the Suitability of Swaps Documentation to the Blockchain

    ISDA Considers the Suitability of Swaps Documentation to the Blockchain
    On August 3, 2017, the International Swaps and Derivatives Association (“ISDA”) released a whitepaper that considers whether derivative contracts could operate on a blockchain (the “Whitepaper”).[1]  The…
  • Aug 14

    Robert Jaworski to Speak on TRID Compliance at MBA Conference

    Robert Jaworski to Speak on TRID Compliance at MBA Conference
    Bob Jaworski will be speaking at the Mortgage Bankers Association of America’s annual Regulatory Compliance Conference in Washington, D.C.. The conference will be held on September 17-19, 2017 at the Grand Hyatt, Washington. Bob…
  • Jun 19

    Nevada Passes FinTech Law

    Nevada Passes FinTech Law
    A number of states have jumped into the FinTech fray by enacting legislation or issuing guidance regarding new technologies and digital currencies. The latest of these technology-forward states is Nevada. Following the example set by Arizona,…
Rank this Week: 766

Financial Industry Review

Financial Industry Review

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

http://blogs.orrick.com/financial/
Rank this Week: 3305

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 14

    Renewal of a right of pre-emption on extension of a lease

    Renewal of a right of pre-emption on extension of a lease
    Where the period of a lease agreement is extended, the terms of that agreement will apply during the extended period unless the context or the parties’ intention indicates otherwise. Where parties to a lease simply say that they want to…
  • Aug 14

    When is cover extended to companies in which insured has ‘majority interest?’ (US)

    When is cover extended to companies in which insured has ‘majority interest?’ (US)
    In August 2017, a US federal court ruled that the ordinary meaning of ‘majority interest’ in a liability policy where cover is extended to all companies in which the named insured holds a majority interest is a financial interest,…
  • Aug 10

    Authentication of documents used abroad

    Authentication of documents used abroad
    Did you know? All documents executed in South Africa for use outside of South Africa must be authenticated as properly executed in order for them to be relied on in court and by most authorities. The country in which the documents will be…
Rank this Week: 1977

Regulation tomorrow

Regulation tomorrow

By Norton Rose Fulbright. Offers resources on the global financial services regulatory environment. It reports on financial services regulatory developments and provides insights and commentary across Africa, Asia, Australia, Canada, Europe and the United States.

http://www.regulationtomorrow.com/
  • Aug 14

    ESMA updates guidelines on transaction reporting under MiFID II and MiFIR

    ESMA updates guidelines on transaction reporting under MiFID II and MiFIR
    The European Securities and Markets Authority (ESMA) has published an updated version of its guidelines on transaction reporting, order record keeping and clock synchronisation under MiFID II. The updated version of the guidelines corrects…
  • Aug 14

    EBA updates data used for the identification of G-SII

    EBA updates data used for the identification of G-SII
    The European Banking Authority (EBA) has published 12 indicators and underlying data from the 35 largest institutions in the EU, whose leverage ratio exposure measure exceeds EUR 200 bn. Technical standards for the identification of global…
  • Aug 14

    ESMA publishes responses to its consultation on draft RTS for trading obligation for derivatives under MiFIR

    ESMA publishes responses to its consultation on draft RTS for trading obligation for derivatives under MiFIR
    On 20 June 2017, we blogged that the European Securities and Markets Authority (ESMA) had issued a consultation paper regarding its draft technical standards specifying the trading obligation for derivatives under the Markets in Financial…
Rank this Week: 1992

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 14

    VOTE FOR STEPHEN KOHN for 2017 FINRA Small Firm Governor

    VOTE FOR STEPHEN KOHN for 2017 FINRA Small Firm Governor
    On August 22, 2017, the Financial Industry Regulatory Authority ("FINRA") will conduct its annual meeting, at which time the self-regulatory organization will elect one small firm Governor (up to 150 registered representatives) and one large…
  • Aug 11

    7th Circuit Affirms Spoofing Conviction

    7th Circuit Affirms Spoofing Conviction
    In 2014, Michael Coscia, the manager and sole owner of Panther Energy Trading LLC, was indicted by a federal Grand Jury for his alleged $1.4 million spoofing and commodities fraud scheme, which occurred in 2011 and  involved gold,…
  • Aug 7

    SG Americas Employee Wins (Sort Of) FINRA Employment Arbitration

    SG Americas Employee Wins (Sort Of) FINRA Employment Arbitration
    You just watched a 12-round world heavyweight boxing match. It went the distance. You could argue that either fighter won -- it was that close. The ring announcer says that the three judges declared the challenger the victor. Half the…
Rank this Week: 681

Banking Law Update

Banking Law Update

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

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

    Financial Institutions . . . In the New

    Financial Institutions . . . In the New
    Elizabeth Hayes, President and CEO of Infinity Federal Credit Union, was recently named one of the Women to Watch in 2017.  (Mainebiz 8.7.17) LEAF Commercial Capital, Inc. is acquired by People’s United Bank.  (PR Newswire…
  • Jul 11

    Financial Institutions . . . In the New

    Financial Institutions . . . In the New
    Thirteen employees at Saco & Biddeford Savings Institution earned certificates and high honor awards this year through the Center for Financial Training and Education Alliance (CFTEA). (BDN 7.10.17) Mainers affected by State government…
  • Jun 29

    New England Council Unveils 2017 Regional Financial Sector Report

    New England Council Unveils 2017 Regional Financial Sector Report
    On June 29th, the New England Council met in Concord, NH to present its annual report on the region’s financial sector, “The New England Financial Services Industry: Around the Corner and Around the World.” The report was…
Rank this Week: 2824

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/
Rank this Week: 1009

RIA Compliance Blog

RIA Compliance Blog

Covers registered investment advisor regulations. By Parker MacIntyre.

http://www.riacomplianceblog.com/
  • Aug 8

    Date Drawing Near for Compliance with SEC Amendments to Form ADV and Recordkeeping Rule

    Date Drawing Near for Compliance with SEC Amendments to Form ADV and Recordkeeping Rule
    Beginning October 1, 2017, registered investment advisers are required to use revised form ADV, which requests certain information not sought on previous versions of the form. Advisers will also have to comply with amendments to Rule 204-2…
  • Aug 4

    BCG Securities Brokers Accused of Misrepresenting Variable Annuitie

    BCG Securities Brokers Accused of Misrepresenting Variable Annuitie
    As a recent press release issued by the Securities and Exchange Commission indicates, on July 31, 2017 the Securities and Exchange Commission (SEC) filed a civil complaint charging four former Atlanta-area brokers — Christopher S. Laws,…
  • Jul 18

    New Wyoming Investment Adviser Registration Law Impacts SEC Registration Requirement

    New Wyoming Investment Adviser Registration Law Impacts SEC Registration Requirement
    The State of Wyoming recently enacted a statute that requires most investment advisers doing business in the state, and investment adviser representatives of those advisers, to register.  The law subjects the state law registrants to…
Rank this Week: 2788

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: 3780

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: 238

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
Rank this Week: 1687

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/
  • Jul 30

    Requiescat in pace

    Requiescat in pace
    Due to a death in the family, I will not be posting for at least the next couple of weeks.
  • Jul 23

    Derivatives, Practically Speaking

    Derivatives, Practically Speaking
    The Third Edition of “Practical Derivatives, A Transactional Approach” edited by London-based Mayer Brown attorneys Edmund Parker and Marcin Prezanowski and published by Globe Law and Business (www.globelawandbusiness.com), is the third…
  • Jul 16

    Arbitrate This!

    Arbitrate This!
    Last week's issuance of a final arbitration rule by the CFPB provoked various reactions throughout the financial services world. Among the more amusing were those of long-time BLB favorite, Dorsey & Whitney partner Joe Lynyak. In a client…
Rank this Week: 2280

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/
  • Jul 27

    Reflections on a Rewarding Year with the NCBA YLD

    Reflections on a Rewarding Year with the NCBA YLD
    I'm no longer a young lawyer.A few days ago, I handed over an enormous gavel, signifying the end of my term as leader of the more than 6,400 members of the Young Lawyers Division of the North Carolina Bar Association. It has been an…
  • Jul 27

    It's Time for a Change

    It's Time for a Change
    Over the past six years, I have really enjoyed sharing thoughts with you on this blog and participating in some of the conversations that have arisen from the posts.Having recently departed private practice to work as in-house counsel, my…
  • Jul 25

    In a First, a Federal Court Finds Grocery Store's Website Fails to Comply with the Americans with Disabilities Act (ADA)

    In a First, a Federal Court Finds Grocery Store's Website Fails to Comply with the Americans with Disabilities Act (ADA)
    A recent case has organizations all over the U.S. concerned about litigation over website accessibility. In the first federal decision of its kind, a federal judge in Florida concluded that Winn-Dixie, a regional grocery store chain, was…
Rank this Week: 3585

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
  • Jul 26

    SEC Report on Tokens as Securities: Seven Takeaway

    SEC Report on Tokens as Securities: Seven Takeaway
    One of the more interesting phenomena in early-stage investing is the recent emergence of initial coin offerings (“ICOs”), token generation events (“TGEs”), or similar distributed ledger or blockchain-enabled means for…
  • Jun 7

    Getting up to speed on blockchain, Bitcoin, Ethereum, cryptocurrencies and ICO

    Getting up to speed on blockchain, Bitcoin, Ethereum, cryptocurrencies and ICO
    Much has been written recently on blockchain, Bitcoin, Ethereum, cryptocurrencies and initial coin offerings (ICO). Unfortunately, for non-computer scientists (like me), trying to understand these concepts and their potential implications can…
  • May 19

    Prize Promotions Around the World: New Handbook

    Prize Promotions Around the World: New Handbook
    DLA Piper is pleased to announce the launch of Prize Promotions Around the World, an updated edition of our popular handbook. Prize Promotions Around the World is an online tool designed to assist companies across the globe in managing…
Rank this Week: 3801

Payment Law Advisor

Payment Law Advisor

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

http://www.paymentlawadvisor.com/
  • Jul 21

    Regulatory Alert: Debt Collection

    Regulatory Alert: Debt Collection
    Among the announcements in its Spring 2017 rulemaking agenda, which was just released on July 20, the Consumer Financial Protection Bureau (CFPB) announced that later this year it plans to issue a Notice of Proposed Rulemaking (NPRM)…
  • Jul 5

    OCC Issues Retail Lending Handbook Booklet

    OCC Issues Retail Lending Handbook Booklet
    On April 12, 2017, the Office of the Comptroller of the Currency (the “OCC”) issued a Retail Lending booklet (“Booklet”) as part of the Comptroller’s Handbook.  The OCC’s Booklet outlines a framework…
  • Jun 29

    Second Circuit Holds That Printing of Expiration Date Is a Bare Procedural Violation of FACTA That Is Inadequate Under Spokeo to Confer Standing to Sue

    Second Circuit Holds That Printing of Expiration Date Is a Bare Procedural Violation of FACTA That Is Inadequate Under Spokeo to Confer Standing to Sue
    Addressing the issue of when “a bare procedural violation of a statutory right constitute[s] an injury in fact sufficient for standing to bring suit in federal court”, the U.S. Court of Appeals for the Second Circuit has joined…
Rank this Week: 474

Strictly Business

Strictly Business

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

http://www.strictlybusinesslawblog.com/
  • Jul 20

    New Options for Raising Capital for Startups and Growth Companie

    New Options for Raising Capital for Startups and Growth Companie
    Traditionally, when raising capital, an overwhelming majority of businesses have used Rule 506 of Regulation D, also often known as the “private placement exemption” as their exemption from securities registration requirements. In…
  • Jun 29

    The Life Cycle of a Private Equity or Venture Capital Fund

    The Life Cycle of a Private Equity or Venture Capital Fund
    Unlike most hedge funds, the investment holdings of private equity and venture capital funds typically are not liquid. Consequently, private equity and venture capital funds usually do not have any redemption rights and are organized to have…
  • Jun 12

    Convertible Equity Options for Startups: SAFEs and KISSe

    Convertible Equity Options for Startups: SAFEs and KISSe
    When it comes to raising capital to get your new business off the ground, there’s a range of investment structures available, from common stock to exchangeable shares. One of the newer and most popular forms of financing for startups is…
Rank this Week: 2717

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/
  • Jul 17

    Bitcoin: Everyone is Talking Blockchain and its Not too Late to Get on the Band Wagon

    Bitcoin: Everyone is Talking Blockchain and its Not too Late to Get on the Band Wagon
    Bitcoin first came into public existence in 2008 with the first coins “mined” by a person/group named Satoshi Nakamoto.  As you are probably aware, Bitcoin is a method of transferring value electronically and without the need…
  • Jul 10

    Two Lawsuits Diverge and I take the Defendant Less Liable

    Two Lawsuits Diverge and I take the Defendant Less Liable
    To paraphrase Count Ciano, Success has many fathers and failure has many targets.  You may recall a while back I wrote about how a loan to old General Motors (worth $1.5 billion) was accidentally rendered un-secured.  When GM…
  • Jul 3

    Beware the Sleeping Executory Contract

    Beware the Sleeping Executory Contract
    Sometimes a buyer is upset because he received less than he paid for.  On the other hand, sometimes the buyer is upset because he received way more than he paid for.  In a recent Texas Supreme Court decision, the buyer of contracts…
Rank this Week: 1577

Lenders 360.

Lenders 360.

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

http://www.lenders360blog.com
  • Jul 17

    Bitcoin: Everyone is Talking Blockchain and its Not too Late to Get on the Band Wagon

    Bitcoin: Everyone is Talking Blockchain and its Not too Late to Get on the Band Wagon
    Bitcoin first came into public existence in 2008 with the first coins “mined” by a person/group named Satoshi Nakamoto.  As you are probably aware, Bitcoin is a method of transferring value electronically and without the need…
  • Jul 10

    Two Lawsuits Diverge and I take the Defendant Less Liable

    Two Lawsuits Diverge and I take the Defendant Less Liable
    To paraphrase Count Ciano, Success has many fathers and failure has many targets.  You may recall a while back I wrote about how a loan to old General Motors (worth $1.5 billion) was accidentally rendered un-secured.  When GM…
  • Jul 3

    Beware the Sleeping Executory Contract

    Beware the Sleeping Executory Contract
    Sometimes a buyer is upset because he received less than he paid for.  On the other hand, sometimes the buyer is upset because he received way more than he paid for.  In a recent Texas Supreme Court decision, the buyer of contracts…
Rank this Week: 3744

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: 2319

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/
  • Jul 12

    Emotional Preparedness for a Business Sale

    Emotional Preparedness for a Business Sale
    The process of selling a business can become a psychological and emotional roller-coaster. The bumpiness of the ride is dependent on many independent factors including the preparedness of the business itself, the  effectiveness of the…
  • Jul 4

    Why Won’t My Business Sell?

    Why Won’t My Business Sell?
    The Exit Planning Institute (EPI) estimates that over $10T in business value will be prepared to transition in the next decade. However, the EPI also predicts only 20% to 30% of those businesses will actually be able to sell. With such…
  • Jun 29

    The Best Deals Need No Introduction

    The Best Deals Need No Introduction
    One of the biggest reasons I love investment banking is that it combines the deep expertise of multiple disciplines. The most successful investment bankers are “quick studies” of nearly any sector and have deep expertise in…
Rank this Week: 4128

Consumer Finance Law Ledger

Consumer Finance Law Ledger

By Fox Rothschild LLP.

https://consumerfinance.foxrothschild.com/
Rank this Week: 1903

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

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

    The Outset of the Fraud

    The Outset of the Fraud
    If an individual defendant’s stock trading took place pursuant to a pre-determined Rule 10b5-1 trading plan that was entered into before the outset of the alleged fraud, the use of the trading plan may undermine any inference that…
  • May 9

    Not Just For Section 11 Claim

    Not Just For Section 11 Claim
    In its Omnicare decision, the U.S. Supreme Court held that opinions presented in registration statements can be subject to liability under Section 11 of the Securities Act of 1933 if either (a) the opinion was not…
  • Apr 14

    Frivolity

    Frivolity
    Among other reforms, the Private Securities Litigation Reform Act of 1995 (“PSLRA”) requires that upon final adjudication of a federal securities action, the court shall include in the record “specific findings regarding…
Rank this Week: 2251

Mortgage Crisis & Financial…

Mortgage Crisis & Financial Services Watch

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

http://www.financialserviceswatchblog.com/
  • Jun 2

    You Are the Target: 75 Different Ways Your Company Can Be Hacked

    You Are the Target: 75 Different Ways Your Company Can Be Hacked
    Join us on Thursday, June 15th from 12:00PM to 1:00PM for an in-depth webinar as Philip R. Stein, a partner in Bilzin Sumberg’s Litigation Practice, and Ray Vasquez, a director in Enterprise Risk Management’s…
  • May 23

    New Wave of Lehman Litigation Appears to Be Imminent

    New Wave of Lehman Litigation Appears to Be Imminent
    Thousands of mortgage lenders across the country either recently received, or will soon be receiving, this document from Lehman Brothers Holdings, Inc. (LBHI). It is a notice of a motion to approve a proposed settlement of Residential…
  • May 1

    Supreme Court Ruling Permits City Lawsuits Against Banks Under FHA to Proceed

    Supreme Court Ruling Permits City Lawsuits Against Banks Under FHA to Proceed
    The U.S. Supreme Court ruled today, in Bank of America Corp. v. City of Miami, Case No. 15-1111 that cities may qualify as “aggrieved persons” under the Fair Housing Act (“FHA”), thus placing them within the…
Rank this Week: 3741

Al-Mirsal

Al-Mirsal

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

http://www.al-mirsal.com/
Rank this Week: 3762

Mandelman Matters

Mandelman Matters

Covers the foreclosure crisis. By Martin Andelman.

http://mandelman.ml-implode.com
Rank this Week: 4899

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/
  • May 15

    CLE Webinar About ERISA and Hedge Funds and Private Equity Fund

    CLE Webinar About ERISA and Hedge Funds and Private Equity Fund
  • Apr 25

    Investment Fraud and the Role of Trust

    Investment Fraud and the Role of Trust
    This article entitled “Investment Fraud and the Role of Trust” by Dr. Susan Mangiero was originally published on April 19, 2017 in The Fraud Examiner, a publication of the Association of Certified Fraud Examiners that is…
  • Apr 9

    Funny Courtroom Film Still Used For Teaching

    Funny Courtroom Film Still Used For Teaching
    I had a chance to watch My Cousin Vinny on television the other night and was reminded how humor is such a powerful storytelling tool. How many times do we remember important concepts because the speaker or writer makes us laugh? Tickling our…
Rank this Week: 3228

BeyondVC

BeyondVC

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

http://www.beyondvc.com/
  • Apr 23

    Blurring lines in enterprise SaaS; the race to own customer data

    Blurring lines in enterprise SaaS; the race to own customer data
    I’ve written before about the competitive nature of SaaS and the amount of entrants in every category. Lately after every conversation, I feel like the world is being divided into two camps and there is a massive battle going on in…
  • Mar 29

    Why I love and fear AWS

    Why I love and fear AWS
    The AWS launch of Amazon Connect (see techcrunch article) got me thinking about the current state of play in SaaS. Amazon Connect is a call center in a box, the same tech it uses in-house for their current platform. With that release,…
  • Mar 21

    Thoughts from Mulesoft and AppDynamics IPO Filing

    Thoughts from Mulesoft and AppDynamics IPO Filing
    I finally had a chance to take a quick read of the respective S1 filings for AppDynamics and Mulesoft. While the growth for each company is quite amazing, two thoughts jumped out at me. As we move to a cloud-only world with instant-on…
Rank this Week: 2276

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • Apr 17

    REPRESENTING ELDERS AND ATHLETES

    REPRESENTING ELDERS AND ATHLETES
    It wouldn’t seem likely that elders and athletes would have much, if anything, in common.  But they do.  They are frequently blessed with substantial semi-liquid assets, and are therefore the targets of fraudulent or reckless…
  • Mar 24

    Kokesh v. SEC: Implications for the Statute of Limitations for Missouri Securities Enforcement Action

    Kokesh v. SEC: Implications for the Statute of Limitations for Missouri Securities Enforcement Action
     Kokesh v. SEC, Docket No. 16-529 (oral argument date April 18, 2017) – Implications for the Statute of Limitations for Missouri State Securities Enforcement Actions.By John R. Phillips, Counsel for Cosgrove Law Group, LLC and…
  • Feb 24

    Get Your Own Lawyer, Darn It!

    Get Your Own Lawyer, Darn It!
    Financial advisors facing an arbitration claim or regulatory inquiry often count on their broker-dealer or registered investment advisor for legal counsel. These “employers” will frequently provide them with an ostensibly…
Rank this Week: 476

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: 4328

Illinois Business Law Journal

Illinois Business Law Journal

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

https://publish.illinois.edu/illinoisblj/
  • Mar 16

    Keeping an AI on Technological Advances in Business Law

    Keeping an AI on Technological Advances in Business Law
    Source: The Economist By Elizabeth Rice Download full note here. This Note explores the role that artificial intelligence plays in the legal world today and the ways in which it may affect the legal profession in the future. …
  • Mar 16

    Timing Brexit Right: Theresa May’s Great Political Challenge

    Timing Brexit Right: Theresa May’s Great Political Challenge
    Source: Andy Rain of EPA Download full note here. By Julian Jankowski The Prime Minister of the United Kingdom, Theresa May, in her expressed pursuit for a hard Brexit, faces economic, legal, and political challenges in her endeavors to…
  • Mar 16

    Driving Solo: Solutions to the Current Patchwork of Legislation Concerning Automated Vehicle

    Driving Solo: Solutions to the Current Patchwork of Legislation Concerning Automated Vehicle
    Source: AP Download full note here. By Bryan Boccelli This Note argues that states across the nation should expand upon and in some cases begin to introduce legislation in regards to self-driving vehicles. Although there are currently a…
Rank this Week: 223

Private Funds Law Update

Private Funds Law Update

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

http://www.privatefundslaw.com/
  • Mar 14

    10 takeaway points on Luxembourg’s RAIF

    10 takeaway points on Luxembourg’s RAIF
    The Luxembourg law on reserved alternative investment funds (RAIF) is a welcome addition to the alternative investment funds (AIF) industry and we have seen keen interest from the fund and asset management industry in this new platform. Since…
  • 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…
Rank this Week: 3704

Ponzitracker

Ponzitracker

Covers Ponzi schemes. By Jordan Maglich.

http://www.ponzitracker.com/
  • Feb 13

    For Galemmo Ponzi Victims, Recovery Chances Depend On Clawback

    For Galemmo Ponzi Victims, Recovery Chances Depend On Clawback
    When a Cincinnati money manager's $100 million Ponzi scheme collapsed over three years ago, authorities seemingly acknowledged the bleak prospects of recovery in declining to seek appointment of a receiver to marshal and gather assets for…
  • Feb 13

    Zeek Rewards Mastermind Sentenced To Nearly Fifteen Years In Prison

    Zeek Rewards Mastermind Sentenced To Nearly Fifteen Years In Prison
    The North Carolina man who drew comparisons to Bernard Madoff for his operation of a Ponzi scheme that duped tens of thousands of victims out of nearly $1 billion learned from a federal judge today that he, like Madoff, will likely spendthe…
  • Oct 17

    Another Cay Clubs Principal Indicted On Bank Fraud And Tax Charge

    Another Cay Clubs Principal Indicted On Bank Fraud And Tax Charge
    A Florida man is facing bank fraud and tax charges for his involvement in the alleged $300 million Cay Clubs Ponzi scheme, making him the third person to be criminally charged in what was one of the largest schemes in Florida history.…
Rank this Week: 2835

Financial Law Blog

Financial Law Blog

Updates on Banking Law, Investment Management Law, Securities Law, and Commodities/Derivatives Law. By Valentin Agafonov.

http://www.finlawblog.com
Rank this Week: 1871

Sharesleuth.com

Sharesleuth.com

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

http://sharesleuth.com/
Rank this Week: 468

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/
  • Oct 27

    Private Share Litigation Cases are Challenging

    Private Share Litigation Cases are Challenging
    In a very high profile private share litigation, Theranos, a privately held health-technology and medical-laboratory-services company worth $9 billion as of 2014, has been sued this Monday by one of its largest and trusted financial backers,…
  • Jun 19

    Split Decision on Arbitration in Bank of America Case

    Split Decision on Arbitration in Bank of America Case
    This week, a Florida appeals court partially reversed a ruling denying Bank of America’s efforts to arbitrate various claims related to the Scott Rothstein Ponzi scheme. Bank of America, N.A. v. Beverly, Nos. 4D14-3167, 4D14-3168 (Fla.…
  • Jun 19

    Split Decision on Arbitration in Bank of America Case

    Split Decision on Arbitration in Bank of America Case
    This week, a Florida appeals court partially reversed a ruling denying Bank of America’s efforts to arbitrate various claims related to the Scott Rothstein Ponzi scheme. Bank of America, N.A. v. Beverly, Nos. 4D14-3167, 4D14-3168 (Fla.…
Rank this Week: 1288

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/
  • Oct 25

    HFMWEEK AWARDS PILLSBURY INVESTMENT MANAGEMENT PRACTICE FOR SERVICE TO HEDGE FUND STARTUPS

    HFMWEEK AWARDS PILLSBURY INVESTMENT MANAGEMENT PRACTICE FOR SERVICE TO HEDGE FUND STARTUPS
    NEW YORK—Pillsbury has been named Best Onshore Law Firm for Hedge Fund Startups by HFMWeek at its HFM U.S. Hedge Fund Services Awards 2016.  Partner Ildiko Duckor, who is co-leader of the firm’s Investment Funds &…
  • Oct 4

    New Law Mandates Disclosure of Alternative Fund Fees By California Public Pension

    New Law Mandates Disclosure of Alternative Fund Fees By California Public Pension
    To increase the transparency of fees and expenses paid to alternative funds, every California public pension plan must require each alternative fund in which they invest to make various disclosures, and California public pension plans are…
  • Sep 21

    Higher Qualified Client Net Worth Threshold Effective August 15, 2016

    Higher Qualified Client Net Worth Threshold Effective August 15, 2016
    3(c)(1) funds should update their offering documents to reflect $2.1 million net worth requirement. Assets under management threshold remains unchanged at $1 million. Only new client relationships entered and new investors admitted in private…
Rank this Week: 535

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: 3447

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: 3723

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: 1273

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: 2277