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Mandelman Matters

Mandelman Matters

Covers the foreclosure crisis. By Martin Andelman.

http://mandelman.ml-implode.com
Rank this Week: 315

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
  • Aug 29

    The Importance of Updating your Credit Union’s Statutory Agent

    The Importance of Updating your Credit Union’s Statutory Agent
    By Matthew Young, Attorney At least a couple of times a month, a credit union will reach out to me with a summons or other court pleading which was directed to a former employee or retired/deceased board member.  Commonly, the credit…
  • Aug 20

    Representative Payee Account

    Representative Payee Account
    By Matt Young, Attorney What is a Representative Payee Account and when is it appropriate, or even necessary, to open such an Account? First, it is important to understand the role of a Representative Payee. A Representative Payee is an…
  • Aug 15

    Should Your Credit Union Implement Consent Agendas in Board Meetings?

    Should Your Credit Union Implement Consent Agendas in Board Meetings?
    By Woo S. Jun, Attorney Credit union leaders are faced with the task of executing on their missions of providing superior and innovative financial solutions to its members.  The decisions they make satisfy certain legal requirements,…
Rank this Week: 1798

InfoBytes Blog

InfoBytes Blog

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

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

    CFPB Enforcement Action Targets Debt-Settlement Payment Processor For Aiding Collection Of Upfront Fee

    CFPB Enforcement Action Targets Debt-Settlement Payment Processor For Aiding Collection Of Upfront Fee
    On August 25, the CFPB announced a consent order with an Oklahoma-based debt-settlement payment processor for allegedly helping other companies collect unlawful upfront fees from consumers. The CFPB specifically alleged that the company…
  • Aug 29

    CFPB Announces Field Hearing On Vehicle Finance

    CFPB Announces Field Hearing On Vehicle Finance
    On August 28, the CFPB announced that it will hold a field hearing on vehicle finance on September 18, 2014 in Indianapolis. Consistent with its past field hearing announcements, the CFPB did not reveal the specific topics to be addressed.…
  • Aug 29

    CFPB Extends Remittance Transfer Rule Exception Until 2020

    CFPB Extends Remittance Transfer Rule Exception Until 2020
    On August 22, the CFPB announced that it is amending Regulation E in order to extend a temporary exception that allows federally insured institutions to provide estimates rather than exact amounts when disclosing third-party fees and exchange…
Rank this Week: 396

RESPA Lawyer Blog

RESPA Lawyer Blog

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

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

    CFPB ENFORCEMENT: IS THE CFPB LOOKING AT RESIDENTIAL MORTGAGE LEAD GENERATION COMPANIES?

    CFPB ENFORCEMENT: IS THE CFPB LOOKING AT RESIDENTIAL MORTGAGE LEAD GENERATION COMPANIES?
    The Consumer Financial Protection Bureau often provides subtle clues as to where they may be headed on the enforcement front and on November 6, 2013 they addressed the topic on their website about online Lead Generation and consumer safety…
  • Aug 29

    Marx Sterbcow achieves the AV Preeminent Rating from Martindale-Hubbell

    Marx Sterbcow achieves the AV Preeminent Rating from Martindale-Hubbell
    New Orleans, LA (PR Newswire) August 29, 2014 - Martindale-Hubbell® has confirmed that attorney Marx David Sterbcow has been given an AV Preeminent Rating, Martindale-Hubbell's highest possible rating for both ethical standards and legal…
  • Jul 10

    RESPA: FDIC FINES NEW FRONTIER BANK $70,000 FOR SECTION 8 VIOLATIONS

    RESPA: FDIC FINES NEW FRONTIER BANK $70,000 FOR SECTION 8 VIOLATIONS
    The Federal Deposit Insurance Corporation entered into a consent order with New Frontier Bank in St. Charles, Missouri on May 5, 2014 which was recently made public. (FDIC-14-0084b and FDIC-13-151k) The FDIC ordered New Frontier Bank to…
Rank this Week: 1300

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

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

    Big Four Supports Proposed Going Concern and New Future Viability Statements Based on Sharman Panel

    Big Four Supports Proposed Going Concern and New Future Viability Statements Based on Sharman Panel
    The Big Four generally support the U.K. Financial Reporting Council’s proposed changes to the Corporate Governance Code implementing the recommendations of the Sharman Panel on going concern statements and a new statement on the…
  • Aug 28

    SEC Proposes 12-Month Pilot Program on Wider Tick Size

    SEC Proposes 12-Month Pilot Program on Wider Tick Size
    [This story previously appeared in Securities Regulation Daily.]By Amanda Maine, J.D.The SEC announced that the Financial Industry Regulatory Authority (FINRA) and the national securities exchanges have filed a proposal to implement a pilot…
  • Aug 27

    House and Senate Members Ask Fed to Tighten Emergency Lending Proposal

    House and Senate Members Ask Fed to Tighten Emergency Lending Proposal
    Senators Elizabeth Warren (D-MA) and David Vitter (R-LA), and Representatives Scott Garrett (R-N.J.) and Michael Capuano (D-MA), and colleagues in the Senate and House, sent a bi-partisan letter to Federal Reserve Board Chair Janet Yellen…
Rank this Week: 319

The Swap Report

The Swap Report

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

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

    Attention Mutual Funds--Potential Relief for CPO and CTA Regulation in the 2014 CFTC Reauthorization Act

    Attention Mutual Funds--Potential Relief for CPO and CTA Regulation in the 2014 CFTC Reauthorization Act
    By Tom Watterson and Crystal Travanti As the second part of our ongoing series on the 2014 CFTC Reauthorization Act, we wanted to highlight what could become important relief for mutual funds and their investment advisers with respect to…
  • Aug 19

    The 2014 CFTC Reauthorization Act: An Ongoing Serie

    The 2014 CFTC Reauthorization Act: An Ongoing Serie
    By Tom Watterson and Crystal Travanti In late June, the U.S. House of Representatives passed a bill to reauthorize the CFTC, HR 4413, located here (the “2014 CFTC Reauthorization Act”), which includes a number of…
  • Aug 1

    Breaking: ISDA Announces Credit Event for Argentina

    Breaking: ISDA Announces Credit Event for Argentina
    Breaking--ISDA just announced that its Determination Committee decided that a "failure to pay" Credit Event has occurred with respect to the Argentine Republic. The date of the Credit Event is July 30, 2014. The ISDA Press Release can be…
Rank this Week: 1922

Payment Law Advisor

Payment Law Advisor

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

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

    New Law Aims to Limit Anti-Money Laundering Compliance Burdens for Money Transmitter

    New Law Aims to Limit Anti-Money Laundering Compliance Burdens for Money Transmitter
    On August 8, 2014, President Obama signed into law a bipartisan measure, The Money Remittances Improvement Act of 2014, that allows the Secretary of the Treasury to rely on state supervisory agency examinations covering compliance with…
  • Aug 20

    CFPB Issues Consumer Advisory on the “Wild West” of the Virtual Currency Economy

    CFPB Issues Consumer Advisory on the “Wild West” of the Virtual Currency Economy
    The Consumer Financial Protection Bureau (“CFPB”) recently issued a consumer advisory summarizing the purported risks of virtual currencies, and announced that it would begin collecting complaints from the public regarding…
  • Aug 13

    New York Becomes First State to Propose Virtual Currency Regulation

    New York Becomes First State to Propose Virtual Currency Regulation
    On July 17, 2014, the New York State Department of Financial Services (DFS) became the first state agency to release proposed regulations specifically governing the crypto-currency industry.  The proposed regulations were published in…
Rank this Week: 3090

Mortgage Fraud Blog

Mortgage Fraud Blog

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

http://mortgagefraudblog.com/
  • Aug 29

    Developer Pleads Guilty to Mortgage Stacking Scheme

    Developer Pleads Guilty to Mortgage Stacking Scheme
    Charles Patrick Gahan, Grand Rapids, Michigan, a real estate developer, was indicted on August 26, 2014, on charges of conspiracy to commit wire fraud affecting financial institutions for his role in a mortgage stacking scheme wherein he…
  • Aug 29

    10 Indicted for $50M Scam Involving Federally Insured Mortgage

    10 Indicted for $50M Scam Involving Federally Insured Mortgage
    The owner of a Florida mortgage company, seven employees of the company and two real estate developers were indicted in the Southern District of Florida in connection with an alleged $50 million mortgage fraud scheme. Hector Hernandez, 56,…
  • Aug 28

    Escrow Company Ordered to Cease and Desist

    Escrow Company Ordered to Cease and Desist
     Twin Falls Title and Escrow (TFTE) is the subject of a cease and desist order for fraudulently using the identity of a legitimate Idaho entity to promote unlawful escrow activity by altering a copy of the Certificate of Assumed Business…
Rank this Week: 3

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

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

    SEC: New Disclosure Rules for Asset-Backed Securitie

    SEC: New Disclosure Rules for Asset-Backed Securitie
    A few days ago, the SEC adopted new rules for asset-backed issuers governing the disclosure, reporting, and offering process. This is the 1st part of the new rules relating to Regulation AB II. The adopting release is sorta not out yet…
  • Aug 28

    Outsourcing the Board Isn’t Warranted or Remedial

    Outsourcing the Board Isn’t Warranted or Remedial
    Based on a proposal discussed in a recent issue of the Stanford Law Review, this recent Economist article promotes outsourcing corporate boards as a solution to corporate governance failures of the type we have experienced historically. As…
  • Aug 27

    Bank Directors: Beware of Expanded Fiduciary Dutie

    Bank Directors: Beware of Expanded Fiduciary Dutie
    In this American Banker article, Luse Gorman’s John Gorman discusses his concerns about – and opposition to – suggestions made by academics and others that bank directors’ fiduciary duties be broadened in the risk…
Rank this Week: 214

Pension Risk Matters

Pension Risk Matters

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

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

    Foreign Corrupt Practices Act and Implications for Institutional Investor

    Foreign Corrupt Practices Act and Implications for Institutional Investor
    For those who don't know, I am the lead contributor to an investment compliance blog known as Good Risk Governance Pays. I created this second blog as a way to showcase investment issues that had a wider reach than just the pension fund…
  • Aug 21

    U.S. Supreme Court and Tibble v Edison International

    U.S. Supreme Court and Tibble v Edison International
    According to SCOTUSBLOG.com, Glenn Tibble, et al. v. Edison International, et al ("Tibble v Edison") is seeing continued action after a petition for a writ of certiorari was filed on October 30, 2013 by counsel of record for the petitioners.…
  • Aug 17

    Brown M&Ms and Investment Service Provider Due Diligence

    Brown M&Ms and Investment Service Provider Due Diligence
      According to marketing guru Steve Jones, parties seeking to do business with one another can learn a lot from rock musician David Lee Roth. As explained in "No Brown M&M's: What Van Halen's Insane Contract Clause Teaches…
Rank this Week: 1141

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 28

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  • Aug 18

    BrokeAndBroker.com Blog by Bill Singer Labor Day Holiday Review

    BrokeAndBroker.com Blog by Bill Singer Labor Day Holiday Review
    Stockbroker Wins Expungement of 1990 Customer ComplaintAugust 29, 2014You know how you figure something's foolproof? For example, I recently left for vacation and set a week's worth of articles on the BrokeAndBroker.com ...Read OnChase Banker…
Rank this Week: 1276

Mortgage Crisis Watch

Mortgage Crisis Watch

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

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

    Bank of America’s $16.65 Billion Settlement

    Bank of America’s $16.65 Billion Settlement
    In what is being reported as the largest settlement ever between the U.S. and a single business entity, Attorney General Eric Holder and Associate Attorney General Tony West announced Thursday that Bank of America Corp. (“BofA”)…
  • Aug 19

    Servicer’s Error Leads to $16 Million Award

    Servicer’s Error Leads to $16 Million Award
    Kate Berry reported in American Banker and SourceMedia’s National Mortgage News on how a $616 servicing error snowballed into a $16 million jury verdict. It was reported that a jury last month awarded $514,000 in…
  • Jul 23

    Citigroup Settles with DOJ for $7 Billion

    Citigroup Settles with DOJ for $7 Billion
    Citigroup announced last week that it will pay $7 billion to end an investigation by the U.S Department of Justice into misconduct related to its mortgage securitization practices.  The blockbuster settlement came days before DOJ lawyers…
Rank this Week: 1092

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/
  • Aug 28

    Florida Consumer Collection Practices Act Applies to Anyone Collecting a Debt

    Florida Consumer Collection Practices Act Applies to Anyone Collecting a Debt
    Authored by Adam B. Brandon of Rogers TowersThe Florida Consumer Collection Practices Act (“FCCPA”) prohibits anyone attempting to collect a debt from using certain types of abusive, deceptive, and misleading tactics.  In a…
  • Aug 26

    Non-Dischargeable Tax Debt Not Special Class of Unsecured Creditor

    Non-Dischargeable Tax Debt Not Special Class of Unsecured Creditor
    Authored by J. Ellsworth Summers, Jr.and Scott St. Amand of Rogers TowersIn numerous previous posts, we have noted that the purpose of the Bankruptcy Code is to help the “honest but unfortunate debtor.”  Like gerrymandering,…
  • Aug 21

    A New Case On Standing to Foreclose

    A New Case On Standing to Foreclose
    Authored by Douglas L. Waldorf, Jr. of Rogers TowersLegal standing to foreclose a note and mortgage continues to be an issue that frustrates plaintiffs and delights defense counsel.  Florida courts have consistently held that standing…
Rank this Week: 1931

Redeye VC

Redeye VC

Offers a view of startup ecosystem. By Josh Kopelman.

http://redeye.firstround.com/
  • Aug 27

    What I Learned As Pandora’s First Data Scientist

    What I Learned As Pandora’s First Data Scientist
    Three years ago, Gordon Rios became Pandora’s first official data scientist. Since then, he’s seen the team grow to over a dozen strong and become hugely influential in every decision the company makes. Considering how much of…
  • Aug 20

    Power Up Your Team with Nonviolent Communication Principle

    Power Up Your Team with Nonviolent Communication Principle
    Why does one startup succeed wildly while another with a similar model and talented team fails miserably? Case studies might highlight the winner’s flexible business model or responsive community management. They might point to the…
  • Aug 18

    Positioning Your Startup is Vital — Here’s How to Nail It

    Positioning Your Startup is Vital — Here’s How to Nail It
    When Arielle Jackson started to develop the marketing and communications plan around Cover (the Android app quickly snapped up by Twitter), she brought a lot of firepower to the job. During her nearly nine years at Google, she managed product…
Rank this Week: 3310

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/
  • Aug 27

    Mejora tu disciplina con estos tip

    Mejora tu disciplina con estos tip
    Porque la disciplina es un ingrediente importante para avanzar en cualquier área, te conviene saber como mejorar la tuya y hacer un hábito el terminar las cosas, mantenerte motivado y no abandonar aún cuando no…
  • Aug 25

    Freelance: como ahorran los mexicano

    Freelance: como ahorran los mexicano
    19% De los freelancers en México no ha pensado de que vivirá en su vejez. Una quinta parte de los mexicanos que trabajan por su cuenta, ni siquiera contemplan la idea de que al envejecer, trabajarán menos y claro,…
  • Aug 15

    Nadie te pisa si no estás en el suelo. Podcast #145

    Nadie te pisa si no estás en el suelo. Podcast #145
    ¿Somos realmente vícimas de los clientes, las empresas y todo nuestro entorno? o ¿hay algo que siempre podemos hacer para evitar abusos en nuestra vida profesional? Un podcast que habla de mi punto de vista y claro,…
Rank this Week: 1716

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: 1170

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 26

    Tips for Merchants and Consumers Facing a Data Breach

    Tips for Merchants and Consumers Facing a Data Breach
    The high-profile data breach at Target made international news. But small and midsized businesses face the majority of cyber attacks and are even more likely to have employees mishandle data than large enterprises.
  • Aug 25

    CFPB Issues Advisory on Bitcoin, Virtual Currencie

    CFPB Issues Advisory on Bitcoin, Virtual Currencie
    On August 11, 2014, the Consumer Financial Protection Bureau released a Consumer Advisory about virtual currencies.  The Advisory followed a directive by the U.S. Government Accountability Office for the CFPB to conduct a close…
  • Aug 8

    Maine Updates Truth-In-Savings, Funds Availability Rule

    Maine Updates Truth-In-Savings, Funds Availability Rule
    Maine’s Truth-in-Savings and Funds Availability Rule is getting an overhaul.  On August 6, 2014, Maine’s Bureau of Financial Institutions announced that changes to Chapter 118, Funds Availability and Truth-in-Savings had…
Rank this Week: 3804

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 26

    Record Number of FINRA Enforcement Cases Expected

    Record Number of FINRA Enforcement Cases Expected
    Last month we learned that FINRA Enforcement fines were up, and set to surpass last year's fines. If you need any more convincing that now is the time to insure that your policies and procedures are compliant, FINRA is saying that it is on…
  • Aug 25

    California-Based Telecommunications Equipment Firm and Two Former Executives Charged in Revenue Recognition Scheme

    California-Based Telecommunications Equipment Firm and Two Former Executives Charged in Revenue Recognition Scheme
    The SEC announced charges against a Newport Beach, Calif.-based telecommunications equipment company and two former executives accused of improperly recognizing as revenue more than a million dollars’ worth of inventory that was shipped…
  • Aug 25

    Bank of America Admits Disclosure Failures to Settle SEC Charge

    Bank of America Admits Disclosure Failures to Settle SEC Charge
    The SEC announced a settlement in which Bank of America admits that it failed to inform investors during the financial crisis about known uncertainties to future income from its exposure to repurchase claims on mortgage loans.Bank of America…
Rank this Week: 641

OFAC SDN Sanctions Removal Lawyers

OFAC SDN Sanctions Removal Lawyers

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

http://ofac-sdn-list-removal.com/
Rank this Week: 592

Financial Industry Review

Financial Industry Review

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

http://blogs.orrick.com/financial/
  • Aug 25

    Financial Stability Board Publishes Responses to Consultation on Proposed Reforms of the Forex Market

    Financial Stability Board Publishes Responses to Consultation on Proposed Reforms of the Forex Market
    On August 20, the Financial Stability Board (FSB) published responses to its consultation in respect of proposed reforms in the forex market.  The consultation was launched on July 15 and recommended reforms relating to: (i) the…
  • Aug 25

    ESMA Publishes Responses to Consultation on the Clearing Obligation Under EMIR

    ESMA Publishes Responses to Consultation on the Clearing Obligation Under EMIR
    On August 19, ESMA published a list of responses received in respect of its first consultation on the clearing obligation relating to draft regulatory technical standards (RTS) for the clearing of interest rate swaps under EU Regulation…
  • Aug 25

    RBS Settles MBS Claims with Assured

    RBS Settles MBS Claims with Assured
    On August 14, RBS Securities reached a deal with Assured Guaranty Municipal Corp. to settle a lawsuit alleging misrepresentations concerning the collateral underlying a US$291 million securitization.  The complaint alleged that Assured…
Rank this Week: 646

Bank Lawyer's Blog

Bank Lawyer's Blog

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

http://www.banklawyersblog.com/3_bank_lawyers/
  • Aug 24

    A Good Man(trap) Ain't Hard To Find

    A Good Man(trap) Ain't Hard To Find
    Back in 2006, we discussed the problems that one bank had when it installed what was then a relatively new technology called a "mantrap" in a branch located in a predominantly black neighborhood. Activists found the entire idea of…
  • Aug 19

    De Novo Territory Still A Wasteland

    De Novo Territory Still A Wasteland
    *The collateral damage caused by a non-existent condition that actually exists--the oft-denied FDIC mortorium on de novo bank approvals--includes bank M&A activity. According to the American Banker's Robert Barba and industry participants…
  • Aug 17

    HMDA Data Drill-Down

    HMDA Data Drill-Down
    Attorney Warren Traiger thinks that the proposed CFPB changes to HMDA will be "a fair lending game changer" (paid subscription required). Information that is currently proprietary, like applicants' credit scores and debt-to-income…
Rank this Week: 526

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: 2488

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Aug 21

    No Bright Line

    No Bright Line
    In its Morrison decision, the U.S. Supreme Court addressed the extraterritorial application of Section 10(b) and held that the statute only applies to "transactions in securities listed on our domestic exchanges, and domestic…
  • Aug 15

    Cornerstone Releases Midyear Report

    Cornerstone Releases Midyear Report
    Cornerstone Research (in conjunction with the Stanford Securities Class Action Clearinghouse) has released its 2014 midyear report on federal securities class action filings. The findings for the first half of 2014 include: (1) There were 78…
  • Jul 25

    Too Tangential

    Too Tangential
    In its recent Chadbourne decision, the U.S. Supreme Court held that to be "in connection with" the purchase or sale of a security, an alleged securities fraud must involve "victims who took, who tried to take, who divested…
Rank this Week: 972

Ponzitracker

Ponzitracker

Covers Ponzi schemes. By Jordan Maglich.

http://www.ponzitracker.com/
  • Aug 21

    Ponzi Schemes Remain Prevalent In 2014; Over $1 Billion In New Schemes Uncovered

    Ponzi Schemes Remain Prevalent In 2014; Over $1 Billion In New Schemes Uncovered
    Nearly six years after the word "Ponzi scheme" became a household name thanks to Bernard Madoff, Ponzi schemes continue to proliferate and leave a trail of financial destruction in their wake as demonstrated by newly-compiled data showing…
  • Aug 20

    Former Attorney Gets 10-Year Sentence For $4 Million Ponzi Scheme

    Former Attorney Gets 10-Year Sentence For $4 Million Ponzi Scheme
    A now-disbarred Minnesota attorney who swindled victims out of more than $4 million in an elaborate Ponzi scheme was sentenced to serve 10 years in federal prison.  Mark Holt, 45, received the sentence from U.S. District Judge Susan…
  • Aug 20

    California Men Sentenced For $5 Million Real Estate Ponzi Scheme

    California Men Sentenced For $5 Million Real Estate Ponzi Scheme
    Two California men will each serve at least a decade in prison for operating a real estate Ponzi scheme that duped victims out of nearly $5 million.  Terrance Brown, of San Jose, California, and Antranik Kabajouzian, of Morgan City,…
Rank this Week: 476

Strictly Business

Strictly Business

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

http://www.strictlybusinesslawblog.com/
  • Aug 19

    Venture Capital Term Sheet Negotiation — Part 13: Drag-Along Right

    Venture Capital Term Sheet Negotiation — Part 13: Drag-Along Right
    This post is the thirteenth in a series giving practical advice to startups with respect to understanding and negotiating a venture capital term sheet. In the prior twelve posts, we provided an introduction to negotiation of the…
  • Jul 7

    Venture Capital Term Sheet Negotiation — Part 12: Preemptive Right

    Venture Capital Term Sheet Negotiation — Part 12: Preemptive Right
    This post is the twelfth in a series giving practical advice to startups with respect to understanding and negotiating a venture capital term sheet. In the prior eleven posts, we provided an introduction to negotiation of…
  • Jun 30

    Is it time for the JOBS Act, Part Two?

    Is it time for the JOBS Act, Part Two?
    When the JOBS Act was passed, a lot of people hoped that it would de-regulate startup finance, resulting in a boom of new startups being funded.  Through repealing the ban on general solicitation, allowing online angel investment…
Rank this Week: 4177

Al-Mirsal

Al-Mirsal

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

http://www.al-mirsal.com/
  • Aug 19

    New EU Sanctions Target Russian Oil Sector, State-Owned Banks and Military Export

    New EU Sanctions Target Russian Oil Sector, State-Owned Banks and Military Export
    The European Union (EU) enacted Council Regulation (EU) No 833/2014 (the Regulation), which contains ‘Stage 3’ sanctions against Russia. These sanctions resemble – but in other ways are different – from the latest US…
  • Aug 4

    How Project Bonds Can Release Asset Value

    How Project Bonds Can Release Asset Value
    Whilst project bonds have for some time been a popular source of financing for projects in the US, they have historically been slow to gain momentum in other parts of the world, including the Middle East. A number of explanations have been…
  • Jul 27

    Saudi Opens Market to Foreign Financial Institution

    Saudi Opens Market to Foreign Financial Institution
    In a long anticipated measure, the Saudi Council of Ministers (which is the highest authority in the Kingdom) issued a resolution on 21 July, 2014 authorizing foreign financial institutions to directly buy and sell stocks listed on the Saudi…
Rank this Week: 4435

NC Business & Banking Law Blog

NC Business & Banking Law Blog

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

http://bizlawnc.com/
  • Aug 16

    Boards of Directors and Information Security Risk

    Boards of Directors and Information Security Risk
    Directors should take an active role in managing data security risks rather than leaving it up to management and IT staff, according to recent remarks by SEC Commissioner Luis Aguilar. Commissioner Aguilar recently delivered a speech at the…
  • Jul 30

    Is Bank Regulatory Relief Gaining Momentum?

    Is Bank Regulatory Relief Gaining Momentum?
    Banks have been pleading with Congress for regulatory relief for as long as I can recall.  (For example, before the ink on the Dodd-Frank Act was dry, bankers were warning of the harmful effects of the cumulative regulatory burdens…
  • Jul 21

    New N.C. Statute Gives Lenders More Options When Developers Default

    New N.C. Statute Gives Lenders More Options When Developers Default
    Lenders now have a bit more to think about when making a loan to a developer of a planned community.   A few days ago, the General Assembly enacted, and the Governor signed into law, important amendments to the Planned…
Rank this Week: 4415

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/
  • Aug 15

    Advisory Alert! – Repatriation of Funds Out of China

    Advisory Alert! – Repatriation of Funds Out of China
    China imposes controls on the inflow and outflow of foreign exchange. Given the involvement of State Administration of Foreign Exchange and various other governmental agencies in the process, repatriating funds from China can be a trap for…
  • Aug 5

    Cyber Security and Investing: Steps to Help Avoid a Digital Disaster

    Cyber Security and Investing: Steps to Help Avoid a Digital Disaster
    The relentless attention being paid to cyber-attacks is driving companies to increase cyber security budgets and purchases. In turn, this has led institutional investors and asset managers to see potentially massive returns associated with…
  • Aug 4

    SEC Enforcement Update – A busy (and entertaining) week, July 28 – August 1, 2014

    SEC Enforcement Update – A busy (and entertaining) week, July 28 – August 1, 2014
    At the Intersection of Faith and Illiteracy. In what may have been one of the more interesting weeks this year for SEC enforcement actions, the Enforcement Division brought a number of actions last week, several of which will make you wonder…
Rank this Week: 1863

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • Aug 12

    Does your Investment Adviser Firm Have a Social Media Policy?

    Does your Investment Adviser Firm Have a Social Media Policy?
    Social media such as Facebook, Twitter, LinkedIn, or blogs have become popular mechanisms for companies to communicate with the public. Social media allows companies to communicate with clients and prospective clients, market their services,…
  • Aug 1

    Who has the Right to Enforce Your Promissory Note?

    Who has the Right to Enforce Your Promissory Note?
    A customary practice in the securities industry is for financial advisors to receive a transition bonus above and beyond an advisor’s standard commission compensation upon joining to a new firm. The bonus amount is usually determined…
  • Jul 29

    Calculating Breach of Fiduciary Duty Damage

    Calculating Breach of Fiduciary Duty Damage
    According to a variety of authorities including the SEC, the much-debated fiduciary duty for registered investment advisers and their representatives includes a subset of responsibilities[1].  Common sense would, or should tell you that…
Rank this Week: 1048

The Venture Alley

The Venture Alley

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

http://www.theventurealley.com
  • Aug 7

    Angel Investment Trends: Q1 2014 Halo Report

    Angel Investment Trends: Q1 2014 Halo Report
    CONTRIBUTED BY Trent Dykes trent.dykes@dlapiper.com The Q1 2014 Halo Report has been released by the Angel Resource Institute, Silicon Valley Bank and CB Insights. The Halo Report analyzes angel investment activity and trends in the…
  • Jul 23

    Equity Compensation Alphabet Soup – ISO, NSO, RSA, RSU and more

    Equity Compensation Alphabet Soup – ISO, NSO, RSA, RSU and more
    CONTRIBUTED BY Rachel M. Perkins rachel.perkins@dlapiper.com Startups and public companies alike often use equity to help attract, retain and incentivize talented employees and other service providers. The different forms of awards have…
  • Jul 11

    Seattle Office Real Estate Market Review for Q2 2014

    Seattle Office Real Estate Market Review for Q2 2014
    Compliments of Jason Smith of Kidder Mathews, attached is a Seattle-area office real estate market review for Q2 2014. As the report notes, so far in 2014, the only major surprise in the office market was Boeing expanding into over 600,000…
Rank this Week: 1423

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
  • Aug 5

    Reasonable Efforts vs. Best Efforts – Why the Fuss?

    Reasonable Efforts vs. Best Efforts – Why the Fuss?
    By Geoff R. Hall and Lama Sabbagh Last fall, we featured a blog post that offered a Canadian perspective on the interpretation and use of benchmarking in efforts clauses. Some of the commentary that ensued suggests that Canadian courts were…
  • Jul 28

    Pay Me Now: Court of Appeal Delivers Lessons on fiduciary duties, the business judgment rule, and executive compensation

    Pay Me Now: Court of Appeal Delivers Lessons on fiduciary duties, the business judgment rule, and executive compensation
    By McCarthy Tétrault LLP The following post on the Canadian Appeals Monitor blog may be of interest to readers of this blog: Pay Me Now: Court of Appeal Delivers Lessons on fiduciary duties, the business judgment rule, and executive…
  • Jun 17

    The Ontario Court Revisits Fairness Opinion

    The Ontario Court Revisits Fairness Opinion
    By Graham Gow, Jonathan Grant, Andrew Parker and Matthew Cumming As we described in a previous blog post, the Ontario Court released a decision in March (Champion Iron Mines Limited) in which it held that a fairness opinion that does not…
Rank this Week: 4585

Financial Regulatory Report

Financial Regulatory Report

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

http://www.financialregulatoryreport.com/
  • Jul 18

    OFAC Targets Russia's Financial and Energy Sectors in New Sectoral Sanction

    OFAC Targets Russia's Financial and Energy Sectors in New Sectoral Sanction
    Our Global Regulatory Enforcement colleagues, Hena M. Schommer and Leigh T. Hannson, recently wrote about the the U.S. Treasury Department’s Office of Foreign Assets Control’s ("OFAC") issuance of new sanctions targeting Russian…
  • Jul 11

    Financial Services Regulatory Group Member Honored for Success and Philanthropy

    Financial Services Regulatory Group Member Honored for Success and Philanthropy
    Our Financial Services Regulatory Group colleague, Roberta Torian, has been selected for the 2014 Minority Business Leader Awards by the Philadelphia Business Journal. Roberta is one of the most experienced bank regulatory and…
  • Jun 24

    Supreme Court Clarifies Scope of Federal Bank Fraud Statute, But Leaves Some Question

    Supreme Court Clarifies Scope of Federal Bank Fraud Statute, But Leaves Some Question
    This post was written by Travis P. Nelson. On June 23, 2014, the U.S. Supreme Court clarified – and arguably expanded – the reach of the federal bank fraud statute. In Loughrin v. U.S., petitioner Kevin Loughrin challenged the…
Rank this Week: 2379

RIA Compliance Blog

RIA Compliance Blog

Covers registered investment advisor regulations. By Parker MacIntyre.

http://www.riacomplianceblog.com/
  • Jul 14

    SEC fines RIA for failure to disclosure conflicts of interest on Form ADV

    SEC fines RIA for failure to disclosure conflicts of interest on Form ADV
    In a consented-to Administrative Order dated July 2, 2014, the Securities and Exchange Commission fined a Missouri-based Registered Investment Adviser, SignalPoint Asset Management ("SignalPoint" or "SAM"), $215,000 for breaching its'…
  • Jun 16

    Alabama Joins the Crowd: State Crowdfunding Exemption

    Alabama Joins the Crowd: State Crowdfunding Exemption
    The Alabama Legislature passed a crowdfunding exemption bill this April, but the bill is still awaiting the Governor's signature to become effective. Alabama is the eleventh state to enact legislation or develop regulations on this topic. …
  • Jun 12

    State Private Fund Adviser Exemption Update

    State Private Fund Adviser Exemption Update
    In the past six months two states, Iowa and Texas, have adopted private fund adviser exemptions to their investment adviser registration requirements under their respective state securities acts. Another state, Washington, has proposed a…
Rank this Week: 4129

Southeast VC

Southeast VC

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

http://southeastvc.blogs.com/southeast_vc/
  • Jun 26

    Bull City Venture Partners III, L.P.

    Bull City Venture Partners III, L.P.
    We are really excited to announce the closing of Bull City Venture Partners III, a $26 million venture capital fund. David and I sincerely appreciate the commitment from all of our LPs and the overwhelming support from the entreprenurial…
  • Apr 11

    Durham, Washington DC, Tech Job

    Durham, Washington DC, Tech Job
    Like all VC firms, we receive a lot of resumes. And I just wanted to post here as a reminder that most of our companies are hiring. ChannelAdvisor - Morrisville NC Etix - Morrisville NC Global Value Commerce - Raleigh...
  • Apr 9

    Reference Check a VC

    Reference Check a VC
    Pulling up and referencing some old blog posts, but I think this is important topic. Entrepreneurs need to take time to do their homework referencing a new investor. With some recent financings I have seen getting done, this was not...
Rank this Week: 1976

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: 1643

Private Funds Law Update

Private Funds Law Update

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

http://www.privatefundslaw.com/
  • Jun 20

    AFIMD update for US managers of non-EU alternative investment fund

    AFIMD update for US managers of non-EU alternative investment fund
    This post was authored by Winston Penhall, Editor of this blog and partner in the Investment Funds practice of Reed Smith LLP, London. We are frequently asked by non-EU managers broadly what their options are in relation to AIFMD compliance…
  • Oct 8

    What should UK and non EU AIFMs be doing now?

    What should UK and non EU AIFMs be doing now?
    This post was authored by Jacqui Hatfield, regulatory partner at Reed Smith LLP, London. The AIFMD trigger date occurred on 22 July this year, with a 12-month transitional period (TP) in place in the UK for (i) existing UK managers of AIFs…
  • Oct 8

    SEC proposes new rules under the JOBS Act

    SEC proposes new rules under the JOBS Act
    On August 29, 2012, the SEC issued proposed rules to implement Congress' mandate, under the Jumpstart Our Business Startups Act (the "JOBS Act"), that the agency eliminate the existing ban on use of general solicitation and/or general…
Rank this Week: 4615

Sharesleuth.com

Sharesleuth.com

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

http://sharesleuth.com/
Rank this Week: 642

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/
  • Jun 15

    Are ASIC investigations of financial service providers private?

    Are ASIC investigations of financial service providers private?
    Are ASIC investigations of financial service providers private? Not automatically. In dealing with ASIC and other regulators it is important to understand that the Freedom of Information Act 1982 applies to government agency records and…
  • Jun 15

    Can a special general meeting be adjourned?

    Can a special general meeting be adjourned?
    In the matter of Re1 Limited (ABN 80 145 743 862) and Re2 Limited as responsible entities for Westfield Retail Trust 1 and Westfield Retail Trust 2 (No 3) [2014] NSWSC 762 the NSW Supreme Court considered the adjournment of the adjournment of…
  • Jun 15

    Small amount credit change

    Small amount credit change
    The National Consumer Credit Protection Amendment (Small Amount Credit Contracts) Regulation 2014 was registered on 12 June 2014. The Regulation clarifies the changes introduced on 1 July 2013 which imposed a cap on costs and a limit on fees…
Rank this Week: 650

Illinois Business Law Journal

Illinois Business Law Journal

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

http://www.law.illinois.edu/bljournal/
  • Jun 12

    Crowdfunding Limits – Raising the Cap

    Crowdfunding Limits – Raising the Cap
    Almost everyone has heard of Kickstarter by now: it’s the premier place for a team with an idea and a plan to raise capital to fund almost any sort of product. However, your return on your investment is the product itself if you pay…
  • Jun 12

    The Contraceptive Mandate: Birth Control or Business Control?

    The Contraceptive Mandate: Birth Control or Business Control?
    The Supreme Court heard oral arguments on March 25th, 2014, on the Tenth Circuit Case Hobby Lobby Stores, Inc. v. Sebelius and the Third Circuit Case Conestoga Wood Specialties v. Sebelius; a ruling is expected in late June.[i] Hobby Lobby…
  • Apr 17

    Owning the Internet: The Demise of Net Neutrality

    Owning the Internet: The Demise of Net Neutrality
    The Internet is the modern day printing press; a revolutionary game changer. The Internet owes much of its success to the theory of net neutrality. While net neutrality is not a new topic of discussion, it has been thrust in the limelight…
Rank this Week: 614

Financial Industry Resource Center

Financial Industry Resource Center

Covers the financial crisis. By Hunton & Williams.

http://www.huntonfinancialindustryresourcecenter.com/
  • May 7

    CFPB Proposes New GLB Privacy Notice Rule

    CFPB Proposes New GLB Privacy Notice Rule
    As reported on our Privacy and Information Security Law Blog, on May 6, 2014, the Consumer Financial Protection Bureau (“CFPB”) announced a new proposed rule impacting privacy notices that financial institutions are required to…
  • Jan 23

    SEC Releases "Regulation A+" Proposal

    SEC Releases "Regulation A+" Proposal
    On December 18, 2013, the SEC proposed rules under Title IV of the JOBS Act to amend Regulation A (Rules 251-263 under the Securities Act of 1933 (the "Securities Act")). The proposed rules, which have been referred to informally as…
  • Nov 27

    CFTC Court Case and New Rules Establish Bank Duties to Monitor Commodity Broker

    CFTC Court Case and New Rules Establish Bank Duties to Monitor Commodity Broker
    A recent court order in favor of the Commodity Futures Trading Commission (or CFTC) and new rules issued by CFTC establish a standard of liability for depository institutions that fail to fulfill their customer funds protection obligations…
Rank this Week: 4707

BeyondVC

BeyondVC

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

http://www.beyondvc.com/
  • Feb 12

    boldstart ventures in 2014 – our etho

    boldstart ventures in 2014 – our etho
    As we look into 2014, we thought it was important to reflect on our activities in 2013 and refocus and refine our thinking and messaging as a firm. We are thematic in our approach and primarily known as seed investors with a focus on…
  • 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…
Rank this Week: 3309

Asset Hunter: Tracking…

Asset Hunter: Tracking International Financial Fraud

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

http://www.michaeldiazjr.com
  • Feb 5

    Diaz Reus & Targ LLP scored a stunning…

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

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

    Bolivia’s Anti-Corruption Colonel, Mario Fabrizio Ormachea, Arrested in Miami FBI Sting | Trial period set for October
    Mario Fabrizio Ormachea, the colonel leading Bolivia’s Anti-Corruption Unit, is being held without bail in Miami, awaiting an October 21 trial period after being arrested in an August 31 Miami FBI sting operation where he attempted to…
  • Aug 14

    Are You Too Busy To Be A Good Parent?

    Are You Too Busy To Be A Good Parent?
    The ongoing custody battle between R&B singer Usher and his ex-wife, Tameka Foster, highlights the challenges that busy parents face today. It is already hard enough for two parents to manage busy professional schedules and still make…
Rank this Week: 2469

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 25

    UBS in Web of Puerto Rico Bond Funds Suffering Massive Losse

    UBS in Web of Puerto Rico Bond Funds Suffering Massive Losse
    Puerto Rico bond funds have been suffering massive losses recently and regulators have already taken action. According to the SEC, UBS Financial Services of Puerto Rico Inc. (“UBS”) misled thousands of its retail investors in 23…
  • 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…
Rank this Week: 1718

Lenders 360.

Lenders 360.

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

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

    OCC’s Commercial Real Estate Lending Handbook: Misses the List on Legal Issue

    OCC’s Commercial Real Estate Lending Handbook: Misses the List on Legal Issue
    Over the last few weeks, I’ve commented on the new version of the OCC’s Commercial Real Estate Lending Handbook (I give it a gentlemen’s C); and I listed a few legal topics that deserve some guidance from the OCC.…
  • Oct 9

    OCC Lending Handbook Needs Parenting on Important Legal Topic

    OCC Lending Handbook Needs Parenting on Important Legal Topic
    In an earlier posting, I reviewed the OCC’s new Commercial Real Estate Lending handbook .  The purpose of the handbook is to give parenting – I mean guidance – on risks inherent in commercial real estate lending.…
  • Sep 18

    Grading the Examiners: OCC’s Commercial Real Estate Lending Handbook gets a “C”

    Grading the Examiners: OCC’s Commercial Real Estate Lending Handbook gets a “C”
    Last month, the Office of the Comptroller of the Currency published the Commercial Real Estate Lending handbook (August 2013).  The 128 page handbook gives guidance to bank examiners and bankers on risks inherent in commercial…
Rank this Week: 4335

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/
  • May 22

    Join Us On My New Blog!

    Join Us On My New Blog!
    All: as of May 1, 2013, I am now blogging exclusively at http://www.davidfeldmanblog.com. In addition to continuing my coverage of alternatives to traditional IPOs, including reverse mergers, we have expanded the commentary to include the…
  • Mar 9

    Market Surges But Microcaps Still Struggle – Let’s Give Everyone Short Form Registration

    Market Surges But Microcaps Still Struggle – Let’s Give Everyone Short Form Registration
    Of course we are all happy that the stock market has been hitting new highs this past week. It has been a long road back from 2009 when the market had less than half its current value. The M&A market is awake, lots of large financings…
  • Mar 5

    Dow Hits New High

    Dow Hits New High
    The Dow Jones Industrial Average has beaten the previous record high of 14,198.10 set in October 2007. That’s a pretty cool thing. If only we felt as positive and optimistic as we did in October 2007, but then again that’s just…
Rank this Week: 4418