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Mortgage Fraud Blog

Mortgage Fraud Blog

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

http://mortgagefraudblog.com/
  • Oct 20

    2 Businesses Charged with Acting as Unlicensed Mortgage Lender

    2 Businesses Charged with Acting as Unlicensed Mortgage Lender
    Mortgage Fraud Blog. Bell Holdings, Inc., and Bimija Limited Partnership, are the subjects of Administrative Complaints issued by the Florida Office of Financial Regulation charging each company with unlicensed mortgage lending activity. The…
  • Oct 20

    2 Charged With Inflating Purchase Prices to Obtain Kickback

    2 Charged With Inflating Purchase Prices to Obtain Kickback
    Mortgage Fraud Blog. Guillermo Rincon, 36, Miami, Florida, and Enrique Hernandez, 34, Tampa, Florida, have been indicted and charged with one count of mortgage fraud conspiracy involving mail and bank fraud, and other related substantive…
  • Oct 17

    6 Conspire to Steal Deceased Woman’s House

    6 Conspire to Steal Deceased Woman’s House
    Mortgage Fraud Blog. Six people, including a lawyer, real estate agent and funeral home director, have been charged with conspiring to steal a Philadelphia, Pennsylvania, home from an elderly widow after she passed away. Those charged in this…
Rank this Week: 2

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/
  • Oct 20

    How to Get Stock Shares Publicly Trading

    How to Get Stock Shares Publicly Trading
    Public companies that also have a trading symbol (and its corresponding CUSIP #) can have shares trading in the “public float” as long as the appropriate SEC rules are followed. Unless the securities are exempt for some reason,…
  • Oct 17

    NASDAQ Listing Requirement

    NASDAQ Listing Requirement
    The NASDAQ is the second-largest stock exchange by market cap in the world. As an American exchange, it has listed over 3,100 companies with average daily share trading volume at over two billion. NASDAQ has handled more IPOs than any other…
  • Oct 16

    View Systems, Inc. + Potomac River Group, LLC

    View Systems, Inc. + Potomac River Group, LLC
    Potomac River Group, LLC just announced the completion of a reverse merger with View Systems, Inc. an OTC-traded company. The Potomac River Group is a provider of industrial products and services to large business, government and…
Rank this Week: 975

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Oct 20

    When Will the SEC’s EDGAR Get Hacked? (Or Has It Already?)

    When Will the SEC’s EDGAR Get Hacked? (Or Has It Already?)
    About a decade ago, I blogged: “Personally, I am always amazed that there have not been any reported hacks of the EDGAR system – as that has to be one of the most popular targets of the hacking community, even for the youngsters…
  • Oct 17

    Our New “Rule 10b5-1 Trading Plans Handbook”

    Our New “Rule 10b5-1 Trading Plans Handbook”
    Spanking brand new. By popular demand, this comprehensive “Rule 10b5-1 Trading Plans Handbook” covers a topic that many have requested. This one is a real gem – 72 pages of guidance. DOJ Staffer Provides Fresh Guidance on…
  • Oct 16

    ISS: New Draft Approaches to Equity Plan & Independent Board Chair Proposal

    ISS: New Draft Approaches to Equity Plan & Independent Board Chair Proposal
    Yesterday, ISS released a group of draft policy changes for comment – two of them relating to the US: a new “scorecard” approach to evaluating equity compensation plan proposals and independent board chair proposals.…
Rank this Week: 295

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/
  • Oct 20

    6 Pasos para que hasta el más quebrado construya riqueza

    6 Pasos para que hasta el más quebrado construya riqueza
    La riqueza se construye como se construye un edificio, un castillo de lego o un argumento. Todos somos los “albañiles” (o los verdugos) de nuestra prosperidad. Los planos de la construcción no son complicados, solo…
  • Oct 17

    ¿Conviene trabajar 3 días y descansar 4? Podcast #148

    ¿Conviene trabajar 3 días y descansar 4? Podcast #148
    Desde hace tiempo Carlos Slim, el hombre más rico del munco ha promovido una propuesta que suena un tanto loca: Trabajar solo 3 días a la semana en jornadas de 11 horas. Descansar por completo 4 días pero jubilarse…
  • Oct 15

    También debes pagar por tu última casa

    También debes pagar por tu última casa
    Vamos por la vida pagando de todo. Nos preparamos para algunas cosas como la escuela de los hijos o el dinero de las vacaciones. A veces y si somos ovejitos del rebaño financiero también ahorramos y prevemos para los…
Rank this Week: 4101

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/
  • Oct 19

    Coakley's Special Friend

    Coakley's Special Friend
    Massachusetts Attorney General and wanna-be governator, Martha Coakley, has tried to make political capital out of her lawsuit against the FHFA and its wards, Fannie Mae and Freddie Mac, over their policy of refusing to permit the sale of…
  • Oct 15

    COMMUNITY BANKING IN THE 21ST CENTURY: THE REALITY

    COMMUNITY BANKING IN THE 21ST CENTURY: THE REALITY
    Here's another guest post from my friend, former community banker Pat Dalrymple, that, while not technically about bank law, is definitely about banks. Plus, I'm on the road, so Pat is taking a load off.…
  • Oct 12

    Undue Proce

    Undue Proce
    For Patrick Adams, justice has been both delayed and, now, denied. Regular readers of this blog are familiar with Mr. Adams protracted fight with the OCC, and I won't regurgitate the history of the conflict. In my most recent post,...
Rank this Week: 407

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Oct 19

    PCAOB Panel Discusses Valuations of Financial Asset

    PCAOB Panel Discusses Valuations of Financial Asset
    The PCAOB Standing Advisory Group (SAG) discussed one of the most controversial and complex issues of financial accounting and auditing, estimates and measurements of financial assets, at a special meeting today. This discussion came against…
  • Oct 18

    Chairman Massad Addresses the CFTC’s Most Pressing Issue

    Chairman Massad Addresses the CFTC’s Most Pressing Issue
    [This story previously appeared in Securities Regulation Daily.]By Matthew Garza, J.D.In remarks before the Outlook 2014 conference, sponsored by the Managed Funds Association, CFTC Chairman Timothy Massad shared his views on two of the most…
  • Oct 16

    Maryland Adopts Intrastate Small Business Exemption

    Maryland Adopts Intrastate Small Business Exemption
    [This story previously appeared in Securities Regulation Daily.]By Jay Fishman, J.D.The Maryland Legislature adopted, effective October 1, 2014, a non-crowdfunding intrastate small business exemption. Legislation. The exemption covers…
Rank this Week: 355

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/
  • Oct 19

    Bank Holding Companies, It Is Time To Update Your Tax Sharing Agreement

    Bank Holding Companies, It Is Time To Update Your Tax Sharing Agreement
    It is time to update tax allocation agreements between bank holding companies and affiliated entities, say the federal regulators.  According to guidance issued this summer, examiners will be looking for updated tax allocation…
  • Oct 8

    To Register Your Arbitration Clauses with AAA or Not to Register? That Is the Question!

    To Register Your Arbitration Clauses with AAA or Not to Register? That Is the Question!
    art by Todd Berman / flickrDoes your organization have consumer contracts that include an arbitration clause?  Does the clause reference the American Arbitration Association?You may…
  • Oct 8

    An Important Decision from the North Carolina Surpreme Court

    An Important Decision from the North Carolina Surpreme Court
    image by Silver SeasonIn February, I wrote about an important case for lenders in North Carolina. The North Carolina Supreme Court has issued a highly-anticipated opinion that is important for lenders in North Carolina to understand.Under…
Rank this Week: 4341

Mandelman Matters

Mandelman Matters

Covers the foreclosure crisis. By Martin Andelman.

http://mandelman.ml-implode.com
  • Oct 18

    Foreclosures Rising 1st Time in 3 Years, Says RealtyTrac. So, is that good or bad?

    Foreclosures Rising 1st Time in 3 Years, Says RealtyTrac. So, is that good or bad?
    We have to take steps to put an end to foreclosures caused by the meltdown… not slow them down with another bandage, but actually make a commitment to stop the bleeding. We have to come to realize what’s still happening to our…
  • Oct 17

    Bank of America: Lending Tight as Ever and Won’t Change Soon

    Bank of America: Lending Tight as Ever and Won’t Change Soon
    What compelled me to write after reading the Origination News article was that it told a story that I’ve longed to read for a long time… finally, the mortgage industry was taking over my job these last six years, by calling out…
  • Oct 15

    Future SHOCK for Older Homeowners: You Won’t Get a HELOC, a Second, or Refi based on your Equity

    Future SHOCK for Older Homeowners: You Won’t Get a HELOC, a Second, or Refi based on your Equity
    If you’re over 62, you have to ask yourself what you’d do in the event your income dropped or your expenses rose unexpectedly? You could tap your savings, but that's not something you want to do because spending your nest egg can…
Rank this Week: 252

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/
  • Oct 18

    ERISA Plan Investment Committee Governance

    ERISA Plan Investment Committee Governance
    Following up on the theme I discussed about investment committee dynamics in "Decision Making When You Don't Like Your Colleagues" (September 9, 2014), Strafford Publications is sponsoring a related webinar. Entitled "ERISA Plan Investment…
  • Oct 18

    UK Survey Highlights Fiduciary Management Trend

    UK Survey Highlights Fiduciary Management Trend
    According to a September 8, 2014 press release, a survey of 359 UK pension professionals by Aon Hewitt suggests that investment complexity and a busy schedule are driving the increase in demand for outside help. Notably, researchers…
  • Oct 18

    UK Fiduciary Survey Highlights Fiduciary Management Trend

    UK Fiduciary Survey Highlights Fiduciary Management Trend
    According to a September 8, 2014 press release, a survey of 359 UK pension professionals by Aon Hewitt suggests that investment complexity and a busy schedule are driving the increase in demand for outside help. Notably, researchers…
Rank this Week: 1501

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/
  • Oct 17

    CFPB Updates Dodd-Frank Mortgage Rules Readiness Guide

    CFPB Updates Dodd-Frank Mortgage Rules Readiness Guide
    Recently, the CFPB published an updated mortgage rules Readiness Guide for financial institutions to assist them in complying with new mortgage lending requirements. The Guide contains: (i) a summary of the mortgage rules finalized by the…
  • Oct 17

    Proposed Changes to the TILA-RESPA Integrated Disclosure Rule

    Proposed Changes to the TILA-RESPA Integrated Disclosure Rule
    On October 10, the CFPB issued a proposal to modify and make technical amendments to the TILA-RESPA Integrated Disclosure Rule, issued in November of 2013. Specifically, the CFPB proposes to (i) relax the timing requirements associated with…
  • Oct 17

    CFPB Report Analyzes Private Student Loan Borrowers’ Complaint

    CFPB Report Analyzes Private Student Loan Borrowers’ Complaint
    On October 16, the CFPB announced the findings of its annual student loan ombudsman report. Analyzing over 5,000 private student loan complaints that the CFPB received from October 1, 2013 through September 30, 2014, the report highlights the…
Rank this Week: 539

RIA Compliance Blog

RIA Compliance Blog

Covers registered investment advisor regulations. By Parker MacIntyre.

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

    Is your firm prepared? October is National Cybersecurity Awareness Month

    Is your firm prepared? October is National Cybersecurity Awareness Month
    Earlier this year, the SEC announced one of its focus areas for examinations in 2014 would be cybersecurity. The SEC Office of Compliance Inspections and Examinations published a Cybersecurity Initiative Risk Alert in April that provides a…
  • Sep 9

    New Indiana Crowdfunding Act Exemption

    New Indiana Crowdfunding Act Exemption
    The Indiana Securities Division recently issued an emergency rule to explain new distinctions in Indiana's crowdfunding exemptions, which became effective July 1, 2014. Indiana's new rule is similar to Georgia's "Invest Georgia" rule, which…
  • 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'…
Rank this Week: 1732

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/
  • Oct 17

    Customer Hit with $80,000 in Respondents' Attorney's Fee

    Customer Hit with $80,000 in Respondents' Attorney's Fee
    It is not often that a public customer is forced to pay a respondent's attorneys fees, but in a recent FINRA arbitration, that is exactly what happened.According to the description in the FINRA arbitration award it appears that a public…
  • Oct 16

    Third Party Bene is Not a Customer for Arbitration Purpose

    Third Party Bene is Not a Customer for Arbitration Purpose
    A FINRA arbitration panel has dismissed a $32 million claim because the claimant was not a customer of the brokerage firms, and did not have an account with the Respondents.The Claimant had alleged that he was an undisclosed third-party…
  • Oct 16

    The Need for Narrow SEC Subpoena

    The Need for Narrow SEC Subpoena
    Two common criticisms of investigations by the Securities and Exchange Commission have been the length of time investigations take and the enormous costs they impose on private parties. The issues raised by those criticisms have grown in…
Rank this Week: 506

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/
  • Oct 17

    Connect at the 2014 MBA Annual Convention & Expo

    Connect at the 2014 MBA Annual Convention & Expo
    The 2014 MBA Annual Convention & Expo will be held in Las Vegas, NV from October 19-22. My colleague Robert M. Siegel and I will be attending the conference. As many of you know, we lead the mortgage industry team here at Bilzin Sumberg.…
  • Oct 14

    Regulators Increase Scrutiny of Wall Street Lending

    Regulators Increase Scrutiny of Wall Street Lending
    Federal bank regulatory agencies are significantly increasing their scrutiny of Wall Street bank lending, moving from annual reviews to a system of monthly audits in a major effort to curtail aggressive underwriting practices. Until recently,…
  • Sep 30

    Webinar Addresses the CFPB’s Jurisdiction & Authority

    Webinar Addresses the CFPB’s Jurisdiction & Authority
    What are the boundaries of the Consumer Financial Protection Bureau’s authority? How might those boundaries continue to expand in the future? Are there ways that the CFPB can take action against a company even if it does not have true…
Rank this Week: 2181

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
  • Oct 16

    Why do VCs require legal opinions in venture deals?

    Why do VCs require legal opinions in venture deals?
    Contributed by Jeffrey A. Showalter Most large venture deals require that the Company’s outside legal counsel issue a customary legal opinion, addressed to the investors in the financing, in order to give the investors comfort that…
  • Oct 13

    2014 Technology Leaders Forecast Survey Results Released

    2014 Technology Leaders Forecast Survey Results Released
    CONTRIBUTED BY Trent Dykes trent.dykes@dlapiper.com Thank you to all who participated in the Technology Leaders Forecast Survey that we posted last month. As posted earlier, on October 7, DLA Piper hosted its 2014 Global Technology Leaders…
  • Oct 9

    Recent SEC Interpretations Facilitate Intrastate Crowdfunding

    Recent SEC Interpretations Facilitate Intrastate Crowdfunding
    CONTRIBUTED BY Andrew Ledbetter andrew.ledbetter@dlapiper.com   The SEC has recently issued interpretations regarding Rule 147.  This rule provides a safe harbor under Section 3(a)(11) of the Securities Act of 1933, as amended,…
Rank this Week: 2240

Lenders 360.

Lenders 360.

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

http://www.lenders360blog.com
  • Oct 16

    Back to Blogging (Better Blogging – Tips & Testimonial)

    Back to Blogging (Better Blogging – Tips & Testimonial)
    I’m back. Back to blogging. Home here at L360. Several years ago, Kevin O’Keefe or Tom Mighell (one of them) commented that the majority of legal blogs last less than a year. Clearly, I’m one of them on quiting. It just took…
  • Oct 13

    Sticks and Stones May Break Your Bones, but Reliance Waivers Can Still Hurt You

    Sticks and Stones May Break Your Bones, but Reliance Waivers Can Still Hurt You
    Last week Regions Bank sued Comerica Bank seeking a declaration that Regions is not liable to Comerica in connection with their $53MM syndicate loan to a plant nursery that went very wrong.  Regions Bank v. Comerica Bank, civil action…
  • Oct 6

    Would You Rather Litigate In Odessa, Texas Or The Cayman Islands?

    Would You Rather Litigate In Odessa, Texas Or The Cayman Islands?
    If you’re the bank’s attorney, the answer is always going to be the Cayman Islands.  Nothing against Odessa, they just don’t have much of a beach. But, if you are the bank, chances are you would rather be local if you…
Rank this Week: 2194

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/
  • Oct 16

    Complying with the Florida Consumer Collection Practice Act

    Complying with the Florida Consumer Collection Practice Act
    Authored by Adam B. Brandon of Rogers TowersIn addition to ensuring compliance with the federal Fair Debt Collection Practices Act (FDCPA), lenders should take precautions to limit its exposure to claims under the Florida Consumer Collection…
  • Oct 14

    Recent Decision Creates Split in Middle District Regarding Whether 11 U.S.C. § 707(b)(2) Applies to Cases Converted to Chapter 7

    Recent Decision Creates Split in Middle District Regarding Whether 11 U.S.C. § 707(b)(2) Applies to Cases Converted to Chapter 7
    Authored by Armando Nozzolillo and Michael S. Waskiewiczand Armando Nozzolillo and Michael S. Waskiewicz of Rogers TowersIn the last 2 years, three judges of the Middle District of Florida (Judges Funk, Delano and Williamson) have each issued…
  • Oct 9

    Florida Foreclosure Volume Update

    Florida Foreclosure Volume Update
    Authored by Douglas L. Waldorf, Jr. of Rogers TowersThe Florida Bar News, in its September 15, 2014 edition, reported that Florida foreclosure volume has declined with the number of filings in the first half of 2014 about 50% of filings for…
Rank this Week: 1515

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/
  • Oct 15

    The Interrogatory That Does Not Warrant An Objection Based On Privilege

    The Interrogatory That Does Not Warrant An Objection Based On Privilege
    There was enough worth talking about in Judge Bledsoe's opinion in National Financial Partners Corp. v. Ray, 2014 NCBC 49, which I posted about yesterday, to warrant a second post. What I didn't discuss yesterday was the question answered in…
  • Oct 14

    Don't Throw The Kitchen Sink Of Defenses Into Your Answer

    Don't Throw The Kitchen Sink Of Defenses Into Your Answer
    Say you are filing an Answer to a Complaint.  NC Rule of Civil Procedure 8(c)  lists a host of affirmative defenses you might raise.  They are: accord and satisfaction, arbitration and award, assumption of risk, contributory…
  • Oct 14

    One Superior Court Judge Overruling Another?

    One Superior Court Judge Overruling Another?
    You are all familiar with the old adage that "one Superior Court Judge cannot overrule another Superior Court Judge."  But apparently there is at least a little bend in that rule, as illustrated by Judge Bledsoe's opinion this past…
Rank this Week: 993

Payment Law Advisor

Payment Law Advisor

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

http://www.paymentlawadvisor.com/
Rank this Week: 3029

The Swap Report

The Swap Report

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

http://www.theswapreport.com/
  • Oct 15

    Approaching Ambiguities in the Financial Entity Definition

    Approaching Ambiguities in the Financial Entity Definition
    The third installment of our ongoing series on the 2014 CFTC Reauthorization Act covers a potential change to the definition of a "financial entity", which has been a particularly troublesome and confusing definition for end-users, and the…
  • Sep 18

    CFTC Approves Important Rule Amendment for Government-Owned Utilities and Their Swap Counterpartie

    CFTC Approves Important Rule Amendment for Government-Owned Utilities and Their Swap Counterpartie
    By Patricia Dondanville and Tom Watterson On September 17, 2014, at the first Open Meeting of the Commodity Futures Trading Commission chaired by Timothy Massad, the CFTC approved an important amendment to its Dodd-Frank Act rules for…
  • Sep 9

    CFTC Staff Provides JOBS Act Harmonization Exemptive Relief

    CFTC Staff Provides JOBS Act Harmonization Exemptive Relief
    Attention hedge funds, private equity funds, venture capital funds, and other private funds (collectively, "private funds"). This evening (September 9, 2014) , the CFTC Division of Swap Dealer and Intermediary Oversight…
Rank this Week: 2535

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: 4469

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
  • Oct 15

    FINRA Alarm Bells Awaken Sleepwalking Supervisor

    FINRA Alarm Bells Awaken Sleepwalking Supervisor
    Once upon a time, Wall Street's regulators seemed to view so-called "Failure To Supervise" matters as a last resort -- the final arrow in a quiver.  Whether benign neglect or a considered policy, those supervising the industry's…
  • Oct 15

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
    Athena No Goddess Says SEC in HFT SettlementOctober 17, 2014In an effort to cultivate an orderly daily closing, ten minutes before the close at 3:50:00 p.m., NASDAQ releases a Net Order Imbalance Indicator, whi...Read OnCommissioner Piwowar…
  • Oct 8

    Athena No Goddess Says SEC in HFT Settlement

    Athena No Goddess Says SEC in HFT Settlement
    In an effort to cultivate an orderly daily closing, ten minutes before the close at 3:50:00 p.m., NASDAQ releases a Net Order Imbalance Indicator, which is updated every five seconds until the last message at 3:59:55 p.m.  It sounds…
Rank this Week: 574

Financial Industry Review

Financial Industry Review

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

http://blogs.orrick.com/financial/
  • Oct 14

    ESMA Final Draft RTS for Central Clearing of Interest Rate Swaps under EMIR

    ESMA Final Draft RTS for Central Clearing of Interest Rate Swaps under EMIR
    On October 2, the European Securities and Markets Authority (ESMA) published a report containing final draft regulatory technical standards (RTS) for the central clearing of interest rate swaps (IRS) under EMIR. The four IRS classes…
  • Oct 14

    The EBA Publishes Updates on the Bank Recovery and Resolution Directive

    The EBA Publishes Updates on the Bank Recovery and Resolution Directive
    On October 3, the European Banking Authority (EBA) published a consultation paper on draft regulatory technical standards (RTS), implementing technical standards (ITS) and guidelines relating to group financial support under the Bank Recovery…
  • Oct 14

    ESMA Compliance Table Relating to MiFID Remuneration

    ESMA Compliance Table Relating to MiFID Remuneration
    On October 7, the European Securities and Markets Authority (ESMA) published a guidelines compliance table relating to its guidelines on remuneration policies and practices under the Markets in Financial Instruments Directive (MiFID). The…
Rank this Week: 1007

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 13

    China’s New Foreign Exchange Control Rule on Outbound and Round-Trip Investment

    China’s New Foreign Exchange Control Rule on Outbound and Round-Trip Investment
    Replacing Circular 75, Circular 37 simplifies the SAFE registration process for Chinese residents seeking offshore investments and financings, and it liberalizes cross-border capital outflow by Chinese residents. In addition, Circular 37 also…
  • Sep 23

    When Sharing Isn’t Caring

    When Sharing Isn’t Caring
    On September 22, 2014, the Securities and Exchange Commission (the “SEC”) charged private equity fund adviser, Lincolnshire Management, Inc. (“Lincolnshire”), with misallocating expenses shared between two portfolio…
  • Sep 16

    SEC Enforcement Against Short Sellers Continue

    SEC Enforcement Against Short Sellers Continue
    On September 16, 2014, the Securities and Exchange Commission (“SEC”) announced the latest sanctions in a continuing enforcement initiative against certain hedge fund advisers and private equity firms that have participated in an…
Rank this Week: 2135

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: 240

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Oct 10

    Confirmatory Information

    Confirmatory Information
    In its Halliburton II decision, the Supreme Court held that a securities fraud defendant can overcome the fraud-on-the-market presumption of reliance at the class certification stage of a case “through evidence that the…
  • Oct 3

    Duties to Disclose

    Duties to Disclose
    Item 303 of Regulation S-K requires issuers to disclose known trends or uncertainties “reasonably likely” to have a material effect on operations, capital, and liquidity.  Plaintiffs often contend that if the disclosure…
  • Sep 26

    Standing Alone

    Standing Alone
    Can the announcement of an investigation act as a “corrective disclosure” sufficient to support the existence of loss causation?  Last year, the Eleventh Circuit concluded that investigations do not “in and of…
Rank this Week: 3194

Sharesleuth.com

Sharesleuth.com

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

http://sharesleuth.com/
  • Oct 7

    Kandi Technologies Group Inc.: The return of the cyber shill

    Kandi Technologies Group Inc.: The return of the cyber shill
    Last June, shares of Kandi Technologies Group Inc. (Nasdaq: KNDI) doubled in the space of a week, spurred on by a mysterious network of social-media touters who later deleted their posts or shut down their accounts…
  • Jun 17

    Telestone Technologies revisited: SEC letters reveal doubts about revenues and receivable

    Telestone Technologies revisited: SEC letters reveal doubts about revenues and receivable
    Recently released letters between the Securities and Exchange Commission and Telestone Technologies Corp. (Pink Sheets: TSTC) show that regulators have significant concerns about the Chinese wireless communication company’s reported…
  • Jun 3

    Guanwei Recycling Corp. and Kandi Technologies Group Inc.: The Rui Wang Connection

    Guanwei Recycling Corp. and Kandi Technologies Group Inc.: The Rui Wang Connection
    A Chinese businessman who figures into a fraud case involving Guanwei Recycling Corp. (Nasdaq: GPRC) also has an intriguing connection to Kandi Technologies Group Inc. (Nasdaq: KNDI), whose shares were allegedly manipulated by the same group.…
Rank this Week: 352

RESPA Lawyer Blog

RESPA Lawyer Blog

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

http://www.respalawyer.com/
  • Sep 30

    CFPB ANNOUNCES RESPA MSA ENFORCEMENT ACTION

    CFPB ANNOUNCES RESPA MSA ENFORCEMENT ACTION
    The Consumer Financial Protection Bureau (CFPB) announced today, September 30, 2014, that they had entered into a Consent Order with Lighthouse Title, a Michigan title insurance agency, for entering into Marketing Service Agreements (MSAs)…
  • Sep 29

    Wells Fargo announces RESPA-TILA Integrated Disclosure Form Plan

    Wells Fargo announces RESPA-TILA Integrated Disclosure Form Plan
    Wells Fargo announced that effective August 1, 2015 it will control the generation and delivery of the borrower's Closing Disclosure form in anticipation of the TILA-RESPA Integrated Disclosure Rule. The new Closing Disclosure is a mix of…
  • 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…
Rank this Week: 1026

Redeye VC

Redeye VC

Offers a view of startup ecosystem. By Josh Kopelman.

http://redeye.firstround.com/
  • Sep 24

    WhatsApp Used This Pricing Strategy to Win and You Can Too

    WhatsApp Used This Pricing Strategy to Win and You Can Too
    Seven years ago, First Round Partner Josh Kopelman wrote a seminal blog post on the importance of free services in consumer-facing business models. He argued that most entrepreneurs misunderstand how subscription pricing works and…
  • Sep 22

    7 Tactics to Get the Most Out of Your Startup's Advisor

    7 Tactics to Get the Most Out of Your Startup's Advisor
    It happens all the time. A founder surrounds him or herself with a skilled group of advisors — maybe one or two from investors, a trusted mentor from their past, perhaps someone influential who can open doors. But as the company…
  • Sep 15

    Make Engineering Interns Truly Effective with This Startup's Program

    Make Engineering Interns Truly Effective with This Startup's Program
    At just three years old, Sift Science has accomplished a surprising amount. Its product, which combats fraud using machine learning, is an important tool for companies like Kickstarter, Airbnb, Uber and Opentable. But with just over 30…
Rank this Week: 2035

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
  • Sep 24

    Your Legal Right to Setoff (or lack thereof) for Credit Card Account

    Your Legal Right to Setoff (or lack thereof) for Credit Card Account
    By Matthew Young, Attorney When your member defaults on his or her loan, your Credit Union is going to want your member to cure the default as quickly as possible or exercise the quickest and most cost effective means to recover the balance.…
  • 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…
Rank this Week: 2531

Financial Regulatory Report

Financial Regulatory Report

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

http://www.financialregulatoryreport.com/
  • Sep 12

    Mobile Payments - The Future is NOW

    Mobile Payments - The Future is NOW
    This post was written by Angela Angelovska-Wilson and Christopher Fatherley. At this week’s highly anticipated new product launch, Tim Cook (Apple’s CEO) introduced Apple Pay, Apple’s new payment platform driven by the…
  • Sep 9

    Spotlight on Fair Lending

    Spotlight on Fair Lending
    The past several months have seen numerous important happenings under fair lending developments, both in the courts, by the DOJ, and by at least one state attorney general. DOJ Blog Posting On August 1, Greg Friel, Deputy Assistant Attorney…
  • 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…
Rank this Week: 2550

Al-Mirsal

Al-Mirsal

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

http://www.al-mirsal.com/
  • Sep 9

    5 Ways to Protect your Business from a Cyber Attack

    5 Ways to Protect your Business from a Cyber Attack
    Global cyber-attack threats stand at the highest ever recorded level, jumping 14 percent from 2012 to 2013 (Cisco 2014 Annual Security Report). Furthermore, a recent Microsoft Security Intelligence Report found that operating system infection…
  • Sep 9

    5 Ways to Protect your Business from a Cyber Attack

    5 Ways to Protect your Business from a Cyber Attack
    Global cyber-attack threats stand at the highest ever recorded level, jumping 14 percent from 2012 to 2013 (Cisco 2014 Annual Security Report). Furthermore, a recent Microsoft Security Intelligence Report found that operating system infection…
  • Sep 7

    Top 3 Employment Issues in the United Arab Emirate

    Top 3 Employment Issues in the United Arab Emirate
    The Dubai Chamber of Commerce and Industry has reported a 24 percent increase in newly registered companies since last year; in part due to the recent successful World Expo 2020 bid, among other positive economic forces. As companies look to…
Rank this Week: 2254

Southeast VC

Southeast VC

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

http://southeastvc.blogs.com/southeast_vc/
  • Sep 9

    WedPics CEO Shares Investor Email

    WedPics CEO Shares Investor Email
    I referenced WedPics' CEO/founder Justin Miller in my last blog post. He sends a monthly email to us. His emails serve 2 purposes: 1) Keeps Justin and WedPics top of mind 2) Shows off his continued success as he thinks...
  • Sep 9

    Fundraising Tip

    Fundraising Tip
    Raising capital from investors can be a long, tough and often an incredibly frustrating process. Entrepreneurs often ask us for help (even when we're not in their company). I thought I would share my email I just sent in response...
  • 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…
Rank this Week: 1223

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • Sep 6

    New FINRA Rule Limits usage of Expungement Requests in Arbitration

    New FINRA Rule Limits usage of Expungement Requests in Arbitration
    The SEC has approved FINRA Rule 2081 that would disallow brokers from conditioning settlement of a customer dispute on a customer’s consent to the broker’s request for expungment from the Central Registration Depository…
  • 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…
Rank this Week: 1307

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: 2949

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: 4951

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: 254

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…
  • 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…
Rank this Week: 4790

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: 940

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: 2525

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: 662

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: 545

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: 4800

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…
  • 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…
Rank this Week: 3215

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: 3964

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: 1274