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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 23

    Hard Money Lender Sentenced To Prison For Mortgage Fraud Scheme

    Hard Money Lender Sentenced To Prison For Mortgage Fraud Scheme
    Mortgage Fraud Blog. Emiel A. Kandi, 37, University Place, Washington, a former hard money lender, was sentenced in U.S. District Court to five years in prison, three years of supervised release and $831,607 in restitution for structuring…
  • Oct 22

    3 Indicted for Scheme to Provide Underqualified Borrowers New Credit Score

    3 Indicted for Scheme to Provide Underqualified Borrowers New Credit Score
    Mortgage Fraud Blog. Benjamin Bland, 39, Glen Allen, Virginia; Michael Westbrook, 36; and Anthony Simpson, 43, both of Baltimore, on charges arising from a scheme to allow individuals with poor credit histories and criminal records to obtain…
  • Oct 22

    Fraudster Homebuilder Gets Lengthy Sentence for Ripping of Real Estate Investor

    Fraudster Homebuilder Gets Lengthy Sentence for Ripping of Real Estate Investor
    Mortgage Fraud Blog. Patrick J. Belzner, a/k/a Patrick McCloskey, 45, Selbyville, Delaware, was sentenced by U.S. District Judge J. Frederick Motz to 15 years in prison followed, by three years of supervised release, on charges of wire…
Rank this Week: 4

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Oct 21

    CFTC Global Roundtable Examines Clearing for Non-Deliverable Forward

    CFTC Global Roundtable Examines Clearing for Non-Deliverable Forward
    As the CFTC readies a proposal on the clearing of non-deliverable  forwards, the Commission convened a global meeting to discuss whether mandatory clearing should be required of NDF swaps contracts. The meeting was under the…
  • Oct 21

    E.U. Set to Resume Work on Money Market Fund Legislation

    E.U. Set to Resume Work on Money Market Fund Legislation
    The new E.U. Parliament and the new Financial Services Commissioner signaled their  intent to resume work on legislation enhancing the regulation of money market funds, an effort that stalled in the last Parliament and Commission. In a…
  • Oct 21

    Parliamentary Panel Approves Lord Hill as E.U. Financial Services Commissioner

    Parliamentary Panel Approves Lord Hill as E.U. Financial Services Commissioner
    After two contentious hearings, the E.U. Parliamentary Committee on Economic and Monetary Affairs favorably reported out the nomination of Lord Jonathan Hill of the U.K. as Commissioner for Financial Services and Financial Stability by a vote…
Rank this Week: 233

Mandelman Matters

Mandelman Matters

Covers the foreclosure crisis. By Martin Andelman.

http://mandelman.ml-implode.com
Rank this Week: 248

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: 269

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: 306

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 16

    Bottle of Wine, Fruit of the Vine, When You Gonna Expunge My Record?

    Bottle of Wine, Fruit of the Vine, When You Gonna Expunge My Record?
    You know the old lyrics about a bottle of wine, fruit of the vine? You know the part where it goes: Let me alone, let me go home. Let me go back and start over? No, doesn't ring a bell? Oh well, perhaps I'm dating myself. In any event,…
  • Oct 16

    FINRA Says A Tweet Is A Public Appearance

    FINRA Says A Tweet Is A Public Appearance
    What would you think if I told you that the BrokeAndBroker.com Blog was a live performance or that an email was theatrical correspondence event? Sounds odd, right? Like most normal people, you'd probably wonder what the hell is wrong with me…
  • Oct 15

    Bill Singer Criticizes FINRA Outside Business Activity Case

    Bill Singer Criticizes FINRA Outside Business Activity Case
    FINRA has this thing about registered representatives engaging in so-called "Outside Business Activities" ("OBA"). Frankly, I don't agree with certain aspects of the FINRA's OBA Rule. None of which is to suggest -- even remotely -- that the…
Rank this Week: 420

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Oct 23

    The Latest SEC Enforcement Stat

    The Latest SEC Enforcement Stat
    Last week, the SEC released the stats for the activities of its Enforcement Division for the agency’s 2014 fiscal year, noting a “record” number of enforcement actions in 2014 involving a “wide range of…
  • Oct 22

    Posted: Archive Video from the “Usable Proxy Workshop”

    Posted: Archive Video from the “Usable Proxy Workshop”
    Last month, I co-hosted a “Usable Proxy Workshop” with Addison in NYC for a group of in-house folks. The panels were video-taped (thanks to the host of our location, Simpson Thacher!) – and I have now posted those video…
  • Oct 21

    Clawbacks & The New Revenue Recognition Rules: On a Collision Course?

    Clawbacks & The New Revenue Recognition Rules: On a Collision Course?
    Here’s something I just blogged on CompensationStandards.com’s “The Advisors Blog“: As companies are staffing & gearing up for the FASB/IASB’s new revenue recognition rules, it dawned on me that folks in the…
Rank this Week: 482

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: 479

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: 452

The AAO Weblog

The AAO Weblog

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

http://www.accountingobserver.com/PublicBlog/tabid/54/BlogId/1/Default.aspx
  • Nov 17

    Fair Value Puzzles: M&T Buys Wilmington Trust

    Fair Value Puzzles: M&T Buys Wilmington Trust
    First-things-first disclosure: I own M&T Bank in my accounts and in accounts of clients.
  • Feb 25

    For Your Reading Pleasure

    For Your Reading Pleasure
    Finished writing an Accounting Observer report on the FASB's recent amendments of revenue accounti
  • Feb 23

    Deciding To Decide

    Deciding To Decide
    At an open meeting tomorrow morning, the SEC's commissioners "will consider whether to publish a statement regarding its continued support for a single-set of high-quality globally accepted accounting standards and its ongoing consideration…
Rank this Week: 491

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 21

    Special Alert: Lessons Learned from Arab Bank’s U.S. Anti-Terrorism Act Verdict

    Special Alert: Lessons Learned from Arab Bank’s U.S. Anti-Terrorism Act Verdict
    On September 22, 2014, following a two-month trial, a federal jury in the Eastern District of New York ruled in favor of a group of 297 individual plaintiffs in a civil suit accusing Arab Bank PLC, headquartered in Amman, Jordan, of…
  • 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…
Rank this Week: 582

VentureBlog

VentureBlog

Covers entrepreneurial success, legal issues, management issues, presenting your company, and more. By David Hornik.

http://ventureblog.com/
  • Jun 7

    Ten Years of Venture Capital: Just Getting Started

    Ten Years of Venture Capital: Just Getting Started
    Over this weekend I celebrated my tenth anniversary as a Venture Capitalist. When I joined August Capital 10 years ago, things weren't so different than they are today. There had been a period of real exuberance in venture investing but it…
  • May 7

    What a Fucking Waste of Time

    What a Fucking Waste of Time
    One of the lead tech stories this week concerned the wild and crazy early days of Facebook. According to David Kirkpatrick's soon to be released book, "The Facebook Effect," Mark Zuckerberg used to have business cards that read "I'm CEO ...…
  • Apr 2

    Why the Time for Mobile is Now

    Why the Time for Mobile is Now
    I was at a party the other night to celebrate the first anniversary of Nokia's "Ideas Project." The "Ideas Project" is an effort to bring together a diverse group of smart folks to share their thoughts on the evolution of media.
Rank this Week: 557

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 22

    Trade Secrets Cases In The NC Business Court: You Show Me Yours Before I'll Show You Mine

    Trade Secrets Cases In The NC Business Court: You Show Me Yours Before I'll Show You Mine
    There's a new roadblock for plaintiffs in the Business Court suing over trade secrets.  It was imposed last week by Judge Bledsoe in DSM Dyneema, LLC v. Thagard, 2014 NCBC 50, and it bars the plaintiff from proceeding with discovery…
  • 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…
Rank this Week: 735

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 21

    The FDIC's Left Hand Slaps Its Right Hand

    The FDIC's Left Hand Slaps Its Right Hand
    I'm on vacation for a week, so y'all will be spared further abuse until at least the 29th. Before I bow out, however, I'd like to give a hat tip to the FDIC for its exercise of pure chutzpa and...
  • 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.…
Rank this Week: 669

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: 683

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: 699

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: 680

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: 925

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: 1027

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 23

    Discovery and Social Media

    Discovery and Social Media
    Authored by Scott J. Kennelly and Scott St. Amand and Scott J. Kennelly and Scott St. Amand of Rogers TowersThe advent of social media has brought about many changes in the world of litigation, not the least of which is the availability of…
  • Oct 21

    Written Document Retention and Destruction Policy Saves the Day (Again)

    Written Document Retention and Destruction Policy Saves the Day (Again)
    Authored by Scott St. Amand and J. Ellsworth Summers, Jr. and Scott St. Amand and J. Ellsworth Summers, Jr. of Rogers TowersAs we mentioned in our previous posts regarding document preservation, establishing a written document retention and…
  • 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…
Rank this Week: 1427

Lenders 360.

Lenders 360.

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

http://www.lenders360blog.com
  • Oct 22

    No Good Deed Goes Unpunished When Accepting Payment from a Non-Borrower on Behalf of a Borrower

    No Good Deed Goes Unpunished When Accepting Payment from a Non-Borrower on Behalf of a Borrower
    I have found this to be true over and over again.  Maybe it’s just my line of work. Part of my regular practice is being called in by the transactional lawyers (paper pushers) as they paper up a new loan or re-fi.  My job in…
  • 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…
Rank this Week: 1375

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 22

    Is Dodd-Frank Responsible For Market Volatility?

    Is Dodd-Frank Responsible For Market Volatility?
    Last week’s market gyrations sparked questions about whether bank regulations implemented after the 2008 financial crisis exacerbated price declines by limiting the ability of Wall Street banks to make markets.Read More - Did Bank Rules…
  • 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…
Rank this Week: 1251

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: 1093

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: 1224

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: 1296

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: 1076

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: 1275

Current Issues in Credit Unions

Current Issues in Credit Unions

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

http://ciicu.libsyn.com
Rank this Week: 1225

Payment Law Advisor

Payment Law Advisor

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

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

    Chip-and-PIN is Coming…To the US Government

    Chip-and-PIN is Coming…To the US Government
    Last Friday, in the wake of numerous data breaches, President Obama signed a new Executive Order that will change how federal agencies use payment cards and allow access to certain government portals.  Those changes include the…
  • Oct 15

    CFPB Identifies Deceptive, Abusive Practices in the Marketing of Credit Card Promotional APR Offer

    CFPB Identifies Deceptive, Abusive Practices in the Marketing of Credit Card Promotional APR Offer
    The Consumer Financial Protection Bureau recently issued a bulletin (CFPB Bulletin 2014-02) warning credit card issuers to avoid potentially deceptive and abusive practices in connection with the marketing of credit card promotional APR…
  • Oct 10

    CFPB Director Proposes Checking Accounts for All

    CFPB Director Proposes Checking Accounts for All
    On Wednesday, in a speech at the Forum on Access to Checking Accounts CFPB Director Richard Cordray returned to two of his most frequent themes – the consumer reporting process and urging actions that he is unable to mandate.…
Rank this Week: 1498

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: 2355

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: 2253

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: 2429

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: 2065

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: 2186

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: 2208

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: 2424

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: 2106

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: 2389

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: 2032

Bank D&O Liability Law Blog

Bank D&O Liability Law Blog

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

http://www.bankdandolaw.com/
Rank this Week: 2266

Big Four Blog

Big Four Blog

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

http://bigfouralumni.blogspot.com/
Rank this Week: 1775

Inside Sarbanes Oxley

Inside Sarbanes Oxley

Covers Sarbanes-Oxley and compliance.

http://insidesarbanesoxley.com/
  • Sep 10

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

    Whistleblowing – What you need to know about the Dodd-Frank Act
    If your organization isn’t already offering incentives to ferret out inappropriate behaviors, the new Dodd-Frank Act and whistleblowing rewards just might (and could make your company the next public spectacle). Deloitte’s…
  • May 26

    Internal Audit: The Continuous Conundrum

    Internal Audit: The Continuous Conundrum
    The department painstakingly went through its inventory of SOX controls to determine which ones could be assessed just by analyzing data in company systems. Then data-analytic scripts were written to allow exceptions to be found. Now, for…
  • May 26

    How to choose the right nonexecutive board leader

    How to choose the right nonexecutive board leader
    Ever since stock-listing requirements prompted many US companies to name an independent director to serve as the chairman, lead director, or presiding director of the board, these companies have been grappling with what, exactly, this board…
Rank this Week: 1671

The PSLRA Nugget

The PSLRA Nugget

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

http://pslranugget.blogspot.com/
  • Feb 3

    The Nugget is Moving to a New Home

    The Nugget is Moving to a New Home
    Please update your bookmarks, as the PSLRA Nugget is moving to a new easier to remember website address.  Also if you are getting this by email, and you would like to continue getting it that way, you just need to go to
  • Feb 2

    Yes Shorter is Better (at least in legal briefing)

    Yes Shorter is Better (at least in legal briefing)
    OK, you know who you are.  The serial page extension requesters.  But Judge, we have to have 100 pages to explain it.  I know, I know, we've all done it.  And yes I agree sometimes it's necessary.  But District Judge Joy Flowers Conti…
  • Mar 18

    Confidential Sources Still Alive & Kicking

    Confidential Sources Still Alive & Kicking
    What's that? You thought Tellabs banned confidential witnesses? Well, let's not get carried away here, as there's certainly at least two ways to read that opinion. Of course, after the 7th Circuit decided Higginbotham v. Baxter, it was…
Rank this Week: 1672

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 22

    5 Mentiras que más decimos sobre dinero

    5 Mentiras que más decimos sobre dinero
    Como decía el buen Doctor House: todos mienten (o mentimos). La cosa es como y a quien. Aquí les platico las 5 mentiras más comunes sobre el dinero. Algunas divertidas otras, un tanto trágicas. Si te gustó…
  • 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…
Rank this Week: 3932

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: 2518