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Mortgage Fraud Blog

Mortgage Fraud Blog

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

http://mortgagefraudblog.com/
  • Jul 22

    Ex-appraiser sentenced to 6 years for mortgage fraud | TribLIVE

    Ex-appraiser sentenced to 6 years for mortgage fraud | TribLIVE
    A Shaler man whose original eight-year sentence was overturned by a federal appeals court was sentenced Monday to six years in prison for his role in a multimillion dollar mortgage fraud scheme. A Pittsburgh federal jury convicted Jason…
  • Jul 19

    Alleged Fraudster Used DOL OIG’s Digital Signature on Fake Transcript

    Alleged Fraudster Used DOL OIG’s Digital Signature on Fake Transcript
    Edgar Avila aka Michael Mendez aka Michael Edgar Avila-Mendez, aka Michael AvMen was indicted on one charge of mail fraud and one charge of bank fraud in connection with two separate fraud schemes. According to the affidavit in support of the…
  • Jul 19

    Contractor Indicted for Providing False Lien Affidavits to Lender

    Contractor Indicted for Providing False Lien Affidavits to Lender
    Michael P Kennedy was indicted by a Kentucky grand jury and charged with one count of bank fraud. Kennedy was part owner and manager of Kennedy Homes LLC, Fort Mitchell, Kentucky, which contracted to construct new homes in the Northern…
Rank this Week: 3

Sharesleuth.com

Sharesleuth.com

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

http://sharesleuth.com/
  • Nov 22

    SEC expands fraud case to include Lenco Mobile, subject of a prior Sharesleuth investigation

    SEC expands fraud case to include Lenco Mobile, subject of a prior Sharesleuth investigation
    The Securities and Exchange Commission has quietly expanded its fraud case against financier Izak Zirk De Maison, adding seven more people as codefendants and identifying five more stocks he used in his schemes. According to the SEC’s…
  • Feb 4

    Trick Play: Memorabilia company peddled Patriots, Seahawks gear with forged player autograph

    Trick Play: Memorabilia company peddled Patriots, Seahawks gear with forged player autograph
      Just days after the Seattle Seahawks and New England Patriots claimed their spots in Super Bowl XLIX, a memorabilia company called The Highland Mint contacted customers with a tantalizing list of autographed collectibles. Highland…
  • Dec 31

    Kandi Technologies Group Inc.: Where are the Go-Karts?

    Kandi Technologies Group Inc.: Where are the Go-Karts?
    When the global economy collapsed in the fall of 2008, the sharp drop in consumer spending threw the power sports industry into a steep decline. Sales of motorcycles, go-karts and all-terrain vehicles each plunged by 30 percent or more,…
Rank this Week: 136

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
  • Dec 2

    Diaz Reus Forms Drone Legal Practice

    Diaz Reus Forms Drone Legal Practice
    In response to the growing phenomenon of domestic drones and legal/regulatory issues surrounding their use, the Florida-based international law firm of Diaz Reus announces the launch of its Unmanned Aircraft Systems (UAS) practice. Headed by…
  • 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…
Rank this Week: 186

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: 212

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • Jul 19

    84 Year Old Takes on Edward Jones for Unauthorized Trading

    84 Year Old Takes on Edward Jones for Unauthorized Trading
    An elderly St. Louis man has filed a FINRA arbitration claim against Edward Jones and one of its financial advisers. The elderly client alleges that the financial adviser over-rode his objections to liquidating over a thousand shares of…
  • Jul 8

    Broker-Dealers Using Compliance as a WMD

    Broker-Dealers Using Compliance as a WMD
    There seems to be a new trend in town: broker-dealers unleashing compliance or “reputation managers” upon rich-target independent branch operators.  Perhaps it isn’t really that new of a trend.  Indeed, after…
  • Jun 22

    Ignore At Your Own Peril: “Training Fees” Provisions in Financial Industry Employment Contract

    Ignore At Your Own Peril: “Training Fees” Provisions in Financial Industry Employment Contract
                It has long been the practice of many broker-dealers, wire houses, and other financial firms to put provisions in employee contracts allowing them to recover so-called “training fees”…
Rank this Week: 397

Mandelman Matters

Mandelman Matters

Covers the foreclosure crisis. By Martin Andelman.

http://mandelman.ml-implode.com
Rank this Week: 436

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/
  • Nov 27

    Two Sides of the Same [Bit]coin: Why Regulating Bitcoin Works in Its Favor

    Two Sides of the Same [Bit]coin: Why Regulating Bitcoin Works in Its Favor
               The reality of the most notorious virtual currency is that it is only a matter of time before it comes under the purview of a regulatory body.  Bitcoin is a cryptocurrency that exists entirely…
  • Nov 27

    The Ride-Sharing Economy: Keeping Liability in the Rearview

    The Ride-Sharing Economy: Keeping Liability in the Rearview
                      In large cities the world over, passengers have stopped reaching into the air to hail a cab and have begun reaching into their pockets for their smartphones.  Companies such…
  • Nov 27

    Two Sides of the Same [Bit]coin: Why Regulating Bitcoin Works in Its Favor

    Two Sides of the Same [Bit]coin: Why Regulating Bitcoin Works in Its Favor
               The reality of the most notorious virtual currency is that it is only a matter of time before it comes under the purview of a regulatory body.  Bitcoin is a cryptocurrency that exists entirely…
Rank this Week: 385

Financial Industry Review

Financial Industry Review

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

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

    FinCEN Issues Customer Due Diligence Rule (CDD) FAQ

    FinCEN Issues Customer Due Diligence Rule (CDD) FAQ
    On July 19, 2016, the Financial Crimes Enforcement Network (“FinCEN”) issued FAQs regarding the customer due diligence requirements (“CDD”) that it published on May 11, 2016, for certain financial institutions,…
  • Jul 25

    EBA Final Draft RTS on Assessment Methodology for Internal Ratings-Based Approach

    EBA Final Draft RTS on Assessment Methodology for Internal Ratings-Based Approach
    The European Banking Authority (EBA) has published final draft regulatory technical standards (RTS) on the specification of the assessment methodology for competent authorities regarding compliance of an institution with the requirements to…
  • Jul 25

    ESMA Updates Q&A on Application of UCITS Directive

    ESMA Updates Q&A on Application of UCITS Directive
    The European Securities and Markets Authority (ESMA) has published an updated version of its Q&A paper on the application of the Undertakings for Collective Investment in Transferable Securities (UCITS) Directive (2009/65/EC) as most…
Rank this Week: 1080

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/
  • Jul 25

    LAN Airlines Settles FCPA Charge

    LAN Airlines Settles FCPA Charge
    The Securities and Exchange Commission today announced that South American-based LAN Airlines has agreed to pay more than $22 million to settle parallel civil and criminal cases related to improper payments it authorized during a dispute…
  • Jul 22

    Vincente L. Martinez, Chief of Office of Market Intelligence, to Leave SEC

    Vincente L. Martinez, Chief of Office of Market Intelligence, to Leave SEC
    The Securities and Exchange Commission today announced that Vincente L. Martinez, Chief of the SEC’s Office of Market Intelligence is planning to leave the agency in early August.Mr. Martinez began working in the SEC’s Enforcement…
  • Jul 22

    Deputy Chief Accountant Brian T. Croteau to Leave SEC

    Deputy Chief Accountant Brian T. Croteau to Leave SEC
    The Securities and Exchange Commission today announced that Brian T. Croteau, Deputy Chief Accountant, is planning to leave the agency.Since he was appointed Deputy Chief Accountant in 2010, Mr. Croteau has managed the activities of the…
Rank this Week: 943

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Jul 25

    SIFMA urges principles, priorities for SEC’s disclosure reform

    SIFMA urges principles, priorities for SEC’s disclosure reform
    By Mark S. Nelson, J.D.The Securities Industry and Financial Markets Association said it wants the SEC to focus its efforts to reform Regulation S-K on the development of principles-based rules, the primacy of materiality, and to avoid…
  • Jul 22

    Derek Jeter's undies endorsement flummoxes chancery court

    Derek Jeter's undies endorsement flummoxes chancery court
    By Anne Sherry, J.D.A governance-based endorsement deal between Derek Jeter and sports-underwear maker RevolutionWear soured, prompting the Delaware Court of Chancery to warn about "the mixing of roles in a corporate-governance setting." The…
  • Jul 21

    In absence of scienter, Crocs auditor walks away

    In absence of scienter, Crocs auditor walks away
    By Rodney F. Tonkovic, J.D.A Tenth Circuit panel has affirmed a district court judgment giving the boot to a complaint against the auditor for Crocs, Inc. The complaint, which the district court dismissed for failure to state a claim, alleged…
Rank this Week: 941

Bank Lawyer's Blog

Bank Lawyer's Blog

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

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

    Credit Unions and Community Banks Both Face "Shrinkage"

    Credit Unions and Community Banks Both Face "Shrinkage"
    In his recent email newsletter (email marvin.umholtz@comcast.net for a subscription), credit union consultant Marvin Umholtz discusses the fact that credit unions face the same problem of "shrinkage" that we have discussed on this…
  • Jul 17

    The Marijuana Minefiled Continues To Claim Bank

    The Marijuana Minefiled Continues To Claim Bank
    No matter how many times commentators like this curmudgeon warn banks that decide to dip their toes in the toxic waters of banking marijuana businesses, some banks not only don't "get it," they don't get it that they don't get...
  • Jul 10

    Pot, Meet Kettle

    Pot, Meet Kettle
    Since shortly after the onset of the financial meltdown and housing market collapse in 2008, a populist narrative has been that mortgage lenders and servicers have deprived defaulting borrowers of their rights by "robo-signing"…
Rank this Week: 880

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/
  • Jul 22

    CFPB Announces Staff Change

    CFPB Announces Staff Change
    On July 20, the CFPB announced various senior leadership changes. Chris D’Angelo will now serve as Associate Director for Supervision, Enforcement and Fair Lending. D’Angelo joined the CFPB in June 2011 from the U.S. Treasury…
  • Jul 22

    CFPB Provides Five Year Overview of Consumer Complaint

    CFPB Provides Five Year Overview of Consumer Complaint
    On July 20, the CFPB published an overview of the consumer complaints it handled between July 2011 and July 2016. According to the overview, the CFPB has handled almost one million consumer complaints, the majority of which relate to either…
  • Jul 22

    CFPB to Host Field Hearing on Debt Collection

    CFPB to Host Field Hearing on Debt Collection
    On July 28, the CFPB will host a field hearing on debt collection in Sacramento, California. CFPB Director Cordray will deliver remarks at the hearing, with consumer groups, industry representatives, and members of the public also providing…
Rank this Week: 674

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/
  • Jul 19

    Will Madden v Midland Disrupt Loan Sales and Platform Lending?

    Will Madden v Midland Disrupt Loan Sales and Platform Lending?
    Where do marketplace lenders and secondary loan market participants find themselves on the issue of preemption of state usury laws after the June 27 denial of the petition for a writ of certiorari in Madden v. Midland by the U.S. Supreme…
  • Jun 15

    Notice to Mortgage Lenders – Your Mortgage Interest Statements Must be Revised Starting in Tax Year 2016

    Notice to Mortgage Lenders – Your Mortgage Interest Statements Must be Revised Starting in Tax Year 2016
    An act passed by Congress last year makes changes to IRS Form 1098 (Mortgage Interest Statement) starting in tax year 2016 (reported commencing in calendar year 2017).  Internal Revenue Code Section 6050H(b)(2)(D) requires that a Form…
  • May 26

    A Proposition 65 Violation May Be Lurking in Your Cash Register Receipt

    A Proposition 65 Violation May Be Lurking in Your Cash Register Receipt
    Many consumer-facing businesses have learned to identify high-risk Prop 65 targets:  soft, flexible plastics; faux and colored leathers; and any kind of brass or metal that may contain lead or other heavy metals.  But businesses…
Rank this Week: 901

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: 1000

Venture Law Lines

Venture Law Lines

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

http://venturelaw.blogspot.com/
  • Nov 17

    When University Commercialization Offices Turn Troll

    When University Commercialization Offices Turn Troll
    Bloomberg reports that the patent licensing office at the University of New Mexico has launched a lawsuit against Intel alleging infringement of a UNM patent for a process of making circuit boards.The lawsuit comes on the heels of rumoured…
  • Nov 16

    What to do When Blackberry KIKs You to the Curb

    What to do When Blackberry KIKs You to the Curb
    This morning the blogosphere was abuzz with news that Blackberry had removed KIK from the Blackberry APP World store, without apparently providing any reason for doing so. It's not clear whether this is actually the case, but let's assume for…
  • Sep 23

    Founder CEOs and Severance Agreements: Drafting tips from Mark Hurd

    Founder CEOs and Severance Agreements: Drafting tips from Mark Hurd
    The value of a severance agreements for departing CEOs lies not only in how much they promise to pay, but in what protection it preserves. Mark Hurd's agreement with HP sets out some of the subtleties that you should ensure your own…
Rank this Week: 1053

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: 937

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: 3864

The Reverse Merger & SPAC Blog

The Reverse Merger & SPAC Blog

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

http://www.reversemergerblog.com/
  • Jul 25

    7 Most Common Investment Objective

    7 Most Common Investment Objective
    Apart from measuring a standard ROI (return on investment) or avoiding investment losses, investors often have very different objectives when approaching the way they place funds. Objectives may be driven by any number of things, including…
  • Jul 18

    Why You Need a Private Placement Memorandum (PPM)

    Why You Need a Private Placement Memorandum (PPM)
    The antifraud securities laws state that it is against the law for an issuer to sell any securities by means of any oral or written communications that falsely states any material fact or fails to state all the material facts about the issuer…
  • Jul 11

    Anti-Takeover Defense

    Anti-Takeover Defense
    When outsiders attempt to induce a takeover via Tender Offer (TO) of a public company, there are a number of protections available to avoid the foreseen “hostility.” Unfortunately, some of the takeover defenses require contracts…
Rank this Week: 4261

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Jul 25

    Lynn Turner: The State of Auditing

    Lynn Turner: The State of Auditing
    As part of my “Big Legal Minds” podcast series – check out this one-hour podcast, during which Lynn Turner describes his diverse – and fascinating – career, as well as offers his perspectives on the state of…
  • Jul 22

    The High-Level “Commonsense Corporate Governance Principles”

    The High-Level “Commonsense Corporate Governance Principles”
    The effort by 13 prominent business leaders – including Warren Buffett & Jamie Dimon – and large institutional investors to draw up a set of “Commonsense Corporate Governance Principles” is complete. Not an easy…
  • Jul 21

    More on “Congress Being Congress: What Does “Defunding” a Rule Even Mean?”

    More on “Congress Being Congress: What Does “Defunding” a Rule Even Mean?”
    Recently, I blogged about how it wasn’t clear what Congress would mean if it passed a budget bill that wouldn’t allow the SEC to conduct rulemaking or enforce certain rules. I indicated that the SEC hasn’t been faced with…
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/
  • Jul 24

    Company Worries About Retirement Readine

    Company Worries About Retirement Readine
    According to a new report from Willis Towers Watson, corporations worry that employees cannot afford to leave the labor force on schedule. Fearing higher costs, many employers describe anemic retirement readiness as a "top…
  • Jul 17

    Emojis and Workplace Communication

    Emojis and Workplace Communication
    In case you missed the party invitation, July 17 is World Emoji Day. There's even a snappy anthem if you feel like dancing and singing to celebrate this annual event. A Twitter search using the hashtag #WorldEmojiDay reveals favorites by…
  • Jun 28

    Pensions and Politic

    Pensions and Politic
    Since I started this blog a decade ago, I've repeatedly lamented the unfortunate situations when investment decisions are determined by politics rather than based on prudent process. As I read "Teachers Union and Hedge Funds War Over Pension…
Rank this Week: 3094

The Venture Alley

The Venture Alley

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

http://www.theventurealley.com
  • Jul 22

    Privacy Shield is final: What it means for businesse

    Privacy Shield is final: What it means for businesse
    The US Department of Commerce announced that it will begin accepting applications for Privacy Shield certifications beginning on August 1. For US organizations collecting personal data from the EU, the past year has been an anxious one, as…
  • Jul 20

    At the Intersection of Business, Law and Technology; DLA Piper’s Global Tech Summit

    At the Intersection of Business, Law and Technology; DLA Piper’s Global Tech Summit
    The pace of innovation and adoption in technology – fast and getting faster – has long presented a stark contrast to the deliberate pace of change in the law. That contrast is greater than ever today, as entrepreneurs and…
  • Jul 7

    So Your Fund Wants to Invest in Canada, Eh?

    So Your Fund Wants to Invest in Canada, Eh?
    Despite a recent cooling in the overall investment climate, the number of active U.S. venture investors in Canada has more than doubled over the past five years. This migration north coincides with a climb in overall venture investment…
Rank this Week: 3769

AG Deal Diary

AG Deal Diary

A collection of insights and analysis on hot topics impacting companies, funds, dealmakers and directors. By Akin Gump.

http://www.akingump.com/en/experience/practices/corporate/ag-deal-diary/index.html
  • Jul 21

    SEC Proposes Amendments to Update and Simplify Certain Disclosure Requirement

    SEC Proposes Amendments to Update and Simplify Certain Disclosure Requirement
    On July 13, 2016, the U.S. Securities and Exchange Commission (SEC) proposed amendments designed to update and simplify certain disclosure requirements that may have become redundant, duplicative, overlapping, outdated or superseded as a…
  • Jul 20

    Beyond Brexit Checklist

    Beyond Brexit Checklist
    Akin Gump launched its Beyond Brexit as an immediate response to the result of the EU Referendum.  The blog serves as a knowledge hub, providing resources and information on the regulatory and policy impact of Brexit.One highlight is our…
  • Jul 17

    M&A Market Update

    M&A Market Update
    In the first half of 2016, middle market M&A was down 6.3% as compared with the first half of 2015.  Thomson Reuters data shows that global M&A totaled $429.2 billion year to date. Click here for their full analysis of 2016…
Rank this Week: 2157

Financial Institutions Legal…

Financial Institutions Legal Snapshot

Covers banking, finance and insurance law in South Africa. By Norton Rose Fulbright.

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

    Poor air quality as physical damage

    Poor air quality as physical damage
    In Oregon a Shakespeare festival was forced to cancel shows because wildfire smoke filled the outdoor theatre. They sought to recover under their policy for loss of profits. The policy covered ‘direct physical loss of or damage to…
  • Jul 18

    No coverage for landfill clean-up – not sudden and accidental

    No coverage for landfill clean-up – not sudden and accidental
    A US Supreme Court reversed a lower court’s decision awarding $9.1 million to an insured company for the company’s defence costs of litigation over a clean-up of a landfill in Massachusetts. The clean-up was done under the…
  • Jul 13

    Skydiving accident excluded

    Skydiving accident excluded
    A US federal judge has held that the insurer of a New Jersey airport owed no coverage in an underlying lawsuit stemming from injuries suffered during a skydiving accident because of the policy exclusion for injuries arising out of any…
Rank this Week: 2117

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/
  • Jul 19

    PILLSBURY BREAKFAST EVENT CONNECTS WOMEN ENTREPRENEURS WITH WOMEN INVESTORS

    PILLSBURY BREAKFAST EVENT CONNECTS WOMEN ENTREPRENEURS WITH WOMEN INVESTORS
    Pillsbury is hosting Plum Alley Investments, a private-membership on-line platform connecting women investors with businesses run by women entrepreneurs.  The breakfast will feature an intimate conversation about shaping the world by…
  • Jul 7

    Rising Hedge Funds Stars Discuss Keys to Succe

    Rising Hedge Funds Stars Discuss Keys to Succe
    Pillsbury is hosting a hedge fund startup event with 100 Women in Hedge Funds next Thursday, July 14.  Experts representing two firms named as Institutional Investor’s 2015 Hedge Fund Rising Stars will discuss the essentials to…
  • Jul 1

    SEC wants Registered Advisers to Adopt Written Business Continuity and Transition Plan

    SEC wants Registered Advisers to Adopt Written Business Continuity and Transition Plan
    In line with the Securities and Exchange Commission’s (SEC) goal to enhance regulatory safeguards in the asset management industry, the SEC yesterday released a proposed new rule and rule amendments under the Investment Advisers Act of…
Rank this Week: 3151

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
  • Jul 19

    Wells Fargo Customer Wins $181,000 For Failure to Cash Out

    Wells Fargo Customer Wins $181,000 For Failure to Cash Out
    BrokeAndBroker.com Blog publisher Bill Singer doesn't like today's reported FINRA Arbitration Decision involving a customer complaint. First, it's unclear whether the customer claims alleged misconduct that should have resulted in any…
  • Jul 18

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
    Feds Unfriend Facebook Fraud FleecersOne of the things that I remember about early 2012 was the number of calls that I was getting asking my legal opinion about any number of deals whereby some group or individual purportedly had purchased…
  • Jul 15

    Feds Unfriend Facebook Fraud Fleecer

    Feds Unfriend Facebook Fraud Fleecer
    One of the things that I remember about early 2012 was the number of calls that I was getting asking my legal opinion about any number of deals whereby some group or individual purportedly had purchased thousands of shares before the…
Rank this Week: 3726

RIA Compliance Blog

RIA Compliance Blog

Covers registered investment advisor regulations. By Parker MacIntyre.

http://www.riacomplianceblog.com/
  • Jul 19

    SEC Fines Broker-Dealer for Failing to Protect Confidential Client Information

    SEC Fines Broker-Dealer for Failing to Protect Confidential Client Information
    Increased focus on cybersecurity by the Security Exchange Commission’s (“SEC”) continues as it recently issued charges against Morgan Stanley Smith Barney (“Morgan Stanley”) for failing to adopt written policies…
  • Jul 15

    SEC Proposes Business Continuity and Transition Plan Rule for RIA

    SEC Proposes Business Continuity and Transition Plan Rule for RIA
      The Securities and Exchange Commission (SEC) has frequently said that an investment adviser’s fiduciary duty requires an adviser to plan for unexpected disruptions in business. Consequently, advisers have developed business…
  • Jun 28

    SEC Charges Private Fund Administrator with Failure to Satisfy Gatekeeper Responsibilitie

    SEC Charges Private Fund Administrator with Failure to Satisfy Gatekeeper Responsibilitie
    The Securities Exchange Commission (“SEC”) recently settled charges against a New Jersey private fund administrator, Apex Fund Services (“Apex”), for failing to notice or correct what it contended were clear…
Rank this Week: 3279

Payment Law Advisor

Payment Law Advisor

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

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

    Cybersecurity Response to Recent Wholesale Payment Systems Breache

    Cybersecurity Response to Recent Wholesale Payment Systems Breache
    In February 2016, hackers stole $81 million from the Bangladesh central bank by sending fraudulent messages through the Society for Worldwide Interbank Financial Telecommunication (SWIFT) messaging system. Three months later, hackers…
  • Jul 13

    PCI DSS v. 3.2: New Requirements Coming to Protect Your Customers’ Wallet

    PCI DSS v. 3.2: New Requirements Coming to Protect Your Customers’ Wallet
    PCI Council announces that new requirements will be considered “best practices” until compliance becomes mandatory on Feb.1, 2018 The Payment Card Industry (PCI) Security Standards Council (PCI Council) released Version 3.2 of the…
  • Jul 8

    NYDFS Issues Regulation Addressing Anti-Money Laundering Transaction Monitoring and Filtering Requirement

    NYDFS Issues Regulation Addressing Anti-Money Laundering Transaction Monitoring and Filtering Requirement
    On June 30, 2016, the New York Department of Financial Services (NYDFS) issued a final regulation obliging regulated institutions to meet enhanced requirements for transaction monitoring and filtering programs aimed at preventing Bank Secrecy…
Rank this Week: 1876

Private Funds Law Update

Private Funds Law Update

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

http://www.privatefundslaw.com/
Rank this Week: 3881

Strictly Business

Strictly Business

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

http://www.strictlybusinesslawblog.com/
  • Jul 12

    The Pros and Cons of Taking Venture Capital Money

    The Pros and Cons of Taking Venture Capital Money
    In many ways, the dilemma of deciding whether to take venture capital money from an interested VC firm can be filed under “Good Problems to Have.” The majority of startups never get to this point, either failing outright, or, even…
  • Jun 14

    5 Questions to Answer As You Prepare Your Startup for a Seed or Angel Round

    5 Questions to Answer As You Prepare Your Startup for a Seed or Angel Round
    Last month I wrote about the four stages of startup capital – (1) seed rounds, (2) angel rounds, (3) venture rounds, and (4) bridge/pre-ipo stage rounds. This month we’ll take a look at what startups need to do to prepare…
  • May 16

    Title III Crowdfunding Is Here

    Title III Crowdfunding Is Here
    Title III crowdfunding is here! The first funding portals can begin operations today, May 16, 2016. On Friday, I was a guest on the “This Week in Law” Podcast, where I talked about the impact this will have on startups, technology…
Rank this Week: 2923

NC Business & Banking Law Blog

NC Business & Banking Law Blog

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

http://bizlawnc.com/
  • Jul 8

    North Carolina Adopts A Virtual Currency Statute

    North Carolina Adopts A Virtual Currency Statute
    House Bill 289, passed by the General Assembly this week, re-writes the Money Transmitters Act and includes a new concept of Virtual Currency.  The North Carolina Commissioner of Banks will soon be regulating those who engage in Bitcoin…
  • Jul 5

    Business Associates Beware! The Feds Are Coming!

    Business Associates Beware! The Feds Are Coming!
    If your organization is a business associate of a HIPAA covered entity (such as a health care provider or employee health benefit plan), you should know that the Department of Health and Human Services' Office of Civil Rights (OCR) is…
  • Jul 4

    North Carolina (Finally) Passes Crowdfunding Law

    North Carolina (Finally) Passes Crowdfunding Law
    Just days ago--on June 29--the North Carolina General Assembly passed a crowdfunding bill, which the Governor is expected to sign shortly.  What does this mean for North Carolina businesses and North Carolina investors? (If the…
Rank this Week: 3739

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Jul 6

    Scienter Samba

    Scienter Samba
    The Sixth Circuit continues to be a source of interesting opinions regarding corporate scienter.  In 2014, the court held in its Omnicare decision that only a limited set of corporate officers (including officers who had either…
  • May 25

    Shaky Ground

    Shaky Ground
    In Halliburton II, the U.S. Supreme Court held that defendants can rebut the fraud-on-the-market presumption of reliance at the class certification stage with evidence of a lack of stock price impact.  In a typical case, where the…
  • Apr 25

    Tell Me Something New

    Tell Me Something New
    Plaintiffs often establish the existence of loss causation by pointing to a “corrective disclosure” that allegedly revealed the fraud and led to a stock price decline. What a disclosure must contain to be deemed…
Rank this Week: 2358

The Swap Report

The Swap Report

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

http://www.theswapreport.com/
Rank this Week: 3884

Financial Regulatory Report

Financial Regulatory Report

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

http://www.financialregulatoryreport.com/
  • Jun 17

    FCA Enforcement Action Overview

    FCA Enforcement Action Overview
    Reed Smith’s Enforcement Action by the FCA 2016 is a useful overview of enforcement action taken by the FCA in 2016.  Enforcement action is important in terms of showing where the focus of the regulator is in terms of…
  • May 11

    CFPB Moves Forward With Proposal To Ban Class Action Waivers In Arbitration

    CFPB Moves Forward With Proposal To Ban Class Action Waivers In Arbitration
    The Consumer Financial Protection Bureau has published its long anticipated 377-page proposed rule to bar banks and regulated financial institutions from including class action waivers in mandatory arbitration provisions in consumer…
  • May 6

    Federal Regulator Issues Proposed Rule Aimed at Incentive Compensation Policies of Banking Organization

    Federal Regulator Issues Proposed Rule Aimed at Incentive Compensation Policies of Banking Organization
    On April 21, 2016, the National Credit Union Administration (collectively, with the Office of the Comptroller of the Currency, Treasury, Board of Governors of the Federal Reserve System, Federal Deposit Insurance Corporation, Federal Housing…
Rank this Week: 3885

Florida Banking Law Blog

Florida Banking Law Blog

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

http://www.floridabankinglawblog.com/
Rank this Week: 3557

Al-Mirsal

Al-Mirsal

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

http://www.al-mirsal.com/
  • Jun 2

    Climate Change Further Threatens MENA Water Security

    Climate Change Further Threatens MENA Water Security
    Climate Change Further Threatens MENA Water Security The Middle East and North Africa (MENA) is home to 14 of the 33 most water scarce countries globally, with six times less water availability than the worldwide average and less than 2…
  • May 25

    Telemedicine in the UAE

    Telemedicine in the UAE
    Telemedicine is a product of 20th century information and communication technologies. It is generally defined as the provision of healthcare services from a healthcare professional to a patient from a remote location using a telephone or the…
  • Mar 31

    New Saudi Companies Law – Accumulated Losses and Risk of Statutory Dissolution

    New Saudi Companies Law – Accumulated Losses and Risk of Statutory Dissolution
    For the past few decades, the obligations of companies with losses reaching 50% or more of their share capital has been a topic of high debate in the Kingdom of Saudi Arabia. That is due to the uncertainty surrounding the application of…
Rank this Week: 3640

RESPA Lawyer Blog

RESPA Lawyer Blog

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

http://www.respalawyer.com/
Rank this Week: 4286

That Credit Union Blog

That Credit Union Blog

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

http://thatcreditunionblog.wordpress.com
  • Feb 24

    How IRS Form 982 Can Aid Credit Unions and their Members with Debt Settlement

    How IRS Form 982 Can Aid Credit Unions and their Members with Debt Settlement
    By: Nicholas K. Rohner, Esq. For any credit union seeking to negotiate with one of its members over a lump-sum settlement of the member’s delinquent, unsecured debt,[1] one potential roadblock is IRS Form 1099-C. This form reports the…
  • Nov 20

    Bankruptcy Forms to Change December 1st

    Bankruptcy Forms to Change December 1st
    By Keri P. Ebeck, Partner As of December 1, 2015, the United States Bankruptcy Courts will mandate usage and filing of the forms approved at the Judicial Conference in September 2015. Although many of the official bankruptcy forms will…
  • Oct 16

    Fraud Alert-Forged Paystub

    Fraud Alert-Forged Paystub
    By Matthew M. Young, Attorney While forging paystubs to obtain credit is not a new concept, I have a number of credit unions that have advised me of an alarming increase in the use of these phony documents to support employment and…
Rank this Week: 1740

Southeast VC

Southeast VC

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

http://southeastvc.blogs.com/southeast_vc/
  • Feb 11

    Public SaaS Valuations Are Diving. How Should You React?

    Public SaaS Valuations Are Diving. How Should You React?
    I received data 48 hours ago from Pacific Crest which shows valuations of SaaS companies in a sharp decline. Given 90% of our investments are into software companies, this is very relevant and I forwarded the data to a few...
  • Sep 14

    Why It's a Mistake to Raise Money Too Soon

    Why It's a Mistake to Raise Money Too Soon
    The topic of raising money is popular with many entrepreneurs. But here is some great advice to from Joel Holland, CEO Washington DC-based VideoBlocks. He tells founders to wait as long as possible and not have a "race to raise."...
  • Jun 16

    Andreessen Horowitz: What's Going on in Venture Capital

    Andreessen Horowitz: What's Going on in Venture Capital
    Really good deck from Scott Kupor and the guys at Andreessen Horowitz on the current VC market and thought it would be good to share here. Topics: What's going on in the public markets. What are all these unicorns What's...
Rank this Week: 2380

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/
  • Feb 3

    A Couple Of Things Not To Do In The NC Business Court

    A Couple Of Things Not To Do In The NC Business Court
    The NC Business Court's decision last month in Krawiec v. Manly, 2016 NCBC 7, illustrates a couple of things not to do in the Court. Don't Make "Aiding and Abetting" Claims The Plaintiff made a claim against some of the Defendants for aiding…
  • Jan 18

    Arbitration Provision Which Completely Prohibited Any Discovery Enforced By NC Business court.

    Arbitration Provision Which Completely Prohibited Any Discovery Enforced By NC Business court.
    I don't draft arbitration provisions in agreements, but if I did I would not draft one like the one in Taggart v. Physicians Pharmacy Alliance, Inc.  Not because it turned out to be unenforceable, but because it was found to be…
  • Jan 12

    NC Business Court Revokes Pro Hac Vice Admission Of Out Of State Lawyer

    NC Business Court Revokes Pro Hac Vice Admission Of Out Of State Lawyer
    Judge McGuire came down pretty hard on a Florida attorney admitted pro hac vice (meaning "for this one particular occasion") by another Superior Court Judge, in McCarthy v. Hampton, 2016NCBC 4.  He revoked the lawyer's admission and…
Rank this Week: 1623

Lenders 360.

Lenders 360.

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

http://www.lenders360blog.com
  • Jan 26

    eSign & Commercial Finance: A License to Trash the Original Note?

    eSign & Commercial Finance: A License to Trash the Original Note?
    Are “electronic document” provisions appearing in your commercial loan documents?  This is the second in a series examining two provisions recently reviewed by me in commercial real estate transactions.   Unfortunately,…
  • Jan 26

    eSign & Commercial Finance: A License to Trash the Original Note?

    eSign & Commercial Finance: A License to Trash the Original Note?
    Are “electronic document” provisions appearing in your commercial loan documents?  This is the second in a series examining two provisions recently reviewed by me in commercial real estate transactions.   Unfortunately,…
  • Jan 5

    eSign & Commercial Finance: On the Bank Report Card in 2016

    eSign & Commercial Finance: On the Bank Report Card in 2016
    Last year, a new topic started to appear in commercial mortgage loan documents: provisions covering the use of electronic documents (aka “electronic records” or “eDocs”).  Unfortunately, two provisions examined by…
Rank this Week: 3689

Lenders 360

Lenders 360

Provides news, information and commentary on important issues affecting the financial services industry. By Higier Allen & Lautin, P.C.

http://www.lenders360blog.com/
  • Jan 26

    eSign & Commercial Finance: A License to Trash the Original Note?

    eSign & Commercial Finance: A License to Trash the Original Note?
    Are “electronic document” provisions appearing in your commercial loan documents?  This is the second in a series examining two provisions recently reviewed by me in commercial real estate transactions.   Unfortunately,…
  • Jan 26

    eSign & Commercial Finance: A License to Trash the Original Note?

    eSign & Commercial Finance: A License to Trash the Original Note?
    Are “electronic document” provisions appearing in your commercial loan documents?  This is the second in a series examining two provisions recently reviewed by me in commercial real estate transactions.   Unfortunately,…
  • Jan 5

    eSign & Commercial Finance: On the Bank Report Card in 2016

    eSign & Commercial Finance: On the Bank Report Card in 2016
    Last year, a new topic started to appear in commercial mortgage loan documents: provisions covering the use of electronic documents (aka “electronic records” or “eDocs”).  Unfortunately, two provisions examined by…
Rank this Week: 2056

Kueser Law Firm Blog

Kueser Law Firm Blog

Covers securities and investment fraud, as well as other consumer and investor-related issues.

http://blog.jmkesquire.com
  • Jan 14

    When is “Rate of Return” not the Real Rate of Return?

    When is “Rate of Return” not the Real Rate of Return?
    Investors need to be careful when they review and rely on performance reports provided by their stockbroker or financial advisor.  I recently reviewed a performance report that was provided to an investor by a major warehouse brokerage…
  • Apr 8

    FINRA BrokerCheck: Beware the … Blue … Flags?

    FINRA BrokerCheck: Beware the … Blue … Flags?
    FINRA recently underwent some changes to its BrokerCheck website.  For those that do not know, BrokerCheck is the online repository in which the Financial Industry Regulatory Authority (FINRA) discloses certain information about stock…
  • Mar 27

    FINRA Securities Arbitration Statistics – February 2011

    FINRA Securities Arbitration Statistics – February 2011
    FINRA recently reported its February 2011 arbitration statistics. For the two-month period ended February 28, 2011, 837 claims were filed. This represents a decrease of 9% as compared to the number of cases filed in February 2010 (918). The…
Rank this Week: 4726

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/
Rank this Week: 1466

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/
  • Jun 11

    Mid-2015 Mortgage Crisis Update – The Repurchase Demands Continue

    Mid-2015 Mortgage Crisis Update – The Repurchase Demands Continue
    In the aftermath of the financial crisis, Fannie Mae and Freddie Mac aggressively demanded Wall Street and big bank aggregators (“aggregators”) repurchase millions of defaulted and distressed loans, due to purported breaches…
  • May 20

    Wells Accused of Profiting from Foreclosure Relief Program

    Wells Accused of Profiting from Foreclosure Relief Program
    A recent class action lawsuit filed on behalf of thousands of homeowners in New York against Wells Fargo alleges that while the bank received $25 billion in government bailout funds it failed to make a good faith effort to help…
  • May 12

    CFPB, DOJ Show Renewed Interest in Pursuing “Redlining” Case

    CFPB, DOJ Show Renewed Interest in Pursuing “Redlining” Case
    Evidence is mounting that the Consumer Financial Protection Bureau (CFPB) and the Department of Justice (DOJ) are taking a renewed interest in investigating possible redlining—the practice of lenders charging certain groups more for…
Rank this Week: 3693

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/
  • Apr 17

    Novedosa alternativa para monetizar tu trabajo creativo. Podcast #167

    Novedosa alternativa para monetizar tu trabajo creativo. Podcast #167
    Monetizar (tener ingresos) las creaciones en linea en México y en algunos lugares de latinoamérica no ha sido fácil  de productos en internet. Dios sabe que yo también he batallado a pesar de generar contenido…
  • Apr 13

    ¿Invertir sin miedo? Descubre como lograrlo

    ¿Invertir sin miedo? Descubre como lograrlo
    No se pueden tener unas finanzas sólidas si solo ahorras. Ahorrar es la primera parte de la ecuación. ¿La segunda? Es invertir. Hacer que ese dinero que ya ahorraste ¡crezca! El problema es que si nadie nos…
  • Apr 10

    Evita el NO de los mejores proveedores y clientes Podcast #166

    Evita el NO de los mejores proveedores y clientes Podcast #166
    En el podcast #162 El Arte de Pedir explico los pequeños y a veces grandes detalles que hacen que uno reciba un NO cuando se pide algo. Mi querida invitada a este podcast Leonora Varo quiso retomar un poco el tema con un ángulo…
Rank this Week: 4695