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Mortgage Fraud Blog

Mortgage Fraud Blog

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

http://mortgagefraudblog.com/
  • Mar 30

    Former Head Teller Sentenced for Fraudulent Loan Scheme

    Former Head Teller Sentenced for Fraudulent Loan Scheme
    Mortgage Fraud Blog. Teresa Wieringo Humphries, 60, Madison Heights, Virginia, the former head teller of the Lynrocten Credit Union, Lynchburg, Virginia, was sentenced on federal embezzlement charges for her role in a scheme whereby she, and…
  • Mar 30

    Mortgage Fraudster Receives 11 Year Prison Sentence

    Mortgage Fraudster Receives 11 Year Prison Sentence
    Mortgage Fraud Blog. Jonathan L. Herbert, 36, Lighthouse Point, Florida, was sentenced to 140 months in federal prison for wire fraud concerning his bogus loan modification programs that duped struggling homeowners into sending their mortgage…
  • Mar 30

    Jury Convicts Bank Credit Officer of Falsifying Loan Losse

    Jury Convicts Bank Credit Officer of Falsifying Loan Losse
    Mortgage Fraud Blog. Ebrahim Shabudin, 66, Moraga, California, was convicted by a jury on seven felony counts of conspiracy, securities fraud, and other corporate fraud offenses stemming from the failure of United Commercial Bank. The…
Rank this Week: 3

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Mar 30

    Congressman Proposes to Make Insider Trading a Federal Crime

    Congressman Proposes to Make Insider Trading a Federal Crime
    [This story previously appeared in Securities Regulation Daily.]By John Filar AtwoodInsider trading would be classified as a federal crime under a new legislative proposal introduced by Rep. Jim Himes (D-Conn). The bill, drafted under…
  • Mar 28

    SEC Investor Advocate to Keynote NASAA’s Public Policy Conference

    SEC Investor Advocate to Keynote NASAA’s Public Policy Conference
    [This story previously appeared in Securities Regulation Daily.]By John M. Jascob, J.D.NASAA has announced that SEC Investor Advocate Rick Fleming will keynote NASAA’s 30th Annual Public Policy Conference next month in Washington,…
  • Mar 27

    CFTC Commissioner Bowen Addresses Risk Management

    CFTC Commissioner Bowen Addresses Risk Management
    [This story previously appeared in Securities Regulation Daily.]By R. Jason Howard, J.D.CFTC Commissioner Sharon Y. Bowen spoke before the 17th Annual OpRisk North America on March 25th to discuss operational risk, an issue she described…
Rank this Week: 115

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/
  • Mar 27

    FTC Announces Results of “Operation Ruse Control” on Auto Industry

    FTC Announces Results of “Operation Ruse Control” on Auto Industry
    On March 26, the FTC announced the results of Operation Ruse Control, “a nationwide and cross-border crackdown” on the auto industry with the intent to protect consumers who are purchasing or leasing a car. Efforts taken jointly…
  • Mar 27

    Treasury Deputy Secretary Raskin Delivers Remarks On Cyber Security

    Treasury Deputy Secretary Raskin Delivers Remarks On Cyber Security
    On March 25, Department of the Treasury’s Deputy Secretary Raskin delivered remarks regarding the agency’s efforts to enhance cybersecurity as the number of cyber-attacks continue to increase. Raskin outlined three specific areas…
  • Mar 27

    Comptroller Curry Remarks on OCC Assistance to Mutual Savings Associations and Community Bank

    Comptroller Curry Remarks on OCC Assistance to Mutual Savings Associations and Community Bank
    On March 23, OCC Comptroller Curry delivered remarks at the ABA Mutual Community Bank Conference regarding the agency’s supervision of mutual savings associations and community banks. Curry focused on the agency’s ongoing efforts…
Rank this Week: 184

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/
  • Mar 29

    CFPB Spin Is Unspun

    CFPB Spin Is Unspun
    For those readers who have failed to parse the nuances of the CFPB's 728-page report to Congress on mandatory arbitration provisions in consumer contracts (mandated by Franken-Dodd), Ballard Spahr has you covered. They've not only read it,…
  • Mar 25

    De Novo Logjam "Open"?

    De Novo Logjam "Open"?
    No sooner do we post an article about how the dearth of new bank charters appears to be a critical (if not the critical) factor in the phenomenon known as "the incredibly shrinking community banking universe" than out of the...
  • Mar 23

    Lawmen Sue To Stop The (Reefer) Madne

    Lawmen Sue To Stop The (Reefer) Madne
    You would think that when all a state wants to do is let weed-lovers light up, their neighbors would just chill and let them have serious conversations, along the lines of the following: The Dude: It's like what Lenin said......
Rank this Week: 232

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: 270

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Mar 30

    Board Composition: Insights From Investor

    Board Composition: Insights From Investor
    With board composition and renewal under increasing scrutiny, this recent EY report summarizing views of institutional investors, investor associations and advisors about board composition and board composition disclosure is instructive.…
  • Mar 27

    Proxy Statements: Pru Includes Lead Director Video

    Proxy Statements: Pru Includes Lead Director Video
    Last year, I blogged about how to file video on EDGAR – and predicted that the use of video in SEC filings would explode over the next decade as a disclosure tool. More recently, I blogged that I thought we would see more video during…
  • Mar 26

    SEC Adopts Reg A+

    SEC Adopts Reg A+
    Yesterday, the SEC adopted rules and forms under Section 3(b) of the Securities Act – known as “Reg A+” – as required by Section 401 of the JOBS Act. The 453-page adopting release was posted last night (so no law firm…
Rank this Week: 321

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: 318

Sharesleuth.com

Sharesleuth.com

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

http://sharesleuth.com/
  • 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,…
  • 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…
Rank this Week: 341

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: 469

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/
  • Mar 27

    Afianzadoras, uso del crédito y reclamos a banco. Podcast #165

    Afianzadoras, uso del crédito y reclamos a banco. Podcast #165
    DESCARGA, ESCUCHA Y ¡COMPARTE! Este podcast dura 23 minutos Escuchando el episodio #165 de Lana&Podcast ¡descárgalo!Click To Tweet   Que encontrarás en este episodio Qué es una finaza. Un ejemplo de…
  • Mar 20

    12 Fórmulas para saber cuanto debes ahorrar Podcast #164

    12 Fórmulas para saber cuanto debes ahorrar Podcast #164
    ¿Cuanto debo ahorrar? ¿el 10% de mi sueldo? ¿el 20? ¿y si tengo deudas? No siempre es fácil saber cuanto es lo ideal a lo que debemos llegar en cantidad de ahorro. Por supuesto, más es mejor pero…
  • Mar 18

    ¿Conoces estas verdades financieras?

    ¿Conoces estas verdades financieras?
    Puede que no lo sepas, y estés comentiendo algún error… mejor écha un vistazo a estas aplastantes e indiscutibles verdades financieras. Cómpartelas y pása la voz.
Rank this Week: 576

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: 550

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: 553

Mandelman Matters

Mandelman Matters

Covers the foreclosure crisis. By Martin Andelman.

http://mandelman.ml-implode.com
  • Feb 24

    Study Shows Foreclosure-related Suicides Doubled, 2006 – 2010

    Study Shows Foreclosure-related Suicides Doubled, 2006 – 2010
    Well, finally, (at least as far as I’m concerned) the American Journal of Public Health has published the results of a comprehensive study on foreclosure- and eviction-related suicide, which it should come as little surprise, shows has…
  • Feb 20

    How & Why I Fell in Love with the Reverse Mortgage

    How & Why I Fell in Love with the Reverse Mortgage
    Nothing else does what a reverse mortgage does. There’s no real alternative because any other type of home equity loan would require you to make monthly payments, and you can’t retire with high monthly payments or you could end up…
  • Feb 19

    As Goes California’s Housing Market, So Will Go the Nation’s.

    As Goes California’s Housing Market, So Will Go the Nation’s.
    Home sales volume and home prices in Southern California are falling… precipitously. As in… both volume and prices are going down. There are two things I would add to this fact: 1. It’s not just happening here. 2. It…
Rank this Week: 624

Southeast VC

Southeast VC

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

http://southeastvc.blogs.com/southeast_vc/
  • Feb 23

    Be Proactive to Grow Your Busine

    Be Proactive to Grow Your Busine
    I had coffee with a local service provider last week. I am always up for meeting new people and it was the first time we had met. Our conversation went really well, but he mentioned he was very disappointed one...
  • Nov 20

    Scott Kupor Andreessen Horowitz Speaks with Entrepreneurs at BCVP

    Scott Kupor Andreessen Horowitz Speaks with Entrepreneurs at BCVP
    We invited some local tech founders over to our office Wednesday night to meet Scott Kupor Managing Partner at Andreessen Horowitz. We have been close with Scott since before he joined Andreessen Horowitz. We thought this would be a good...
  • 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...
Rank this Week: 598

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/
  • Mar 27

    Dead Partner And Disqualification

    Dead Partner And Disqualification
    The Business Court on Wednesday disqualified  a law firm from representing its longtime corporate client in a lawsuit against the corporation's former CEO and Chairman of its Board of Directors. The basis for the ruling in Kingsdown Inc.…
  • Mar 23

    If You Are Proceeding Pro Se In The Business Court It Is Best Not To Be Defiant

    If You Are Proceeding Pro Se In The Business Court It Is Best Not To Be Defiant
    It's probably never a good idea to proceed without a lawyer in any Court, but if you are a non-lawyer and insist on proceeding pro se in the Business Court, don't be defiant and obnoxious.  You will not like the result. Two of the…
  • Mar 5

    There Is A Difference Between "Inducing" Something and "Causing" Something

    There Is A Difference Between "Inducing" Something and "Causing" Something
    If you asked me to list my favorite torts, tortious interference with prospective economic advantage would be near the bottom of the list. But that tort was front and center in Judge McGuire's Opinion in KRG New Hill Place, LLC v. Springs…
Rank this Week: 883

Ponzitracker

Ponzitracker

Covers Ponzi schemes. By Jordan Maglich.

http://www.ponzitracker.com/
  • Jan 27

    SEC Charges Wisconsin Man With $10.4 Million Ponzi Scheme

    SEC Charges Wisconsin Man With $10.4 Million Ponzi Scheme
    A Wisconsin man was charged by the Securities and Exchange Commission with operating a Ponzi scheme that took in more than $10 million from at least 122 investors.  Loren Holzhueter, 69, was the subject of an emergency enforcement action…
  • Jan 26

    Ohio CPA Gets 21 Years For Role In $40 Million Ponzi Scheme

    Ohio CPA Gets 21 Years For Role In $40 Million Ponzi Scheme
    An Ohio man was sentenced to serve twenty-one years in federal prison for his role in funnelling investors to the massive "Black Diamond" Ponzi scheme that ultimately duped over 400 investors out of at least $40 million.  Jonathan…
  • Jan 26

    California Men Plead Guilty To $100 Million ATM Ponzi Scheme

    California Men Plead Guilty To $100 Million ATM Ponzi Scheme
    Two California men have entered guilty pleas to operating a massive Ponzi scheme that allegedly caused losses of over $100 million to victims who thought they were investing in a profitable ATM leasing operation.  Joel Barry Gillis, 74,…
Rank this Week: 865

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: 757

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/
  • Mar 30

    Foreign RTOs: Separating the Wheat from the Chaff

    Foreign RTOs: Separating the Wheat from the Chaff
    Yes it is possible to have a non U.S.-based entity go public in the United States. It’s long been a way for private, foreign companies to gain access to the lucrative U.S. capital markets without having to pay the large underwriting…
  • Mar 23

    Intellectual Property: Patents, Trademarks & Contracts for Public Offering

    Intellectual Property: Patents, Trademarks & Contracts for Public Offering
    When it comes time to take your company public, the SEC doesn’t care if your company isn’t profitable. They don’t care whether or not there is a great deal of cash in the bank. They don’t care if you’re a startup…
  • Mar 16

    Acting Like a Public Company Before Becoming One

    Acting Like a Public Company Before Becoming One
    Wanting to be a public company and actually being one are two somewhat competing ideals. The most successful initial public offerings maintain some semblance of a public company long before they actually make the fateful step into the public…
Rank this Week: 1134

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: 1070

Financial Regulatory Report

Financial Regulatory Report

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

http://www.financialregulatoryreport.com/
  • Mar 23

    Travis Nelson to Speak on Examinations and Enforcement at NJ Bankers' Compliance University

    Travis Nelson to Speak on Examinations and Enforcement at NJ Bankers' Compliance University
    On Wednesday, March 25, 2015, Travis Nelson, of Reed Smith’s Princeton and New York offices, will give his annual lecture at the New Jersey Bankers Association’s Compliance University. This year Travis will focus on recent…
  • Mar 20

    CFPB's Complaints Policy Spurs Many Complaints (From Industry)

    CFPB's Complaints Policy Spurs Many Complaints (From Industry)
    Financial institutions are not happy about the CFPB’s announcement that it will begin posting the narratives of some consumer complaints in June. When the CFPB first proposed the idea last summer, banks and industry groups made several…
  • Mar 12

    "Abusive" further defined by court as CFPB case against ITT Tech moves forward

    "Abusive" further defined by court as CFPB case against ITT Tech moves forward
    On March 9, District Judge Sarah Evans Barker issued her long-anticipated order on the motion to dismiss in CFPB v. ITT Educational Services, Inc., No. 1:14-cv-00292 (S.D. Ind.). Judge Barker denied ITT’s motion to dismiss the…
Rank this Week: 1091

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/
  • Mar 23

    CFPB Issues Compliance Bulletin On Confidentiality of Supervisory Information

    CFPB Issues Compliance Bulletin On Confidentiality of Supervisory Information
    On January 27, 2015, the Consumer Financial Protection Bureau (“CFPB”) issued a compliance bulletin reminding supervised financial institutions (including large depository institutions, credit unions and their affiliates, certain…
  • Jan 9

    No Change Of Position, No Estoppel

    No Change Of Position, No Estoppel
    Under California Law, a party seeking to defeat the statute of frauds based on promissory estoppel must allege an actual change in position.  In Jones v. Wachovia Bank, 230 Cal.App.4th 935 (2014), the California Court of Appeal affirmed…
  • Jun 20

    CFPB Has Authority to Bring Actions Against a Non-Depository Institution’s Related Persons; Are Payday Lenders Next?

    CFPB Has Authority to Bring Actions Against a Non-Depository Institution’s Related Persons; Are Payday Lenders Next?
    The Dodd-Frank Wall Street Reform and Consumer Protection Act grants to the U.S. Bureau of Consumer Financial Protection (the “CFPB”) the power to bring actions against “related persons” of non-depository…
Rank this Week: 1076

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/
  • Mar 19

    Corporate Insiders Individually Charged for Failing to Update SEC Filing

    Corporate Insiders Individually Charged for Failing to Update SEC Filing
    While we all understand that registered individuals rely on their firms to update their required filings, so do corporate officers and shareholders. The problem is that the individuals are still personally responsible for the updates - and…
  • Mar 16

    SEC News - FCPA Violations, Trade Suspensions, Whistleblower Award

    SEC News - FCPA Violations, Trade Suspensions, Whistleblower Award
    Goodyear Charged With FCPA ViolationsGoodyear Tire & Rubber Company has been charged with violating the Foreign Corrupt Practices Act (FCPA) when its subsidiaries paid bribes to land tire sales in Kenya and Angola.SEC Halts Ponzi-Like…
  • Mar 9

    Morgan Stanley breach probe shifts to hacker from fired employee

    Morgan Stanley breach probe shifts to hacker from fired employee
    U.S. authorities are investigating whether a hacker is behind the online publication of a cache of Morgan Stanley's client data and not the financial adviser who was fired in connection with the breach, according to CNN and The Wall Street…
Rank this Week: 1063

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
Rank this Week: 920

Big Four Blog

Big Four Blog

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

http://bigfouralumni.blogspot.com/
Rank this Week: 1081

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: 1062

Financial Industry Review

Financial Industry Review

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

http://blogs.orrick.com/financial/
  • Mar 30

    UBS and Capital Ventures Settle RMBS Dispute

    UBS and Capital Ventures Settle RMBS Dispute
    On March 26, Capital Ventures International and several UBS affiliates filed a stipulation of dismissal after reaching a settlement disposing of all claims in the action.  The terms of the settlement are undisclosed.  Capital…
  • Mar 30

    NCUA Sues HSBC For Alleged Breaches of Duties as Trustee for 37 RMBS Trust

    NCUA Sues HSBC For Alleged Breaches of Duties as Trustee for 37 RMBS Trust
    On March 20, the National Credit Union Administration Board, acting as liquidating agent for five failed credit unions, filed suit against HSBC USA in the Eastern District Court of Virginia.  NCUA alleged that HSBC breached its duties as…
  • Mar 30

    Appellate Court Affirms in Part Denial of Moody’s Motion to Dismiss Fraud Claim

    Appellate Court Affirms in Part Denial of Moody’s Motion to Dismiss Fraud Claim
    On March 20, the Appellate Division, Fourth Department, of the Supreme Court of New York affirmed in part and reversed in part the lower court’s denial of Defendant Moody Investor Services, Inc.’s motions to dismiss two actions…
Rank this Week: 1514

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: 1291

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
  • Mar 23

    Stockbroker Fined And Suspended For Undisclosed Insurance Biz

    Stockbroker Fined And Suspended For Undisclosed Insurance Biz
    For 20 years, one registered person timely and fully disclosed her outside business activity to her employer FINRA member firm. Inexplicably, a few years ago, she apparently embarked upon another outside business but failed to notify her firm…
  • Mar 23

    FULL TEXT Complaints And Answers in Pao v. Kleiner Perkin

    FULL TEXT Complaints And Answers in Pao v. Kleiner Perkin
    On March 27, 2015, after a month of trial testimony and three days of deliberations, a California Superior Court jury found that Plaintiff Ellen Pao had not been discriminated against by venture capital firm Defendant Kleiner Perkins…
  • Mar 23

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
    FULL TEXT Complaints And Answers in Pao v. Kleiner PerkinsOn March 27, 2015, after a month of trial testimony and three days of deliberations, a California Superior Court jury found that Plaintiff Ellen Pao had not been discriminated against…
Rank this Week: 1533

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/
  • Mar 19

    Holder of Equity Interest in Bankrupt Company not Entitled to Become Shareholder in Reorganized Entity

    Holder of Equity Interest in Bankrupt Company not Entitled to Become Shareholder in Reorganized Entity
    Authored by J. Ellsworth Summers, Jr. and Scott St. Amandand J. Ellsworth Summers, Jr. and Scott St. Amand of Rogers TowersA recent Eleventh Circuit case examines equity shareholders’ role (or lack thereof) in a reorganized…
  • Mar 17

    CMBS – Risky Business?

    CMBS – Risky Business?
    Authored by Jon Sacks and Heather S. Nasonand Jon Sacks and Heather S. Nason of Rogers TowersCommercial Mortgage-Backed Securities (CMBS) loans are on the rise and many familiar with the market are concerned with the relaxed underwriting…
  • Mar 12

    Bank of Manhattan v. FDIC

    Bank of Manhattan v. FDIC
    Authored by Scott J. Kennelly and Janet C. Owensand Scott J. Kennelly and Janet C. Owens of Rogers TowersWe have previously posted about some of the protections available under FIRREA to the FDIC as Receiver of a failed bank, including the…
Rank this Week: 1468

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
  • Mar 12

    Cashing in on Bad Check

    Cashing in on Bad Check
    By: Matthew M. Young, Attorney As a financial institution, credit unions expect to incur certain losses for members who pass bad checks; however, it is critical to utilize methods available in the law to curb such abuse. In Ohio and most…
  • Feb 26

    1099-C Filing

    1099-C Filing
    By Matthew M. Young, Attorney With tax season upon us, I want to remind credit unions of their obligation to timely file form 1099-Cs in cases of certain satisfied and charged off debts. A credit union that forgives or writes off $600 or more…
  • Jan 30

    Powers of Attorney-Built to Last

    Powers of Attorney-Built to Last
    By Matthew M. Young, Attorney Any credit union accepting powers of attorney (POA) should know that a POA ceases upon the death of the principal.  A lesser known fact relates to durable powers of attorney; the durable POA survives…
Rank this Week: 1390

BeyondVC

BeyondVC

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

http://www.beyondvc.com/
  • Feb 12

    boldstart ventures in 2014 – our etho

    boldstart ventures in 2014 – our etho
    As we look into 2014, we thought it was important to reflect on our activities in 2013 and refocus and refine our thinking and messaging as a firm. We are thematic in our approach and primarily known as seed investors with a focus on…
  • Feb 12

    boldstart ventures in 2014 – our etho

    boldstart ventures in 2014 – our etho
    As we look into 2014, we thought it was important to reflect on our activities in 2013 and refocus and refine our thinking and messaging as a firm. We are thematic in our approach and primarily known as seed investors with a focus on…
  • May 17

    Branding first starts with your team

    Branding first starts with your team
    External branding starts with developing a consistent, internal message first. When you think of branding and positioning, remember that your first line of offense and the most important representation of your company comes from your…
Rank this Week: 1217

Dividends and Preferences

Dividends and Preferences

Musings on Venture Capital, Technology and Entrepreneurship. By Hank J. Heyming.

http://www.dividendsandpreferences.com/
  • Jan 24

    Microsoft/Skype -- Putting Things into Perspective

    Microsoft/Skype -- Putting Things into Perspective
    {EAV:984c4a016f17013d} Microsoft acquires Skype! Largest Microsoft acquisition ever!! Facebook jilted!!! Google jilted!!!! Wait, Facebook wins through Microsoft!!!!! Wait, Microsoft overpaid by $4 billion with a B!!!!!! OMG Google just…
  • May 10

    Nerd Chic

    Nerd Chic
    Lately, I've noticed a new twist to the typical ebb and flow of the fashion wars.  It occurred to me that, for perhaps the first time in my lifetime, it is cool right now to be a nerd.
  • Apr 25

    Out and About

    Out and About
    Hey folks -- I'm getting ready to head down to the RTP area for the annual CED Venture Conference.  This year it is in downtown Raleigh, instead of Pinehurst, and looks to be bigger and better than ever. So, if anyone happens to be in the…
Rank this Week: 1384

Attorney R. Tamara de Silva's Blog

Attorney R. Tamara de Silva's Blog

Features a skeptical lawyer's take on financial reform, Wall Street and white collar crime.

http://attyrtamaradesilva.wordpress.com
  • Aug 19

    Fat Tail and the Bail Out

    Fat Tail and the Bail Out
    “It ain’t what you don’t know that gets you into trouble. It’s what you know for sure that just ain’t so.” Mark Twain
  • Aug 19

    Fat Tail and the Bail Out

    Fat Tail and the Bail Out
    “It ain’t what you don’t know that gets you into trouble. It’s what you know for sure that just ain’t so.” Mark Twain Risk management is the difference between success and ruin in the financial…
  • Aug 19

    Market Transparency

    Market Transparency
    Market Transparency and Accountability Act of 2009 Misses the Mark R. Tamara de Silva February 22, 2009
Rank this Week: 1264

Payment Law Advisor

Payment Law Advisor

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

http://www.paymentlawadvisor.com/
  • Mar 30

    Big Three Credit Bureaus Announce Consumer Financial Assistance Plan

    Big Three Credit Bureaus Announce Consumer Financial Assistance Plan
    Earlier this month, Equifax, Experian and TransUnion announced the creation of the “National Consumer Assistance Plan,” which will, among other things, change the way these credit bureaus handle consumer disputes and report unpaid…
  • Mar 26

    Anatomy of a Consent Order: “Gizmo” Case Study

    Anatomy of a Consent Order: “Gizmo” Case Study
    On March 26, 2015, DWT payments team member Andy Lorentz was a presenter at ACI’s 9th Emerging Payments System conference in Chicago, IL. His panel focused on the topic of “Ensuring Compliance with the Increasingly Aggressive…
  • Mar 25

    PayPal to Pay Dearly for Alleged Violations of OFAC Sanction

    PayPal to Pay Dearly for Alleged Violations of OFAC Sanction
    The U.S. Department of the Treasury’s Office of Foreign Assets Control (OFAC) has announced a $7,658,300 settlement with PayPal, Inc. (PayPal) to resolve potential civil liability for 486 alleged violations of the Iranian, Sudanese,…
Rank this Week: 1953

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/
  • Mar 29

    Investment Committee Teamwork

    Investment Committee Teamwork
    Watching the Rockettes dancing in sync to foot-stomping music this weekend was a good reminder that team work requires attention and commitment. My guess is that these ladies can't miss a step and expect to stay employed for too long. It's…
  • Mar 25

    Pension Risk Governance Blog Still Going Strong After Nine Year

    Pension Risk Governance Blog Still Going Strong After Nine Year
    Nine years today marked the debut of www.pensionriskmatters.com. Since then, I am proud to say that traffic has steadily grown, with continued feedback and suggestions about all sorts of topics. I am deeply grateful to visitors to this…
  • Mar 17

    Not Everyone Gets a Pot of Gold at the End of the Rainbow

    Not Everyone Gets a Pot of Gold at the End of the Rainbow
    On March 17, the Irish and "Irish-at-heart" happily celebrate St. Patrick's Day, wear the green and look forward to a productive twelve months, after which the festivities can begin anew. Yet March 17 this year brought gloomy headlines for…
Rank this Week: 2386

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
  • Mar 26

    High Court Announces New Standard for Opinion Statement

    High Court Announces New Standard for Opinion Statement
    The U.S. Supreme Court found middle ground in Omnicare this week, holding that issuers’ statements of opinion issued in registration statements can be the basis for liability under Section 11 if either the speaker does not…
  • Mar 26

    Recommended Reading: First 2015 edition of ProxyPulse

    Recommended Reading: First 2015 edition of ProxyPulse
    This week, we highlight Broadridge’s first 2015 edition of ProxyPulse. This report takes a retrospective look at the 2014 mini-season, analyzing beneficial shareholder data from over 1,000 U.S. public company shareholder meetings held…
  • Mar 25

    UK Financial Conduct Authority Releases Business Plan 2015/2016

    UK Financial Conduct Authority Releases Business Plan 2015/2016
    On 24 March 2015, the Financial Conduct Authority (FCA) (the UK financial conduct regulator) released its 2015/2016 Business Plan. This is an important document for anyone whose business is affected by UK regulation as it sets out: the…
Rank this Week: 1987

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Mar 25

    Omnicare Decided

    Omnicare Decided
    The U.S. Supreme Court has issued a decision in the Omnicare case holding that opinions presented in registration statements can be subject to Section 11 liability if either (a) the opinion was not genuinely held, or (b) the registration…
  • Mar 20

    The Streak Is Over

    The Streak Is Over
    Plaintiffs in securities class actions often point to insider trades as evidence that the individual defendants had a pecuniary motive to commit fraud.   But if the plaintiffs do not make any allegations related to insider…
  • Mar 6

    Core Workout

    Core Workout
    The core operations theory, as developed in the Ninth Circuit, holds that it may be possible to infer a strong inference of scienter in situations where the nature of the alleged fraud “is of such prominence that it would be…
Rank this Week: 1900

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
  • Mar 24

    IMHO, Omnicare Doesn’t Materially Change Opinion Disclosure

    IMHO, Omnicare Doesn’t Materially Change Opinion Disclosure
    CONTRIBUTED BY Andrew Ledbetter andrew.ledbetter@dlapiper.com   Today, the U.S. Supreme Court issued its anticipated Omnicare decision, which addresses the standard of liability applied to expressions of opinion in a registration…
  • Mar 23

    Series Seed is the new Series A; VC-backed company valuations continue to rise

    Series Seed is the new Series A; VC-backed company valuations continue to rise
    CONTRIBUTED BY Trent Dykes trent.dykes@dlapiper.com PitchBook recently released its 1H 2015 VC Valuations and Trends Report that breaks down over 20,000 valuations of private company financings and exits over the past 10 years. The report…
  • Mar 3

    Interactive 2015 Data Protection Laws of the World Handbook

    Interactive 2015 Data Protection Laws of the World Handbook
    Compliments of our DLA Piper colleagues in the data protection and privacy practice, and co-editors Kate Lucente and John Townsend, here is the DLA Piper 2015 Data Protection Laws of the World Handbook. This updated 2015 online edition of the…
Rank this Week: 2082

Strictly Business

Strictly Business

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

http://www.strictlybusinesslawblog.com/
  • Mar 24

    Venture Capital Term Sheet Negotiation — Part 20: Founders’ Stock

    Venture Capital Term Sheet Negotiation — Part 20: Founders’ Stock
    This post is the twentieth in a series giving practical advice to startups with respect to understanding and negotiating a venture capital term sheet. In the prior nineteen posts, we provided an introduction to negotiation…
  • Feb 5

    Venture Capital Term Sheet Negotiation — Part 19: Board Matter

    Venture Capital Term Sheet Negotiation — Part 19: Board Matter
    This post is the nineteenth in a series giving practical advice to startups with respect to understanding and negotiating a venture capital term sheet. In the prior eighteen posts, we provided an introduction to…
  • Jan 14

    Venture Capital Term Sheet Negotiation — Part 18: Non-Disclosure and Developments Agreement

    Venture Capital Term Sheet Negotiation — Part 18: Non-Disclosure and Developments Agreement
    This post is the eighteenth in a series giving practical advice to startups with respect to understanding and negotiating a venture capital term sheet. In the prior seventeen posts, we provided an introduction to…
Rank this Week: 1708

RIA Compliance Blog

RIA Compliance Blog

Covers registered investment advisor regulations. By Parker MacIntyre.

http://www.riacomplianceblog.com/
  • Mar 23

    SEC Charges Three Investment Adviser Firms with Improper Registration in Wyoming

    SEC Charges Three Investment Adviser Firms with Improper Registration in Wyoming
    On February 4, 2015, the SEC issued cease and desist orders against three investment advisers that fraudulently maintained registration with the SEC by listing Wyoming as their principal place of business on their Forms ADV. These three…
  • Mar 2

    New "Invest Tennessee Exemption" Takes Effect

    New "Invest Tennessee Exemption" Takes Effect
    Tennessee's new "Invest Tennessee Exemption" to the state's securities registration requirements went into effect on January 1, 2015. Like other securities exemption laws recently adopted by other states, Tennessee's exemption allows for the…
  • Feb 23

    NASAA Issues Fact & Fiction Advisory on Third-Party Custodians of Self-Directed IRA

    NASAA Issues Fact & Fiction Advisory on Third-Party Custodians of Self-Directed IRA
    In an effort to inform investors about common fraudulent activities involving individual retirement accounts ("IRAs"), the North American Securities Administrators Association ("NASAA") has issued an Advisory on third-party custodians of…
Rank this Week: 1756

Lenders 360.

Lenders 360.

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

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

    A Short Post on Oil and Gas Bankruptcie

    A Short Post on Oil and Gas Bankruptcie
    It was not too long ago that a lender would consider an oil & gas company as a fairly safe credit.  However, the times are changing.   It is no secret that the current lower gas prices are due to upstream excess production,…
  • Mar 16

    7th Circuit Holds Construction Lender “Caused” M&M Liens when it Cut Off Funding, Can’t Seek Coverage Under Title Policy

    7th Circuit Holds Construction Lender “Caused” M&M Liens when it Cut Off Funding, Can’t Seek Coverage Under Title Policy
    Knowing when to cut your losses and walk a deal is a difficult skill to master.  In the construction loan context it is particularly difficult because a half completed building lacks the intended value anticipated on the loan.  On…
  • Mar 8

    You Never Know Where Your Last Email will be Published

    You Never Know Where Your Last Email will be Published
    A good piece of advice I once received when I was younger was: “Don’t write an email you wouldn’t want copied to the cover of the New York Times”.  In the past, it would take days of depositions in a lawsuit to…
Rank this Week: 2047

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: 2081

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/
  • Mar 20

    New Leadership for Pillsbury’s Investment Funds & Investment Management Team

    New Leadership for Pillsbury’s Investment Funds & Investment Management Team
    Pillsbury’s Investment Funds & Investment Management (IFIM) group is a vital and strategic part of our platform. We are pleased to announce new leadership and structure for the group. Partners Kimberly Mann in Washington,…
  • Mar 3

    SEC Guidance on Fund Advisory Personnel Receiving Gifts and Entertainment

    SEC Guidance on Fund Advisory Personnel Receiving Gifts and Entertainment
    In a February 2015 Guidance Update, the Securities and Exchange Commission’s Division of Investment Management (“SEC”), provided guidance on the acceptance of gifts or entertainment by fund advisory personnel under Section…
  • Mar 3

    SEC Guidance on Fund Advisory Personnel Receiving Gifts and Entertainment

    SEC Guidance on Fund Advisory Personnel Receiving Gifts and Entertainment
    In a February 2015 Guidance Update, the Securities and Exchange Commission’s Division of Investment Management (“SEC”), provided guidance on the acceptance of gifts or entertainment by fund advisory personnel under Section…
Rank this Week: 2261

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/
  • Mar 16

    BofA’s Inconsistent Position

    BofA’s Inconsistent Position
    Bank of America recently moved to dismiss a lawsuit filed by Ambac Assurance Corp. in New York state court, alleging $600 million in damages for fraudulent inducement in connection with payments it made under policies insuring faulty…
  • Feb 23

    Fraud Verdict Against Countrywide & BofA Upheld

    Fraud Verdict Against Countrywide & BofA Upheld
    BofA’s “hustling” attempt to overturn a $1.27 billion judgment against it and Countrywide—along with the individual defendant identified in the next paragraph, the “Defendants”—in the U.S. District…
  • Feb 4

    Huge Settlements Between S&P, Government

    Huge Settlements Between S&P, Government
    2015 is leaving Standard and Poor’s (S&P) quite a bit poorer. Yesterday, the major credit rating agency agreed to pay $1.375 billion to resolve lawsuits brought against it by the U.S. Department of Justice and attorney generals from…
Rank this Week: 2046

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/
  • Mar 1

    Data Security Breaches, Unauthorized Transfers, and Corporate Accout Takeovers ...What You Missed!

    Data Security Breaches, Unauthorized Transfers, and Corporate Accout Takeovers ...What You Missed!
    On Friday, I had the honor to join some distinguished speakers for an all-day continuing legal education seminar on computer technology and the law.  My fellow presenters were:Clark Walton, former CIA forensic computer analyst, lawyer…
  • Feb 9

    NC Commissioner of Banks Ray Grace Re-Appointed

    NC Commissioner of Banks Ray Grace Re-Appointed
    Commissioner Ray Grace -photo by M. CordellToday, Governor McCrory appointed Ray Grace to serve as North Carolina's Commissioner of Banks for another term.  Although Commissioenr Grace has been "appointed," the process actually works…
  • Jan 16

    What Would The White House's Data Security Breach Proposal Mean For North Carolina Businesses?

    What Would The White House's Data Security Breach Proposal Mean For North Carolina Businesses?
    Earlier this week, the President announced a new cybersecurity initiative. The White House explained that:"[t]here is a growing perception that individuals have lost control of their personal information; a negative implication of such a…
Rank this Week: 2112