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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 19

    Mortgage Broker Sentenced for Fraudulent Loan Application

    Mortgage Broker Sentenced for Fraudulent Loan Application
    Mortgage Fraud Blog. Pierre Chainey, 42, Tabernacle, New Jersey, was sentenced to 54 months in prison for his role in a mortgage fraud scheme that caused $2.7 million in losses.  Chainey previously pleaded guilty before U.S. District…
  • Jul 19

    Sentences for Two Law Firm Faker

    Sentences for Two Law Firm Faker
    Mortgage Fraud Blog. Ronald Rodis, 52, Long Beach, California was sentenced to 41 months in prison, and Charles Wayne Farris, 56, Aliso Viejo, California, was sentenced to serve 47 months in prison for their roles in a multi-million…
  • Jul 19

    Kickbacks and Fraudulent tax returns result in Prison Sentence

    Kickbacks and Fraudulent tax returns result in Prison Sentence
    Mortgage Fraud Blog. Richard Pierce, a Michigan business owner, was sentenced to serve a year and a day in prison for obstructing and impeding the internal revenue laws and committing bank fraud. According to documents filed with the court,…
Rank this Week: 3

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 27

    SEC Announces Whistleblower Award of More Than $1.7 Million

    SEC Announces Whistleblower Award of More Than $1.7 Million
    The Securities and Exchange Commission today announced a whistleblower award of more than $1.7 million to a company insider who provided the agency with critical information to help stop a fraud that would have otherwise been difficult to…
  • Jul 27

    Halliburton Paying $29.2 Million to Settle FCPA Violation

    Halliburton Paying $29.2 Million to Settle FCPA Violation
    The Securities and Exchange Commission today charged Halliburton Company with violating the books and records and internal accounting controls provisions of the Foreign Corrupt Practices Act (FCPA) while selecting and making payments to a…
  • Jul 26

    Jessica Magee Named Associate Regional Director for Enforcement in Fort Worth Office

    Jessica Magee Named Associate Regional Director for Enforcement in Fort Worth Office
    The Securities and Exchange Commission today announced that Jessica B. Magee has been named the Associate Regional Director for Enforcement in the SEC’s Fort Worth Regional Office.  Ms. Magee succeeds David L. Peavler, who left the…
Rank this Week: 131

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: 218

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
  • Jul 23

    Untrustworthy National Collegiate Trusts or untrustworthy NYT Reporting ?

    Untrustworthy National Collegiate Trusts or untrustworthy NYT Reporting ?
    Shoddy loan sharking or just shoddy reporting?SOME THOUGHTS ON THE KONTEMPORARY KERFUFFEL ABOUT MISSING PAPERWORK THAT IS NOT EVEN ON PAPEROn July 17, 2017 New York Times broke the next big story on the sub-prime horizon: “As…
  • Jul 20

    Does a debt buyer qualify as a debt collector for the purposes of the FDCPA ?

    Does a debt buyer qualify as a debt collector for the purposes of the FDCPA ?
    On June 12, 2017, the Supreme Court issued an opinion in Henson v. Santander Consumer USA Inc., 137 S.Ct. 1718 (2017), where the Court resolved a split among the federal Courts of Appeals on whether purchasers of delinquent…
  • Jul 19

    Rule 11 Agreement under TRCP enforceable in federal court in removal case

    Rule 11 Agreement under TRCP enforceable in federal court in removal case
    It may sound a bit odd, but a Rule 11 Settlement Agreement under Texas Law, -- the rule reference being to rule 11 of Texas Rules of Civil Procedure (TRCP) -- can be enforced in federal court, even though the federal court has its own set of…
Rank this Week: 237

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Jul 27

    Delaware court endorses stricter standard for preclusion of derivative suit

    Delaware court endorses stricter standard for preclusion of derivative suit
    By Anne Sherry, J.D.The Delaware Supreme Court seems poised to adopt a rule that could give shareholders a second bite at derivative complaints. After the chancery court dismissed a derivative suit as precluded by the dismissal of a similar…
  • Jul 26

    Delaware entices corporations with blockchain law

    Delaware entices corporations with blockchain law
    By Anne Sherry, J.D.In an effort to continue to attract corporations to the state and curb costly recordkeeping errors, Delaware governor John Carney signed a law to allow corporations in the state to keep records, including the stock ledger,…
  • Jul 25

    SEC halts proposed consolidated audit trail funding after industry objection

    SEC halts proposed consolidated audit trail funding after industry objection
    By Amanda Maine, J.D.In response to criticism from several industry members, the SEC has abrogated Amendment No. 2 to its National Market System (NMS) plan governing the Consolidated Audit Trail (CAT) relating to its tiered fee structure for…
Rank this Week: 745

Sharesleuth.com

Sharesleuth.com

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

http://sharesleuth.com/
Rank this Week: 697

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.

https://ofac-sdn-list-removal.com
Rank this Week: 553

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Jul 27

    Non-GAAP: Get it Wrong – Go to Jail?

    Non-GAAP: Get it Wrong – Go to Jail?
    The “Big News” first. We just calendared a webcast – “Non-GAAP Disclosures: Corp Fin Speaks“ – featuring Corp Fin’s Chief Accountant Mark Kronforst & Dave Lynn. They will discuss what companies…
  • Jul 26

    Initial Coin Offerings: The SEC Speaks. . .

    Initial Coin Offerings: The SEC Speaks. . .
    Yesterday, I blogged about “initial coin offerings” – or ICOs – over on “The Mentor Blog.”  The ink on that blog was barely dry when the SEC weighed in with its own…
  • Jul 25

    Regulatory Reform: What Do Investors Think?

    Regulatory Reform: What Do Investors Think?
    Legislative efforts at governance & disclosure reform – such as the “Financial Choice Act” – have gotten a lot of attention this year. This Rivel Research study asked institutional investors…
Rank this Week: 987

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 23

    Derivatives, Practically Speaking

    Derivatives, Practically Speaking
    The Third Edition of “Practical Derivatives, A Transactional Approach” edited by London-based Mayer Brown attorneys Edmund Parker and Marcin Prezanowski and published by Globe Law and Business (www.globelawandbusiness.com), is the third…
  • Jul 16

    Arbitrate This!

    Arbitrate This!
    Last week's issuance of a final arbitration rule by the CFPB provoked various reactions throughout the financial services world. Among the more amusing were those of long-time BLB favorite, Dorsey & Whitney partner Joe Lynyak. In a client…
  • Jul 9

    A Ruling That Raises As Many Questions As It Answer

    A Ruling That Raises As Many Questions As It Answer
    For those readers who've been following the saga of Colorado's Fourth Corner Credit Union, a state-chartered credit union that was formed to serve marijuana businesses operating "legally" under Colorado law (albeit illegally under…
Rank this Week: 767

Financial Institutions Legal…

Financial Institutions Legal Snapshot

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

http://www.financialinstitutionslegalsnapshot.com/
Rank this Week: 1202

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 21

    UBS v. Fiore: Let The Games Begin

    UBS v. Fiore: Let The Games Begin
    As reported in the industry press, UBS Financial Services has been embroiled in a high-profile lawsuit against former financial advisors of its Stamford, Connecticut office. As set forth in UBS Financial Services Inc., Plaintiff, v. Phil G.…
  • Jul 20

    Bond Trader Barred by FINRA Wins Arbitration For Unpaid Wage

    Bond Trader Barred by FINRA Wins Arbitration For Unpaid Wage
    Today's BrokeAndBroker.com Blog is a smorgasbord. Ya got FINRA in its role as a self-regulatory organization. Ya got FINRA in its role as an arbitration forum. We got the arbitration being appealed to a federal district court. We got the…
  • Jul 20

    Grassroots Movement to Revise FINRA Fine and Suspension of Richard Botkin

    Grassroots Movement to Revise FINRA Fine and Suspension of Richard Botkin
    Today's article updates the BrokeAndBroker.com Blog's ongoing coverage of the plight of Richard S. Botkin, a 15-year Marine Corps veteran and a registered representative since 1986. "UPDATE: FINRA Rides The Thunder In Vietnam Movie Case"…
Rank this Week: 1047

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 20

    New Options for Raising Capital for Startups and Growth Companie

    New Options for Raising Capital for Startups and Growth Companie
    Traditionally, when raising capital, an overwhelming majority of businesses have used Rule 506 of Regulation D, also often known as the “private placement exemption” as their exemption from securities registration requirements. In…
  • Jun 29

    The Life Cycle of a Private Equity or Venture Capital Fund

    The Life Cycle of a Private Equity or Venture Capital Fund
    Unlike most hedge funds, the investment holdings of private equity and venture capital funds typically are not liquid. Consequently, private equity and venture capital funds usually do not have any redemption rights and are organized to have…
  • Jun 12

    Convertible Equity Options for Startups: SAFEs and KISSe

    Convertible Equity Options for Startups: SAFEs and KISSe
    When it comes to raising capital to get your new business off the ground, there’s a range of investment structures available, from common stock to exchangeable shares. One of the newer and most popular forms of financing for startups is…
Rank this Week: 1241

Financial Institutions Law Blog

Financial Institutions Law Blog

Covers issues such as usury, form compliance for federal and state consumer transactions, UCC and securitization issues. By Sheppard Mullin.

http://www.financialinstitutionlawblog.com/
Rank this Week: 805

Mandelman Matters

Mandelman Matters

Covers the foreclosure crisis. By Martin Andelman.

http://mandelman.ml-implode.com
Rank this Week: 768

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/
  • May 15

    CLE Webinar About ERISA and Hedge Funds and Private Equity Fund

    CLE Webinar About ERISA and Hedge Funds and Private Equity Fund
  • Apr 25

    Investment Fraud and the Role of Trust

    Investment Fraud and the Role of Trust
    This article entitled “Investment Fraud and the Role of Trust” by Dr. Susan Mangiero was originally published on April 19, 2017 in The Fraud Examiner, a publication of the Association of Certified Fraud Examiners that is…
  • Apr 9

    Funny Courtroom Film Still Used For Teaching

    Funny Courtroom Film Still Used For Teaching
    I had a chance to watch My Cousin Vinny on television the other night and was reminded how humor is such a powerful storytelling tool. How many times do we remember important concepts because the speaker or writer makes us laugh? Tickling our…
Rank this Week: 854

Securities Fraud Attorney Blog

Securities Fraud Attorney Blog

Covers securities fraud, and other areas of securities law and banking and finance law. By Rich, Intelisano & Katz, LLP.

http://www.securitiesfraudattorneyblog.com/
  • Oct 27

    Private Share Litigation Cases are Challenging

    Private Share Litigation Cases are Challenging
    In a very high profile private share litigation, Theranos, a privately held health-technology and medical-laboratory-services company worth $9 billion as of 2014, has been sued this Monday by one of its largest and trusted financial backers,…
  • Jun 19

    Split Decision on Arbitration in Bank of America Case

    Split Decision on Arbitration in Bank of America Case
    This week, a Florida appeals court partially reversed a ruling denying Bank of America’s efforts to arbitrate various claims related to the Scott Rothstein Ponzi scheme. Bank of America, N.A. v. Beverly, Nos. 4D14-3167, 4D14-3168 (Fla.…
  • Jun 19

    Split Decision on Arbitration in Bank of America Case

    Split Decision on Arbitration in Bank of America Case
    This week, a Florida appeals court partially reversed a ruling denying Bank of America’s efforts to arbitrate various claims related to the Scott Rothstein Ponzi scheme. Bank of America, N.A. v. Beverly, Nos. 4D14-3167, 4D14-3168 (Fla.…
Rank this Week: 1166

Big Four Blog

Big Four Blog

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

http://bigfouralumni.blogspot.com/
Rank this Week: 1297

Regulation tomorrow

Regulation tomorrow

By Norton Rose Fulbright. Offers resources on the global financial services regulatory environment. It reports on financial services regulatory developments and provides insights and commentary across Africa, Asia, Australia, Canada, Europe and the United States.

http://www.regulationtomorrow.com/
Rank this Week: 2196

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 26

    SEC Report on Tokens as Securities: Seven Takeaway

    SEC Report on Tokens as Securities: Seven Takeaway
    One of the more interesting phenomena in early-stage investing is the recent emergence of initial coin offerings (“ICOs”), token generation events (“TGEs”), or similar distributed ledger or blockchain-enabled means for…
  • Jun 7

    Getting up to speed on blockchain, Bitcoin, Ethereum, cryptocurrencies and ICO

    Getting up to speed on blockchain, Bitcoin, Ethereum, cryptocurrencies and ICO
    Much has been written recently on blockchain, Bitcoin, Ethereum, cryptocurrencies and initial coin offerings (ICO). Unfortunately, for non-computer scientists (like me), trying to understand these concepts and their potential implications can…
  • May 19

    Prize Promotions Around the World: New Handbook

    Prize Promotions Around the World: New Handbook
    DLA Piper is pleased to announce the launch of Prize Promotions Around the World, an updated edition of our popular handbook. Prize Promotions Around the World is an online tool designed to assist companies across the globe in managing…
Rank this Week: 3910

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/
Rank this Week: 3717

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 21

    Regulatory Alert: Debt Collection

    Regulatory Alert: Debt Collection
    Among the announcements in its Spring 2017 rulemaking agenda, which was just released on July 20, the Consumer Financial Protection Bureau (CFPB) announced that later this year it plans to issue a Notice of Proposed Rulemaking (NPRM)…
  • Jul 5

    OCC Issues Retail Lending Handbook Booklet

    OCC Issues Retail Lending Handbook Booklet
    On April 12, 2017, the Office of the Comptroller of the Currency (the “OCC”) issued a Retail Lending booklet (“Booklet”) as part of the Comptroller’s Handbook.  The OCC’s Booklet outlines a framework…
  • Jun 29

    Second Circuit Holds That Printing of Expiration Date Is a Bare Procedural Violation of FACTA That Is Inadequate Under Spokeo to Confer Standing to Sue

    Second Circuit Holds That Printing of Expiration Date Is a Bare Procedural Violation of FACTA That Is Inadequate Under Spokeo to Confer Standing to Sue
    Addressing the issue of when “a bare procedural violation of a statutory right constitute[s] an injury in fact sufficient for standing to bring suit in federal court”, the U.S. Court of Appeals for the Second Circuit has joined…
Rank this Week: 2734

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 20

    Recommended Reading: How Your Board Can be Ready for Crisi

    Recommended Reading: How Your Board Can be Ready for Crisi
    This week we highlight PWC’s report on How your board can be ready for crisis, addressing key challenges for directors during a crisis and discussing how being prepared gives a company better odds of bouncing back smoothly. This…
  • Jul 18

    New York Law Journal Publishes ‘Spoofing’ Analysis by Michael Asaro and Richard William

    New York Law Journal Publishes ‘Spoofing’ Analysis by Michael Asaro and Richard William
    New York Law Journal has published the article “‘Spoofing’: The SEC Calls It Manipulation, But Will Courts Agree?” written by Michael Asaro and Richard Williams Jr., partner and associate, respectively, in the…
  • Jul 13

    Recommended Reading: A Review of the 2017 Proxy Season

    Recommended Reading: A Review of the 2017 Proxy Season
    This week we highlight two analyses, one by J.P. Morgan and the other by Ernst & Young, reviewing the 2017 proxy season. The reports address board diversity; gender equality; environmental, social and governance (ESG) issues; and the…
Rank this Week: 1919

NextGen Financial Services Report

NextGen Financial Services Report

By Dykema. Provides news and analysis of legal issues affecting the financial services industry.

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

    CFPB Offers Smaller HELOC Lenders Temporary Relief from HMDA Coverage; HMDA Changes Still Loom In the Future

    CFPB Offers Smaller HELOC Lenders Temporary Relief from HMDA Coverage; HMDA Changes Still Loom In the Future
    The Consumer Financial Protection Bureau (CFPB) proposed Friday to temporarily relax the scope of upcoming changes to Regulation C, which implements the Home Mortgage Disclosure Act (HMDA), by raising one threshold for HMDA reporting. Under…
  • Jul 14

    The Sound of Shoes Dropping: CFPB Moves to Bar Class Action Waiver

    The Sound of Shoes Dropping: CFPB Moves to Bar Class Action Waiver
    On July 10, 2017, the Consumer Financial Protection Bureau (CFPB) dropped the other shoe and issued final rules prohibiting “providers of consumer financial products and services in the core consumer financial markets of lending money,…
  • Jun 30

    Fourth Corner Credit Union Obtains Pyrrhic Victory for Marijuana Banking

    Fourth Corner Credit Union Obtains Pyrrhic Victory for Marijuana Banking
    The long-awaited  Tenth Circuit Court of Appeals decision in the case of Fourth Corner Credit Union v. Federal Reserve Bank of Kansas City was issued this week. In short: the would-be credit union, formed to serve participants in the…
Rank this Week: 2066

RIA Compliance Blog

RIA Compliance Blog

Covers registered investment advisor regulations. By Parker MacIntyre.

http://www.riacomplianceblog.com/
Rank this Week: 3006

Financial Industry Review

Financial Industry Review

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

http://blogs.orrick.com/financial/
  • Jul 17

    FHFA Announces $5.5 Billion Settlement With Royal Bank of Scotland

    FHFA Announces $5.5 Billion Settlement With Royal Bank of Scotland
      On July 12, 2017, the Federal Housing Finance Agency (“FHFA“), as conservator of Fannie Mae and Freddie Mac, announced it had reached a settlement with Royal Bank of Scotland Group plc, related companies and specifically…
  • Jul 17

    Rating Agency Development

    Rating Agency Development
      On July 10, 2017, DBRS issued a report entitled Rating Canadian Split Share Companies and Trusts. Report. On July 7, 2017, DBRS issued a report entitled Derivatives Criteria for Canadian Structured Finance. Report. On July 7, 2017,…
  • Jul 17

    European Union (Withdrawal) Bill Received First Reading in Parliament

    European Union (Withdrawal) Bill Received First Reading in Parliament
      The European Union (Withdrawal) Bill (the “Repeal Bill”), which will end the supremacy of EU law in the UK by repealing the European Communities Act 1972 and will prepare the UK’s legislative framework after its…
Rank this Week: 3433

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/
  • Jul 17

    Bitcoin: Everyone is Talking Blockchain and its Not too Late to Get on the Band Wagon

    Bitcoin: Everyone is Talking Blockchain and its Not too Late to Get on the Band Wagon
    Bitcoin first came into public existence in 2008 with the first coins “mined” by a person/group named Satoshi Nakamoto.  As you are probably aware, Bitcoin is a method of transferring value electronically and without the need…
  • Jul 10

    Two Lawsuits Diverge and I take the Defendant Less Liable

    Two Lawsuits Diverge and I take the Defendant Less Liable
    To paraphrase Count Ciano, Success has many fathers and failure has many targets.  You may recall a while back I wrote about how a loan to old General Motors (worth $1.5 billion) was accidentally rendered un-secured.  When GM…
  • Jul 3

    Beware the Sleeping Executory Contract

    Beware the Sleeping Executory Contract
    Sometimes a buyer is upset because he received less than he paid for.  On the other hand, sometimes the buyer is upset because he received way more than he paid for.  In a recent Texas Supreme Court decision, the buyer of contracts…
Rank this Week: 1801

Lenders 360.

Lenders 360.

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

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

    Bitcoin: Everyone is Talking Blockchain and its Not too Late to Get on the Band Wagon

    Bitcoin: Everyone is Talking Blockchain and its Not too Late to Get on the Band Wagon
    Bitcoin first came into public existence in 2008 with the first coins “mined” by a person/group named Satoshi Nakamoto.  As you are probably aware, Bitcoin is a method of transferring value electronically and without the need…
  • Jul 10

    Two Lawsuits Diverge and I take the Defendant Less Liable

    Two Lawsuits Diverge and I take the Defendant Less Liable
    To paraphrase Count Ciano, Success has many fathers and failure has many targets.  You may recall a while back I wrote about how a loan to old General Motors (worth $1.5 billion) was accidentally rendered un-secured.  When GM…
  • Jul 3

    Beware the Sleeping Executory Contract

    Beware the Sleeping Executory Contract
    Sometimes a buyer is upset because he received less than he paid for.  On the other hand, sometimes the buyer is upset because he received way more than he paid for.  In a recent Texas Supreme Court decision, the buyer of contracts…
Rank this Week: 3727

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 12

    Emotional Preparedness for a Business Sale

    Emotional Preparedness for a Business Sale
    The process of selling a business can become a psychological and emotional roller-coaster. The bumpiness of the ride is dependent on many independent factors including the preparedness of the business itself, the  effectiveness of the…
  • Jul 4

    Why Won’t My Business Sell?

    Why Won’t My Business Sell?
    The Exit Planning Institute (EPI) estimates that over $10T in business value will be prepared to transition in the next decade. However, the EPI also predicts only 20% to 30% of those businesses will actually be able to sell. With such…
  • Jun 29

    The Best Deals Need No Introduction

    The Best Deals Need No Introduction
    One of the biggest reasons I love investment banking is that it combines the deep expertise of multiple disciplines. The most successful investment bankers are “quick studies” of nearly any sector and have deep expertise in…
Rank this Week: 4465

Banking Law Update

Banking Law Update

Provides updates and commentary on developments in law affecting banks and financial institutions. By Verrill Dana LLP.

http://www.bankinglawupdate.com/
  • Jul 11

    Financial Institutions . . . In the New

    Financial Institutions . . . In the New
    Thirteen employees at Saco & Biddeford Savings Institution earned certificates and high honor awards this year through the Center for Financial Training and Education Alliance (CFTEA). (BDN 7.10.17) Mainers affected by State government…
  • Jun 29

    New England Council Unveils 2017 Regional Financial Sector Report

    New England Council Unveils 2017 Regional Financial Sector Report
    On June 29th, the New England Council met in Concord, NH to present its annual report on the region’s financial sector, “The New England Financial Services Industry: Around the Corner and Around the World.” The report was…
  • Jun 20

    New England Council Unveils 2017 Regional Financial Sector Report

    New England Council Unveils 2017 Regional Financial Sector Report
    On June 29th, the New England Council met in Concord, NH to present its annual report on the region’s financial sector, “The New England Financial Services Industry: Around the Corner and Around the World.” The report was…
Rank this Week: 3131

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/
  • Jul 5

    Incorporating By Reference In Your NC Business Court Brief? Don't Do It!

    Incorporating By Reference In Your NC Business Court Brief? Don't Do It!
    If you have ever drafted a Complaint, you have undoubtedly used the words that your previous numbered allegations were "incorporated by reference."  It's a way of not having to repeat yourself.  That  shortcut is specifically…
  • Jun 16

    Joint Defense Agreements Are Not Protected By The Attorney-Client Privilege

    Joint Defense Agreements Are Not Protected By The Attorney-Client Privilege
    Why would any lawyer think that his Joint Defense Agreement, entered into with a co-defendant, was protected from production by the attorney-client privilege?  Well, the lawyer for one of the Defendants in AP Atlantic, Inc., v. Crescent…
  • Jun 6

    Deposition, My Office Or Yours? NC Business Court: Neither

    Deposition, My Office Or Yours? NC Business Court: Neither
    You probably don't think much, when you are noticing a deposition, about where it should take place.  Ideally, you probably want it to happen in your own office. The NC Rule of Civil Procedure on depositions, Rule 30, says that the…
Rank this Week: 4233

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
  • Jun 28

    New Investment Canada Act Review Threshold – C$1 Billion

    New Investment Canada Act Review Threshold – C$1 Billion
    By Oliver J. Borgers and Michele Siu On June 22, 2017, the pre-closing review threshold that applies to most direct acquisitions of Canadian businesses by non-Canadian1, non-state owned investors from WTO member states increased to C$1…
  • Apr 24

    Investment Canada Act Review Threshold Increases to C$800 Million

    Investment Canada Act Review Threshold Increases to C$800 Million
    By Oliver J. Borgers and Michele Siu Today the pre-closing review threshold that applies to most direct acquisitions of Canadian businesses by non-Canadian[1], non-state owned investors from WTO member states has risen from C$600 million to…
  • Mar 24

    Ontario’s Bulk Sales Act has been repealed

    Ontario’s Bulk Sales Act has been repealed
    By Ian Mak, Jake Irwin, Heidi Gordon and Vanessa Chung On March 22, 2017, Ontario’s Bulk Sales Act (BSA) was repealed, bringing to an end bulk sales legislation in Canada.1 The BSA was enacted in 1917, and was intended to protect…
Rank this Week: 3893

Financial Regulatory Report

Financial Regulatory Report

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

http://www.financialregulatoryreport.com/
  • Jun 19

    Nevada Passes FinTech Law

    Nevada Passes FinTech Law
    A number of states have jumped into the FinTech fray by enacting legislation or issuing guidance regarding new technologies and digital currencies. The latest of these technology-forward states is Nevada. Following the example set by Arizona,…
  • Jun 14

    New Jersey Giveth And Taketh Away: Recent Steps to Reduce And To Increase Regulatory Burden On Home Mortgage Lender

    New Jersey Giveth And Taketh Away: Recent Steps to Reduce And To Increase Regulatory Burden On Home Mortgage Lender
    Recently, the State of New Jersey has taken a small step in the direction of less regulation over home mortgage lenders and, virtually at the same time, a potentially more significant step in the opposite direction. Details are set forth…
  • Jun 13

    New Policies Released Under the Illinois Transmitters of Money Act

    New Policies Released Under the Illinois Transmitters of Money Act
    On June 13, 2017, the Illinois Department of Financial and Professional Regulation (“IDFPR”) released guidance outlining its policies with respect to the treatment of digital currencies under the Illinois Transmitters of Money Act…
Rank this Week: 3844

Consumer Finance Law Ledger

Consumer Finance Law Ledger

By Fox Rothschild LLP.

https://consumerfinance.foxrothschild.com/
Rank this Week: 2109

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Jun 5

    The Outset of the Fraud

    The Outset of the Fraud
    If an individual defendant’s stock trading took place pursuant to a pre-determined Rule 10b5-1 trading plan that was entered into before the outset of the alleged fraud, the use of the trading plan may undermine any inference that…
  • May 9

    Not Just For Section 11 Claim

    Not Just For Section 11 Claim
    In its Omnicare decision, the U.S. Supreme Court held that opinions presented in registration statements can be subject to liability under Section 11 of the Securities Act of 1933 if either (a) the opinion was not…
  • Apr 14

    Frivolity

    Frivolity
    Among other reforms, the Private Securities Litigation Reform Act of 1995 (“PSLRA”) requires that upon final adjudication of a federal securities action, the court shall include in the record “specific findings regarding…
Rank this Week: 2491

Al-Mirsal

Al-Mirsal

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

http://www.al-mirsal.com/
Rank this Week: 3743

BeyondVC

BeyondVC

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

http://www.beyondvc.com/
  • Apr 23

    Blurring lines in enterprise SaaS; the race to own customer data

    Blurring lines in enterprise SaaS; the race to own customer data
    I’ve written before about the competitive nature of SaaS and the amount of entrants in every category. Lately after every conversation, I feel like the world is being divided into two camps and there is a massive battle going on in…
  • Mar 29

    Why I love and fear AWS

    Why I love and fear AWS
    The AWS launch of Amazon Connect (see techcrunch article) got me thinking about the current state of play in SaaS. Amazon Connect is a call center in a box, the same tech it uses in-house for their current platform. With that release,…
  • Mar 21

    Thoughts from Mulesoft and AppDynamics IPO Filing

    Thoughts from Mulesoft and AppDynamics IPO Filing
    I finally had a chance to take a quick read of the respective S1 filings for AppDynamics and Mulesoft. While the growth for each company is quite amazing, two thoughts jumped out at me. As we move to a cloud-only world with instant-on…
Rank this Week: 2487

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • Apr 17

    REPRESENTING ELDERS AND ATHLETES

    REPRESENTING ELDERS AND ATHLETES
    It wouldn’t seem likely that elders and athletes would have much, if anything, in common.  But they do.  They are frequently blessed with substantial semi-liquid assets, and are therefore the targets of fraudulent or reckless…
  • Mar 24

    Kokesh v. SEC: Implications for the Statute of Limitations for Missouri Securities Enforcement Action

    Kokesh v. SEC: Implications for the Statute of Limitations for Missouri Securities Enforcement Action
     Kokesh v. SEC, Docket No. 16-529 (oral argument date April 18, 2017) – Implications for the Statute of Limitations for Missouri State Securities Enforcement Actions.By John R. Phillips, Counsel for Cosgrove Law Group, LLC and…
  • Feb 24

    Get Your Own Lawyer, Darn It!

    Get Your Own Lawyer, Darn It!
    Financial advisors facing an arbitration claim or regulatory inquiry often count on their broker-dealer or registered investment advisor for legal counsel. These “employers” will frequently provide them with an ostensibly…
Rank this Week: 4133

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: 4374

Illinois Business Law Journal

Illinois Business Law Journal

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

https://publish.illinois.edu/illinoisblj/
  • Mar 16

    Keeping an AI on Technological Advances in Business Law

    Keeping an AI on Technological Advances in Business Law
    Source: The Economist By Elizabeth Rice Download full note here. This Note explores the role that artificial intelligence plays in the legal world today and the ways in which it may affect the legal profession in the future. …
  • Mar 16

    Timing Brexit Right: Theresa May’s Great Political Challenge

    Timing Brexit Right: Theresa May’s Great Political Challenge
    Source: Andy Rain of EPA Download full note here. By Julian Jankowski The Prime Minister of the United Kingdom, Theresa May, in her expressed pursuit for a hard Brexit, faces economic, legal, and political challenges in her endeavors to…
  • Mar 16

    Driving Solo: Solutions to the Current Patchwork of Legislation Concerning Automated Vehicle

    Driving Solo: Solutions to the Current Patchwork of Legislation Concerning Automated Vehicle
    Source: AP Download full note here. By Bryan Boccelli This Note argues that states across the nation should expand upon and in some cases begin to introduce legislation in regards to self-driving vehicles. Although there are currently a…
Rank this Week: 1583

Private Funds Law Update

Private Funds Law Update

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

http://www.privatefundslaw.com/
  • Mar 14

    10 takeaway points on Luxembourg’s RAIF

    10 takeaway points on Luxembourg’s RAIF
    The Luxembourg law on reserved alternative investment funds (RAIF) is a welcome addition to the alternative investment funds (AIF) industry and we have seen keen interest from the fund and asset management industry in this new platform. Since…
  • Aug 9

    ESMA Advice Extending the AIFMD Passport: Including the United States, Hong Kong, Singapore and Switzerland

    ESMA Advice Extending the AIFMD Passport: Including the United States, Hong Kong, Singapore and Switzerland
    On 18 July 2016 the European Securities and Markets Authority (ESMA) published its advice to the European Parliament, the Council and the Commission on the application of the Alternative Investment Fund Managers Directive (AIFMD) passport to…
  • Aug 9

    The SBEEA: Register of Significant Beneficial Ownership

    The SBEEA: Register of Significant Beneficial Ownership
    The SBEEA (Part I: People with Significant Control) Against the backdrop of an increasing push for greater transparency of company ownership, the Small Business Enterprise and Employment Act 2015 (“SBEEA“) took effect on 6 April…
Rank this Week: 3849

Ponzitracker

Ponzitracker

Covers Ponzi schemes. By Jordan Maglich.

http://www.ponzitracker.com/
  • Feb 13

    For Galemmo Ponzi Victims, Recovery Chances Depend On Clawback

    For Galemmo Ponzi Victims, Recovery Chances Depend On Clawback
    When a Cincinnati money manager's $100 million Ponzi scheme collapsed over three years ago, authorities seemingly acknowledged the bleak prospects of recovery in declining to seek appointment of a receiver to marshal and gather assets for…
  • Feb 13

    Zeek Rewards Mastermind Sentenced To Nearly Fifteen Years In Prison

    Zeek Rewards Mastermind Sentenced To Nearly Fifteen Years In Prison
    The North Carolina man who drew comparisons to Bernard Madoff for his operation of a Ponzi scheme that duped tens of thousands of victims out of nearly $1 billion learned from a federal judge today that he, like Madoff, will likely spendthe…
  • Oct 17

    Another Cay Clubs Principal Indicted On Bank Fraud And Tax Charge

    Another Cay Clubs Principal Indicted On Bank Fraud And Tax Charge
    A Florida man is facing bank fraud and tax charges for his involvement in the alleged $300 million Cay Clubs Ponzi scheme, making him the third person to be criminally charged in what was one of the largest schemes in Florida history.…
Rank this Week: 3042

Investment Fund Law Blog

Investment Fund Law Blog

Provides updates and insights on legal issues facing fund managers and investors. By Pillsbury Winthrop Shaw Pittman LLP.

http://www.investmentfundlawblog.com/
  • Oct 25

    HFMWEEK AWARDS PILLSBURY INVESTMENT MANAGEMENT PRACTICE FOR SERVICE TO HEDGE FUND STARTUPS

    HFMWEEK AWARDS PILLSBURY INVESTMENT MANAGEMENT PRACTICE FOR SERVICE TO HEDGE FUND STARTUPS
    NEW YORK—Pillsbury has been named Best Onshore Law Firm for Hedge Fund Startups by HFMWeek at its HFM U.S. Hedge Fund Services Awards 2016.  Partner Ildiko Duckor, who is co-leader of the firm’s Investment Funds &…
  • Oct 4

    New Law Mandates Disclosure of Alternative Fund Fees By California Public Pension

    New Law Mandates Disclosure of Alternative Fund Fees By California Public Pension
    To increase the transparency of fees and expenses paid to alternative funds, every California public pension plan must require each alternative fund in which they invest to make various disclosures, and California public pension plans are…
  • Sep 21

    Higher Qualified Client Net Worth Threshold Effective August 15, 2016

    Higher Qualified Client Net Worth Threshold Effective August 15, 2016
    3(c)(1) funds should update their offering documents to reflect $2.1 million net worth requirement. Assets under management threshold remains unchanged at $1 million. Only new client relationships entered and new investors admitted in private…
Rank this Week: 3410

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: 3563

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: 3834

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: 1733