Most Popular Banking and Finance Law Blawgs Expanded View List View

Blogs 1 - 45 of 56
Sorted by Popularity | Sort by Name | Sort by Last Post Date
Today | This Week | This Month | All Time |

Mortgage Fraud Blog

Mortgage Fraud Blog

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

http://mortgagefraudblog.com/
  • Nov 25

    Jury Convicts Sisters of Mortgage Fraud

    Jury Convicts Sisters of Mortgage Fraud
    Mortgage Fraud Blog. Evelyn Brigget Sanchez, 32, and Darling Arlette Montalvo, 33, both of Bakersfield, California, were convicted by a federal jury for their involvement in an extensive mortgage fraud scheme that ran from October 2005 to May…
  • Nov 25

    Real Estate Agent Admits Participating in Short Sale Fraud Scheme

    Real Estate Agent Admits Participating in Short Sale Fraud Scheme
    Mortgage Fraud Blog. Minerva Sanchez, 48, Fremont, California, pleaded guilty to conspiracy to commit bank fraud. Sanchez admitted that she advised a seller to submit false and fraudulent short-sale applications to Tri Counties Bank and…
  • Nov 25

    2 Real Estate Investors Agree to Plead Guilty to Bid Rigging

    2 Real Estate Investors Agree to Plead Guilty to Bid Rigging
    Mortgage Fraud Blog. Su Chu Chou “Terry” Cheng, Walnut Creek, California, and Chung Li “George” Cheng, Walnut Creek, both Northern California real estate investors, have agreed to plead guilty for their role in…
Rank this Week: 3

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 23

    A Look at IRS's Transfer Pricing Audit Roadmap

    A Look at IRS's Transfer Pricing Audit Roadmap
    Background   There are still a number of corporations which have not fully recovered from the economic downturn, which consequently leads to less tax revenue for tax authorities.  As such, some of the tax authorities around the…
Rank this Week: 160

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: 340

Mandelman Matters

Mandelman Matters

Covers the foreclosure crisis. By Martin Andelman.

http://mandelman.ml-implode.com
Rank this Week: 379

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: 444

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/
  • Nov 25

    Issac: Time To Allow Small and Medium Bank M&A

    Issac: Time To Allow Small and Medium Bank M&A
    Former FDIC Chairman William Issac claims that it's long past time to cut small and medium size banks regulatory relief and to take away roadblocks to mergers and acquisitions for the same institutions. He and Professor Robert Kaplan also…
  • Nov 23

    State Nullification: Inhale Deeply

    State Nullification: Inhale Deeply
    When we asked a couple of months ago whether the Cannabis Co-operative Credit Unions that have been authorized by Colorado law were "dead on arrival," we thought that the answer was "yes." Yet, there appears to be a…
  • Nov 19

    Rant Me A River

    Rant Me A River
    When credit union consultant Marvin Umholtz gets worked up, it makes my blogging life a breeze. All I have to do is cut and paste. While a number of bankers would rather drink Drano rather than follow a newsletter dedicated...
Rank this Week: 420

Sharesleuth.com

Sharesleuth.com

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

http://sharesleuth.com/
  • Oct 7

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

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

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

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

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

    Guanwei Recycling Corp. and Kandi Technologies Group Inc.: The Rui Wang Connection
    A Chinese businessman who figures into a fraud case involving Guanwei Recycling Corp. (Nasdaq: GPRC) also has an intriguing connection to Kandi Technologies Group Inc. (Nasdaq: KNDI), whose shares were allegedly manipulated by the same group.…
Rank this Week: 425

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

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

    IASB Strongly Defends IFRS as Essential to E.U. Capital Markets Union

    IASB Strongly Defends IFRS as Essential to E.U. Capital Markets Union
    The IASB strongly defended IFRS on many fronts in response to an European Commission consultation seeking to determine the impact of IFRS on the E.U.  In a letter to Financial Services Commissioner Jonathan Hill, the IASB said that the…
  • Nov 26

    Dold and Schweikert Will Join Financial Services Committee for 114th Congre

    Dold and Schweikert Will Join Financial Services Committee for 114th Congre
    Rep. Jeb Hensarling (R-TX), Chair of  the House Financial Services Committee, announced that Rep. Robert Dold (R-IL) and Rep. David Schweikert (R-AZ), two House members with a strong interest in federal securities legislation, will be…
  • Nov 26

    ESMA Chair Calls for Resolution Authority for Derivatives Central Counterpartie

    ESMA Chair Calls for Resolution Authority for Derivatives Central Counterpartie
    Crafting  an appropriate recovery and resolution framework for derivatives central counterparties is now the main challenge facing the European Union, said Steven Maijoor, Chair of the European Securities and Markets Authority (ESMA). In…
Rank this Week: 500

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: 495

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/
  • Nov 26

    Advisors Have Leverage

    Advisors Have Leverage
    Executive Recruiter Mindy Diamond finds that compliant advisors, with $100 million in assets under management, are in the driver's seat in the recruiting scene. We represent advisors across the country, insuring that they are in fact…
  • Nov 25

    Citigroup Global Markets Fined for Equity Research Supervision Failure

    Citigroup Global Markets Fined for Equity Research Supervision Failure
    FINRA fined Citigroup Global Markets, finding that from January 2005 to February 2014, Citigroup failed to meet its supervisory obligations regarding the potential selective dissemination of non-public research to clients and sales and…
  • Nov 24

    SEC Press Release

    SEC Press Release
    Three Penny Stock Promoters Behind Pump-and-Dump SchemesThree penny stock promoters have been charged with conducting pump-and-dump schemes involving stocks they were touting in their supposedly independent newsletters.Two Former Defense…
Rank this Week: 628

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

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

    DOJ: Compliance Should Be Independent (If Not Separate)

    DOJ: Compliance Should Be Independent (If Not Separate)
    Regardless of staffing or other resources, companies are increasingly feeling pressured to separate their legal and compliance functions as a result of regulatory actions and commentary. However, recent comments by DOJ Senior Deputy…
  • Nov 24

    (Not Much) News from the ABA Fall Meeting

    (Not Much) News from the ABA Fall Meeting
    On Friday, I attended the annual ABA Fall Meeting for the Business Law Section. For the “Corp Fin Director’s Dialogue,” Director Keith Higgins brought a handful of other Staffers to join him. Not surprisingly, nary a word…
  • Nov 21

    Studies: Bridging Company/Investor Sustainability Gap

    Studies: Bridging Company/Investor Sustainability Gap
    The largest studies of CEOs and investors to date on sustainability reveal consensus on the value of sustainability generally, but a huge disconnect in CEOs’ and investors’ views on certain fundamental aspects…
Rank this Week: 614

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: 663

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: 777

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: 789

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/
  • Nov 21

    CFPB Proposes Amendments to Mortgage Servicing Rule

    CFPB Proposes Amendments to Mortgage Servicing Rule
    On November 20, the CFPB announced the issuance of a proposed rule to amend RESPA (Reg. X) and TILA (Reg.Z). The proposed rule changes primarily focus on clarifying, revising or amending (i) Regulation X’s servicing provisions regarding…
  • Nov 21

    CFPB Issues Guidance to Help Lenders Avoid Fair Lending Risk

    CFPB Issues Guidance to Help Lenders Avoid Fair Lending Risk
    On November 19, the CFPB issued a press release highlighting the publication of its compliance bulletin, “Social Security Disability Income Verification.” The compliance bulletin reminds lenders that requiring consumers receiving…
  • Nov 21

    DOJ Announces Arrests and Charges Against Debt Collection Company

    DOJ Announces Arrests and Charges Against Debt Collection Company
    On November 19, the DOJ issued a press release announcing charges against six employees of a Georgia-based debt collection company for allegedly running a $4.1 million dollar debt collection scam. According to the press release, from…
Rank this Week: 949

Southeast VC

Southeast VC

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

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

    Fundraising Tip

    Fundraising Tip
    Raising capital from investors can be a long, tough and often an incredibly frustrating process. Entrepreneurs often ask us for help (even when we're not in their company). I thought I would share my email I just sent in response...
Rank this Week: 893

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/
  • Nov 26

    Evita el chantaje: finanzas en pareja

    Evita el chantaje: finanzas en pareja
    Aquí una forma útil de darle la vuelta al chantaje emocional por el dinero entre parejas. Sobre todo entre novios que todavía no establecen un lazo de unión más fuerte como vivir juntos o casarse. Por favor,…
  • Nov 24

    Cliente chatarra vs cliente nutritivo

    Cliente chatarra vs cliente nutritivo
    Como freelance no tienes opción: para sobrevivir debes aprender a distinguir entre clientes chatarra y clientes nutritivos. De otra forma tu negocio podría estancarse (o peor, morir) a manos de los clientes chatarra sin que lo…
  • Nov 21

    Oveja financiera al desnudo: Sesión preguntas y respuestas 2

    Oveja financiera al desnudo: Sesión preguntas y respuestas 2
    Continuamente recibo preguntas similares en mi correo, así que pensé que una buena forma de contestarlas y sobre todo, compartirlas para que todo el rebaño ovejuno pueda acceder a ellas es organizar una sesión de…
Rank this Week: 1113

Asset Hunter: Tracking…

Asset Hunter: Tracking International Financial Fraud

Covers the legal ramifications of financial fraud related to multinational corporations, multinational financial institutions, foreign governments, foreign officials and high-profile individuals in sensitive regulatory, civil and international criminal matters. By Michael Diaz, Jr.

http://www.michaeldiazjr.com
  • Feb 5

    Diaz Reus & Targ LLP scored a stunning…

    Diaz Reus & Targ LLP scored a stunning victory in the U.S. District Court for the Southern District of New York last week on behalf of the government of Venezuela, obtaining complete and final dismissal with prejudice of a suit brought by…
  • Sep 25

    Bolivia’s Anti-Corruption Colonel, Mario Fabrizio Ormachea, Arrested in Miami FBI Sting | Trial period set for October

    Bolivia’s Anti-Corruption Colonel, Mario Fabrizio Ormachea, Arrested in Miami FBI Sting | Trial period set for October
    Mario Fabrizio Ormachea, the colonel leading Bolivia’s Anti-Corruption Unit, is being held without bail in Miami, awaiting an October 21 trial period after being arrested in an August 31 Miami FBI sting operation where he attempted to…
  • Aug 14

    Are You Too Busy To Be A Good Parent?

    Are You Too Busy To Be A Good Parent?
    The ongoing custody battle between R&B singer Usher and his ex-wife, Tameka Foster, highlights the challenges that busy parents face today. It is already hard enough for two parents to manage busy professional schedules and still make…
Rank this Week: 1238

Big Four Blog

Big Four Blog

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

http://bigfouralumni.blogspot.com/
Rank this Week: 1233

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/
  • Nov 25

    Disclosure Requirements for Public Companies: A Few Downside

    Disclosure Requirements for Public Companies: A Few Downside
    Annual and quarterly reports to the SEC only represent a portion of the public disclosure required by public companies. Unlike a private business, public companies now put the capital and resources of many public shareholders at…
  • Nov 24

    Venture Capital vs. Reverse Merger

    Venture Capital vs. Reverse Merger
    Financing is always a double-edged sword. When it comes to looking for money, there are always positives and negatives included in a decision that heads in any direction. The question is, what is the lesser of the evils for your particular…
  • Nov 17

    How Tos for Form SB-2 Self-Filing

    How Tos for Form SB-2 Self-Filing
    Not all going public events require an IPO or even a typical reverse merger. No, sometimes going public is even more simple–at least on the surface. Certainly other options exist including Form 10-SB and SB-2 shells. What follows…
Rank this Week: 1393

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/
  • Nov 18

    ERISA Whistle Blower

    ERISA Whistle Blower
    In the aftermath of the November 17, 2014 Strafford CLE webinar entitled ERISA Plan Investment Committee Governance, I asked several attorneys for their thoughts about whistle blower protection. Attorney Stephen…
  • Nov 17

    ERISA Plan Investment Committee Governance

    ERISA Plan Investment Committee Governance
    In case you missed "ERISA Plan Investment Committee Governance: Avoiding Breach of Fiduciary Duty Claims" with Dr. Susan Mangiero (Fiduciary Leadership, LLC), Ms. Rhonda Prussack (Berkshire Hathaway Specialty Insurance) and Attorney…
  • Nov 5

    Susan Mangiero of Fiduciary Leadership, LLC Earns the "Professional Plan Consultant" (PPC) Credential

    Susan Mangiero of Fiduciary Leadership, LLC Earns the "Professional Plan Consultant" (PPC) Credential
    Trumbull, CT (November 6, 2014) – Dr. Susan Mangiero is pleased to announce her designation by Financial Service Standards, a division of fi360, Inc. (Pittsburgh, PA) in the area of retirement plan consulting.  She is the…
Rank this Week: 1618

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/
Rank this Week: 1531

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/
  • Nov 4

    Reminder: 2015 IARD Account Renewal Obligations For Investment Adviser

    Reminder: 2015 IARD Account Renewal Obligations For Investment Adviser
    This is a reminder that the 2015 IARD account renewal obligation for investment advisers (including exempt reporting advisers) starts this November.  An investment adviser must ensure that its IARD account is adequately funded to cover…
  • Oct 29

    SEC Brings Custody Rule Enforcement

    SEC Brings Custody Rule Enforcement
    On October 29, 2014, the Securities and Exchange Commission (“SEC”) announced an administrative enforcement action against an investment advisory firm and three top officials for violating rule 206(4)-2 under the Investment…
  • Oct 13

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

    China’s New Foreign Exchange Control Rule on Outbound and Round-Trip Investment
    Replacing Circular 75, Circular 37 simplifies the SAFE registration process for Chinese residents seeking offshore investments and financings, and it liberalizes cross-border capital outflow by Chinese residents. In addition, Circular 37 also…
Rank this Week: 1609

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

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

    New FINRA Rule Limits usage of Expungement Requests in Arbitration

    New FINRA Rule Limits usage of Expungement Requests in Arbitration
    The SEC has approved FINRA Rule 2081 that would disallow brokers from conditioning settlement of a customer dispute on a customer’s consent to the broker’s request for expungment from the Central Registration Depository…
  • Aug 12

    Does your Investment Adviser Firm Have a Social Media Policy?

    Does your Investment Adviser Firm Have a Social Media Policy?
    Social media such as Facebook, Twitter, LinkedIn, or blogs have become popular mechanisms for companies to communicate with the public. Social media allows companies to communicate with clients and prospective clients, market their services,…
  • Aug 1

    Who has the Right to Enforce Your Promissory Note?

    Who has the Right to Enforce Your Promissory Note?
    A customary practice in the securities industry is for financial advisors to receive a transition bonus above and beyond an advisor’s standard commission compensation upon joining to a new firm. The bonus amount is usually determined…
Rank this Week: 1547

Ponzitracker

Ponzitracker

Covers Ponzi schemes. By Jordan Maglich.

http://www.ponzitracker.com/
  • Aug 21

    Ponzi Schemes Remain Prevalent In 2014; Over $1 Billion In New Schemes Uncovered

    Ponzi Schemes Remain Prevalent In 2014; Over $1 Billion In New Schemes Uncovered
    Nearly six years after the word "Ponzi scheme" became a household name thanks to Bernard Madoff, Ponzi schemes continue to proliferate and leave a trail of financial destruction in their wake as demonstrated by newly-compiled data showing…
  • Aug 20

    Former Attorney Gets 10-Year Sentence For $4 Million Ponzi Scheme

    Former Attorney Gets 10-Year Sentence For $4 Million Ponzi Scheme
    A now-disbarred Minnesota attorney who swindled victims out of more than $4 million in an elaborate Ponzi scheme was sentenced to serve 10 years in federal prison.  Mark Holt, 45, received the sentence from U.S. District Judge Susan…
  • Aug 20

    California Men Sentenced For $5 Million Real Estate Ponzi Scheme

    California Men Sentenced For $5 Million Real Estate Ponzi Scheme
    Two California men will each serve at least a decade in prison for operating a real estate Ponzi scheme that duped victims out of nearly $5 million.  Terrance Brown, of San Jose, California, and Antranik Kabajouzian, of Morgan City,…
Rank this Week: 1638

Financial Industry Review

Financial Industry Review

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

http://blogs.orrick.com/financial/
Rank this Week: 2208

Al-Mirsal

Al-Mirsal

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

http://www.al-mirsal.com/
  • Nov 23

    As Bitcoin Gains Momentum, Focus on Regulation Increase

    As Bitcoin Gains Momentum, Focus on Regulation Increase
    The virtual currency market has emerged in the United Arab Emirates with Dubai’s first Bitcoin ATM introduced in April 2014. Middle East entrepreneurs have begun launching Bitcoin payment products and SMEs are beginning to realise the…
  • Nov 17

    Is Green Sukuk a Viable Option for Clean Energy Initiatives in the GCC?

    Is Green Sukuk a Viable Option for Clean Energy Initiatives in the GCC?
    A number of GCC governments, including those in the UAE and Saudi Arabia, have set ambitious clean energy and energy efficiency targets. As the fastest growing region in the world, the GCC’s population is expected to grow more than 53…
  • Nov 12

    Why International Investors are Watching the Tadawul

    Why International Investors are Watching the Tadawul
    The MSCI upgrade of Qatar and the United Arab Emirates to “emerging market’ status marked the beginning of increasingly liberalised GCC stock exchanges. Saudi Arabia’s stock exchange, the Tadawul, is by far the largest…
Rank this Week: 2343

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/
  • Nov 20

    BofA Underwater Mortgage Cases Hit Supreme Court

    BofA Underwater Mortgage Cases Hit Supreme Court
    The U.S. Supreme Court will hear two cases brought by Bank of America regarding whether a second mortgage on an underwater property can be voided during Chapter 7 bankruptcy. Both cases involve Florida homeowners who sued to void second…
  • Nov 3

    Freddie Mac’s Index Shows Housing Market Improvement

    Freddie Mac’s Index Shows Housing Market Improvement
    According to Freddie Mac, things are looking up for the South Florida housing market. The August Multi-Indicator Market Index (MIMI) ratings, released last Friday, awarded the Miami Metro Area a score of 69.2. While Miami is still 11 points…
  • Oct 17

    Connect at the 2014 MBA Annual Convention & Expo

    Connect at the 2014 MBA Annual Convention & Expo
    The 2014 MBA Annual Convention & Expo will be held in Las Vegas, NV from October 19-22. My colleague Robert M. Siegel and I will be attending the conference. As many of you know, we lead the mortgage industry team here at Bilzin Sumberg.…
Rank this Week: 2352

RIA Compliance Blog

RIA Compliance Blog

Covers registered investment advisor regulations. By Parker MacIntyre.

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

    SEC Concerns Regarding Wrap Fee Program

    SEC Concerns Regarding Wrap Fee Program
    Earlier this year, the SEC Office of Compliance Inspections and Examinations ("OCIE") sent a letter to registered investment advisers requesting information about their wrap fee programs and how their suitability for clients was determined. …
  • Nov 17

    SEC Enforcement Action Against Former Wells Fargo Advisor for Altering Requested Document

    SEC Enforcement Action Against Former Wells Fargo Advisor for Altering Requested Document
    In a case that underscores the importance of maintaining thorough and contemporaneous records of compliance reviews of trading records of firm personnel for both broker-dealers and registered investment advisers, on October 15th, 2014, the…
  • Nov 3

    SEC INSTITUTES CHARGES AGAINST FUND MANAGER FOR CUSTODY RULE VIOLATIONS

    SEC INSTITUTES CHARGES AGAINST FUND MANAGER FOR CUSTODY RULE VIOLATIONS
    The Securities and Exchange Commission announced last week that it has charged Sands Brothers Asset Management, LLC and three of its officers with violating the custody rule as it relates to firms who manage funds in which their clients…
Rank this Week: 2189

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
  • Nov 19

    I've Got A Mind To Give Up Living And Go Shopping At Schwab Instead

    I've Got A Mind To Give Up Living And Go Shopping At Schwab Instead
    It's the day before Thanksgiving and two days before Black Friday, that mother of all shopping days.  In the spirit of that warm and fuzzy day when we all surge through the small door at the mall and proceed to elbow, punch, and maim…
  • Nov 19

    Power of Attorney, Beneficiary, and Executrix Roles Slam Stockbroker

    Power of Attorney, Beneficiary, and Executrix Roles Slam Stockbroker
    Power of Attorney. Executor. Beneficiary. Those are all terms that should set off alarms for any registered representative asked to accept such a role for a customer. And even if the lights aren't flashing and the bells are ringing in your…
  • Nov 18

    FINRA Sanctions UBS Employees For Altered Records Part 3

    FINRA Sanctions UBS Employees For Altered Records Part 3
    This is Part 3 of a three part BrokeAndBroker Blog commentary. If you've started here, you need to go back and first read Part 1 and then Part 2, where you will be advised to get a cup of coffee and find yourself a nice donut. Okay . . . now,…
Rank this Week: 2312

Strictly Business

Strictly Business

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

http://www.strictlybusinesslawblog.com/
Rank this Week: 2062

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
  • Oct 31

    Going Paperless and Complying with the E-Sign Act

    Going Paperless and Complying with the E-Sign Act
    By Matthew Young, Attorney As more and more credit union members move to online banking, credit unions are similarly encouraging members to accept electronic statements in lieu of paper statements as part of their online banking service. The…
  • Sep 24

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

    Your Legal Right to Setoff (or lack thereof) for Credit Card Account
    By Matthew Young, Attorney When your member defaults on his or her loan, your Credit Union is going to want your member to cure the default as quickly as possible or exercise the quickest and most cost effective means to recover the balance.…
  • Aug 29

    The Importance of Updating your Credit Union’s Statutory Agent

    The Importance of Updating your Credit Union’s Statutory Agent
    By Matthew Young, Attorney At least a couple of times a month, a credit union will reach out to me with a summons or other court pleading which was directed to a former employee or retired/deceased board member.  Commonly, the credit…
Rank this Week: 1992

RESPA Lawyer Blog

RESPA Lawyer Blog

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

http://www.respalawyer.com/
  • Oct 31

    RESPA Webinar: "Marketing Services Agreements in the New Era of RESPA Enforcement"

    RESPA Webinar: "Marketing Services Agreements in the New Era of RESPA Enforcement"
    October Research has scheduled a webinar for Tuesday, November 18, 2014 from 2:00-3:30 PM EST in which Marx Sterbcow of the Sterbcow Law Group; Charles Cain who is the Senior Vice President Midwest Agency Manager of WFG National Title…
  • Sep 30

    CFPB ANNOUNCES RESPA MSA ENFORCEMENT ACTION

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

    Wells Fargo announces RESPA-TILA Integrated Disclosure Form Plan

    Wells Fargo announces RESPA-TILA Integrated Disclosure Form Plan
    Wells Fargo announced that effective August 1, 2015 it will control the generation and delivery of the borrower's Closing Disclosure form in anticipation of the TILA-RESPA Integrated Disclosure Rule. The new Closing Disclosure is a mix of…
Rank this Week: 1795

Redeye VC

Redeye VC

Offers a view of startup ecosystem. By Josh Kopelman.

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

    WhatsApp Used This Pricing Strategy to Win and You Can Too

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

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

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

    Make Engineering Interns Truly Effective with This Startup's Program

    Make Engineering Interns Truly Effective with This Startup's Program
    At just three years old, Sift Science has accomplished a surprising amount. Its product, which combats fraud using machine learning, is an important tool for companies like Kickstarter, Airbnb, Uber and Opentable. But with just over 30…
Rank this Week: 2139

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: 2278

Securities Fraud Attorney Blog

Securities Fraud Attorney Blog

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

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

    UBS in Web of Puerto Rico Bond Funds Suffering Massive Losse

    UBS in Web of Puerto Rico Bond Funds Suffering Massive Losse
    Puerto Rico bond funds have been suffering massive losses recently and regulators have already taken action. According to the SEC, UBS Financial Services of Puerto Rico Inc. (“UBS”) misled thousands of its retail investors in 23…
  • Dec 9

    Bloomberg Update on $383M Client Case v. Citigroup

    Bloomberg Update on $383M Client Case v. Citigroup
    Below is a piece by Bloomberg on our firm's $383 million claim against Citigroup. There's more on this case on the firm's website at http://www.riklawfirm.com/ Citigroup’s Mathur Said to Depart With Hybrid Traders as Pandit Cuts Jobs By…
  • Dec 1

    American Lawyer Piece on Firm's Citigroup Case

    American Lawyer Piece on Firm's Citigroup Case
    Below is an American Lawyer piece which explains our clients' pending $383 million FINRA arbitration against Citigroup. It goes on to talk about how there are more and more large and complex cases at FINRA. It's true. As partner John Rich…
Rank this Week: 1786

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: 1883

The PSLRA Nugget

The PSLRA Nugget

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

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

    The Nugget is Moving to a New Home

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

    Yes Shorter is Better (at least in legal briefing)

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

    Confidential Sources Still Alive & Kicking

    Confidential Sources Still Alive & Kicking
    What's that? You thought Tellabs banned confidential witnesses? Well, let's not get carried away here, as there's certainly at least two ways to read that opinion. Of course, after the 7th Circuit decided Higginbotham v. Baxter, it was…
Rank this Week: 2547

Payment Law Advisor

Payment Law Advisor

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

http://www.paymentlawadvisor.com/
  • Nov 25

    Sixteen State Attorneys General Urge CFPB to Limit Pre-dispute Arbitration

    Sixteen State Attorneys General Urge CFPB to Limit Pre-dispute Arbitration
    State attorneys general from California, Connecticut, Delaware, Hawaii, Illinois, Iowa, Kentucky, Maine, Maryland, Massachusetts, New Mexico, New York, Oregon, Rhode Island, Vermont, and Washington sent a letter to Consumer Financial…
  • Nov 18

    Operation Chokepoint and the Brave New World of Criminal Liability

    Operation Chokepoint and the Brave New World of Criminal Liability
    The U.S. Department of Justice and banking regulators have stepped up the pace of criminal, civil and administrative actions against banks, payment processors, money transmitters, and other financial institutions, for violations of the Bank…
  • Nov 17

    PLA Announces the Launch of UDAAP Database

    PLA Announces the Launch of UDAAP Database
    The PLA editors have created a database of enforcement actions that include allegations of unfair, deceptive, or abusive acts or practices (UDAAP) in connection with consumer financial products.  The database focuses on enforcement…
Rank this Week: 2810

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Nov 24

    One Percent Responsible

    One Percent Responsible
    Longtop Financial Technologies, a Chinese financial software company, was a notorious financial fraud (see here for a NYT column on the discovery of the fraud).  Both its outside auditors, Deloitte Touche Tohmatsu, and its…
  • Nov 5

    Omnicare Argued

    Omnicare Argued
    On Monday, the U.S. Supreme Court heard oral argument in the Omnicare, Inc. v. Laborers District Council Construction Industry Pension Fund case, which addresses the pleading standard for a claim under Section 11 of the…
  • Oct 24

    Middle Ground

    Middle Ground
    How to evaluate corporate scienter continues to be an unresolved issue in securities litigation.  Some courts, notably the Fifth Circuit (and arguably the Eleventh Circuit), have taken the position that a court can only “look…
Rank this Week: 3080

Lenders 360.

Lenders 360.

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

http://www.lenders360blog.com
Rank this Week: 4036

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
  • Nov 24

    Mini-Tenders 301: Will Such Offers Be Used in Proxy Contests?

    Mini-Tenders 301: Will Such Offers Be Used in Proxy Contests?
    By Matthew Cumming, Shane C. D'Souza and Matthew Griffin This is the final article in our mini-tender trilogy. We have previously discussed mini-tender offers from the perspectives of the offeror, and the issuer and shareholders. This article…
  • Nov 18

    “Golden Leashes” are back: Will shareholder activists win this round?

    “Golden Leashes” are back: Will shareholder activists win this round?
    By Shane C. D'Souza and Deandra Schubert After taking a break this past proxy season, “golden leash” arrangements are back in the spotlight. A few days ago, Third Point LLC proposed so-called “golden leash”…
  • Nov 17

    SCC Delivers Ground-Breaking Decision in Canadian Contract Law

    SCC Delivers Ground-Breaking Decision in Canadian Contract Law
    By McCarthy Tétrault LLP The following Canadian Appeals Monitor blog post by Brandon Kain and Neil Finkelstein may be of interest to readers of this blog: SCC Delivers Ground-Breaking Decision in Canadian Contract Law The Supreme Court…
Rank this Week: 4056

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/
  • Nov 21

    Operation Choke Point

    Operation Choke Point
    Authored by Adam B. Brandon of Rogers TowersAs part of a coordinated, multi-agency initiative known as “Operation Choke Point,” the Federal Deposit Insurance Corporation (FDIC) has warned financial institutions that they might be…
  • Nov 18

    Judgment Debtor in Garnishment Action Has No Vested Right to Compel Strict Compliance With Service of Process Requirements on Garnishee

    Judgment Debtor in Garnishment Action Has No Vested Right to Compel Strict Compliance With Service of Process Requirements on Garnishee
    Authored by Armando Nozzolillo and Michael S. Waskiewiczand Armando Nozzolillo and Michael S. Waskiewicz of Rogers TowersGarnishments are one of the most effective tools at a creditor’s disposal for collection purposes.  The rules…
  • Nov 13

    Usury in Florida: Exceptions to Civil Penaltie

    Usury in Florida: Exceptions to Civil Penaltie
    Authored by Scott J. Kennelly and Janet C. Owens and Scott J. Kennelly and Janet C. Owens of Rogers TowersWhen a lender “willfully” charges interest in excess of statutory limits, civil usury penalties may apply. …
Rank this Week: 3888

The Swap Report

The Swap Report

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

http://www.theswapreport.com/
  • Nov 19

    Comparing Collateral Segregation Regimes for Uncleared Swap Margin

    Comparing Collateral Segregation Regimes for Uncleared Swap Margin
    The proposed margin rules from the CFTC and the prudential regulators, when considered alongside the existing CFTC collateral segregation rules, present the potential for three different collateral segregation regimes applying to initial…
  • Oct 27

    CFTC Chairman Massad Announces Open Meeting on Three End-User Issue

    CFTC Chairman Massad Announces Open Meeting on Three End-User Issue
    This afternoon, CFTC Chairman Timothy Massad announced a public meeting of the CFTC to take place on November 3, 2014 at 10:30 am (Eastern). The meeting will address the "further fine-tuning of [the CFTC] rules" with respect to…
  • Oct 15

    Approaching Ambiguities in the Financial Entity Definition

    Approaching Ambiguities in the Financial Entity Definition
    The third installment of our ongoing series on the 2014 CFTC Reauthorization Act covers a potential change to the definition of a "financial entity", which has been a particularly troublesome and confusing definition for end-users, and the…
Rank this Week: 4009

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/
  • Nov 15

    Yet Another Reason to Handle Consumer Electronic Consents Correctly

    Yet Another Reason to Handle Consumer Electronic Consents Correctly
    From time to time, clients balk when I describe the components of an effective consumer consent to an electronic transaction.  They say "I've seen lots of other websites, and they don't require this."  They are correct, in…
  • Nov 6

    Combatting Financial Exploitation: A New Tool

    Combatting Financial Exploitation: A New Tool
    This week, I had the privilege to join a distinguished panel of experts for a series of training webinars on combatting financial exploitation of the elderly and disabled.  The webinar was coordinated by the NC Administrative Office of…
  • Nov 6

    A Message to New North Carolina Lawyer

    A Message to New North Carolina Lawyer
    The following article was published by the NC Bar Association in The Advocate earlier this month.  If you know any newly-licensed lawyers in North Carolina, I encourage you to share it with them:Welcome to the YLDby Matt Cordell,…
Rank this Week: 3499