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Mortgage Fraud Blog

Mortgage Fraud Blog

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

http://mortgagefraudblog.com/
  • Apr 22

    Woman Indicted on Loan Modification Fraud Charge

    Woman Indicted on Loan Modification Fraud Charge
    Mortgage Fraud Blog. Constance Kanary, 52, Toledo, Ohio, is the subject of a two-count indictment charging her with participating a fraudulent home loan modification conspiracy. The defendant was charged with one count of conspiracy to commit…
  • Apr 22

    Former Loan Officer Pleads Guilty to Accepting Bribe

    Former Loan Officer Pleads Guilty to Accepting Bribe
    Mortgage Fraud Blog. Johnny Gutierrez, 50, Stafford, Virginia, a former loan officer at the Export-Import Bank of the United States pleaded guilty in federal court for accepting more than $78,000 in bribes in return for recommending the…
  • Apr 21

    Fraudster Jailed for Stealing More Than $187,000 in Mortgage Payment

    Fraudster Jailed for Stealing More Than $187,000 in Mortgage Payment
    Mortgage Fraud Blog. Mario Coniglione, 51, Staten Island, New York, was sentenced by Monmouth County Superior Court Judge Anthony J. Mellaci, Jr. to seven years in a New Jersey state prison for stealing more than  $187,000 from a pair of…
Rank this Week: 3

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: 98

Mandelman Matters

Mandelman Matters

Covers the foreclosure crisis. By Martin Andelman.

http://mandelman.ml-implode.com
Rank this Week: 173

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Apr 24

    NASAA Adopts Model Business Continuity Rule for Adviser

    NASAA Adopts Model Business Continuity Rule for Adviser
    By John M. Jascob, J.D.NASAA has adopted a state model rule and related guidance concerning business continuity and succession planning for investment advisers. The model rule and guidance are intended to ensure that smaller advisers fulfill…
  • Apr 23

    State Treasurers Ask SEC to Bring Dark Money Spending Into the Light

    State Treasurers Ask SEC to Bring Dark Money Spending Into the Light
    By John Filar AtwoodFive state treasurers have written to the SEC asking it to adopt a rule to require all publicly traded companies to disclose their political spending. The treasurers of Oregon, North Carolina, Rhode Island, Washington and…
  • Apr 22

    ALJ Puts Agency’s Case Against ‘Turnaround Queen’ Tilton on Hold

    ALJ Puts Agency’s Case Against ‘Turnaround Queen’ Tilton on Hold
    By Mark S. Nelson, J.D.SEC administrative law judge (ALJ) Carol Fox Foelak has at least temporarily put the brakes on the agency’s administrative case against self-proclaimed “Turnaround Queen” Lynn Tilton and her firm…
Rank this Week: 292

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Apr 24

    The SEC’s Coming Pay-for-Performance Proposal: My Eight Cent

    The SEC’s Coming Pay-for-Performance Proposal: My Eight Cent
    As I blogged yesterday, the SEC has calendared an open Commission meeting for Wednesday, April 29th to finally propose the pay-for-performance rules as required by Dodd-Frank. This rulemaking is important as it could become the new standard…
  • Apr 23

    Proxy Access: Proponents Actively Solicit Support

    Proxy Access: Proponents Actively Solicit Support
    Here’s news from this blog by Davis Polk’s Ning Chiu: Companies with proxy access shareholder proposals on their annual meeting ballots are confronting a notice of exempt solicitation filed by the California Public Employees…
  • Apr 22

    Got Your Feedback: Our Home Page Goes Back to “Normal”

    Got Your Feedback: Our Home Page Goes Back to “Normal”
    In the wake of poll results indicating a strong preference to having the full menu of our offerings available straight from our home page, I have reverted the home page back to whence it came. The new large tabs at the top are the same…
Rank this Week: 313

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/
  • Apr 22

    Do Not Go Gentle Into That Good Night

    Do Not Go Gentle Into That Good Night
    This post has absolutely nothing to do with banks or banking law. On the other hand, it involves a dark fantasy that many of us harbor, but few of us live out: killing your computer. When ctrl + alt +...
  • Apr 19

    Lizzie Warren's Latest Bad Idea

    Lizzie Warren's Latest Bad Idea
    Writing in Forbes, Tim Worstall dissects Elizabeth Warren's recent call for a tax on financial transactions and discovers that it's not only cancerous, but DOA. He first restates Warren's announced purpose for the tax. Among specific…
  • Apr 12

    The Fed's Cold Comfort To Colorado MJ Businesse

    The Fed's Cold Comfort To Colorado MJ Businesse
    I'm traveling this week on business, but I didn't want to leave town without a comment on the visit of Esther George. head of the Federal Reserve Bank of Kansas City, to Denver last week. She was invited to meet...
Rank this Week: 299

Sharesleuth.com

Sharesleuth.com

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

http://sharesleuth.com/
  • Feb 4

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

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

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

    Kandi Technologies Group Inc.: Where are the Go-Karts?
    When the global economy collapsed in the fall of 2008, the sharp drop in consumer spending threw the power sports industry into a steep decline. Sales of motorcycles, go-karts and all-terrain vehicles each plunged by 30 percent or more,…
  • Oct 7

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

    Kandi Technologies Group Inc.: The return of the cyber shill
    Last June, shares of Kandi Technologies Group Inc. (Nasdaq: KNDI) doubled in the space of a week, spurred on by a mysterious network of social-media touters who later deleted their posts or shut down their accounts…
Rank this Week: 347

Ponzitracker

Ponzitracker

Covers Ponzi schemes. By Jordan Maglich.

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

    SEC Charges Wisconsin Man With $10.4 Million Ponzi Scheme

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

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

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

    California Men Plead Guilty To $100 Million ATM Ponzi Scheme

    California Men Plead Guilty To $100 Million ATM Ponzi Scheme
    Two California men have entered guilty pleas to operating a massive Ponzi scheme that allegedly caused losses of over $100 million to victims who thought they were investing in a profitable ATM leasing operation.  Joel Barry Gillis, 74,…
Rank this Week: 352

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/
  • Apr 21

    INVESTMENT ADVISER CONFLICTS OF INTEREST – BlackRock Censured; Compliance Officer Personally Liable

    INVESTMENT ADVISER CONFLICTS OF INTEREST – BlackRock Censured; Compliance Officer Personally Liable
    On April 20, 2015, the Securities and Exchange Commission (“SEC”) issued an order against an investment advisory firm and its former chief compliance officer, for violating Sections 206(2) and 206(4) and rule 206(4)-7 of the…
  • Apr 17

    DOL Issues Proposal on ERISA Fiduciarie

    DOL Issues Proposal on ERISA Fiduciarie
    On April 14, 2015, the Department of Labor issued its much anticipated re-proposal of regulations defining and expanding the persons who are treated as ERISA fiduciaries.  Under the proposal, subject to certain exceptions, all persons…
  • Apr 13

    Five Things to Know about New Jersey’s Taxation of Convertible Virtual Currency

    Five Things to Know about New Jersey’s Taxation of Convertible Virtual Currency
    On March 10, 2015, the New Jersey Division of Taxation issued Technical Advisory Memorandum TAM-2015-1, explaining its policy regarding convertible virtual currency.1 The IRS has held that convertible virtual currency (CVC), such as Bitcoin,…
Rank this Week: 487

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
  • Apr 20

    FINRA Named As Defendant In Case Alleging Altered Electronic File

    FINRA Named As Defendant In Case Alleging Altered Electronic File
    Today's BrokeAndBroker.com Blog discusses a civil Complaint involving the somewhat esoteric legal issue of "spoliation," which involves the alleged destruction or alteration of evidence. Although that doesn't necessarily sound like a…
  • Apr 20

    SEC Awards Compliance Officer Million Dollar Whistleblower Bounty

    SEC Awards Compliance Officer Million Dollar Whistleblower Bounty
    On April 22, 2015, the Securities And Exchange Commission announced it was awarding to a compliance professional a whistleblower award of between $1.4 and $1.6 million. According to the SEC's Press Release "SEC Announces Million-Dollar…
  • Apr 20

    FINRA Arbitrators Expunge Customer Settlement Contribution From Merrill Lynch Broker

    FINRA Arbitrators Expunge Customer Settlement Contribution From Merrill Lynch Broker
    Among the false perceptions that many have is the reliability of so-called official records. If it's something maintained by a regulator, we tend to believe that there are so many levels of checks and balances that a falsehood would not…
Rank this Week: 432

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: 417

Illinois Business Law Journal

Illinois Business Law Journal

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

http://www.law.illinois.edu/bljournal/
  • Nov 27

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

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

    The Ride-Sharing Economy: Keeping Liability in the Rearview

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

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

    Two Sides of the Same [Bit]coin: Why Regulating Bitcoin Works in Its Favor
               The reality of the most notorious virtual currency is that it is only a matter of time before it comes under the purview of a regulatory body.  Bitcoin is a cryptocurrency that exists entirely…
Rank this Week: 443

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: 475

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/
  • Apr 17

    CFPB and Navajo Nation Partner in UDAAP Action Against Companies Involved in Alleged Tax Refund Scheme

    CFPB and Navajo Nation Partner in UDAAP Action Against Companies Involved in Alleged Tax Refund Scheme
    On April 14, the CFPB along with the Navajo Nation jointly announced an enforcement action against two companies and their respective owners (Defendants) for running an alleged tax-refund scheme, marking the CFPB’s “first…
  • Apr 17

    CFPB Issues Guidance on Housing Counselor Requirement

    CFPB Issues Guidance on Housing Counselor Requirement
    On April 15, the CFPB issued an interpretive rule clarifying requirements for providing a list of housing counselors to mortgage borrowers, as required under the Bureau’s 2013 Home Ownership and Equity Protection Act final rule. Among…
  • Apr 17

    CFPB Grants Credit Card Issuers One-Year Suspension From Filing Card Agreement

    CFPB Grants Credit Card Issuers One-Year Suspension From Filing Card Agreement
    On April 15, the CFPB issued a final rule temporarily suspending credit card issuers’ obligation to submit their card agreements to the CFPB, as required by the Credit Card Accontability, Responsibility, and Disclosure Act (CARD Act).…
Rank this Week: 610

Blog y Lana finanzas personales…

Blog y Lana finanzas personales que se entienden

Porque de nada sirve ganar mucho dinero si no sabemos mantenerlo en nuestra bolsa. Finanzas personales que se entienden.

http://www.blogylana.com/
  • Apr 17

    Novedosa alternativa para monetizar tu trabajo creativo. Podcast #167

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

    ¿Invertir sin miedo? Descubre como lograrlo

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

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

    Evita el NO de los mejores proveedores y clientes Podcast #166
    En el podcast #162 El Arte de Pedir explico los pequeños y a veces grandes detalles que hacen que uno reciba un NO cuando se pide algo. Mi querida invitada a este podcast Leonora Varo quiso retomar un poco el tema con un ángulo…
Rank this Week: 620

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: 634

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/
  • Apr 24

    SEC News - Military Investment Scheme, Stolen Funds, Fraud

    SEC News - Military Investment Scheme, Stolen Funds, Fraud
    SEC Halts Investment Scheme Targeting Military PersonnelA man living in central Texas faces fraud charges and an asset freeze after being accused of telling false tales about his stockbroking experience to lure current and former U.S.…
  • Apr 22

    SEC News - Undisclosed Perks, Insider Trading, and Fraud

    SEC News - Undisclosed Perks, Insider Trading, and Fraud
    Fraud Charges Against Investment Adviser Accused of Concealing Poor Performance of Fund Assets From InvestorsAn investment adviser and her New York-based firms have been accused of hiding the poor performance of loan assets in three…
  • Apr 21

    Arbitrator Orders Firm to Pay 48.5 Million in Damage

    Arbitrator Orders Firm to Pay 48.5 Million in Damage
    In a decision that is sure to raise eyebrows, a single arbitrator appointed by the AAA has ordered a Boston investment management firm to pay $48.5 million in damages to a couple who were advised to invest in a Polish tobacco company that he…
Rank this Week: 712

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
  • Apr 6

    Carefully Draft NDAs to Avoid Whistleblower Concern

    Carefully Draft NDAs to Avoid Whistleblower Concern
    CONTRIBUTED BY Andrew Ledbetter andrew.ledbetter@dlapiper.com In light of the SEC’s first enforcement action against a company for impeding whistleblower activity in violation of Rule 21F-17, employers may wish to consider clarifying in…
  • Apr 2

    Factors the SEC Considers in “Bad Actor” Waiver

    Factors the SEC Considers in “Bad Actor” Waiver
    CONTRIBUTED BY Andrew Ledbetter andrew.ledbetter@dlapiper.com   We have previously blogged about the SEC’s July 2013 rule change that disqualifies certain “bad actors” from using Rule 506. Thankfully, Rule 506 permits…
  • Mar 24

    IMHO, Omnicare Doesn’t Materially Change Opinion Disclosure

    IMHO, Omnicare Doesn’t Materially Change Opinion Disclosure
    CONTRIBUTED BY Andrew Ledbetter andrew.ledbetter@dlapiper.com   Today, the U.S. Supreme Court issued its anticipated Omnicare decision, which addresses the standard of liability applied to expressions of opinion in a registration…
Rank this Week: 865

Financial Industry Resource Center

Financial Industry Resource Center

Covers the financial crisis. By Hunton & Williams.

http://www.huntonfinancialindustryresourcecenter.com/
  • May 7

    CFPB Proposes New GLB Privacy Notice Rule

    CFPB Proposes New GLB Privacy Notice Rule
    As reported on our Privacy and Information Security Law Blog, on May 6, 2014, the Consumer Financial Protection Bureau (“CFPB”) announced a new proposed rule impacting privacy notices that financial institutions are required to…
  • Jan 23

    SEC Releases "Regulation A+" Proposal

    SEC Releases "Regulation A+" Proposal
    On December 18, 2013, the SEC proposed rules under Title IV of the JOBS Act to amend Regulation A (Rules 251-263 under the Securities Act of 1933 (the "Securities Act")). The proposed rules, which have been referred to informally as…
  • Nov 27

    CFTC Court Case and New Rules Establish Bank Duties to Monitor Commodity Broker

    CFTC Court Case and New Rules Establish Bank Duties to Monitor Commodity Broker
    A recent court order in favor of the Commodity Futures Trading Commission (or CFTC) and new rules issued by CFTC establish a standard of liability for depository institutions that fail to fulfill their customer funds protection obligations…
Rank this Week: 672

Financial Industry Review

Financial Industry Review

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

http://blogs.orrick.com/financial/
  • Apr 20

    ICMA Issues Updated Legal Opinions On GMRA

    ICMA Issues Updated Legal Opinions On GMRA
    On April 9, 2015, the International Capital Market Association (ICMA) published the 2015 legal opinions on the Global Master Repurchase Agreement (GMRA), the principal standard agreement used to document repo transactions. The updated legal…
  • Apr 20

    EBA Updates Single Rulebook Q&As: April 10, 2015

    EBA Updates Single Rulebook Q&As: April 10, 2015
    On April 10, 2015, the European Banking Authority (EBA) updated its Q&As on the single rulebook, publishing four new questions relating to issues including credit risk, liquidity risk, transparency and Pillar 3, and large…
  • Apr 20

    Delegated Regulation on RTS for Specification of Margin Periods of Risk Published in Official Journal

    Delegated Regulation on RTS for Specification of Margin Periods of Risk Published in Official Journal
    On April 16, 2015, the Commission Delegated Regulation (Regulation 2015/585) on regulatory technical standards (RTS) on the margin periods of risk (being the time period from the last exchange of collateral covering a netting set of…
Rank this Week: 1215

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/
  • Apr 20

    Using Stock as Consideration in Mergers & Acquisition

    Using Stock as Consideration in Mergers & Acquisition
    When companies look toward inorganic growth in the form of mergers and acquisitions, the frequent questions that arise throughout this process revolve around consideration. Consideration is how sellers get paid and buyers pay. The ways in…
  • Apr 13

    Myths About Public Company Share Registration & the SEC

    Myths About Public Company Share Registration & the SEC
    Before I delve in to a discussion about what the SEC does and does not do, let me be very clear: the SEC produces and changes its opinion fairly frequently and–due to the complex nature of most SEC rules and arguments–it would be…
  • Apr 5

    Vetting Reverse Merger Candidate

    Vetting Reverse Merger Candidate
    We receive a great deal of requests from folks I like to refer to as the tire kickers. They’re those that like to waste a lot of time, but at the end of the day their business–or in most cases their business idea–lacks the…
Rank this Week: 1079

RIA Compliance Blog

RIA Compliance Blog

Covers registered investment advisor regulations. By Parker MacIntyre.

http://www.riacomplianceblog.com/
  • Apr 2

    SEC Vows To Be Aggressive in 2015

    SEC Vows To Be Aggressive in 2015
    Last month at the Annual Conference of the Securities and Exchange Commission ("SEC"), the Commission revealed its enforcement statistics for 2014, including a record number of enforcement actions (755) and monetary relief obtained ($4.1…
  • Mar 23

    SEC Charges Three Investment Adviser Firms with Improper Registration in Wyoming

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

    New "Invest Tennessee Exemption" Takes Effect

    New "Invest Tennessee Exemption" Takes Effect
    Tennessee's new "Invest Tennessee Exemption" to the state's securities registration requirements went into effect on January 1, 2015. Like other securities exemption laws recently adopted by other states, Tennessee's exemption allows for the…
Rank this Week: 1249

Big Four Blog

Big Four Blog

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

http://bigfouralumni.blogspot.com/
Rank this Week: 1042

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/
  • Apr 22

    Business Court Denies TRO In The Midst of A Proxy Fight

    Business Court Denies TRO In The Midst of A Proxy Fight
    The Defendant in Allcorn v. Bradley Creek Boatominium, Inc. sought an injunction against the Plaintiffs in the midst of a proxy fight as to their allegedly defamatory statements in connection with the election of the Defendant's board of…
  • Apr 14

    Some Stats On The Business Court

    Some Stats On The Business Court
    When the North Carolina Legislature "modernized" the Business Court last year, it added a provision to the General Statutes mandating that the Director of the Administrative Office of the Courts prepare a report, twice a year, showing the…
  • Apr 10

    NC Business Court Takes On The Oxford Comma

    NC Business Court Takes On The Oxford Comma
    You most likely have heard of the Oxford Comma.  It is also referred to as the "serial comma."  If you are not familiar with this literary device, it is a comma placed before the word "and" or another conjunction (like or or nor) in…
Rank this Week: 1903

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/
  • Apr 22

    Merrill Lynch Fined for Faulty Trade Reporting

    Merrill Lynch Fined for Faulty Trade Reporting
    Merrill Lynch was fined almost $20 million by the Financial Conduct Authority (FCA) in London for incorrectly reporting more than 35 million transactions from 2007 to 2014. Merrill Lynch didn’t report, at all, another 120,000…
  • Apr 15

    Labor Department Proposes New Rule Imposing Fiduciary Duty on Broker

    Labor Department Proposes New Rule Imposing Fiduciary Duty on Broker
    In what has become a hot issue this Spring, the Labor Department yesterday proposed a new set of standards for brokers who offer advice in connection with 401(k)’s and other retirement accounts. Currently, brokers are required only to…
  • Apr 10

    Concern Mounts Over the Lack of a Rule Imposing a Fiduciary Duty on Broker

    Concern Mounts Over the Lack of a Rule Imposing a Fiduciary Duty on Broker
    I noted in my March 20 post that the Chair of the SEC had just come out in favor of a rule requiring brokers to act in their clients best interests. While investors wait for the SEC to move forward on the issue, the New York City…
Rank this Week: 1749

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/
  • Apr 21

    Employee Ownership and ERISA Litigation

    Employee Ownership and ERISA Litigation
    I had the pleasure of speaking at the sold-out National Center of Employee Ownership ("NCEO") conference on April 21 about board education, compensation metrics and procedural prudence. Consonant with NCEO's commitment to providing…
  • Apr 16

    ERISA Litigation Predicted To Rise

    ERISA Litigation Predicted To Rise
    I have just returned from Chicago where I spent two days listening to transaction attorneys, litigators and insurance company executives talk about trends in ERISA enforcement and legal disputes. Sponsored by the American Conference…
  • Apr 15

    Pension Risk Management For Public Plan

    Pension Risk Management For Public Plan
    Dr. Susan Mangiero will speak about pension risk management on June 1, 2015. Part of the annual conference for the Government Finance Officers Association ("GFOA"), this session will examine changing rules and economics that go beyond…
Rank this Week: 2143

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/
  • Apr 15

    MBA’s Legal Issues & Regulatory Compliance Conference

    MBA’s Legal Issues & Regulatory Compliance Conference
    On Sunday, May 3, 2015, I will serve as a panelist at the Mortgage Bankers Association’s Legal Issues & Regulatory Compliance Conference at the Sheraton Chicago Hotel & Towers in Chicago, IL. More than 800 attorneys,…
  • Mar 16

    BofA’s Inconsistent Position

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

    Fraud Verdict Against Countrywide & BofA Upheld

    Fraud Verdict Against Countrywide & BofA Upheld
    BofA’s “hustling” attempt to overturn a $1.27 billion judgment against it and Countrywide—along with the individual defendant identified in the next paragraph, the “Defendants”—in the U.S. District…
Rank this Week: 1636

Kueser Law Firm Blog

Kueser Law Firm Blog

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

http://blog.jmkesquire.com
Rank this Week: 1502

Strictly Business

Strictly Business

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

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

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

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

    Venture Capital Term Sheet Negotiation — Part 19: Board Matter

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

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

    Venture Capital Term Sheet Negotiation — Part 18: Non-Disclosure and Developments Agreement
    This post is the eighteenth in a series giving practical advice to startups with respect to understanding and negotiating a venture capital term sheet. In the prior seventeen posts, we provided an introduction to…
Rank this Week: 1513

That Credit Union Blog

That Credit Union Blog

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

http://thatcreditunionblog.wordpress.com
  • Mar 12

    Cashing in on Bad Check

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

    1099-C Filing

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

    Powers of Attorney-Built to Last

    Powers of Attorney-Built to Last
    By Matthew M. Young, Attorney Any credit union accepting powers of attorney (POA) should know that a POA ceases upon the death of the principal.  A lesser known fact relates to durable powers of attorney; the durable POA survives…
Rank this Week: 1733

NC Business & Banking Law Blog

NC Business & Banking Law Blog

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

http://bizlawnc.com/
  • Mar 1

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

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

    NC Commissioner of Banks Ray Grace Re-Appointed

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

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

    What Would The White House's Data Security Breach Proposal Mean For North Carolina Businesses?
    Earlier this week, the President announced a new cybersecurity initiative. The White House explained that:"[t]here is a growing perception that individuals have lost control of their personal information; a negative implication of such a…
Rank this Week: 1904

Southeast VC

Southeast VC

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

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

    Be Proactive to Grow Your Busine

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

    Scott Kupor Andreessen Horowitz Speaks with Entrepreneurs at BCVP

    Scott Kupor Andreessen Horowitz Speaks with Entrepreneurs at BCVP
    We invited some local tech founders over to our office Wednesday night to meet Scott Kupor Managing Partner at Andreessen Horowitz. We have been close with Scott since before he joined Andreessen Horowitz. We thought this would be a good...
  • Sep 9

    WedPics CEO Shares Investor Email

    WedPics CEO Shares Investor Email
    I referenced WedPics' CEO/founder Justin Miller in my last blog post. He sends a monthly email to us. His emails serve 2 purposes: 1) Keeps Justin and WedPics top of mind 2) Shows off his continued success as he thinks...
Rank this Week: 1356

BeyondVC

BeyondVC

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

http://www.beyondvc.com/
  • Feb 12

    boldstart ventures in 2014 – our etho

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

    boldstart ventures in 2014 – our etho

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

    Branding first starts with your team

    Branding first starts with your team
    External branding starts with developing a consistent, internal message first. When you think of branding and positioning, remember that your first line of offense and the most important representation of your company comes from your…
Rank this Week: 1357

Current Issues in Credit Unions

Current Issues in Credit Unions

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

http://ciicu.libsyn.com
Rank this Week: 1734

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: 1372

Venture Law Lines

Venture Law Lines

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

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

    When University Commercialization Offices Turn Troll

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

    What to do When Blackberry KIKs You to the Curb

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

    Founder CEOs and Severance Agreements: Drafting tips from Mark Hurd

    Founder CEOs and Severance Agreements: Drafting tips from Mark Hurd
    The value of a severance agreements for departing CEOs lies not only in how much they promise to pay, but in what protection it preserves. Mark Hurd's agreement with HP sets out some of the subtleties that you should ensure your own…
Rank this Week: 1798

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: 1307

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
  • Apr 24

    Four Due Diligence Issues in Insurance M&A Transaction

    Four Due Diligence Issues in Insurance M&A Transaction
    By Ana Badour and Ian C. Michael Insurance M&A activity, in both the Canadian market and globally, has been on the rise since the 2008 financial crisis, and is expected to continue to increase. Deloitte recently reported that there were…
  • Apr 16

    Harnessing Social Media in Proxy Contests: Opportunities and Legal Challenge

    Harnessing Social Media in Proxy Contests: Opportunities and Legal Challenge
    By Shane C. D'Souza, Deandra Schubert and Blake Jones Social media has very seldom been leveraged in Canadian proxy contests. One reason for this may be the lack of knowledge about its full potential.[1] To address this reason, our first…
  • Apr 14

    Harnessing Social Media in Proxy Contest: Not Just “Social”

    Harnessing Social Media in Proxy Contest: Not Just “Social”
    By Shane C. D'Souza, Deandra Schubert and Blake Jones Social media has revolutionized how stakeholders receive information about companies. An estimated 1.79 billion people used social media in 2014; 2.44 billion will by 2018.[1] Despite…
Rank this Week: 4651

Payment Law Advisor

Payment Law Advisor

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

http://www.paymentlawadvisor.com/
  • Apr 23

    ABA Meeting Sheds Light on UDAAP Priorities and CFPB’s Project Catalyst Initiative

    ABA Meeting Sheds Light on UDAAP Priorities and CFPB’s Project Catalyst Initiative
    A team of DWT payments lawyers attended the ABA Business Law Section’s spring meeting in San Francisco last week. Adam Maarec from our Washington, DC office moderated a lively roundtable titled A Roadmap for Credit Card Lending:…
  • Apr 20

    Mobile Wallet Discussion at 2015 FinTech Startups Conference

    Mobile Wallet Discussion at 2015 FinTech Startups Conference
    At the recent 3rd Annual FinTech Startups Conference in New York City, DWT payments team member Claude Goetz joined a panel that included Jenny Fielding (Techstars), Mark Egerman (Cover), Michael Dudas (Button), and Andrew Dresner (JP Morgan…
  • Apr 16

    Legal Departments: New PCI DSS Requirements Mandatory in June

    Legal Departments: New PCI DSS Requirements Mandatory in June
    PCI Council publishes new PCI Data Security Standard Version 3.1 and provides very short time to implement new encryption standards. The PCI Council just published a new version of the PCI Data Security Standard (PCI DSS).  The…
Rank this Week: 2326

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/
  • Apr 23

    Appealing Real Estate Taxes in Florida

    Appealing Real Estate Taxes in Florida
    Authored by Jon Sacks, Heather S. Nason and Scott St. Amand, Jon Sacks, Heather S. Nason and Scott St. Amandand Jon Sacks, Heather S. Nason and Scott St. Amand of Rogers TowersAs the old saying goes, there are two certainties in life: death…
  • Apr 21

    The Inadvertent Error Defense to Violations of the Equal Credit Opportunity Act

    The Inadvertent Error Defense to Violations of the Equal Credit Opportunity Act
    Authored by Samantha Alves Orender of Rogers TowersThe Equal Credit Opportunity Act (the “ECOA”) prohibits creditors from discriminating against credit applicants based on race, religion, sex, national origin, marital status, and…
  • Apr 14

    Garnishing Non-Cash Proceeds from Sale of a Homestead

    Garnishing Non-Cash Proceeds from Sale of a Homestead
    Authored by Edward L. Kelly and Karl R. Grussand Edward L. Kelly and Karl R. Gruss of Rogers TowersCash proceeds obtained from the sale of a homestead property receive protection from creditors’ claims, provided the funds are not…
Rank this Week: 3437

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
  • Apr 22

    House Passes Cybersecurity Information Sharing Bill

    House Passes Cybersecurity Information Sharing Bill
    On Wednesday, April 22, 2015, the House passed H.R. 1560, the Protecting Cyber Networks Act, sponsored by House Intelligence Committee Chairman Devin Nunes (R-CA), with Ranking Member Adam Schiff (D-CA) as lead cosponsor.  The bill…
  • Apr 21

    Southern District Allows SEC Insider Trading Case to Proceed, Distinguishing Newman

    Southern District Allows SEC Insider Trading Case to Proceed, Distinguishing Newman
    A recent decision from the United States District Court for the Southern District of New York allowing a U.S. Securities and Exchange Commission (SEC) civil enforcement action to proceed against two former stockbrokers for alleged insider…
  • Apr 19

    President to Remove Cuba’s Terrorism Designation: Most Sanctions Remain in Effect

    President to Remove Cuba’s Terrorism Designation: Most Sanctions Remain in Effect
    As part of our continued coverage on U.S. sanctions against Cuba, we share with you some detail on new guidance released by President Obama, originally featured on our AG Trade Law blog. On April 14, President Obama…
Rank this Week: 2686

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: 3042

Al-Mirsal

Al-Mirsal

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

http://www.al-mirsal.com/
  • Apr 21

    Financing the Middle East’s Shopping Spree

    Financing the Middle East’s Shopping Spree
    The continuing strong economic conditions of the UAE and other GCC economies has led to an upsurge in consumer spending in recent years. With retail sales in the region expected to reach US$284.5 billion by 2018, the need to meet the growing…
  • Jan 20

    How Oil and Gas Companies can Optimize Technology Performance and Costs During Oil Price Volatility

    How Oil and Gas Companies can Optimize Technology Performance and Costs During Oil Price Volatility
    An unexpected surge in production coupled with weakened global demand has resulted in a 50 percent drop in the price of crude oil since June 2014 and currently averaging US$50 a barrel. The Organization of the Petroleum Exporting Countries…
  • Jan 13

    What You Need to Know About Abu Dhabi Global Market’s New Draft Regulation

    What You Need to Know About Abu Dhabi Global Market’s New Draft Regulation
    The Abu Dhabi Global Market, Abu Dhabi’s new financial free zone, located on Al Maryah Island, recently issued a first wave of draft regulations and related consultation papers. The Global Market’s general approach in the draft…
Rank this Week: 4373

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Apr 17

    Creating Your Own Losse

    Creating Your Own Losse
    Under the PSLRA, the presumptive lead plaintiff in a securities class action is the applicant with the “largest financial interest in the relief sought by the class.”  The largest financial interest is measured by assessing…
  • Mar 25

    Omnicare Decided

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

    The Streak Is Over

    The Streak Is Over
    Plaintiffs in securities class actions often point to insider trades as evidence that the individual defendants had a pecuniary motive to commit fraud.   But if the plaintiffs do not make any allegations related to insider…
Rank this Week: 3518

Financial Regulatory Report

Financial Regulatory Report

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

http://www.financialregulatoryreport.com/
Rank this Week: 4579