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Mortgage Fraud Blog

Mortgage Fraud Blog

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

http://mortgagefraudblog.com/
  • Sep 3

    FDLE agent gets five-day suspension, already served, in mortgage case

    FDLE agent gets five-day suspension, already served, in mortgage case
    Mortgage Fraud Blog. Kathy Smith, a Key West-based Florida Department of Law Enforcement agent who had been suspended with pay since November 2014 following allegations of mortgage fraud, received a five-day suspension without pay from Aug.…
  • Sep 3

    Guilty Plea in Alabama Foreclosure Bid-Rigging Case

    Guilty Plea in Alabama Foreclosure Bid-Rigging Case
    Mortgage Fraud Blog. Michael P. Barbour, a southern Alabama business man pled guilty for his role in conspiracies to rig bids and commit mail fraud at public real estate foreclosure auctions in southern Alabama.  Barbour admitted to…
  • Sep 3

    Father and Son Indicted Short Sale Buy-Back Scheme

    Father and Son Indicted Short Sale Buy-Back Scheme
    Mortgage Fraud Blog. George Bussanich Sr., 56, Park Ridge, New Jersey, and his son, George Bussanich Jr., 35, Upper Saddle River, New Jersey, were arrested for engaging in a short sale buy-back scheme that used straw buyers and…
Rank this Week: 6

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Sep 3

    U.S. Leads the Way in Reform of Money Market Fund Regulation, IOSCO Find

    U.S. Leads the Way in Reform of Money Market Fund Regulation, IOSCO Find
    By John Filar AtwoodOf the five countries that dominate the global money market fund (MMF) market, only the U.S. has implemented reform measures in all of the eight areas recommended by the International Organization of Securities Commissions…
  • Sep 2

    Validation of Defective Stock Warranted, but Final Judgment Premature

    Validation of Defective Stock Warranted, but Final Judgment Premature
    By Amy Leisinger, J.D.The Delaware Chancery Court granted a motion for partial judgment on the pleadings, finding that shares of putative stock of the CertiSign Holding, Inc. are valid despite being issued before the certificate authorizing…
  • Sep 1

    Board Members Accused of Coercing Shareholders to Increase Their Compensation Win Appeal

    Board Members Accused of Coercing Shareholders to Increase Their Compensation Win Appeal
    By Matthew Garza, J.D.Members of the board of directors of mobile technology company QualComm, Inc. were victorious in a legal battle launched by an investor over amendments made by the company’s compensation committee to increase stock…
Rank this Week: 141

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: 171

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: 183

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/
  • May 31

    Sabbatical

    Sabbatical
    Other than holidays and brief vacations, I have not taken a break from this blog in over a decade. It's time. This blog is going on summer vacation. Have a great summer.
  • May 28

    The Underbelly Of The Mt. Holly Settlement

    The Underbelly Of The Mt. Holly Settlement
    The settlement of the Mt. Holly disparate impact case before it could be decided by the US Supreme Court were suspicious. At the time, it was thought by many that the US Justice Department had helped to engineer that settlement...
  • May 25

    Releash The Hound

    Releash The Hound
    Calling the CFPB a "rogue agency," Georgia Senator David Perdue introduced a bill in the Senate last week to bring the rogue to heel. The Consumer Financial Protection Bureau Accountability Act of 2015 is a companion bill to one…
Rank this Week: 194

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: 213

Mandelman Matters

Mandelman Matters

Covers the foreclosure crisis. By Martin Andelman.

http://mandelman.ml-implode.com
Rank this Week: 231

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Sep 4

    Our Conference’s Family Feud: We Need Your Input for “Survey Says”

    Our Conference’s Family Feud: We Need Your Input for “Survey Says”
    Given that I’m in the conference planning business, I’m a bit of a conference connoisseur – I love to innovate so that our attendees learn as much practical information as they can – but yet consume our conferences in…
  • Sep 3

    Dance a Little Dance (Vive La Prague!)

    Dance a Little Dance (Vive La Prague!)
    Just love this dance scene from the 1964 French movie “Bande à part.” Finally heading out on my summer vaca tomorrow (to Prague, not France). Enjoy the holiday! – Broc Romanek
  • Sep 2

    Proxy Access: Imagine No Holding Periods!

    Proxy Access: Imagine No Holding Periods!
    Proxy access is being debated in Canada ahead of a possible proposal (see this memo) – and this excerpt from this article gives a sense of the possible stakes: Proponents of “proxy access” all agree to these conditions or…
Rank this Week: 289

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/
  • Sep 4

    SEC News - Insider Trading, Asset Freeze, FCPA Violation

    SEC News - Insider Trading, Asset Freeze, FCPA Violation
    Former Investment Bank Analyst and Two Others Charged With Insider Trading in Advance of Client DealsA former investment bank analyst has been charged with illegally tipping his close friend with confidential information about clients…
  • Sep 3

    Managing the Costs of Long-Term Care Insurance http://ift.tt/1JznS1G

    Managing the Costs of Long-Term Care Insurance http://ift.tt/1JznS1G
    As insurers seek to curb losses, many states have been approving large increases in premiums for older policies, but there are ways to cope.http://ift.tt/1JznS1G
  • Sep 2

    Interactive Brokers Margin Meltdown?

    Interactive Brokers Margin Meltdown?
    Back in 1987 after the crash, the big problem in customer accounts were margin calls. Heavily leveraged accounts were being liquidated with abandon during the week of  October 19, 1987.We thought everyone learned their lesson - firms and…
Rank this Week: 509

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: 511

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: 706

Big Four Blog

Big Four Blog

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

http://bigfouralumni.blogspot.com/
Rank this Week: 757

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: 795

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
  • Aug 17

    Rights to Set Off from a Credit Union’s Account

    Rights to Set Off from a Credit Union’s Account
    By: Matthew Young, Attorney I want to take a moment to address rights to set off (or “offset”) from a credit union’s account. This issue most commonly arises when the debtor misses a payment or dies. As a general matter,…
  • Jul 23

    CFPB Issues Final Rule Postponing Implementation of TILA/RESPA Regulations to October 3, 2015

    CFPB Issues Final Rule Postponing Implementation of TILA/RESPA Regulations to October 3, 2015
    By Matthew D. Urban, Attorney On June 3, 2015 the director of the Consumer Financial Protection Bureau (CFPB), Richard Cordray, announced in a letter to Congress that the CFPB was postponing implementation of the TILA/RESPA rules until August…
  • Jun 15

    Michigan’s Amended Periodic Garnishment Statute

    Michigan’s Amended Periodic Garnishment Statute
    By David Wolfe, Attorney Michigan allows judgment creditors to garnish funds owed to a judgment debtor through a periodic garnishment (which is typically sent to an employer), a non-periodic garnishment (which typically seeks to seize funds…
Rank this Week: 831

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

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

    Better Plan Ahead

    Better Plan Ahead
    Does the fact that an individual defendant’s stock trading took place pursuant to a pre-determined Rule 10b5-1 trading plan undermine any inference that the trades were “suspicious”?  Courts continue to be split on…
  • Jul 31

    Cornerstone Releases Midyear Report

    Cornerstone Releases Midyear Report
    Cornerstone Research (in conjunction with the Stanford Securities Class Action Clearinghouse) has issued its 2015 midyear report on securities class action filings. The findings for the first half of 2015 include: (1) There were 85 new…
  • Jul 6

    How Strong is “Very Strong”?

    How Strong is “Very Strong”?
    The U.S. Court of Appeals for the District of Columbia only hears a small number of securities cases, which means that it is often playing catch-up on the relevant legal standards.  In In re Harman Int’l Industries, Inc. Sec.…
Rank this Week: 919

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: 932

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/
Rank this Week: 950

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: 1020

Southeast VC

Southeast VC

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

http://southeastvc.blogs.com/southeast_vc/
  • Jun 16

    Andreessen Horowitz: What's Going on in Venture Capital

    Andreessen Horowitz: What's Going on in Venture Capital
    Really good deck from Scott Kupor and the guys at Andreessen Horowitz on the current VC market and thought it would be good to share here. Topics: What's going on in the public markets. What are all these unicorns What's...
  • 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...
Rank this Week: 1118

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/
  • Aug 21

    Fiduciary Standard TV Ad

    Fiduciary Standard TV Ad
    I have long professed my concern that retirement issues get short shrift when it comes to political speeches and public discourse. I am not talking about industry discussions which occur all the time. I am referring instead to Main…
  • Aug 20

    Fiduciary Standard Thrust and Parry Continue

    Fiduciary Standard Thrust and Parry Continue
    In the aftermath of the recent U.S. Department of Labor hearings about the fiduciary standard, the debate continues with fervor. In the last few days, I have seen television ads that are subtle but seem to impugn attempts at getting a…
  • Aug 11

    U.S. Department of Labor Hearings About Conflict of Interest and Fiduciary Role

    U.S. Department of Labor Hearings About Conflict of Interest and Fiduciary Role
    Though it may seem arcane to those outside of the financial services industry, the current debate about who serves as a fiduciary, compensation and duties is a big deal. Depending on what you read and with whom you speak, millions of retirees…
Rank this Week: 1181

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: 1187

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: 1213

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: 1247

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • Jul 8

    Feds Take Aim at Investment Adviser

    Feds Take Aim at Investment Adviser
    The SEC and DOJ brought a slew of cases against IAR's and RIA's in the first half of 2015. At least six cases were filed just last month alone. Here is a brief summary of a sampling of those cases. On January 21, 2015, the SEC filed fraud…
  • Jul 1

    Wells Fargo Takes One on the Chin

    Wells Fargo Takes One on the Chin
    A St. Louis County jury recently awarded over $70 million to the beneficiary of two trusts against Wells Fargo (WF).WF and its predecessors had served as the corporate trustee of one trust, and the custodian of the other. This firm…
  • Mar 11

    The Arbitration System

    The Arbitration System
    The premise that underlies the justification for the loss of rights in arbitration is simple:  both parties knowingly agreed to binding arbitration.  This presumption is based upon the presumptions that 1) signators read contracts…
Rank this Week: 1284

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: 1301

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/
  • Jun 26

    Granting Stock to Charities and Non-Profits in Your Public Offering

    Granting Stock to Charities and Non-Profits in Your Public Offering
    Perhaps nothing is more magical than the immediate accretive value-add to equity shareholders that occurs when shares change from a closed private company to a public offering. This accretive addition of value to both the shareholders and the…
  • Jun 16

    Pump and Dump: Avoiding an Illicit Money-Raising Scheme

    Pump and Dump: Avoiding an Illicit Money-Raising Scheme
    One of the ways in which reverse mergers had had a bad rapport over the years is the often-repeated and sleazy practice of the typical pump-and-dump public offering. To the layperson, a pump-and-dump scheme likely sounds more complicated than…
  • Jun 9

    Is My Company Big Enough to Go Public?

    Is My Company Big Enough to Go Public?
    We’re often asked the question, “is my company big enough to go public?” While the SEC provides no specific threshold on size for going public, many of the exchanges limit the company’s market capitalization with…
Rank this Week: 1350

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
  • Aug 31

    Stockbroker Wins Expungement Over Annuitie

    Stockbroker Wins Expungement Over Annuitie
    Yesterday, we discussed the case of a registered representative who was sanctioned by the Financial Industry Regulatory Authority ("FINRA") as a result of some alleged improper conduct in connection with variable annuities ("VAs")…
  • Aug 28

    The Ol' Variable Annuity Switcheroo

    The Ol' Variable Annuity Switcheroo
    Few products cause more regulatory pain for registered persons than Variable Annuities ("VAs"). No one really seems to like the stuff except for the fact that, well, you know, it's sort of lucrative and most brokerage firms push the…
  • Aug 28

    FBI Warns About Business Email

    FBI Warns About Business Email
    On August 28, 2015, the Federal Bureau of Investigation published an online article "Business E-Mail Compromise / An Emerging Global Threat. The BrokeAndBroker.com Blog regularly covers stories about electronic communication…
Rank this Week: 1435

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: 1452

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: 1522

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: 1635

RESPA Lawyer Blog

RESPA Lawyer Blog

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

http://www.respalawyer.com/
Rank this Week: 1643

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: 1665

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: 1852

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: 1952

Strictly Business

Strictly Business

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

http://www.strictlybusinesslawblog.com/
  • Aug 31

    Why You Can’t Really Include Non-accredited Investors in Rule 506 Offering

    Why You Can’t Really Include Non-accredited Investors in Rule 506 Offering
    One common misconception I encounter among startups is the idea that companies raising capital can include non-accredited investors in Rule 506[1] offerings. While it is technically true that a Rule 506 offering may include up to 35…
  • Jul 31

    Summary of the Proposed Amendments to Form ADV and Investment Advisers Act Rule

    Summary of the Proposed Amendments to Form ADV and Investment Advisers Act Rule
    On May 20, 2015, the SEC issued proposed amendments to Form ADV and the Investment Advisers Act rules. In the release, the SEC proposed amendments to Form ADV that would require advisers to disclose additional information, such as information…
  • Jun 30

    Frequently Asked Questions about Regulation A+

    Frequently Asked Questions about Regulation A+
    Back in March, I wrote about proposed revisions to Regulation A, commonly known as “Regulation A+”, which were designed to implement Section 401 of the Jumpstart Our Business Startups Act (JOBS Act). Since then, the SEC issued its…
Rank this Week: 1995

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: 2011

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
  • Aug 26

    SEC guidance on “catching up” delinquent filer

    SEC guidance on “catching up” delinquent filer
    CONTRIBUTED BY Andrew Ledbetter andrew.ledbetter@dlapiper.com   Every so often a public company finds itself unable to file periodic reports for a protracted time.  For example, a company may upgrade auditors and the new firm may…
  • Jul 30

    Merger activity remains strong in Q3 2015; average deal size spike

    Merger activity remains strong in Q3 2015; average deal size spike
    CONTRIBUTED BY Trent Dykes trent.dykes@dlapiper.com Earlier today PitchBook released its M&A Report for Q3 2015 and the stats indicate continued strength in merger and acquisition activity. While the overall deal count for Q2…
  • Jul 7

    Recap of Q2 2015 Venture Capital Activity by Region

    Recap of Q2 2015 Venture Capital Activity by Region
    CONTRIBUTED BY Trent Dykes trent.dykes@dlapiper.com PitchBook just released its analysis of 2Q 2015 venture capital activity by region, focusing on the six of the most active U.S. regions: the Bay Area; Boston; New York; Los Angeles; the…
Rank this Week: 2055

Securities Fraud Attorney Blog

Securities Fraud Attorney Blog

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

http://www.securitiesfraudattorneyblog.com/
Rank this Week: 2105

Asset Hunter: Tracking…

Asset Hunter: Tracking International Financial Fraud

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

http://www.michaeldiazjr.com
  • Dec 2

    Diaz Reus Forms Drone Legal Practice

    Diaz Reus Forms Drone Legal Practice
    In response to the growing phenomenon of domestic drones and legal/regulatory issues surrounding their use, the Florida-based international law firm of Diaz Reus announces the launch of its Unmanned Aircraft Systems (UAS) practice. Headed by…
  • Feb 5

    Diaz Reus & Targ LLP scored a stunning…

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

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

    Bolivia’s Anti-Corruption Colonel, Mario Fabrizio Ormachea, Arrested in Miami FBI Sting | Trial period set for October
    Mario Fabrizio Ormachea, the colonel leading Bolivia’s Anti-Corruption Unit, is being held without bail in Miami, awaiting an October 21 trial period after being arrested in an August 31 Miami FBI sting operation where he attempted to…
Rank this Week: 2175

Bank D&O Liability Law Blog

Bank D&O Liability Law Blog

Covers bank director and officer liability. By Jennings, Strouss & Salmon, PLC.

http://www.bankdandolaw.com/
Rank this Week: 2298

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
  • Aug 27

    Canadian M&A Activity: Recent Insights & Trends – Part Two

    Canadian M&A Activity: Recent Insights & Trends – Part Two
    By Matthew Kelleher, Genevieve Pinto and Fleur Heck In the first part of this blog post series, we looked at recent general trends in the Canadian M&A market overall, including a decline in overall transaction activity since…
  • Aug 25

    Proxy Access In Canada: CCGG Proposals to Give Shareholders More Input Into the Director Nomination Proce

    Proxy Access In Canada: CCGG Proposals to Give Shareholders More Input Into the Director Nomination Proce
    By Frederic Cotnoir, Fraser Bourne and Laure Fouin   The Canadian Coalition for Good Governance (CCGG) recently published a policy encouraging issuers to take measures to enhance “proxy access”, meaning the ability of…
  • Aug 20

    Canadian M&A Activity: Recent Insights & Trends – Part One

    Canadian M&A Activity: Recent Insights & Trends – Part One
    By Matthew Kelleher, Genevieve Pinto and Fleur Heck Canadian M&A activity has been on a rollercoaster ride in recent years, influenced by market factors, currency fluctuations, oil prices and other economic conditions. In this two-part…
Rank this Week: 2418

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/
  • Aug 8

    The Law of Prize Drawings: It's All Fun and Games, Until...

    The Law of Prize Drawings: It's All Fun and Games, Until...
    photo by Elliotphotos / foterEveryone loves a game. Games activate the creative, imaginative portions of our minds in ways that captivate our attention. Games can help organizations engage with people, which is why marketing…
  • Jul 3

    What Does It Mean To Be "Certified" In Privacy And Information Security?

    What Does It Mean To Be "Certified" In Privacy And Information Security?
    I recently became certified by the IAPP in information privacy and received the CIPP/US designation. "What does that mean?" you ask? Good question! What is the CIPP/US designation?The International Association of Privacy Professionals…
  • Jun 27

    Big Plans for the Future of the Legal Profession

    Big Plans for the Future of the Legal Profession
    Those of you know me well or who read this blog regularly know that I believe in the Young Lawyers Division of the North Carolina Bar Association and the more than 6,400 young lawyers who belong to it.  In the past eight years, I have…
Rank this Week: 2445

Attorney R. Tamara de Silva's Blog

Attorney R. Tamara de Silva's Blog

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

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

    Fat Tail and the Bail Out

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

    Fat Tail and the Bail Out

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

    Market Transparency

    Market Transparency
    Market Transparency and Accountability Act of 2009 Misses the Mark R. Tamara de Silva February 22, 2009
Rank this Week: 2757

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/
  • Sep 2

    Hedge Fund General Counsel and Compliance Officer Summit

    Hedge Fund General Counsel and Compliance Officer Summit
    Pillsbury Winthrop Shaw Pittman LLP is pleased to present an exclusive client discount for the upcoming:  Hedge Fund General Counsel and Compliance Officer Summit October 19, starting at 8:00 a.m. through October 20, ending at 4:30 p.m.…
  • Aug 31

    FinCEN Proposes to Regulate Investment Advisers under the Bank Secrecy Act

    FinCEN Proposes to Regulate Investment Advisers under the Bank Secrecy Act
    The U.S. Treasury Department’s Financial Crimes Enforcement Network (FinCEN) issued a notice of proposed rulemaking on August 25, 2015 which, among other things, would add SEC-registered investment advisers to the “financial…
  • Aug 25

    FinCEN Proposes New AML Regulations for Investment Adviser

    FinCEN Proposes New AML Regulations for Investment Adviser
    In a release issued today, the Financial Crimes Enforcement Network (FinCEN) has proposed anti-money laundering (AML) regulations for investment advisers. The proposed rule requires investment advisers registered or required to be registered…
Rank this Week: 2780

Al-Mirsal

Al-Mirsal

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

http://www.al-mirsal.com/
Rank this Week: 2784