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Mortgage Fraud Blog

Mortgage Fraud Blog

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

http://mortgagefraudblog.com/
  • Feb 2

    Investment Fraud Scheme Indictment

    Investment Fraud Scheme Indictment
    Angelo Alleca, 46, Buffalo, New York, and Mark Morrow, 54, Cincinnati, Ohio, were arraigned on charges of orchestrating a multi-million dollar investment fraud scheme.  The Defendants marketed several funds that were supposed…
  • Feb 2

    Hard Money Lender Convicted in Ponzi Scheme

    Hard Money Lender Convicted in Ponzi Scheme
    Thomas Franklin Tarbutton, 56, Newport Beach, California, a hard money lender, was convicted by a jury of embezzling over $3 million from investors in a Ponzi real estate-mortgage investment fraud scheme. Between 2004 and 2010, Tarbutton…
  • Feb 2

    Six Year Sentence in Foreclosure Rescue Scheme

    Six Year Sentence in Foreclosure Rescue Scheme
    Randy Poulson, 44, Woolwich Township, New Jersey, was sentenced to 72 months in prison for scamming distressed homeowners into giving him their houses and then soliciting fake real estate investments from private investors –…
Rank this Week: 3

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/
  • Feb 7

    Activist Investors Betting On Bank Merger

    Activist Investors Betting On Bank Merger
    It appears that "activist" investors are turning to banks because they, like many of the rest of us close to the banking sector, think that there will be continued consolidation of the banking industry in the U.S., and what…
  • Jan 31

    De Novo Deep Freeze Thawing? Not So Fast!

    De Novo Deep Freeze Thawing? Not So Fast!
    Although SNL's Nathan Stovall tantalizes readers with the headline "De novo market could be warming up," I think that--reading between the lines--the De Novo Deep Freeze of the past 8 years is not going to be thawing this year.…
  • Jan 24

    Yes, Virginia, There Is A Regulatory Burden On Small Bank

    Yes, Virginia, There Is A Regulatory Burden On Small Bank
    Preston Ash of the Federal Reserve Bank of Dallas, sent me (on New Years Eve, no less) an article co-authored by Preston and Christoffer Koch and Thoma F. Siems of the Dallas Fed, entitled "Too Small to Succeed?--Community Banks in...
Rank this Week: 183

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: 298

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
  • Feb 2

    Data Breach Incidents – 16 DOs and DON’T

    Data Breach Incidents – 16 DOs and DON’T
    Data breaches are expensive. They cost an average of $5.4 million each to US companies in 2011 for mitigation and remediation alone, while also causing significant harm to brand and reputation.  The first 24 hours after you discover…
  • Jan 14

    The Hot List: 2016 Proxy Season Trends and Action Item

    The Hot List: 2016 Proxy Season Trends and Action Item
    Article prepared by and republished courtesy of our colleagues Sanjay M. Shirodkar, David P. Lewis and Louis Lehot; originally published here:…
  • Jan 8

    Unicorn Infographic and 2015 Trend

    Unicorn Infographic and 2015 Trend
    CB Insights created the below infographic on October 26, 2015 illustrating the rise of unicorn companies since 2011. This graphic is particularly interesting when viewed together with CB Insights’ blog post this morning…
Rank this Week: 258

RESPA Lawyer Blog

RESPA Lawyer Blog

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

http://www.respalawyer.com/
  • Dec 8

    RESPA CONSUMER CLASS ACTION LAWSUIT FILED AGAINST REALOGY, PHH CORP, TRG, NRT, AND OTHERS SURROUNDING THEIR AFFILIATED BUSINESS ARRANGEMENTS

    RESPA CONSUMER CLASS ACTION LAWSUIT FILED AGAINST REALOGY, PHH CORP, TRG, NRT, AND OTHERS SURROUNDING THEIR AFFILIATED BUSINESS ARRANGEMENTS
    A consumer class action RESPA lawsuit was filed on November 25, 2015 by Timothy L. Strader Sr., against PHH Corporation, REALOGY Holdings Corp., PHH Mortgage Corporation, PHH Home Loans LLC, RMR Financial LLC, NE Moves Mortgage LLC, PHH…
  • Oct 21

    RESPA News Lead Generation Compliance Webinar

    RESPA News Lead Generation Compliance Webinar
    Marx Sterbcow, managing attorney with the Sterbcow Law Group, and James Milano, member with Weiner Brodsky Kider PC will speak on RESPA News's webinar series on the topic of Lead Generation Compliance. The webinar is scheduled for Tuesday,…
  • Oct 20

    Marx Sterbcow to Moderate RESPRO RESPA Webinar

    Marx Sterbcow to Moderate RESPRO RESPA Webinar
    Marx Sterbcow, managing attorney with the Sterbcow Law Group, will moderate a RESPRO Marketing Service Agreement webinar with Phil Schulman, partner at K&L Gates on October 22, 2015. The RESPA webinar titled "To Agree to Market or Not…
Rank this Week: 342

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: 443

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: 451

Mandelman Matters

Mandelman Matters

Covers the foreclosure crisis. By Martin Andelman.

http://mandelman.ml-implode.com
Rank this Week: 4059

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/
  • Feb 5

    SEC Charges Company Executive With Insider Trading

    SEC Charges Company Executive With Insider Trading
    The Securities and Exchange Commission today charged an executive at Stamford, Conn.-based electronics company Harman International Industries with insider trading in the company’s stock.The SEC alleges that Dennis Wayne Hamilton made…
  • Feb 5

    Federal Court Says You Can Waive FINRA Arbitration

    Federal Court Says You Can Waive FINRA Arbitration
    Firms can force employees to waive FINRA rules and arbitrate before a private arbitrator.We have held in several cases that an SRO's arbitration provisions are default rules which may be overridden by more specific contractual terms. See,…
  • Feb 4

    SEC: Miami Firm Broke Anti-Money Laundering Protocol

    SEC: Miami Firm Broke Anti-Money Laundering Protocol
    The Securities and Exchange Commission today announced that a Miami-based brokerage firm agreed to pay a $1 million penalty to settle charges that it violated anti-money laundering rules by allowing foreign entities to buy and sell securities…
Rank this Week: 2080

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Feb 5

    SEC Should Require Gender Pay Discrepancy Disclosure, Adviser Say

    SEC Should Require Gender Pay Discrepancy Disclosure, Adviser Say
    By John Filar AtwoodPay equity is an indicator of a well-managed, well-governed company, according to investment adviser Pax Ellevate Management, which has asked the SEC to require public companies to disclose gender pay ratios every year. If…
  • Feb 4

    SEC Study: NYSE Trading Suspension Resulted in Migration to Other Exchange

    SEC Study: NYSE Trading Suspension Resulted in Migration to Other Exchange
    By Amanda Maine, J.D.The SEC issued a research paper analyzing the movement of trading following the NYSE’s suspension of trading for over three hours in July 2015. The paper was published on the SEC’s equity market structure…
  • Feb 3

    House Passes Bill to Expand Accredited Investor Definition

    House Passes Bill to Expand Accredited Investor Definition
    By Mark S. Nelson, J.D.The House has once again begun a new year by moving forward on a few securities bills, including one that would broaden the definition of accredited investor. Two other bills that add to the SEC’s responsibilities…
Rank this Week: 2079

Financial Industry Review

Financial Industry Review

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

http://blogs.orrick.com/financial/
  • Feb 5

    Judge Mostly Denies Deutsche Bank National Trust Co.’s Motion to Dismiss in RMBS Class Action

    Judge Mostly Denies Deutsche Bank National Trust Co.’s Motion to Dismiss in RMBS Class Action
    On February 3, Judge Alison Nathan of the United States District Court for the Southern District of New York largely denied Deutsche Bank National Trust Co.’s (the “Trustee’s”) motion to dismiss in a proposed class…
  • Feb 5

    Morgan Stanley Settles RMBS Litigation with FDIC for $63M

    Morgan Stanley Settles RMBS Litigation with FDIC for $63M
    On January 29, Morgan Stanley and the Federal Deposit Insurance Corporation agreed to settle five suits encompassing state and federal claims alleging that Morgan Stanley made misrepresentations in offering residential mortgage-backed…
  • Feb 5

    Rating Agency Development

    Rating Agency Development
    On February 2, DBRS released its critical obligations rating criteria.  Research. On February 1, KBRA released its general rating methodology as it pertains to corporate issuers.  Report.
Rank this Week: 3184

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Feb 5

    More Congressional Action Coming for the Securities Laws?

    More Congressional Action Coming for the Securities Laws?
    The ink is barely dry from the FAST Act – which had been tucked into a transportation bill and the mashup of numerous bills that had been floated in the US House of Representatives last year – than the House passes three more…
  • Feb 4

    Is Warren Buffett Writing Governance Best Practices?

    Is Warren Buffett Writing Governance Best Practices?
    This Cooley blog recaps this letter from BlackRock’s CEO to 500 companies about being wary of short-termism (as noted in this Davis Polk blog, the letter also urges companies to scrap quarterly earnings guidance). And here’s an…
  • Feb 3

    Crowdfunding: SEC Approves FINRA’s Portal Rules (& 1st Portal Files With the SEC)

    Crowdfunding: SEC Approves FINRA’s Portal Rules (& 1st Portal Files With the SEC)
    As Steven Quinlivan notes in this blog, the first crowdfunding portal has filed to be registered with the SEC – and as noted in this MoFo blog, the SEC recently approved FINRA’s funding portal rules that were subject to technical…
Rank this Week: 2075

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/
  • Feb 4

    Urban Land Institute Report Answers: What Markets are Poised for Growth in 2016?

    Urban Land Institute Report Answers: What Markets are Poised for Growth in 2016?
    With the real estate markets in large cities such as San Francisco, Washington, D.C. and New York City saturated with domestic and foreign capital, driving market prices beyond the reach of many developers and lenders, investors naturally…
  • Jan 26

    Fourth DCA Rules an Allonge Does Not Need to be Physically Attached to a Promissory Note

    Fourth DCA Rules an Allonge Does Not Need to be Physically Attached to a Promissory Note
    To establish standing to enforce a promissory note, a lender must prove that it is the rightful holder of the negotiable instrument. Typically, this entails producing the original note together with all allonges endorsing the note to…
  • Jan 21

    Out of the Box Real Estate Financing

    Out of the Box Real Estate Financing
    As someone interested in both real estate development and finance, I follow John Anderson’s musings at RJOHNTHEBAD. John is a developer and leader of the Incremental Development Alliance, and often teaches at Small Developer Boot Camps…
Rank this Week: 3340

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
  • Feb 3

    Enforcement Action Possible Against Those Who Rely on Safe Harbor to Transfer Information from the EU to the United State

    Enforcement Action Possible Against Those Who Rely on Safe Harbor to Transfer Information from the EU to the United State
    Wednesday, February 3, brought additional developments pertaining to the transfer of personal data from the EU to the U.S. consistent with EU privacy law. Just one day prior, we reported on the announcement by the EU and U.S. of an agreement…
  • Feb 2

    Chris Spicer Talks Cross-Border Film Deals with MCC

    Chris Spicer Talks Cross-Border Film Deals with MCC
    Akin Gump entertainment and media partner Chris Spicer was interviewed by Metropolitan Corporate Counsel for the article “Making Cross-Border Movie Magic: U.S.-China film deals present opportunities and challenges.”Among the…
  • Feb 1

    EU-U.S. Reach New Data Transfer Agreement, Replacing Safe Harbor

    EU-U.S. Reach New Data Transfer Agreement, Replacing Safe Harbor
    The European Union and United States announced today that they reached a new agreement, referred to as the EU-U.S. Privacy Shield (“Privacy Shield”), to replace the Safe Harbor Agreement struck down by the European Court of…
Rank this Week: 1949

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
  • Feb 3

    Rethinking Representation and Warranty Insurance in Canada

    Rethinking Representation and Warranty Insurance in Canada
    By Jake Irwin and Lama Sabbagh With special contribution from Robyn Weber, AVP, Private Equity Practice Leader, HUB International The sale of Representation and Warranty Insurance (“RWI”) policies has soared in recent years. In…
  • Jan 28

    Canadian Representation and Warranty Insurance FAQ

    Canadian Representation and Warranty Insurance FAQ
    By Ian C. Michael, Jake Irwin and Lama Sabbagh With special contribution from Robyn Weber, AVP, Private Equity Practice Leader, HUB International In the context of the purchase and sale of a company, when sellers seek to negotiate a…
  • Jan 12

    Cybersecurity and M&A – Part Three: Cyber Insurance

    Cybersecurity and M&A – Part Three: Cyber Insurance
    By Roland Hung, Matthew Harris and Beverly Ma In the second installment of this series we offered a brief review of cybersecurity provisions and considerations in M&A transaction agreements, and in the first installment of this series we…
Rank this Week: 3727

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/
  • Feb 3

    A Couple Of Things Not To Do In The NC Business Court

    A Couple Of Things Not To Do In The NC Business Court
    The NC Business Court's decision last month in Krawiec v. Manly, 2016 NCBC 7, illustrates a couple of things not to do in the Court. Don't Make "Aiding and Abetting" Claims The Plaintiff made a claim against some of the Defendants for aiding…
  • Jan 18

    Arbitration Provision Which Completely Prohibited Any Discovery Enforced By NC Business court.

    Arbitration Provision Which Completely Prohibited Any Discovery Enforced By NC Business court.
    I don't draft arbitration provisions in agreements, but if I did I would not draft one like the one in Taggart v. Physicians Pharmacy Alliance, Inc.  Not because it turned out to be unenforceable, but because it was found to be…
  • Jan 12

    NC Business Court Revokes Pro Hac Vice Admission Of Out Of State Lawyer

    NC Business Court Revokes Pro Hac Vice Admission Of Out Of State Lawyer
    Judge McGuire came down pretty hard on a Florida attorney admitted pro hac vice (meaning "for this one particular occasion") by another Superior Court Judge, in McCarthy v. Hampton, 2016NCBC 4.  He revoked the lawyer's admission and…
Rank this Week: 1240

RIA Compliance Blog

RIA Compliance Blog

Covers registered investment advisor regulations. By Parker MacIntyre.

http://www.riacomplianceblog.com/
  • Feb 3

    SEC Publishes Guidance on Avoiding Mischaracterization of 12b-1 Fee

    SEC Publishes Guidance on Avoiding Mischaracterization of 12b-1 Fee
    The Securities and Exchange Commission (“SEC”) recently published guidance on the characterization of mutual fund fees, specifically 12b-1 distribution fees and sub-accounting fees, as part of their ongoing…
  • Jan 26

    Hedge Fund Manager Settles Charges with SEC for Overcharging on Fees and Overvaluing Asset

    Hedge Fund Manager Settles Charges with SEC for Overcharging on Fees and Overvaluing Asset
    A Denver-based alternative fund manager was recently charged by the Securities Exchange Commission (“SEC”) with engaging in fraudulent behavior regarding the handling of its futures fund, The Frontier Fund…
  • Jan 22

    Common Mistakes to Avoid in Form ADV Annual Update

    Common Mistakes to Avoid in Form ADV Annual Update
    Filing annual updating amendments to Form ADV is an important requirement for all registered investment advisers. All information contained in Parts 1 and 2 of Form ADV must be both accurate and complete. Unfortunately, this is not always the…
Rank this Week: 3028

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
  • Feb 3

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
    FINRA Statement Of Corrective Action Defamation Lawsuit Slams Brokerage FirmAttendant to entering into an Acceptance, Waiver and Consent ("AWC") regulatory settlement with the Financial Industry Regulatory Authority ("FINRA"), respondents are…
  • Feb 1

    FINRA Statement of Corrective Action Defamation Lawsuit Slams Brokerage Firm

    FINRA Statement of Corrective Action Defamation Lawsuit Slams Brokerage Firm
    Attendant to entering into an Acceptance, Waiver and Consent ("AWC") regulatory settlement with the Financial Industry Regulatory Authority ("FINRA"), respondents are permitted to attach to the formal AWC settlement agreement…
  • Jan 26

    Morgan Stanley Hit With Punitive Damages In Customers Arbitration

    Morgan Stanley Hit With Punitive Damages In Customers Arbitration
    Three public customers sued FINRA member firm Morgan Stanley Smith Barney for $1.28 million in damages. After arguing their case before a FINRA Arbitration Panel, the customers emerged victorious. The arbitrators not only…
Rank this Week: 2773

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: 2359

Al-Mirsal

Al-Mirsal

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

http://www.al-mirsal.com/
  • Feb 2

    Egypt Liberalises Electricity Market to Allow Private Sector Participation

    Egypt Liberalises Electricity Market to Allow Private Sector Participation
    In 2015, Egypt issued its unified Electricity Law no. (87), paving the way for market liberalisation of its power generation and distribution services. A few months on from its introduction, what are some of the key takeaways? The…
  • Oct 29

    DIFC Says Transfer to US Cannot Rely on Safe Harbor

    DIFC Says Transfer to US Cannot Rely on Safe Harbor
    By Brian Meenagh On October 26, 2015, Raja Al Mazrouei, the Commissioner for Data Protection for the Dubai International Financial Centre (the DIFC), issued guidance on the adequacy of US Safe Harbor for the purpose of exporting…
  • Jul 14

    Abu Dhabi Global Market Publishes New Commercial Regulations and begins Financial Regulation Consultation

    Abu Dhabi Global Market Publishes New Commercial Regulations and begins Financial Regulation Consultation
    On 15 June 2015, the Abu Dhabi Global Market (Global Market), Abu Dhabi’s financial free zone, published the following six new regulations concerning the regulation of non-financial services in the Global Market: - Application of…
Rank this Week: 3497

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/
  • Feb 1

    February 2 Hearing On New Fiduciary Bill

    February 2 Hearing On New Fiduciary Bill
    Grab the popcorn. At 10 am EST on February 2, 2016, the Education and Workforce Committee of the U.S. House of Representatives will live stream its hearing on H.R. 4293, the Affordable Retirement Advice Protection Act. Click here to access…
  • Jan 27

    ERISA Investment Committee Governance

    ERISA Investment Committee Governance
    For those who missed the January 27 webinar entitled "ERISA Plan Investment Governance: Avoiding Breach of Fiduciary Duty Claims," click here to download the slides for this educational program. There were three presenters, each of…
  • Jan 18

    Chief Retirement Officer Redux

    Chief Retirement Officer Redux
    Skittishness about an individual's financial ability to retire is one factor that I believe underlies continued ERISA litigation activity. As I suggested to Wall Street Journal reporter Anne Tergeson,…
Rank this Week: 2995

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/
  • Jan 30

    Thanks, y'all!

    Thanks, y'all!
    Thanks, y'all!  I am very honored to be named, along with a number of fine lawyers across the state, in Business North Carolina's 2016 "Legal Elite"  as well as in Thompson Reuters' Super Lawyers for 2016.What is the…
  • Dec 16

    New European Privacy Plan Announced

    New European Privacy Plan Announced
    Earlier this week, the European Parliament and Council announced they have (finally) agreed upon a new General Data Protection Regulation (the GDPR).  This is really big news for all U.S. companies that do business in Europe or…
  • Nov 30

    PSA: New North Carolina Laws Become Effective Today (December 1, 2015)

    PSA: New North Carolina Laws Become Effective Today (December 1, 2015)
    The law is ever-changing, which is part of the reason I find it fascinating.  Several new North Carolina laws become effective today, December 1st.  Many of them are criminal laws, but some that may be of interest to business owners…
Rank this Week: 3611

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • Jan 27

    FINRA's BrokerCheck Posting Terminations More Quickly, but Firms Still have 30 days to Report

    FINRA's BrokerCheck Posting Terminations More Quickly, but Firms Still have 30 days to Report
    FINRA's RegulatoryNotice 15-39 is getting a little blog time, but sadly some law firms writing about it seem to misunderstand not only the Notice itself, but also the implications of the changes that have been implemented.  FINRA Rule…
  • Jan 7

    SEC Continues to Crack Down on EB-5 Fraud

    SEC Continues to Crack Down on EB-5 Fraud
    Late last year, investors who claimed the $8.5 million frozen by the Securities and Exchange Commission (SEC) was rightfully theirs were denied access to the money by a federal judge. U.S. District Judge Joan Lenard ruled that management of…
  • Jan 7

    DID YOU JUST BUY OR SELL AN UNREGISTERED SECURITY?

    DID YOU JUST BUY OR SELL AN UNREGISTERED SECURITY?
    Generally speaking, if an investment is a security it either needs to be registered or exempt from registration. And yet it is far too commonplace to read headlines about enforcement actions related to the sale of unregistered securities, or…
Rank this Week: 4303

Payment Law Advisor

Payment Law Advisor

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

http://www.paymentlawadvisor.com/
  • Jan 26

    Simplification of Privacy Disclosures: An Experimental Test

    Simplification of Privacy Disclosures: An Experimental Test
    PLA today posts “Simplification of Privacy Disclosures: An Experimental Test,” in which Omri Ben-Shahar and Adam Chilton, both of the University of Chicago School of Law, having studied the consumer impact of such disclosures,…
  • Jan 20

    CFSC Roundup: From Issuing Credit Online to UDAAP Compliance Management

    CFSC Roundup: From Issuing Credit Online to UDAAP Compliance Management
    DWT’s Payments Team participated in the ABA Consumer Financial Services Committee’s Winter Meeting in Park City, Utah last week. Andrew Owens delivered a presentation on advertising and issuing credit online during the…
  • Jan 12

    Upcoming CARD Act Webinar

    Upcoming CARD Act Webinar
    Thursday, January 21, 2016 4:00 p.m. – 5:00 p.m. EST Join us for a discussion of the CFPB’s latest CARD Act Report and its potential impact on the credit card market, jointly presented by Davis Wright Tremaine’s Payments…
Rank this Week: 1489

Lenders 360.

Lenders 360.

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

http://www.lenders360blog.com
  • Jan 26

    eSign & Commercial Finance: A License to Trash the Original Note?

    eSign & Commercial Finance: A License to Trash the Original Note?
    Are “electronic document” provisions appearing in your commercial loan documents?  This is the second in a series examining two provisions recently reviewed by me in commercial real estate transactions.   Unfortunately,…
  • Jan 5

    eSign & Commercial Finance: On the Bank Report Card in 2016

    eSign & Commercial Finance: On the Bank Report Card in 2016
    Last year, a new topic started to appear in commercial mortgage loan documents: provisions covering the use of electronic documents (aka “electronic records” or “eDocs”).  Unfortunately, two provisions examined by…
  • Jan 3

    The Lender Holds the Bag When the Appraisal is Wrong

    The Lender Holds the Bag When the Appraisal is Wrong
    The Bankruptcy Code permits a bankruptcy trustee to “surcharge” a lender’s collateral when the cost will benefit the lender and there is also benefit to the bankruptcy estate.  The friction arises when the collateral is…
Rank this Week: 3541

Lenders 360

Lenders 360

Provides news, information and commentary on important issues affecting the financial services industry. By Higier Allen & Lautin, P.C.

http://www.lenders360blog.com/
  • Jan 26

    eSign & Commercial Finance: A License to Trash the Original Note?

    eSign & Commercial Finance: A License to Trash the Original Note?
    Are “electronic document” provisions appearing in your commercial loan documents?  This is the second in a series examining two provisions recently reviewed by me in commercial real estate transactions.   Unfortunately,…
  • Jan 5

    eSign & Commercial Finance: On the Bank Report Card in 2016

    eSign & Commercial Finance: On the Bank Report Card in 2016
    Last year, a new topic started to appear in commercial mortgage loan documents: provisions covering the use of electronic documents (aka “electronic records” or “eDocs”).  Unfortunately, two provisions examined by…
  • Jan 3

    The Lender Holds the Bag When the Appraisal is Wrong

    The Lender Holds the Bag When the Appraisal is Wrong
    The Bankruptcy Code permits a bankruptcy trustee to “surcharge” a lender’s collateral when the cost will benefit the lender and there is also benefit to the bankruptcy estate.  The friction arises when the collateral is…
Rank this Week: 1714

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

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

    Not Enough Studying

    Not Enough Studying
    Yelp is an online networking platform that hosts user-generated reviews of local businesses.  In a recent securities class action (Curry v. Yelp, Inc., 2015 WL 7454137 (N.D. Cal. Nov. 24, 2015)), the court considered claims that Yelp…
  • Dec 4

    Omnicare’s Scope

    Omnicare’s Scope
    In its Omnicare decision issued earlier this year, the U.S. Supreme Court held that opinions presented in registration statements can be subject to liability under Section 11 of the Securities Act of 1933 if either (a) the…
  • Oct 30

    Innocent Third Partie

    Innocent Third Partie
    The scienter (i.e., fraudulent intent) of an officer who makes a false or misleading statement can be imputed to the company based on the law of agency, but that rule potentially is subject to an…
Rank this Week: 2076

Strictly Business

Strictly Business

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

http://www.strictlybusinesslawblog.com/
  • Jan 18

    The Pitfalls of Moonlighting in a Day Job for Startup Founder

    The Pitfalls of Moonlighting in a Day Job for Startup Founder
    This post first appeared in Southern Alpha on November 2, 2016. Many, if not most, founders have difficulty being able to afford to work full-time for their startup right from the start. But working in a day job while moonlighting at…
  • Jan 18

    The Pitfalls of Moonlighting in a Day Job for Startup Founder

    The Pitfalls of Moonlighting in a Day Job for Startup Founder
    This post first appeared in Southern Alpha on November 2, 2016. Many, if not most, founders have difficulty being able to afford to work full-time for their startup right from the start. But working in a day job while moonlighting at…
  • Jan 11

    Thoughts on the Final Crowdfunding Regulation

    Thoughts on the Final Crowdfunding Regulation
    In October, the SEC finally completed its implementing regulations to Title III of the JOBS Act, more commonly known as the “crowdfunding” exemption. The 600-page release can be found here. I’m not going to bother…
Rank this Week: 2662

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
  • Jan 14

    When is “Rate of Return” not the Real Rate of Return?

    When is “Rate of Return” not the Real Rate of Return?
    Investors need to be careful when they review and rely on performance reports provided by their stockbroker or financial advisor.  I recently reviewed a performance report that was provided to an investor by a major warehouse brokerage…
  • Apr 8

    FINRA BrokerCheck: Beware the … Blue … Flags?

    FINRA BrokerCheck: Beware the … Blue … Flags?
    FINRA recently underwent some changes to its BrokerCheck website.  For those that do not know, BrokerCheck is the online repository in which the Financial Industry Regulatory Authority (FINRA) discloses certain information about stock…
  • Mar 27

    FINRA Securities Arbitration Statistics – February 2011

    FINRA Securities Arbitration Statistics – February 2011
    FINRA recently reported its February 2011 arbitration statistics. For the two-month period ended February 28, 2011, 837 claims were filed. This represents a decrease of 9% as compared to the number of cases filed in February 2010 (918). The…
Rank this Week: 3967

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/
  • Jan 11

    SEC Reveals Wide-Ranging 2016 Examination Prioritie

    SEC Reveals Wide-Ranging 2016 Examination Prioritie
    On January 11, the Office of Compliance Inspections and Examinations (OCIE) of the SEC announced its 2016 Examination Priorities (“Priorities”). To promote compliance, prevent fraud and identify market risk, OCIE examines…
  • Jan 4

    Spoofing Is No Joke: Prosecutors Clamp Down on High-Frequency Trader

    Spoofing Is No Joke: Prosecutors Clamp Down on High-Frequency Trader
    On November 3, 2015, an Illinois federal jury convicted Michael Coscia, a high-frequency commodities trader, of six counts of commodities fraud and six counts of spoofing—entering a buy or sell order with the intent to cancel before the…
  • Dec 10

    CFTC Issued Preliminary Report on Swap Dealer De Minimis Exception

    CFTC Issued Preliminary Report on Swap Dealer De Minimis Exception
    On November 18, 2015, the staff from the U.S. Commodity Futures Trading Commission’s (“CFTC”) Division of Swap Dealer and Intermediary Oversight issued a swap dealer de minimis exception preliminary report…
Rank this Week: 2905

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: 2495

Private Funds Law Update

Private Funds Law Update

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

http://www.privatefundslaw.com/
Rank this Week: 3743

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: 3751

Sharesleuth.com

Sharesleuth.com

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

http://sharesleuth.com/
  • Nov 22

    SEC expands fraud case to include Lenco Mobile, subject of a prior Sharesleuth investigation

    SEC expands fraud case to include Lenco Mobile, subject of a prior Sharesleuth investigation
    The Securities and Exchange Commission has quietly expanded its fraud case against financier Izak Zirk De Maison, adding seven more people as codefendants and identifying five more stocks he used in his schemes. According to the SEC’s…
  • 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,…
Rank this Week: 2077

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
  • Nov 20

    Bankruptcy Forms to Change December 1st

    Bankruptcy Forms to Change December 1st
    By Keri P. Ebeck, Partner As of December 1, 2015, the United States Bankruptcy Courts will mandate usage and filing of the forms approved at the Judicial Conference in September 2015. Although many of the official bankruptcy forms will…
  • Oct 16

    Fraud Alert-Forged Paystub

    Fraud Alert-Forged Paystub
    By Matthew M. Young, Attorney While forging paystubs to obtain credit is not a new concept, I have a number of credit unions that have advised me of an alarming increase in the use of these phony documents to support employment and…
  • 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,…
Rank this Week: 705

Southeast VC

Southeast VC

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

http://southeastvc.blogs.com/southeast_vc/
  • Sep 14

    Why It's a Mistake to Raise Money Too Soon

    Why It's a Mistake to Raise Money Too Soon
    The topic of raising money is popular with many entrepreneurs. But here is some great advice to from Joel Holland, CEO Washington DC-based VideoBlocks. He tells founders to wait as long as possible and not have a "race to raise."...
  • 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...
Rank this Week: 2479

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: 795

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/
  • Jun 11

    Mid-2015 Mortgage Crisis Update – The Repurchase Demands Continue

    Mid-2015 Mortgage Crisis Update – The Repurchase Demands Continue
    In the aftermath of the financial crisis, Fannie Mae and Freddie Mac aggressively demanded Wall Street and big bank aggregators (“aggregators”) repurchase millions of defaulted and distressed loans, due to purported breaches…
  • May 20

    Wells Accused of Profiting from Foreclosure Relief Program

    Wells Accused of Profiting from Foreclosure Relief Program
    A recent class action lawsuit filed on behalf of thousands of homeowners in New York against Wells Fargo alleges that while the bank received $25 billion in government bailout funds it failed to make a good faith effort to help…
  • May 12

    CFPB, DOJ Show Renewed Interest in Pursuing “Redlining” Case

    CFPB, DOJ Show Renewed Interest in Pursuing “Redlining” Case
    Evidence is mounting that the Consumer Financial Protection Bureau (CFPB) and the Department of Justice (DOJ) are taking a renewed interest in investigating possible redlining—the practice of lenders charging certain groups more for…
Rank this Week: 3536

The Swap Report

The Swap Report

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

http://www.theswapreport.com/
Rank this Week: 3759

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: 4430

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: 2803

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: 4399

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: 2818

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: 2480

Banking Law Update

Banking Law Update

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

http://www.bankinglawupdate.com/
  • Aug 26

    Tips for Merchants and Consumers Facing a Data Breach

    Tips for Merchants and Consumers Facing a Data Breach
    The high-profile data breach at Target made international news. But small and midsized businesses face the majority of cyber attacks and are even more likely to have employees mishandle data than large enterprises.
  • Aug 25

    CFPB Issues Advisory on Bitcoin, Virtual Currencie

    CFPB Issues Advisory on Bitcoin, Virtual Currencie
    On August 11, 2014, the Consumer Financial Protection Bureau released a Consumer Advisory about virtual currencies.  The Advisory followed a directive by the U.S. Government Accountability Office for the CFPB to conduct a close…
  • Aug 8

    Maine Updates Truth-In-Savings, Funds Availability Rule

    Maine Updates Truth-In-Savings, Funds Availability Rule
    Maine’s Truth-in-Savings and Funds Availability Rule is getting an overhaul.  On August 6, 2014, Maine’s Bureau of Financial Institutions announced that changes to Chapter 118, Funds Availability and Truth-in-Savings had…
Rank this Week: 2819