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Mortgage Fraud Blog

Mortgage Fraud Blog

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

http://mortgagefraudblog.com/
  • Jul 23

    4 Arrested for Alleged Short Sale Fraud Scheme

    4 Arrested for Alleged Short Sale Fraud Scheme
    Sofia Atias, 44, Great Neck, New York, Joseph Atias, 50, Great Neck, Nicholas A. Pellegrini, 51, Garden City, New York, and Paula Berckhoff, 34, Garden City, have been charged with bank fraud and conspiracy for allegedly defrauding Bank of…
  • Jul 22

    Bogus Loan Modification Scammers Arrested

    Bogus Loan Modification Scammers Arrested
    Samuel Paul Bain, aka Paul Bain, 35, Tustin, California, an owner and principal of the businesses, Aminullah Sarpas, aka Amin Sarpas and David Sarpas, 32, Irvine, California, also an owner and principal of the businesses, Damon Grant…
  • Jul 22

    Former Bank Employee Sentenced for Taking Bribes in Short Sale Scam

    Former Bank Employee Sentenced for Taking Bribes in Short Sale Scam
    Kevin Lauricella, 29, Thousand Oaks, California, a former Bank of America employee was sentenced to 30 months in federal prison for taking more than $1.2 million in bribes to approve artificially low-price short sales of properties on which…
Rank this Week: 3

Ponzitracker

Ponzitracker

Covers Ponzi schemes. By Jordan Maglich.

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

    Florida Cop Gets 5-Year Sentence For Rothstein Ties, Including Illegal Arrest

    Florida Cop Gets 5-Year Sentence For Rothstein Ties, Including Illegal Arrest
    "Mr. Benjamin, while wearing the cloak of BSO authority, engineered the arrest and incarceration of an innocent citizen.  This was done purely for financial gain. This conduct is deplorable — it is unconscionable." - U.S. District…
  • Jul 18

    Appeals Court Rules Stanford Victims Ineligible For SIPC Coverage

    Appeals Court Rules Stanford Victims Ineligible For SIPC Coverage
    A federal appeals court affirmed that victims of Allen Stanford's massive $7 billion Ponzi scheme - the second largest scheme in history behind only Bernard Madoff's scheme - are not "customers" of Stanford's American-based bank and thus not…
  • Jul 17

    Florida Radio Host Charged In $3.1 Million Ponzi Scheme Targeting Haitian

    Florida Radio Host Charged In $3.1 Million Ponzi Scheme Targeting Haitian
    Florida law enforcement officials raided the office of a Florida radio personality Thursday morning and later arrested the man on charges that he ran a $3.1 million Ponzi scheme that targeted Haitian-Americans.  Philippe Bourciquot faces…
Rank this Week: 143

Securities Law Blog

Securities Law Blog

Features news, commentary and thoughts on the law of the securities markets. By Mark Astarita.

http://seclaw.blogspot.com/
  • Jul 17

    FINRA Announces Arbitration Task Force

    FINRA Announces Arbitration Task Force
    FINRA announced today the formation of a 13-member Arbitration Task Force to consider possible enhancements to its arbitration forum to improve the transparency, impartiality and efficiency of FINRA's securities arbitration forum for all…
  • Jul 15

    Citigroup 7 Billion Dollar Mortgage Backed Securities Settlement

    Citigroup 7 Billion Dollar Mortgage Backed Securities Settlement
    Citigroup Inc. (C) agreed to pay $7 billion in fines and consumer relief to resolve government claims that it misled investors about the quality of mortgage-backed bonds sold before the 2008 financial crisis. The bank took a $3.7 billion…
  • Jul 14

    Jennifer Pacella: Bounties for Bad Behavior: Rewarding Culpable Whistleblowers under the Dodd-Frank Act and Internal Revenue Code

    Jennifer Pacella: Bounties for Bad Behavior: Rewarding Culpable Whistleblowers under the Dodd-Frank Act and Internal Revenue Code
    Abstract:     In 2012, Bradley Birkenfeld received a $104 million reward or “bounty” from the Internal Revenue Service (“IRS”) for blowing the whistle on his employer, UBS, which facilitated a major…
Rank this Week: 221

Mandelman Matters

Mandelman Matters

Covers the foreclosure crisis. By Martin Andelman.

http://mandelman.ml-implode.com
Rank this Week: 161

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Jul 23

    Shareholder Engagement: Should Directors Be Politicians? 10 Things to Consider

    Shareholder Engagement: Should Directors Be Politicians? 10 Things to Consider
    I know the title of this particular blog sounds sensational – but the opening of this DealBook column by Andrew Ross Sorkin about shareholder engagement is “What if lawmakers never spoke to their constituents?” So let me…
  • Jul 22

    How to Make Video Interviews With Director

    How to Make Video Interviews With Director
    In this podcast, John Seethoff of Microsoft explains how the company has showcased its directors through video interviews, including: - Why did Microsoft decide to tape videos of the directors? - How do I find the videos? - What typically is…
  • Jul 21

    Proxy Advisors: How Investors Can Diligence ISS

    Proxy Advisors: How Investors Can Diligence ISS
    In response to the SEC’s recent Staff Legal Bulletin that deals with the responsibilities of investment advisers to vote and hire proxy advisors, ISS has posted a host of resources to help investors conduct due diligence, including this…
Rank this Week: 286

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
Rank this Week: 312

Sharesleuth.com

Sharesleuth.com

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

http://sharesleuth.com/
Rank this Week: 290

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/
  • May 22

    Join Us On My New Blog!

    Join Us On My New Blog!
    All: as of May 1, 2013, I am now blogging exclusively at http://www.davidfeldmanblog.com. In addition to continuing my coverage of alternatives to traditional IPOs, including reverse mergers, we have expanded the commentary to include the…
  • Mar 9

    Market Surges But Microcaps Still Struggle – Let’s Give Everyone Short Form Registration

    Market Surges But Microcaps Still Struggle – Let’s Give Everyone Short Form Registration
    Of course we are all happy that the stock market has been hitting new highs this past week. It has been a long road back from 2009 when the market had less than half its current value. The M&A market is awake, lots of large financings…
  • Mar 5

    Dow Hits New High

    Dow Hits New High
    The Dow Jones Industrial Average has beaten the previous record high of 14,198.10 set in October 2007. That’s a pretty cool thing. If only we felt as positive and optimistic as we did in October 2007, but then again that’s just…
Rank this Week: 253

The Venture Alley

The Venture Alley

Covers business and legal issues for entrepreneurs, startups, venture capitalists and angel investors. By DLA Piper.

http://www.theventurealley.com
  • Jul 23

    Equity Compensation Alphabet Soup – ISO, NSO, RSA, RSU and more

    Equity Compensation Alphabet Soup – ISO, NSO, RSA, RSU and more
    CONTRIBUTED BY Rachel M. Perkins rachel.perkins@dlapiper.com Startups and public companies alike often use equity to help attract, retain and incentivize talented employees and other service providers. The different forms of awards have…
  • Jul 11

    Seattle Office Real Estate Market Review for Q2 2014

    Seattle Office Real Estate Market Review for Q2 2014
    Compliments of Jason Smith of Kidder Mathews, attached is a Seattle-area office real estate market review for Q2 2014. As the report notes, so far in 2014, the only major surprise in the office market was Boeing expanding into over 600,000…
  • Jul 8

    Pacific Northwest Investment and Exit Report

    Pacific Northwest Investment and Exit Report
    CONTRIBUTED BY Trent Dykes trent.dykes@dlapiper.com CB Insights recently released its Pacific Northwest Investment and Exit Report, which analyzed private company investment and exit activity over the past five years. The report collected…
Rank this Week: 801

Bank Lawyer's Blog

Bank Lawyer's Blog

Covers accounting/auditing, commercial lending, credit unions, electronic banking, privacy, RESPA and stocks. By Kevin Funnell.

http://www.banklawyersblog.com/3_bank_lawyers/
  • Jul 20

    Alleged "Overcharger" Settle

    Alleged "Overcharger" Settle
    Almost one year ago, we discussed an investigation by the Colorado Attorney General into the alleged inflation by foreclosure attorneys of certain foreclosure costs, and, subsequently, allegations of more widespread falsification of fees and…
  • Jul 16

    CFPB Proposes To Establish "Gossip Column"

    CFPB Proposes To Establish "Gossip Column"
    As part of its ongoing effort to destroy the private business of banking in a free market economy and substitute a federal government-directed banking system better serve the consumers it was created to protect, the CFPB has recently proposed…
  • Jul 13

    The Fair Lending Extortion Racket Runs On

    The Fair Lending Extortion Racket Runs On
    The law firm of King & Spalding recently highlighted a problem that we last discussed eighteen months ago, and, since then, has only gotten worse. Cities and counties that have experienced increased foreclosure and vacancy rates in the…
Rank this Week: 716

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Jul 18

    Doubling Down

    Doubling Down
    In Spitzberg v. Houston American Energy Corp., 2014 WL 3442515 (5th Cir. July 15, 2014), the Fifth Circuit reversed the dismissal of a securities class action based on alleged false statements concerning oil and gas reserves. The decision…
  • Jul 11

    Comparing Lychee

    Comparing Lychee
    Securities class actions brought against China-based companies often allege discrepancies between the company's Chinese regulatory filings and SEC filings. In that type of case, the plaintiff must allege at least some facts to support that…
  • Jun 23

    Halliburton Decided

    Halliburton Decided
    The U.S. Supreme Court has issued a decision in the Halliburton case holding that defendants can rebut the fraud-on-the-market presumption of reliance at the class certification stage with evidence of a lack of stock price impact. It is a…
Rank this Week: 727

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: 683

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: 720

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: 1518

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/
  • Jul 23

    Size Doesn’t Matter: Insider Trading Charges for $11k Profit

    Size Doesn’t Matter: Insider Trading Charges for $11k Profit
    The Securities and Exchange Commission (the “SEC”) charged Kevin McGrath, a partner at a New York investor relations firm with insider trading.  According to the SEC complaint, McGrath allegedly received confidential…
  • Jul 14

    Private Fund Managers as Broker-Dealers and How to Avoid It

    Private Fund Managers as Broker-Dealers and How to Avoid It
    Private equity firms were put on notice last year that they may be subject to registration as broker dealers when David Blass, head of the Division of Markets and Trading at the Securities and Exchange Commission (“SEC”), provided…
  • May 27

    Lawyers as SEC Enforcement Targets, What a Fund Manager Needs to Know

    Lawyers as SEC Enforcement Targets, What a Fund Manager Needs to Know
    In a move that should place securities lawyers and their clients on notice, Commissioner Kara Stein of the Securities and Exchange Commission (“SEC”) recently indicated that lawyers may become targets of SEC enforcement actions…
Rank this Week: 3705

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/
  • Jul 23

    Wallpaper GRATIS 2014 parte 1

    Wallpaper GRATIS 2014 parte 1
    Amo los Wallpapers y más si son wallpaper gratis ¿a poco no? Hace algunos años regalé los 3 primeros y siempre me quedé con ganas de hacer más. Por una cosa o por otra (generalmente trabajo!) no…
  • Jul 22

    Como evitar la compulsión por comprar

    Como evitar la compulsión por comprar
    ¿Se puede evitar la compulsión por comprar? cuando no es un asunto clínico ¡claro que si! el secreto es sencillo. Pero como todo en las finanzas (y en la vida) no es tan fácil de llevar a cabo. Solo hace…
  • Jul 21

    Vive una vida extraordinaria sin gastar una fortuna

    Vive una vida extraordinaria sin gastar una fortuna
    Hace muchos años durante el verano, un importante banquero estaba vacacionando en un pueblito cerca de la playa. Vio a un pescador en un pequeño bote a la orilla del mar con un puñado de peces recién pescados. EL…
Rank this Week: 2963

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/
  • Jul 22

    Buyback and Indemnifications: The New Danger

    Buyback and Indemnifications: The New Danger
    On Thursday, July 31, I will be speaking as part of a panel of business professionals during a live webinar about the continuing repurchase and indemnification risk surrounding mortgage buybacks. This panel will assist mortgage professionals…
  • Jul 17

    Suntrust Reaches $320 Million Settlement

    Suntrust Reaches $320 Million Settlement
    SunTrust Banks (“SunTrust”) reached a settlement with Federal prosecutors last week in which it agreed to a $320 million settlement for a combination of consumer relief and housing counseling services. SunTrust issued a press…
  • Jul 16

    Main Street Cashes $3.1 Billion in Checks from Wall Street

    Main Street Cashes $3.1 Billion in Checks from Wall Street
    With the mortgage crisis almost a decade in the rear-view mirror, some harmed homeowners are just now starting to see reparations for the transgressions of the country’s largest financial institutions. Beginning in January 2013,…
Rank this Week: 4179

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/
  • Jul 22

    Statute of Limitations Issues in Foreclosure Action

    Statute of Limitations Issues in Foreclosure Action
    Authored by Janet C. Owensand Scott J. Kennelly of Rogers TowersAn important issue that arises for lenders when pursuing foreclosure actions is determining when the statute of limitations begins to run.  Florida Statutes provide that a…
  • Jul 16

    Diligence in Hotel Lending

    Diligence in Hotel Lending
    Authored by Heather S. Nason of Rogers TowersThe hotel industry appears to be on an uptick, which is good news for lenders.  Hotel construction in May 2014 is up over 13% from the same time period in 2013.  Moreover, record high…
  • Jul 10

    Social Media and Spoliation

    Social Media and Spoliation
    Authored by Scott St. Amandand Gabriel Crafton of Rogers TowersAs we discussed in our previous post regarding the Christou case, social media is discoverable – and consequently subject to a litigation hold.  From an evidentiary…
Rank this Week: 2848

The Swap Report

The Swap Report

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

http://www.theswapreport.com/
  • Jul 22

    Commissioner O'Malia to Leave CFTC

    Commissioner O'Malia to Leave CFTC
    On Monday, July 21st, the CFTC issued a press release noting that CFTC Commissioner Scott D. O'Malia tendered his letter of resignation, and intends to resign effective August 8th. The CFTC press release can be found here, and his letter of…
  • Jul 15

    Summer Reading: Financial Stability Board Consultative Document on Foreign Exchange Benchmark

    Summer Reading: Financial Stability Board Consultative Document on Foreign Exchange Benchmark
    The Financial Stability Board (FSB) released a Consultative Document on Foreign Exchange Benchmarks about potential market abuse on foreign exchange (FX) fixings. You can access the full report here. The report may be of particular…
  • Jul 9

    CFTC Extends Comment Period to August 4th for Aggregation and Position Limits Proposal

    CFTC Extends Comment Period to August 4th for Aggregation and Position Limits Proposal
    By Crystal Travanti and Tom Watterson In the ongoing saga of the CFTC Position Limit Rules, the CFTC extended the comment periods for the Proposed Aggregation Rules and the Proposed Position Limits…
Rank this Week: 1396

Redeye VC

Redeye VC

Offers a view of startup ecosystem. By Josh Kopelman.

http://redeye.firstround.com/
  • Jul 21

    How Designers Can Earn a Seat at the Table

    How Designers Can Earn a Seat at the Table
    For 15 years, Phil King has been proving that design should have a seat at the leadership table — carrying equal weight on strategy and prioritization responsibilities with product, business, and engineering executives. Moving…
  • Jul 16

    This 23-Year-Old Built and Sold His Startup While in School - Here’s How He Did It

    This 23-Year-Old Built and Sold His Startup While in School - Here’s How He Did It
    From the moment Dan Shipper (on the left, above) stepped foot on the University of Pennsylvania’s campus, he knew he wanted to learn how to build a real software business with paying customers and steady revenue. He passed…
  • Jul 14

    The Case for Why Marketing Should Have Its Own Engineer

    The Case for Why Marketing Should Have Its Own Engineer
    Knewton isn’t an easy product to explain. Analyzing hordes of data, it adjusts lesson plans for students in real time across subjects, determines how they learn, and suggests the best way to help them. It’s one of those technology…
Rank this Week: 2833

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/
  • Jul 21

    New N.C. Statute Gives Lenders More Options When Developers Default

    New N.C. Statute Gives Lenders More Options When Developers Default
    Lenders now have a bit more to think about when making a loan to a developer of a planned community.   A few days ago, the General Assembly enacted, and the Governor signed into law, important amendments to the Planned…
  • Jul 4

    New Tax Changes in North Carolina

    New Tax Changes in North Carolina
    July means the start of a new fiscal year for the State of North Carolina, which means some new changes to the tax code become effective.  Below are brief descriptions of some of the key changes:Elimination of Back to School (August)…
  • Jul 2

    Opposition to Operation Choke Point Grow

    Opposition to Operation Choke Point Grow
    image by skambalu foter.comOpposition to Operation Choke Point continues to mount. "Operation Choke Point" is an ongoing program of the U.S. Department of Justice under which it investigates banks' relationships with payment processors,…
Rank this Week: 4466

Al-Mirsal

Al-Mirsal

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

http://www.al-mirsal.com/
  • Jul 20

    Top 4 Innovations Driving Growth in the Global Sukuk Market

    Top 4 Innovations Driving Growth in the Global Sukuk Market
    The Sukuk Opportunity Total Sukuk issuances for 2013 stood at approximately US$120 billion and the Sukuk market is likely to sustain double-digit growth in the coming two to three years with assets in Islamic finance expected to reach US$2.8…
  • Jul 10

    How the GCC Can Boost Confidence in its Local Exchange

    How the GCC Can Boost Confidence in its Local Exchange
    The Gulf Cooperation Council (GCC) countries accounted for IPO issuances valued at US$1.1 billion in 2013, according to Bloomberg. Notably, Qatar Exchange bounced back this year with the successful IPO and listing of Mesaieed Petrochemical…
  • Jun 15

    Qatar Amends Regulations and Issues Rules as MSCI Upgrade Comes Into Effect

    Qatar Amends Regulations and Issues Rules as MSCI Upgrade Comes Into Effect
    Qatar, along with the UAE, has been upgraded from “frontier” to “emerging” market status by MSCI (an upgrade that is now in effect), which is among the criteria used by a large number of institutional investors and…
Rank this Week: 4732

Financial Regulatory Report

Financial Regulatory Report

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

http://www.financialregulatoryreport.com/
  • Jul 18

    OFAC Targets Russia's Financial and Energy Sectors in New Sectoral Sanction

    OFAC Targets Russia's Financial and Energy Sectors in New Sectoral Sanction
    Our Global Regulatory Enforcement colleagues, Hena M. Schommer and Leigh T. Hannson, recently wrote about the the U.S. Treasury Department’s Office of Foreign Assets Control’s ("OFAC") issuance of new sanctions targeting Russian…
  • Jul 11

    Financial Services Regulatory Group Member Honored for Success and Philanthropy

    Financial Services Regulatory Group Member Honored for Success and Philanthropy
    Our Financial Services Regulatory Group colleague, Roberta Torian, has been selected for the 2014 Minority Business Leader Awards by the Philadelphia Business Journal. Roberta is one of the most experienced bank regulatory and…
  • Jun 24

    Supreme Court Clarifies Scope of Federal Bank Fraud Statute, But Leaves Some Question

    Supreme Court Clarifies Scope of Federal Bank Fraud Statute, But Leaves Some Question
    This post was written by Travis P. Nelson. On June 23, 2014, the U.S. Supreme Court clarified – and arguably expanded – the reach of the federal bank fraud statute. In Loughrin v. U.S., petitioner Kevin Loughrin challenged the…
Rank this Week: 1372

North Carolina Business Litigation…

North Carolina Business Litigation Report

Reports on judicial decisions of significance to business and shareholders. By Mack Sperling of Brooks Pierce LLP.

http://www.ncbusinesslitigationreport.com/
  • Jul 18

    An Important Tip On Appealing A Decision From The NC Business Court

    An Important Tip On Appealing A Decision From The NC Business Court
    The Business Court is electronic.  Paper copies of documents are not filed with the Business Court.  So when you e-file a Notice of Appeal, is that sufficient for purposes of Rule 3 of the NC Rules of Appellate Procedure? Let's look…
  • Jul 8

    Pro Se Defendant Wins Trial On Breach Of Fiduciary Duty Claims In Business Court

    Pro Se Defendant Wins Trial On Breach Of Fiduciary Duty Claims In Business Court
    When I was a young pup preparing to go to court against the uncommon adversary who was proceeding without a lawyer, I would joke that "I hope I don't lose."  Luckily, I never did. But the Plaintiff in Seraph Garrison, LLC v. Garrison,…
  • Jul 3

    Business Court Refuses To Admit University Of Maryland's Lawyers On A Pro Hac Basi

    Business Court Refuses To Admit University Of Maryland's Lawyers On A Pro Hac Basi
    The lawsuit filed by the Atlantic Coast Conference against the University of Maryland continues to percolate in the North Carolina Business Court.  But the University will have to proceed without its chosen attorneys, as the Court last…
Rank this Week: 1428

Broke and Broker

Broke and Broker

Covers the Wall Street docket of criminal, civil, regulatory, and arbitration cases. By Bill Singer.

http://brokeandbroker.com/index.php
  • Jul 18

    Stockbroker Failed To Timely Disclose Attempted Child Rape Felony Charge

    Stockbroker Failed To Timely Disclose Attempted Child Rape Felony Charge
    This one ain't pretty and there's sure as hell nothing here to laugh about. In 2012, a stockbroker finds himself charged with felony child molestation and felony attempted rape of a child. Eventually, he pleads to three misdemeanors of…
  • Jul 18

    EMPLOYMENT TUESDAY at BrokeAndBroker.com

    EMPLOYMENT TUESDAY at BrokeAndBroker.com
    Stockbroker, Compliance, Legal, and Regulatory JobsEmployment Page BrokeAndBroker.com Jobs...
  • Jul 17

    Authorized Signing of Customer's Name Derails Stockbroker

    Authorized Signing of Customer's Name Derails Stockbroker
    The customer says: Listen, I'm on the road and can't do it. Go ahead and sign my name. It's okay. The stockbroker is uneasy and asks: You sure that you can't sign it and return it to me? With a bit of rising annoyance, the…
Rank this Week: 3358

RIA Compliance Blog

RIA Compliance Blog

Covers registered investment advisor regulations. By Parker MacIntyre.

http://www.riacomplianceblog.com/
  • Jul 14

    SEC fines RIA for failure to disclosure conflicts of interest on Form ADV

    SEC fines RIA for failure to disclosure conflicts of interest on Form ADV
    In a consented-to Administrative Order dated July 2, 2014, the Securities and Exchange Commission fined a Missouri-based Registered Investment Adviser, SignalPoint Asset Management ("SignalPoint" or "SAM"), $215,000 for breaching its'…
  • Jun 16

    Alabama Joins the Crowd: State Crowdfunding Exemption

    Alabama Joins the Crowd: State Crowdfunding Exemption
    The Alabama Legislature passed a crowdfunding exemption bill this April, but the bill is still awaiting the Governor's signature to become effective. Alabama is the eleventh state to enact legislation or develop regulations on this topic. …
  • Jun 12

    State Private Fund Adviser Exemption Update

    State Private Fund Adviser Exemption Update
    In the past six months two states, Iowa and Texas, have adopted private fund adviser exemptions to their investment adviser registration requirements under their respective state securities acts. Another state, Washington, has proposed a…
Rank this Week: 3504

Banking Law Update

Banking Law Update

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

http://www.bankinglawupdate.com/
  • Jul 10

    Financial Institutions...In the New

    Financial Institutions...In the New
    Many borrowers suspicious of Home Affordable Refinance Program (HARP).  (Portland Press Herald 7.8.14) Maine in top 5 of states with highest foreclosure inventory.  (Market Watch 7.8.14) NBT plans to open branch in Portland,…
  • Jun 30

    Feds Release List of Rural, Middle-Income Geographies Qualifying for Community Development Credit

    Feds Release List of Rural, Middle-Income Geographies Qualifying for Community Development Credit
    Today, federal banking regulators released the list of “distressed or underserved nonmetropolitan middle-income geographies” for 2014.  The list can be found here.  Bank activities in these geographies will receive…
  • May 28

    FDIC Wants to Help Consumers "Save at the Bank," Avoid Fraud

    FDIC Wants to Help Consumers "Save at the Bank," Avoid Fraud
    The Spring 2014 issue of the FDIC Consumer Newsletter is now out.  This quarter, the focus is on helping consumers “Save at the Bank.”  The articles include tips for consumers to: Lower their banking fees, including…
Rank this Week: 3583

RESPA Lawyer Blog

RESPA Lawyer Blog

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

http://www.respalawyer.com/
  • Jul 10

    RESPA: FDIC FINES NEW FRONTIER BANK $70,000 FOR SECTION 8 VIOLATIONS

    RESPA: FDIC FINES NEW FRONTIER BANK $70,000 FOR SECTION 8 VIOLATIONS
    The Federal Deposit Insurance Corporation entered into a consent order with New Frontier Bank in St. Charles, Missouri on May 5, 2014 which was recently made public. (FDIC-14-0084b and FDIC-13-151k) The FDIC ordered New Frontier Bank to…
  • Jul 9

    RESPA: NEW YORK TIMES QUOTES MARX STERBCOW ON CFPB ENFORCEMENT ACTION

    RESPA: NEW YORK TIMES QUOTES MARX STERBCOW ON CFPB ENFORCEMENT ACTION
    Sterbcow Law Group's Marx Sterbcow was quoted in a New York Times article titled "Cracking Down on Illegal Mortgage Referrals" written by NY Times Mortgage Columnist Lisa Prevost. The article published June 5, 2014, discusses the recent…
  • Jun 12

    CFPB: SECTION 8 CONSENT ORDER AGAINST TITLE AGENCY IN NEW JERSEY

    CFPB: SECTION 8 CONSENT ORDER AGAINST TITLE AGENCY IN NEW JERSEY
    The Consumer Financial Protection Bureau announced today another consent order involving violations of Section 8 of the Real Estate Settlement Procedures Act "RESPA". Administrative Proceeding File No. 2014-CFPB-0006 "In the Matter of…
Rank this Week: 1522

Strictly Business

Strictly Business

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

http://www.strictlybusinesslawblog.com/
  • Jul 7

    Venture Capital Term Sheet Negotiation — Part 12: Preemptive Right

    Venture Capital Term Sheet Negotiation — Part 12: Preemptive Right
    This post is the twelfth in a series giving practical advice to startups with respect to understanding and negotiating a venture capital term sheet. In the prior eleven posts, we provided an introduction to negotiation of…
  • Jun 30

    Is it time for the JOBS Act, Part Two?

    Is it time for the JOBS Act, Part Two?
    When the JOBS Act was passed, a lot of people hoped that it would de-regulate startup finance, resulting in a boom of new startups being funded.  Through repealing the ban on general solicitation, allowing online angel investment…
  • Jun 29

    Venture Capital Term Sheet Negotiation — Part 11: Management and Information Right

    Venture Capital Term Sheet Negotiation — Part 11: Management and Information Right
    This post is the eleventh in a series giving practical advice to startups with respect to understanding and negotiating a venture capital term sheet. In the prior ten posts, we provided an introduction to negotiation of the term…
Rank this Week: 3429

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/
  • Jul 6

    Jersey Boys and Working at 80

    Jersey Boys and Working at 80
    If you are looking for a few hours of musical fun, I recommend Jersey Boys. I had the pleasure of seeing the stage production in Las Vegas last year. I liked it so much that I am seeing the Broadway show later this summer. The movie is…
  • Jul 5

    ERISA Advisory Council Investigating Fiduciary Management

    ERISA Advisory Council Investigating Fiduciary Management
    According to a 2014 statement, the ERISA Advisory Council intends to investigate the nature of retirement plan outsourcing and report its research to the U.S. Department of Labor ("DOL"). "Outsourcing Employee Benefit Plan…
  • Jul 2

    ACI ERISA Litigation Conference - New York City

    ACI ERISA Litigation Conference - New York City
    I have the pleasure of announcing that Fiduciary Leadership, LLC is one of the sponsors of this recurring educational conference. For a limited time only, I am told that interested parties can register early and…
Rank this Week: 3802

Financial Industry Review

Financial Industry Review

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

http://blogs.orrick.com/financial/
  • Jul 3

    ESMA Updates Q&A on EMIR Implementation

    ESMA Updates Q&A on EMIR Implementation
    On June 23, the European Securities and Markets Authority (ESMA) published an updated version of its Q&A on the implementation of EMIR. The updated Q&A includes updates on the reporting of collateral, reporting of valuations and OTC…
  • Jul 3

    ESMA Publishes Table Showing Compliance with its Guidelines Relating to Global Supervisory Co-Operation on AIF

    ESMA Publishes Table Showing Compliance with its Guidelines Relating to Global Supervisory Co-Operation on AIF
    On June 20, ESMA published a table showing which competent authorities comply or intend to comply with its guidelines on the model MoU concerning consultation, cooperation and the exchange of information related to the supervision of the…
  • Jul 3

    Square Peg Round Hole: Reforms Needed to Revive Italian Project Finance

    Square Peg Round Hole: Reforms Needed to Revive Italian Project Finance
    The recent placement of project bonds to finance Belgium’s A11 motorway made Italian lawyers wonder when it will be possible to structure a similar transaction under Italy’s national project bond laws. The asset class was…
Rank this Week: 1289

Payment Law Advisor

Payment Law Advisor

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

http://www.paymentlawadvisor.com/
Rank this Week: 2219

Southeast VC

Southeast VC

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

http://southeastvc.blogs.com/southeast_vc/
  • Jun 26

    Bull City Venture Partners III, L.P.

    Bull City Venture Partners III, L.P.
    We are really excited to announce the closing of Bull City Venture Partners III, a $26 million venture capital fund. David and I sincerely appreciate the commitment from all of our LPs and the overwhelming support from the entreprenurial…
  • Apr 11

    Durham, Washington DC, Tech Job

    Durham, Washington DC, Tech Job
    Like all VC firms, we receive a lot of resumes. And I just wanted to post here as a reminder that most of our companies are hiring. ChannelAdvisor - Morrisville NC Etix - Morrisville NC Global Value Commerce - Raleigh...
  • Apr 9

    Reference Check a VC

    Reference Check a VC
    Pulling up and referencing some old blog posts, but I think this is important topic. Entrepreneurs need to take time to do their homework referencing a new investor. With some recent financings I have seen getting done, this was not...
Rank this Week: 2790

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: 2895

Private Funds Law Update

Private Funds Law Update

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

http://www.privatefundslaw.com/
  • Jun 20

    AFIMD update for US managers of non-EU alternative investment fund

    AFIMD update for US managers of non-EU alternative investment fund
    This post was authored by Winston Penhall, Editor of this blog and partner in the Investment Funds practice of Reed Smith LLP, London. We are frequently asked by non-EU managers broadly what their options are in relation to AIFMD compliance…
  • Oct 8

    What should UK and non EU AIFMs be doing now?

    What should UK and non EU AIFMs be doing now?
    This post was authored by Jacqui Hatfield, regulatory partner at Reed Smith LLP, London. The AIFMD trigger date occurred on 22 July this year, with a 12-month transitional period (TP) in place in the UK for (i) existing UK managers of AIFs…
  • Oct 8

    SEC proposes new rules under the JOBS Act

    SEC proposes new rules under the JOBS Act
    On August 29, 2012, the SEC issued proposed rules to implement Congress' mandate, under the Jumpstart Our Business Startups Act (the "JOBS Act"), that the agency eliminate the existing ban on use of general solicitation and/or general…
Rank this Week: 1552

Canadian M&A Perspectives

Canadian M&A Perspectives

Covers developments in private and public mergers and acquisitions, and private equity. By McCarthy Tetrault.

http://www.canadianmergersacquisitions.com
  • Jun 17

    The Ontario Court Revisits Fairness Opinion

    The Ontario Court Revisits Fairness Opinion
    By Graham Gow, Jonathan Grant, Andrew Parker and Matthew Cumming As we described in a previous blog post, the Ontario Court released a decision in March (Champion Iron Mines Limited) in which it held that a fairness opinion that does not…
  • May 22

    More on “Golden Leash” Arrangement

    More on “Golden Leash” Arrangement
    Institutional investor organization urges SEC to require disclosureBy Deandra Schubert and Shane C. D'Souza The debate about so-called “golden leash” arrangements has picked up again. The Council of Institutional Investors…
  • May 7

    Augusta/HudBay – A model for target boards to say “not now”?

    Augusta/HudBay – A model for target boards to say “not now”?
    By Ian C. Michaeland Shane C. D'Souza The recent outcome of the Augusta/HudBay poison pill hearing provides some insight into how a shareholder rights plan may withstand scrutiny from a Canadian securities regulator for an extended period of…
Rank this Week: 4379

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: 2559

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/
  • Jun 12

    Crowdfunding Limits – Raising the Cap

    Crowdfunding Limits – Raising the Cap
    Almost everyone has heard of Kickstarter by now: it’s the premier place for a team with an idea and a plan to raise capital to fund almost any sort of product. However, your return on your investment is the product itself if you pay…
  • Jun 12

    The Contraceptive Mandate: Birth Control or Business Control?

    The Contraceptive Mandate: Birth Control or Business Control?
    The Supreme Court heard oral arguments on March 25th, 2014, on the Tenth Circuit Case Hobby Lobby Stores, Inc. v. Sebelius and the Third Circuit Case Conestoga Wood Specialties v. Sebelius; a ruling is expected in late June.[i] Hobby Lobby…
  • Apr 17

    Owning the Internet: The Demise of Net Neutrality

    Owning the Internet: The Demise of Net Neutrality
    The Internet is the modern day printing press; a revolutionary game changer. The Internet owes much of its success to the theory of net neutrality. While net neutrality is not a new topic of discussion, it has been thrust in the limelight…
Rank this Week: 1140

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: 4044

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: 3591

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
  • Apr 8

    Trusts Made Simple

    Trusts Made Simple
    By Matthew M. Young, Attorney As general counsel for many credit unions, among the most common inquiry I address relates to the law of trusts.  Trusts law is a complex area of the law and for those credit unions navigating these waters,…
  • Apr 3

    Credit Unions and the Battle to Expand the MBL Cap and Retain Their Tax Exempt Statu

    Credit Unions and the Battle to Expand the MBL Cap and Retain Their Tax Exempt Statu
    By Matthew Urban, Attorney First there was LBJ’s war on poverty in the 1960′s and then President Reagan’s war on drugs in the 1980′s.  The common thread among all of these “wars” is that for better or…
  • Apr 1

    CFPB Enforcement of FDCPA Against First Party Collectors: What You Need to Know

    CFPB Enforcement of FDCPA Against First Party Collectors: What You Need to Know
    By James J. Todd, Attorney The Consumer Financial Protection Bureau (CFPB) arose out of the national foreclosure crisis in July 2010 by way of the Dodd–Frank Wall Street Reform and Consumer Protection Act (the…
Rank this Week: 934

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • Mar 28

    Defamation v. Tortious Interference

    Defamation v. Tortious Interference
    Most of us have at least a “street-level” understanding of defamation. Individuals that hear or read damaging false statements about themselves or their business typically think: “I need to find a defamation lawyer.”…
  • Mar 19

    Defamation Reputation Damage Management

    Defamation Reputation Damage Management
    In 1378, the Statute of Scandalum Magnatum granted judges and church officials in England a legal right to compensation if they had been insulted or defamed. The first Common Law defamation action on record was filed in England in 1507. …
  • Mar 12

    Missouri Supreme Court Rejects Trade Secret Claim Over Client List

    Missouri Supreme Court Rejects Trade Secret Claim Over Client List
    Troy Kennedy (Kennedy”) left his position as director and executive officer of a trust and investment company when that company was bought by Central Trust & Investment Company (“CTI”). Kennedy left to found a competing…
Rank this Week: 4095

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…
  • 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…
  • Jan 15

    Camping out and closing deal

    Camping out and closing deal
    I am sure you can see a common thread in many of my recent posts - Sales, Sales, Sales!  I don't care how great your product is because without an ability to articulate the value proposition succinctly, tell the world about it in a…
Rank this Week: 2832

Asset Hunter: Tracking…

Asset Hunter: Tracking International Financial Fraud

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

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

    Diaz Reus & Targ LLP scored a stunning…

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

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

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

    Are You Too Busy To Be A Good Parent?

    Are You Too Busy To Be A Good Parent?
    The ongoing custody battle between R&B singer Usher and his ex-wife, Tameka Foster, highlights the challenges that busy parents face today. It is already hard enough for two parents to manage busy professional schedules and still make…
Rank this Week: 3332

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: 1987