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Mortgage Fraud Blog

Mortgage Fraud Blog

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

http://mortgagefraudblog.com/
  • Aug 22

    Woman Sent to Prison for Fraudulent REO Purchase Scheme

    Woman Sent to Prison for Fraudulent REO Purchase Scheme
    Daniela Spiridon, 43, St. Charles, Missouri, was sentenced to 78 months in prison involving a real estate scheme related to the purchase and sale of REO properties. In addition to the prison sentence, she was also ordered to pay $2,499,988…
  • Aug 22

    Man Admits Giving Buyers Undisclosed Incentives and Kickback

    Man Admits Giving Buyers Undisclosed Incentives and Kickback
    Brandon Bolger, 40, Chicago, Illinois, pleaded guilty to conspiracy to commit wire, mail and bank fraud for failing to disclose to purchasers’ mortgage lenders material facts about the financing of the sale of condominium units. Bolger…
  • Aug 21

    Man Charged with Misappropriating Funds Intended for Financing

    Man Charged with Misappropriating Funds Intended for Financing
    John Paul Donico, 65, Erie, Pennsylvania, is the subject of an eight-count indictment for his alleged role in fraudulently obtaining $350,000 from a construction company by promising to obtain financing, which he never obtained.…
Rank this Week: 3

Mandelman Matters

Mandelman Matters

Covers the foreclosure crisis. By Martin Andelman.

http://mandelman.ml-implode.com
Rank this Week: 171

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: 342

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: 345

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: 383

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/
  • Aug 19

    De Novo Territory Still A Wasteland

    De Novo Territory Still A Wasteland
    *The collateral damage caused by a non-existent condition that actually exists--the oft-denied FDIC mortorium on de novo bank approvals--includes bank M&A activity. According to the American Banker's Robert Barba and industry participants…
  • Aug 17

    HMDA Data Drill-Down

    HMDA Data Drill-Down
    Attorney Warren Traiger thinks that the proposed CFPB changes to HMDA will be "a fair lending game changer" (paid subscription required). Information that is currently proprietary, like applicants' credit scores and debt-to-income…
  • Aug 12

    FinCEN: All's Well With Marijuana Banking

    FinCEN: All's Well With Marijuana Banking
    Apparently, FinCEN chief Jennifer Shasky Calvery has surveyed the battleground that is marijuana banking, decided that the battle has been won, and is telling the world to "move along now, nothing to see here" (paid subscription…
Rank this Week: 409

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Aug 21

    Argentina Bond Case Saga Continues Post-Supreme Court Ruling

    Argentina Bond Case Saga Continues Post-Supreme Court Ruling
    As the Argentina bond saga continues post-U.S. Supreme Court opinion, Reuters reported that a federal judge (SDNY) today said that legislation proposed in the Argentine Congress allowing the government to resume payment to holders of bonds…
  • Aug 21

    Market Expert Shuns Potential Ban on Payment for Order Flow

    Market Expert Shuns Potential Ban on Payment for Order Flow
    [This story previously appeared in Securities Regulation Daily.]By Amy Leisinger, J.D.Larry Tabb, founder and CEO of capital markets research and consulting firm TABB Group, has submitted a letter to Sen. Carl Levin (D-Mich.), disagreeing…
  • Aug 20

    PCAOB Mulls Standards on Accounting Estimates and Fair Value Measurement

    PCAOB Mulls Standards on Accounting Estimates and Fair Value Measurement
    [This story previously appeared in Securities Regulation Daily.]By Anne Sherry, J.D.The PCAOB is seeking public comment on standard-setting activities related to auditing accounting estimates and fair value measurements. The Staff…
Rank this Week: 422

Ponzitracker

Ponzitracker

Covers Ponzi schemes. By Jordan Maglich.

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

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

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

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

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

    California Men Sentenced For $5 Million Real Estate Ponzi Scheme

    California Men Sentenced For $5 Million Real Estate Ponzi Scheme
    Two California men will each serve at least a decade in prison for operating a real estate Ponzi scheme that duped victims out of nearly $5 million.  Terrance Brown, of San Jose, California, and Antranik Kabajouzian, of Morgan City,…
Rank this Week: 424

Sharesleuth.com

Sharesleuth.com

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

http://sharesleuth.com/
Rank this Week: 465

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: 553

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/
  • Aug 22

    SEC Charges Former Bank Executive and Friend With Insider Trading Ahead of Acquisition

    SEC Charges Former Bank Executive and Friend With Insider Trading Ahead of Acquisition
    The SEC charged a former bank executive in Massachusetts and his friend with insider trading in advance of the bank’s acquisition of another financial institution.The SEC alleges that the former executive, then a senior vice president…
  • Aug 21

    Securities Fraud Cases Can Be Criminal Case

    Securities Fraud Cases Can Be Criminal Case
    Defending a SEC securities fraud case is not simply about the civil charges and penalties. Most securities law violations are also criminal violations, and violators can be charged both civilly and criminally.As securities litigators, we…
  • Aug 21

    SEC Announces Charges in Houston-Based Scheme Touting Technology to End Fracking

    SEC Announces Charges in Houston-Based Scheme Touting Technology to End Fracking
    A Houston-based penny stock company and four individuals are being charged after the SEC discovered they were behind a pump-and-dump scheme that misled investors to believe the company was on the brink of developing revolutionary technology…
Rank this Week: 573

That Credit Union Blog

That Credit Union Blog

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

http://thatcreditunionblog.wordpress.com
  • Aug 20

    Representative Payee Account

    Representative Payee Account
    By Matt Young, Attorney What is a Representative Payee Account and when is it appropriate, or even necessary, to open such an Account? First, it is important to understand the role of a Representative Payee. A Representative Payee is an…
  • Aug 15

    Should Your Credit Union Implement Consent Agendas in Board Meetings?

    Should Your Credit Union Implement Consent Agendas in Board Meetings?
    By Woo S. Jun, Attorney Credit union leaders are faced with the task of executing on their missions of providing superior and innovative financial solutions to its members.  The decisions they make satisfy certain legal requirements,…
  • Aug 13

    The Dangers of Accepting a Power of Attorney from your Membership

    The Dangers of Accepting a Power of Attorney from your Membership
    By Matthew M. Young, Attorney Most credit unions facilitate transactions on behalf of their membership using powers of attorney on a daily basis. In fact, the most common questions I answer as corporate counsel for credit unions relate…
Rank this Week: 581

Broke and Broker

Broke and Broker

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

http://brokeandbroker.com/index.php
  • Aug 15

    Stockbroker Wins Expungement Of 1990 Customer Complaint

    Stockbroker Wins Expungement Of 1990 Customer Complaint
    In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in January 2014, registered person Claimant Harmon sought $50 in compensatory damages and the expungement of a 1990 customer complaint from…
  • Aug 15

    Stockbroker U5 Defamation And Wrongful Termination Case Backfire

    Stockbroker U5 Defamation And Wrongful Termination Case Backfire
    In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in January 2013, registered person Claimant Jeffords alleged: breaches of contract and the covenant of good faith and fair…
  • Aug 13

    Hack Attack Hits UBS

    Hack Attack Hits UBS
    I keep writing about fraudulent wire disbursements in the apparently misguided hope that someone will read my warnings and avoid a career catastrophe. Notwithstanding my best efforts, the reports of violations roll in. Consider this recent…
Rank this Week: 592

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Aug 22

    Shareholder Proposals: 10 Things About NY Times’ “Gadflies” Column

    Shareholder Proposals: 10 Things About NY Times’ “Gadflies” Column
    A few days ago, the NY Times ran this DealBook column – “Grappling With the Cost of Corporate Gadflies” – by Professor Steven Davidoff Solomon. Here are 10 thoughts that I had right off the bat: 1. Never Use the Loaded…
  • Aug 21

    PCAOB: Staff’s Concept Paper on Accounting Estimates & Fair Value

    PCAOB: Staff’s Concept Paper on Accounting Estimates & Fair Value
    A few days ago, the PCAOB issued this 47-page “Staff Consultation Paper” about accounting estimates and fair value measurements. What is a “Staff Consultation Paper”? It appears to be similar to the SEC’s concept…
  • Aug 20

    Profanity in SEC Filings? Yes, It Happen

    Profanity in SEC Filings? Yes, It Happen
    Have you ever wanted to swear when drafting disclosure? I have. So exactly when is it acceptable to write f%ck&ng a$$h@le in a prospectus? Perhaps when you are offering shares to raise production funds for a particular type of feature…
Rank this Week: 736

VentureBlog

VentureBlog

Covers entrepreneurial success, legal issues, management issues, presenting your company, and more. By David Hornik.

http://ventureblog.com/
  • Jun 7

    Ten Years of Venture Capital: Just Getting Started

    Ten Years of Venture Capital: Just Getting Started
    Over this weekend I celebrated my tenth anniversary as a Venture Capitalist. When I joined August Capital 10 years ago, things weren't so different than they are today. There had been a period of real exuberance in venture investing but it…
  • May 7

    What a Fucking Waste of Time

    What a Fucking Waste of Time
    One of the lead tech stories this week concerned the wild and crazy early days of Facebook. According to David Kirkpatrick's soon to be released book, "The Facebook Effect," Mark Zuckerberg used to have business cards that read "I'm CEO ...…
  • Apr 2

    Why the Time for Mobile is Now

    Why the Time for Mobile is Now
    I was at a party the other night to celebrate the first anniversary of Nokia's "Ideas Project." The "Ideas Project" is an effort to bring together a diverse group of smart folks to share their thoughts on the evolution of media.
Rank this Week: 862

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: 914

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: 1059

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/
  • Aug 14

    Mark Your Calendar For October 1st For Changes To The Business Court

    Mark Your Calendar For October 1st For Changes To The Business Court
    If you litigate cases in the NC Business Court, mark your calendar for October 1st.  That's when the General Assembly's "modernization" of the Business Court is due to become effective.  The bill containing these changes was signed…
  • Aug 12

    Can You Get A Ruling From A Superior Court Judge After Your Case Is Designated To The Business Court?

    Can You Get A Ruling From A Superior Court Judge After Your Case Is Designated To The Business Court?
    If you've been reading this blog for a while, you know that once a case is in the Business Court, it is in there forever, even if the issues that justified it being there in the first place are subsequently resolved.  But when does the…
  • 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…
Rank this Week: 1075

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/
  • Aug 19

    Servicer’s Error Leads to $16 Million Award

    Servicer’s Error Leads to $16 Million Award
    Kate Berry reported in American Banker and SourceMedia’s National Mortgage News on how a $616 servicing error snowballed into a $16 million jury verdict. It was reported that a jury last month awarded $514,000 in…
  • Jul 23

    Citigroup Settles with DOJ for $7 Billion

    Citigroup Settles with DOJ for $7 Billion
    Citigroup announced last week that it will pay $7 billion to end an investigation by the U.S Department of Justice into misconduct related to its mortgage securitization practices.  The blockbuster settlement came days before DOJ lawyers…
  • 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…
Rank this Week: 1151

The Venture Alley

The Venture Alley

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

http://www.theventurealley.com
  • Aug 7

    Angel Investment Trends: Q1 2014 Halo Report

    Angel Investment Trends: Q1 2014 Halo Report
    CONTRIBUTED BY Trent Dykes trent.dykes@dlapiper.com The Q1 2014 Halo Report has been released by the Angel Resource Institute, Silicon Valley Bank and CB Insights. The Halo Report analyzes angel investment activity and trends in the…
  • 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…
Rank this Week: 1153

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: 1129

Pension Risk Matters

Pension Risk Matters

Focuses on pension financial risk issues from a governance and fiduciary perspective. Published by Susan M. Mangiero.

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

    U.S. Supreme Court and Tibble v Edison International

    U.S. Supreme Court and Tibble v Edison International
    According to SCOTUSBLOG.com, Glenn Tibble, et al. v. Edison International, et al ("Tibble v Edison") is seeing continued action after a petition for a writ of certiorari was filed on October 30, 2013 by counsel of record for the petitioners.…
  • Aug 17

    Brown M&Ms and Investment Service Provider Due Diligence

    Brown M&Ms and Investment Service Provider Due Diligence
      According to marketing guru Steve Jones, parties seeking to do business with one another can learn a lot from rock musician David Lee Roth. As explained in "No Brown M&M's: What Van Halen's Insane Contract Clause Teaches…
  • Aug 10

    A Pension Rock and a Hard Place

    A Pension Rock and a Hard Place
    Not surprisingly, the conversations about pension reform are getting louder and taking place more often. Calls for further transparency, political posturing and headlines regarding the link between municipal debt service and questions…
Rank this Week: 1163

Big Four Blog

Big Four Blog

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

http://bigfouralumni.blogspot.com/
Rank this Week: 1170

Financial Industry Review

Financial Industry Review

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

http://blogs.orrick.com/financial/
Rank this Week: 1245

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/
  • Aug 15

    Nadie te pisa si no estás en el suelo. Podcast #145

    Nadie te pisa si no estás en el suelo. Podcast #145
    ¿Somos realmente vícimas de los clientes, las empresas y todo nuestro entorno? o ¿hay algo que siempre podemos hacer para evitar abusos en nuestra vida profesional? Un podcast que habla de mi punto de vista y claro,…
  • Aug 13

    El dinero que necesitas para emprender

    El dinero que necesitas para emprender
    Esta es la sección de invitados. Todos los lectores de Blog&Lana están invitados a colaborar con un artículo (o dos o más) siempre y cuando, esté de alguna manera relacionado con el dinero, sea…
  • Aug 8

    Influencia de la familia en nuestras finanzas Podcast #144

    Influencia de la familia en nuestras finanzas Podcast #144
    Bienvenidos al podcast No. 144 donde contesto tres preguntas del público ovejuno. para mejorar las finanzas personales. La primera es sobre fondos de inversión y abre un interesante proyecto: compartir información sobre…
Rank this Week: 1398

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: 1355

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: 1403

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 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…
  • Aug 6

    Maine's Greenleaf Decision Creates Mortgage “Insecurity” for MERS

    Maine's Greenleaf Decision Creates Mortgage “Insecurity” for MERS
    In a decision sure to cast doubt on the validity of numerous mortgages throughout the State, Maine’s highest court invalidated the foreclosure of a mortgage held by MERS. In Bank of America v. Greenleaf, the Maine Law Court held that…
  • Aug 5

    FDIC: Banks can consult with FDIC staff instead of hiring consultant

    FDIC: Banks can consult with FDIC staff instead of hiring consultant
    The Summer 2014 edition of the FDICs Supervisory Insights Journal is now out. This edition includes two articles: (1) an article advising banks on how to meet regulatory expectations without outside consultants; and (2) an article…
Rank this Week: 1489

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: 1446

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Aug 21

    No Bright Line

    No Bright Line
    In its Morrison decision, the U.S. Supreme Court addressed the extraterritorial application of Section 10(b) and held that the statute only applies to "transactions in securities listed on our domestic exchanges, and domestic…
  • Aug 15

    Cornerstone Releases Midyear Report

    Cornerstone Releases Midyear Report
    Cornerstone Research (in conjunction with the Stanford Securities Class Action Clearinghouse) has released its 2014 midyear report on federal securities class action filings. The findings for the first half of 2014 include: (1) There were 78…
  • Jul 25

    Too Tangential

    Too Tangential
    In its recent Chadbourne decision, the U.S. Supreme Court held that to be "in connection with" the purchase or sale of a security, an alleged securities fraud must involve "victims who took, who tried to take, who divested…
Rank this Week: 1648

Al-Mirsal

Al-Mirsal

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

http://www.al-mirsal.com/
  • Aug 19

    New EU Sanctions Target Russian Oil Sector, State-Owned Banks and Military Export

    New EU Sanctions Target Russian Oil Sector, State-Owned Banks and Military Export
    The European Union (EU) enacted Council Regulation (EU) No 833/2014 (the Regulation), which contains ‘Stage 3’ sanctions against Russia. These sanctions resemble – but in other ways are different – from the latest US…
  • Aug 4

    How Project Bonds Can Release Asset Value

    How Project Bonds Can Release Asset Value
    Whilst project bonds have for some time been a popular source of financing for projects in the US, they have historically been slow to gain momentum in other parts of the world, including the Middle East. A number of explanations have been…
  • Jul 27

    Saudi Opens Market to Foreign Financial Institution

    Saudi Opens Market to Foreign Financial Institution
    In a long anticipated measure, the Saudi Council of Ministers (which is the highest authority in the Kingdom) issued a resolution on 21 July, 2014 authorizing foreign financial institutions to directly buy and sell stocks listed on the Saudi…
Rank this Week: 1686

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • Aug 12

    Does your Investment Adviser Firm Have a Social Media Policy?

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

    Who has the Right to Enforce Your Promissory Note?

    Who has the Right to Enforce Your Promissory Note?
    A customary practice in the securities industry is for financial advisors to receive a transition bonus above and beyond an advisor’s standard commission compensation upon joining to a new firm. The bonus amount is usually determined…
  • Jul 29

    Calculating Breach of Fiduciary Duty Damage

    Calculating Breach of Fiduciary Duty Damage
    According to a variety of authorities including the SEC, the much-debated fiduciary duty for registered investment advisers and their representatives includes a subset of responsibilities[1].  Common sense would, or should tell you that…
Rank this Week: 1821

Venture Law Lines

Venture Law Lines

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

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

    When University Commercialization Offices Turn Troll

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

    What to do When Blackberry KIKs You to the Curb

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

    Founder CEOs and Severance Agreements: Drafting tips from Mark Hurd

    Founder CEOs and Severance Agreements: Drafting tips from Mark Hurd
    The value of a severance agreements for departing CEOs lies not only in how much they promise to pay, but in what protection it preserves. Mark Hurd's agreement with HP sets out some of the subtleties that you should ensure your own…
Rank this Week: 1832

Strictly Business

Strictly Business

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

http://www.strictlybusinesslawblog.com/
  • Aug 19

    Venture Capital Term Sheet Negotiation — Part 13: Drag-Along Right

    Venture Capital Term Sheet Negotiation — Part 13: Drag-Along Right
    This post is the thirteenth in a series giving practical advice to startups with respect to understanding and negotiating a venture capital term sheet. In the prior twelve posts, we provided an introduction to negotiation of the…
  • 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…
Rank this Week: 1975

Lenders 360.

Lenders 360.

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

http://www.lenders360blog.com
  • Oct 17

    OCC’s Commercial Real Estate Lending Handbook: Misses the List on Legal Issue

    OCC’s Commercial Real Estate Lending Handbook: Misses the List on Legal Issue
    Over the last few weeks, I’ve commented on the new version of the OCC’s Commercial Real Estate Lending Handbook (I give it a gentlemen’s C); and I listed a few legal topics that deserve some guidance from the OCC.…
  • Oct 9

    OCC Lending Handbook Needs Parenting on Important Legal Topic

    OCC Lending Handbook Needs Parenting on Important Legal Topic
    In an earlier posting, I reviewed the OCC’s new Commercial Real Estate Lending handbook .  The purpose of the handbook is to give parenting – I mean guidance – on risks inherent in commercial real estate lending.…
  • Sep 18

    Grading the Examiners: OCC’s Commercial Real Estate Lending Handbook gets a “C”

    Grading the Examiners: OCC’s Commercial Real Estate Lending Handbook gets a “C”
    Last month, the Office of the Comptroller of the Currency published the Commercial Real Estate Lending handbook (August 2013).  The 128 page handbook gives guidance to bank examiners and bankers on risks inherent in commercial…
Rank this Week: 2005

Current Issues in Credit Unions

Current Issues in Credit Unions

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

http://ciicu.libsyn.com
Rank this Week: 1914

Bank D&O Liability Law Blog

Bank D&O Liability Law Blog

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

http://www.bankdandolaw.com/
Rank this Week: 1911

Dividends and Preferences

Dividends and Preferences

Musings on Venture Capital, Technology and Entrepreneurship. By Hank J. Heyming.

http://www.dividendsandpreferences.com/
  • Jan 24

    Microsoft/Skype -- Putting Things into Perspective

    Microsoft/Skype -- Putting Things into Perspective
    {EAV:984c4a016f17013d} Microsoft acquires Skype! Largest Microsoft acquisition ever!! Facebook jilted!!! Google jilted!!!! Wait, Facebook wins through Microsoft!!!!! Wait, Microsoft overpaid by $4 billion with a B!!!!!! OMG Google just…
  • May 10

    Nerd Chic

    Nerd Chic
    Lately, I've noticed a new twist to the typical ebb and flow of the fashion wars.  It occurred to me that, for perhaps the first time in my lifetime, it is cool right now to be a nerd.
  • Apr 25

    Out and About

    Out and About
    Hey folks -- I'm getting ready to head down to the RTP area for the annual CED Venture Conference.  This year it is in downtown Raleigh, instead of Pinehurst, and looks to be bigger and better than ever. So, if anyone happens to be in the…
Rank this Week: 2012

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/
  • Aug 15

    Advisory Alert! – Repatriation of Funds Out of China

    Advisory Alert! – Repatriation of Funds Out of China
    China imposes controls on the inflow and outflow of foreign exchange. Given the involvement of State Administration of Foreign Exchange and various other governmental agencies in the process, repatriating funds from China can be a trap for…
  • Aug 5

    Cyber Security and Investing: Steps to Help Avoid a Digital Disaster

    Cyber Security and Investing: Steps to Help Avoid a Digital Disaster
    The relentless attention being paid to cyber-attacks is driving companies to increase cyber security budgets and purchases. In turn, this has led institutional investors and asset managers to see potentially massive returns associated with…
  • Aug 4

    SEC Enforcement Update – A busy (and entertaining) week, July 28 – August 1, 2014

    SEC Enforcement Update – A busy (and entertaining) week, July 28 – August 1, 2014
    At the Intersection of Faith and Illiteracy. In what may have been one of the more interesting weeks this year for SEC enforcement actions, the Enforcement Division brought a number of actions last week, several of which will make you wonder…
Rank this Week: 2081

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: 2097

The Swap Report

The Swap Report

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

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

    The 2014 CFTC Reauthorization Act: An Ongoing Serie

    The 2014 CFTC Reauthorization Act: An Ongoing Serie
    By Tom Watterson and Crystal Travanti In late June, the U.S. House of Representatives passed a bill to reauthorize the CFTC, HR 4413, located here (the “2014 CFTC Reauthorization Act”), which includes a number of…
  • Aug 1

    Breaking: ISDA Announces Credit Event for Argentina

    Breaking: ISDA Announces Credit Event for Argentina
    Breaking--ISDA just announced that its Determination Committee decided that a "failure to pay" Credit Event has occurred with respect to the Argentine Republic. The date of the Credit Event is July 30, 2014. The ISDA Press Release can be…
  • Jul 30

    CFTC No-Action Relief from Potentially Burdensome Requirement for Automated Form 40S Response to CFTC 'Special Calls'

    CFTC No-Action Relief from Potentially Burdensome Requirement for Automated Form 40S Response to CFTC 'Special Calls'
    On July 23, the CFTC staff issued No-Action Letter 14-95 (available here) extending the compliance date from August 15, 2014 to February 11, 2016 for use of new Forms 40/40S—reports solicited from market participants by "special call"…
Rank this Week: 2198

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: 2192

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: 2187

NC Business & Banking Law Blog

NC Business & Banking Law Blog

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

http://bizlawnc.com/
  • Aug 16

    Boards of Directors and Information Security Risk

    Boards of Directors and Information Security Risk
    Directors should take an active role in managing data security risks rather than leaving it up to management and IT staff, according to recent remarks by SEC Commissioner Luis Aguilar. Commissioner Aguilar recently delivered a speech at the…
  • Jul 30

    Is Bank Regulatory Relief Gaining Momentum?

    Is Bank Regulatory Relief Gaining Momentum?
    Banks have been pleading with Congress for regulatory relief for as long as I can recall.  (For example, before the ink on the Dodd-Frank Act was dry, bankers were warning of the harmful effects of the cumulative regulatory burdens…
  • 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…
Rank this Week: 2451

Canadian M&A Perspectives

Canadian M&A Perspectives

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

http://www.canadianmergersacquisitions.com
  • Aug 5

    Reasonable Efforts vs. Best Efforts – Why the Fuss?

    Reasonable Efforts vs. Best Efforts – Why the Fuss?
    By Geoff R. Hall and Lama Sabbagh Last fall, we featured a blog post that offered a Canadian perspective on the interpretation and use of benchmarking in efforts clauses. Some of the commentary that ensued suggests that Canadian courts were…
  • Jul 28

    Pay Me Now: Court of Appeal Delivers Lessons on fiduciary duties, the business judgment rule, and executive compensation

    Pay Me Now: Court of Appeal Delivers Lessons on fiduciary duties, the business judgment rule, and executive compensation
    By McCarthy Tétrault LLP The following post on the Canadian Appeals Monitor blog may be of interest to readers of this blog: Pay Me Now: Court of Appeal Delivers Lessons on fiduciary duties, the business judgment rule, and executive…
  • 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…
Rank this Week: 2513