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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 19

    Mortgage Broker Sentenced for Fraudulent Loan Application

    Mortgage Broker Sentenced for Fraudulent Loan Application
    Mortgage Fraud Blog. Pierre Chainey, 42, Tabernacle, New Jersey, was sentenced to 54 months in prison for his role in a mortgage fraud scheme that caused $2.7 million in losses.  Chainey previously pleaded guilty before U.S. District…
  • Jul 19

    Sentences for Two Law Firm Faker

    Sentences for Two Law Firm Faker
    Mortgage Fraud Blog. Ronald Rodis, 52, Long Beach, California was sentenced to 41 months in prison, and Charles Wayne Farris, 56, Aliso Viejo, California, was sentenced to serve 47 months in prison for their roles in a multi-million…
  • Jul 19

    Kickbacks and Fraudulent tax returns result in Prison Sentence

    Kickbacks and Fraudulent tax returns result in Prison Sentence
    Mortgage Fraud Blog. Richard Pierce, a Michigan business owner, was sentenced to serve a year and a day in prison for obstructing and impeding the internal revenue laws and committing bank fraud. According to documents filed with the court,…
Rank this Week: 2

Ponzitracker

Ponzitracker

Covers Ponzi schemes. By Jordan Maglich.

http://www.ponzitracker.com/
  • Feb 13

    For Galemmo Ponzi Victims, Recovery Chances Depend On Clawback

    For Galemmo Ponzi Victims, Recovery Chances Depend On Clawback
    When a Cincinnati money manager's $100 million Ponzi scheme collapsed over three years ago, authorities seemingly acknowledged the bleak prospects of recovery in declining to seek appointment of a receiver to marshal and gather assets for…
  • Feb 13

    Zeek Rewards Mastermind Sentenced To Nearly Fifteen Years In Prison

    Zeek Rewards Mastermind Sentenced To Nearly Fifteen Years In Prison
    The North Carolina man who drew comparisons to Bernard Madoff for his operation of a Ponzi scheme that duped tens of thousands of victims out of nearly $1 billion learned from a federal judge today that he, like Madoff, will likely spendthe…
  • Oct 17

    Another Cay Clubs Principal Indicted On Bank Fraud And Tax Charge

    Another Cay Clubs Principal Indicted On Bank Fraud And Tax Charge
    A Florida man is facing bank fraud and tax charges for his involvement in the alleged $300 million Cay Clubs Ponzi scheme, making him the third person to be criminally charged in what was one of the largest schemes in Florida history.…
Rank this Week: 211

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/
Rank this Week: 251

Mandelman Matters

Mandelman Matters

Covers the foreclosure crisis. By Martin Andelman.

http://mandelman.ml-implode.com
Rank this Week: 296

Sharesleuth.com

Sharesleuth.com

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

http://sharesleuth.com/
Rank this Week: 425

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

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

    Piwowar engages in Q&A session on capital formation initiative

    Piwowar engages in Q&A session on capital formation initiative
    By Jacquelyn LumbCommissioner Michael Piwowar participated in a question-and-answer session hosted by the Heritage Foundation titled “SEC, Entrepreneurship and Economic Growth.” David Burton, a senior fellow in economic policy,…
  • Jul 20

    Hester Peirce again gets nod for SEC post

    Hester Peirce again gets nod for SEC post
    By Mark S. Nelson, J.D.President Trump has nominated Hester Peirce to be an SEC commissioner. This will be the second time Peirce has received a presidential nod to join the Commission, the first having been under the Obama administration.…
  • Jul 19

    House panel mulls reforms to fixed income market structure

    House panel mulls reforms to fixed income market structure
    By John M. Jascob, J.D., LL.M.The House Subcommittee on Capital Markets, Securities, and Investment held a hearing on July 14 to review the state of the U.S. fixed income markets and the need for reform of the current market structure. Aimed…
Rank this Week: 486

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: 480

Illinois Business Law Journal

Illinois Business Law Journal

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

https://publish.illinois.edu/illinoisblj/
  • Mar 16

    Keeping an AI on Technological Advances in Business Law

    Keeping an AI on Technological Advances in Business Law
    Source: The Economist By Elizabeth Rice Download full note here. This Note explores the role that artificial intelligence plays in the legal world today and the ways in which it may affect the legal profession in the future. …
  • Mar 16

    Timing Brexit Right: Theresa May’s Great Political Challenge

    Timing Brexit Right: Theresa May’s Great Political Challenge
    Source: Andy Rain of EPA Download full note here. By Julian Jankowski The Prime Minister of the United Kingdom, Theresa May, in her expressed pursuit for a hard Brexit, faces economic, legal, and political challenges in her endeavors to…
  • Mar 16

    Driving Solo: Solutions to the Current Patchwork of Legislation Concerning Automated Vehicle

    Driving Solo: Solutions to the Current Patchwork of Legislation Concerning Automated Vehicle
    Source: AP Download full note here. By Bryan Boccelli This Note argues that states across the nation should expand upon and in some cases begin to introduce legislation in regards to self-driving vehicles. Although there are currently a…
Rank this Week: 511

Financial Industry Review

Financial Industry Review

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

http://blogs.orrick.com/financial/
  • Jul 17

    FHFA Announces $5.5 Billion Settlement With Royal Bank of Scotland

    FHFA Announces $5.5 Billion Settlement With Royal Bank of Scotland
      On July 12, 2017, the Federal Housing Finance Agency (“FHFA“), as conservator of Fannie Mae and Freddie Mac, announced it had reached a settlement with Royal Bank of Scotland Group plc, related companies and specifically…
  • Jul 17

    Rating Agency Development

    Rating Agency Development
      On July 10, 2017, DBRS issued a report entitled Rating Canadian Split Share Companies and Trusts. Report. On July 7, 2017, DBRS issued a report entitled Derivatives Criteria for Canadian Structured Finance. Report. On July 7, 2017,…
  • Jul 17

    European Union (Withdrawal) Bill Received First Reading in Parliament

    European Union (Withdrawal) Bill Received First Reading in Parliament
      The European Union (Withdrawal) Bill (the “Repeal Bill”), which will end the supremacy of EU law in the UK by repealing the European Communities Act 1972 and will prepare the UK’s legislative framework after its…
Rank this Week: 608

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 5

    Incorporating By Reference In Your NC Business Court Brief? Don't Do It!

    Incorporating By Reference In Your NC Business Court Brief? Don't Do It!
    If you have ever drafted a Complaint, you have undoubtedly used the words that your previous numbered allegations were "incorporated by reference."  It's a way of not having to repeat yourself.  That  shortcut is specifically…
  • Jun 16

    Joint Defense Agreements Are Not Protected By The Attorney-Client Privilege

    Joint Defense Agreements Are Not Protected By The Attorney-Client Privilege
    Why would any lawyer think that his Joint Defense Agreement, entered into with a co-defendant, was protected from production by the attorney-client privilege?  Well, the lawyer for one of the Defendants in AP Atlantic, Inc., v. Crescent…
  • Jun 6

    Deposition, My Office Or Yours? NC Business Court: Neither

    Deposition, My Office Or Yours? NC Business Court: Neither
    You probably don't think much, when you are noticing a deposition, about where it should take place.  Ideally, you probably want it to happen in your own office. The NC Rule of Civil Procedure on depositions, Rule 30, says that the…
Rank this Week: 599

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: 647

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: 682

Regulation tomorrow

Regulation tomorrow

By Norton Rose Fulbright. Offers resources on the global financial services regulatory environment. It reports on financial services regulatory developments and provides insights and commentary across Africa, Asia, Australia, Canada, Europe and the United States.

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

    Global Asset Management Quarterly – latest issue

    Global Asset Management Quarterly – latest issue
    The latest issue of Global Asset Management Quarterly is now available. EU / UK articles Quarterly update Cross-jurisdictional AIFMD guides 2017 FCA publishes asset management market study: not quite an earthquake but beware of the…
  • Jul 21

    ESMA opinion on asset segregation and applying depositary delegation rules to CSD

    ESMA opinion on asset segregation and applying depositary delegation rules to CSD
    The European Securities and Markets Authority (ESMA) has published an opinion addressed to the European Parliament, the Council of the EU and the European Commission in which it sets out its views on: the optimal approach to asset segregation…
  • Jul 21

    FCA signs MoU with Hong Kong SFC

    FCA signs MoU with Hong Kong SFC
    The FCA has published a supervisory memorandum of understanding (MoU) it has entered into with the Hong Kong Securities and Futures Commission (SFC). The provisions of the MoU are intended to support communication on supervisory issues of…
Rank this Week: 987

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

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
    A FINRA JP Morgan Arbitration,Jamie Dimon's Embarrassment And Bill Singer's Apoplexy http://www.brokeandbroker.com/3533/finra-arbitration-u5/BrokeAndBroker.com Blog publisher Bill Singer, Esq. lives and works in New York City. The Big…
  • Jul 17

    A FINRA JP Morgan Arbitration,Jamie Dimon's Embarrassment and Bill Singer's Apoplexy

    A FINRA JP Morgan Arbitration,Jamie Dimon's Embarrassment and Bill Singer's Apoplexy
    BrokeAndBroker.com Blog publisher Bill Singer, Esq. lives and works in New York City. The Big Apple has become the Baked Apple the last few days as it is stewing in the midst of a heat wave. Bill doesn't like 90 degree weather. Frankly, Bill…
  • Jul 17

    Elder Abuse Allegations Arise In Wedbush Arbitration

    Elder Abuse Allegations Arise In Wedbush Arbitration
    The roughly 75 million Millennials recently passed the number of Baby Boomers with Generation Xers projected to exceed the latter's numbers sometime in 2028. As such, a large chunk of our population is now elderly. Unfortunately, elder abuse…
Rank this Week: 1067

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 16

    Arbitrate This!

    Arbitrate This!
    Last week's issuance of a final arbitration rule by the CFPB provoked various reactions throughout the financial services world. Among the more amusing were those of long-time BLB favorite, Dorsey & Whitney partner Joe Lynyak. In a client…
  • Jul 9

    A Ruling That Raises As Many Questions As It Answer

    A Ruling That Raises As Many Questions As It Answer
    For those readers who've been following the saga of Colorado's Fourth Corner Credit Union, a state-chartered credit union that was formed to serve marijuana businesses operating "legally" under Colorado law (albeit illegally under…
  • Jul 4

    Luetkemeyer Still After Operation Choke Point

    Luetkemeyer Still After Operation Choke Point
    Notwithstanding the departure of Eric Holder and his merry band of miscreants in the Justice Department who concocted the infamous "Operation Choke Point" (with the willing, if covert, cooperation of the federal bank regulatory…
Rank this Week: 904

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 28

    New Investment Canada Act Review Threshold – C$1 Billion

    New Investment Canada Act Review Threshold – C$1 Billion
    By Oliver J. Borgers and Michele Siu On June 22, 2017, the pre-closing review threshold that applies to most direct acquisitions of Canadian businesses by non-Canadian1, non-state owned investors from WTO member states increased to C$1…
  • Apr 24

    Investment Canada Act Review Threshold Increases to C$800 Million

    Investment Canada Act Review Threshold Increases to C$800 Million
    By Oliver J. Borgers and Michele Siu Today the pre-closing review threshold that applies to most direct acquisitions of Canadian businesses by non-Canadian[1], non-state owned investors from WTO member states has risen from C$600 million to…
  • Mar 24

    Ontario’s Bulk Sales Act has been repealed

    Ontario’s Bulk Sales Act has been repealed
    By Ian Mak, Jake Irwin, Heidi Gordon and Vanessa Chung On March 22, 2017, Ontario’s Bulk Sales Act (BSA) was repealed, bringing to an end bulk sales legislation in Canada.1 The BSA was enacted in 1917, and was intended to protect…
Rank this Week: 875

Asset Hunter: Tracking…

Asset Hunter: Tracking International Financial Fraud

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

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

    Diaz Reus Forms Drone Legal Practice

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

    Diaz Reus & Targ LLP scored a stunning…

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

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

    Bolivia’s Anti-Corruption Colonel, Mario Fabrizio Ormachea, Arrested in Miami FBI Sting | Trial period set for October
    Mario Fabrizio Ormachea, the colonel leading Bolivia’s Anti-Corruption Unit, is being held without bail in Miami, awaiting an October 21 trial period after being arrested in an August 31 Miami FBI sting operation where he attempted to…
Rank this Week: 1037

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Jul 21

    Proxy Voting: Increase in Directors Getting “No” Vote

    Proxy Voting: Increase in Directors Getting “No” Vote
    It looks like investors used their votes to send a message to some directors during this year’s proxy season – and it wasn’t “keep up the good work.”  This excerpt from a recent Bloomberg…
  • Jul 20

    IPOs: Commissioner Piwowar Favors Allowing Mandatory Arbitration

    IPOs: Commissioner Piwowar Favors Allowing Mandatory Arbitration
    Speaking at the Heritage Foundation earlier this week, SEC Commissioner Mike Piwowar said that the SEC might be receptive to requests by IPO companies to include mandatory arbitration clauses in their charters. Here’s an excerpt from…
  • Jul 19

    Tomorrow’s Pre-Conference Webcast: “Pay Ratio Workshop – What You Need to Do Now”

    Tomorrow’s Pre-Conference Webcast: “Pay Ratio Workshop – What You Need to Do Now”
    For those registered for the upcoming “Pay Ratio & Proxy Disclosure Conference,” tune in tomorrow – noon eastern (audio archive goes up when the program ends; transcript available in a week or so) – for the first…
Rank this Week: 1327

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/
  • Jul 12

    Emotional Preparedness for a Business Sale

    Emotional Preparedness for a Business Sale
    The process of selling a business can become a psychological and emotional roller-coaster. The bumpiness of the ride is dependent on many independent factors including the preparedness of the business itself, the  effectiveness of the…
  • Jul 4

    Why Won’t My Business Sell?

    Why Won’t My Business Sell?
    The Exit Planning Institute (EPI) estimates that over $10T in business value will be prepared to transition in the next decade. However, the EPI also predicts only 20% to 30% of those businesses will actually be able to sell. With such…
  • Jun 29

    The Best Deals Need No Introduction

    The Best Deals Need No Introduction
    One of the biggest reasons I love investment banking is that it combines the deep expertise of multiple disciplines. The most successful investment bankers are “quick studies” of nearly any sector and have deep expertise in…
Rank this Week: 1255

Southeast VC

Southeast VC

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

http://southeastvc.blogs.com/southeast_vc/
  • Feb 11

    Public SaaS Valuations Are Diving. How Should You React?

    Public SaaS Valuations Are Diving. How Should You React?
    I received data 48 hours ago from Pacific Crest which shows valuations of SaaS companies in a sharp decline. Given 90% of our investments are into software companies, this is very relevant and I forwarded the data to a few...
  • Sep 14

    Why It's a Mistake to Raise Money Too Soon

    Why It's a Mistake to Raise Money Too Soon
    The topic of raising money is popular with many entrepreneurs. But here is some great advice to from Joel Holland, CEO Washington DC-based VideoBlocks. He tells founders to wait as long as possible and not have a "race to raise."...
  • Jun 16

    Andreessen Horowitz: What's Going on in Venture Capital

    Andreessen Horowitz: What's Going on in Venture Capital
    Really good deck from Scott Kupor and the guys at Andreessen Horowitz on the current VC market and thought it would be good to share here. Topics: What's going on in the public markets. What are all these unicorns What's...
Rank this Week: 1326

Mortgage Crisis Watch

Mortgage Crisis Watch

Covers business and legal issues affecting loan repurchases, mortgage-backed securities and mortgage insurance. By Bilzin Sumberg.

http://www.mortgagecrisiswatch.com/
  • Jun 11

    Mid-2015 Mortgage Crisis Update – The Repurchase Demands Continue

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

    Wells Accused of Profiting from Foreclosure Relief Program

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

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

    CFPB, DOJ Show Renewed Interest in Pursuing “Redlining” Case
    Evidence is mounting that the Consumer Financial Protection Bureau (CFPB) and the Department of Justice (DOJ) are taking a renewed interest in investigating possible redlining—the practice of lenders charging certain groups more for…
Rank this Week: 1415

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.

https://ofac-sdn-list-removal.com
Rank this Week: 1438

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: 1838

Financial Regulatory Report

Financial Regulatory Report

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

http://www.financialregulatoryreport.com/
  • Jun 19

    Nevada Passes FinTech Law

    Nevada Passes FinTech Law
    A number of states have jumped into the FinTech fray by enacting legislation or issuing guidance regarding new technologies and digital currencies. The latest of these technology-forward states is Nevada. Following the example set by Arizona,…
  • Jun 14

    New Jersey Giveth And Taketh Away: Recent Steps to Reduce And To Increase Regulatory Burden On Home Mortgage Lender

    New Jersey Giveth And Taketh Away: Recent Steps to Reduce And To Increase Regulatory Burden On Home Mortgage Lender
    Recently, the State of New Jersey has taken a small step in the direction of less regulation over home mortgage lenders and, virtually at the same time, a potentially more significant step in the opposite direction. Details are set forth…
  • Jun 13

    New Policies Released Under the Illinois Transmitters of Money Act

    New Policies Released Under the Illinois Transmitters of Money Act
    On June 13, 2017, the Illinois Department of Financial and Professional Regulation (“IDFPR”) released guidance outlining its policies with respect to the treatment of digital currencies under the Illinois Transmitters of Money Act…
Rank this Week: 1894

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/
  • May 15

    CLE Webinar About ERISA and Hedge Funds and Private Equity Fund

    CLE Webinar About ERISA and Hedge Funds and Private Equity Fund
  • Apr 25

    Investment Fraud and the Role of Trust

    Investment Fraud and the Role of Trust
    This article entitled “Investment Fraud and the Role of Trust” by Dr. Susan Mangiero was originally published on April 19, 2017 in The Fraud Examiner, a publication of the Association of Certified Fraud Examiners that is…
  • Apr 9

    Funny Courtroom Film Still Used For Teaching

    Funny Courtroom Film Still Used For Teaching
    I had a chance to watch My Cousin Vinny on television the other night and was reminded how humor is such a powerful storytelling tool. How many times do we remember important concepts because the speaker or writer makes us laugh? Tickling our…
Rank this Week: 2193

RESPA Lawyer Blog

RESPA Lawyer Blog

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

http://www.respalawyer.com/
Rank this Week: 1545

Private Funds Law Update

Private Funds Law Update

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

http://www.privatefundslaw.com/
  • Mar 14

    10 takeaway points on Luxembourg’s RAIF

    10 takeaway points on Luxembourg’s RAIF
    The Luxembourg law on reserved alternative investment funds (RAIF) is a welcome addition to the alternative investment funds (AIF) industry and we have seen keen interest from the fund and asset management industry in this new platform. Since…
  • Aug 9

    ESMA Advice Extending the AIFMD Passport: Including the United States, Hong Kong, Singapore and Switzerland

    ESMA Advice Extending the AIFMD Passport: Including the United States, Hong Kong, Singapore and Switzerland
    On 18 July 2016 the European Securities and Markets Authority (ESMA) published its advice to the European Parliament, the Council and the Commission on the application of the Alternative Investment Fund Managers Directive (AIFMD) passport to…
  • Aug 9

    The SBEEA: Register of Significant Beneficial Ownership

    The SBEEA: Register of Significant Beneficial Ownership
    The SBEEA (Part I: People with Significant Control) Against the backdrop of an increasing push for greater transparency of company ownership, the Small Business Enterprise and Employment Act 2015 (“SBEEA“) took effect on 6 April…
Rank this Week: 1909

Securities Fraud Attorney Blog

Securities Fraud Attorney Blog

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

http://www.securitiesfraudattorneyblog.com/
  • Oct 27

    Private Share Litigation Cases are Challenging

    Private Share Litigation Cases are Challenging
    In a very high profile private share litigation, Theranos, a privately held health-technology and medical-laboratory-services company worth $9 billion as of 2014, has been sued this Monday by one of its largest and trusted financial backers,…
  • Jun 19

    Split Decision on Arbitration in Bank of America Case

    Split Decision on Arbitration in Bank of America Case
    This week, a Florida appeals court partially reversed a ruling denying Bank of America’s efforts to arbitrate various claims related to the Scott Rothstein Ponzi scheme. Bank of America, N.A. v. Beverly, Nos. 4D14-3167, 4D14-3168 (Fla.…
  • Jun 19

    Split Decision on Arbitration in Bank of America Case

    Split Decision on Arbitration in Bank of America Case
    This week, a Florida appeals court partially reversed a ruling denying Bank of America’s efforts to arbitrate various claims related to the Scott Rothstein Ponzi scheme. Bank of America, N.A. v. Beverly, Nos. 4D14-3167, 4D14-3168 (Fla.…
Rank this Week: 1842

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/
  • Oct 25

    HFMWEEK AWARDS PILLSBURY INVESTMENT MANAGEMENT PRACTICE FOR SERVICE TO HEDGE FUND STARTUPS

    HFMWEEK AWARDS PILLSBURY INVESTMENT MANAGEMENT PRACTICE FOR SERVICE TO HEDGE FUND STARTUPS
    NEW YORK—Pillsbury has been named Best Onshore Law Firm for Hedge Fund Startups by HFMWeek at its HFM U.S. Hedge Fund Services Awards 2016.  Partner Ildiko Duckor, who is co-leader of the firm’s Investment Funds &…
  • Oct 4

    New Law Mandates Disclosure of Alternative Fund Fees By California Public Pension

    New Law Mandates Disclosure of Alternative Fund Fees By California Public Pension
    To increase the transparency of fees and expenses paid to alternative funds, every California public pension plan must require each alternative fund in which they invest to make various disclosures, and California public pension plans are…
  • Sep 21

    Higher Qualified Client Net Worth Threshold Effective August 15, 2016

    Higher Qualified Client Net Worth Threshold Effective August 15, 2016
    3(c)(1) funds should update their offering documents to reflect $2.1 million net worth requirement. Assets under management threshold remains unchanged at $1 million. Only new client relationships entered and new investors admitted in private…
Rank this Week: 2418

Dividends and Preferences

Dividends and Preferences

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

http://www.dividendsandpreferences.com/
  • 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…
  • Apr 19

    Securities Law FAIL

    Securities Law FAIL
    Longtime viewers of this blog will recall that one of my favorite memes is -- "Try Not to Violate Securities Laws."  It never ceases to amaze me how easily and often folks violate securities laws.  It is a war of information, people, and…
  • Apr 18

    Someone Wrote a Book About Me!

    Someone Wrote a Book About Me!
    (Well, maybe not a whole book, but at least a short chapter...) Hey folks!  I know it has been a little while since I've posted anything.  I typically take a break over the winter holidays, but have really let it go for too long.…
Rank this Week: 1768

Payment Law Advisor

Payment Law Advisor

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

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

    Regulatory Alert: Debt Collection

    Regulatory Alert: Debt Collection
    Among the announcements in its Spring 2017 rulemaking agenda, which was just released on July 20, the Consumer Financial Protection Bureau (CFPB) announced that later this year it plans to issue a Notice of Proposed Rulemaking (NPRM)…
  • Jul 5

    OCC Issues Retail Lending Handbook Booklet

    OCC Issues Retail Lending Handbook Booklet
    On April 12, 2017, the Office of the Comptroller of the Currency (the “OCC”) issued a Retail Lending booklet (“Booklet”) as part of the Comptroller’s Handbook.  The OCC’s Booklet outlines a framework…
  • Jun 29

    Second Circuit Holds That Printing of Expiration Date Is a Bare Procedural Violation of FACTA That Is Inadequate Under Spokeo to Confer Standing to Sue

    Second Circuit Holds That Printing of Expiration Date Is a Bare Procedural Violation of FACTA That Is Inadequate Under Spokeo to Confer Standing to Sue
    Addressing the issue of when “a bare procedural violation of a statutory right constitute[s] an injury in fact sufficient for standing to bring suit in federal court”, the U.S. Court of Appeals for the Second Circuit has joined…
Rank this Week: 2990

AG Deal Diary

AG Deal Diary

A collection of insights and analysis on hot topics impacting companies, funds, dealmakers and directors. By Akin Gump.

http://www.akingump.com/en/experience/practices/corporate/ag-deal-diary/index.html
  • Jul 20

    Recommended Reading: How Your Board Can be Ready for Crisi

    Recommended Reading: How Your Board Can be Ready for Crisi
    This week we highlight PWC’s report on How your board can be ready for crisis, addressing key challenges for directors during a crisis and discussing how being prepared gives a company better odds of bouncing back smoothly. This…
  • Jul 18

    New York Law Journal Publishes ‘Spoofing’ Analysis by Michael Asaro and Richard William

    New York Law Journal Publishes ‘Spoofing’ Analysis by Michael Asaro and Richard William
    New York Law Journal has published the article “‘Spoofing’: The SEC Calls It Manipulation, But Will Courts Agree?” written by Michael Asaro and Richard Williams Jr., partner and associate, respectively, in the…
  • Jul 13

    Recommended Reading: A Review of the 2017 Proxy Season

    Recommended Reading: A Review of the 2017 Proxy Season
    This week we highlight two analyses, one by J.P. Morgan and the other by Ernst & Young, reviewing the 2017 proxy season. The reports address board diversity; gender equality; environmental, social and governance (ESG) issues; and the…
Rank this Week: 3106

NextGen Financial Services Report

NextGen Financial Services Report

By Dykema. Provides news and analysis of legal issues affecting the financial services industry.

http://www.nextgenfinancialservicesreport.com/
  • Jul 20

    CFPB Offers Smaller HELOC Lenders Temporary Relief from HMDA Coverage; HMDA Changes Still Loom In the Future

    CFPB Offers Smaller HELOC Lenders Temporary Relief from HMDA Coverage; HMDA Changes Still Loom In the Future
    The Consumer Financial Protection Bureau (CFPB) proposed Friday to temporarily relax the scope of upcoming changes to Regulation C, which implements the Home Mortgage Disclosure Act (HMDA), by raising one threshold for HMDA reporting. Under…
  • Jul 14

    The Sound of Shoes Dropping: CFPB Moves to Bar Class Action Waiver

    The Sound of Shoes Dropping: CFPB Moves to Bar Class Action Waiver
    On July 10, 2017, the Consumer Financial Protection Bureau (CFPB) dropped the other shoe and issued final rules prohibiting “providers of consumer financial products and services in the core consumer financial markets of lending money,…
  • Jun 30

    Fourth Corner Credit Union Obtains Pyrrhic Victory for Marijuana Banking

    Fourth Corner Credit Union Obtains Pyrrhic Victory for Marijuana Banking
    The long-awaited  Tenth Circuit Court of Appeals decision in the case of Fourth Corner Credit Union v. Federal Reserve Bank of Kansas City was issued this week. In short: the would-be credit union, formed to serve participants in the…
Rank this Week: 2750

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 20

    New Options for Raising Capital for Startups and Growth Companie

    New Options for Raising Capital for Startups and Growth Companie
    Traditionally, when raising capital, an overwhelming majority of businesses have used Rule 506 of Regulation D, also often known as the “private placement exemption” as their exemption from securities registration requirements. In…
  • Jun 29

    The Life Cycle of a Private Equity or Venture Capital Fund

    The Life Cycle of a Private Equity or Venture Capital Fund
    Unlike most hedge funds, the investment holdings of private equity and venture capital funds typically are not liquid. Consequently, private equity and venture capital funds usually do not have any redemption rights and are organized to have…
  • Jun 12

    Convertible Equity Options for Startups: SAFEs and KISSe

    Convertible Equity Options for Startups: SAFEs and KISSe
    When it comes to raising capital to get your new business off the ground, there’s a range of investment structures available, from common stock to exchangeable shares. One of the newer and most popular forms of financing for startups is…
Rank this Week: 4684

RIA Compliance Blog

RIA Compliance Blog

Covers registered investment advisor regulations. By Parker MacIntyre.

http://www.riacomplianceblog.com/
Rank this Week: 4809

Lenders 360.

Lenders 360.

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

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

    Bitcoin: Everyone is Talking Blockchain and its Not too Late to Get on the Band Wagon

    Bitcoin: Everyone is Talking Blockchain and its Not too Late to Get on the Band Wagon
    Bitcoin first came into public existence in 2008 with the first coins “mined” by a person/group named Satoshi Nakamoto.  As you are probably aware, Bitcoin is a method of transferring value electronically and without the need…
  • Jul 10

    Two Lawsuits Diverge and I take the Defendant Less Liable

    Two Lawsuits Diverge and I take the Defendant Less Liable
    To paraphrase Count Ciano, Success has many fathers and failure has many targets.  You may recall a while back I wrote about how a loan to old General Motors (worth $1.5 billion) was accidentally rendered un-secured.  When GM…
  • Jul 3

    Beware the Sleeping Executory Contract

    Beware the Sleeping Executory Contract
    Sometimes a buyer is upset because he received less than he paid for.  On the other hand, sometimes the buyer is upset because he received way more than he paid for.  In a recent Texas Supreme Court decision, the buyer of contracts…
Rank this Week: 4662

Lenders 360

Lenders 360

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

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

    Bitcoin: Everyone is Talking Blockchain and its Not too Late to Get on the Band Wagon

    Bitcoin: Everyone is Talking Blockchain and its Not too Late to Get on the Band Wagon
    Bitcoin first came into public existence in 2008 with the first coins “mined” by a person/group named Satoshi Nakamoto.  As you are probably aware, Bitcoin is a method of transferring value electronically and without the need…
  • Jul 10

    Two Lawsuits Diverge and I take the Defendant Less Liable

    Two Lawsuits Diverge and I take the Defendant Less Liable
    To paraphrase Count Ciano, Success has many fathers and failure has many targets.  You may recall a while back I wrote about how a loan to old General Motors (worth $1.5 billion) was accidentally rendered un-secured.  When GM…
  • Jul 3

    Beware the Sleeping Executory Contract

    Beware the Sleeping Executory Contract
    Sometimes a buyer is upset because he received less than he paid for.  On the other hand, sometimes the buyer is upset because he received way more than he paid for.  In a recent Texas Supreme Court decision, the buyer of contracts…
Rank this Week: 3222

Financial Institutions Legal…

Financial Institutions Legal Snapshot

Covers banking, finance and insurance law in South Africa. By Norton Rose Fulbright.

http://www.financialinstitutionslegalsnapshot.com/
  • Jul 13

    King IV and BEE – previously voluntary, now mandatory in the amendments to the JSE Listings Requirement

    King IV and BEE – previously voluntary, now mandatory in the amendments to the JSE Listings Requirement
    The Financial Services Board amendments to the JSE Listings Requirements (board notice 52 of 2017) which are now in effect, are primarily focused on two aspects: They include certain of the obligations set out in the King Report on Corporate…
  • Jul 13

    Breach of policy requirement not to settle or disclaim liability does not include plea in criminal proceeding

    Breach of policy requirement not to settle or disclaim liability does not include plea in criminal proceeding
    An insurer in Singapore alleged that the insured had breached the obligation not to ‘make any admission in connection with any claim’ by pleading guilty to five charges of failing to comply with fire regulations. The defence…
  • Jul 10

    Twin Peaks refresher

    Twin Peaks refresher
    The Financial Sector Regulation Bill was passed by Parliament and sent to the President for assent on 22 June 2017. The Bill provides the architecture for the new twin peaks method of regulation to be adopted across the South African…
Rank this Week: 3335

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 11

    Financial Institutions . . . In the New

    Financial Institutions . . . In the New
    Thirteen employees at Saco & Biddeford Savings Institution earned certificates and high honor awards this year through the Center for Financial Training and Education Alliance (CFTEA). (BDN 7.10.17) Mainers affected by State government…
  • Jun 29

    New England Council Unveils 2017 Regional Financial Sector Report

    New England Council Unveils 2017 Regional Financial Sector Report
    On June 29th, the New England Council met in Concord, NH to present its annual report on the region’s financial sector, “The New England Financial Services Industry: Around the Corner and Around the World.” The report was…
  • Jun 20

    New England Council Unveils 2017 Regional Financial Sector Report

    New England Council Unveils 2017 Regional Financial Sector Report
    On June 29th, the New England Council met in Concord, NH to present its annual report on the region’s financial sector, “The New England Financial Services Industry: Around the Corner and Around the World.” The report was…
Rank this Week: 4898

Consumer Finance Law Ledger

Consumer Finance Law Ledger

By Fox Rothschild LLP.

https://consumerfinance.foxrothschild.com/
Rank this Week: 2587

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
  • Jun 7

    Getting up to speed on blockchain, Bitcoin, Ethereum, cryptocurrencies and ICO

    Getting up to speed on blockchain, Bitcoin, Ethereum, cryptocurrencies and ICO
    Much has been written recently on blockchain, Bitcoin, Ethereum, cryptocurrencies and initial coin offerings (ICO). Unfortunately, for non-computer scientists (like me), trying to understand these concepts and their potential implications can…
  • May 19

    Prize Promotions Around the World: New Handbook

    Prize Promotions Around the World: New Handbook
    DLA Piper is pleased to announce the launch of Prize Promotions Around the World, an updated edition of our popular handbook. Prize Promotions Around the World is an online tool designed to assist companies across the globe in managing…
  • Mar 30

    Current trends on deal multiples (Q1 2017)

    Current trends on deal multiples (Q1 2017)
    Our private company clients often ask what kind of revenue or EBITDA multiple ranges they can expect upon a sale or when determining their enterprise value in connection with a financing. This is always a tricky question as value is driven by…
Rank this Week: 4581

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Jun 5

    The Outset of the Fraud

    The Outset of the Fraud
    If an individual defendant’s stock trading took place pursuant to a pre-determined Rule 10b5-1 trading plan that was entered into before the outset of the alleged fraud, the use of the trading plan may undermine any inference that…
  • May 9

    Not Just For Section 11 Claim

    Not Just For Section 11 Claim
    In its Omnicare decision, the U.S. Supreme Court held that opinions presented in registration statements can be subject to liability under Section 11 of the Securities Act of 1933 if either (a) the opinion was not…
  • Apr 14

    Frivolity

    Frivolity
    Among other reforms, the Private Securities Litigation Reform Act of 1995 (“PSLRA”) requires that upon final adjudication of a federal securities action, the court shall include in the record “specific findings regarding…
Rank this Week: 2886

Al-Mirsal

Al-Mirsal

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

http://www.al-mirsal.com/
Rank this Week: 4605

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/
  • May 8

    Can Young Lawyers Learn Something From Older Lawyers About Managing Their Professional Reputations Online (and Vice Versa)?

    Can Young Lawyers Learn Something From Older Lawyers About Managing Their Professional Reputations Online (and Vice Versa)?
    I thought I'd share an article that was published this week in the North Carolina Lawyer magazine that might be of interest to some of you.Can Young Lawyers Learn Something From Older Lawyers About Managing Their Professional Reputations…
  • Mar 5

    A New Chapter

    A New Chapter
    This photo was taken for the firm's website when I joined in 2007In 2005, I met two exceptional people, Don Eglintonand Leigh Wilkinson, during on-campus interviews at my law school.  I could immediately tell from the way…
  • Dec 17

    The FCC Creates Privacy, Data Protection, and Data Breach Rules for Internet Service Provider

    The FCC Creates Privacy, Data Protection, and Data Breach Rules for Internet Service Provider
    The Federal Communications Commission is venturing into new areas of privacy regulation.  By a narrow vote, the FCC has approved new rules that govern how internet service providers ("ISPs") use consumers' information.   ISPs long…
Rank this Week: 4371

BeyondVC

BeyondVC

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

http://www.beyondvc.com/
  • Apr 23

    Blurring lines in enterprise SaaS; the race to own customer data

    Blurring lines in enterprise SaaS; the race to own customer data
    I’ve written before about the competitive nature of SaaS and the amount of entrants in every category. Lately after every conversation, I feel like the world is being divided into two camps and there is a massive battle going on in…
  • Mar 29

    Why I love and fear AWS

    Why I love and fear AWS
    The AWS launch of Amazon Connect (see techcrunch article) got me thinking about the current state of play in SaaS. Amazon Connect is a call center in a box, the same tech it uses in-house for their current platform. With that release,…
  • Mar 21

    Thoughts from Mulesoft and AppDynamics IPO Filing

    Thoughts from Mulesoft and AppDynamics IPO Filing
    I finally had a chance to take a quick read of the respective S1 filings for AppDynamics and Mulesoft. While the growth for each company is quite amazing, two thoughts jumped out at me. As we move to a cloud-only world with instant-on…
Rank this Week: 2887