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Mortgage Fraud Blog

Mortgage Fraud Blog

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

http://mortgagefraudblog.com/
  • Jun 8

    Mortgage Payment by Fraudulent Instrument Results in Indictment

    Mortgage Payment by Fraudulent Instrument Results in Indictment
    Leigh Fiske, 52, formerly of Tampa, Florida, was indicted and charged with two counts of bank fraud. If convicted, he faces a maximum penalty of 30 years in federal prison on each count. According to the indictment, Fiske submitted two…
  • Jun 3

    Mortgage Broker Pleads Guilty in Florida Condo Conversion Scheme

    Mortgage Broker Pleads Guilty in Florida Condo Conversion Scheme
    Jason Martin, 36, Orange County, California, pleaded guilty to mortgage fraud conspiracy involving bank and wire fraud. He faces a maximum penalty of 30 years’ imprisonment. A sentencing date has not yet been set. According to…
  • Jun 1

    Former Bank Manager Sentenced

    Former Bank Manager Sentenced
    Arthur Samuels, 41, Mattapan, Massachusetts, a former bank manager was sentenced to one year and one day in prison, two years of supervised release, and was ordered to pay restitution of $2,229,492 in connection with a multi-year,…
Rank this Week: 3

Sharesleuth.com

Sharesleuth.com

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

http://sharesleuth.com/
  • Nov 22

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

    SEC expands fraud case to include Lenco Mobile, subject of a prior Sharesleuth investigation
    The Securities and Exchange Commission has quietly expanded its fraud case against financier Izak Zirk De Maison, adding seven more people as codefendants and identifying five more stocks he used in his schemes. According to the SEC’s…
  • Feb 4

    Trick Play: Memorabilia company peddled Patriots, Seahawks gear with forged player autograph

    Trick Play: Memorabilia company peddled Patriots, Seahawks gear with forged player autograph
      Just days after the Seattle Seahawks and New England Patriots claimed their spots in Super Bowl XLIX, a memorabilia company called The Highland Mint contacted customers with a tantalizing list of autographed collectibles. Highland…
  • Dec 31

    Kandi Technologies Group Inc.: Where are the Go-Karts?

    Kandi Technologies Group Inc.: Where are the Go-Karts?
    When the global economy collapsed in the fall of 2008, the sharp drop in consumer spending threw the power sports industry into a steep decline. Sales of motorcycles, go-karts and all-terrain vehicles each plunged by 30 percent or more,…
Rank this Week: 204

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
  • Feb 24

    How IRS Form 982 Can Aid Credit Unions and their Members with Debt Settlement

    How IRS Form 982 Can Aid Credit Unions and their Members with Debt Settlement
    By: Nicholas K. Rohner, Esq. For any credit union seeking to negotiate with one of its members over a lump-sum settlement of the member’s delinquent, unsecured debt,[1] one potential roadblock is IRS Form 1099-C. This form reports the…
  • Nov 20

    Bankruptcy Forms to Change December 1st

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

    Fraud Alert-Forged Paystub

    Fraud Alert-Forged Paystub
    By Matthew M. Young, Attorney While forging paystubs to obtain credit is not a new concept, I have a number of credit unions that have advised me of an alarming increase in the use of these phony documents to support employment and…
Rank this Week: 292

Mandelman Matters

Mandelman Matters

Covers the foreclosure crisis. By Martin Andelman.

http://mandelman.ml-implode.com
Rank this Week: 344

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: 332

Illinois Business Law Journal

Illinois Business Law Journal

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

http://www.law.illinois.edu/bljournal/
  • Nov 27

    Two Sides of the Same [Bit]coin: Why Regulating Bitcoin Works in Its Favor

    Two Sides of the Same [Bit]coin: Why Regulating Bitcoin Works in Its Favor
               The reality of the most notorious virtual currency is that it is only a matter of time before it comes under the purview of a regulatory body.  Bitcoin is a cryptocurrency that exists entirely…
  • Nov 27

    The Ride-Sharing Economy: Keeping Liability in the Rearview

    The Ride-Sharing Economy: Keeping Liability in the Rearview
                      In large cities the world over, passengers have stopped reaching into the air to hail a cab and have begun reaching into their pockets for their smartphones.  Companies such…
  • Nov 27

    Two Sides of the Same [Bit]coin: Why Regulating Bitcoin Works in Its Favor

    Two Sides of the Same [Bit]coin: Why Regulating Bitcoin Works in Its Favor
               The reality of the most notorious virtual currency is that it is only a matter of time before it comes under the purview of a regulatory body.  Bitcoin is a cryptocurrency that exists entirely…
Rank this Week: 382

The Reverse Merger & SPAC Blog

The Reverse Merger & SPAC Blog

Covers reverse mergers, special purpose acquisition companies (SPACs), and other alternatives to initial public offerings (IPOs). By David Feldman.

http://www.reversemergerblog.com/
  • Jun 27

    Innovation in #InvestmentBanking—There are Pros and Con

    Innovation in #InvestmentBanking—There are Pros and Con
    I just caught a BusinessInsider article outlining what we already knew: macro investment banking is having a bit of a rough year in 2016. The United States is having one of the most underwhelming years so far, underwhelmed only by Australia.…
  • Jun 25

    Deal Virtual Data Rooms Best Practice

    Deal Virtual Data Rooms Best Practice
    While various virtual data rooms on the market differ in scope, complexity and price, in the most simplified form a virtual data room is nothing more than a cloud-based repository for housing all the most confidential and pertinent files…
  • Jun 24

    Why Investment Bankers are (or should be) among the world’s most prolific #ProjectManager

    Why Investment Bankers are (or should be) among the world’s most prolific #ProjectManager
    The last decade has seen a surge in the world of professional project managers. In most instances, project management (PM) methodologies are used for specific IT-related projects, but now that nearly every company has some IT-based core…
Rank this Week: 469

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: 479

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/
  • Jun 28

    C. Dabney O’Riordan Named as Co-Chief of the Asset Management Unit

    C. Dabney O’Riordan Named as Co-Chief of the Asset Management Unit
    The Securities and Exchange Commission today announced that C. Dabney O’Riordan has been named co-chief of the Division of Enforcement’s Asset Management Unit, a national specialized unit that focuses on misconduct by investment…
  • Jun 28

    SEC Proposes Rule Requiring Investment Advisers to Adopt Business Continuity and Transition Plan

    SEC Proposes Rule Requiring Investment Advisers to Adopt Business Continuity and Transition Plan
    The Securities and Exchange Commission today proposed a new rule that would require registered investment advisers to adopt and implement written business continuity and transition plans.  The proposed rule is designed to ensure that…
  • Jun 27

    SEC Adopts Rules for Resource Extraction Issuers Under Dodd-Frank Act

    SEC Adopts Rules for Resource Extraction Issuers Under Dodd-Frank Act
    The Securities and Exchange Commission today announced it adopted rules to require resource extraction issuers to disclose payments made to governments for the commercial development of oil, natural gas or minerals.  The rules, mandated…
Rank this Week: 804

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Jun 28

    SEC Proposes Changes to “Smaller Reporting Company” Definition

    SEC Proposes Changes to “Smaller Reporting Company” Definition
    Yesterday, the SEC proposed changes to the “smaller reporting company” definition, which would increase the number of companies falling into that reporting category. Here’s the 83-page proposing release. The proposed rules…
  • Jun 27

    Corp Fin: 7 New “Rule 701” CDI

    Corp Fin: 7 New “Rule 701” CDI
    As noted in this Cooley blog, Corp Fin issued 7 new CDIs last week on Rule 701 issues – primarily in the M&A context… Social Media: Deal Announced By Blog Post! As noted in this blog by Steve Quinlivan: Tesla, in an offer to…
  • Jun 24

    Brexit: The Risk Factors Cometh!

    Brexit: The Risk Factors Cometh!
    I’m out West for the Society of Corporate Secretaries Conference. So I was up when the ‘leave’ vote stunned the world. I just did a quick Edgar search and ‘Brexit’ has been scarcely mentioned in recent 10-Ks…
Rank this Week: 806

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/
  • Jun 26

    B of A Questions New Lawyer Salary Increase

    B of A Questions New Lawyer Salary Increase
    Last week, we made an obscure reference to the fact that some of the nation's largest law firms have opted to raise the starting base salaries of their new associates from $160,000 per year to $180,000 per year. While many...
  • Jun 19

    Countrywide: Closed For Good

    Countrywide: Closed For Good
    Maybe it's the fact that in another six months or so, the regime change here in the Land of the Free will lead many of the the current crop of enforcers in D.C. out the revolving door and into the...
  • Jun 5

    Defrauding Yourself: A New Frontier Of Legal Theory Temporarily Closed

    Defrauding Yourself: A New Frontier Of Legal Theory Temporarily Closed
    As we discussed a few years ago, the current administration's Department of Justice has been a huge fan of FIRREA, using its civil money penalties potential to squeeze blood out of bank turnips on the theory that a bank committed...
Rank this Week: 800

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
  • Jun 21

    Lonely Game of Masquerade As FINRA Hides Two Entire Countrie

    Lonely Game of Masquerade As FINRA Hides Two Entire Countrie
    Welcome to FINRA's masquerade ball where the self-regulatory organization hides two entire countries behind a mask of secrecy in a recent regulatory settlement despite naming one American state and one British territory and one sovereign…
  • Jun 20

    Wedbush Ordered to Pay Attorneys Fees After Untimely Payment of Attorneys Fee

    Wedbush Ordered to Pay Attorneys Fees After Untimely Payment of Attorneys Fee
    If you read through today's FINRA arbitration commentary by Bill Singer, you will come across what seems a fairly mundane employment dispute between former employee Bell and his former employer Wedbush, with Bell seeking at least $1.25…
  • Jun 20

    Homer Simpson, Killer Tomatoes, and SEC v. McDuff

    Homer Simpson, Killer Tomatoes, and SEC v. McDuff
    Today's BrokeAndBroker.com Blog continues our unique and exhaustive coverage of the epic battle between the United States Securities and Exchange Commission ("SEC") and Gary L. McDuff. Readers unfamiliar with SEC v. McDuff should reference…
Rank this Week: 920

Blog y Lana finanzas personales…

Blog y Lana finanzas personales que se entienden

Porque de nada sirve ganar mucho dinero si no sabemos mantenerlo en nuestra bolsa. Finanzas personales que se entienden.

http://www.blogylana.com/
  • Apr 17

    Novedosa alternativa para monetizar tu trabajo creativo. Podcast #167

    Novedosa alternativa para monetizar tu trabajo creativo. Podcast #167
    Monetizar (tener ingresos) las creaciones en linea en México y en algunos lugares de latinoamérica no ha sido fácil  de productos en internet. Dios sabe que yo también he batallado a pesar de generar contenido…
  • Apr 13

    ¿Invertir sin miedo? Descubre como lograrlo

    ¿Invertir sin miedo? Descubre como lograrlo
    No se pueden tener unas finanzas sólidas si solo ahorras. Ahorrar es la primera parte de la ecuación. ¿La segunda? Es invertir. Hacer que ese dinero que ya ahorraste ¡crezca! El problema es que si nadie nos…
  • Apr 10

    Evita el NO de los mejores proveedores y clientes Podcast #166

    Evita el NO de los mejores proveedores y clientes Podcast #166
    En el podcast #162 El Arte de Pedir explico los pequeños y a veces grandes detalles que hacen que uno reciba un NO cuando se pide algo. Mi querida invitada a este podcast Leonora Varo quiso retomar un poco el tema con un ángulo…
Rank this Week: 968

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: 1051

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Jun 29

    Timbervest proceeding remanded to SEC to hear additional evidence

    Timbervest proceeding remanded to SEC to hear additional evidence
    By Amanda Maine, J.D.The D.C. Circuit has remanded proceedings against Timbervest LLC to the SEC for the purpose of hearing additional evidence relating to the SEC’s original disgorgement order; in particular, an agreement of settlement…
  • Jun 28

    Tax condition lets oil company out of unfavorable merger

    Tax condition lets oil company out of unfavorable merger
    By Anne Sherry, J.D.The inability to procure a legal opinion allowed Energy Transfer Equity, L.P. (ETE) to back out of an unfavorable merger with The Williams Companies, Inc. The energy market tanked after the parties agreed to the merger,…
  • Jun 27

    House Agriculture leaders warn proposed CFTC energy order would cause inconsistency

    House Agriculture leaders warn proposed CFTC energy order would cause inconsistency
    By Lene Powell, J.D.The leaders of the House Agriculture Committee wrote to CFTC Chairman Timothy Massad to express concern about a proposed CFTC order that would recognize a private right of action for market manipulation involving certain…
Rank this Week: 1482

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/
  • Jun 27

    A Great Honor And A Greater Responsibility

    A Great Honor And A Greater Responsibility
    Going to the NC Bar Association GalaOne of the best pieces of advice I have received in my professional life was when Knox Proctor took me to lunch during my first week as a lawyer and suggested (okay, insisted) that I become actively…
  • Jun 14

    New NC Law Enhances Student Privacy Rights and Restricts Providers of Online Educational Resource

    New NC Law Enhances Student Privacy Rights and Restricts Providers of Online Educational Resource
    Education technology (or "EdTech") organizations will want to pay close attention to a new North Carolina statute that was signed into law a couple of days ago.  On Thursday, June 9, 2016, a new law titled "An Act to Protect Student…
  • May 31

    Another Setback in U.S. - European Commerce: Regulator Rejects the Privacy Shield Agreement

    Another Setback in U.S. - European Commerce: Regulator Rejects the Privacy Shield Agreement
    Yesterday, the European Data Protection Supervisor (EDPS) delivered a crushing blow to the proposed EU/US Privacy Shield, sending U.S. and European negotiators back to the drawing board. I posted my initial analysis on the NC Privacy and…
Rank this Week: 1346

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • Jun 22

    Ignore At Your Own Peril: “Training Fees” Provisions in Financial Industry Employment Contract

    Ignore At Your Own Peril: “Training Fees” Provisions in Financial Industry Employment Contract
                It has long been the practice of many broker-dealers, wire houses, and other financial firms to put provisions in employee contracts allowing them to recover so-called “training fees”…
  • May 23

    DOL Fiduciary Rule P II: The SEC Story

    DOL Fiduciary Rule P II: The SEC Story
    While the previous post discussed the Department of Labor’s (DOL) fiduciary rule, it is not the only government agency tackling the issue. In 2010, President Obama signed into law the Dodd-Frank Act, which authorized the Securities and…
  • Apr 18

    “Lumpiness” insufficient When the Ship is Going Down

    “Lumpiness” insufficient When the Ship is Going Down
    Class action investors recently won a partial victory against Dolan Company in the 8th Circuit Court of Appeals.  I stress partial because, while the trial court’s dismissal was reversed, its severe limitation of the…
Rank this Week: 1535

The Swap Report

The Swap Report

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

http://www.theswapreport.com/
Rank this Week: 1374

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/
  • Jun 15

    Notice to Mortgage Lenders – Your Mortgage Interest Statements Must be Revised Starting in Tax Year 2016

    Notice to Mortgage Lenders – Your Mortgage Interest Statements Must be Revised Starting in Tax Year 2016
    An act passed by Congress last year makes changes to IRS Form 1098 (Mortgage Interest Statement) starting in tax year 2016 (reported commencing in calendar year 2017).  Internal Revenue Code Section 6050H(b)(2)(D) requires that a Form…
  • May 26

    A Proposition 65 Violation May Be Lurking in Your Cash Register Receipt

    A Proposition 65 Violation May Be Lurking in Your Cash Register Receipt
    Many consumer-facing businesses have learned to identify high-risk Prop 65 targets:  soft, flexible plastics; faux and colored leathers; and any kind of brass or metal that may contain lead or other heavy metals.  But businesses…
  • May 13

    Google To Ban Payday Loan Advertisement

    Google To Ban Payday Loan Advertisement
    Google announced on May 11 that effective on July 13, 2016 it will ban all payday loan advertisements from its site.  Google was responding to concerns raised by consumer advocates who argued that the lending practice exploits the poor…
Rank this Week: 1260

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: 1587

Kueser Law Firm Blog

Kueser Law Firm Blog

Covers securities and investment fraud, as well as other consumer and investor-related issues.

http://blog.jmkesquire.com
  • Jan 14

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

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

    FINRA BrokerCheck: Beware the … Blue … Flags?

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

    FINRA Securities Arbitration Statistics – February 2011

    FINRA Securities Arbitration Statistics – February 2011
    FINRA recently reported its February 2011 arbitration statistics. For the two-month period ended February 28, 2011, 837 claims were filed. This represents a decrease of 9% as compared to the number of cases filed in February 2010 (918). The…
Rank this Week: 1265

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: 1604

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: 1253

RIA Compliance Blog

RIA Compliance Blog

Covers registered investment advisor regulations. By Parker MacIntyre.

http://www.riacomplianceblog.com/
Rank this Week: 2129

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 23

    “Qualified Client” Threshold Increasing to $2.1M

    “Qualified Client” Threshold Increasing to $2.1M
    The SEC has updated the net worth threshold for “qualified clients” from $2.0 million to $2.1 million, effective August 15, 2016. Section 205 of the Investment Advisers Act of 1940, as amended (the “Advisers Act”)…
  • Jun 7

    SEC Sanctions Private Equity Fund Adviser For Acting As An Unregistered Broker

    SEC Sanctions Private Equity Fund Adviser For Acting As An Unregistered Broker
    From our colleagues Edward J. Johnsen, Wesley G. Nissen, David A. Goldstein, Jay Coogan and Robert B. Weiss The Securities and Exchange Commission has announced that a private equity fund advisory firm and its owner have agreed to pay more…
  • May 16

    Employee and Other Proprietary Information & Invention Assignment Agreements – Update for New Trade Secret Law

    Employee and Other Proprietary Information & Invention Assignment Agreements – Update for New Trade Secret Law
    On May 11, President Barack Obama today signed the Defend Trade Secrets Act (DTSA) into law.  The law is effective immediately.  The DTSA provides a federal claim for misappropriation of trade secrets. Until now, trade secrets…
Rank this Week: 2204

Al-Mirsal

Al-Mirsal

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

http://www.al-mirsal.com/
  • Jun 2

    Climate Change Further Threatens MENA Water Security

    Climate Change Further Threatens MENA Water Security
    Climate Change Further Threatens MENA Water Security The Middle East and North Africa (MENA) is home to 14 of the 33 most water scarce countries globally, with six times less water availability than the worldwide average and less than 2…
  • May 25

    Telemedicine in the UAE

    Telemedicine in the UAE
    Telemedicine is a product of 20th century information and communication technologies. It is generally defined as the provision of healthcare services from a healthcare professional to a patient from a remote location using a telephone or the…
  • Mar 31

    New Saudi Companies Law – Accumulated Losses and Risk of Statutory Dissolution

    New Saudi Companies Law – Accumulated Losses and Risk of Statutory Dissolution
    For the past few decades, the obligations of companies with losses reaching 50% or more of their share capital has been a topic of high debate in the Kingdom of Saudi Arabia. That is due to the uncertainty surrounding the application of…
Rank this Week: 2495

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

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

    Shaky Ground

    Shaky Ground
    In Halliburton II, the U.S. Supreme Court held that defendants can rebut the fraud-on-the-market presumption of reliance at the class certification stage with evidence of a lack of stock price impact.  In a typical case, where the…
  • Apr 25

    Tell Me Something New

    Tell Me Something New
    Plaintiffs often establish the existence of loss causation by pointing to a “corrective disclosure” that allegedly revealed the fraud and led to a stock price decline. What a disclosure must contain to be deemed…
  • Mar 16

    Don’t Tout

    Don’t Tout
    A number of years ago, the U. S. Court of Appeals for the Fourth Circuit addressed whether a company’s false statement about its CEO’s educational background was material.  The court found that the statement was…
Rank this Week: 2303

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: 1731

Lenders 360.

Lenders 360.

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

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

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

    eSign & Commercial Finance: A License to Trash the Original Note?
    Are “electronic document” provisions appearing in your commercial loan documents?  This is the second in a series examining two provisions recently reviewed by me in commercial real estate transactions.   Unfortunately,…
  • Jan 26

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

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

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

    eSign & Commercial Finance: On the Bank Report Card in 2016
    Last year, a new topic started to appear in commercial mortgage loan documents: provisions covering the use of electronic documents (aka “electronic records” or “eDocs”).  Unfortunately, two provisions examined by…
Rank this Week: 2123

Securities Fraud Attorney Blog

Securities Fraud Attorney Blog

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

http://www.securitiesfraudattorneyblog.com/
Rank this Week: 1663

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: 1678

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: 1677

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/
  • Jun 28

    Pensions and Politic

    Pensions and Politic
    Since I started this blog a decade ago, I've repeatedly lamented the unfortunate situations when investment decisions are determined by politics rather than based on prudent process. As I read "Teachers Union and Hedge Funds War Over Pension…
  • Jun 9

    More About the Fiduciary Gap

    More About the Fiduciary Gap
    Thanks to the many people who shared their insights about various state retirement arrangements for eligible private company employees and the need for a proverbial umbrella to address the fiduciary gap. Let me start with the Nutmeg…
  • Jun 8

    State Retirement Arrangements for Small Business Employee

    State Retirement Arrangements for Small Business Employee
    After posting "Public-Private Retirement Plans and Possible Fiduciary Gaps," a senior legal expert kindly informed me that Connecticut's legislation draws extensively from U.S. federal pension law. (ERISA does not directly apply to most…
Rank this Week: 3726

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
  • Jun 27

    Brexit Ramifications for the Investment Management Industry

    Brexit Ramifications for the Investment Management Industry
    The implications of the Brexit referendum are likely to be profound for the investment management industry. Please click here to listen to a presentation, delivered via conference call, by Akin Gump Strauss Hauer & Feld LLP’s UK/EU…
  • Jun 27

    SEC Orders Increase in Qualified Client Threshold

    SEC Orders Increase in Qualified Client Threshold
    The Securities and Exchange Commission (SEC) issued a final order on June 14 to adjust for inflation the net-worth threshold for a registered investment adviser to charge performance-based compensation1 to its advisory clients or…
  • Jun 23

    Brexit: Trade and Regulation Outlook

    Brexit: Trade and Regulation Outlook
    The UK vote to Brexit has material economic, financial, commercial, political, legal and social implications. Once the UK government has formally notified the European Council of its citizens’ decision to leave the EU, the UK has a…
Rank this Week: 2786

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: 3790

Financial Institutions Legal…

Financial Institutions Legal Snapshot

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

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

    Re-registration of a company restores existing MPRDA right

    Re-registration of a company restores existing MPRDA right
    The Supreme Court of Appeal settled the debate surrounding the interpretation and relationship between s56(c) of the Mineral and Petroleum Resources Development Act 2002 and s73(6A) of the Companies Act 1973 by declaring that a right which…
  • Jun 15

    Grounds for removal of trustee

    Grounds for removal of trustee
    The overriding question when a court is asked to remove a trustee is whether or not the conduct of the trustee imperils the trust property or its proper administration. The decisive consideration is the welfare of the beneficiaries and the…
  • Jun 15

    Taking security over cryptocurrencie

    Taking security over cryptocurrencie
    Many creditors require some form of security to be given by their debtors to ensure the payment of a debt. The creditor acquires a right over property of the debtor which may be exercised if the debt is not paid. One of the most common…
Rank this Week: 2727

Financial Regulatory Report

Financial Regulatory Report

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

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

    FCA Enforcement Action Overview

    FCA Enforcement Action Overview
    Reed Smith’s Enforcement Action by the FCA 2016 is a useful overview of enforcement action taken by the FCA in 2016.  Enforcement action is important in terms of showing where the focus of the regulator is in terms of…
  • May 11

    CFPB Moves Forward With Proposal To Ban Class Action Waivers In Arbitration

    CFPB Moves Forward With Proposal To Ban Class Action Waivers In Arbitration
    The Consumer Financial Protection Bureau has published its long anticipated 377-page proposed rule to bar banks and regulated financial institutions from including class action waivers in mandatory arbitration provisions in consumer…
  • May 6

    Federal Regulator Issues Proposed Rule Aimed at Incentive Compensation Policies of Banking Organization

    Federal Regulator Issues Proposed Rule Aimed at Incentive Compensation Policies of Banking Organization
    On April 21, 2016, the National Credit Union Administration (collectively, with the Office of the Comptroller of the Currency, Treasury, Board of Governors of the Federal Reserve System, Federal Deposit Insurance Corporation, Federal Housing…
Rank this Week: 4160

Payment Law Advisor

Payment Law Advisor

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

http://www.paymentlawadvisor.com/
  • Jun 16

    NYPAY: Regulation Prepaid

    NYPAY: Regulation Prepaid
    Last week, DWT Consumer Financial Services team member Tom Scanlon spoke at the June NYPAY panel titled, “Regulating Prepaid: Balance Between Protecting Consumers & Promoting Payments”. NYPAY is a New York-based forum for…
  • Jun 15

    Consumer Financial Protection Bureau Law Enforcement: An Empirical Review

    Consumer Financial Protection Bureau Law Enforcement: An Empirical Review
    PLA today augments its popular UDAAP Enforcement Action Database page with a link to “Consumer Financial Protection Bureau Law Enforcement: An Empirical Review,” by Professor Christopher L. Peterson.  We hope you find it…
  • Jun 14

    Credit Card Data Breaches: Protecting Against Surprise

    Credit Card Data Breaches: Protecting Against Surprise
    For retailers, the costs involved with a credit card data breach go well beyond the immediate needs of retaining a privileged forensic investigator, hiring outside counsel and public relations and crisis management advisors, and notifying…
Rank this Week: 2568

Strictly Business

Strictly Business

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

http://www.strictlybusinesslawblog.com/
  • Jun 14

    5 Questions to Answer As You Prepare Your Startup for a Seed or Angel Round

    5 Questions to Answer As You Prepare Your Startup for a Seed or Angel Round
    Last month I wrote about the four stages of startup capital – (1) seed rounds, (2) angel rounds, (3) venture rounds, and (4) bridge/pre-ipo stage rounds. This month we’ll take a look at what startups need to do to prepare…
  • May 16

    Title III Crowdfunding Is Here

    Title III Crowdfunding Is Here
    Title III crowdfunding is here! The first funding portals can begin operations today, May 16, 2016. On Friday, I was a guest on the “This Week in Law” Podcast, where I talked about the impact this will have on startups, technology…
  • May 5

    The Founders’ Intro to Raising Startup Capital

    The Founders’ Intro to Raising Startup Capital
    For many startup founders, what led them into the risky but thrilling world of starting their own company was technology, innovation, the ability to affect the world, and the freedom of being their own boss. Learning the ins and outs of…
Rank this Week: 3374

Florida Banking Law Blog

Florida Banking Law Blog

Covers legal developments impacting banking, finance and loan enforcement in Florida. By Rogers Towers, PA.

http://www.floridabankinglawblog.com/
Rank this Week: 3901

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/
  • Jun 7

    CFTC Asserts Broader Jurisdiction over Digital Asset Exchanges, Levies $75,000 Fine

    CFTC Asserts Broader Jurisdiction over Digital Asset Exchanges, Levies $75,000 Fine
    The CFTC’s recent enforcement against Bitfinex’s financed trading activities demonstrates the Commission’s increasing interest in virtual currency and digital assets. The U.S. Commodity Futures Trading Commission (CFTC) is…
  • May 18

    Four Things You Need to Know About the Mauritius-India Protocol

    Four Things You Need to Know About the Mauritius-India Protocol
    International investors have frequently used Mauritius holding companies for their Indian investments, seeking to take advantage of the exemption under the India-Mauritius income tax treaty (the “Mauritius Treaty”) from Indian…
  • Apr 29

    SEC Issues Guidance Expanding the Private Fund and Venture Capital Fund Adviser Exemption

    SEC Issues Guidance Expanding the Private Fund and Venture Capital Fund Adviser Exemption
    President Obama signed into law the SBIC Advisers Relief Act (as part of the Fixing America’s Surface Transportation Act of 2015—the FAST Act) on December 4, 2015.  (See also our Annual Compliance Alert)  After the…
Rank this Week: 3768

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 2

    Hot Off the Press – Canadian Contractual Interpretation Law 3rd Edition

    Hot Off the Press – Canadian Contractual Interpretation Law 3rd Edition
    By McCarthy Tétrault LLP Geoff Hall, senior litigator at McCarthy Tétrault, authors the newly published third edition of Canadian Contractual Interpretation Law. The book clearly sets out the principles governing the…
  • Mar 3

    Canada’s early warning rules get tougher in May

    Canada’s early warning rules get tougher in May
    Canadian Securities Administrators adopt enhanced disclosure, retain 10% reporting threshold By McCarthy Tétrault LLP Along with the announcement on February 25, 2016 of final amendments to Canada’s take-over bid regime (see our…
  • Feb 26

    Canada’s New Take-Over Bid Rules Seek to Level the Playing Field

    Canada’s New Take-Over Bid Rules Seek to Level the Playing Field
    The Canadian Securities Administrators confirm the adoption of a harmonized Canadian take-over bid and issuer bid regime (including a 105 day minimum bid period), effective May 9, 2016 By McCarthy Tétrault LLP On February 25, 2016,…
Rank this Week: 4150

Private Funds Law Update

Private Funds Law Update

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

http://www.privatefundslaw.com/
  • Feb 18

    SEC Office of Compliance Inspections and Examinations Releases 2016 Exam Prioritie

    SEC Office of Compliance Inspections and Examinations Releases 2016 Exam Prioritie
    The SEC Office of Compliance Inspections and Examinations (“OCIE” or the “Staff”) released its 2016 Exam Priorities recently, as applicable to examined registrants other than national securities exchanges.  …
  • Jan 6

    New “Senior Managers Regime” to be introduced for all financial services firms, including the fund management sector

    New “Senior Managers Regime” to be introduced for all financial services firms, including the fund management sector
    The Government has confirmed that it will be pushing forward with extending the Senior Managers and Certification Regime to all financial services firms (including investment firms and fund managers), following the Fair and Effective Markets…
  • Nov 20

    AIFMD Passporting Update

    AIFMD Passporting Update
    EU regulated AIFMs promoting EU domiciled AIFs – We have lived with AIFMD since the full implementation date of 22 July 2014 with the marketing passport being available from that date for EU regulated AIFMs promoting EU…
Rank this Week: 4169

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: 2986

North Carolina Business Litigation…

North Carolina Business Litigation Report

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

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

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

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

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

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

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

    NC Business Court Revokes Pro Hac Vice Admission Of Out Of State Lawyer
    Judge McGuire came down pretty hard on a Florida attorney admitted pro hac vice (meaning "for this one particular occasion") by another Superior Court Judge, in McCarthy v. Hampton, 2016NCBC 4.  He revoked the lawyer's admission and…
Rank this Week: 4504