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Securities Fraud Attorney Blog

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

http://www.securitiesfraudattorneyblog.com/

Dec 9
Bloomberg Update on $383M Client Case v. Citigroup

Bloomberg Update on $383M Client Case v. Citigroup

Below is a piece by Bloomberg on our firm's $383 million claim against Citigroup. There's more on this case on the firm's website at http://www.riklawfirm.com/ Citigroup’s Mathur Said to Depart With Hybrid Traders as Pandit Cuts Jobs By…
Dec 1
American Lawyer Piece on Firm's Citigroup Case

American Lawyer Piece on Firm's Citigroup Case

Below is an American Lawyer piece which explains our clients' pending $383 million FINRA arbitration against Citigroup. It goes on to talk about how there are more and more large and complex cases at FINRA. It's true. As partner John Rich…
Nov 30
Bloomberg Piece on $383M Client Case v. Citigroup

Bloomberg Piece on $383M Client Case v. Citigroup

Below is Bloomberg piece about our client's $383 million FINRA arbitration claim against Citigroup Global Markets, Inc. related to hedge funds, private equity, and derivatives. Bloomberg Citigroup Saudi Deal Haunts Pandit By Donal Griffin -…

Rank this Week: 1777

Securities Law Blog

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

http://seclaw.blogspot.com/

May 17
FL Court Rules Statute of Limitations Apply in Arbitration

FL Court Rules Statute of Limitations Apply in Arbitration

We finally have a ruling on the questionable argument that is often advanced that the statute of limitations does not apply in arbitration. The argument is premised on a contorted interpretation of a Florida statute and requires one to…
May 14
SEC, FINRA Issue Investor Alert On Pension or Settlement Income Stream

SEC, FINRA Issue Investor Alert On Pension or Settlement Income Stream

The SEC and FINRA issued an investor alert entitled Pension or Settlement Income Streams – What You Need to Know Before Buying or Selling Them. The investor alert informs investors about the risks involved when selling their rights to…
Apr 23
FINRA Wants Your Facebook Account

FINRA Wants Your Facebook Account

You read that right, just as the SEC is embracing social media, FINRA wants access to brokers' Facebook accounts.We all know that an employer's demand for access to an employees Facebook account is illegal in many states, and probably illegal…

Rank this Week: 1185

Sharesleuth.com

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

http://sharesleuth.com/

Oct 15
Rockwell Medical countersues former drug-development executive

Rockwell Medical countersues former drug-development executive

Rockwell Medical Inc. (Nasdaq: RMTI) has filed a countersuit against its former chief medical officer, alleging that he overstated his qualifications, breached a confidentiality agreement and made false and defamatory statements about the…
Oct 2
Houston American says SEC probing its Colombian resource claim

Houston American says SEC probing its Colombian resource claim

Houston American Corp. (AMEX: HUSA) says the Securities and Exchange Commission’s investigation into the company appears to be focused on disclosures about the potential of its CPO-4 prospect in Colombia in late 2009 and early 2010.…
Jun 20
Former Rockwell Medical executive alleges SEC violation

Former Rockwell Medical executive alleges SEC violation

The former head of drug development at Rockwell Medical Technologies Inc. (Nasdaq: RMTI) says the company and its chief executive knowingly issued false and misleading press releases and violated other securities laws. Dr. Richard C. Yocum,…

Rank this Week: 1610

Southeast VC

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

http://southeastvc.blogs.com/southeast_vc/

Mar 15
SEVC - Quick Recap

SEVC - Quick Recap

David and I spent the last 2 days at the Southeast Venture Conference. The 7th annual conference was in Charlotte for the first time. The conference was completely sold out and I was told there was a long waiting list....
Mar 5
Southeast Venture Conference - Charlotte

Southeast Venture Conference - Charlotte

We're looking forward to the 2 day Southeast Venture Conference, which will be held next week in Charlotte. It is the first time Charlotte has hosted SEVC. I was in Charlotte yesterday for a few hours and there is definitely...
Dec 31
Andreessen Horowitz, NEA, Intel and Grotech Coming to Raleigh for Entrepreneurs' Serie

Andreessen Horowitz, NEA, Intel and Grotech Coming to Raleigh for Entrepreneurs' Serie

Join us for Entrepreneurs' Series: Venture Outlook in Raleigh the morning of January 30th. Check out the lineup and to register here. Panelists include: Jed Carlson, President and Co-Founder, ReverbNation Brian Carney, Principal, Harbert Andy…

Rank this Week: 1487

Special Assets Lawyer Blog

Covers bankruptcy, foreclosure, loan workouts and receiverships. By Richard A. Rogan.

http://www.specialassetslawyer.com/

Apr 12
Dick Rogan to Speak at SAMA Conference

Dick Rogan to Speak at SAMA Conference

I will be a panelist discussing "Specialized Loan Workouts" at the upcoming 4th Annual Special Assets Management Association conference to be held next week at the Santa Barbara Biltmore Hotel. My fellow panelists are the highly capable…
Apr 5
Can a Plan of Reorganization Separately Classify a Claim That Is Personally Guaranteed?

Can a Plan of Reorganization Separately Classify a Claim That Is Personally Guaranteed?

Recently, we've been seeing debtors try to confirm cram down plans of reorganization that are unfavorable to the secured creditor by "gerrymandering" the class of unsecured claims. The typical situation finds the secured creditor holding an…
Feb 12
Lenders: Beware of the Arizona "Two-Dollar Bankruptcy"

Lenders: Beware of the Arizona "Two-Dollar Bankruptcy"

Recently, my partner, Matt Kenefick, obtained a large judgment here in California against an Arizona resident. The desert rat refused to pay up voluntarily, hiding behind Arizona's unique and highly protective community property laws. The…

Rank this Week: 3758

Strictly Business

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

http://blog.alexanderdavie.com/

May 13
The JOBS Act, a Year Later – Part 4: Online Angel Investment Platform

The JOBS Act, a Year Later – Part 4: Online Angel Investment Platform

This post is the fourth in a series examining the impact of the Jumpstart Our Business Startups Act (or JOBS Act) one year after its passage and focuses on the provisions related to online angel investment platforms. In the last post of this…
May 12
Selling Your Business — Practical Tips for Sellers — Part 10: Indemnification (Part One)

Selling Your Business — Practical Tips for Sellers — Part 10: Indemnification (Part One)

This post was jointly written by Casey W. Riggs and Jennifer Wilson. This is part 10 of our series discussing the sale of a business from the seller’s perspective. We’ve covered commencement of a potential deal through…
Apr 29
Working Effectively with Your Lawyer: Five Tips to Effectively Engage and Use Legal Counsel

Working Effectively with Your Lawyer: Five Tips to Effectively Engage and Use Legal Counsel

Like it or not, most business owners will require legal counsel from time to time. In most circumstances, using legal counsel will be in the context of a transaction, like raising capital, buying a competitor, or bringing in a key…

Rank this Week: 503

That Credit Union Blog

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

http://thatcreditunionblog.wordpress.com

May 15
Credit Unions Capitalize On Mobile Banking Trend

Credit Unions Capitalize On Mobile Banking Trend

By Angie Picardo It’s no secret that mobile banking has exploded in the past five years. As smartphone and tablet saturation increases, consumers have begun to expect that their financial institution will offer a free mobile application…
May 13
Indirect Lending and the CFPB

Indirect Lending and the CFPB

By Jennifer Monty Rieker, Partner and Amy Clum Holbrook, Partner Earlier this week the Consumer Financial Protection Bureau (CFPB) issued guidelines for how indirect auto lenders can avoid violating the Equal Credit Opportunity Act…
May 9
The Consumer Financial Protection Bureau and Private Student Loan

The Consumer Financial Protection Bureau and Private Student Loan

By Timothy K. Spencer, Attorney Recently, the Consumer Financial Protection Bureau (CFPB) indicated an interest to delve further into overseeing and making recommendations concerning the private student loan market. Chiefly, the Bureau…

Rank this Week: 829

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

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

May 17
Shrug, Concur, and Move On

Shrug, Concur, and Move On

In a famous market manipulation that lead to multiple criminal convictions, the A.R. Baron brokerage engaged in a pump-and-dump scheme to induce customers to purchase the securities of small companies at artificially inflated prices. Among…
May 10
What Next?

What Next?

Based on the Supreme Court's recent decisions, a plaintiff is not required to prove the existence of loss causation (Halliburton) or materiality (Amgen) to certify an investor class. In the Halliburton case, however, the defendants pursued a…
Apr 26
Cornerstone Report On Accounting Case

Cornerstone Report On Accounting Case

Cornerstone Research has issued a study of 2012 securities class actions involving accounting allegations. The notable findings include: (1) The number of accounting filings fell from 78 in 2011 to 45 in 2012. Two factors that contributed to…

Rank this Week: 1095

The AAO Weblog

Deals with current accounting topics related to investment and finance. By Jack Ciesielski.

http://www.accountingobserver.com/PublicBlog/tabid/54/BlogId/1/Default.aspx

Nov 17
Fair Value Puzzles: M&T Buys Wilmington Trust

Fair Value Puzzles: M&T Buys Wilmington Trust

First-things-first disclosure: I own M&T Bank in my accounts and in accounts of clients.
Feb 25
For Your Reading Pleasure

For Your Reading Pleasure

Finished writing an Accounting Observer report on the FASB's recent amendments of revenue accounti
Feb 23
Deciding To Decide

Deciding To Decide

At an open meeting tomorrow morning, the SEC's commissioners "will consider whether to publish a statement regarding its continued support for a single-set of high-quality globally accepted accounting standards and its ongoing consideration…

Rank this Week: 2187

The Big Do-Over

Covers financial regulation. By Wendy Fried.

http://www.thebigdo-over.com/

Apr 28
Lloyd and Me: Goldman Hysteria, Revisited

Lloyd and Me: Goldman Hysteria, Revisited

In my last post, I suggested that the ranting in Congress over Goldman’s practices was a tad overdone, thus gleaning some interesting personal insults from Goldman-hating Seeking Alpha readers.Guys, ya got me; Lloyd Blankfein bribed me to…
Apr 27
Goldman Hysteria: Put Away Childish Thing

Goldman Hysteria: Put Away Childish Thing

Kenneth Griffin, head of the Citadel hedge fund, says it's "childish" to use the uproar over Goldman’s Abacus deal as a basis for regulatory reform.I feel ya, Ken. There are good reasons to be angry at Goldman, but this is turning into an…
Apr 21
Citi, the FCIC, and The End of History

Citi, the FCIC, and The End of History

Yesterday I saw a preteen kid wearing a T-shirt that said: “I’m surrounded by idiots.” Bill Thomas, Vice Chair of the Financial Crisis Inquiry Commission, should totally have worn that shirt to the Commission’s last hearing.As former…

Rank this Week: 3812

The Journal of the Business Law…

The Journal of the Business Law Society

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

http://www.law.uiuc.edu/bljournal/

Mar 26
Entrepreneurship in Brazil

Entrepreneurship in Brazil

Bolivians, mainly members of affected indigenous groups, protested the Brazilian construction company OAS’s project to build a road through a remote Bolivian indigenous territory. Meanwhile, citizens of Argentina, Paraguay, and…
Feb 23
Entrepreneurship in Turkey

Entrepreneurship in Turkey

Although Turkey is often considered an emerging market, and indeed has many positive attributes that make it an attractive place to invest and do business, it is not a hotbed of entrepreneurship; and until it receives more governmental and…
Dec 7
Shadow banking: Help is on the Way

Shadow banking: Help is on the Way

Despite being recognized as a primary culprit of the financial crisis, shadow banking has continued to flourish. According to the Financial Stability Board (FSB), shadow banking has grown since the onset of the crisis from $62 trillion…

Rank this Week: 1588

The PSLRA Nugget

Covers securities class action case law. By Christopher S. Jones.

http://pslranugget.blogspot.com/

Feb 3
The Nugget is Moving to a New Home

The Nugget is Moving to a New Home

Please update your bookmarks, as the PSLRA Nugget is moving to a new easier to remember website address. Also if you are getting this by email, and you would like to continue getting it that way, you just need to go to
Feb 2
Yes Shorter is Better (at least in legal briefing)

Yes Shorter is Better (at least in legal briefing)

OK, you know who you are. The serial page extension requesters. But Judge, we have to have 100 pages to explain it. I know, I know, we've all done it. And yes I agree sometimes it's necessary. But District Judge Joy Flowers Conti…
Mar 18
Confidential Sources Still Alive & Kicking

Confidential Sources Still Alive & Kicking

What's that? You thought Tellabs banned confidential witnesses? Well, let's not get carried away here, as there's certainly at least two ways to read that opinion. Of course, after the 7th Circuit decided Higginbotham v. Baxter, it was…

Rank this Week: 1174

The Reverse Merger & SPAC Blog

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

http://reversemergerblog.com

Nov 26
Flash: Schapiro Stepping Down as SEC Chair

Flash: Schapiro Stepping Down as SEC Chair

SEC Chairman Mary Schapiro announced this morning that she is leaving her job effective December 14. This was widely expected. The short span from announcement to departure was not as widely expected. Rumors floating name a Treasury…
Nov 23
Reverse Merger Market Improving

Reverse Merger Market Improving

We learn from the latest DealFlow Report that November has already been the best month for reverse mergers since June. Eight deals have already been completed this month. If one more gets done then it will tie November of last year.
Nov 17
The (Good?) Old Days Part VI – Speech Recognition

The (Good?) Old Days Part VI – Speech Recognition

As I try to be slightly ahead of the curve I am here to say that much is about to change in the world of technology in the 10 or so years to come. Namely: thanks in part to Apple’s dive into the speech recognition software world with the…

Rank this Week: 1628

The Swap Report

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

http://www.theswapreport.com/

May 14
A Practical Guide to Lender Compliance with Eligible Contract Participant (ECP) Requirement

A Practical Guide to Lender Compliance with Eligible Contract Participant (ECP) Requirement

By David Surbeck, Reed Smith LLP In the attached piece, David Surbeck of Reed Smith LLP offers practical insights about the documentation of eligible contract participant (ECP) provisions in the context of single bank loan and syndicated…
May 11
CFTC Open Meeting Scheduled for 5/16 at 9:30 a.m. Eastern: Block Sizes, Made Available to Trade, SEFs and Anti-disruptive Trading Practice

CFTC Open Meeting Scheduled for 5/16 at 9:30 a.m. Eastern: Block Sizes, Made Available to Trade, SEFs and Anti-disruptive Trading Practice

The proposed agenda covers: Minimum Block Sizes for Swaps; The "Made Available to Trade" Rule Under section 2(h)(8) of the Commodity Exchange Act and Swap Transaction Compliance and Implementation Schedule; Core…
May 1
A Practical Guide to the Eligible Contract Participant (ECP) Definition: A Q&A for Banks and Borrower

A Practical Guide to the Eligible Contract Participant (ECP) Definition: A Q&A for Banks and Borrower

By Andrew Cross, Crystal Travanti and Tom Watterson of Reed Smith LLP We have prepared the above-referenced guide to the eligible contract participant ("ECP") definition under section 1a(18) of the Commodity Exchange Act ("CEA"). …

Rank this Week: 1229

The Venture Alley

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

http://www.theventurealley.com

May 14
Investigative Crises: Surviving Until Help Arrive

Investigative Crises: Surviving Until Help Arrive

Article prepared by and republished courtesy of our colleagues in the White Collar, Corporate Crime and Investigations practice group of DLA Piper; originally published here:…
May 12
2013 Private Equity Survey Indicates Cautious Optimism

2013 Private Equity Survey Indicates Cautious Optimism

CONTRIBUTED BYMegan Muirmegan.muir@dlapiper.com The 2013 Private Equity Survey of McGladrey, done by the research unit of SourceMedia, indicates growth and optimism in the PE sector although the funds remain cautious about the broader…
May 8
Pitching Angel Investors: Advice from Jonathan Sposato

Pitching Angel Investors: Advice from Jonathan Sposato

CONTRIBUTED BYMegan Muirmegan.muir@dlapiper.com Investor and serial entrepreneur Jonathan Sposato has seen enough startup pitches in his day to know what he likes. In this Geekwire post from earlier this year, he shares…

Rank this Week: 815

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/

May 20
Corp Fin Issues 15 New & Revised CDIs: Spring Cleaning

Corp Fin Issues 15 New & Revised CDIs: Spring Cleaning

Corp Fin Issues 15 New & Revised CDIs: Spring Cleaning Last week, Corp Fin issued a batch of 15 new and revised Compliance & Disclosure Interpretations in both the '33 and '34 Act contexts. Sort of a hodge podge. Here...
May 17
The SEC Staff Speaks on Whistleblower Development

The SEC Staff Speaks on Whistleblower Development

The SEC Staff Speaks on Whistleblower Developments In this half-hour podcast, Sean McKessy, Chief of the SEC's Office of the Whistleblower brings us up-to-date on what is happening in his Office, including: - How do you like the job so...
May 16
Corp Fin's New Director: The Mighty Keith Higgins! (& Lona Nallengara Becomes SEC's Chief of Staff)

Corp Fin's New Director: The Mighty Keith Higgins! (& Lona Nallengara Becomes SEC's Chief of Staff)

Corp Fin's New Director: The Mighty Keith Higgins! (& Lona Nallengara Becomes SEC's Chief of Staff) It couldn't happen to two nicer guys. Keith Higgins was tapped yesterday to become Corp Fin's Director - and Acting Director Lona…

Rank this Week: 385

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: 2021

VentureBlog

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

http://ventureblog.com/

Jun 7
Ten Years of Venture Capital: Just Getting Started

Ten Years of Venture Capital: Just Getting Started

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

What a Fucking Waste of Time

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

Why the Time for Mobile is Now

I was at a party the other night to celebrate the first anniversary of Nokia's "Ideas Project." The "Ideas Project" is an effort to bring together a diverse group of smart folks to share their thoughts on the evolution of media.

Rank this Week: 2452

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