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The Race to the Bottom

The Race to the Bottom

A faculty-student collaboration on corporate governance. By Professor J. Robert Brown, Jr.

http://www.theracetothebottom.org/
  • Aug 28

    The SEC and Administrative Proceedings (Part 2)

    The SEC and Administrative Proceedings (Part 2)
    We are discussing some of the issues raised by Peter Henning in his DealBook column, The S.E.C.’s Use of the ‘Rocket Docket’ Is Challenged.   In any event, the limits on discovery, the fact that ALJ decisions are…
  • Aug 26

    The SEC and Administrative Proceedings (Part 1)

    The SEC and Administrative Proceedings (Part 1)
    Peter Henning wrote an interesting piece over at DealBook on the SEC's use of administrative proceedings in place of actions in federal district court.  See The S.E.C.’s Use of the ‘Rocket Docket’ Is Challenged.…
  • Aug 26

    Morrison, the Second Circuit, and the Reverse Effects Test: ParkCentral Global Hub Limited v. Porsche Automobile Holdings (Part 2)

    Morrison, the Second Circuit, and the Reverse Effects Test: ParkCentral Global Hub Limited v. Porsche Automobile Holdings (Part 2)
    We are discussing the Second Circuit's decision in ParkCentral Global Hub Limited v. Porsche Automobile Holdings, a case that effectively created a "reverse effects test" that was contrary to the Supreme Court's analysis…
Rank this Week: 22

Financial Counsel

Financial Counsel

Covers compliance, employment and industry intelligence for investment professionals and investment, planning and regulatory intelligence for investors. By James J. Eccleston.

http://financialcounselblog.com
  • May 25

    FINRA Chief Executive Richard Ketchum Will Focus on the Hiring of Bad Brokers and Firm Culture

    FINRA Chief Executive Richard Ketchum Will Focus on the Hiring of Bad Brokers and Firm Culture
    From the Desk of Jim Eccleston at Eccleston Law LLC:At the Financial Industry Regulatory Authority Inc.’s annual conference in Washington, FINRA Chairman and Chief Executive Richard G. Ketchum pointed out that a broker with a worrisome…
  • May 24

    Alternative Investment Strategy for All

    Alternative Investment Strategy for All
    From the Desk of Jim Eccleston at Eccleston Law LLC:Today’s market environment demands a system of asset allocation that reaches beyond traditional stock and bond portfolios. The new-age investor seeks alternative investments in order…
  • May 23

    New Hampshire Investment Adviser Fined and Barred from Association with Securities Industry

    New Hampshire Investment Adviser Fined and Barred from Association with Securities Industry
    From the Desk of Jim Eccleston at Eccleston Law LLC:After discovering that David F. Brochu had been permanently barred from any securities industry dealings in the state of New Hampshire, the SEC barred Brochu from an association with any…
Rank this Week: 60

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • May 25

    FINRA Sanctions Broker Peyton Jackson Over Outside Business Activitie

    FINRA Sanctions Broker Peyton Jackson Over Outside Business Activitie
    The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Peyton Jackson (Jackson).  According to BrokerCheck records Jackson has been subject…
  • May 25

    Customers File Complaints Against Barry Jin Over Unauthorized Trade

    Customers File Complaints Against Barry Jin Over Unauthorized Trade
    The securities lawyers of Gana LLP are investigating customer complaints against broker Barry Jin (Jin).  There are at least three customer complaints against Jin.  The customer complaints against Jin allege a number of securities…
  • May 24

    Gana LLP Files Claim On Behalf of Vertical Recovery Fund Investor

    Gana LLP Files Claim On Behalf of Vertical Recovery Fund Investor
    The investment attorneys at Gana LLP have recently filed a case on behalf of an investor in the Vertical Fund private placements.  The investor purchased a Vertical Fund private placement through Financial West Group broker Jeffrey…
Rank this Week: 95

Representing Investors

Representing Investors

Covers securities arbitration, litigation and regulatory news. By Maddox Hargett & Caruso, P.C.

http://www.investorprotection.com/blog
Rank this Week: 109

The White Law Group's Securities…

The White Law Group's Securities Fraud Blog

Covers securities fraud cases, investment fraud practices and securities industry regulations.

http://www.whitesecuritieslaw.com/securities-fraud/blog/
  • May 22

    Former advisor Gregg Caplitz sentenced.

    Former advisor Gregg Caplitz sentenced.
    According to reports, Gregg Caplitz, an investment advisor from Wilmington, Massachusetts, recently received a three-and-a-half year prison sentence for allegedly telling clients he would invest their money in a hedge fund but instead…
  • May 18

    UDF IV releases results of internal investigation.

    UDF IV releases results of internal investigation.
    According to reports, UDF IV has announced that it had conducted an independent investigation of its business and found no evidence of fraud. UDF IV was listed on the Nasdaq in June 2014. In December, an anonymous post on an investor…
  • May 18

    Raymond James fined by FINRA.

    Raymond James fined by FINRA.
    According to various reports, regulators have fined Raymond James $17 million, accusing the financial services firm of widespread failures in its controls against money laundering. The Financial Industry Regulatory Authority (a/k/a FINRA)…
Rank this Week: 124

Recover Investment Losses Blog

Recover Investment Losses Blog

Covers investment scams, broker fraud and broker negligence. By Rex Securities Law.

http://blog.rexsecuritieslaw.com
  • May 26

    James P. Scullin-Former UBS Broker-Discloses $7 Million Customer Complaint

    James P. Scullin-Former UBS Broker-Discloses $7 Million Customer Complaint
    Coral Gables, Florida According to FINRA records, James P. Scullin ,  a broker who worked for UBS Financial Services from 6/2011-11/2014 discloses that he was discharged by UBS Financial in October 2014. He also…
  • May 26

    How to Recover Damages for Losses on Oil and Gas Investments Purchased from PTX Securitie

    How to Recover Damages for Losses on Oil and Gas Investments Purchased from PTX Securitie
    Investors suffering losses on oil and gas investments purchased from PTX Securities of Plano, Texas, may be able to recover damages through FINRA arbitration. PTX Securities (fka Balanced FInancial Securities) was sanctioned by FINRA in April…
  • May 26

    PTX Securities Sanctioned Over Oil & Gas Investments by Securities Regulator

    PTX Securities Sanctioned Over Oil & Gas Investments by Securities Regulator
    Plano Texas- April 2016 PTX Securities  LLC (formerly Balanced Financial Securities) entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that…
Rank this Week: 190

California Corporate & Securities…

California Corporate & Securities Law

Covers California securities law, corporate governance, mergers & acquisitions and securities litigation. By Keith Paul Bishop.

http://calcorporatelaw.com/
Rank this Week: 172

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • May 25

    Alan Cashaw Received Suspension from Securities Industry

    Alan Cashaw Received Suspension from Securities Industry
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 23, 2016 indicate that former Pennsylvania-based FSC Securities broker Alan Cashaw, Jr. is currently not registered with any state or firm. The…
  • May 25

    Frank Capuano Has Regulatory Sanction

    Frank Capuano Has Regulatory Sanction
    Publicly available records provided by the Financial Industry Regulatory Authority on May 23, 2016 indicate that former Massachusetts-based Royal Alliance Associates broker Frank Capuano has been sanctioned by FINRA. The securities and…
  • May 25

    Energy Company SunEdison Files for Bankruptcy

    Energy Company SunEdison Files for Bankruptcy
    According to public records and the Los Angeles Times, energy developer SunEdison has filed for bankruptcy. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding…
Rank this Week: 195

Securities Law Attorneys Blog

Securities Law Attorneys Blog

Covers securities law. By Fitapelli | Kurta.

http://www.securitieslawattorneys.net/
  • May 25

    Gerard Fagnant is Permanently Barred From Securities Industry

    Gerard Fagnant is Permanently Barred From Securities Industry
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 23, 2016 indicate that former Massachusetts-based LPL Financial broker Gerard Fagnant has been permanently barred from acting as a broker or…
  • May 25

    Brokerage Feltl Gets FINRA Sanction

    Brokerage Feltl Gets FINRA Sanction
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on May 23, 2016 indicate that Minnesota-based brokerage firm Feltl & Company has been sanctioned by FINRA for allegedly charging excessive sales…
  • May 25

    Patrick Mackaronis (Wells Fargo) Not a Licensed Broker

    Patrick Mackaronis (Wells Fargo) Not a Licensed Broker
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 23, 2016 indicate that former New Jersey-based Wells Fargo broker Patrick Mackaronis is currently not licensed to act as a broker or an…
Rank this Week: 180

Page Perry LLC Blog

Page Perry LLC Blog

Covers securities broker abuses, early retirement scams, elder abuses, subprime mortages, collateralized debt obligations, and annuities.

http://www.pageperry.com/blog/
  • Jul 16

    CYNK Latest Wall Street Trap?

    CYNK Latest Wall Street Trap?
    Cynk is a social network company that has no revenue, no assets, and no profits. Until last week, it was the hottest stock on Wall Street, according to a Business Insider report by Hunter Walker and Julia La Roche (July 14, 2014).  Its…
  • Jul 14

    Former LPL Broker Jason Parker Leaves Trail Of Complaint

    Former LPL Broker Jason Parker Leaves Trail Of Complaint
    By law, a broker has to recommend suitable investments. To be considered suitable, an investment should align with the client’s investment objectives. Dumping all client funds into a single foreign stock, despite the client’s low…
  • Jun 13

    Pension Advisers Fall Under Scrutiny

    Pension Advisers Fall Under Scrutiny
    The problem of conflicts of interest for pension advisers attracted Congressional attention, according to a Wall Street Journal article by Dan Fitzpatrick  (June 9, 2014).  U.S. Representative George Miller (D., Calif.) has written…
Rank this Week: 201

Stock Broker Fraud Blog

Stock Broker Fraud Blog

Covers broker fraud, investor fraud, marketing timing, and securities fraud. By Shepherd Smith Edwards & Kantas.

http://www.stockbrokerfraudblog.com/
  • Dec 31

    Puerto Rico Will Make $330M in Bond Payments, Defaults on About $37M

    Puerto Rico Will Make $330M in Bond Payments, Defaults on About $37M
    The U.S. Commonwealth of Puerto Rico will pay about $330 million of what it owes on general obligation bonds, while defaulting on bonds of approximately $37 million that are mostly owed to the Puerto Rico Infrastructure Financing Authority…
  • Dec 26

    Man Released from Prison Faces New Fraud Charges in $11M Investor Stock Scam

    Man Released from Prison Faces New Fraud Charges in $11M Investor Stock Scam
    The Securities and Exchange Commission is charging Edward Durante with bilking investors once again. Durante, who already served a 10-year sentence for a previous securities fraud conviction, is accused of using different aliases to defraud…
  • May 23

    Emotions Make Older Investors More Vulnerable to Fraud, Says FINRA/Stanford/AARP Study

    Emotions Make Older Investors More Vulnerable to Fraud, Says FINRA/Stanford/AARP Study
    According to research, some financial fraudsters may try to manipulate investors by getting them to feel strong emotions so that they will hand over their money, and older investors are the ones who most vulnerable to this type of…
Rank this Week: 269

New York Securities Lawyer Blog

New York Securities Lawyer Blog

Covers securities law. By Lax & Neville LLP.

http://www.newyorksecuritieslawyerblog.com/
Rank this Week: 227

Florida Securities Fraud Lawyer…

Florida Securities Fraud Lawyer Blog

Covers securities fraud, investor fraud and Ponzi schemes. By McCabe Rabin, P.A.

http://www.floridasecuritiesfraudlawyerblog.com/
  • May 20

    Crowdfunding and Securities?  What?!

    Crowdfunding and Securities?  What?!
    As many readers may know, “crowdfunding” is a modern innovation for raising money.  Typically using internet sites like Indiegogo, Kickstarter, or GoFundMe, a person can set up a website to raise money to develop a product or…
  • May 12

    Investment Advisor Fraud – Who You Gonna Sue?

    Investment Advisor Fraud – Who You Gonna Sue?
    Here’s something you probably don’t think about when you hire an investment advisor: who will I be able to sue if this person steals my money? Maybe you should think about it. If you’re dealing with a major brokerage firm…
  • May 12

    Investment Advisor Fraud – Who You Gonna Sue?

    Investment Advisor Fraud – Who You Gonna Sue?
    Here’s something you probably don’t think about when you hire an investment advisor: who will I be able to sue if this person steals my money? Maybe you should think about it. If you’re dealing with a major brokerage firm…
Rank this Week: 246

Institutional Investor Securities…

Institutional Investor Securities Blog

Covers investment fraud involving auction-rate securities, credit rating agencies, hedge funds and mortgage-backed securities. By Shepherd Smith Edwards & Kantas.

http://www.institutionalinvestorsecuritiesblog.com/
  • Dec 31

    SEC’s Report Evaluates The Definition of An Accredited Investor

    SEC’s Report Evaluates The Definition of An Accredited Investor
    The U.S. Securities and Exchange Commission (SEC) has put out a report assessing the definition of who qualifies as an accredited investor. The 2010 Dodd-Frank Act mandates that this definition be reevaluated every four years. Accredited…
  • Dec 29

    Wells Fargo Sued by Commerz Bank in Mortgage-Backed Securities Case

    Wells Fargo Sued by Commerz Bank in Mortgage-Backed Securities Case
    Commerzbank is suing Wells Fargo (WFC) for losses sustained on failed mortgage-backed securities (MBS). The German finance firm claims the California lending giant did not properly supervise MBS during the housing bubble, which Commerzbank…
  • May 19

    Former UBS Trader is Helping Prosecutors Pursue Forex Rigging Cases Against Individual

    Former UBS Trader is Helping Prosecutors Pursue Forex Rigging Cases Against Individual
    Bloomberg reports that according to sources, Matt Gardiner, a former UBS Group AG (UBS) trader who was part of the instant-messaging group the federal government identified when obtaining guilty pleas from Barclays PLC (BARC), Royal Bank of…
Rank this Week: 377

DealLawyers.com Blog

DealLawyers.com Blog

Covers mergers & acquisitions. From editor Broc Romanek, who is also editor of TheCorporateCounsel.net.

http://www.deallawyers.com/Blog/
  • May 26

    Taking Action That Affects The Shareholder Vote? Expect the “Gimlet Eye”

    Taking Action That Affects The Shareholder Vote? Expect the “Gimlet Eye”
    Here’s the intro for this Orrick memo: On May 19, 2016, the Delaware Chancery Court preliminarily enjoined the directors of Cogentix Medical from reducing the size of the company’s board because, under the facts presented, there…
  • May 25

    Transcript: “M&A Research – Nuts & Bolts”

    Transcript: “M&A Research – Nuts & Bolts”
    We have posted the transcript for our recent webcast: “M&A Research: Nuts & Bolts.”
  • May 24

    Private Deal Terms Study

    Private Deal Terms Study
    In this 101-page study, SRS Acquiom analyzes the deal terms of 735 private-target acquisitions valued at $137 billion, to assist you in deal structuring and negotiation and bring you a robust view of the private-target M&A…
Rank this Week: 327

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
  • May 18

    SEC Can't Reach Federal Inmate For Telephonic Hearing

    SEC Can't Reach Federal Inmate For Telephonic Hearing
    Daniel Christian Stanley Powell founded and operated Christian Stanley, Inc. When you go by four different names, I guess it’s pretty easy to harvest two of those for use in your own business. Moving on from that observation, the…
  • May 18

    Love And Marriage On Wall Street

    Love And Marriage On Wall Street
    What if the spouse or domestic partner of a stockbroker or trader wants to open an account at a brokerage firm other than the one employing the registered person? Is there an important difference between the registered rep "opening" an…
  • May 18

    EMPLOYMENT TUESDAY at BrokeAndBroker.com

    EMPLOYMENT TUESDAY at BrokeAndBroker.com
    The BrokeAndBroker.com Employment PageStockbroker, Compliance, Legal, and Regulatory Jobssearch by title, skills, job, city, state, zip, and companyThe BrokeAndBroker.com Employment Page...
Rank this Week: 287

InvestorLawyers.net

InvestorLawyers.net

Covers the right to recover money from dishonest stockbrokers and investment advisers.

http://www.investorlawyers.net/blog/
  • Feb 19

    Former InterSecurities Broker Harry Hammond Suspended For Unapproved PIPE Transaction

    Former InterSecurities Broker Harry Hammond Suspended For Unapproved PIPE Transaction
    According to the Financial Industry Regulatory Authority (FINRA), former InterSecurities, Inc (InterSecurities), now known as Transamerica Financial Advisors, Inc. (Transamerica), broker Harry Hammond (Hammond) was suspended from the…
  • Feb 19

    36 Oil and Gas Companies Filed For Bankruptcy In 2015

    36 Oil and Gas Companies Filed For Bankruptcy In 2015
    Law Office of Christopher J. Gray wishes to alert investors to the possibility that recommendations of oil and gas investments by broker-dealers may be unsuitable, depending on the individual characteristics of investors and whether the…
  • Feb 19

    Customer Complaints Made Against Broker Robyn H. Lee Regarding TIC

    Customer Complaints Made Against Broker Robyn H. Lee Regarding TIC
    According to the Financial Industry Regulatory Authority (FINRA), former Independent Financial Group (Independent), broker Robyn H. Lee (Lee) has had at least thirteen (13) customer complaints made against him, mostly involving sales of…
Rank this Week: 360

Ponzitracker

Ponzitracker

Covers Ponzi schemes. By Jordan Maglich.

http://www.ponzitracker.com/
  • Jan 27

    SEC Charges Wisconsin Man With $10.4 Million Ponzi Scheme

    SEC Charges Wisconsin Man With $10.4 Million Ponzi Scheme
    A Wisconsin man was charged by the Securities and Exchange Commission with operating a Ponzi scheme that took in more than $10 million from at least 122 investors.  Loren Holzhueter, 69, was the subject of an emergency enforcement action…
  • Jan 26

    Ohio CPA Gets 21 Years For Role In $40 Million Ponzi Scheme

    Ohio CPA Gets 21 Years For Role In $40 Million Ponzi Scheme
    An Ohio man was sentenced to serve twenty-one years in federal prison for his role in funnelling investors to the massive "Black Diamond" Ponzi scheme that ultimately duped over 400 investors out of at least $40 million.  Jonathan…
  • Jan 26

    California Men Plead Guilty To $100 Million ATM Ponzi Scheme

    California Men Plead Guilty To $100 Million ATM Ponzi Scheme
    Two California men have entered guilty pleas to operating a massive Ponzi scheme that allegedly caused losses of over $100 million to victims who thought they were investing in a profitable ATM leasing operation.  Joel Barry Gillis, 74,…
Rank this Week: 367

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: 317

Securities Litigation and…

Securities Litigation and Regulatory Enforcement Blog

Covers SEC investigations, insider trading, derivative actions, white collar defense, and whistleblowers. By Orrick, Herrington & Sutcliffe LLP.

http://blogs.orrick.com/securities-litigation/
Rank this Week: 609

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • May 26

    Auditor Independence: Unintended Consequences of “Loan Rule” Violation

    Auditor Independence: Unintended Consequences of “Loan Rule” Violation
    The disclosure in this Form 8-K filed by Invesco reflects a question posed to the Big 4 recently by the SEC Staff. This position by the SEC seems like it could ultimately impact clients of the Big 4 if a passive investor (eg. large bank)…
  • May 25

    Non-GAAP Measures: Are The New CDIs Kosher?

    Non-GAAP Measures: Are The New CDIs Kosher?
    The first thing I need to note is that I have moved up the date of our webcast – “Non-GAAP Disclosures: What Is Permissible?” – to Thursday, June 9th at 11 am eastern. Meredith Cross has joined the all-star panel too.…
  • May 24

    The SEC’s Reg Flex Agenda: Looking Ahead to 2017?

    The SEC’s Reg Flex Agenda: Looking Ahead to 2017?
    As I have blogged many times (here’s one), the SEC’s Reg Flex Agendas tend to be “aspirational” – and experience bears that out as the SEC often misses its “target” deadlines. I actually loathe…
Rank this Week: 556

Corporate Securities Law Blog

Corporate Securities Law Blog

Focuses on complliance, corporate governance, disclosure, mergers and tax issues. By Sheppard Mullin.

http://www.corporatesecuritieslawblog.com/
Rank this Week: 452

Securities Law Prof Blog

Securities Law Prof Blog

Covers securities arbitration, state securities law, court decisions and law review articles. By Eric C. Chaffee.

http://lawprofessors.typepad.com/securities/
  • Apr 28

    Call for Papers AALS Section on Securities Regulation - 2017 AALS Annual Meeting

    Call for Papers AALS Section on Securities Regulation - 2017 AALS Annual Meeting
    The AALS Section on Securities Regulation invites papers for its program on “Securities Regulation and Technological Change” at the 2017 AALS annual meeting. TOPIC DESCRIPTION: This panel discussion will explore the intersection of…
  • Apr 28

    Save the Date: Central States Law Schools Scholarship Conference

    Save the Date: Central States Law Schools Scholarship Conference
    The Central States Law Schools Association 2016 Scholarship Conference will be held on Friday, September 23 and Saturday, September 24 at the University of North Dakota School of Law in Grand Forks, ND. CSLSA is an organization of law…
  • Apr 28

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: Ivet A. Bell, Note, The Constitutionality of the SEC Pay to Play Rule: Why 206(4)-5 Survives the Deregulatory Trend in Campaign Finance, 49…
Rank this Week: 619

California Securities Fraud Lawyer…

California Securities Fraud Lawyer Blog

Covers securities regulation, fiduciaries, and securities disputes news and updates. Published By Alcala Law Firm.

http://www.californiasecuritiesfraudlawyerblog.com/
  • Dec 31

    A Securities Lawyer's Top 10 Tips for Senior Investor

    A Securities Lawyer's Top 10 Tips for Senior Investor
    Reject aggressive salespeople. Don't feel pressured to act quickly. Give yourself time to do your homework. Don't be afraid to say "no." Request to be put on the "do not call" list. Ask questions. Ask what licenses the salesperson has. Get…
  • Nov 10

    Investor Alert: Magnum Hunter Resources to be Delisted

    Investor Alert: Magnum Hunter Resources to be Delisted
    Today, the New York Stock Exchange (NYSE) announced their decision to proceed with delisting Magnum Hunter Resources Corporation (NYSE: MHR). Trading in MHR's common stock will be suspended immediately causing irreparable harm to many main…
  • Oct 8

    Leveraged & Inverse ETFs: Public Enemy Number One

    Leveraged & Inverse ETFs: Public Enemy Number One
    By now, readers of this blog are hopefully aware that we are very negative on the marketing and sale of leveraged and inverse exchange-traded funds ("ETFs") to average investors. The New York Times recently published a news piece declaring…
Rank this Week: 442

White Collar Fraud

White Collar Fraud

Covers white collar crime, securities fraud, the accounting profession, internal controls and Sarbanes-Oxley. By Sam E. Antar.

http://whitecollarfraud.blogspot.com/
  • Mar 30

    Overstock.com Hatchet Man Judd Bagley's Downward Spiral: Junkie, Confessed Criminal, Admitted Adulterer

    Overstock.com Hatchet Man Judd Bagley's Downward Spiral: Junkie, Confessed Criminal, Admitted Adulterer
    In the years that I’ve written extensively about Overstock.com (NASDAQ: OSTK), I have always been amazed about its bizarre CEO Patrick Byrne and the gang of misfits he has surrounded himself with. By far, the worst was a real loser…
  • Feb 5

    Crook vs. Crook: Why Former Congressman Michael Grimm is a Dumb Crook

    Crook vs. Crook: Why Former Congressman Michael Grimm is a Dumb Crook
    In my first segment of a series of Op-ed articles about white-collar crime on CNBC, I examine the case of former Republican Congressman Michael Grimm who recently pleaded guilty to income tax evasion and awaits sentencing on June 8, 2015.New…
  • Dec 31

    White Collar Fraud List of Blog Posts for 2014

    White Collar Fraud List of Blog Posts for 2014
    December 19, 2014: Cleveland.com - Crazy Eddie CFO shares how companies trick auditors and fleece investors: Plain Dealing, by Sheryl HarrisDecember 3, 2014: Going Concern - Ex-Crazy Eddie CFO's 10 Tips for Advancing Your Accounting Career by…
Rank this Week: 579

Securities Lawyer 101

Securities Lawyer 101

Covers securities enforcement, securities law and going public matters. By Hamilton & Associates.

https://www.securitieslawyer101.com/blog/
  • Jan 1

    Going Public Blog l Securities Lawyer 101

    Going Public Blog l Securities Lawyer 101
    Going Public Lawyer  Securities Lawyer 101 Blog Going public is a big step for any company.  The process of “going public” is complex and at times precarious.  While going public offers many benefits it also comes…
  • Jan 1

    Going Public Blog l Securities Lawyer 101

    Going Public Blog l Securities Lawyer 101
      Securities Lawyer 101 Blog Going public is a big step for any company.  The process of “going public” is complex and at times precarious.  While going public offers many benefits it also comes with risks and…
  • May 1

    Court Enters Final Judgments in Sky Capital Boiler Room Case

    Court Enters Final Judgments in Sky Capital Boiler Room Case
    Going Public LawyerThe Securities and Exchange Commission (“SEC”) announced that on April 8th the Honorable Paul A. Crotty of the United States District Court for the Southern District of New York entered final judgments on…
Rank this Week: 996

The D & O Diary

The D & O Diary

News and commentary on Directors and Officers Liability. By Kevin M. LaCroix.

http://www.dandodiary.com/
  • May 25

    Divided Loyalties? Defense Counsel in M&A Litigation

    Divided Loyalties? Defense Counsel in M&A Litigation
    What is the role of defense counsel in deal litigation? What impact does the involvement of “top” deal litigation firms have on lawsuit outcomes? And what will the impact on deal litigation be from the advent of forum selection…
  • May 24

    Under Morrison, U.S. Securities Laws Don’t Apply to Toshiba’s Unsponsored ADRs Purchased OTC in the U.S.

    Under Morrison, U.S. Securities Laws Don’t Apply to Toshiba’s Unsponsored ADRs Purchased OTC in the U.S.
    It has been nearly six years since the U.S. Supreme Court’s landmark 2010 decision in Morrison v. National Australia Bank, in which the Court restricted the ability of shareholders of non-U.S. companies who purchased their shares…
  • May 23

    Two Cities in Canada

    Two Cities in Canada
    The D&O Diary was on assignment in Canada last week for meetings and to attend a PLUS Canadian Chapter event in Montréal. It was a short sunlit visit to our Northern neighbor, but it was just long enough for a bit of foreign…
Rank this Week: 655

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • 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…
  • Apr 15

    DOL Fiduciary Rule: Part I

    DOL Fiduciary Rule: Part I
    After much nail-biting by many in the industry, the Department of Labor (DOL) recently released its anticipated and long-awaited final fiduciary rule, which it touts as the fulfillment of its mission to protect the retirement of investors…
Rank this Week: 1121

Securities Compliance Sentinel

Securities Compliance Sentinel

Covers securities industry compliance and enforcement issues. By Fox Rothschild LLP.

http://securitiescompliancesentinel.foxrothschild.com
  • May 23

    SEC Announces Third Largest Whistleblower Award

    SEC Announces Third Largest Whistleblower Award
    Business Insurance reported late last week that the Securities and Exchange Commission will award $5-6 million to a whistleblower who provided information on securities violations that would have been “nearly impossible” for…
  • May 23

    So you think you want to invest in medical marijuana

    So you think you want to invest in medical marijuana
    By most recent estimates, the medical marijuana business is generating at least $4.5 billion a year in revenue. Naturally, many people want to cultivate their own opportunities in this ever growing business. Now that Pennsylvania has become…
  • May 18

    Take Away From The NSCP New York Regional Conference

    Take Away From The NSCP New York Regional Conference
    It was great speaking at the May 17 New York NSCP regional conference on risk issues facing firms where Ernie Badway and I discussed cyber-security, risk issues, regulatory matters, issues involving elder clients and ways compliance personnel…
Rank this Week: 696

Federal Securities Law Blog

Federal Securities Law Blog

FedSecLaw.com is devoted to highlighting current issues in securities laws, discussing the ramifications of those issues for today’s businesses, and providing bottom-line takeaways for busy owners, managers, and executives. By Porter Wright Morris & Arthur LLP.

http://www.fedseclaw.com/
  • May 20

    SEC forces Mickelson to return $1 million from insider trading

    SEC forces Mickelson to return $1 million from insider trading
    PGA golfer Phil Mickelson agreed to forfeit almost $1 million that the Securities and Exchange Commission (SEC) said was obtained through insider trading. Mickelson was named as a “relief defendant” in a criminal case, filed in…
  • Jan 28

    Delaware Courts continue scrutiny of “disclosure only” settlements in M&A litigation

    Delaware Courts continue scrutiny of “disclosure only” settlements in M&A litigation
    On Jan. 22, 2016, the Delaware Court of Chancery released its opinion in In re Trulia Stockholder Litigation in which it rejected a “disclosure only” settlement of a shareholders’ suit challenging an M&A transaction.…
  • Jan 22

    Supreme Court to review insider trading case

    Supreme Court to review insider trading case
    The Supreme Court has agreed to consider something that lies at the center of nearly every insider trading case: what prosecutors need to prove an insider trading conviction. This case aims to determine exactly what benefits corporate…
Rank this Week: 917

Business Blog

Business Blog

Covers business law, labor & employment, real estate and securities and finance topics. By Scarinci Hollenbeck.

http://www.businesslawnews.com/
  • May 11

    Cyber Threats on Small Businesses Come from All Angle

    Cyber Threats on Small Businesses Come from All Angle
    Cyber Threats on Small Businesses Come from All Angles The Federal Bureau of Investigation (FBI) recently issued several “cyber alerts” that may impact small businesses in Monmouth County and throughout New Jersey. As with all…
  • May 9

    Getting More Sleep Can Make Your Monmouth County Business More Successful

    Getting More Sleep Can Make Your Monmouth County Business More Successful
    Getting More Sleep Can Make Your Monmouth County Business More Successful When facing a busy work day, that extra cup of coffee can only do so much. A new study confirms that getting more sleep can help Monmouth County business executives be…
  • May 3

    New Jersey Supreme Court Addresses Use of Metadata in Electronic Document

    New Jersey Supreme Court Addresses Use of Metadata in Electronic Document
    New Jersey Supreme Court Addresses Use of Metadata in Electronic Documents The Supreme Court of New Jersey recently issued an administrative determination regarding whether a lawyer who receives an electronic document may, consistent with…
Rank this Week: 833

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

http://www.hedgefundlawblog.com
  • Dec 4

    Hedge Fund Events December 2015

    Hedge Fund Events December 2015
    The following are various hedge fund events happening this month.  Please email us if you would like us to add your event to this list. **** Date: December 1-3, 2015 Sponsor: AnDevCon Event: AnDevCon: The Android Developer Conference…
  • Dec 4

    Hedge Fund Events December 2015

    Hedge Fund Events December 2015
    The following are various hedge fund events happening this month.  Please email us if you would like us to add your event to this list. **** Date: December 1-3, 2015 Sponsor: AnDevCon Event: AnDevCon: The Android Developer Conference…
  • Nov 1

    Hedge Fund Events November 2015

    Hedge Fund Events November 2015
    The following are various hedge fund events happening this month.  Please email us if you would like us to add your event to this list. **** Date: November 2-4, 2015 Sponsor: BZ Events Event: Big Data Tech Con 2014 Location: Chicago, IL…
Rank this Week: 657

Securities Arbitration Blog

Securities Arbitration Blog

Covers the happenings in the Securities and Investment Fraud Sector. By Guiliano Law Firm.

http://www.securitiesarbitrations.com
  • Jun 10

    Pittsburgh Area Stockbroker Patricia S. Miller Alleged to Have Stolen Millions from Customer

    Pittsburgh Area Stockbroker Patricia S. Miller Alleged to Have Stolen Millions from Customer
    andnbsp;Hairdressor, Marcy Salandra went to her stockbrokerandrsquo;s office at Investors Capital Corporation in McMurray Pennsylvania to withdraw money to buy a house. andnbsp;However, instead of meeting her broker Patricia S. Miller, she…
  • Apr 18

    Lawyers Tempt Fate Before Second Circuit and No One Likes What They May Get

    Lawyers Tempt Fate Before Second Circuit and No One Likes What They May Get
    Last year, a Connecticut based hedge fund, Turnberry Capital Management LP, filed a FINRA arbitration securities claim against SunTrust Banks, Inc. to recover $13 million it lost in 2007 by investing in mortgage backed securities. However,…
  • Mar 13

    Investment Fraudsters: You have a friend in Pennsylvania

    Investment Fraudsters: You have a friend in Pennsylvania
    What does a big firm commercial defense lawyer, a banker, a healthcare lobbyist, a parking authority commissioner and an Allegheny parks commissioner all have in common? andnbsp; Apparently, they are all friends of Pennsylvania Governor Tom…
Rank this Week: 1052

About Broker Fraud Blog

About Broker Fraud Blog

Covers compliance rules, duty of disclosure, elder abuse and fraud. By the Hayes Law Firm.

http://aboutbrokerfraud.typepad.com/about_broker_fraud_blog/
  • Dec 6

    SEC Freeze Assets in Alleged Diamond-Themed Ponzi Scheme

    SEC Freeze Assets in Alleged Diamond-Themed Ponzi Scheme
    The SEC alleges that Richard Dalton and Universal Consulting Resources LLC (UCR) raised approximately $17 million from investors for two fraudulent offerings. The programs were generally referred to as the “Trading Program” and the…
  • Sep 28

    Arbitrators Award Ten Times Amount of Investment in Auction Rate Securities Case

    Arbitrators Award Ten Times Amount of Investment in Auction Rate Securities Case
    Last month an arbitration panel ordered the investment firm USB financial to pay over $80 million in consequential investments to Kajeet, Inc., a company who markets cellphones for kids. Kajeet’s award fell short of the $110 million…
  • Aug 30

    Raymond James Must Buy Back Auction Rate Securitie

    Raymond James Must Buy Back Auction Rate Securitie
    A Texas couple got some great news last week from the FINRA arbitration panel that ruled on their claim. The panel ruled that the Raymond James Financial Inc. and broker Larry Milton must buy back some $925,000 worth of auction…
Rank this Week: 738

The PSLRA Nugget

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: 889

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/
  • May 26

    FINRA and SEC Actions Against Compliance Officer

    FINRA and SEC Actions Against Compliance Officer
    There was a time when FINRA and the SEC, gave compliance officers a pass in regulatory actions, except of course in the most egregious cases. Their job is tough enough without worrying about a regulatory complaint because of perceived…
  • May 24

    SEC Prevents Trader’s Profits From False Filing

    SEC Prevents Trader’s Profits From False Filing
    The Securities and Exchange Commission has obtained a court order to freeze the profits of a trader who allegedly manipulated a technology stock through a false regulatory filing traced to a computer in Pakistan.  The asset freeze issued…
  • May 20

    Two Individuals Share Whistleblower Award of More Than $450,000

    Two Individuals Share Whistleblower Award of More Than $450,000
    The Securities and Exchange Commission today announced it will jointly award more than $450,000 to two individuals for a tip that led the agency to open a corporate accounting investigation and for their assistance once the investigation was…
Rank this Week: 2786

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • May 26

    Valeant staff comment dialogue spotlights non-GAAP measure

    Valeant staff comment dialogue spotlights non-GAAP measure
    By Mark S. Nelson, J.D.Valeant Pharmaceuticals International, Inc.’s answers to queries by SEC staff about the company’s financials may offer a glimpse into the SEC’s recent focus on non-GAAP financial measures. As the…
  • May 25

    SEC to up ‘qualified client’ threshold for performance-based fee

    SEC to up ‘qualified client’ threshold for performance-based fee
    By Amy Leisinger, J.D.The SEC intends to issue an order to adjust for inflation the dollar-amount thresholds in the Advisers Act rule permitting investment advisers to charge performance-based fees to “qualified clients.” The…
  • May 24

    Omitting speculative projections was not bad faith

    Omitting speculative projections was not bad faith
    By Anne Sherry, J.D.Directors of Chelsea Therapeutics did not breach their duty of loyalty in approving the biopharm company's sale to Lundbeck. The Chelsea shareholders seeking damages post-closing did not state a claim that the board acted…
Rank this Week: 2788

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: 2783

Cady Bar the Door

Cady Bar the Door

Provides insight and commentary on SEC enforcement actions. By Brooks Pierce.

http://www.secmiscellany.com
  • May 25

    The Insider Trading Cartoon Series, Vol. IX — Tender Offer

    The Insider Trading Cartoon Series, Vol. IX — Tender Offer
    I want to talk about Rule 14e-3, because it has significant implications for insider trading liability.  But to do that, we first have to talk about tender offers, and what they are.     The post The Insider Trading Cartoon…
  • May 19

    Phil Mickelson is very glad United States v. Newman is the law in the Second Circuit.

    Phil Mickelson is very glad United States v. Newman is the law in the Second Circuit.
    Phil Mickelson, whom the SEC describes as a “successful professional golfer,” was not charged with insider trading earlier today.  I wasn’t either, and I’m glad about that.  And you probably weren’t…
  • May 13

    Custody rule examiners need to, you know, examine.

    Custody rule examiners need to, you know, examine.
    Here’s a thing I know: South Carolina doesn’t require vehicle inspections.  Dumb, right?  If your car is properly registered, you can drive it there all you want no matter how dangerous it is.  Here’s a thing…
Rank this Week: 3846

Canadian Securities Law Online

Canadian Securities Law Online

Covers Canadian securities law topics, including disclosures, corporate governance, mergers, registration and compliance. By Stikeman Elliott.

http://www.canadiansecuritieslaw.com/
  • May 25

    Ontario, Manitoba and Quebec Adopt Useful Amendments to the Trade Reporting Rule

    Ontario, Manitoba and Quebec Adopt Useful Amendments to the Trade Reporting Rule
    Margaret Grottenthaler and Alison Beer -  The anticipated amendments to the rules on reporting derivatives data in Ontario, Quebec and Manitoba are expected to come into force on July 29, 2016.  Highlights of the final…
  • May 20

    Changes to private placement reports of trade soon in force

    Changes to private placement reports of trade soon in force
    A new harmonized Form 45-106F1 Report of Exempt Distribution (the New Report) will come into effect on June 30, 2016 in all Canadian provinces and territories. Announced by the Canadian Securities Administrators (the CSA) on April 7, 2016 in…
  • May 20

    Insider trading prohibition to be broadened

    Insider trading prohibition to be broadened
    The Securities Act (Ontario) (OSA) is expected to be amended to include a prohibition on recommending the purchase or sale of securities of an issuer where the person or company making the recommendation is in a “special…
Rank this Week: 4107

Tim O'Connor's Blog

Tim O'Connor's Blog

Covers stockbroker fraud.

http://stockbrokerlaw.com/tim-oconnors-blog
  • May 24

    Think Twice Against Borrowing Against Your Pension

    Think Twice Against Borrowing Against Your Pension
    The New York State Department of Financial Services (DFS) and the Consumer Financial Protection Bureau (CFPB) have initiated action against two companies involved in soliciting pension advance loans from unsuspecting consumers. The suit…
  • May 16

    School Law

    School Law
    School principals and administrators often take it upon themselves to investigate and prosecute cheating scandals that don’t exist. In this day and age of advanced information technology capabilities both students on the one side, and…
  • May 9

    Top Investors Threats Announced By NASAA

    Top Investors Threats Announced By NASAA
    The North American Securities Administrators Association (NASAA) recently announced its annual list of top investor threats after a survey of state securities regulators, identifying the five most problematic investment products, schemes and…
Rank this Week: 2982

Securities Mining Law

Securities Mining Law

Covers securities law affecting the mining industry in Canada.

http://www.securitiesmininglaw.com/
  • May 20

    Insolvency and energy insights: The Redwater decision

    Insolvency and energy insights: The Redwater decision
    An Alberta court has held that provisions of the Bankruptcy and Insolvency Act allowing a trustee or receiver to disclaim real property without assuming environmental  liabilities in relation thereto renders inoperable provincial…
  • Apr 14

    Canadian Securities Administrators amend take-over bid rule

    Canadian Securities Administrators amend take-over bid rule
    Effective May 9, 2016, the Canadian Securities Administrators will implement new take-over bid rules that will introduce significant changes to bid mechanics, including lengthier minimum deposit periods.  For a description of the…
  • Mar 31

    Rush to conflict: Hurried transaction fails after British Columbia court finds conflicts of interest

    Rush to conflict: Hurried transaction fails after British Columbia court finds conflicts of interest
    A recent court decision led to the failure of an attempted acquisition of an exploration company by a listed issuer, in part due to conflicts of interest. We analyze the decision, and provide commentary on the law and practice of managing…
Rank this Week: 3576

May Law, PC Blog

May Law, PC Blog

Covers investment law, securities laws the requirements of the Financial Industry Regulatory Authority (FINRA).

http://www.maylawpc.net/category/blog/
Rank this Week: 1923

White Collar Alert

White Collar Alert

Provides news and insight to counsel and legal observers concerning white collar criminal defense, internal investigations, government litigation and regulatory compliance. By Montgomery McCracken.

http://whitecollarblog.mmwr.com
  • May 19

    Mickelson Seeks Relief from Insider Trading Hazard

    Mickelson Seeks Relief from Insider Trading Hazard
    Almost two years ago, the Wall Street Journal and New York Times first reported an insider trading investigation involving sports gambler William “Billy” Walters and pro golfer Phil Mickelson.  At the time, the investigation…
  • May 3

    Supreme Court Takes On “Another” in Upholding Hobbs Act Conviction

    Supreme Court Takes On “Another” in Upholding Hobbs Act Conviction
    The Hobbs Act – a law promulgated in 1946 to deal with the infiltration of racketeering activity in labor unions – got a “W” in its column yesterday with the Supreme Court’s issuance of Ocasio v. United…
  • Apr 13

    D.C. Circuit Reins In District Court for Second-Guessing Government’s Deferred Prosecution Agreement

    D.C. Circuit Reins In District Court for Second-Guessing Government’s Deferred Prosecution Agreement
    This guest post was authored by our colleague Jeremy A. Gunn, an associate in the firm’s Litigation Department. In an unusual win for both the U.S. Department of Justice and corporate defendants, the D.C. Circuit last week reversed a…
Rank this Week: 1881

The Securities Edge

The Securities Edge

Covers securities law topics of interest to executives of middle market businesses. By Gunster.

http://www.thesecuritiesedge.com/
  • May 18

    What’s up with Crowdfunding? So far, not much (but a fix may be coming)

    What’s up with Crowdfunding? So far, not much (but a fix may be coming)
    Posted By: Robert C. White Jr. The SEC’s crowdfunding rules (under Regulation Crowdfunding) became effective earlier this week. From the legal and legislative perspectives this was a big day since it marked the effective date of one of…
  • May 5

    Keeping Your Trade Secrets Safe: When NDAs Can Backfire

    Keeping Your Trade Secrets Safe: When NDAs Can Backfire
    Posted By: Stephanie Quiñones In business, we’ve all seen the traditional nondisclosure agreement (also known, more simply, as the “NDA”) between two parties wishing to discuss a potential business transaction. While…
  • Apr 19

    Impact of accounting literature: Time to get out of the pool and other change

    Impact of accounting literature: Time to get out of the pool and other change
    Posted By: David C. Scileppi Over the past couple of months, the FASB has been busy. I wanted to point out one recent change and my thoughts on its impact. FASB has “simplified” share-based compensation accounting. I will always…
Rank this Week: 3532