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Securities Lawyer 101

Securities Lawyer 101

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

http://www.securitieslawyer101.com/blog/
  • Sep 10

    Corporate Hijackings 101 l Securities Lawyer 101 Blog

    Corporate Hijackings 101 l Securities Lawyer 101 Blog
    Securities Lawyer 101 Blog Corporate hijackings, also known as corporate identity theft, of public shell companies has been around for more than a decade.  It  is a growing method used by fraudsters to acquire…
  • Aug 15

    By: EAkHCuax

    By: EAkHCuax
    <strong>EAkHCuax</strong>Securities Law and Going Public Blog
  • Aug 5

    By: lexutilispl - bookmarks.blogme24.com

    By: lexutilispl - bookmarks.blogme24.com
    […] is gonna kill meDrum Building Secrets!Make Your Mark Online With These Design Tips : BACKLINKSSecurities Lawyer101 l Securities Law Blog l Hamilton & AssociatesPennySaverUSA.com Blog - The Best Resource for Online Classifieds,…
Rank this Week: 13

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 21

    Teaching Securities in Law School (Part 1)

    Teaching Securities in Law School (Part 1)
    The new semester has started at the University of Denver Sturm College of Law and I am, among other things, teaching a basic securities class. If I compare what I am teaching this semester with what I taught in say the 1990s, the classes are…
  • Aug 19

    History Repeating Itself: Microcap Fraud and Tertiary Player

    History Repeating Itself: Microcap Fraud and Tertiary Player
    According to the WSJ, the SEC is looking into microcap fraud. Microcap fraud typically involves a dishonest broker (someone has to facilitate the sale of the shares) and often a dishonest company (someone has to tell the market a false…
  • Aug 18

    Insider Trading and the Unexpected Dangers of Information Shared in Alcoholics Anonymou

    Insider Trading and the Unexpected Dangers of Information Shared in Alcoholics Anonymou
    As an academic, writing an exam that tests the law of insider trading can be enjoyable. We faculty can often come up with the most outlandish scenarios and test whether students can apply the arcane and definitely not intuitive law of insider…
Rank this Week: 46

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
  • Aug 19

    SEC Announces Sweeping Examinations of Brokerage Firm

    SEC Announces Sweeping Examinations of Brokerage Firm
    From the Desk of Jim Eccleston at Eccleston Law Offices: The SEC is planning to examine brokerages in 2015 with a focus on sales of expensive mutual funds as well as problem brokers. Sales of expensive…
  • Aug 19

    Former UBS Broker Pleads Guilty to Ponzi Scheme

    Former UBS Broker Pleads Guilty to Ponzi Scheme
    From the Desk of Jim Eccleston at Eccleston Law Offices: Donna Tucker, a former UBS Wealth Management Americas broker, was charged by the SEC with perpetrating a five-year Ponzi scheme. Tucker began her career…
  • Aug 18

    SEC Charges Morgan Stanley with Misleading Investors in Subprime RMBS Offering

    SEC Charges Morgan Stanley with Misleading Investors in Subprime RMBS Offering
    From the Desk of Jim Eccleston at Eccleston Law Offices: The SEC charged three Morgan Stanley entities with misleading investors in a pair of residential mortgage-backed securities (RMBS) securitizations that the firms…
Rank this Week: 131

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/
  • Aug 20

    SEC Examines Municipal Advisers and Alternative Mutual Funds, Reviews “Wrap-Fee” Account

    SEC Examines Municipal Advisers and Alternative Mutual Funds, Reviews “Wrap-Fee” Account
    The Securities and Exchange Commission introduced a two-year plan to examine municipal advisers who assist localities and states to raise money in the $3.7 trillion municipal bond market. During this period, regulators plan to look at a…
  • Aug 19

    FINRA Investor Alert Warns About Scams Touting Ebola Cure and Other Viral Disease Stock Scheme

    FINRA Investor Alert Warns About Scams Touting Ebola Cure and Other Viral Disease Stock Scheme
    The Financial Industry Regulatory Authority has put out an investor alert warning against buying stocks in companies claiming to combat viral diseases. The self-regulatory organization says it knows of several possible schemes involving stock…
  • Aug 18

    SEC Files Charges in $4.5M Houston-Based Pump-and-Dump Scam

    SEC Files Charges in $4.5M Houston-Based Pump-and-Dump Scam
    The SEC has filed charges against Chimera Energy, a Houston-based penny stock scam, and four individuals for their purported involvement in a pump-and-dump scam that made over $4.5 million in illicit proceeds. Investors were led to believe…
Rank this Week: 159

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/
  • Aug 21

    Recovery of Investment Losses in Catalyst Energy

    Recovery of Investment Losses in Catalyst Energy
    Have you suffered financial losses as a result of your purchase of a Catalyst Energy Limited Partnership? If so, The White Law Group may be able to recover some of your losses in a FINRA arbitration claim against the brokerage firms that…
  • Aug 20

    Recovery of Geneva Exchange Fund TIC Losse

    Recovery of Geneva Exchange Fund TIC Losse
    Have you suffered investment losses in a Geneva Exchange Fund tenant-in-common (TIC)? If so, The White Law Group may be able to help you recover your losses through a FINRA arbitration claim against the brokerage firm that recommended the…
  • Aug 20

    Investigation into CORE Series 2007 8% Secured Debenture

    Investigation into CORE Series 2007 8% Secured Debenture
    Did you invest in CORE Series 2007 8% Secured Debentures? If so,The White Law Group may be able to help you recover your investment losses. In a letter to shareholders, CORE announced that three apartment complexes, the primary collateral for…
Rank this Week: 186

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/
  • Aug 18

    Chu on Credit Rating

    Chu on Credit Rating
    Chenghuan Sean Chu has posted Empirical Analysis of Credit Ratings Inflation as a Game of Incomplete Information on SSRN with the following abstract: This paper models competition among credit rating agencies as an auction. Equilibrium…
  • Aug 18

    Rapp on the Office of Market Intelligence

    Rapp on the Office of Market Intelligence
    Geoffrey Christopher Rapp has posted Intelligence Design: An Analysis of the SEC's New Office of Market Intelligence and its Goal of Using Big Data to Improve Securities Enforcement on SSRN with the following abstract: This contribution to…
  • Aug 18

    NASAA Annual Conference to Focus on Meeting Tomorrow’s Challenges Today

    NASAA Annual Conference to Focus on Meeting Tomorrow’s Challenges Today
    Details available here.
Rank this Week: 187

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/
  • Aug 21

    Can A Whistleblower Disclose What Has Already Been Reported?

    Can A Whistleblower Disclose What Has Already Been Reported?
    In California, employees who blow the whistle are protected from retaliation by Labor Code § 1102.5(b) which provides: An employer, or any person acting on behalf of the employer, shall not retaliate against an employee for disclosing…
  • Aug 20

    Indemnification And The Circle Of Litigation

    Indemnification And The Circle Of Litigation
    An employee sues his employer for, among other things, violations of the California Labor Code.  The quondam employer responds with a counterclaim against its erstwhile employee claiming that to the extent it is liable, the employee is…
  • Aug 19

    If A Tree Falls In The City, Is It Serving A Public Purpose?

    If A Tree Falls In The City, Is It Serving A Public Purpose?
    Today’s posting has nothing to do with corporate law and everything to do with trees.  On November 30 and December 1, 2011, the City of Pasadena experienced an unusually violent windstorm.  Wind speeds in excess of 100 miles…
Rank this Week: 242

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
  • Jul 25

    Leveraged and Inverse Exchange-Traded Funds are a Ticking Bomb!

    Leveraged and Inverse Exchange-Traded Funds are a Ticking Bomb!
    Leveraged ETFs are designed to provide investors with a certain percentage return over the movement of a market over the span of a day. Inverse funds are supposed to move in the opposite direction of a specific index, to provide protection…
  • Jul 23

    Nontraded Real-Estate Investments mean Risky Busine

    Nontraded Real-Estate Investments mean Risky Busine
    Nontraded REITs have been growing in popularity lately. Through June of this year, nontraded REITs have raised $8.8 billion. These real-estate investment trusts are similar to their public counterparts, which trade like stocks and allow…
  • Jul 18

    Attorney Mark Maddox named to FINRA’s Arbitrartion Task Force

    Attorney Mark Maddox named to FINRA’s Arbitrartion Task Force
    We are proud to share that Attorney Mark Maddox will be part of FINRA’s new arbitration task force. Click this link for details: http://www.finra.org/Newsroom/NewsReleases/2014/P554192The post Attorney Mark Maddox named to FINRA’s…
Rank this Week: 287

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: 326

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

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

    SEC Releases Alert Warning Investors About Affinity Fraud

    SEC Releases Alert Warning Investors About Affinity Fraud
    The SEC’s Office of Investor Education and Advocacy issued a Investor Alert to help educate and warn investors about the dangers of affinity fraud. Affinity fraud is a common type of securities fraud that preys upon members of a group…
  • Aug 20

    Business Development Companies (BDC) – Investment Risks to Be Aware of – Part II

    Business Development Companies (BDC) – Investment Risks to Be Aware of – Part II
    In our prior post we recently highlighted, the rising popularity of non-traded business development companies (BDCs). BDCs may be one of the latest and greatest products that Wall Street is promoting that will provide outsized yield with less…
  • Aug 19

    Adam Gana of Gana LLP Receives the AVVO 2014 Cleints’ Choice Award

    Adam Gana of Gana LLP Receives the AVVO 2014 Cleints’ Choice Award
    Adam Gana of Gana LLP received the Avvo’s Clients’ Choice Award for 2014. “This is a tremendous honor,” said Mr. Gana, “Clients are the life blood of our business and we work tirelessly to make sure they are…
Rank this Week: 363

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/
  • Jul 22

    Delaware Court of Chancery Rejects Indemnification Sleight of Hand

    Delaware Court of Chancery Rejects Indemnification Sleight of Hand
    In Branin v. Stein Roe Inv. Counsel, LLC, C.A. 8481-VCN, 2014 WL 2961084 (Del. Ch. June 30, 2014), the Delaware Court of Chancery held that a vested right to indemnification may not be rescinded by a subsequent amendment to the governing…
  • Jul 15

    Is Your Out-of-State LLC “Doing Business” in California?

    Is Your Out-of-State LLC “Doing Business” in California?
    Individuals and entities, including those from outside California, who invest in or do business through an out-of-state limited liability company (“LLC”) may be surprised to find out that they have filing obligations and tax…
  • Jul 7

    Second Circuit Overturns District Court’s Rejection of SEC-Citigroup Fraud Settlement

    Second Circuit Overturns District Court’s Rejection of SEC-Citigroup Fraud Settlement
    In a closely-watched decision involving judicial review of agency settlements, the Unites States Court of Appeals for the Second Circuit vacated United States District Court Judge Jed Rakoff’s 2011 order rejecting a proposed $285…
Rank this Week: 344

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

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

    Argentina Bond Case Saga Continues Post-Supreme Court Ruling

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

    Market Expert Shuns Potential Ban on Payment for Order Flow

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

    PCAOB Mulls Standards on Accounting Estimates and Fair Value Measurement

    PCAOB Mulls Standards on Accounting Estimates and Fair Value Measurement
    [This story previously appeared in Securities Regulation Daily.]By Anne Sherry, J.D.The PCAOB is seeking public comment on standard-setting activities related to auditing accounting estimates and fair value measurements. The Staff…
Rank this Week: 390

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/
Rank this Week: 377

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 29

    Wells Fargo Reaches $591 Million Mortgage Deal with Fannie Mae

    Wells Fargo Reaches $591 Million Mortgage Deal with Fannie Mae
    Wells Fargo & Co. (WFC) has arrived at a $591 million mortgage settlement with Fannie Mae (FNMA). The arrangement resolves claims that the banking institution sold faulty mortgages to the government run-home loan financier and covers…
  • Aug 19

    Securities Lawsuit Against BlackRock Accuses Firm of Charging Excessive Sub-Advisor Fee

    Securities Lawsuit Against BlackRock Accuses Firm of Charging Excessive Sub-Advisor Fee
    BlackRock Inc. (BLK) wants a judge to dismiss a securities lawsuit accusing the money manager of charging exorbitant fees and breaching its fiduciary duties. Lawyers for the firm argued that the claims have no merit in the U.S. District Court…
  • Aug 18

    SEC Charges Linkbrokers Derivatives in $18M Securities Fraud

    SEC Charges Linkbrokers Derivatives in $18M Securities Fraud
    The U.S. Securities and Exchange Commission is charging Linkbrokers Derivatives LLC with involvement in an $18 million fraud scam . The New York-based firm, which is no longer a broker-dealer, is settling the charges by paying $14…
Rank this Week: 465

Ponzitracker

Ponzitracker

Covers Ponzi schemes. By Jordan Maglich.

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

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

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

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

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

    California Men Sentenced For $5 Million Real Estate Ponzi Scheme

    California Men Sentenced For $5 Million Real Estate Ponzi Scheme
    Two California men will each serve at least a decade in prison for operating a real estate Ponzi scheme that duped victims out of nearly $5 million.  Terrance Brown, of San Jose, California, and Antranik Kabajouzian, of Morgan City,…
Rank this Week: 496

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
Rank this Week: 516

William Carleton, Counselor @ Law

William Carleton, Counselor @ Law

Covers legal and investment issues facing emerging tech companies.

http://www.wac6.com/wac6/
  • Jun 25

    Where I've been

    Where I've been
    Friends, I want to thank you for all the support you've given this blog over the past three or four years. It's been a good run. Two or three years ago, I started blogging every day, and that was the...
  • Jun 18

    The world is not totally fucked up: Exhibit A

    The world is not totally fucked up: Exhibit A
    Here is Exhibit A for the proposition that the world is not, in fact, totally and completely fucked up: sculpture being readied, as we speak, at Jefferson Park in Seattle. What's more, this public art is to be "skateable." I...
  • May 20

    If it ain't broke, don't fix it

    If it ain't broke, don't fix it
    Time again to safeguard the current accredited investor standard.
Rank this Week: 468

Sharesleuth.com

Sharesleuth.com

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

http://sharesleuth.com/
Rank this Week: 502

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Aug 20

    Buffalo Financial Advisor Raymond Clark Suspended

    Buffalo Financial Advisor Raymond Clark Suspended
    On August 5, 2014, the Financial Industry Regulatory Authority, or FINRA, announced that it was suspending Financial Advisor Raymond Clark.   Raymond Clark is a broker associated with Dynasty Capital Partners in Buffalo, New…
  • Aug 19

    Woodstock Financial Group Broker Daniel Barthold Suspended

    Woodstock Financial Group Broker Daniel Barthold Suspended
    On August 14, 2014, FINRA, or the Financial Industry Regulatory Authority, announced the suspension of Daniel Barthold.  Daniel Barthold is a broker associated with Woodstock Financial Group. He has been associated with Woodstock since…
  • Aug 18

    Investigation: Former Clients of Michael Zukowski

    Investigation: Former Clients of Michael Zukowski
    Fitapelli Kurta is investigating customer complaints against Michael Zukowski, who was formerly associated with Wall Street Financial Group and RBC Capital Markets in Massachusetts. In November, 2010, RBC Capital Markets permitted Michael…
Rank this Week: 537

Perry Krumsiek & Jack Law Blog

Perry Krumsiek & Jack Law Blog

Covers business, health care, intellectual property and media law.

http://pkjlawblog.wordpress.com/
  • Feb 2

    Here’s One Government Program Worth HARPing On

    Here’s One Government Program Worth HARPing On
    If you are one of the hundreds of thousands of Americans permanently traumatized by the government’s highly lauded, but horribly executed, loan modification program, take heart.  I’m here to tell you that there’s another government…
  • Oct 27

    The Lincoln Lawyer

    The Lincoln Lawyer
    Before Abraham Lincoln became our greatest president, he was a great corporate lawyer.  And before he was a corporate lawyer, he was a brilliant trial lawyer. In the 1840s, Lincoln represented a Revolutionary War widow who had been bilked…
  • Oct 22

    Cornell Scores in Forum Case

    Cornell Scores in Forum Case
    PKJ’s Timothy Cornell scored a significant victory Friday, when U.S. District Judge Richard G. Stearns dismissed a multimillion case against an Internet company, finding that the plaintiff was bound by his contract’s forum selection…
Rank this Week: 544

Securities Law Blog

Securities Law Blog

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

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

    Securities Fraud Cases Can Be Criminal Case

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

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

    SEC Announces Charges in Houston-Based Scheme Touting Technology to End Fracking
    A Houston-based penny stock company and four individuals are being charged after the SEC discovered they were behind a pump-and-dump scheme that misled investors to believe the company was on the brink of developing revolutionary technology…
  • Aug 20

    SEC Continues to Permit Reps to Sell their Company's Stock to Client

    SEC Continues to Permit Reps to Sell their Company's Stock to Client
    Dually registered investment advisory and broker-dealer firms will be able to continue selling stock from their own accounts to some clients, the Securities and Exchange Commission said.The SEC has announced it plans to extend by another two…
Rank this Week: 685

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

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

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

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

    Profanity in SEC Filings? Yes, It Happen

    Profanity in SEC Filings? Yes, It Happen
    Have you ever wanted to swear when drafting disclosure? I have. So exactly when is it acceptable to write f%ck&ng a$$h@le in a prospectus? Perhaps when you are offering shares to raise production funds for a particular type of feature…
  • Aug 18

    Survey Results: CEO Succession Planning

    Survey Results: CEO Succession Planning
    I have posted the results of our survey regarding CEO succession planning, repeated below (compare to a similar survey from ’11): 1. Our company: - Has a written CEO succession plan in a formal document or policy – 14% - Has a…
Rank this Week: 683

Broke and Broker

Broke and Broker

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

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

    Stockbroker Wins Expungement Of 1990 Customer Complaint

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

    Stockbroker U5 Defamation And Wrongful Termination Case Backfire

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

    Hack Attack Hits UBS

    Hack Attack Hits UBS
    I keep writing about fraudulent wire disbursements in the apparently misguided hope that someone will read my warnings and avoid a career catastrophe. Notwithstanding my best efforts, the reports of violations roll in. Consider this recent…
Rank this Week: 744

North Carolina Business Litigation…

North Carolina Business Litigation Report

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

http://www.ncbusinesslitigationreport.com/
  • Aug 14

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

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

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

    Can You Get A Ruling From A Superior Court Judge After Your Case Is Designated To The Business Court?
    If you've been reading this blog for a while, you know that once a case is in the Business Court, it is in there forever, even if the issues that justified it being there in the first place are subsequently resolved.  But when does the…
  • Jul 18

    An Important Tip On Appealing A Decision From The NC Business Court

    An Important Tip On Appealing A Decision From The NC Business Court
    The Business Court is electronic.  Paper copies of documents are not filed with the Business Court.  So when you e-file a Notice of Appeal, is that sufficient for purposes of Rule 3 of the NC Rules of Appellate Procedure? Let's look…
Rank this Week: 733

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

http://www.hedgefundlawblog.com
  • Aug 6

    NFA Action Against Firm for Inadequate 1101 Investigation

    NFA Action Against Firm for Inadequate 1101 Investigation
    Doing Business with Non-Members – NFA Action Raises Compliance Questions Under NFA Bylaw 1101, NFA members are restricted from doing business with individuals or entities that should be, but are not, registered with the CFTC and members…
  • Aug 1

    Hedge Fund Events August 2014

    Hedge Fund Events August 2014
    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. **** August 4-5, 2014 Sponsor: InVida Events Event: Ship Energy Management in Practice Location:…
  • Jul 18

    New IA Rules in Washington State

    New IA Rules in Washington State
    Amendments to Investment Adviser Rules in Washington State Washington State Department of Financial Institutions has amended the rules governing the registration and activities of investment advisers set forth in Chapter 460-24A WAC.…
Rank this Week: 721

InvestorLawyers.net

InvestorLawyers.net

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

http://www.investorlawyers.net/blog/
  • Jul 30

    New York Brokerage Firm Newport Coast Securities, Representatives Charged with $1 Million Churning Violation

    New York Brokerage Firm Newport Coast Securities, Representatives Charged with $1 Million Churning Violation
    FINRA has filed charges against five stockbrokers formerly employed by Newport Coast Securities Inc., as well as the firm itself and two supervisors, alleging that the firm excessively traded customer accounts for the purpose of generating…
  • Jun 23

    Investor Files FINRA Arbitration Claim Against First Allied Regarding Private Equitie

    Investor Files FINRA Arbitration Claim Against First Allied Regarding Private Equitie
    Stockbroker arbitration lawyers are looking into accusations made against First Allied Securities, Inc. and broker Rami Yahalom regarding risky investments in AE Luxtera Investments II, LLC, a private technology start-up company. According to…
  • Jun 18

    FINRA Bars Wade James Lawrence from Financial Industry

    FINRA Bars Wade James Lawrence from Financial Industry
    Recently, Wade James Lawrence was barred from the financial industry by the Financial Industry Regulatory Authority (FINRA). Investors’ rights lawyers are exploring accusations made against Lawrence regarding misappropriation of funds…
Rank this Week: 730

BD Law Blog

BD Law Blog

Features news, updates and thoughts regarding broker-dealer and investment adviser regulation and legal and compliance issues. By the Beck Law Firm, LLC.

http://www.bdlawblog.com/
  • Aug 21

    The #ALSIceBucketChallenge

    The #ALSIceBucketChallenge
    I was challenged to the ALS Ice Bucket Challenge last night by some family members, who I thought loved me. It's all good - and it's all for a good cause, to raise awareness, and funds, to help fight ALS....
  • Aug 21

    Investor Alert Roundup

    Investor Alert Roundup
    Some investor alerts have been in the news lately, including those recently issued, and those re-issued to warn folks of continuing threats or issues as seen by the regulators. Here's a few: FINRA Investor Alert: Viral Disease Stock Scams.…
  • Aug 8

    The Power of Connections: Finding Good Advisors for your Busine

    The Power of Connections: Finding Good Advisors for your Busine
    I had lunch today with a new friend who has recently left a career in the corporate world and started his own business. Though quite an experienced and knowledgeable guy, he's new to running his own business, and, while looking...
Rank this Week: 1025

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

http://www.seclawyersblog.com/
  • Aug 18

    FINRA Cautions Investors on Viral Disease Stock Scam

    FINRA Cautions Investors on Viral Disease Stock Scam
    FINRA recently issued an Investor Alert, "Viral Disease Stock Scams: Don't Let Them Infect Your Portfolio." In the Alert, FINRA warns that dramatic news stories viral outbreaks, such as Ebola and Middle Eastern Respiratory Syndrome ("MERS"),…
  • Aug 15

    Sonn|Erez Investigating Claims Involving Paul Gerard Chiampa

    Sonn|Erez Investigating Claims Involving Paul Gerard Chiampa
    Sonn|Erez is investigating claims regarding Paul Gerard Chiampa (CRD #1133609, East Longmeadow, Massachusetts). Chiampa recently entered into a Letter of Acceptance, Waiver, and Consent ("AWC") in which he was fined $7,500 and suspended from…
  • Jul 27

    SEC Approves FINRA Rule to Prohibit Conditioning Settlements on Expungement

    SEC Approves FINRA Rule to Prohibit Conditioning Settlements on Expungement
    The Securities and Exchange Commission recently approved the implementation of FINRa Rule 2081, which prohibits brokers from making settlements of customer disputes contingent on the claimant's agreement not to oppose expungement of the…
Rank this Week: 812

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: 943

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: 832

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

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

    No Bright Line

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

    Cornerstone Releases Midyear Report

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

    Too Tangential

    Too Tangential
    In its recent Chadbourne decision, the U.S. Supreme Court held that to be "in connection with" the purchase or sale of a security, an alleged securities fraud must involve "victims who took, who tried to take, who divested…
Rank this Week: 1364

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • Aug 21

    Cash Solicitations Allowed Despite Court Bar

    Cash Solicitations Allowed Despite Court Bar
    The SEC’s Division of Investment Management said it will not object if an investment adviser pays a cash fee for the solicitation of advisory clients, although a federal district court injunctive order precluded it.  RBS Sec. Inc.,…
  • Aug 20

    Changes in SEC Enforcement Function

    Changes in SEC Enforcement Function
    Adjustments to the SEC’s enforcement function is enabling it to be more aggressive with individuals and corporations when pursuing allegedly violative behavior. The SEC’s ongoing push to strengthen penalties for wrongdoing…
  • Aug 19

    Tightening the Definition of ‘Public Arbitrator’

    Tightening the Definition of ‘Public Arbitrator’
    FINRA proposed amendments to the organization’s arbitration code would tighten the definition of “public” arbitrator for FINRA arbitration purposes. In a release, FINRA said the proposed rule changes would provide that a…
Rank this Week: 1418

Cady Bar the Door

Cady Bar the Door

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

http://www.secmiscellany.com
  • Aug 20

    Unregistered Brokers: Watch out for Shortcut

    Unregistered Brokers: Watch out for Shortcut
    One of the things I’ve learned since returning to private practice three years ago is that people like to raise money for profitable enterprises when they can.  And why not?  It can be lucrative.  And if the people…
  • Jul 28

    Guns and More Guns: SEC Hits Smith & Wesson for FCPA Violation

    Guns and More Guns: SEC Hits Smith &amp; Wesson for FCPA Violation
    One thing the SEC likes to do is bring cases with a lot of deterrent value.  That is, cases that it hopes will scare other people and companies into complying with the law.  Often that means cases with large price tags…
  • Jul 20

    Foreign Pink Sheets Companies and the FCPA

    Foreign Pink Sheets Companies and the FCPA
    Penny stock companies have been much in the news recently.  They can be tough entities for law enforcement to look into given that their officers and directors are often not inclined to cooperate with government investigations. …
Rank this Week: 1440

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/
  • Aug 20

    M&A: Bankruptcy-Proofing a License

    M&amp;A: Bankruptcy-Proofing a License
    In this video, Jeff Bell of Morrison & Foerster uses an IP portfolio as an example when explaining how to make that acquisition more valuable by insuring financial stability and lowering the risk of insolvency.
  • Aug 19

    U.S. Mid Year Activism Review: Slow Start, Big Finish

    U.S. Mid Year Activism Review: Slow Start, Big Finish
    From ISS: The resurgence in proxy contest activism that began in 2012 appeared to have stalled by Q1 of 2014 when only two contested situations went to a shareholder vote, compared to eight in the first quarter of 2013. Both of these…
  • Aug 14

    Strine Wears New Robes: News at 11

    Strine Wears New Robes: News at 11
    I chuckled to see this article from DelawareOnline about the new style of judicial robe that Chief Justice Strine is rocking. Legal fashion is in baby! Justice of a different stripe?
Rank this Week: 1370

Stock Attorneys Blog

Stock Attorneys Blog

Covers FINRA arbitration, securities litigation, and stockbroker misconduct. By Blum Law Group.

http://www.stockattorneysblog.com/
  • Aug 18

    LPL Financial Fraught with Allegations of Supervisory Failure

    LPL Financial Fraught with Allegations of Supervisory Failure
    Advisor Independence Achilles Heel for Gigantic Investment Organization LPL Financial is one of the nation’s largest broker/dealer investment firms, yet it is not an investment firm in the traditional sense. Whereas most investment…
  • Aug 12

    Total Wealth Management Sanctions Kickback

    Total Wealth Management Sanctions Kickback
    Top Executives Foster Flagrant Fraud Practices It goes without saying that there is a lot of money to be made in the investment industry. Even when investment firms and advisors follow the rules that govern the industry, they stand to earn…
  • Aug 4

    U.S. Attorney’s Office Files Parallel Action in Response to Previous CFTC Fraud Charge

    U.S. Attorney’s Office Files Parallel Action in Response to Previous CFTC Fraud Charge
    The types of investments that one can invest in are nearly as diverse as the brokers who trade them and the investors who invest in them. One such investment practice is commodity futures pools. This type of investment is a private…
Rank this Week: 1244

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
  • Aug 18

    The Gov. Rick Perry Indictment: Another Weak Case that Shouldn’t Have Been Charged

    The Gov. Rick Perry Indictment: Another Weak Case that Shouldn’t Have Been Charged
    The news outlets exploded this weekend with commentary on the Gov. Rick Perry indictment, and the criticism was fast and swift to deem it a very weak case. On Friday, Perry was indicted on two felony counts that arose from … Continue…
  • Aug 14

    Federal Lawsuit Highlights Powerful Civil Forfeiture Tool

    Federal Lawsuit Highlights Powerful Civil Forfeiture Tool
    This post was co-authored by White Collar Alert contributor, Erin Dougherty. In a federal complaint filed on Monday, three Philadelphia homeowners whose homes have been targeted for state civil forfeiture have sued the city of Philadelphia,…
  • Aug 6

    Public Officials: Don’t Drive the Ferrari and Don’t Take the Rolex

    Public Officials: Don’t Drive the Ferrari and Don’t Take the Rolex
    Whether or not prosecutors will prove the 14 count indictment against former Governor Bob McDonnell of Virginia and his wife, Maureen, remains to be seen. The public corruption trial is currently into the second week, and the New York Times…
Rank this Week: 1029

The Securities Edge

The Securities Edge

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

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

    Bob Lamm joins The Securities Edge (and returns to Gunster)

    Bob Lamm joins The Securities Edge (and returns to Gunster)
    Posted By: David C. Scileppi The Securities Edge is excited to announce a new blogger to the fold: Bob Lamm!  After a 12-year “hiatus”, Bob has rejoined Gunster.   Bob is widely considered a national…
  • Aug 17

    Trying to save its own neck? ISS works to assure “data integrity”

    Trying to save its own neck? ISS works to assure “data integrity”
    Posted By: David C. Scileppi On Thursday, Institutional Shareholder Services Inc. (ISS) announced the launch of a new data verification portal to be used for equity-based compensation plans that U.S. companies submit for approval by their…
  • Jul 30

    Delaware vs Florida: Where should you incorporate?

    Delaware vs Florida: Where should you incorporate?
    Posted By: Gustav L. Schmidt There is an attraction for companies to incorporate in Delaware, likely due to the abundance of well-known publicly traded corporations that have chosen to incorporate there. However, it is not necessarily true…
Rank this Week: 1131

Startup Law Blog

Startup Law Blog

Covers legal and regulatory developments in startup, securities law and regulation. By Joe Wallin.

http://www.startuplawblog.com/
  • Aug 16

    Intrastate Crowdfunding and the 499 Shareholder Problem

    Intrastate Crowdfunding and the 499 Shareholder Problem
    In prior posts I have lamented the problems with the federal crowdfunding law.  The SEC is still behind on finalizing rules implementing the crowdfunding provisions of the JOBS Act. In the meantime, Washington State and a handful of…
  • Aug 16

    Intrastate Crowdfunding and the 499 Unaccredited Shareholder Problem

    Intrastate Crowdfunding and the 499 Unaccredited Shareholder Problem
    In prior posts I have lamented the problems with the federal crowdfunding law.  The SEC is still behind on finalizing rules implementing the crowdfunding provisions of the JOBS Act. In the meantime, Washington State and a handful of…
  • Aug 4

    How Does Private Equity Develop M&A Investment Strategies?

    How Does Private Equity Develop M&amp;A Investment Strategies?
    Please join us for the Pacific Rim M&A Institute’s Q3 session. This session will address questions such as: How does private equity develop M&A investment strategies? What is the investment life cycle of various different types…
Rank this Week: 1084

Tim O'Connor's Blog

Tim O'Connor's Blog

Covers stockbroker fraud.

http://stockbrokerlaw.com/tim-oconnors-blog
  • Aug 12

    ERISA Plan Trustees Subject to Offsets for Prohibited Transactions as Functional Fiduciarie

    ERISA Plan Trustees Subject to Offsets for Prohibited Transactions as Functional Fiduciarie
    ERISA-Qualified Pension Plans The past decade has seen an explosion of new investment products being purchased in ERISA-qualified pension plans. These products, including structured products, auction rate notes, private placements, managed…
  • Jul 31

    Tenants-in-Common Investments: An Accident Waiting to Happen

    Tenants-in-Common Investments: An Accident Waiting to Happen
    The most common form of tenancy-in-common interests involves ownership interests in real property, with two or more persons possessing undivided interests in the property. Section 1031 of the Internal Revenue Code codified permissible…
  • Jul 21

    New York State Deferred Compensation Plan Beneficiary Designation

    New York State Deferred Compensation Plan Beneficiary Designation
    The New York State Deferred Compensation Plan is presently administered through Nationwide, and curiously, beneficiary designation forms must be mailed to an address in Ohio, not New York State. The New York State Deferred Compensation Plan…
Rank this Week: 1442

Stock Broker Attorney Blog

Stock Broker Attorney Blog

Covers current investigations, opinions and industry news relating to securities arbitration, investment fraud, stockbroker or brokerage firm misconduct. By Levin Papantonio Thomas Mitchell Rafferty & Proctor, P.A.

http://www.stockbrokerattorney.com/blog
  • Aug 12

    How to file a UBS Puerto Rico fund lawsuit?

    How to file a UBS Puerto Rico fund lawsuit?
    Losing your life savings because of unsuitable investment advice by your financial advisor can leave you feeling helpless and wondering where to turn. You want answers and justice. A UBS Puerto Rico fund lawsuit may be able to give you both.…
  • Jul 21

    Bond Prices Plummet for Puerto Rico Power Authority

    Bond Prices Plummet for Puerto Rico Power Authority
    Puerto Rico's power authority bonds dropped from trading at around 55 cents on the dollar to 45 cents on the dollar by the end of June as investors worry about the agency's inability to pay off its bonds and bank loans. The power authority is…
  • Jul 16

    Disciplinary Action Against BlackRock Advisors Recommended by SEC

    Disciplinary Action Against BlackRock Advisors Recommended by SEC
    The Securities and Exchange Commission (SEC) has recommend disciplinary action for possible securities violations, including the failure to disclose conflicts of interest, by BlackRock Advisors.
Rank this Week: 1254

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

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

    Does your Investment Adviser Firm Have a Social Media Policy?

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

    Who has the Right to Enforce Your Promissory Note?

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

    Calculating Breach of Fiduciary Duty Damage

    Calculating Breach of Fiduciary Duty Damage
    According to a variety of authorities including the SEC, the much-debated fiduciary duty for registered investment advisers and their representatives includes a subset of responsibilities[1].  Common sense would, or should tell you that…
Rank this Week: 1102

Stock Market Loss

Stock Market Loss

Covers misconduct by brokerage firms or financial advisors. By Hermann, Cahn & Schneider, LLP.

http://www.stockmarketloss.com/news/
  • Jul 28

    VARIABLE LIFE INSURANCE ALERT!

    VARIABLE LIFE INSURANCE ALERT!
    This article was originally posted on Stock Market Loss The lawyers of stockmarketloss.com, a practice group of Cleveland, OH law firm Hermann, Cahn & Schneider LLC, are receiving a growing number of inquiries from victims of variable…
  • Jul 24

    Why Do Variable Life Insurance Policies Fail?

    Why Do Variable Life Insurance Policies Fail?
    This article was originally posted on Stock Market Loss Purchasers of Variable Life and Variable Universal Life Insurance Policies often don’t understand that the values of the sub-account investments determine the sustainability of the…
  • Jul 23

    How Do Brokers and Insurance Agents Mislead You Into Buying VL and VUL Insurance Policies?

    How Do Brokers and Insurance Agents Mislead You Into Buying VL and VUL Insurance Policies?
    This article was originally posted on Stock Market Loss Brokers and agents who sell variable insurance products are supposed to comply both with state securities or insurance regulations and with regulations issued by the Securities and…
Rank this Week: 1034

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/
  • Jul 24

    SEC adopts money market fund reform

    SEC adopts money market fund reform
    By Robert J. Tannous On July 23, 2014, the Securities and Exchange Commission announced that it adopted amendments to the rules governing money market mutual funds. Read a copy of the final rules. These amendments complete some…
  • Jul 15

    Should entrepreneurs care about crowdfunding? It depends on the crowd.

    Should entrepreneurs care about crowdfunding? It depends on the crowd.
    By Jack J. Gravelle It has been more than two years since the JOBS Act was passed and almost nine months since the SEC proposed crowdfunding rules — but still no final rules. Should entrepreneurs care? Probably not. The proposed SEC…
  • Jul 14

    Citigroup’s $7 billion settlement allows them to “focus on the future”

    Citigroup’s $7 billion settlement allows them to “focus on the future”
    By W. Kelly Johnson U.S. Attorney General Eric Holder and Citigroup announced today that Citigroup will pay $7 billion to settle a U.S. Department of Justice (DOJ) investigation into allegations that it defrauded investors by selling shoddy…
Rank this Week: 1190

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: 1407

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/
  • May 1

    March - April 2014 Disciplinary Action

    March - April 2014 Disciplinary Action
    William Jeffrey Austin (WBB Securitiies, Redlands, California) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $7,500 and suspended from association with any FINRA member in any capacity for 30 business days. The…
  • Apr 24

    Update: Charles Schwab to Allow Customer Class Action

    Update: Charles Schwab to Allow Customer Class Action
    Today, Charles Schwab agreed to end a long standing dispute over their customer's right to participate in securities class action lawsuits. In a settlement reached with the Financial Industry Regulatory Authority (FINRA), Charles Schwab…
  • Mar 24

    Regulators Fine LPL Financial LLC $950,000 Over Unsuitable Alternative Investments Sale

    Regulators Fine LPL Financial LLC $950,000 Over Unsuitable Alternative Investments Sale
    Today, LPL Financial LLC reached a settlement with the Financial Industry Regulatory Authority (FINRA) over the firm's failure to adequately supervise the sale of non-traded REITs and other risky alternative investments. LPL's settlement…
Rank this Week: 1143