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Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Apr 27

    IM Staff Issues FAQs on Money Market Fund Reform

    IM Staff Issues FAQs on Money Market Fund Reform
    By Amy Leisinger, J.D.The staff of the SEC’s Division of Investment Management has issued responses to frequently asked questions related to the money market fund reforms adopted in July 2014. In addition to providing specific guidance…
  • Apr 24

    NASAA Adopts Model Business Continuity Rule for Adviser

    NASAA Adopts Model Business Continuity Rule for Adviser
    By John M. Jascob, J.D.NASAA has adopted a state model rule and related guidance concerning business continuity and succession planning for investment advisers. The model rule and guidance are intended to ensure that smaller advisers fulfill…
  • Apr 23

    State Treasurers Ask SEC to Bring Dark Money Spending Into the Light

    State Treasurers Ask SEC to Bring Dark Money Spending Into the Light
    By John Filar AtwoodFive state treasurers have written to the SEC asking it to adopt a rule to require all publicly traded companies to disclose their political spending. The treasurers of Oregon, North Carolina, Rhode Island, Washington and…
Rank this Week: 25

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…
  • Jan 1

    Going Public Blog l Securities Lawyer 101

    Going Public Blog l Securities Lawyer 101
    Going Public LawyerGoing 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 quantities of…
  • 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…
Rank this Week: 45

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: 59

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: 89

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Apr 27

    Conflict Minerals: Bogus Predictions of 80% Disclosure Noncompliance?

    Conflict Minerals: Bogus Predictions of 80% Disclosure Noncompliance?
    This blog by Elm Sustainability Partners certainly got my attention. It covers a new report by Global Witness & Amnesty International, which claims there is a noncompliance rate of 80% when it comes to the SEC’s conflict minerals…
  • Apr 24

    The SEC’s Coming Pay-for-Performance Proposal: My Eight Cent

    The SEC’s Coming Pay-for-Performance Proposal: My Eight Cent
    As I blogged yesterday, the SEC has calendared an open Commission meeting for Wednesday, April 29th to finally propose the pay-for-performance rules as required by Dodd-Frank. This rulemaking is important as it could become the new standard…
  • Apr 23

    Proxy Access: Proponents Actively Solicit Support

    Proxy Access: Proponents Actively Solicit Support
    Here’s news from this blog by Davis Polk’s Ning Chiu: Companies with proxy access shareholder proposals on their annual meeting ballots are confronting a notice of exempt solicitation filed by the California Public Employees…
Rank this Week: 168

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/
  • Apr 27

    What Exactly Does The SEC Mean By “Permit”?

    What Exactly Does The SEC Mean By “Permit”?
    The Securities and Exchange Commission has proposed rule amendments to implement Section 955 of the Dodd-Frank Wall Street Reform and Consumer Protection Act, Pub. L.  No. 111-203, 124 Stat. 1900 (July 21, 2010).  Among other…
  • Apr 24

    CalPERS Board Member Contests Attorney General’s Conflicts Position

    CalPERS Board Member Contests Attorney General’s Conflicts Position
    Last December, I wrote about J.J. Jelincic, a long-term CalPERS employee who was elected for a four-year term to the Board of Administration of the California Public Employees Retirement System (aka CalPERS). Following Mr. Jelincic’s…
  • Apr 23

    Finders Bill Finds Success In Assembly Committee

    Finders Bill Finds Success In Assembly Committee
    In February, I wrote about the resurrection of a bill that would clarify the status of finders under the California Corporate Securities Law of 1968.  Earlier this week, the bill, AB 667 (Wagner) cleared its first policy committee…
Rank this Week: 190

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 10

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: Derek Fischer, Note, Dodd-Frank's Failure to Address CFTC Oversight of Self-Regulatory Organization Rulemaking, 115 Colum. L. Rev. 69…
  • Apr 4

    Assistant Director of the Center for Transactional Law and Practice Emory Law School

    Assistant Director of the Center for Transactional Law and Practice Emory Law School
    Bobby Ahdieh (Emory) forwarded me this announcement about a position in Emory's outstanding Center for Transactional Law and Practice: Emory Law School seeks an Assistant Director of the Center for Transactional Law and Practice to teach in…
  • Apr 4

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: Adam Adler, Student Article, High Frequency Regulation: A New Model for Market Monitoring, 39 Vt. L. Rev. 161 (2014). Vladimir Atanasov,…
Rank this Week: 201

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/
  • Apr 24

    FINRA Expels Aaeon Parthemer From Securities Industry

    FINRA Expels Aaeon Parthemer From Securities Industry
    According to Investment News, the Financial Industry Regulatory Authority (FINRA) has barred Wells Fargo broker and Miami socialite Aaeon Parthemer for failure to disclose his involvement in various outside businesses. FINRA rules require…
  • Apr 22

    Investigation into Broker Michael Oppenheim

    Investigation into Broker Michael Oppenheim
    Have you been defrauded by JPMorgan Chase & Co broker Michael Oppenheim? If so, the securities attorneys of The White Law Group may be able to help. According to 12News, Michael Oppenheim was arrested for allegedly stealing approximately…
  • Apr 22

    Recovery of Losses in Gulf Coast Rig & Equipment

    Recovery of Losses in Gulf Coast Rig & Equipment
    Have you suffered investment losses in Gulf Coast Rig & Equipment? If so, The White Law Group may be able to help. Unfortunately for many investors the risks associated with private placements may have been understated and misrepresented…
Rank this Week: 250

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Apr 24

    Attorneys investigate Garden State Securities broker, David Persaud

    Attorneys investigate Garden State Securities broker, David Persaud
      The securities and investment fraud law firm, Fitapelli Kurta, is interested in speaking to investors who have complaints relating to David (Dwarka) Persaud formerly of Garden State Securities. According to his BrokerCheck Report,…
  • Apr 24

    Attorneys seek complaints – Ameriprise broker, Julie Irene Smith

    Attorneys seek complaints – Ameriprise broker, Julie Irene Smith
    The securities and investment fraud law firm, Fitapelli Kurta, is interested in speaking to investors who have complaints regarding Ameriprise Financial broker, Julie Irene Smith. The post Attorneys seek complaints – Ameriprise broker,…
  • Apr 23

    Miami based Northeast Securities broker, Patrick McGrath III, suspended/fined

    Miami based Northeast Securities broker, Patrick McGrath III, suspended/fined
    The securities and investment fraud law firm, Fitapelli Kurta, is interested in speaking to investors who have complaints regarding Patrick McGrath III, of Northeast Securities’ Miami, Florida office. The post Miami based Northeast…
Rank this Week: 254

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/
  • Apr 22

    NC Business Court: What Part Of Disqualification Do You Not Understand?

    NC Business Court: What Part Of Disqualification Do You Not Understand?
    You will all recall the Business Court's disqualification of a law firm from representing its longtime client, in Kingsdown Inc. v. Hinshaw, 2015 NCBC 27.  Now there is a second chapter to the disqualification, which came in an Opinion…
  • Apr 22

    Business Court Denies TRO In The Midst of A Proxy Fight

    Business Court Denies TRO In The Midst of A Proxy Fight
    The Defendant in Allcorn v. Bradley Creek Boatominium, Inc. sought an injunction against the Plaintiffs in the midst of a proxy fight as to their allegedly defamatory statements in connection with the election of the Defendant's board of…
  • Apr 14

    Some Stats On The Business Court

    Some Stats On The Business Court
    When the North Carolina Legislature "modernized" the Business Court last year, it added a provision to the General Statutes mandating that the Director of the Administrative Office of the Courts prepare a report, twice a year, showing the…
Rank this Week: 291

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/
  • Apr 27

    OSC Report and Staff Notice on Canadian Fixed Income Market Released Today

    OSC Report and Staff Notice on Canadian Fixed Income Market Released Today
    Simon Romano - On April 23, 2015, the Ontario Securities Commission (OSC) released its report on the Canadian fixed income market and published OSC Staff Notice 21-708 – OSC Staff Report on the Canadian Fixed Income Market and Next…
  • Apr 24

    OSC follows CSA in issuing registration exemptions for certain U.S. Broker-Dealers and Adviser

    OSC follows CSA in issuing registration exemptions for certain U.S. Broker-Dealers and Adviser
    Darin Renton - Today, the OSC published OSC Rule 32-505 Conditional Exemption from Registration for United States Broker-Dealers and Advisers Servicing U.S. Clients from Ontario. OSC Rule 32-505 provides an exemption from the dealer and…
  • Apr 24

    BCSC Releases First Annual Enforcement Report

    BCSC Releases First Annual Enforcement Report
    Earlier this week, the British Columbia Securities Commission (BCSC) released its 2014 Enforcement Report, which represents the first annual enforcement report to be published by the BCSC. The 31-page report provides an overview of the…
Rank this Week: 351

William Carleton, Counselor @ Law

William Carleton, Counselor @ Law

Covers legal and investment issues facing emerging tech companies.

http://www.wac6.com/wac6/
  • Feb 20

    First Cherry Blossom

    First Cherry Blossom
    Wet and temperate in Seattle this morning. And look, Spring!
  • Feb 9

    Lark & Environ

    Lark & Environ
    Interesting stuff going on at, let's call it 10th and Seneca, about a half block east of Broadway off Madison. Lark has recently moved there, and, based on one dinner experience at the new location, is as good or better...
  • Jan 25

    One Thousand Things Worth Knowing

    One Thousand Things Worth Knowing
    This weekend I've read Paul Muldoon's newly published collection of poems, "One Thousand Things Worth Knowing." (The dust jacket sports a very pleasing design by the ubiquitous Quemadura, a brilliant designer and a kind man I will…
Rank this Week: 314

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
  • Apr 25

    Former MLB Pitcher Sues His Former Financial Adviser

    Former MLB Pitcher Sues His Former Financial Adviser
    From the Desk of Jim Eccleston at Eccleston Law LLC:Former MLB pitcher, Jaret Wright, is suing his advisers at CSI Capital Management, Sun Trust Bank and accounting firm Taylor & Faust for fraud, misrepresentation, negligence and other…
  • Apr 24

    Former Broker Allegedly Involved In Outside Business Activitie

    Former Broker Allegedly Involved In Outside Business Activitie
    From the Desk of Jim Eccleston at Eccleston Law LLC:Patric Baccam, a former Centaurus Financial broker, allegedly was involved in outside business activities. According to FINRA, Baccam received at least five customer complaints regarding his…
  • Apr 23

    FINRA Rule Related to Transaction Based Compensation Fee Has Been Approved

    FINRA Rule Related to Transaction Based Compensation Fee Has Been Approved
    From the Desk of Jim Eccleston at Eccleston Law LLC:The SEC recently approved Rule 2040 proposed by FINRA which applies to the payment of transaction based compensation to unregistered persons by member firms.  Rule 2040 will allow…
Rank this Week: 400

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/
  • Apr 24

    SEC News - Fraud, FCPA Violations, and Microcap Scheme

    SEC News - Fraud, FCPA Violations, and Microcap Scheme
    L.A.-Based Pacific West Capital Group Charged With Fraud in Sale of Life Settlement InvestmentsLos Angeles-based Pacific West Capital Group Inc. and its owner have been charged with fraud in the sale of “life settlement”…
  • Apr 24

    SEC News - Military Investment Scheme, Stolen Funds, Fraud

    SEC News - Military Investment Scheme, Stolen Funds, Fraud
    SEC Halts Investment Scheme Targeting Military PersonnelA man living in central Texas faces fraud charges and an asset freeze after being accused of telling false tales about his stockbroking experience to lure current and former U.S.…
  • Apr 22

    SEC News - Undisclosed Perks, Insider Trading, and Fraud

    SEC News - Undisclosed Perks, Insider Trading, and Fraud
    Fraud Charges Against Investment Adviser Accused of Concealing Poor Performance of Fund Assets From InvestorsAn investment adviser and her New York-based firms have been accused of hiding the poor performance of loan assets in three…
Rank this Week: 392

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/
  • Apr 23

    Proxy Contests Tick Up in 2015

    Proxy Contests Tick Up in 2015
    Here’s news from Chris Cernich and Cristiano Guerra in ISS’s Special Situations Research: Thus far, 2015 is on track to be a record year for the number of U.S. proxy contests going to a vote, according to an analysis by ISS’…
  • Apr 22

    Preserving Net Operating Losses (NOL) Carryforward: Your Action Item

    Preserving Net Operating Losses (NOL) Carryforward: Your Action Item
    Many are getting inquires about NOL pills now that a lot of companies have turned the corner. In 2014, the number of companies adopting NOL Rights Plans hit a three-year high and a tie for the most such adoptions in any year since 1998, the…
  • Apr 21

    Shareholder Activism: Are You Prepared? PwC Wants to Assess You

    Shareholder Activism: Are You Prepared? PwC Wants to Assess You
    In this blog, “The Activist Investor” pushes back against PwC’s recent report on activist investors…
Rank this Week: 391

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: 357

Sharesleuth.com

Sharesleuth.com

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

http://sharesleuth.com/
  • Feb 4

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

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

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

    Kandi Technologies Group Inc.: Where are the Go-Karts?
    When the global economy collapsed in the fall of 2008, the sharp drop in consumer spending threw the power sports industry into a steep decline. Sales of motorcycles, go-karts and all-terrain vehicles each plunged by 30 percent or more,…
  • Oct 7

    Kandi Technologies Group Inc.: The return of the cyber shill

    Kandi Technologies Group Inc.: The return of the cyber shill
    Last June, shares of Kandi Technologies Group Inc. (Nasdaq: KNDI) doubled in the space of a week, spurred on by a mysterious network of social-media touters who later deleted their posts or shut down their accounts…
Rank this Week: 401

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
  • Apr 27

    Veros Partners sued by SEC for Alleged Ponzi Scheme

    Veros Partners sued by SEC for Alleged Ponzi Scheme
    Indianapolis Securities Firm, Veros Partners, has been sued by the SEC for an assumed Ponzi scheme that raised $15M in two farm-loan offerings. The lawsuit states that, Veros owes millions of dollars to over 80 investors in past payments.…
  • Apr 24

    Report on National Senior Investor Initiative Released by FINRA & SEC

    Report on National Senior Investor Initiative Released by FINRA & SEC
    Over the next 15 years more and more baby boomers will be turning 65, the SEC and FINRA issued a report this month to help broker-dealers evaluate, craft, or improve their policies and processes for investors as they prepare for and enter…
  • Apr 20

    Zero Coupon Bonds Risky for Investor

    Zero Coupon Bonds Risky for Investor
    Investors are rushing into the uncertain and most volatile corner of the U.S. government bond market in search of bigger returns. Zero-coupon Treasury bonds, mature in more than 25 years have handed investors a return of 5.79% year to date,…
Rank this Week: 432

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Apr 27

    Gana LLP Broker Spotlight: LPL Financial Advisor Karl Romero’s Private Placement Sale

    Gana LLP Broker Spotlight: LPL Financial Advisor Karl Romero’s Private Placement Sale
    According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Karl Romero (Romero) has been the subject of at least 9 customer complaints over the course of his career. Customers have filed complaints…
  • Apr 27

    Gana LLP Broker Spotlight: Pasquale “Pat” Vitucci Sales of Variable Annuitie

    Gana LLP Broker Spotlight: Pasquale “Pat” Vitucci Sales of Variable Annuitie
    According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Pasquale “Pat” Vitucci (Vitucci) has been the subject of at least 19 customer complaints over the course of his career. Customers…
  • Apr 25

    Former RBS Securities Advisor Matthew Katke Plead Guilty For RMBS and CLO Fraud

    Former RBS Securities Advisor Matthew Katke Plead Guilty For RMBS and CLO Fraud
    According to the Department of Justice (DOJ), Matthew Katke (Katke) recently waived his right to indictment and pleaded guilty today in Hartford federal court to participating in a multimillion securities fraud scheme. Katke was registered…
Rank this Week: 429

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: 544

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: 554

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

http://www.seclawyersblog.com/
  • Apr 27

    Sonn|Erez Investigating Claims Involving Former JP Morgan Securities Broker Michael Oppenheim

    Sonn|Erez Investigating Claims Involving Former JP Morgan Securities Broker Michael Oppenheim
    Sonn|Erez is investigating claims regarding Michael J. Oppenheim, who was associated with JP Morgan Securities from October 2012 until his termination in March 2015. Oppenheim, who previously was associated with Chase Investment Services…
  • Apr 13

    Sonn|Erez Investigating Claims Involving Former Wells Fargo Broker Michael Vincent Borja

    Sonn|Erez Investigating Claims Involving Former Wells Fargo Broker Michael Vincent Borja
    Sonn|Erez is investigating claims regarding Michael Vincent Borja (CRD #5451360, Miami, Florida). Borja recently submitted an AWC in which he assessed a deferred fine of $5,000 and suspended from association with any FINRA member in any…
  • Apr 10

    Sonn|Erez Investigating Claims Involving Gregg Alan Beemer

    Sonn|Erez Investigating Claims Involving Gregg Alan Beemer
    Sonn|Erez is investigating claims regarding Gregg Alan Beemer (CRD #2248923, Dayton, Ohio). Beemer recently submitted an AWC in which he was barred from association with any FINRA member in any capacity. See FINRA Case #2014043570801).…
Rank this Week: 779

Recover Investment Losses Blog

Recover Investment Losses Blog

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

http://blog.rexsecuritieslaw.com
  • Apr 23

    ForceField Energy Stock Trading Suspended-CEO Arrested for Securities Fraud

    ForceField Energy Stock Trading Suspended-CEO Arrested for Securities Fraud
    April 21, 2015- The Securities and Exchange Commission (SEC) suspended trading in the securities of ForceField Energy, Inc. (FNRG)  until May 5th due to concerns about the adequacy and accuracy of information available to investors in…
  • Apr 23

    Former D’Hanis State Bank President Indicted for Fraud & Embezzlement

    Former D’Hanis State Bank President Indicted for Fraud & Embezzlement
    April 17, 2015- San Antonio, Texas The FBI announced that Laurie Mayfield (aka Laurie H. Scott), 54, of Fredericksburg, Texas, was indicted for bank fraud and embezzlement. According to the release, Mayfield , formerly president of…
  • Apr 23

    Houston Broker Suspended for Trading Account Without Client’s Permission

    Houston Broker Suspended for Trading Account Without Client’s Permission
    April 8, 2015- Austin, Texas The Texas State Securities Board (TSSB) suspended Bruce William Schoendorf, an investment adviser of Hurwitz Associates,  for ten days for exercising discretion in a client account in violation of a…
Rank this Week: 695

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
Rank this Week: 678

Cady Bar the Door

Cady Bar the Door

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

http://www.secmiscellany.com
  • Apr 27

    The SEC Doesn’t Love Secret Perks for Executive

    The SEC Doesn’t Love Secret Perks for Executive
    If you find yourself as the CEO of a public company, you’ll probably find pluses and minuses.  You’ll have to work really hard, but it can be lucrative, too.  You can get paid a lot of money.  And your company can…
  • Apr 20

    Two Regulatory Crise

    Two Regulatory Crise
    It strikes me that two civil regulators are facing dire attacks on aspects of their enforcement programs – both in different U.S. Courts of Appeals – at the same time.  Both of these attacks arise out of generalized statutes…
  • Apr 19

    A Non-Insider Trading Case in the District of Massachusett

    A Non-Insider Trading Case in the District of Massachusett
    Insider trading prosecutions can be difficult.  Because of the haphazard and tortuous growth of insider trading law itself, the prosecutions involve proving lots of different pesky elements.  Fiduciary duties, materiality, trading .…
Rank this Week: 996

New York Securities Lawyers Blog

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

http://www.newyorksecuritieslawyersblog.com/
Rank this Week: 826

Securities Fraud Attorney Blog

Securities Fraud Attorney Blog

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

http://www.securitiesfraudattorneyblog.com/
  • Apr 22

    Merrill Lynch Fined for Faulty Trade Reporting

    Merrill Lynch Fined for Faulty Trade Reporting
    Merrill Lynch was fined almost $20 million by the Financial Conduct Authority (FCA) in London for incorrectly reporting more than 35 million transactions from 2007 to 2014. Merrill Lynch didn’t report, at all, another 120,000…
  • Apr 15

    Labor Department Proposes New Rule Imposing Fiduciary Duty on Broker

    Labor Department Proposes New Rule Imposing Fiduciary Duty on Broker
    In what has become a hot issue this Spring, the Labor Department yesterday proposed a new set of standards for brokers who offer advice in connection with 401(k)’s and other retirement accounts. Currently, brokers are required only to…
  • Apr 10

    Concern Mounts Over the Lack of a Rule Imposing a Fiduciary Duty on Broker

    Concern Mounts Over the Lack of a Rule Imposing a Fiduciary Duty on Broker
    I noted in my March 20 post that the Chair of the SEC had just come out in favor of a rule requiring brokers to act in their clients best interests. While investors wait for the SEC to move forward on the issue, the New York City…
Rank this Week: 1015

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
  • Apr 22

    Unapproved USB Use Upsets UBS

    Unapproved USB Use Upsets UBS
    Ya got yer UBS -- which was the Union Bank of Switzerland. Ya got yer USB thumb drive -- which is a Universal Serial Bus. What happens when you combine UBS and USB?  For one enterprising stockbroker, it was a convenient way to transfer…
  • Apr 20

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
    FINRA Named As Defendant In Case Alleging Altered Electronic FilesToday's BrokeAndBroker.com Blog discusses a civil Complaint involving the somewhat esoteric legal issue of "spoliation," which involves the alleged…
  • Apr 20

    FINRA Named As Defendant In Case Alleging Altered Electronic File

    FINRA Named As Defendant In Case Alleging Altered Electronic File
    Today's BrokeAndBroker.com Blog discusses a civil Complaint involving the somewhat esoteric legal issue of "spoliation," which involves the alleged destruction or alteration of evidence. Although that doesn't necessarily sound like a…
Rank this Week: 1045

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Apr 17

    Creating Your Own Losse

    Creating Your Own Losse
    Under the PSLRA, the presumptive lead plaintiff in a securities class action is the applicant with the “largest financial interest in the relief sought by the class.”  The largest financial interest is measured by assessing…
  • Mar 25

    Omnicare Decided

    Omnicare Decided
    The U.S. Supreme Court has issued a decision in the Omnicare case holding that opinions presented in registration statements can be subject to Section 11 liability if either (a) the opinion was not genuinely held, or (b) the registration…
  • Mar 20

    The Streak Is Over

    The Streak Is Over
    Plaintiffs in securities class actions often point to insider trades as evidence that the individual defendants had a pecuniary motive to commit fraud.   But if the plaintiffs do not make any allegations related to insider…
Rank this Week: 887

Stock Market Loss

Stock Market Loss

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

http://www.stockmarketloss.com/news/
  • Apr 3

    Merrill Lynch Axes $1.3 Billion Broker Thomas Buck for Alleged Abuse

    Merrill Lynch Axes $1.3 Billion Broker Thomas Buck for Alleged Abuse
    This article was originally posted on Stock Market Loss An Investment News article reports today that Thomas J. Buck, who was Merrill Lynch’s top financial adviser in Indiana by assets under management – reportedly $1.3 billion…
  • Mar 31

    Stockbroker Does Not Have a Fiduciary Duty to an Investor

    Stockbroker Does Not Have a Fiduciary Duty to an Investor
    This article was originally posted on Stock Market Loss The relationship that an investor has with his or her stockbroker is considered by most to be one of absolute trust. An investor entrusts a significant amount of his or her hard earned…
  • Mar 9

    Can a Stock Broker or Investor Be Sued?

    Can a Stock Broker or Investor Be Sued?
    This article was originally posted on Stock Market Loss Losing money in the stock market is not unheard of; many investors may even expect it. However, some investors may find that the loss they experience is not necessarily due to the…
Rank this Week: 839

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/
Rank this Week: 1077

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…
  • 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…
  • 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…
Rank this Week: 1100

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: 1022

Business Blog

Business Blog

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

http://www.businesslawnews.com/
  • Apr 27

    Co-Founder Feuds Highlights Importance of A Written Partnership Agreement

    Co-Founder Feuds Highlights Importance of A Written Partnership Agreement
    A recent article in the Los Angeles Times highlights that handshake agreements and napkin contracts can lead to nasty legal disputes among business co-founders. Most importantly, it underscores the need for a formal written partnership…
  • Apr 24

    Is Your Business Doing Enough to Combat Distracted Driving?

    Is Your Business Doing Enough to Combat Distracted Driving?
    In recognition of Distracted Driving Awareness Month, we would like to share a startling statistic — distracted driving is currently the most common cause of workplace fatalities in the United States. To keep employees safe and avoid…
  • Apr 22

    In Light of Earth Day: Could Your Business Use a Little More “Green?”

    In Light of Earth Day: Could Your Business Use a Little More “Green?”
    Earth Day was first created as an environmental awareness event in the United States in 1970. Today, it is celebrated around the world. The initial demonstration, which included 20 million Americans protesting in cities across the country, is…
Rank this Week: 1893

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/
  • Apr 23

    Delaware Chancery Awards Investors $171 Million

    Delaware Chancery Awards Investors $171 Million
    On April 20, 2015, the Delaware Court of Chancery issued a decision awarding $171 million in damages to the common unitholders of a limited partnership against its general partner in connection with a “dropdown” transaction. …
  • Apr 21

    Internal Investigations: Do No Harm

    Internal Investigations: Do No Harm
    Internal investigations are an ever-present challenge for companies. They can involve virtually any topic and arise in myriad ways.  Embezzlement, accounting improprieties, bribery, and financial statement adjustments can all lead to a…
  • Apr 14

    Remote Tippees Beware: Even if the DOJ Can’t Reach You After Newman, The SEC Can

    Remote Tippees Beware: Even if the DOJ Can’t Reach You After Newman, The SEC Can
    The fall-out from the Second Circuit’s decision in U.S. v. Newman continued last week in SEC v. Payton, when Southern District of New York Judge Jed S. Rakoff denied a motion to dismiss an SEC civil enforcement action against two Read…
Rank this Week: 1767

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/
  • Apr 22

    Trader Blamed in 2010 Flash Crash is Arrested in London

    Trader Blamed in 2010 Flash Crash is Arrested in London
    Almost five years after the 20-minute Flash Crash when the Dow Jones Industrial Average plunged nearly 600 points and then quickly rebounded, the U.S. Department of Justice has arrested trader Navinder Singh Sarao. He is accused of allegedly…
  • Apr 18

    Texas Securities Scam Allegedly Bilked Investors of $4.4M

    Texas Securities Scam Allegedly Bilked Investors of $4.4M
    The Securities and Exchange Commission has filed a lawsuit accusing Mieka Energy Corporation of Texas Securities Fraud. The oil and gas company and Daro Ray Blankenship, its president and founder, allegedly defrauded at least 60 investors…
  • Apr 16

    Former JPMorgan Chase Investment Adviser Faces Criminal and Civil Charges for Allegedly Stealing $20M from Client

    Former JPMorgan Chase Investment Adviser Faces Criminal and Civil Charges for Allegedly Stealing $20M from Client
    Michael Oppenheim, an ex-JPMorgan Chase (JPM) investment adviser, was arrested this week and charged with bilking clients of at least $20 million. Oppenheim worked for the firm from 2002 until March of this year. Authorities claim that…
Rank this Week: 1323

Tim O'Connor's Blog

Tim O'Connor's Blog

Covers stockbroker fraud.

http://stockbrokerlaw.com/tim-oconnors-blog
  • Apr 6

    Fifteen Investment Tips for 2015

    Fifteen Investment Tips for 2015
    The Office of Investor Education and Advocacy of the United States Securities and Exchange Commission recently issued an Investor Bulletin entitled, “15 Investment Tips for 2015.” The Bulletin highlights a number of suggestions…
  • Apr 1

    FINRA Issues Cybersecurity Investor Alert

    FINRA Issues Cybersecurity Investor Alert
    On February 3, 2015, FINRA issued an investor alert, entitled “Cybersecurity and Your Brokerage Firm,” outlining the essential questions investors should ask that brokerage firms regarding the safeguarding of their personal…
  • 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…
Rank this Week: 1781

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

http://www.hedgefundlawblog.com
  • Apr 1

    Hedge Fund Events April 2015

    Hedge Fund Events April 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: April 1, 2015 Sponsor: 100WHF Event: Investing in Healthcare Location: Boston, MA Date:…
  • Mar 10

    Hedge Fund Events March 2015

    Hedge Fund Events March 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. ****l Date: March 2-3, 2015 Sponsor: Information Management Network Event: Alpha Hedge East…
  • Feb 1

    Hedge Fund Events February 2015

    Hedge Fund Events February 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: February 1, 2015 Sponsor: The Venture Capital and Private Equity Club at Harvard Business…
Rank this Week: 1652

100 F Street

100 F Street

Covers securities law for growing businesses. By Vanessa Schoenthaler.

http://100fstreet.com/
  • Feb 20

    ISS Releases FAQs Related to Its 2015 Proxy Voting Policie

    ISS Releases FAQs Related to Its 2015 Proxy Voting Policie
    Yesterday Institutional Shareholder Services (ISS) released a set of five frequently asked questions related to select proxy voting policies for the 2015 proxy season. The first two questions address shareholder proxy…
  • Feb 16

    Catching Up on All Things Proxy Related From Last Week

    Catching Up on All Things Proxy Related From Last Week
    Among the many things Commission-related going on as of late, here’s a round of up some of the more notable proxy-related matters from the week that was February 9th. The Upcoming Proxy Voting Roundtable On Thursday the Commission…
  • Feb 9

    The SEC Issues Proposed Rules Regarding Disclosure of Hedging by Employees and Director

    The SEC Issues Proposed Rules Regarding Disclosure of Hedging by Employees and Director
    Yesterday the Securities and Exchange Commission announced the adoption of proposed rules to implement Section 955 of the Dodd-Frank Wall Street Reform and Consumer Protection Act which addresses disclosure of company policies…
Rank this Week: 1870

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/
  • Feb 16

    Securities Clawback Actions May be Subject to Arbitration Clause

    Securities Clawback Actions May be Subject to Arbitration Clause
    The United States Court of Appeals for the Eleventh Circuit recently held that “clawback actions brought by court-appointed receivers are not categorically exempt from the Federal Arbitration Act.”  Wiand v. Schneiderman,…
  • Feb 6

    Standard & Poor’s to Pay $1.375 Billion to Settle Lawsuit

    Standard & Poor’s to Pay $1.375 Billion to Settle Lawsuit
    According to the Department of Justice, rating agency Standard & Poor’s Financial Services, LLC (“S&P) and its parent company McGraw Hill Financial, Inc. have agreed to settle multiple lawsuits brought by the federal…
  • Dec 5

    FINRA Increases Arbitrator Pay- Passes Costs to Partie

    FINRA Increases Arbitrator Pay- Passes Costs to Partie
    According to Regulatory Notice 14-49 (“RN 14-49”) issued by the Financial Industry Regulatory Authority (“FINRA”), FINRA is increasing the pay for arbitrators assigned to hear FINRA cases and passing the costs of the…
Rank this Week: 1277

Business Law Post

Business Law Post

Covers corporate law, securities law, intellectual property, and social entrepreneurship. By Arina Shulga.

http://www.businesslawpost.com
  • Jan 19

    How to Comply with New York Blue Sky Laws?

    How to Comply with New York Blue Sky Laws?
    As I previously explained here, Rule 506 private placements involve the filing of a Form D with the SEC as well as complying with blue sky notice filings requirements in each state where the investors participating in the offering reside.…
  • Jan 19

    The SEC Increases Focus On Digital Currencie

    The SEC Increases Focus On Digital Currencie
    It is clear that the SEC has been focusing on securities fraud involving digital currencies.  In July 2013, the SEC charged Trendon T. Shavers, the founder and operator of Bitcoin Savings and Trust, with defrauding investors in a…
  • Dec 26

    Blue Sky Filings Made Easy?

    Blue Sky Filings Made Easy?
    One of the reasons that explains why Rule 506 offerings have been so popular as a means of conducting a private placement is because they are exempt from state regulation.  In 1996, the National Securities Markets Improvement Act…
Rank this Week: 1882

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: 1681

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: 1558

Securities Attorney Law Blog

Securities Attorney Law Blog

Reviews Federal Securities Fraud Litigation, Arbitration, Whistleblower Claims & Derivative Lawsuits. By Jay Eng.

http://securitiesattorneys.us/
Rank this Week: 1687

ComplianceAsia News

ComplianceAsia News

Provides information for compliance professionals dealing with issues in financial regulation with a focus on the Asian region.

http://www.compliance.asia/
  • Feb 6

    WSJ report highlights significant concerns about the nature of global AML system

    WSJ report highlights significant concerns about the nature of global AML system
    Finally there is some reporting about the dirty little secret of global AML enforcement - it might not work.  The following was reported in the Wall Street Journal today and we recommend you read the full article: The Morning Risk…
  • Oct 27

    New FATF announcements regarding the progress various countries are making on AML CFT

    New FATF announcements regarding the progress various countries are making on AML CFT
    On Friday the SFC sent around a circular to licensed firms with details of a number of additions to the AML sanctions regime and this included advice from the FATF that some countries were not doing enough to improve their AML CFT…
  • Oct 23

    Mary Jo White sets out her views on the role of compliance

    Mary Jo White sets out her views on the role of compliance
    SEC Chair, Mary Jo White, recently spoke to an industry association in the United States and talked about the importance of the rule of compliance officers.  Here is the speech: Remarks at National Society of Compliance Professionals…
Rank this Week: 1803