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The Race to the Bottom

The Race to the Bottom

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

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

    The SEC and Administrative Proceedings (Part 2)

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

    The SEC and Administrative Proceedings (Part 1)

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

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

    Morrison, the Second Circuit, and the Reverse Effects Test: ParkCentral Global Hub Limited v. Porsche Automobile Holdings (Part 2)
    We are discussing the Second Circuit's decision in ParkCentral Global Hub Limited v. Porsche Automobile Holdings, a case that effectively created a "reverse effects test" that was contrary to the Supreme Court's analysis…
Rank this Week: 26

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/
  • Mar 27

    Cervino & Kahn Found Guilty in $15 Million VGTel Scheme

    Cervino & Kahn Found Guilty in $15 Million VGTel Scheme
    Recovery of Investment Losses in VGTel According to Investment News, broker Christopher Cervino of Franklin Lakes, N.J., and Sheik F. Kahn, a registered investment adviser in Las Vegas, NV, have been found guilty of securities fraud by a…
  • Mar 24

    Former Pennsylvania Advisor William Bucci Barred from Securities Industry

    Former Pennsylvania Advisor William Bucci Barred from Securities Industry
    Recovery of Investment Losses with William Bucci Have you suffered losses investing with former Pennsylvania financial advisor William Bucci? If so, The White Law Group may be able to help you recover your losses by filing a FINRA arbitration…
  • Mar 23

    Investment Professionals Inc. Fined $100,000 for Allegedly Exploiting Senior Citizen

    Investment Professionals Inc. Fined $100,000 for Allegedly Exploiting Senior Citizen
    Massachusetts Regulator orders Investment Professionals Inc. (IPI) to pay a fine and restitution Investment Professionals Inc., a broker-dealer based in San Antonio, Texas, has been ordered by the Massachusetts Securities Division to pay a…
Rank this Week: 44

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Mar 27

    John Gallo: Two Regulatory Sanction

    John Gallo: Two Regulatory Sanction
    Public records provided by the Financial Industry Regulatory Authority (FINRA) on March 23, 2017 indicate that New York-based Newbridge Securities broker/adviser John Gallo has been the subject of several customer complaints and regulatory…
  • Mar 27

    John Bannon Has Received One FINRA Sanction

    John Bannon Has Received One FINRA Sanction
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on March 23, 2017 indicate that former North Carolina-based Ausdal Financial Partners broker/adviser John Bannon has been sanctioned by FINRA and…
  • Mar 27

    Ryan Murnane Was Recently Discharged From a Former Employer

    Ryan Murnane Was Recently Discharged From a Former Employer
    Public records published by the Financial Industry Regulatory Authority (FINRA) on March 23, 2017 indicate that New York-based Alexander Capital broker Ryan Murnane has been named in a pending regulatory investigation. Fitapelli Kurta is…
Rank this Week: 58

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Feb 13

    Broker Investigation: Customer Complaints Against Scott Palmer

    Broker Investigation: Customer Complaints Against Scott Palmer
    The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Scott Palmer (Palmer). According to BrokerCheck records, Palmer is subject to at least five…
  • Feb 13

    Broker Investigation: Customer Complaints Against Scott Palmer

    Broker Investigation: Customer Complaints Against Scott Palmer
    The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Scott Palmer (Palmer). According to BrokerCheck records, Palmer is subject to at least five…
  • Feb 13

    Advisor Robert Estevez Subject to Multiple Regulatory Action

    Advisor Robert Estevez Subject to Multiple Regulatory Action
    The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Robert Estevez (Estevez). According to BrokerCheck records there are at least 9…
Rank this Week: 68

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/
  • Feb 27

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: John P. Anderson, When Does Corporate Criminal Liability for Insider Trading Make Sense?, 46 Stetson L. Rev. 147 (2016). Maria Babajanian,…
  • Feb 21

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: Sara Almousa, Comment, Friends with Benefits? Clarifying the Role Relationships Play in Satisfying the Personal Benefit Requirement under…
  • Feb 6

    Reminder: National Business Law Scholars Conference Paper Submissions Due February 17

    Reminder: National Business Law Scholars Conference Paper Submissions Due February 17
    National Business Law Scholars Conference (NBLSC) Thursday & Friday, June 8-9, 2017 Call for Papers The National Business Law Scholars Conference (NBLSC) will be held on Thursday and Friday, June 8-9, 2017, at the University of Utah S.J.…
Rank this Week: 117

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
  • Mar 14

    Unsuspecting Investors May Owe Taxes on Their Individual Retirement Accounts (IRAs)

    Unsuspecting Investors May Owe Taxes on Their Individual Retirement Accounts (IRAs)
    As described in a recent article in The Wall Street Journal (“Are Taxes Lurking in Your Tax-Free Retirement Account”), many Americans are now receiving notices informing them that they owe additional taxes on their traditional…
  • Mar 7

    Steven B. Caruso Selected to Speak at 2017 New York City Bar Association Arbitration Program

    Steven B. Caruso Selected to Speak at 2017 New York City Bar Association Arbitration Program
    Steven B. Caruso, the Resident Partner in the New York City office of Maddox Hargett & Caruso, P.C., has been invited to participate as a speaker at the 2017 “Hot Topics in Securities Arbitration” program that will be offered…
  • Feb 16

    Morgan Stanley Smith Barney to Pay $8M Penalty

    Morgan Stanley Smith Barney to Pay $8M Penalty
    Morgan Stanley Smith Barney has agreed to pay an $8 million penalty and admit wrongdoing to settle SEC charges that the firm made unsuitable recommendations about single inverse exchange traded fund (“ ETF”)  investments to…
Rank this Week: 129

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/
  • Jan 31

    I Inherited an IRA Account. Now What?

    I Inherited an IRA Account. Now What?
    Ira Account Inheritance The answer to that question depends on whether you inherited the IRA account from your spouse or someone other than your spouse, such as your parent, sibling, or close friend.  You have more options if you…
  • Jan 27

    SEC Whistleblower Program is Gaining Momentum and Paying Big Bountie

    SEC Whistleblower Program is Gaining Momentum and Paying Big Bountie
    SEC Whistleblowers On January 23, the SEC announced that its whistleblower program will pay out to three whistleblowers a combined award of $7 million.  The whistleblowers’ awards were for helping the SEC pursue an investment…
  • Jan 19

    What are the pros and cons of taking a 401K loan?

    What are the pros and cons of taking a 401K loan?
    Many employers provide 401k plans for their employees.  A 401k plan is a retirement savings plan where employees can save a portion of their pre-tax earnings. Taxes aren’t paid on the money until it is withdrawn from the account.…
Rank this Week: 144

Regulation tomorrow

Regulation tomorrow

By Norton Rose Fulbright. Offers resources on the global financial services regulatory environment. It reports on financial services regulatory developments and provides insights and commentary across Africa, Asia, Australia, Canada, Europe and the United States.

http://www.regulationtomorrow.com/
  • Mar 27

    Latest developments in cybersecurity are focus of next Norton Rose Fulbright New York briefing

    Latest developments in cybersecurity are focus of next Norton Rose Fulbright New York briefing
    Norton Rose Fulbright New York office’s next financial services briefing is a breakfast seminar set for Thursday, April 6, 2017, at 8:30 AM EDT. Each month, Norton Rose Fulbright’s senior practitioners will provide interested…
  • Mar 24

    European Commission proposes merging insurance and banking supervisory authoritie

    European Commission proposes merging insurance and banking supervisory authoritie
    As part of the public consultation on the review of the European Supervisory Authorities (ESAs) the European Commission has proposed merging the European Banking Authority (EBA) and the European Insurance and Occupational Pensions Authority…
  • Mar 24

    Commission consults on developing its policy approach to FinTech

    Commission consults on developing its policy approach to FinTech
    The European Commission (Commission) has published a consultation paper, Fintech: a more competitive and innovative European financial sector. The consultation paper seeks input from stakeholders to further develop the Commission’s…
Rank this Week: 281

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

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

    Dissent asserts wrong question asked in failure of pipeline company merger

    Dissent asserts wrong question asked in failure of pipeline company merger
    By R. Jason Howard, J.D.On appeal from the Court of Chancery, the Delaware Supreme Court has affirmed the decision that Energy Transfer Equity, L.P. (ETE) did not breach its representations and warranties and that The Williams Companies,…
  • Mar 24

    SEC chief accountant highlights revenue recognition, internal control topic

    SEC chief accountant highlights revenue recognition, internal control topic
    By Amanda Maine, J.D.SEC Chief Accountant Wesley Bricker recently addressed the Annual Life Sciences Accounting and Reporting Congress in Philadelphia, where he discussed the progress of companies transitioning to FASB’s new revenue…
  • Mar 23

    Sham loan doesn’t defeat relief defendant jurisdiction

    Sham loan doesn’t defeat relief defendant jurisdiction
    By John M. Jascob, J.D., LL.M.Addressing an issue of first impression, the Ninth Circuit ruled that putative relief defendants in an SEC disgorgement proceeding could not divest a court of jurisdiction over them simply by asserting a facially…
Rank this Week: 252

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/
  • Mar 23

    Dallas Financial Adviser Indicted in $3M Texas Investment Fraud

    Dallas Financial Adviser Indicted in $3M Texas Investment Fraud
    Carlton Chadbourne Sayers has been indictment in district court. The 51-year-old is accused of Texas investment fraud and he is charged with mail fraud, wire fraud, aggravated identity fraud, and bank fraud. The scam caused dozens of…
  • Mar 20

    Rhode Island Investment Adviser Goes To Prison Over $21M Ponzi Scam

    Rhode Island Investment Adviser Goes To Prison Over $21M Ponzi Scam
    ClearPath Wealth Management owner and president Patrick Churchville has been sentenced to seven years in prison for bilking investors in a $21M Ponzi scam. He also must pay restitution and perform 2,000 hours of community service. Churchville…
  • Mar 17

    Stifel Ordered to Pay Back Retired Couple More Than $100K For their Puerto Rico Bond Fraud Losse

    Stifel Ordered to Pay Back Retired Couple More Than $100K For their Puerto Rico Bond Fraud Losse
    A Financial Industry Regulatory Authority (FINRA) panel said that Stifel, Nicolaus & Co. (“Stifel”) must pay June and Perry Burns over $100K for losses they sustained from Puerto Rico bonds and oil and gas investments. The…
Rank this Week: 316

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/
  • Mar 21

    Hold the Phone: SEC Takes One Last Stand Before the Tenth Circuit regarding the Constitutionality of the SEC’s Administrative Law Judge

    Hold the Phone: SEC Takes One Last Stand Before the Tenth Circuit regarding the Constitutionality of the SEC’s Administrative Law Judge
    Last week, the United States Securities and Exchange Commission filed a petition for rehearing en banc with the Tenth Circuit Court of Appeals, imploring the court to reconsider a divided panel’s ruling on the unconstitutionality of its…
  • Mar 17

    Understanding the New DOJ Guidance: Part 1 – Tone at the Top

    Understanding the New DOJ Guidance: Part 1 – Tone at the Top
    In February, the Department of Justice’s Fraud Section offered a new perspective on what the government expects in a compliance program in the form of a series of questions that companies should be prepared to answer about their…
  • Mar 14

    Circuit Split on Whistleblower Protections Widen

    Circuit Split on Whistleblower Protections Widen
    On March 8, 2017, a divided panel of the Ninth Circuit issued an opinion in Somers v. Digital Realty Trust Inc. that further widened a circuit split on the issue of whether the anti-retaliation provisions in the Dodd-Frank Wall Street Reform…
Rank this Week: 541

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/
  • Mar 17

    SEC Adopts Rule Requiring Hyperlinks to Exhibits and HTML Formatting

    SEC Adopts Rule Requiring Hyperlinks to Exhibits and HTML Formatting
    On March 1, 2017, the Securities and Exchange Commission (“SEC”) announced the adoption of amendments that will require registrants that file certain registration statements and reports subject to the exhibit requirements of Item…
  • Mar 9

    Delaware Court of Chancery Holds that Cancellation of Shares Through Merger Deprives Stockholder of Standing in Section 220 Action

    Delaware Court of Chancery Holds that Cancellation of Shares Through Merger Deprives Stockholder of Standing in Section 220 Action
    In Weingarten v. Monster Worldwide, Inc., C.A. No. 12931-VCG, 2017 WL 752179 (Del. Ch. Feb. 27, 2017), the Delaware Court of Chancery (Glasscock, V.C.) clarified when a plaintiff has standing to vitiate inspection rights under Delaware…
  • Mar 3

    SNAP IPO Debuts On NYSE

    SNAP IPO Debuts On NYSE
    SNAP Inc., the parent company of Snapchat, went public yesterday with a valuation of approximately $33.4 billion. The Company raised $3.4 billion at $17 per share, and is now trading well above the IPO price. While SNAP has reported…
Rank this Week: 456

Recover Investment Losses Blog

Recover Investment Losses Blog

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

http://blog.rexsecuritieslaw.com
Rank this Week: 427

Securities Law Attorneys Blog

Securities Law Attorneys Blog

Covers securities law. By Fitapelli | Kurta.

http://www.securitieslawattorneys.net/
  • Mar 27

    Michael Oromaner Has Received Two Regulatory Sanction

    Michael Oromaner Has Received Two Regulatory Sanction
    Publicly available records published by the Financial Industry Regulatory Authority on March 24, 2017 indicate that former New York-based Cova Capital Partners broker Michael Oromaner has been sanctioned by FINRA and is currently not…
  • Mar 27

    Philip Rosenzweig: Received Four Customer Complaint

    Philip Rosenzweig: Received Four Customer Complaint
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on March 24, 2017 indicate that Florida-based Westpark Capital broker Philip Rosenzweig has been the subject of several resolved or pending customer…
  • Mar 27

    John Bodnar: Recently Terminated From Merrill Lynch

    John Bodnar: Recently Terminated From Merrill Lynch
    Public records published by the Financial Industry Regulatory Authority (FINRA) on March 23, 2017 indicate that Florida-based International Assets Advisory broker/adviser John Bodnar has received several customer complaints and was recently…
Rank this Week: 1007

Investment Fraud Information

Investment Fraud Information

By Andrew Stoltmann.

http://www.investmentfraudtimes.com/securities-fraud-attorneys/
  • Mar 27

    Attention Investors: UDF Losses With Geneos Wealth Management

    Attention Investors: UDF Losses With Geneos Wealth Management
    Stoltmann Law Offices is committed to helping you recover your losses with United Development Funding (UDF). UDF was a group of real estate investment trusts (REITs) and included UDF III, IV and V series. These REITs were sold to investors by…
  • Mar 27

    How To Sue TGP Securities For Failing to Supervise

    How To Sue TGP Securities For Failing to Supervise
      According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), TGP Securities allegedly failed to supervise two representatives’ private securities transactions,…
  • Mar 24

    For Investors Who Suffered Losses With Stash John Graham and UDF IV

    For Investors Who Suffered Losses With Stash John Graham and UDF IV
    Did you lose money with Stash John Graham, formerly with JP Turner in Scottsdale, Arizona? If so, the attorneys of Stoltmann Law Offices are interested in speaking with you regarding your losses. Graham offered investments in United…
Rank this Week: 1020

Subject to Inquiry

Subject to Inquiry

Looks at white collar, congressional, SEC, energy enforcement and other government inquiries. By McGuireWoods.

http://www.subjecttoinquiry.com/
  • Mar 27

    CFPB Fails to State Case Against Payment Processor

    CFPB Fails to State Case Against Payment Processor
    The United States District Court for the District of North Dakota recently dismissed the Consumer Financial Protection Bureau’s (CFPB) complaint against a payment processor, Intercept, in a case McGuireWoods has been monitoring. …
  • Mar 20

    President’s Proposed Budget Increases Healthcare Fraud Enforcement Funding

    President’s Proposed Budget Increases Healthcare Fraud Enforcement Funding
    Much of the discussion surrounding President Trump’s 2018 budget blueprint has focused on cuts, but one proposed budget increase shows the new administration is likely to continue focusing on healthcare fraud enforcement.  Among…
  • Mar 13

    SEC Opens Cease-and-Desist Order Proceeding against Broker-Dealer and Chief Compliance / AML Officer

    SEC Opens Cease-and-Desist Order Proceeding against Broker-Dealer and Chief Compliance / AML Officer
    As we have highlighted in prior posts, regulators of financial institutions, including FinCEN, FINRA and SEC, have increasingly brought actions to bring organizations – and individuals – into compliance with AML / BSA…
Rank this Week: 945

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/
  • Mar 27

    Improper Purpose Frustrates Member’s Assertion Of A Proper Purpose

    Improper Purpose Frustrates Member’s Assertion Of A Proper Purpose
    The inspection rights of members of California nonprofit mutual benefit corporations mirror those of shareholders of corporations under the General Corporation Law. Section 8333 of the Corporations Code provides that the accounting books and…
  • Mar 24

    Want To File A Derivative Suit? You May Soon Be Required To Read Statute

    Want To File A Derivative Suit? You May Soon Be Required To Read Statute
    I have been writing recently about SB 203, a bill that is now pending in the Nevada legislature.  As introduced, the bill would, among other things, require the following: In an action involving or relating to a…
  • Mar 23

    Nevada Legislature Ponders Rejection Of Unocal And Revlon Standard

    Nevada Legislature Ponders Rejection Of Unocal And Revlon Standard
    Thirty years ago, the Delaware Supreme Court issued two seminal opinions concerning how courts ought to review director decisionmaking in merger and acquisition transactions.  In the first case, Unocal Corporation v.…
Rank this Week: 763

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
  • Mar 24

    New Recommendations by the FINRA Dispute Resolution Task Force (12th Article)

    New Recommendations by the FINRA Dispute Resolution Task Force (12th Article)
    From the Desk of Jim Eccleston at Eccleston Law LLC:This is the twelfth in a series of posts to discuss the 51 recommendations that the FINRA Dispute Resolution Task Force (Task Force) has made to the National Arbitration and Mediation…
  • Mar 21

    New Recommendations by the FINRA Dispute Resolution Task Force (11th Article)

    New Recommendations by the FINRA Dispute Resolution Task Force (11th Article)
    From the Desk of Jim Eccleston at Eccleston Law LLC:This is the eleventh in a series of posts to discuss the 51 recommendations that the FINRA Dispute Resolution Task Force (Task Force) has made to the National Arbitration and Mediation…
  • Mar 17

    New Recommendations by the FINRA Dispute Resolution Task Force (10th Article)

    New Recommendations by the FINRA Dispute Resolution Task Force (10th Article)
    From the Desk of Jim Eccleston at Eccleston Law LLC:This is the tenth in a series of posts to discuss the 51 recommendations that the FINRA Dispute Resolution Task Force (Task Force) has made to the National Arbitration and Mediation…
Rank this Week: 1031

New York Securities Lawyers Blog

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

http://www.newyorksecuritieslawyersblog.com/
  • Mar 23

    You May Know About Your Broker, But How Much Do You Know About Your Brokerage Firm?

    You May Know About Your Broker, But How Much Do You Know About Your Brokerage Firm?
    There is an interesting point in this week’s Wall Street Journal titled “Brokerage Files Don’t Give The Full Pictures,” which talks about the how brokerage firms and individual brokers are held to different standards,…
  • Mar 20

    Rhode Island Financial Advisor Sentenced to 7 Years in Prison for Ponzi Scheme

    Rhode Island Financial Advisor Sentenced to 7 Years in Prison for Ponzi Scheme
    Patrick Churchville of Rhode Island has been accused of orchestrating a $21 million Ponzi scheme and was recently sentenced to 7 years in prison by a federal judge, according to an Investment News report. Mr. Churchville is the owner and…
  • Mar 2

    AARP Fraud Watch Network Publishes a New Study About Who Is Vulnerable To Elder Fraud

    AARP Fraud Watch Network Publishes a New Study About Who Is Vulnerable To Elder Fraud
    According to the Consumer Financial Protection Bureau, 17 percent of Americans 65 and older, have already been the victims of financial exploitation. A new study by the AARP Fraud Watch Network reveals that Americans who lose money to fraud…
Rank this Week: 616

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
  • Mar 20

    Bill Singer Analyzes FINRA Expungement Rules 2080 and 2081

    Bill Singer Analyzes FINRA Expungement Rules 2080 and 2081
    To say that we live in a litigious age is something of an understatement. That being said, as a lawyer, who the hell am I to complain about more business? Frankly, it's an ill lawsuit that blows no good for the legal profession. On Wall…
  • Mar 20

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
    Warp Speed Dismissal In Lightspeed Trading ArbitrationYa got yer speed of sound. Ya got yer speed of light. And then, for all you Trekkies, ya got yer warp speed. In a recent FINRA public customer arbitration, the three arbitrators moved…
  • Mar 20

    Warp Speed Dismissal in Lightspeed Trading Arbitration

    Warp Speed Dismissal in Lightspeed Trading Arbitration
    Ya got yer speed of sound. Ya got yer speed of light. And then, for all you Trekkies, ya got yer warp speed. In a recent FINRA public customer arbitration, the three arbitrators moved about as fast as possible to toss the case and recommend…
Rank this Week: 925

InvestorLawyers.net

InvestorLawyers.net

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

http://www.investorlawyers.net/blog/
  • Oct 13

    Former NEXT Financial Broker Douglas P. Simanski Barred for Alleged Theft

    Former NEXT Financial Broker Douglas P. Simanski Barred for Alleged Theft
      Financial Industry Regulatory Authority (FINRA) records indicate that Douglas P. Simanski (Simanski), a former stockbroker who was associated with NEXT Financial Group, has been permanently barred from the brokerage…
  • Oct 13

    Platinum Partners Hedge Funds Under Scrutiny

    Platinum Partners Hedge Funds Under Scrutiny
    Platinum Partners LP Funds are under scrutiny after federal agents reportedly raided the funds’ New York offices in July 2016.  Hedge fund entities sponsored by Platinum Partners include the Platinum Partners Value Arbitrage Funds,…
  • Oct 13

    FINRA Fines Investors Capital Over Unit Investment Trust Sale

    FINRA Fines Investors Capital Over Unit Investment Trust Sale
    The Financial Industry Regulatory Authority (FINRA) recently fined Investors Capital Corporation $250,000 over the sale of unit investment trusts (UITs).  Investors Capital did not admit or deny the allegations leading to the fine, but…
Rank this Week: 1004

William Carleton, Counselor @ Law

William Carleton, Counselor @ Law

Covers legal and investment issues facing emerging tech companies.

http://www.wac6.com/wac6/
  • Mar 16

    Secondary Sales and An Investor Covenant You Don’t Want To Mi

    Secondary Sales and An Investor Covenant You Don’t Want To Mi
    Dear Readers: This is a post I co-wrote with Joe Wallin, who has published the almost identical post here. If you are investing in early stage companies, there are certain deal terms you want. Most you probably know already: if...
  • Mar 11

    A Gift from Congress to Angel

    A Gift from Congress to Angel
    The picture here was taken by Joe Wallin, who was on a panel with me, Gary Kocher of K&L Gates, Tom Alberg of Madrona Ventures, and Dan Rosen of the Alliance of Angels, talking to the Angel Capital Association's NW...
  • Mar 3

    Looking for Mr. 506(c)

    Looking for Mr. 506(c)
    "On a relative basis, issuances claiming the new Rule 506(c) exemption have accounted for only 2.1% of the reported capital raised pursuant to Rule 506 since becoming effective in September 2014." So reads a key finding of a report,…
Rank this Week: 603

North Carolina Business Litigation…

North Carolina Business Litigation Report

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

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

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

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

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

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

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

    NC Business Court Revokes Pro Hac Vice Admission Of Out Of State Lawyer
    Judge McGuire came down pretty hard on a Florida attorney admitted pro hac vice (meaning "for this one particular occasion") by another Superior Court Judge, in McCarthy v. Hampton, 2016NCBC 4.  He revoked the lawyer's admission and…
Rank this Week: 1160

Securities Class Action &…

Securities Class Action & Arbitration Law

Covers securities class action litigation and FINRA arbitrations, SEC regulatory developments and FINRA disciplinary decisions. By Jay Eng.

http://securitiesattorneys.us/
Rank this Week: 593

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: 1163

Corporate Finance & Securities Law…

Corporate Finance & Securities Law Blog

Covers mergers and acquisitions, private to public transactions, public company disclosure, regulatory defense, and other financial issues. By The Lebrecht Group.

http://www.thelebrechtgroup.com/blog/
  • Jul 11

    SEC Allows Solicitation in Private Offering

    SEC Allows Solicitation in Private Offering
    At long last, the SEC has approved general solicitation in 506 offerings.  I have previously blogged on the subject here and here. It seems each stakeholder group is claiming it as their own victory.  Hedge funds, crowdfunders,…
  • Jun 19

    Sponsored Research. When Is It Independent?

    Sponsored Research. When Is It Independent?
    This week, Fox Business News contributor Tobin Smith was terminated because he violated their policy that “no contributor to FBN [Fox Business Network], nor his/her firm, and/or family members are allowed to accept financial…
  • Jun 6

    When Is It a Good Strategy To Lie to the SEC?

    When Is It a Good Strategy To Lie to the SEC?
    This, of course, is a misleading question.  The answer is never.  In case you need some law to back up that conclusion, take a look at the recent case of Robert J. Vitale.  Mr. Vitale was the subject of an SEC enforcement…
Rank this Week: 1149

The Lebrecht Group, APLC Blog

The Lebrecht Group, APLC Blog

Discusses corporate securities law .

http://www.thelebrechtgroup.com/blog/
  • Jul 11

    SEC Allows Solicitation in Private Offering

    SEC Allows Solicitation in Private Offering
    At long last, the SEC has approved general solicitation in 506 offerings.  I have previously blogged on the subject here and here. It seems each stakeholder group is claiming it as their own victory.  Hedge funds, crowdfunders,…
  • Jun 19

    Sponsored Research. When Is It Independent?

    Sponsored Research. When Is It Independent?
    This week, Fox Business News contributor Tobin Smith was terminated because he violated their policy that “no contributor to FBN [Fox Business Network], nor his/her firm, and/or family members are allowed to accept financial…
  • Jun 6

    When Is It a Good Strategy To Lie to the SEC?

    When Is It a Good Strategy To Lie to the SEC?
    This, of course, is a misleading question.  The answer is never.  In case you need some law to back up that conclusion, take a look at the recent case of Robert J. Vitale.  Mr. Vitale was the subject of an SEC enforcement…
Rank this Week: 1226

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: 1089

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: 920

Securities Lawyer 101

Securities Lawyer 101

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

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

    Going Public Blog l Securities Lawyer 101

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

    Going Public Blog l Securities Lawyer 101

    Going Public Blog l Securities Lawyer 101
      Securities Lawyer 101 Blog Going public is a big step for any company.  The process of “going public” is complex and at times precarious.  While going public offers many benefits it also comes with risks and…
  • Jan 23

    SEC Final Judgment Entered Against Graduate Leverage

    SEC Final Judgment Entered Against Graduate Leverage
    Going Public LawyerOn December 23, 2016, the United States District Court for the District of Massachusetts entered final judgments against Graduate Leverage, LLC, GL Capital Partners, LLC, GL Investment Services, LLC, Taft Financial…
Rank this Week: 2795

Oil & Gas Investment Fraud Lawyer…

Oil & Gas Investment Fraud Lawyer Blog

Covers securities issues with a focus on oil & gas investment fraud. By Silver Law Group, The Law Firm of David R. Chase, P.A., and Ciklin Lubitz & O'Connell.

http://www.oilgasinvestmentfraudlawyer.com/
  • Mar 27

    Retiree Recovers in FINRA Arbitration After Broker Recommended Breitburn Energy

    Retiree Recovers in FINRA Arbitration After Broker Recommended Breitburn Energy
    A retired investor recovered over $20,000 in February 2017 in a FINRA arbitration involving the sale of Breitburn Energy Partners LP (“Breitburn”). According to the FINRA award, the retiree alleged unsuitability, failure to…
  • Jan 31

    Shareholders Lose as Peabody Energy Gets Chapter 11 Bankruptcy Plan Approval

    Shareholders Lose as Peabody Energy Gets Chapter 11 Bankruptcy Plan Approval
    Peabody Energy (OTCPK: BTUUQ) announced on January 26, 2016 that the U.S. Bankruptcy Court for the Eastern District of Missouri approved the company’s reorganization plan, disclosure statement, private placement agreement and backstop…
  • Jan 31

    Shareholders Lose as Peabody Energy Gets Chapter 11 Bankruptcy Plan Approval

    Shareholders Lose as Peabody Energy Gets Chapter 11 Bankruptcy Plan Approval
    Peabody Energy (OTCPK: BTUUQ) announced on January 26, 2016 that the U.S. Bankruptcy Court for the Eastern District of Missouri approved the company’s reorganization plan, disclosure statement, private placement agreement and backstop…
Rank this Week: 2199

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: 4443

McEldrew Young Blog

McEldrew Young Blog

Covers whistleblower law and wage theft for employees.

http://www.mceldrewyoung.com/blog/
Rank this Week: 2103

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

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

    Ooh! Ahh! Corp Fin Lifestyle

    Ooh! Ahh! Corp Fin Lifestyle
    In this 33-minute podcast, Brian Lane & Jim Moloney talk about their SEC days, including: 1. How did you wind up being a securities lawyer? 2. What was your career path within the SEC? 3. What is one of your fondest memories in Corp Fin?…
  • Mar 24

    Clayton Confirmation: Make America’s Capital Markets Great Again

    Clayton Confirmation: Make America’s Capital Markets Great Again
    Yesterday, the Senate held a confirmation hearing on Jay Clayton’s nomination to serve as SEC Chair.  In his opening statement, Jay touched on some of his priorities – and improving…
  • Mar 23

    “Hasta La Vista” T+3: SEC Adopts T+2 Settlement

    “Hasta La Vista” T+3: SEC Adopts T+2 Settlement
    Yesterday, the SEC adopted an amendment to Rule 15c6-1(a) mandating a T+2 settlement cycle.  Here’s the 146-page adopting release.  The amendment prohibits a broker-dealer from effecting – or entering…
Rank this Week: 2580

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/
  • Mar 27

    The Williams Cos. v. Energy Transfer: A Rare Dissent on Delaware’s High Court

    The Williams Cos. v. Energy Transfer: A Rare Dissent on Delaware’s High Court
    Last week, the Delaware Supreme Court affirmed the Chancery Court’s decision in The Williams Companies v. Energy Transfer. There’s nothing unusual about that – the Supreme Court and the Chancery Court are usually…
  • Mar 24

    Need a Break? Visit our “Deal Cube Museum”

    Need a Break? Visit our “Deal Cube Museum”
    Need a break? Don’t check your NCAA bracket – you’ll only get depressed.  Visit our “Deal Cube Museum” instead.  We’ve got prime artifacts from some of the great – and maybe…
  • Mar 23

    Delaware: Director Self-Interest Cleansed through Stockholder Vote

    Delaware: Director Self-Interest Cleansed through Stockholder Vote
    This Fried Frank memo reviews Vice Chancellor Laster’s recent decision in Columbia Pipeline Group, Inc. Stockholder Litigation (Del. Ch.; 3/17) – which held that the ability to “cleanse” transactions through a…
Rank this Week: 2578

Classified: The Class Action Blog

Classified: The Class Action Blog

A blog focused on the latest class action developments and trends by the attorneys of Carlton Fields Jorden Burt.

http://classifiedclassaction.com/
Rank this Week: 1843

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

http://www.hedgefundlawblog.com
  • Mar 24

    Hedge Fund Bits and Pieces for March 24, 2017

    Hedge Fund Bits and Pieces for March 24, 2017
    Happy Friday from rainy San Francisco. As a reminder, there is one week left for investment advisers to complete the annual ADV update. **** Notes on cryptocurrency and blockchain – earlier this week Coinbase added a new margin…
  • Mar 17

    Hedge Fund Bits and Pieces for March 17, 2017

    Hedge Fund Bits and Pieces for March 17, 2017
    Happy Friday. This week’s updates below. **** Bitcoin ETF Rejected by SEC – an application to establish an ETF which would be based on a basket of Bitcoins was rejected by the SEC on March 10. The Winklevoss brothers, noted…
  • Mar 16

    Bitcoin Hedge Funds (Cryptocurrency / AltCurrency Funds)

    Bitcoin Hedge Funds (Cryptocurrency / AltCurrency Funds)
    Overview of Blockchain Based Digital Currency Investment Fund Structures Bitcoin has recently been in the news again due to strong results over the last couple of months. Bitcoin and other digital currencies have been a bit of a fringe…
Rank this Week: 4504

New York Securities Lawyer Blog

New York Securities Lawyer Blog

Covers securities law. By Lax & Neville LLP.

http://www.newyorksecuritieslawyerblog.com/
Rank this Week: 1890

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: 4334

Stock Attorneys Blog

Stock Attorneys Blog

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

http://www.stockattorneysblog.com/
  • Mar 24

    FINRA bars North Carolina Broker/Dealer for False Testimony, and Fabricated Document

    FINRA bars North Carolina Broker/Dealer for False Testimony, and Fabricated Document
    Frank H. Black and his Firm Southeast Investments NC failed to comply with applicable securities laws by retaining business related emails and to establish, maintain and enforce, supervisory systems. Southeast Investments N.C. which was…
  • Mar 16

    Morgan Stanley pays penalty after allegations of inverse ETF investment

    Morgan Stanley pays penalty after allegations of inverse ETF investment
    The Securities and Exchange Commission (SEC) announced Feb. 14, 2017 that Morgan Stanley Smith Barney will pay $8 million and admit wrongdoing after allegations related to single inverse ETF (exchange –traded fund) investments it…
  • Feb 24

    Large FINRA Arbitration Award Against UBS of Puerto Rico Regarding Bond Fund

    Large FINRA Arbitration Award Against UBS of Puerto Rico Regarding Bond Fund
    Blum Law Group, along with Place and Hanley, LLC is pleased to report a FINRA Arbitration Award against UBS Financial Services of Puerto Rico relating to the crash of UBS closed end bond funds in 2013 which were sold to Puerto Rico…
Rank this Week: 4398

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/
  • Mar 24

    Climate change disclosure gets its day in the sun

    Climate change disclosure gets its day in the sun
    The Canadian Securities Administrators will review TSX-listed issuers’ disclosure of the material risks and financial impacts associated with climate change and related governance processes as part of a disclosure review project…
  • Mar 20

    TSX publishes guidance on advance notice policie

    TSX publishes guidance on advance notice policie
    The Toronto Stock Exchange (TSX) has reviewed 25 randomly selected advance notice policies adopted by TSX-listed issuers and has identified a number of its concerns in a Staff Notice published on March 9, 2017. The Staff Notice acknowledges…
  • Mar 20

    TSX endorses ISS and Glass Lewis guidelines for advance notice policie

    TSX endorses ISS and Glass Lewis guidelines for advance notice policie
    The Toronto Stock Exchange (TSX) has reviewed 25 randomly selected advance notice policies adopted by TSX-listed issuers and has identified a number of its concerns in a Staff Notice published on March 9, 2017. The Staff Notice acknowledges…
Rank this Week: 4279

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/
Rank this Week: 3305

Securities Compliance Sentinel

Securities Compliance Sentinel

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

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

    So I Guess It Is All About The Senior

    So I Guess It Is All About The Senior
    Contrary to what the title may suggest, I am not referring to students who are about to graduate from high school or college. Instead, this post is about that group of our society who all too often (based upon my years of defending…
  • Mar 16

    The SEC Reluctantly Vacates Collateral Bars After Court Lo

    The SEC Reluctantly Vacates Collateral Bars After Court Lo
    One of the outstanding issues relating to the Dodd-Frank Act was the SEC’s use of statutory power to regulate conduct that occurred prior to its enactment in July 2010. The United States Court of Appeals for the District of Columbia…
  • Mar 15

    If You Want Trouble, Do Not Register as a Broker-Dealer

    If You Want Trouble, Do Not Register as a Broker-Dealer
    At Fox Rothschild, we are constantly advising clients regarding the peril of engaging in the securities industry without the proper license. In fact, we have developed materials to provide our clients with information about the process. See…
Rank this Week: 4011

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/
  • Mar 22

    Indecision Hampers SEC

    Indecision Hampers SEC
    President Donald J. Trump's unpredictability may extend to his appointment of Securities and Exchange Commissioner members, financial industry government relations officials said on Tuesday.Traditionally, the SEC's five commissioners are…
  • Mar 13

    Art Cashin warns that there's something ‘disturbing' happening in the market

    Art Cashin warns that there's something ‘disturbing' happening in the market
    Stocks may be trekking higher, but Wall Street trading veteran Art Cashin says there are looming risks to the market that could soon shake things up.On CNBC's "Futures Now" last week, Cashin commented on how a "counter-intuitive" trend is…
  • Feb 27

    SEC Wants All Investors to Access High Risk Investments.

    SEC Wants All Investors to Access High Risk Investments.
    In a startling about-face, Acting Securities and Exchange Commissioner Michael Piwowar called for allowing every investor to buy unregistered securities, regardless of their income, net worth, or ability to suffer the risk of loss.The…
Rank this Week: 2576

Special Situations Law

Special Situations Law

By Norton Rose Fulbright. Covers shareholder activist and defence mandates, as well as complex reorganization transactions.

http://www.specialsituationslaw.com/
  • Mar 20

    Making your vote count II: CSA finalizes proxy voting protocol

    Making your vote count II: CSA finalizes proxy voting protocol
    The Canadian Securities Administrators (CSA) have recently released finalized guidance and protocols for meeting vote reconciliation under CSA Staff-Notice 54-305 Meeting Vote Reconciliation Protocols (the Protocols) which are implemented on…
  • Mar 13

    Glass Lewis’ 2017 Canada Policy Guideline

    Glass Lewis’ 2017 Canada Policy Guideline
    Towards the end of last year, Glass, Lewis & Co., LLC (Glass Lewis), a leading governance and proxy voting firm, released its 2017 Proxy Paper Guidelines for Canada (the Guidelines) for the upcoming 2017 proxy season.  Although the…
  • Feb 27

    Re Hemostemix Inc: Alberta Securities Commission upholds decision of TSXV in contested private placement

    Re Hemostemix Inc: Alberta Securities Commission upholds decision of TSXV in contested private placement
    Following recent amendments to Canada’s takeover bid rules, private placements in the face of hostile bids have become newly controversial. Private placements in the context of proxy contests have received less attention. Yet this is…
Rank this Week: 2205