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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: 51

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/
  • Jan 29

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: Weiling Chou, Note, Restoring Integrity in American Businesses: A Broad Interpretation of the Foreign Corrupt Practices Act, 60 Wayne L.…
  • Jan 29

    Candadian Crowdfunding Exemption

    Candadian Crowdfunding Exemption
    The securities regulatory authorities in Manitoba, Ontario, Québec, New Brunswick and Nova Scotia have adopted in final form Multilateral Instrument 45-108, which governs crowdfunding in those jurisdictions. The Canadian Securities…
  • Jan 29

    This Week in Securities Litigation

    This Week in Securities Litigation
    The SEC Actions Blog has compiled This Week In Securities Litigation (Week ending January 29, 2016).
Rank this Week: 97

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Feb 12

    FINRA Investigates Customer Complaints Against Broker Eric Kuchel

    FINRA Investigates Customer Complaints Against Broker Eric Kuchel
    The securities fraud lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) and the agency’s complaint against broker Eric Kuchel (Kuchel). According to…
  • Feb 12

    Broker Investigation: Customer Complaints Against Broker Deeann Griebel

    Broker Investigation: Customer Complaints Against Broker Deeann Griebel
    The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Deeann Griebel (Griebel). According to BrokerCheck records Griebel is subject to at least 7…
  • Feb 12

    Mutual Fund Clearbridge Energy Fund (CEM) Investor Recovery Option

    Mutual Fund Clearbridge Energy Fund (CEM) Investor Recovery Option
    The investment attorneys with Gana LLP continue to report on investor related losses in oil and gas and commodities related investments. Investors may have potential legal remedies due to unsuitable recommendations by their broker to invest…
Rank this Week: 102

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
  • Feb 10

    Texas Securities Commissioner Bans the Sale of Pension Stream

    Texas Securities Commissioner Bans the Sale of Pension Stream
    From the Desk of Jim Eccleston at Eccleston Law LLC:Andrew Gamber, through his Jackson, Mississippi-based Sobell Corp. offered a product to retail investors called “Pension Income Stream Program.” The program made agreements with…
  • Feb 7

    What to Expect In 2016 Examination

    What to Expect In 2016 Examination
    From the Desk of Jim Eccleston at Eccleston Law LLC:In considering the priorities for the upcoming year, The Office of Compliance Inspections and Examination (OCIE) of the SEC seeks to prevent potentially heightened risk for investors and the…
  • Feb 5

    Former Advisors Indicted in $35 Million Fraud Scheme

    Former Advisors Indicted in $35 Million Fraud Scheme
    From the Desk of Jim Eccleston at Eccleston Law LLC:Angelo Alleca and Mark Morrow were indicted for their alleged involvement in a scheme that defrauded more than 300 investors of $35 million. During the time of the scheme, Alleca was…
Rank this Week: 103

Stock Broker Fraud Blog

Stock Broker Fraud Blog

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

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

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

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

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

    Man Released from Prison Faces New Fraud Charges in $11M Investor Stock Scam
    The Securities and Exchange Commission is charging Edward Durante with bilking investors once again. Durante, who already served a 10-year sentence for a previous securities fraud conviction, is accused of using different aliases to defraud…
  • Feb 5

    SEC Files Fraud Charges Against American Growth Funding II

    SEC Files Fraud Charges Against American Growth Funding II
    The Securities and Exchange Commission is pursuing a securities fraud case against American Growth Funding II, LLC. The regulator contends that the company, which raises money for business loans, lied to investors that bought high-yield…
Rank this Week: 157

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
  • Feb 8

    Energy Related Bonds & Structured Notes – A Potential Wolf in Sheep’s Clothing?

    Energy Related Bonds & Structured Notes – A Potential Wolf in Sheep’s Clothing?
    As noted in a February 5, 2016 article in The Wall Street Journal (“The Oil Rout’s Surprise Victims”), the epic collapse in the price of oil, from more than $100 per barrel less than two years ago to below $30 last week, has…
  • Jan 28

    Breaking Bad, the Junk Bond Edition

    Breaking Bad, the Junk Bond Edition
    Junk bonds, better known as high-yeild debt have seen much better days and strategists say that investors may be focusing too much on the role energy has played in the decline while underestimating other risks. According to Matthew Mish,…
  • Jan 24

    SEC Releases Examination Priorities for 2016

    SEC Releases Examination Priorities for 2016
    Released by the Office of Compliance Inspections and Examinations of the Securities and Exchange Commission, Examination Priorities for 2016. The post SEC Releases Examination Priorities for 2016 appeared first on Maddox Hargett & Caruso.
Rank this Week: 149

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/
  • Feb 12

    Investor Alert: Bradford Drilling Associate Investigation

    Investor Alert: Bradford Drilling Associate Investigation
    Have you suffered losses in Bradford Drilling Associate? If so, The White Law Group may be able to help you recover some of your losses through a FINRA dispute resolution claim against the brokerage firm that recommended the investment.…
  • Feb 11

    Resource Real Estate Investors 7 Tender Offer

    Resource Real Estate Investors 7 Tender Offer
    Have you suffered investment losses in Resource Real Estate Investors 7, L.P.? If so, The White Law Group may be able to help you recover your losses through a FINRA arbitration against the brokerage firm that sold you the investment. The…
  • Feb 11

    Sentio Healthcare Properties $5.00 Tender Offer

    Sentio Healthcare Properties $5.00 Tender Offer
    Have you suffered investment losses in Sentio Healthcare Properties, formerly Cornerstone Healthcare Plus REIT? If so, the securities attorneys of The White Law Group may be able to help you recover your losses by filing a FINRA Dispute…
Rank this Week: 177

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: 191

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Feb 12

    William Baumner IV Faces Pending Complaint

    William Baumner IV Faces Pending Complaint
    The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Florida-based Buckman Buckman & Reid broker William Baumner IV (CRD# 2298690). Stockbroker William Baumner…
  • Feb 12

    Michael Squellati Discharged from UBS Financial

    Michael Squellati Discharged from UBS Financial
    The securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against California-based Oppenheimer & Company broker/advisor Michael Squellati (CRD# 2720722). Michael Squellati has spent eighteen…
  • Feb 12

    Donna Hines (Cetera Advisors): REIT Complaint

    Donna Hines (Cetera Advisors): REIT Complaint
    The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding West Virginia-based Cetera Advisors broker Donna Hines (CRD# 4275524). Donna Hines has spent fifteen years in…
Rank this Week: 239

California Corporate & Securities…

California Corporate & Securities Law

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

http://calcorporatelaw.com/
Rank this Week: 272

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/
  • Jan 21

    Higher Filing Thresholds for HSR Act Premerger Notifications and Interlocking Directorates Announced

    Higher Filing Thresholds for HSR Act Premerger Notifications and Interlocking Directorates Announced
    1. Higher Thresholds For HSR Filings On January 21, 2016, the Federal Trade Commission announced revised, higher thresholds for premerger filings under the Hart-Scott-Rodino Antitrust Improvements Act of 1976. The filing thresholds are…
  • Jan 14

    What You Need to Know About Mergers and Acquisitions Involving Government Contractors and Their Supplier

    What You Need to Know About Mergers and Acquisitions Involving Government Contractors and Their Supplier
    Volume 1 – The Structure of the Deal and Government Consent With today’s posting, we begin a ten-part series on unique issues that arise in connection with the acquisition or disposition of a company that performs government…
  • Dec 21

    FAST Act Speeds-Up Raising Capital

    FAST Act Speeds-Up Raising Capital
    On December 4, 2015, President Obama signed into law the Fixing America’s Surface Transportation Act, or FAST Act. Although primarily a transportation bill, the FAST Act also made changes to the federal securities laws as described…
Rank this Week: 270

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Feb 12

    How Animal Rescue Bears on Board Diversity

    How Animal Rescue Bears on Board Diversity
    Here’s something from Abby Jones, who recently retired from QEP Resources as corporate secretary: As I write this, my canine companion – who just a few months ago begged for scraps and dodged auto rickshaws on the bustling roads…
  • Feb 11

    This Survey Doesn’t Bode Well for Pay Ratio Disclosure

    This Survey Doesn’t Bode Well for Pay Ratio Disclosure
    Here’s the teaser for this new set of survey results from Stanford: Recently, the Rock Center for Corporate Governance at Stanford University conducted a nationwide survey of 1,202 individuals — representative by gender, race,…
  • Feb 10

    SEC Chair White on Activism & Board Diversity

    SEC Chair White on Activism & Board Diversity
    This Q&A interview with SEC Chair White conducted by Wilson Sonsini’s Steve Bochner is more useful than the typical speech (here’s a summary from Ning Chiu). Here’s an excerpt from near the end: STEVEN BOCHNER: We have a…
Rank this Week: 396

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 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…
  • 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…
Rank this Week: 410

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: 459

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/
  • Feb 11

    SEC: California Man Sold Investors Phony Stock to Pay Gambling Debt

    SEC: California Man Sold Investors Phony Stock to Pay Gambling Debt
    The Securities and Exchange Commission today charged an unregistered broker in Oceanside, Calif., with fraudulently selling purported stock in a medical device company and pocketing investors’ money.The SEC alleges that Gregory Ruehle…
  • Feb 10

    SEC Adopts Cross-Border Security-Based Swap Rules Regarding Activity in the U.S.

    SEC Adopts Cross-Border Security-Based Swap Rules Regarding Activity in the U.S.
    The Securities and Exchange Commission today voted to adopt rules that require a non-U.S. company that uses personnel located in a U.S. branch or office to arrange, negotiate, or execute a security-based swap transaction in connection with…
  • Feb 9

    Electronic Storage Failure Results in $2.6 Million Fine

    Electronic Storage Failure Results in $2.6 Million Fine
    If your firm has not reviewed its electronic storage systems and programs recently, now may be the time. While this is a guess, it seems to me that oversights at one firm cost it $2.6 million in fines.As we all know, the…
Rank this Week: 487

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/
  • Jan 28

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

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

    Supreme Court to review insider trading case

    Supreme Court to review insider trading case
    The Supreme Court has agreed to consider something that lies at the center of nearly every insider trading case: what prosecutors need to prove an insider trading conviction. This case aims to determine exactly what benefits corporate…
  • Jan 6

    Article sheds light on practice of private equity

    Article sheds light on practice of private equity
    Andrew Ross Sorkin wrote an interesting article in Tuesday’s New York Times regarding the practice of private equity firms designating the legal counsel to be used by its lenders in a leveraged buyout financing. In other words, the…
Rank this Week: 465

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: 555

New York Securities Lawyer Blog

New York Securities Lawyer Blog

Covers securities law. By Lax & Neville LLP.

http://www.newyorksecuritieslawyerblog.com/
  • Feb 12

    SEC Charges Harman International Industries, Inc. Vice President with Insider Trading

    SEC Charges Harman International Industries, Inc. Vice President with Insider Trading
    On February 5, 2016, the Securities and Exchange Commission (“SEC”) filed a Complaint in the United States District Court for the District of Connecticut (the “Complaint”) charging Dennis Wayne Hamilton, the Vice…
  • Dec 23

    SEC Files Fraud Charges Against Atlantic Asset Management LLC

    SEC Files Fraud Charges Against Atlantic Asset Management LLC
    On December 15, 2015, the Securities and Exchange Commission (“SEC”) filed a Complaint and Jury Demand (the “Complaint”), alleging fraud charges against Atlantic Asset Management LLC (“AAM”), an investment…
  • Dec 18

    SEC Alleges Pump-and-Dump Scheme Against Jammin’ Java Corp. d/b/a Marley Coffee

    SEC Alleges Pump-and-Dump Scheme Against Jammin’ Java Corp. d/b/a Marley Coffee
    On November 17, 2015, the Securities and Exchange Commission (“SEC”) filed a Complaint against Jammin’ Java Corp. d/b/a Marley Coffee, Shane G. Whittle, Wayne S. P. Weaver, Michael K. Sun, Rene Berlinger, Stephen B.…
Rank this Week: 545

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
  • Feb 8

    UPDATE: SEC Inspector General Exonerates ALJ System

    UPDATE: SEC Inspector General Exonerates ALJ System
    This is an UPDATE of "SEC Under Siege!  Dramatic Inspector General Report Shakes ALJ System" (BrokeAndBroker.com Blog, August 10, 2015) On August 7, 2015, the Securities and Exchange Commission's ("SEC's") Office of the Inspector…
  • Feb 8

    Texas Investor Guide: Strategies for Investing Wisely and Avoiding Financial Fraud

    Texas Investor Guide: Strategies for Investing Wisely and Avoiding Financial Fraud
    A personal message from Bill Singer, Esq., publisher of the BrokeAndBroker.com Blog:There is no question about it, and, no, I am not at all apologetic: I am not a fan of most securities-industry regulatory organizations. When I gaze out…
  • Feb 8

    BREAKING STORY:Morgan Stanley $3.2 Billion RMBS Settlement. READ FULL TEXT AGREEMENTS

    BREAKING STORY:Morgan Stanley $3.2 Billion RMBS Settlement. READ FULL TEXT AGREEMENTS
    On February 11, 2016, the United States Department of Justice ("DOJ") published a Press Release: "Morgan Stanley Agrees to Pay $2.6 Billion Penalty in Connection with Its Sale of Residential Mortgage Backed Securities" In addition to the DOJ…
Rank this Week: 501

Sharesleuth.com

Sharesleuth.com

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

http://sharesleuth.com/
  • Nov 22

    SEC expands fraud case to include Lenco Mobile, subject of a prior Sharesleuth investigation

    SEC expands fraud case to include Lenco Mobile, subject of a prior Sharesleuth investigation
    The Securities and Exchange Commission has quietly expanded its fraud case against financier Izak Zirk De Maison, adding seven more people as codefendants and identifying five more stocks he used in his schemes. According to the SEC’s…
  • 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,…
Rank this Week: 664

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: 783

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/
  • Feb 11

    Transcript: “Best Efforts Offerings – Nuts & Bolts”

    Transcript: “Best Efforts Offerings – Nuts & Bolts”
    We have posted the transcript for our recent webcast: “Best Efforts Offerings – Nuts & Bolts.”
  • Feb 10

    Director Pay: Nasdaq Proposes Golden Leash Disclosure Requirement

    Director Pay: Nasdaq Proposes Golden Leash Disclosure Requirement
    A few weeks ago, Nasdaq proposed a rule change that would require listed companies to disclose “golden leash” arrangements. As noted in this Dorsey memo, the proposed rule would require listed companies to disclose on their…
  • Feb 9

    Joseph Slights Tapped as Next Delaware VC

    Joseph Slights Tapped as Next Delaware VC
    Here’s news from this DelawareOnline article: Gov. Jack Markell has nominated former Superior Court judge Joseph R. Slights III to be the next vice chancellor of the Delaware Court of Chancery. If confirmed, Slights will replace Vice…
Rank this Week: 736

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

http://www.seclawyersblog.com/
  • Feb 7

    Linn Energy Investors Brace for Bankruptcy

    Linn Energy Investors Brace for Bankruptcy
    The deep and extended drop in oil prices continues to negatively impact Linn Energy, LLC (NASDAQ:LINE). Shares of Linn Energy (NASDAQ:LINE) / LinnCo (NASDAQ:LNCO) dropped more than 50% on February 5 after Linn announced that it was going to…
  • Feb 6

    Sonn|Erez Investigating Claims Related to Credit Suisse X-Links Cushing MLP Infrastructure ETN

    Sonn|Erez Investigating Claims Related to Credit Suisse X-Links Cushing MLP Infrastructure ETN
    Sonn|Erez is investigating investment losses related to Credit Suisse X-Links Cushing MLP Infrastructure ETN (NYSE: MLPN). The X-Links Cushing MLP Infrastructure ETNs are senior, unsecured debt securities issued by Credit Suisse AG that are…
  • Feb 5

    Sonn|Erez Investigating Claims Related to Babson Capital Global Short Duration High Yield Fund (NYSE: BGH)

    Sonn|Erez Investigating Claims Related to Babson Capital Global Short Duration High Yield Fund (NYSE: BGH)
    Sonn|Erez is investigating investment losses related to Babson Capital Global Short Duration High Yield Fund (NYSE: BGH), a closed end short duration high yield bond fund managed by Babson Capital Management, LLC. The Fund “seeks to…
Rank this Week: 878

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: 947

White Collar Fraud

White Collar Fraud

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

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

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

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

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

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

    Nu Skin Inventory Red Flags Remain Even After $50 Million Impairment Charge

    Nu Skin Inventory Red Flags Remain Even After $50 Million Impairment Charge
    On July 22, 2014, I warned investors that Utah-based multi-level marketing company Nu Skin Enterprises' (NYSE: NUS) surging inventory levels might lead it "to recognize a material impairment charge against inventory in a future period." On…
Rank this Week: 992

BD Law Blog

BD Law Blog

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

http://www.bdlawblog.com/
  • Feb 13

    We've Moved. Great Content Still - But at New Site!

    We've Moved. Great Content Still - But at New Site!
    Posts here at BDLawBlog.com have been infrequent of late. We've been working to roll out a new online presence for The Beck Law Firm, LLC, that incorporates our blog. After more than seven years here, and more than 500 posts,...
  • Jan 7

    SEC Affirms FINRA Sanctions for Broker Taking Client Info. to New Firm

    SEC Affirms FINRA Sanctions for Broker Taking Client Info. to New Firm
    On December 15, 2014, the SEC affirmed a FINRA disciplinary action finding that a broker violated Conduct Rule 2110 when that broker downloaded certain confidential and nonpublic customer information for more than 2000 clients of his former…
  • Dec 19

    Lessons learned from putting on "the Suit."

    Lessons learned from putting on "the Suit."
    Every now and then I use my blog to share with you things not necessarily related to the law, or to our practice areas of financial markets law, estate planning or business law. Today's one of those days, and I...
Rank this Week: 837

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: 700

Dividends and Preferences

Dividends and Preferences

Musings on Venture Capital, Technology and Entrepreneurship. By Hank J. Heyming.

http://www.dividendsandpreferences.com/
  • Jan 24

    Microsoft/Skype -- Putting Things into Perspective

    Microsoft/Skype -- Putting Things into Perspective
    {EAV:984c4a016f17013d} Microsoft acquires Skype! Largest Microsoft acquisition ever!! Facebook jilted!!! Google jilted!!!! Wait, Facebook wins through Microsoft!!!!! Wait, Microsoft overpaid by $4 billion with a B!!!!!! OMG Google just…
  • May 10

    Nerd Chic

    Nerd Chic
    Lately, I've noticed a new twist to the typical ebb and flow of the fashion wars.  It occurred to me that, for perhaps the first time in my lifetime, it is cool right now to be a nerd.
  • Apr 25

    Out and About

    Out and About
    Hey folks -- I'm getting ready to head down to the RTP area for the annual CED Venture Conference.  This year it is in downtown Raleigh, instead of Pinehurst, and looks to be bigger and better than ever. So, if anyone happens to be in the…
Rank this Week: 915

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Feb 12

    Escaping Liability

    Escaping Liability
    An announcement that a company is the target of a government investigation is likely to lead to a stock price decline. The mere fact of an investigation, however, does not tell the market anything about the existence of prior corporate…
  • Jan 25

    Not Enough Studying

    Not Enough Studying
    Yelp is an online networking platform that hosts user-generated reviews of local businesses.  In a recent securities class action (Curry v. Yelp, Inc., 2015 WL 7454137 (N.D. Cal. Nov. 24, 2015)), the court considered claims that Yelp…
  • Dec 4

    Omnicare’s Scope

    Omnicare’s Scope
    In its Omnicare decision issued earlier this year, the U.S. Supreme Court held that opinions presented in registration statements can be subject to liability under Section 11 of the Securities Act of 1933 if either (a) the…
Rank this Week: 1649

Securities Law Attorneys Blog

Securities Law Attorneys Blog

Covers securities law. By Fitapelli | Kurta.

http://www.securitieslawattorneys.net/
  • Feb 12

    Andrew Yocum Faces Stock Complaint

    Andrew Yocum Faces Stock Complaint
    The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Florida-based Summit Brokerage Services broker Andrew Yocum (CRD# 4590723). Andrew Yocum has spent thirteen…
  • Feb 12

    Philip Lefton Discharged From JP Hanauer & Co.

    Philip Lefton Discharged From JP Hanauer & Co.
    The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Florida-based Shearson Financial Services broker Philip Lefton (CRD# 2945659). Philip Lefton has spent seventeen…
  • Feb 12

    Gary Helbling Discharged from Wells Fargo

    Gary Helbling Discharged from Wells Fargo
    The securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against Connecticut-based Oppenheimer & Company broker Gary Helbling (CRD# 2655105). Gary Helbling has spent eighteen years in the…
Rank this Week: 1676

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: 1600

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Feb 12

    Corporate Governance Panelists Discuss Directors’ Responsibilitie

    Corporate Governance Panelists Discuss Directors’ Responsibilitie
    By Jacquelyn LumbThe Practising Law Institute’s corporate governance conference featured panel discussions on the responsibilities of directors serving on compensation, audit, nominating, and governance committees. Panelists also…
  • Feb 11

    Raymond Lucia Fires Opening Salvo in ALJ Court Challenge, Aided by Mark Cuban

    Raymond Lucia Fires Opening Salvo in ALJ Court Challenge, Aided by Mark Cuban
    By John M. Jascob, J.D., LL.M.Raymond J. Lucia, Sr. and his eponymous investment advisory firm have fired the first shot in their court challenge to the SEC’s use of administrative law judges. In their suit opposing the SEC’s…
  • Feb 10

    GAO: SEC’s Priorities Have Changed Since Climate Change Disclosure Guidance

    GAO: SEC’s Priorities Have Changed Since Climate Change Disclosure Guidance
    By Amanda Maine, J.D. The Government Accountability Office issued a report on how companies disclose climate-related supply chain risks in SEC filings and through other channels. The report determined that the SEC has taken some action to…
Rank this Week: 1639

Business Blog

Business Blog

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

http://www.businesslawnews.com/
  • Feb 12

    Selecting an Arbitrator for Your Business Dispute

    Selecting an Arbitrator for Your Business Dispute
    Selecting an Arbitrator for Your Business Dispute Many contracts now require the arbitration of disputes instead of allowing for court hearings of claims. Just as important as selecting jurors, lawyers will take care in selecting the…
  • Feb 11

    Computer Hacking Defendant Loses in U.S. Supreme Court, Violates CFAA

    Computer Hacking Defendant Loses in U.S. Supreme Court, Violates CFAA
    Computer Hacking Defendant Loses at U.S. Supreme Court In a unanimous decision, the U.S. Supreme Court held recently that the former executive of a logistics company was properly found guilty of violating the Computer Fraud and Abuse Act…
  • Feb 10

    FINRA & the Culture of Compliance

    FINRA & the Culture of Compliance
    FINRA examiners are looking for “Culture of Compliance” The Financial Industry Regulatory Authority (FINRA) recently published its 2016 Regulatory and Examination Priorities Letter. For firms under FINRA’s purview, the…
Rank this Week: 1541

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • Feb 11

    Even General Counsels Get Defamed

    Even General Counsels Get Defamed
    What happens when the media re-states bluntly what you tried to say cleverly? A jury might find you liable for defamation, even if your statement was made in a legal document. This observation is one of many take-aways from the litigation…
  • Jan 27

    FINRA's BrokerCheck Posting Terminations More Quickly, but Firms Still have 30 days to Report

    FINRA's BrokerCheck Posting Terminations More Quickly, but Firms Still have 30 days to Report
    FINRA's RegulatoryNotice 15-39 is getting a little blog time, but sadly some law firms writing about it seem to misunderstand not only the Notice itself, but also the implications of the changes that have been implemented.  FINRA Rule…
  • Jan 7

    SEC Continues to Crack Down on EB-5 Fraud

    SEC Continues to Crack Down on EB-5 Fraud
    Late last year, investors who claimed the $8.5 million frozen by the Securities and Exchange Commission (SEC) was rightfully theirs were denied access to the money by a federal judge. U.S. District Judge Joan Lenard ruled that management of…
Rank this Week: 1382

Securities Litigation and…

Securities Litigation and Regulatory Enforcement Blog

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

http://blogs.orrick.com/securities-litigation/
Rank this Week: 1530

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 8

    How to Find the Right Financial Advisor for You

    How to Find the Right Financial Advisor for You
    Are you just starting to invest and ready to open your first brokerage account? Are unhappy with your current broker?  Here are some tips from the Financial Industry Regulatory Authority (FINRA) on how to find the right financial advisor…
  • Feb 4

    When Money Buys Stress, not Happine

    When Money Buys Stress, not Happine
    Many people work their entire lives to accumulate a nest egg of savings for retirement.   Others find financial success mid-career.  Either way, accumulating money can be surprising in one respect:  wealth often leads to…
  • Feb 1

    The Big Short: What is Short Selling Anyway?

    The Big Short: What is Short Selling Anyway?
     The recent release of the movie-version of the best-selling book, The Big Short, reminds us of the risky bets that some investors take when they anticipate the stock market, a particular industry, or a certain stock will decline in…
Rank this Week: 1412

Subject to Inquiry

Subject to Inquiry

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

http://www.subjecttoinquiry.com/
Rank this Week: 1462

Wall Street Investment Fraud…

Wall Street Investment Fraud Lawyer Blog

Covers Ponzi schemes, investment fraud, and other scams. By The Doss Firm.

http://www.wallstreetinvestmentfraudlawyer.com/
  • Jan 11

    SEC Accuses VGTel Owner and Investment Advisers with Securities Fraud

    SEC Accuses VGTel Owner and Investment Advisers with Securities Fraud
    On December 15, 2015, the Securities and Exchange Commission commenced an action in federal district court in the Southern District of New York against Edward Durante for fraud in the sale of millions of dollars of VGTel stock to numerous of…
  • Nov 2

    State Securities Regulators Propose Model Act to Protect Vulnerable Adults from Financial Exploitation

    State Securities Regulators Propose Model Act to Protect Vulnerable Adults from Financial Exploitation
    On September 29, 2015, the North American Securities Administrators Association (NASAA) released for public comment a proposed model to help broker-dealers, investment firms, and employees to better recognize if a senior or other vulnerable…
  • Oct 14

    Florida Invest Adviser Charged with Defrauding Georgia Client

    Florida Invest Adviser Charged with Defrauding Georgia Client
    Fraud is always a danger in the world of investment advisers. In a recent example of this, the Securities and Exchange Commission announced fraud charges against Arthur F. Jacob, age 56, and his firm, Innovative Business Solutions LLC…
Rank this Week: 1355

William Carleton, Counselor @ Law

William Carleton, Counselor @ Law

Covers legal and investment issues facing emerging tech companies.

http://www.wac6.com/wac6/
  • Dec 19

    $20k Soon to Be the New Standard Minimum Angel Investment?

    $20k Soon to Be the New Standard Minimum Angel Investment?
    $25,000 is a common minimum investment in startup financings, at least for those conducted offline (not through an accredited crowdfunding platform). I wonder if that will change, if new SEC staff recommendations for the accredited investor…
  • Dec 18

    NW Brewpub Chain McMenamins Uses Own Site to Openly Solicit Accredited Investor

    NW Brewpub Chain McMenamins Uses Own Site to Openly Solicit Accredited Investor
    Those of you that enjoy beer or securities laws (or both), may have recently seen news articles from various Puget Sound media outlets amorphously mentioning “crowdfunding” when reporting on the development and grand opening of the new…
  • Dec 2

    Comparing the Federal Crowdfunding Rules with Washington State'

    Comparing the Federal Crowdfunding Rules with Washington State'
    Note from Bill: Before returning to private practice, my colleague, Jordan Rood, worked as a state securities regulator. What's more, Jordan was directly involved in the implementation of the crowdfunding law my friend Joe Wallin was so…
Rank this Week: 1391

InvestorLawyers.net

InvestorLawyers.net

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

http://www.investorlawyers.net/blog/
  • Dec 9

    Vanguard Funds File Suit Against VEREIT

    Vanguard Funds File Suit Against VEREIT
    On October 27, 2015, Vanguard Funds (Vanguard) filed suit against VEREIT, Inc. (VEREIT), VEREIT Operating Partnership, AR Capital, ARC Properties Advisors, RCAP Holdings, RCS Capital Corporation, and five company executives in Arizona federal…
  • Dec 9

    Former Cadaret, Grant & Co. Broker William M. Pottetti Barred From Securities Industry

    Former Cadaret, Grant & Co. Broker William M. Pottetti Barred From Securities Industry
    According to the Financial Industry Regulatory Authority (FINRA), former Cadaret, Grant & Co. (Cadaret) broker William M. Pottetti (Pottetti) was barred from the securities industry after he agreed to sign a Letter of Acceptance, Waiver…
  • Dec 8

    Reef Oil and Gas Investments May Give Rise To Investor Arbitration Claim

    Reef Oil and Gas Investments May Give Rise To Investor Arbitration Claim
    Law Office of Christopher J. Gray wishes to alert investors to the possibility that recommendations of Reef Securities, Inc. (Reef) by broker-dealers may be unsuitable, depending on the individual characteristics of investors and whether the…
Rank this Week: 1542

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: 1585

Stock Broker Attorney Blog

Stock Broker Attorney Blog

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

http://www.stockbrokerattorney.com/blog
  • Jan 7

    Man Sentence to 18-Months for Investment Scam

    Man Sentence to 18-Months for Investment Scam
    In Scottsdale, J'Sean Claude Butierries pleaded guilty to defrauding investors out of hundreds of thousands of dollars. He allegedly used the ill-gotten gains to buy himself luxury items like a $195,000 Audi and cosmetic surgery for his wife…
  • Jan 5

    SEC Charges Unlicensed Man with Scamming Investor

    SEC Charges Unlicensed Man with Scamming Investor
    Vinay Kumar Nevatia, of Palo Alto, has been charged by the U.S. Securities and Exchange Commission for allegedly reselling almost $900,000 stock shares of an off-shore company, CSS Technologies (Mauritius) Limited, already owned by eight…
  • Jan 1

    Broker Barred from Practice for Stealing from Elderly

    Broker Barred from Practice for Stealing from Elderly
    Jeffrey McClure, a former employee of Wells Fargo Advisors and an affiliated bank in California, was recently barred from the securities industry after stealing almost $89,000 from an elderly customer. Between December 2012 and August 2014,…
Rank this Week: 1627

Securities Arbitration Blog

Securities Arbitration Blog

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

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

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

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

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

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

    Investment Fraudsters: You have a friend in Pennsylvania

    Investment Fraudsters: You have a friend in Pennsylvania
    What does a big firm commercial defense lawyer, a banker, a healthcare lobbyist, a parking authority commissioner and an Allegheny parks commissioner all have in common? andnbsp; Apparently, they are all friends of Pennsylvania Governor Tom…
Rank this Week: 1389

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: 1576

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: 1331