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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: 34

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Jan 9

    Jeffrey Sica: Eleven Customer Complaint

    Jeffrey Sica: Eleven Customer Complaint
    Public records published by the Financial Industry Regulatory Authority (FINRA) on January 6, 2017 indicate that former New Jersey-based Comprehensive Asset Management broker/adviser Jeffrey Sica has received several customer disputes and is…
  • Jan 9

    Bambi Holzer: Barred From Acting as a Broker

    Bambi Holzer: Barred From Acting as a Broker
    Public records published by the Financial Industry Regulatory Authority (FINRA) on January 5, 2017 indicate that former California-based Newport Coast Securities broker Bambi Holzer has been permanently barred from acting as a broker or…
  • Jan 9

    Eric Snyder Received Twenty Nine Resolved/Pending Complaint

    Eric Snyder Received Twenty Nine Resolved/Pending Complaint
    Public records published by the Financial Industry Regulatory Authority (FINRA) on January 6, 2017 indicate that Puerto Rico-based UBS Financial Services broker Eric Snyder has received numerous resolved or pending customer disputes.…
Rank this Week: 45

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/
  • Jan 16

    Are Non-Traded REITs a safe bet?

    Are Non-Traded REITs a safe bet?
    This information comes from a recent Investor Alert from the Financial Industry Regulatory Authority. Investors often seek products offering more attractive yields during extended periods of low interest rates. An example is the publicly…
  • Jan 16

    Risks that Ruin your Retirement

    Risks that Ruin your Retirement
    When you are considering retirement, there are many risk factors that come to mind.  At this point, everyone is all too familiar with stock market risk. But what are the other risks? The following three risks could potentially ruin your…
  • Jan 13

    Donald Toomer Barred from Securities Industry

    Donald Toomer Barred from Securities Industry
    Have you suffered losses investing with Donald Toomer? If so, The White Law Group may be able to help you recover your losses. In December 2015, the SEC accused Wells Fargo advisor Donald Toomer, of participating in a pump-and-dump…
Rank this Week: 62

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/
Rank this Week: 118

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
  • Jan 14

    FINRA Discipline: FINRA Rule 9251

    FINRA Discipline: FINRA Rule 9251
    From the Desk of Jim Eccleston at Eccleston Law LLC:This is the fifteenth in a series of posts to discuss the rules associated with the FINRA disciplinary process. FINRA Rule 9251 identifies the types of documents that should be made…
  • Jan 13

    Morgan Stanley Fined For Online Disclosure Failure

    Morgan Stanley Fined For Online Disclosure Failure
    From the Desk of Jim Eccleston at Eccleston Law LLC:FINRA has censured Morgan Stanley and fined it $1.5 million for allegedly failing to provide millions of customers access to online information on purchases of mutual funds and other…
  • Jan 12

    FINRA Discipline: FINRA Rule 9242

    FINRA Discipline: FINRA Rule 9242
    From the Desk of Jim Eccleston at Eccleston Law LLC:This is the fourteenth in a series of posts to discuss the rules associated with the FINRA disciplinary process. FINRA Rule 9242 covers the requirement that parties furnish certain…
Rank this Week: 163

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: 138

Securities Law Attorneys Blog

Securities Law Attorneys Blog

Covers securities law. By Fitapelli | Kurta.

http://www.securitieslawattorneys.net/
  • Jan 9

    Customer Alleges Angel Canabal Over-Concentrated their life savings in Puerto Rico Bond Fund

    Customer Alleges Angel Canabal Over-Concentrated their life savings in Puerto Rico Bond Fund
    Public records provided by the Financial Industry Regulatory Authority (FINRA) on January 9, 2017 indicate that Puerto Rico-based UBS Financial Services broker Angel Canabal has been the subject of numerous resolved or pending customer…
  • Jan 9

    Robert Lapetina: Thirty One Resolved/Pending Customer Complaint

    Robert Lapetina: Thirty One Resolved/Pending Customer Complaint
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on January 9, 2017 indicate that Puerto Rico-based Nationwide Planning Associates broker/adviser Robert Lapetina has been the subject of numerous…
  • Jan 9

    Timothy Fife Has Received Seventeen Customer Complaint

    Timothy Fife Has Received Seventeen Customer Complaint
    Public records published by the Financial Industry Regulatory Authority (FINRA) on January 9, 2017 indicate that former Ohio-based Wells Fargo Advisors broker Timothy Fife has been the subject of numerous customer disputes. Fitapelli Kurta is…
Rank this Week: 156

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Jan 16

    Ken Balser Barred by FINRA Over Allegations of Private Securities Transaction

    Ken Balser Barred by FINRA Over Allegations of Private Securities Transaction
    Our firm is investigating claims made by The Financial Industry Regulatory Authority (FINRA) when the regulator barred broker Ken Balser (Balser).  According to FINRA settlement, Balser consented to sanctions that he refused to appear…
  • Jan 16

    Tye Williams Barred by FINRA Over Allegations of Converting Customer Fund

    Tye Williams Barred by FINRA Over Allegations of Converting Customer Fund
    Our firm is investigating claims made by The Financial Industry Regulatory Authority (FINRA) when the regulator barred broker Tye Williams (Williams).  According to FINRA settlement, Williams consented to sanctions that he failed to…
  • Jan 14

    Gana LLP Files Complaint on behalf of Client Defrauded by Dean Mustaphalli

    Gana LLP Files Complaint on behalf of Client Defrauded by Dean Mustaphalli
    The securities fraud attorneys at Gana LLP have recently filed a complaint on behalf of a client alleging that Dean Mustaphalli (Mustaphalli) engaged in securities fraud.  The claim was brought against brokerage firms Sterne Agee…
Rank this Week: 167

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • Dec 22

    FINRA Statutory Disqualifications and the MC-400 Proce

    FINRA Statutory Disqualifications and the MC-400 Proce
    Under the Securities Exchange Commission’s authority FINRA promulgates rules of its own as a self regulatory organization (“SRO”). Pursuant to FINRA’s By-Laws (and the By-Laws of the NASD and the NYSE before it) a…
  • Sep 28

    NASAA Releases Its 2016 Enforcement Report

    NASAA Releases Its 2016 Enforcement Report
    The North American Securities Administrators Association (NASAA) recently released its Enforcement Report for 2016, an annual publication providing a general overview of the activities of the state securities agencies responsible for the…
  • Sep 21

    Financial Advisors Expunging Baseless Customer Complaints in State Court

    Financial Advisors Expunging Baseless Customer Complaints in State Court
    The Internet is awash with articles about “bad brokers” with clean U-4s, and “rouge brokers” obtaining expungements of valid customer complaints.  Indeed, studies have been published ostensibly demonstrating that…
Rank this Week: 219

Sharesleuth.com

Sharesleuth.com

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

http://sharesleuth.com/
Rank this Week: 243

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: 189

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: 414

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/
  • Jan 13

    O Frabjous Day! Court Holds Passive Member Is Not “Doing Business”

    O Frabjous Day! Court Holds Passive Member Is Not “Doing Business”
    The State of California imposes its franchise tax on every corporation (other than a bank, financial corporation or exempt corporation) that is “doing business” in California.  Cal. Rev. & Tax Code §…
  • Jan 12

    Do Outsiders Have Standing?

    Do Outsiders Have Standing?
    One of the essential elements of a contract is the consent of the parties.  Cal. Civ. Code § 1550(2).  When a party is a corporation, there is always a question of whether the person or persons signing the contract have…
  • Jan 11

    Should California Employers Be Insecure About California’s State-Run Retirement Savings Program?

    Should California Employers Be Insecure About California’s State-Run Retirement Savings Program?
    Last September, California Governor Jerry Brown signed into law SB 1234 (De León) which implements the California Secure Choice Retirement Savings Program.  2016 Cal. Stat. ch. 804. If you haven’t heard of the…
Rank this Week: 396

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/
Rank this Week: 364

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: 378

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/
  • Nov 29

    Can a FINRA Securities Arbitration Award be Appealed?

    Can a FINRA Securities Arbitration Award be Appealed?
    Yes, technically, but in reality, no.  Under the law, a FINRA securities arbitration award can be appealed, but practically speaking, arbitration awards are rarely changed when appealed.   Indeed, under the Federal Arbitration…
  • Nov 28

    What Are the Key Differences Between Arbitrating an Investor Case Before FINRA and Suing in Court?

    What Are the Key Differences Between Arbitrating an Investor Case Before FINRA and Suing in Court?
    An investor who is abused by his or her securities broker cannot sue in court.  Instead, the investor must sue the broker or the brokerage firm in arbitration before the Financial Industry Regulatory Authority, otherwise known as…
  • Nov 3

    Managing Finances After the Death of a Loved One

    Managing Finances After the Death of a Loved One
    In September 2016, the Florida Office of Financial Regulation issued a Consumer Alert titled “Managing Finances After the Death of a Loved One.”   The alert makes a number of helpful recommendations to take following the…
Rank this Week: 361

Securities Attorney Law Blog

Securities Attorney Law Blog

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

http://securitiesattorneys.us/
Rank this Week: 328

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
  • Jan 16

    Time to Drain the Swamp at the U.S. Securities & Exchange Commission?

    Time to Drain the Swamp at the U.S. Securities & Exchange Commission?
    As reported by Gretchen Morgenson in The New York Times on January 13, 2017 (“S.E.C. Inertia on Paybacks Adds to Investor Harm”), when securities laws are broken and investors get hurt, the U.S. Securities & Exchange…
  • Jan 12

    Why Am I Losing Money in an Up Stock Market?

    Why Am I Losing Money in an Up Stock Market?
    The S&P 500,which is widely considered one of the best measures of the U.S. stock market, finished the year up over 11%. After some significant ups and downs over the past few years, the price of oil stabilized and posted some nice gains…
  • Jan 3

    Former Ameriprise Broker Radcliffe (Cliffe) Daly Suspended by FINRA

    Former Ameriprise Broker Radcliffe (Cliffe) Daly Suspended by FINRA
    According to FINRA’s Brokercheck public database, former Granger, IN Ameriprise broker Radcliffe (Cliffe) Daly was suspended by FINRA for the improper sales of the common stock of Sloud, Inc. Daly allegedly sold this Sloud penny-stock…
Rank this Week: 512

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
  • Jan 10

    SEC ALJ Says Bandimere Notwithstanding. And So It Goes. And So It Goe

    SEC ALJ Says Bandimere Notwithstanding. And So It Goes. And So It Goe
    This is an update of "In Face Of Split Circuits, SEC ALJ Rules Because We Say So" (BrokeAndBroker.com Blog, January 6, 2017)It seems only yesterday that I published "BREAKING NEWS: Federal Appeals Court Says Securities and Exchange…
  • Jan 9

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
    Guilty Plea In FOREX Price Fixing CaseOn January 12, 2017, Central and Eastern European, Middle Eastern, and African Emerging Markets ("CEEMEA") currency dealer Christopher Cummins pleaded guilty to a one-count Information filed in the United…
  • Jan 7

    Antitrust Division Scores Guilty Plea In FOREX Price FIxing

    Antitrust Division Scores Guilty Plea In FOREX Price FIxing
    This is an update of "FOREX Markets Hit By New Indictments" (BrokeAndBroker.com Blog, January 11, 2017)On May 20, 2015, the Department of Justice / Antitrust Division obtained guilty pleas and some $2.5 billion in criminal fines for…
Rank this Week: 923

Strictly Business

Strictly Business

Covers business law for entrepreneurs, emerging companies and the investment management industry. By Alexander J. Davie.

http://www.strictlybusinesslawblog.com/
Rank this Week: 430

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/
Rank this Week: 761

Securities Fraud Attorney Blog

Securities Fraud Attorney Blog

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

http://www.securitiesfraudattorneyblog.com/
  • Oct 27

    Private Share Litigation Cases are Challenging

    Private Share Litigation Cases are Challenging
    In a very high profile private share litigation, Theranos, a privately held health-technology and medical-laboratory-services company worth $9 billion as of 2014, has been sued this Monday by one of its largest and trusted financial backers,…
  • Jun 19

    Split Decision on Arbitration in Bank of America Case

    Split Decision on Arbitration in Bank of America Case
    This week, a Florida appeals court partially reversed a ruling denying Bank of America’s efforts to arbitrate various claims related to the Scott Rothstein Ponzi scheme. Bank of America, N.A. v. Beverly, Nos. 4D14-3167, 4D14-3168 (Fla.…
  • Jun 19

    Split Decision on Arbitration in Bank of America Case

    Split Decision on Arbitration in Bank of America Case
    This week, a Florida appeals court partially reversed a ruling denying Bank of America’s efforts to arbitrate various claims related to the Scott Rothstein Ponzi scheme. Bank of America, N.A. v. Beverly, Nos. 4D14-3167, 4D14-3168 (Fla.…
Rank this Week: 425

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: 738

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: 501

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: 726

SEC Whistleblower Blog

SEC Whistleblower Blog

Covers corporate whistleblower programs and whistleblower protection issues.

http://www.secwhistleblowerprogram.org/SEC-Whistleblower-Blog/
  • Jan 10

    Whistleblower Protection under the SEC Whistleblower Program

    Whistleblower Protection under the SEC Whistleblower Program
    In our web site, we established the types of anti-retaliatory protections offered employees under the SEC Whistleblower Program.
  • Dec 10

    SEC Whistleblowers can Help Uncover "Soft Dollar" Practice

    SEC Whistleblowers can Help Uncover "Soft Dollar" Practice
    Hedge fund operators (politely called “Investment Managers” on Wall Street) can make the plaintiffs’ bar look like expensively dressed social workers. The hedge fund industry is estimated to be a $2.5 trillion industry.
  • Dec 6

    Five travel expense related FCPA violation

    Five travel expense related FCPA violation
    Here’s a tip for potential Foreign Corrupt Practices Act whistleblowers: travel expenses clearly fall within FCPA guidelines.
Rank this Week: 690

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 8

    Traders Charged With Trading on Hacked From Lawyers – Posted by Brenda Hamilton

    Traders Charged With Trading on Hacked From Lawyers – Posted by Brenda Hamilton
    Going Public Lawyer  On December 27, 2016, the Securities and Exchange Commission charged three Chinese traders with fraudulently trading on hacked nonpublic market-moving information stolen from two prominent New York-based law firms,…
Rank this Week: 2520

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Jan 16

    Dr. King's legacy must be remembered

    Dr. King's legacy must be remembered
    [In commemoration of Martin Luther King, Jr. Day, we republish a post by the late Jim Hamilton from January 20, 2014, honoring Dr. King and his legacy.]By Jim Hamilton, J.D., LL.M."I was taking a part of the South to transplant in alien soil.…
  • Jan 13

    OCIE announces examination priorities for 2017

    OCIE announces examination priorities for 2017
    By Jacquelyn LumbThe SEC’s Office of Compliance Inspections and Examinations this year will focus on areas of importance to retail investors, risks affecting elderly and retiring investors, and the assessment of market-wide risks. OCIE…
  • Jan 12

    ‘HALOS’ capital bill sails through House

    ‘HALOS’ capital bill sails through House
    By Mark S. Nelson, J.D.The House once again passed the Helping Angels Lead Our Startups (HALOS) Act, a bill sponsored by Steve Chabot (R-Ohio) that seeks to clarify the general solicitation rules targeted by the Jumpstart Our Business…
Rank this Week: 2202

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: 2166

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/
  • Jan 13

    SEC News - Fraudulent EB-5 Offerings, Hackers, and FCPA Charge

    SEC News - Fraudulent EB-5 Offerings, Hackers, and FCPA Charge
    Businessman Settles Charges of Fraudulent EB-5 OfferingA Florida-based businessman has agreed to settle charges that he misused investor funds intended to create U.S. jobs through the EB-5 Immigrant Investor Program.SEC Charges Lawyer With…
  • Jan 4

    Jay Clayton said to be top contender for Trump’s SEC chief - MarketWatch

    Jay Clayton said to be top contender for Trump’s SEC chief - MarketWatch
    Jay Clayton said to be top contender for Trump’s SEC chief - MarketWatch:"Wall Street lawyer Jay Clayton has emerged as the leading candidate to be chairman of the Securities and Exchange Commission and could be announced as the nominee…
  • Jan 3

    Fired $1M adviser wins $417K case against Southwest Securities for wrongful termination

    Fired $1M adviser wins $417K case against Southwest Securities for wrongful termination
    A broker who generated $1 million in annual revenue won a $417,000 case against her former employer, Southwest Securities, for wrongful termination from a FINRA arbitration panel.According to the OWS article, the broker was contacted for an…
Rank this Week: 2201

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Jan 13

    ESG: GRI’s New “Module” Standard

    ESG: GRI’s New “Module” Standard
    ESG – particularly sustainability & climate change – continues to grow in importance. There continues to be a multitude of standards to be aware of. The latest is a group of new standards from GRI (“Global Reporting…
  • Jan 12

    The Launch of “Broc Tales”!

    The Launch of “Broc Tales”!
    I try to innovate with something new every year. In 2016, it was the “Big Legal Minds” podcast series. The year before was a facelift for the home pages of our sites (with new features like our “Job Board“). In 2014, I…
  • Jan 11

    Life as a Corporate Lawyer: Stan Keller

    Life as a Corporate Lawyer: Stan Keller
    I had a lot of fun taping this 38-minute podcast with Stan Keller of Locke Lord. The dude can ball (meaning play hoops). I highly encourage you to listen to these podcasts when you take a walk, commute to work, etc. Stan tackles: 1. How did…
Rank this Week: 2199

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/
  • Jan 13

    Controller Transactions: A 360 Degree Review

    Controller Transactions: A 360 Degree Review
    Sorting out all of the nuances in Delaware’s approach to transactions involving controlling stockholders can be a challenge.  The courts apply different standards of review depending on whether the controller is the…
  • Jan 12

    Practice Point: Disclaimers of Reliance in M&A Contract

    Practice Point: Disclaimers of Reliance in M&A Contract
    This Morris James blog reviews Delaware case law on disclaimers of reliance in acquisition agreements & raises an important practice point.  As this excerpt notes, a clause that specifically disclaims reliance on…
  • Jan 11

    Small Company M&A: Rule 504 Now a Financing Option?

    Small Company M&A: Rule 504 Now a Financing Option?
    This Sheppard Mullin blog suggests that the SEC’s recent amendments increasing the amount that can be raised under Rule 504 of Regulation D to $5 million may have made the little-used exemption a viable alternative for funding smaller…
Rank this Week: 2250

Amato Law Firm, LLC Blog

Amato Law Firm, LLC Blog

Overview of current developments in the area of securities law with a focus on securities arbitration and broker-dealer regulation.

http://www.ramatolaw.com/blog1
  • Jan 12

    JPMorgan Found to Have Retaliated Against Adviser, Filed Defamatory U5

    JPMorgan Found to Have Retaliated Against Adviser, Filed Defamatory U5
    A recent investigation by the U.S. Occupational Safety and Health Administration (OSHA) has resulted in an award of more than $160,000 for back pay and “reputational damage” to a former JPMorgan Chase & Co. financial adviser.…
  • Aug 4

    FINRA Recently Reminds Firms of Clients’, Associated Persons’ Right to Arbitrate

    FINRA Recently Reminds Firms of Clients’, Associated Persons’ Right to Arbitrate
    In a recently published Regulatory Notice (FINRA Regulatory Notice 16-25), FINRA sought to remind customers, as well as associated persons, of their right to arbitrate within the FINRA forum “at any time.”  In short, FINRA…
  • May 16

    Credit Suisse Deferred Compensation Claim

    Credit Suisse Deferred Compensation Claim
    Amato Law Firm, LLC is investigating claims against Credit Suisse (CS) on behalf of its former U.S.-based advisers who have transitioned to firms other than Wells Fargo Advisors.  As recently reported in On Wall Street, more than…
Rank this Week: 2745

New York Securities Lawyers Blog

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

http://www.newyorksecuritieslawyersblog.com/
  • Jan 12

    Elder Financial Exploitation by Guardian

    Elder Financial Exploitation by Guardian
    Recently the Government Accountability Office (GAO) published a report about the extent of elder abuse by guardians and measures that exist to protect older adults. This has become an issue of utmost importance as the number of older adults,…
  • Nov 11

    How Will These Election Results Effect the DOL Fiduciary Rule?

    How Will These Election Results Effect the DOL Fiduciary Rule?
    Last year, the Obama administration introduced the Fiduciary rule that requires financial advisers to always act in the best interest of their clients when handling their retirement savings. It was expected to be a big industry shakeup,…
  • Nov 4

    FINRA Files 8 Broker-Dealers For Failures of Supervision Over Variable Annuitie

    FINRA Files 8 Broker-Dealers For Failures of Supervision Over Variable Annuitie
    The Financial Industry Regulatory Authority Inc. (FINRA) announced in a News Release on November 2, 2016 that it fined eight broker-dealer firms regarding failures to supervise the sale of variable annuities.  FINRA announced that…
Rank this Week: 2831

Footnoted

Footnoted

Reports on actionable information in SEC filings.

http://www.footnoted.com/
  • Jan 12

    2016: The year in filing

    2016: The year in filing
    There were 670,00 filings made to the SEC in 2016, with the largest filing over 3,330 pages!
  • Nov 30

    Post-election disclosure

    Post-election disclosure
    It’s now been three weeks since Americans elected Donald Trump as the nation’s next President. While Trump doesn’t take office until Jan. 20, 2017, we’ve seen a number of interesting disclosures in SEC filings related…
  • Oct 27

    Apple grows its real estate holding

    Apple grows its real estate holding
    A disclosure in Apple's 10-K shows that the company has increased its land holdings by about 50% in the past year.
Rank this Week: 2571

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: 3342

Subject to Inquiry

Subject to Inquiry

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

http://www.subjecttoinquiry.com/
  • Jan 10

    CFPB’s 2017 Fair Lending Prioritie

    CFPB’s 2017 Fair Lending Prioritie
    At the end of last year, the CFPB issued its Fair Lending Priorities for 2017.  According to its December blog post, the CFPB plans to increase its focus on the following three areas, which it describes as “presenting a substantial…
  • Jan 10

    GOP Takes Aim at Dodd-Frank

    GOP Takes Aim at Dodd-Frank
    On Friday, January 20, 2017, Donald J. Trump will become the President of the United States, and for the first time in nearly a decade, a single party will control the Presidency, the House, and the Senate. After years of deadlock,…
  • Jan 9

    FinCEN Opens 2017 with SAR Sharing Guidance for Casino

    FinCEN Opens 2017 with SAR Sharing Guidance for Casino
    Financial institutions’ ability to share suspicious activity reports (“SARs”) within the corporate organizational structure serves as an important tool for Bank Secrecy Act compliance and risk avoidance.  FinCEN began…
Rank this Week: 1638

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/
  • Jan 10

    Board Diversity Series: Voices of proxy advisers and other influencer

    Board Diversity Series: Voices of proxy advisers and other influencer
    Amanda Linett and Cheryl De Los Santos -  Proxy advisers such as Institutional Shareholders Services (ISS) and Glass Lewis have started to respond to the changes in corporate governance relating to gender diversity, and to encourage…
  • Dec 9

    Keep Calm and Carry On - InterOil and Smoothwater

    Keep Calm and Carry On - InterOil and Smoothwater
    Sean Vanderpol - There are, generally speaking, relatively few judicial decisions touching on the practical aspects of M&A law in Canada, particularly when compared to the output of the Delaware courts.  In November, however, we saw…
  • Dec 9

    Board Diversity Series: Developments in gender diversity on Canadian board

    Board Diversity Series: Developments in gender diversity on Canadian board
     Alethea Au and Cara Cornacchia -  Catalyst’s recommendations for accelerating progress The Government of Ontario engaged Catalyst, a non-profit organization aimed at expanding opportunities for women in business, to…
Rank this Week: 4134

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Jan 7

    Halliburton Settled (Again)

    Halliburton Settled (Again)
    When the district court rejected a $6 million settlement in the Halliburton securities class action back in 2004, the judge probably expected the parties to renegotiate.  Many years later, after a change in plaintiffs’ counsel,…
  • Dec 5

    Not Exactly Meritle

    Not Exactly Meritle
    Can a company face securities fraud liability for describing a lawsuit brought against it as “meritless” if the plaintiff goes on to win a big verdict?  In Grobler v. Neovasc, Inc., 2016 WL 6897760 (D. Mass. Nov.…
  • Nov 7

    On This Record

    On This Record
    On the same day that it issued its “Model V” decision, the Second Circuit issued another opinion in the Vivendi securities litigation addressing whether “value investors” can invoke the fraud-on-the-market…
Rank this Week: 2200

Tim O'Connor's Blog

Tim O'Connor's Blog

Covers stockbroker fraud.

http://stockbrokerlaw.com/tim-oconnors-blog
  • Jan 5

    Looking for Your Lost Retirement Account?

    Looking for Your Lost Retirement Account?
    In our mobile society, millions of Americans have lost track of former pension accounts over the past half century. Where did they go? There are a number of resources at your fingertips which could help locate your lost plan. These…
  • Nov 30

    Problems at the Family Office

    Problems at the Family Office
    The past decade has seen an explosion in the number of family offices set up by families seeking to coordinate and organize family wealth and assets, as well as issues involving the intergenerational transfer of family legacies. This growth…
  • Nov 4

    Fraud Victims Allowed to Proceed with Theft, Embezzlement and Fraudulent Diversion of Investment Fund

    Fraud Victims Allowed to Proceed with Theft, Embezzlement and Fraudulent Diversion of Investment Fund
    In a Decision dated November 3, 2016, in the case of Taylor v. Casolo, the New York State Supreme Court, Appellate Division, Third Judicial Department affirmed Supreme Court’s ruling disqualifying counsel for several defendants in a…
Rank this Week: 2948

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

http://www.hedgefundlawblog.com
  • Jan 5

    Anecdotal Evidence of Strong Investor Appetite in 2017

    Anecdotal Evidence of Strong Investor Appetite in 2017
    Hedge funds to be attractive investments in new year? By: Bart Mallon Over the past couple of years hedge funds have seemingly taken a back seat to private equity, which has seen a significant amount of attention and inflows from…
  • Jan 4

    Cole-Frieman & Mallon EOY Update

    Cole-Frieman & Mallon EOY Update
    www.colefrieman.com January 4, 2016 Clients, Friends, Associates:While the holiday season is a cause for celebration and reflection, it is also the busiest time of the year for most investment managers.  Year-end administrative upkeep…
  • Jul 22

    Cole-Frieman & Mallon 2016 Second Quarter Update

    Cole-Frieman & Mallon 2016 Second Quarter Update
     www.colefrieman.com July 22, 2016 Clients and Friends: We hope that this message finds you well and that you are enjoying the first months of summer. As we move into the third quarter, we would like to provide you with a brief overview…
Rank this Week: 4234

The Securities Edge

The Securities Edge

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

http://www.thesecuritiesedge.com/
  • Jan 2

    My 10 Best Books of 2016

    My 10 Best Books of 2016
    Posted By: Robert B. Lamm Those of you who’ve been reading my posts for a while know that I depart from securities and governance topics only once each year, to report on my 10 favorite books of the year just gone by.  I will point…
  • Dec 12

    Insider trading: there still ought to be a law

    Insider trading: there still ought to be a law
    Posted By: Robert B. Lamm In the few days since the Supreme Court handed down its decision in Salman v. United States, many commentators have said, in effect, that criminal prosecutions for insider trading are alive and well.  Alive,…
  • Nov 30

    Bob Lamm receives Lifetime Achievement award for his dedication to governance

    Bob Lamm receives Lifetime Achievement award for his dedication to governance
    Posted By: David C. Scileppi Congratulations to our esteemed colleague, Bob Lamm, for winning this prestigious award! While we all know that Bob is the guru in the governance space, it’s great that he was recognized for all of his…
Rank this Week: 3521

SEC Whistleblower Lawyer Blog

SEC Whistleblower Lawyer Blog

Covers securities law. By Silver Law Group & The Law Firm of David R. Chase, P.A.

http://www.secwhistleblowerlawyers.net/
  • Dec 23

    Proposed CFTC Rules Might Make It Easier for Whistleblowers to Inform the Government About Commodities Fraud

    Proposed CFTC Rules Might Make It Easier for Whistleblowers to Inform the Government About Commodities Fraud
    The regulatory agency has requested public comment on proposed amendments The Commodity Futures Trading Commission (CFTC), the independent US government agency that regulates futures and options markets, has requested public comment on…
  • Dec 10

    SEC Awards Approximately $1 Million to Whistleblower

    SEC Awards Approximately $1 Million to Whistleblower
    The Securities and Exchange Commission (the “SEC’) announced on December 9, 2016 that it had awarded more than $900,000 to a whistleblower whose tip enabled the SEC to bring multiple enforcement actions against bad actors. The…
  • Dec 5

    SEC Awards $3.5 Million to Whistleblower

    SEC Awards $3.5 Million to Whistleblower
    The Securities and Exchange Commission (the “SEC’) announced on December 5, 2016 that it had awarded a whistleblower approximately $3.5 million for coming forward with information that led to an SEC enforcement action. The $3.5…
Rank this Week: 1969

Corporate Securities Law Blog

Corporate Securities Law Blog

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

http://www.corporatesecuritieslawblog.com/
Rank this Week: 1420

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/
  • Dec 21

    The Financial Industry Regulatory…

    The Financial Industry Regulatory Authority (“FINRA”) permanently barred former Moloney Securities Co., Inc. (CRD# 38535) broker John R. McKinstry (CRD# 1012658) after he failed to continue to provide information and documents…
  • Dec 21

    The Risks of Investing in Master Limited Partnerships in the Energy Industry

    The Risks of Investing in Master Limited Partnerships in the Energy Industry
    Higher volatility and lack of transparency could make these unsuitable vehicles for many investors If your broker or financial advisor has recommended that you invest in Master Limited Partnerships (MLPs) in the energy industry, consider your…
  • Nov 29

    Raymond James Senior Vice President Under Investigation for Unsuitable Recommendations in Oil and Gas Securitie

    Raymond James Senior Vice President Under Investigation for Unsuitable Recommendations in Oil and Gas Securitie
    Our lawyers are investigating Boca Raton, Florida-based Raymond James & Associates, Inc. (CRD# 705) senior vice president Martin L. Waldman (CRD# 4566228), also known as “Skip,” for unsuitable recommendations in oil and gas…
Rank this Week: 1974