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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: 77

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

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

    Chad Karl Has Customer Complaint

    Chad Karl Has Customer Complaint
    Public records published by the Financial Industry Regulatory Authority (FINRA) on June 24, 2016 indicate that Wisconsin-based Sterne Agee Financial Services broker/adviser Chad Karl has received resolved or pending customer complaints. The…
  • Jun 24

    Clark Gardner Permanently Barred from Securities Industry

    Clark Gardner Permanently Barred from Securities Industry
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 24, 2016 indicate that former Utah-based Cetera Advisors broker Clark Gardner has been permanently barred from acting as a broker or an…
  • Jun 24

    Ross Barish Facing Regulatory Sanction

    Ross Barish Facing Regulatory Sanction
    Public records provided by the Financial Industry Regulatory Authority (FINRA) on June 24, 2016 indicate that New York-based Joseph Stone Capital broker Ross Barish has been named in a pending regulatory complaint. The securities and…
Rank this Week: 88

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: 130

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: 153

Securities Law Prof Blog

Securities Law Prof Blog

Covers securities arbitration, state securities law, court decisions and law review articles. By Eric C. Chaffee.

http://lawprofessors.typepad.com/securities/
  • Apr 28

    Call for Papers AALS Section on Securities Regulation - 2017 AALS Annual Meeting

    Call for Papers AALS Section on Securities Regulation - 2017 AALS Annual Meeting
    The AALS Section on Securities Regulation invites papers for its program on “Securities Regulation and Technological Change” at the 2017 AALS annual meeting. TOPIC DESCRIPTION: This panel discussion will explore the intersection of…
  • Apr 28

    Save the Date: Central States Law Schools Scholarship Conference

    Save the Date: Central States Law Schools Scholarship Conference
    The Central States Law Schools Association 2016 Scholarship Conference will be held on Friday, September 23 and Saturday, September 24 at the University of North Dakota School of Law in Grand Forks, ND. CSLSA is an organization of law…
  • Apr 28

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: Ivet A. Bell, Note, The Constitutionality of the SEC Pay to Play Rule: Why 206(4)-5 Survives the Deregulatory Trend in Campaign Finance, 49…
Rank this Week: 138

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: 133

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • Jun 26

    What Does the Brexit Vote Mean for the Insurance Industry?

    What Does the Brexit Vote Mean for the Insurance Industry?
    The historic June 23, 2016 vote by a majority of voters for the United Kingdom to leave the European Union has dominated the headlines and roiled financial markets around the world – and for good reason. The U.K.’s withdrawal from…
  • Jun 23

    Guest Post: Deeper Trends in Securities Class Actions 2006-2015

    Guest Post: Deeper Trends in Securities Class Actions 2006-2015
    There have been a number of important developments in class action securities litigation case filings in the recent years. In the following guest post, Michael Klausner, Professor of Law, Stanford Law School, and Jason Hegland, Executive…
  • Jun 22

    Guest Book Review: Money Changes Everything: How Finance Made Civilization Possible

    Guest Book Review: Money Changes Everything: How Finance Made Civilization Possible
    Regular readers know that from time to time I publish my reviews of books that I have recently read. I also publish guest posts from time to time as well. In variance that combines these two practices, today I am posting a guest book review,…
Rank this Week: 195

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/
  • Jun 23

    Merrill Lynch fined over structured notes sales.

    Merrill Lynch fined over structured notes sales.
    The Securities and Exchange Commission recently announced that Merrill Lynch has agreed to pay a $10 million penalty to settle charges that it was responsible for misleading statements in offering materials provided to retail investors…
  • Jun 22

    Ameriprise fined over closed-end fund sale

    Ameriprise fined over closed-end fund sale
    According to reports, Ameriprise Financial Services Inc. has agreed to pay a $100,000 fine to settle charges by the Financial Industry Regulatory Authority that the firm failed to supervise closed-end fund sales. Finra alleged that from…
  • Jun 21

    Robert Tricarico pleads guilty to fraud.

    Robert Tricarico pleads guilty to fraud.
    According to various reports, a Milford financial advisor, Robert Tricarico, has pleaded guilty to fraud and stealing more than $1.2 million from a client. According to the United States Attorney for Connecticut, Robert N. Tricarico, 60,…
Rank this Week: 267

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/
  • Jun 23

    How to Make Sense of Your Monthly Account Statement

    How to Make Sense of Your Monthly Account Statement
    Brokerage account statements can be lengthy and complicated.  Having a basic idea of what you are looking at, however, can help you spot mistakes, unauthorized activity, and even fraud. Here are the key types of information generally…
  • Jun 13

    Financial Fraud: Don’t Be an Easy Target

    Financial Fraud: Don’t Be an Easy Target
    The headlines are full of stories of identity theft and investment fraud.  There are steps you can take to keep from being an easy target. Guard your Social Security number! Memorize the number and don’t carry your Social…
  • Jun 7

    Should I Stay or Should I Go?  What to know before following your broker to a new firm.

    Should I Stay or Should I Go?  What to know before following your broker to a new firm.
    If you have been with your broker for a while, chances are you have developed a good relationship with him or her. If he or she decides to change brokerage firms one day, you will most likely be asked to follow him or her to the new brokerage…
Rank this Week: 272

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…
  • Jun 24

    SEC v. George A. Moore III, et al.,

    SEC v. George A. Moore III, et al.,
    Going Public LawyerThe Securities and Exchange Commission (SEC) charged George A. Moore III of Durham, North Carolina, the former CEO of Solarbrook Water and Power Corporation, and Joseph R. DeRosa of Cornelius, North Carolina with violating…
Rank this Week: 385

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/
  • Jun 27

    Are A Breach Of Fiduciary Duty And A Breach Of Governing Documents “Non Bis In Idem”?

    Are A Breach Of Fiduciary Duty And A Breach Of Governing Documents “Non Bis In Idem”?
    Last week, I discussed the Court of Appeal’s consideration of whether the business judgment rule protects a director from claims based on breach of the corporation’s governing documents.  See Does The Business Judgment…
  • Jun 24

    Does The Business Judgment Rule Protect Directors Who Violate Governing Documents?

    Does The Business Judgment Rule Protect Directors Who Violate Governing Documents?
    Under the business judgment rule, a director will not be liable for a mistake in business judgment provided that certain conditions are met.  In the case of a California nonprofit mutual benefit corporation, a director who performs her…
  • Jun 23

    What Is A Knowing Violation Of Law?

    What Is A Knowing Violation Of Law?
    Nevada’s private corporation law automatically exculpates directors and officers from individual liability from individual liable to the corporation or its stockholders or creditors for any damages as a result of any act or failure to…
Rank this Week: 448

Securities Law Attorneys Blog

Securities Law Attorneys Blog

Covers securities law. By Fitapelli | Kurta.

http://www.securitieslawattorneys.net/
  • Jun 24

    Broker Spotlight: Sandy Jukel (Morgan Stanley)

    Broker Spotlight: Sandy Jukel (Morgan Stanley)
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 24, 2016 indicate that Florida-based Morgan Stanley broker/adviser Sandy Jukel has been the subject of resolved or pending customer complaints.…
  • Jun 24

    James Pardy (Joseph Stone Capital) Facing Regulatory Complaint

    James Pardy (Joseph Stone Capital) Facing Regulatory Complaint
    Public records provided by the Financial Industry Regulatory Authority (FINRA) on June 24th, 2016 indicate that New York-based Joseph Stone Capital broker James Pardy has been named in a pending regulatory complaint. The securities and…
  • Jun 24

    Edward Bosch Permanently Barred from Securities Industry

    Edward Bosch Permanently Barred from Securities Industry
    Public records provided by the Financial Industry Regulatory Authority (FINRA) on June 23, 2016 indicate that former Kentucky-based LPL Financial broker Edward Bosch, Sr. has been permanently barred from acting as a broker or otherwise…
Rank this Week: 539

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
  • Jun 23

    DiCaprio To Testify In ‘Wolf Of Wall Street’ Suit

    DiCaprio To Testify In ‘Wolf Of Wall Street’ Suit
    From the Desk of Jim Eccleston at Eccleston Law LLC:A federal judge ordered actor Leonardo DiCaprio to be deposed because of his role in the Academy Award nominated film “The Wolf of Wall Street.” Andrew Greene, the plaintiff in…
  • Jun 20

    FINRA Cracks Down on Oppenheimer’s Unsuitable Sale of Non-Traditional ETF

    FINRA Cracks Down on Oppenheimer’s Unsuitable Sale of Non-Traditional ETF
    From the Desk of Jim Eccleston at Eccleston Law LLC:Without admitting or denying allegations, Oppenheimer & Co. agreed to pay $2.25 million to FINRA for the unsuitable sales of non-traditional ETFs and the consequential supervisory…
  • Jun 17

    Massachusetts Securities Regulator Attempts to Clean Up His State

    Massachusetts Securities Regulator Attempts to Clean Up His State
    From the Desk of Jim Eccleston at Eccleston Law LLC:In an effort to better protect investors and the market for securities in Massachusetts, Commonwealth Secretary William Galvin requested information from 241 brokerage firms in order to keep…
Rank this Week: 417

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Jun 15

    Broker Investigation: Churning Complaints Against Cory Bataan

    Broker Investigation: Churning Complaints Against Cory Bataan
    The securities lawyers of Gana LLP are investigating customer complaints against broker Cory Bataan (Bataan).  There are at least four customer complaints against Bataan and one employment termination for cause.  The customer…
  • Jun 15

    Customer Complaints Against Andrew Topka Involving Non-Traded REITs and Alternative Investment

    Customer Complaints Against Andrew Topka Involving Non-Traded REITs and Alternative Investment
    The securities lawyers of Gana LLP are investigating a customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Andrew Topka (Topka).  According to BrokerCheck records Foote has been subject to at…
  • Jun 13

    FINRA Bars Brian Smit Over Private Securities Transaction

    FINRA Bars Brian Smit Over Private Securities Transaction
    The investment lawyers of Gana LLP are investigating the regulatory action brought by the Financial Industry Regulatory Authority (FINRA) against Brian Smit (Smit) formerly working out of the Sioux Falls, South Dakota office of LPL Financial…
Rank this Week: 405

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/
  • May 20

    SEC forces Mickelson to return $1 million from insider trading

    SEC forces Mickelson to return $1 million from insider trading
    PGA golfer Phil Mickelson agreed to forfeit almost $1 million that the Securities and Exchange Commission (SEC) said was obtained through insider trading. Mickelson was named as a “relief defendant” in a criminal case, filed in…
  • 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…
Rank this Week: 493

Stock Attorneys Blog

Stock Attorneys Blog

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

http://www.stockattorneysblog.com/
  • Mar 14

    FINRA Questioning Brokerage Firm “Culture”

    FINRA Questioning Brokerage Firm “Culture”
    FINRA has made brokerage firm “culture” one of its top priorities for 2016. FINRA refers to “culture” as how management sets the bar for the firm and how culture effects their brokers interaction with clients and their…
  • Aug 18

    LPL Financial Fraught with Allegations of Supervisory Failure

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

    Total Wealth Management Sanctions Kickback

    Total Wealth Management Sanctions Kickback
    Top Executives Foster Flagrant Fraud Practices It goes without saying that there is a lot of money to be made in the investment industry. Even when investment firms and advisors follow the rules that govern the industry, they stand to earn…
Rank this Week: 542

InvestorLawyers.net

InvestorLawyers.net

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

http://www.investorlawyers.net/blog/
  • Feb 19

    Former InterSecurities Broker Harry Hammond Suspended For Unapproved PIPE Transaction

    Former InterSecurities Broker Harry Hammond Suspended For Unapproved PIPE Transaction
    According to the Financial Industry Regulatory Authority (FINRA), former InterSecurities, Inc (InterSecurities), now known as Transamerica Financial Advisors, Inc. (Transamerica), broker Harry Hammond (Hammond) was suspended from the…
  • Feb 19

    36 Oil and Gas Companies Filed For Bankruptcy In 2015

    36 Oil and Gas Companies Filed For Bankruptcy In 2015
    Law Office of Christopher J. Gray wishes to alert investors to the possibility that recommendations of oil and gas investments by broker-dealers may be unsuitable, depending on the individual characteristics of investors and whether the…
  • Feb 19

    Customer Complaints Made Against Broker Robyn H. Lee Regarding TIC

    Customer Complaints Made Against Broker Robyn H. Lee Regarding TIC
    According to the Financial Industry Regulatory Authority (FINRA), former Independent Financial Group (Independent), broker Robyn H. Lee (Lee) has had at least thirteen (13) customer complaints made against him, mostly involving sales of…
Rank this Week: 517

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

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

    House Agriculture leaders warn proposed CFTC energy order would cause inconsistency

    House Agriculture leaders warn proposed CFTC energy order would cause inconsistency
    By Lene Powell, J.D.The leaders of the House Agriculture Committee wrote to CFTC Chairman Timothy Massad to express concern about a proposed CFTC order that would recognize a private right of action for market manipulation involving certain…
  • Jun 24

    IDC warns against fund proposals pushing managerial tasks onto board

    IDC warns against fund proposals pushing managerial tasks onto board
    By Amy Leisinger, J.D.The Independent Directors Council filed a supplement to its comment letters on the SEC’s proposals regarding liquidity risk management and funds’ derivatives use. According to the IDC, both proposals raise…
  • Jun 23

    Post-Tilton, ALJ regime challengers gear up for new round of argument

    Post-Tilton, ALJ regime challengers gear up for new round of argument
    By Rodney F. Tonkovic, J.D.A motion requesting permission to file a joint petition for rehearing has been filed in Tilton v. SEC. Undeterred by a recent ruling in the SEC's favor, plaintiff-appellant Patriarch Partners, together with the…
Rank this Week: 728

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

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

    Corp Fin: 7 New “Rule 701” CDI

    Corp Fin: 7 New “Rule 701” CDI
    As noted in this Cooley blog, Corp Fin issued 7 new CDIs last week on Rule 701 issues – primarily in the M&A context… Social Media: Deal Announced By Blog Post! As noted in this blog by Steve Quinlivan: Tesla, in an offer to…
  • Jun 24

    Brexit: The Risk Factors Cometh!

    Brexit: The Risk Factors Cometh!
    I’m out West for the Society of Corporate Secretaries Conference. So I was up when the ‘leave’ vote stunned the world. I just did a quick Edgar search and ‘Brexit’ has been scarcely mentioned in recent 10-Ks…
  • Jun 23

    Transcript: “Non-GAAP Disclosures: What Is Permissible?”

    Transcript: “Non-GAAP Disclosures: What Is Permissible?”
    We have posted the transcript of our popular webcast that almost broke the Internet due to its demand: “Non-GAAP Disclosures: What Is Permissible?”… SEC Finally Fixes “Insider Transactions” Links For months, the…
Rank this Week: 726

White Collar Alert

White Collar Alert

Provides news and insight to counsel and legal observers concerning white collar criminal defense, internal investigations, government litigation and regulatory compliance. By Montgomery McCracken.

http://whitecollarblog.mmwr.com
Rank this Week: 1184

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: 1067

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
  • Jun 20

    Homer Simpson, Killer Tomatoes, and SEC v. McDuff

    Homer Simpson, Killer Tomatoes, and SEC v. McDuff
    Today's BrokeAndBroker.com Blog continues our unique and exhaustive coverage of the epic battle between the United States Securities and Exchange Commission ("SEC") and Gary L. McDuff. Readers unfamiliar with SEC v. McDuff should reference…
  • Jun 20

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
    Led Zeppelin, Brexit, And Manny The SongbirdThis morning, we all awoke to the surprise news about a British institution. An American jury found that the rock group Led Zeppelin was not guilty of copyright infringement when they published…
  • Jun 20

    Led Zeppelin, Brexit, And Manny the Songbird

    Led Zeppelin, Brexit, And Manny the Songbird
    This morning, we all awoke to the surprise news about a British institution. An American jury found that the rock group Led Zeppelin was not guilty of copyright infringement when they published "Stairway to Heaven." In response to that…
Rank this Week: 1093

William Carleton, Counselor @ Law

William Carleton, Counselor @ Law

Covers legal and investment issues facing emerging tech companies.

http://www.wac6.com/wac6/
  • Mar 16

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

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

    A Gift from Congress to Angel

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

    Looking for Mr. 506(c)

    Looking for Mr. 506(c)
    "On a relative basis, issuances claiming the new Rule 506(c) exemption have accounted for only 2.1% of the reported capital raised pursuant to Rule 506 since becoming effective in September 2014." So reads a key finding of a report,…
Rank this Week: 1034

California Securities Fraud Lawyer…

California Securities Fraud Lawyer Blog

Covers securities regulation, fiduciaries, and securities disputes news and updates. Published By Alcala Law Firm.

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

    A Securities Lawyer's Top 10 Tips for Senior Investor

    A Securities Lawyer's Top 10 Tips for Senior Investor
    Reject aggressive salespeople. Don't feel pressured to act quickly. Give yourself time to do your homework. Don't be afraid to say "no." Request to be put on the "do not call" list. Ask questions. Ask what licenses the salesperson has. Get…
  • Nov 10

    Investor Alert: Magnum Hunter Resources to be Delisted

    Investor Alert: Magnum Hunter Resources to be Delisted
    Today, the New York Stock Exchange (NYSE) announced their decision to proceed with delisting Magnum Hunter Resources Corporation (NYSE: MHR). Trading in MHR's common stock will be suspended immediately causing irreparable harm to many main…
  • Oct 8

    Leveraged & Inverse ETFs: Public Enemy Number One

    Leveraged & Inverse ETFs: Public Enemy Number One
    By now, readers of this blog are hopefully aware that we are very negative on the marketing and sale of leveraged and inverse exchange-traded funds ("ETFs") to average investors. The New York Times recently published a news piece declaring…
Rank this Week: 1104

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

http://www.hedgefundlawblog.com
  • Dec 4

    Hedge Fund Events December 2015

    Hedge Fund Events December 2015
    The following are various hedge fund events happening this month.  Please email us if you would like us to add your event to this list. **** Date: December 1-3, 2015 Sponsor: AnDevCon Event: AnDevCon: The Android Developer Conference…
  • Dec 4

    Hedge Fund Events December 2015

    Hedge Fund Events December 2015
    The following are various hedge fund events happening this month.  Please email us if you would like us to add your event to this list. **** Date: December 1-3, 2015 Sponsor: AnDevCon Event: AnDevCon: The Android Developer Conference…
  • Nov 1

    Hedge Fund Events November 2015

    Hedge Fund Events November 2015
    The following are various hedge fund events happening this month.  Please email us if you would like us to add your event to this list. **** Date: November 2-4, 2015 Sponsor: BZ Events Event: Big Data Tech Con 2014 Location: Chicago, IL…
Rank this Week: 890

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: 1182

Inside Sarbanes Oxley

Inside Sarbanes Oxley

Covers Sarbanes-Oxley and compliance.

http://insidesarbanesoxley.com/
  • Sep 10

    Whistleblowing – What you need to know about the Dodd-Frank Act

    Whistleblowing – What you need to know about the Dodd-Frank Act
    If your organization isn’t already offering incentives to ferret out inappropriate behaviors, the new Dodd-Frank Act and whistleblowing rewards just might (and could make your company the next public spectacle). Deloitte’s…
  • May 26

    Internal Audit: The Continuous Conundrum

    Internal Audit: The Continuous Conundrum
    The department painstakingly went through its inventory of SOX controls to determine which ones could be assessed just by analyzing data in company systems. Then data-analytic scripts were written to allow exceptions to be found. Now, for…
  • May 26

    How to choose the right nonexecutive board leader

    How to choose the right nonexecutive board leader
    Ever since stock-listing requirements prompted many US companies to name an independent director to serve as the chairman, lead director, or presiding director of the board, these companies have been grappling with what, exactly, this board…
Rank this Week: 725

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: 4592

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/
  • Jun 27

    Cybersecurity solutions highlighted by MFDA

    Cybersecurity solutions highlighted by MFDA
    The Mutual Fund Dealers Association of Canada (MFDA) recently published guidance (the Bulletin) on contending with cybersecurity threats.  The Bulletin suggests a comprehensive suite of cybersecurity considerations that are widely used…
  • Jun 27

    IIROC membership disclosure rules finalized

    IIROC membership disclosure rules finalized
    The Investment Industry Regulatory Organization of Canada (IIROC) has published final amendments to the Dealer Member Rules which require dealer members to disclose that they are regulated by IIROC.  Under the new rules, a dealer member…
  • Jun 27

    IIROC to consolidate enforcement rules effective September 1, 2016

    IIROC to consolidate enforcement rules effective September 1, 2016
    The Investment Industry Regulatory Organization of Canada (IIROC) will replace a number of provisions of the Dealer Member Rules and the Universal Market Integrity Rules relating to enforcement, procedure and other related matters with a new…
Rank this Week: 4109

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/
  • Jun 27

    Broker Pays the Price for Passing on Arbitration

    Broker Pays the Price for Passing on Arbitration
    Lessons Learned: You cannot ignore an arbitration complaint. You will lose, and the award will become a judgment. Plus - FINRA's two year jurisdiction retention does not limit your arbitration agreement.From the Securities Arbitration…
  • Jun 24

    SEC Charges “Frack Master” With Running an $80 Million Oil and Gas Fraud

    SEC Charges “Frack Master” With Running an $80 Million Oil and Gas Fraud
    The Securities and Exchange Commission today charged four companies and eight individuals in an $80 million oil and gas fraud orchestrated by a Dallas man who calls himself the “Frack Master” for his purported expertise in…
  • Jun 23

    Merrill Lynch to Pay $415 Million for Misusing Customer Cash and Putting Customer Securities at Risk

    Merrill Lynch to Pay $415 Million for Misusing Customer Cash and Putting Customer Securities at Risk
    The Securities and Exchange Commission today announced that Merrill Lynch has agreed to pay $415 million and admit wrongdoing to settle charges that it misused customer cash to generate profits for the firm and failed to safeguard customer…
Rank this Week: 2358

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • Jun 27

    So what’s your firm’s culture

    So what’s your firm’s culture
    If you cannot answer this question, you may have an issue when you have your next FINRA exam. After all, firm culture is a FINRA exam priority. Does your firm have a culture of compliance? This question only leads to another; what is a…
  • Jun 26

    Huge Customer Protection Rule Fine Brings Back Memorie

    Huge Customer Protection Rule Fine Brings Back Memorie
    My friend and a legend in the securities regulatory field, Edwin Nordlinger, who served as Deputy Regional Director in the SEC’s New York office for years, was one of the nation’s premier experts on the SEC’s net capital and…
  • Jun 20

    What to do about a stupid client

    What to do about a stupid client
    Anyone in a professional service business, like being a stock broker, have been faced with a client who decides to make a stupid decision. But the issue we all face is when that decision results in the client losing money; who is to be held…
Rank this Week: 3847

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/
  • Jun 27

    DGCL Amendments: Appraisal Actions & “Intermediate-Form” Merger

    DGCL Amendments: Appraisal Actions & “Intermediate-Form” Merger
    Here’s a summary of this memo from Ropes & Gray: On June 16, 2016, Delaware Governor Jack Markell signed into law House Bill 371, which amends the Delaware General Corporation Law (DGCL) with respect to, among other things,…
  • Jun 20

    How Not to Run a Proxy Contest: Voce Capital Management Demonstrate

    How Not to Run a Proxy Contest: Voce Capital Management Demonstrate
    Here’s news from this Wachtell Lipton memo: Yesterday, the entire board of directors of FBR & Co. was overwhelmingly re-elected in the face of a bitter proxy fight waged by Voce Capital Management, an activist hedge fund. Voce…
  • Jun 16

    Takeaways: Antitrust, IP, Board Processe

    Takeaways: Antitrust, IP, Board Processe
    Some great stuff in these takeaways from a recent Cleary Gottlieb/Berkeley event in San Francisco about “Antitrust, IP, Board Processes, and M&A in 2016: Challenges and Conundrums for the West Coast”…
Rank this Week: 2361

The Securities Edge

The Securities Edge

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

http://www.thesecuritiesedge.com/
  • Jun 25

    The SEC’s summer menu

    The SEC’s summer menu
    Posted By: Robert B. Lamm In recent weeks, the SEC has given public companies some new menu items, including the following: On June 1, the SEC adopted an “interim final rule” that permits companies to inclue a summary of business…
  • Jun 22

    New federal law provides additional protection for trade secret

    New federal law provides additional protection for trade secret
    Posted By: Robert C. White Jr. President Barack Obama signed into law Wednesday, May 11th, a bill that will provide protection for trade secrets on the federal level. This new legislation, called the Defend Trade Secrets Act of 2016, or DTSA,…
  • Jun 15

    Senator Warren strikes again

    Senator Warren strikes again
    Posted By: Robert B. Lamm It’s almost exactly one year to the day since I took Senator Elizabeth Warren to task for what I believed was an unwarranted and particularly vicious attack on the SEC – or, rather, Chair White’s…
Rank this Week: 3529

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: 2887

New York Securities Lawyer Blog

New York Securities Lawyer Blog

Covers securities law. By Lax & Neville LLP.

http://www.newyorksecuritieslawyerblog.com/
Rank this Week: 2044

May Law, PC Blog

May Law, PC Blog

Covers investment law, securities laws the requirements of the Financial Industry Regulatory Authority (FINRA).

http://www.maylawpc.net/category/blog/
  • Jun 23

    FINRA Takes a Closer Look at Variable Annuity Sale

    FINRA Takes a Closer Look at Variable Annuity Sale
    The things we spend our money on tend to change as we get older. There’s a good chance you have a lot more money in your pocket…
  • Jun 2

    Who is May Law?

    Who is May Law?
    Press play on the video below for an inside look into what sets May Law apart from other firms and why Andrew May feels so passionately about…
  • May 20

    The Evolution of Insider Trading

    The Evolution of Insider Trading
    In the world of finance, one of the most malleable legal terms is “insider trading.” It may seem obvious to financial experts, but many don’t fully appreciate…
Rank this Week: 2562

Subject to Inquiry

Subject to Inquiry

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

http://www.subjecttoinquiry.com/
  • Jun 23

    Supreme Court Hands Down Opinion in Universal Health Services v. Escobar

    Supreme Court Hands Down Opinion in Universal Health Services v. Escobar
    Recently, the Supreme Court handed down its much-anticipated opinion in Universal Health Services, Inc. v. United States ex rel. Escobar et al.—a case addressing the viability of the implied certification theory in FCA litigation. …
  • Jun 17

    SEC Highlights Model Response to Evidence of FCPA Violations, Announces Non-Prosecution Agreement

    SEC Highlights Model Response to Evidence of FCPA Violations, Announces Non-Prosecution Agreement
    On June 7, the Securities and Exchange Commission (SEC) announced two non-prosecution agreements (NPAs) following a pair of investigations into alleged violations of the Foreign Corrupt Practices Act (FCPA).  Both companies were ensnared…
  • Jun 16

    Department of Education Proposes Rules Increasing Student Loan Risk to School

    Department of Education Proposes Rules Increasing Student Loan Risk to School
    On June 13, the Department of Education (DOE) proposed new rules relating to effective discharges of student loans. The proposed rules should be of note and concern to all schools, nonprofit and for-profit alike, because of significant new…
Rank this Week: 1848

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

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

    Ignore At Your Own Peril: “Training Fees” Provisions in Financial Industry Employment Contract

    Ignore At Your Own Peril: “Training Fees” Provisions in Financial Industry Employment Contract
                It has long been the practice of many broker-dealers, wire houses, and other financial firms to put provisions in employee contracts allowing them to recover so-called “training fees”…
  • May 23

    DOL Fiduciary Rule P II: The SEC Story

    DOL Fiduciary Rule P II: The SEC Story
    While the previous post discussed the Department of Labor’s (DOL) fiduciary rule, it is not the only government agency tackling the issue. In 2010, President Obama signed into law the Dodd-Frank Act, which authorized the Securities and…
  • Apr 18

    “Lumpiness” insufficient When the Ship is Going Down

    “Lumpiness” insufficient When the Ship is Going Down
    Class action investors recently won a partial victory against Dolan Company in the 8th Circuit Court of Appeals.  I stress partial because, while the trial court’s dismissal was reversed, its severe limitation of the…
Rank this Week: 3907

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
  • Jun 22

    SEC Places Merrill Lynch in its Crosshairs over Sales of Structured Note

    SEC Places Merrill Lynch in its Crosshairs over Sales of Structured Note
    A recent article in The Wall Street Journal (“SEC Readies Case Against Merrill Lynch Over Notes That Lost 95%”) stated that the Securities and Exchange Commission is preparing a civil enforcement case against Merrill Lynch over a…
  • Jun 9

    Oppenheimer & Co. – Widespread Culture of Corruption?

    Oppenheimer & Co. – Widespread Culture of Corruption?
    Oppenheimer & Co., one of the most sanctioned and criticized brokerage firms on Wall Street, has been once again the subject of a massive regulatory fine (“FINRA Sanctions Oppenheimer & Co. $2.9 Million for Unsuitable Sales of…
  • Apr 27

    MADDOX: Let’s better protect our retirement account

    MADDOX: Let’s better protect our retirement account
    Attorney Mark Maddox wrote an article for the Indianapolis Business Journal this past week on the topic of protecting our retirement accounts. Here is a link to the article:…
Rank this Week: 4158

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: 3365

Tim O'Connor's Blog

Tim O'Connor's Blog

Covers stockbroker fraud.

http://stockbrokerlaw.com/tim-oconnors-blog
  • Jun 21

    SEC Awards a Total of $8.5 Million Dollars in Two Separate Whistleblower Case

    SEC Awards a Total of $8.5 Million Dollars in Two Separate Whistleblower Case
    In two separate press releases dated May 16, 2016 (link to press release 2016-89) and May 17, 2016 (number 2016-91) the Securities and Exchange Commission announced awards of over $5,000,000 and $3.5 Million Dollars, respectively, to…
  • Jun 14

    FINRA Whistleblower Tip-Line

    FINRA Whistleblower Tip-Line
    The Financial Industry Regulatory Authority maintains a whistleblower tip-line for individuals having information about potentially illegal or unethical activity involving the securities markets FINRA’s Office of Fraud Detection and…
  • Jun 7

    SEC Issues Investor Bulletin Regarding Stop Orders and Stop Limit Order

    SEC Issues Investor Bulletin Regarding Stop Orders and Stop Limit Order
    On May 2, 2016 the SEC’s Office of Investor Education and Advocacy issued an investor bulletin designed to educate investors of the difference between using “stop” and “stop limit” orders to buy and sell stocks. …
Rank this Week: 2999

Business Blog

Business Blog

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

http://www.businesslawnews.com/
  • Jun 21

    Green v. Brennan: When is a Constructive Discharge Claim Applicable?

    Green v. Brennan: When is a Constructive Discharge Claim Applicable?
    The U.S. Supreme Court recently held that the statute of limitations begins to run in a constructive discharge lawsuit when the employee provides notice of his resignation. The Court’s 7-1 decision in Green v. Brennan resolves a circuit…
  • May 30

    Mickelson Case Reflects Insider Trading in the Wake of Newman

    Mickelson Case Reflects Insider Trading in the Wake of Newman
    What does the Mickelson case reveal about insider trading? Professional golfer Phil Mickelson was recently named in an insider trading case involving sports gambler William Walters. Although Phil is not facing any charges in the…
  • May 11

    Cyber Threats on Small Businesses Come from All Angle

    Cyber Threats on Small Businesses Come from All Angle
    Cyber Threats on Small Businesses Come from All Angles The Federal Bureau of Investigation (FBI) recently issued several “cyber alerts” that may impact small businesses in Monmouth County and throughout New Jersey. As with all…
Rank this Week: 3815

Stock Market Loss

Stock Market Loss

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

http://www.stockmarketloss.com/news/
  • Jun 20

    Leveraged and Inverse ETFs Too Complicated and Risky for Most Investor

    Leveraged and Inverse ETFs Too Complicated and Risky for Most Investor
    This article was originally posted on Stock Market Loss Many investors buy exchange-traded funds, more commonly called ETFs.  ETFs are usually registered investment companies whose shares represent an interest in a portfolio of…
  • Jun 16

    Buying Variable Life Insurance or Annuities? Make Sure to Check Out the Agent.

    Buying Variable Life Insurance or Annuities? Make Sure to Check Out the Agent.
    This article was originally posted on Stock Market Loss When stockbrokers who commit fraud or other sales abuses are barred from working in the securities industry, they often keep their insurance licenses. This occurs because state…
  • Apr 12

    New Rule Explicitly Makes Stockbrokers Fiduciaries When Dealing with Retirement Fund

    New Rule Explicitly Makes Stockbrokers Fiduciaries When Dealing with Retirement Fund
    This article was originally posted on Stock Market Loss You may have seen articles lately referring to “the DOL” and “Fiduciaries.” If you didn’t have time to read more than the headlines, you might wonder what…
Rank this Week: 3474

Cady Bar the Door

Cady Bar the Door

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

http://www.secmiscellany.com
  • Jun 15

    Supreme Court Says Prosecutors Can’t Judge the Cases They Prosecute

    Supreme Court Says Prosecutors Can’t Judge the Cases They Prosecute
    Not all of the justices would put it that way.  To be fair to the dissenters, and because his version is shorter, we’ll use Justice Thomas’s description of the underlying facts from his dissent in Williams v. Pennsylvania,…
  • Jun 13

    Don’t even think about violating that penny stock bar.

    Don’t even think about violating that penny stock bar.
    The penny stock world can be rough. So rough that breaking the rules in that corner of the securities markets ban bring its own kind of injunction, one that’s much more specific than the typical don’t-break-the-law-anymore kind of…
  • May 25

    The Insider Trading Cartoon Series, Vol. IX — Tender Offer

    The Insider Trading Cartoon Series, Vol. IX — Tender Offer
    I want to talk about Rule 14e-3, because it has significant implications for insider trading liability.  But to do that, we first have to talk about tender offers, and what they are.     The post The Insider Trading Cartoon…
Rank this Week: 3834

Strictly Business

Strictly Business

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

http://www.strictlybusinesslawblog.com/
  • Jun 14

    5 Questions to Answer As You Prepare Your Startup for a Seed or Angel Round

    5 Questions to Answer As You Prepare Your Startup for a Seed or Angel Round
    Last month I wrote about the four stages of startup capital – (1) seed rounds, (2) angel rounds, (3) venture rounds, and (4) bridge/pre-ipo stage rounds. This month we’ll take a look at what startups need to do to prepare…
  • May 16

    Title III Crowdfunding Is Here

    Title III Crowdfunding Is Here
    Title III crowdfunding is here! The first funding portals can begin operations today, May 16, 2016. On Friday, I was a guest on the “This Week in Law” Podcast, where I talked about the impact this will have on startups, technology…
  • May 5

    The Founders’ Intro to Raising Startup Capital

    The Founders’ Intro to Raising Startup Capital
    For many startup founders, what led them into the risky but thrilling world of starting their own company was technology, innovation, the ability to affect the world, and the freedom of being their own boss. Learning the ins and outs of…
Rank this Week: 2905