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Securities Law Attorneys Blog

Securities Law Attorneys Blog

Covers securities law. By Fitapelli | Kurta.

http://www.securitieslawattorneys.net/
  • May 23

    Robert Rotunno Has Received Six Customer Complaint

    Robert Rotunno Has Received Six Customer Complaint
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 20, 2017 indicate that New York-based National Securities broker Robert Rotunno has received several resolved or pending customer disputes.…
  • May 23

    Michael Goldberg Has Received Customer Complaint

    Michael Goldberg Has Received Customer Complaint
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 20, 2017 indicate that New Jersey-based Morgan Stanley broker/adviser Michael Goldberg has received resolved or pending customer disputes.…
  • May 23

    Kim Love Has Received a Pending Customer Dispute

    Kim Love Has Received a Pending Customer Dispute
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 20, 2016 indicate that Florida-based Summit Brokerage Services broker/adviser Kim Love has received a pending customer dispute. Fitapelli Kurta…
Rank this Week: 49

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: 71

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • May 23

    Gerhard Heuer Has Received Multiple Customer Complaint

    Gerhard Heuer Has Received Multiple Customer Complaint
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on May 20, 2017 indicate that Oregon-based Independent Financial Group broker Gerhard Heuer, also known as Gary Heuer, has received several resolved…
  • May 23

    Derrick Luttrell Has a Pending Criminal Charge

    Derrick Luttrell Has a Pending Criminal Charge
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 19, 2017 indicate that former Indiana-based Merrill Lynch broker/adviser Derrick Luttrell has been sanctioned by FINRA and barred from acting as…
  • May 23

    Kultar “Sid” Bindra Made Unsuitable Investments in a Customers Account

    Kultar “Sid” Bindra Made Unsuitable Investments in a Customers Account
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 19, 2017 indicate that Virginia-based BB&T Investment Services broker/adviser Kultar “Sid” Bindra has received a pending…
Rank this Week: 85

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: 105

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • May 23

    Town supervisor convicted in muni bonds fraud case

    Town supervisor convicted in muni bonds fraud case
    By Amanda Maine, J.D.The former town supervisor of Ramapo, New York, has been found guilty by a jury of 20 counts of conspiracy, securities fraud, and wire fraud, the U.S. Attorney’s Office for the Southern District of New York…
  • May 22

    CII tells Speaker Ryan of CHOICE Act worrie

    CII tells Speaker Ryan of CHOICE Act worrie
    By Mark S. Nelson, J.D.The Council of Institutional Investors and 53 public pension funds, investors, and advisers sent a letter to Speaker Paul Ryan (R-Wis) urging him to hear the CII’s concerns about shareholder and executive pay…
  • May 19

    Comments received on proposed swap dealer and major swap participant capital rules reflect diverse view

    Comments received on proposed swap dealer and major swap participant capital rules reflect diverse view
    By Brad Rosen, J.D. The comment period for a controversial CFTC rule proposal addressing capital requirements for swap dealers (SDs) and major swap participants (MSP’s) came to a close on May 15, 2017. The commission received over 30…
Rank this Week: 115

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/
  • May 23

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: Felix B. Chang, Second-Generation Monopolization: Parallel Exclusion in Derivatives Markets, 2016 Colum. Bus. L. Rev. 657. Stephen S.…
  • May 10

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: Christian W. Borek, Comment, Regulation A+: Navigating Equity-Based Crowdfunding under Title IV of the JOBS Act, 47 Cumb. L. Rev. 143…
  • May 2

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: Stephen M. Bainbridge, Revitalizing SEC Rule 14a-8's Ordinary Business Exclusion: Preventing Shareholder Micromanagement by Proposal, 85…
Rank this Week: 164

Investment Fraud Information

Investment Fraud Information

By Andrew Stoltmann.

http://www.investmentfraudtimes.com/securities-fraud-attorneys/
Rank this Week: 139

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/
  • May 17

    Hedge Funds and Pensioners Scramble For Debt Payment Owed To Them By Puerto Rico

    Hedge Funds and Pensioners Scramble For Debt Payment Owed To Them By Puerto Rico
    In the wake of Puerto Rico’s bankruptcy filing, hedge funds are competing with the U.S. territory’s workers to get paid. The island has guaranteed retirees and workers $49 Billion in benefits. However, the federally appointed…
  • May 17

    Ex-Essex Holdings CEO Gets 15 Years For $33M Ponzi Scam

    Ex-Essex Holdings CEO Gets 15 Years For $33M Ponzi Scam
    A district court judge has sentenced Navin Shankar Subramaniam Xavier, formerly the CEO of Essex Holdings Inc., to 15 years behind bars because of his involvement in two fraud scams. Xavier pleaded guilty to two wire fraud counts in January.…
  • May 12

    Ex-Hedge Fund Manager Pleads Guilty to $9M Investment Scam that Defrauded Investors Nearing Retirement

    Ex-Hedge Fund Manager Pleads Guilty to $9M Investment Scam that Defrauded Investors Nearing Retirement
    Tamer Moumen, an ex-hedge fund manager, has pleaded guilty to wire fraud. He now faces up to 20 years in prison for a $9M investment. Moumen defrauded over 50 investors. Many of his investors were close to retirement age. He advised dozens of…
Rank this Week: 148

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/
  • May 23

    Two Texas Retirees Reportedly Sue LPL Financial and Former Broker for $1 Million

    Two Texas Retirees Reportedly Sue LPL Financial and Former Broker for $1 Million
    Former clients of LPL Financial are fighting the firm and their broker, Jason N. Anderson in Beaumont, Texas. Plaintiffs Elijah Denson and Olan Weeks of Beaumont, Texas, seek more than $1 million in damages on behalf of “hundreds”…
  • May 23

    American Realty Capital Healthcare Trust III Tender Offer

    American Realty Capital Healthcare Trust III Tender Offer
    Recovery of Losses in American Realty Capital Healthcare Trust III Are you concerned about your investment losses in American Realty Capital Healthcare Trust III? If so, The White Law Group may be able to help by filing a FINRA…
  • May 22

    Gentry Mills Capital GMI-ES 14 LP Investor Alert

    Gentry Mills Capital GMI-ES 14 LP Investor Alert
    Recovery of GMI-ES 14 LP Investment Losses Have you suffered investment losses investing in GMI-ES 14 LP? If so, The White Law Group may be able to help you recover your losses by filing a FINRA Dispute Resolution claim against the brokerage…
Rank this Week: 168

Financial Counsel

Financial Counsel

Covers compliance, employment and industry intelligence for investment professionals and investment, planning and regulatory intelligence for investors. By James J. Eccleston.

http://financialcounselblog.com
  • Apr 7

    Customer Sues Merrill Lynch for Fraud in Connection with Its Use of Funds in a Reserve Account

    Customer Sues Merrill Lynch for Fraud in Connection with Its Use of Funds in a Reserve Account
    From the Desk of Jim Eccleston at Eccleston Law LLC: A former customer of Merrill Lynch has sued the firm in California civil court for engaging in fraud. According to the lawsuit, Merrill Lynch misused the customer’s cash that…
  • Apr 5

    New Recommendations by the FINRA Dispute Resolution Task Force (15th Article)

    New Recommendations by the FINRA Dispute Resolution Task Force (15th Article)
    From the Desk of Jim Eccleston at Eccleston Law LLC:This is the fifteenth in a series of posts to discuss the 51 recommendations that the FINRA Dispute Resolution Task Force (Task Force) has made to the National Arbitration and Mediation…
  • Apr 4

    Virginia Adviser Sentenced to Prison for Embezzling Money

    Virginia Adviser Sentenced to Prison for Embezzling Money
    From the Desk of Jim Eccleston at Eccleston Law LLC: Virginia financial adviser Troy Baldridge was sentenced to prison for 41 months after admitting to embezzling more than $500,000 from his mostly elderly, retired clients.According to…
Rank this Week: 198

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
Rank this Week: 232

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/
  • May 23

    More Fake News: Fitbit’s “Unreal” Tender Offer

    More Fake News: Fitbit’s “Unreal” Tender Offer
    If you’re a regular reader of “TheCorporateCounsel.net Blog,” you know that nothing excites me more than when someone fools the SEC’s Edgar & makes a fake filing! A little drool perhaps. Plug the term…
  • May 22

    Appraisal Rights: Chancery Clarifies Basis for “Quasi-Appraisal”

    Appraisal Rights: Chancery Clarifies Basis for “Quasi-Appraisal”
    Earlier this month, in In re Cyan Stockholders Litigation, Delaware Chancellor Bouchard dismissed post-merger fiduciary duty and quasi-appraisal claims arising out of Ciena’s 2015 acquisition of Cyan in a primarily stock-for-stock…
  • May 19

    Proxy Advisers: Shareholders Approve Deal Despite “No” From ISS

    Proxy Advisers: Shareholders Approve Deal Despite “No” From ISS
    This Wachtell memo discusses the recent shareholder vote on the pending merger between US-based PrivateBancorp & Canada’s CIBC – which received support from over 80% of PrivateBancorp’s shareholders despite a…
Rank this Week: 351

Florida Securities Fraud Lawyer…

Florida Securities Fraud Lawyer Blog

Covers securities fraud, investor fraud and Ponzi schemes. By McCabe Rabin, P.A.

http://www.floridasecuritiesfraudlawyerblog.com/
  • Jan 31

    I Inherited an IRA Account. Now What?

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

    SEC Whistleblower Program is Gaining Momentum and Paying Big Bountie

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

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

    What are the pros and cons of taking a 401K loan?
    Many employers provide 401k plans for their employees.  A 401k plan is a retirement savings plan where employees can save a portion of their pre-tax earnings. Taxes aren’t paid on the money until it is withdrawn from the account.…
Rank this Week: 378

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: 379

White Collar Fraud

White Collar Fraud

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

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

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

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

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

    Crook vs. Crook: Why Former Congressman Michael Grimm is a Dumb Crook
    In my first segment of a series of Op-ed articles about white-collar crime on CNBC, I examine the case of former Republican Congressman Michael Grimm who recently pleaded guilty to income tax evasion and awaits sentencing on June 8, 2015.New…
  • Dec 31

    White Collar Fraud List of Blog Posts for 2014

    White Collar Fraud List of Blog Posts for 2014
    December 19, 2014: Cleveland.com - Crazy Eddie CFO shares how companies trick auditors and fleece investors: Plain Dealing, by Sheryl HarrisDecember 3, 2014: Going Concern - Ex-Crazy Eddie CFO's 10 Tips for Advancing Your Accounting Career by…
Rank this Week: 483

Dividends and Preferences

Dividends and Preferences

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

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

    Microsoft/Skype -- Putting Things into Perspective

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

    Nerd Chic

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

    Out and About

    Out and About
    Hey folks -- I'm getting ready to head down to the RTP area for the annual CED Venture Conference.  This year it is in downtown Raleigh, instead of Pinehurst, and looks to be bigger and better than ever. So, if anyone happens to be in the…
Rank this Week: 485

InvestorLawyers.net

InvestorLawyers.net

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

http://www.investorlawyers.net/blog/
  • May 23

    Non-Traded REITs – Investors Should Proceed with Caution!

    Non-Traded REITs – Investors Should Proceed with Caution!
    With increasing frequency, given the current low interest rate environment, retail investors are steered into investing in products appearing to offer more advantageous yields than are available in traditional interest-bearing investments…
  • May 22

    State of Illinois Charges Thrivent Over Variable Annuity Switching

    State of Illinois Charges Thrivent Over Variable Annuity Switching
    The State of Illinois Securities Department (“Department”) recently initiated enforcement proceedings against Thrivent Investment Management, Inc. (“Thrivent”) (CRD #18387) for allegedly violating the Illinois…
  • 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…
Rank this Week: 669

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • May 23

    Broker Louis Frederick Scherschel Subject To Customer Complaint

    Broker Louis Frederick Scherschel Subject To Customer Complaint
    The securities and investment lawyers of Gana LLP are investigating a customer complaint and an employment separation after allegations filed with the Financial Industry Regulatory Authority (FINRA) again broker Louis Frederick Scherschel…
  • May 17

    FINRA Bars John Hudnall Over Non-Traded REIT Transaction

    FINRA Bars John Hudnall Over Non-Traded REIT Transaction
    Customers have filed complaints and The Financial Industry Regulatory Authority (FINRA) recently barred broker John Hudnall (Hudnall) – formerly with U.S. BanCorp Investments, Inc. (U.S. BanCorp). The securities attorneys at Gana LLP…
  • May 17

    FINRA Bars Advisor Thomas Vilord Over Sales of Unregistered Corporate Note

    FINRA Bars Advisor Thomas Vilord Over Sales of Unregistered Corporate Note
    Our firm is investigating claims made by The Financial Industry Regulatory Authority (FINRA) against broker Thomas Vilord (Vilord), formerly associated with brokerage firms Summit Brokerage Services, Inc. (Summit Brokerage) and SagePoint…
Rank this Week: 597

Regulation tomorrow

Regulation tomorrow

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

http://www.regulationtomorrow.com/
  • May 23

    FSB and CGFS joint report on Fintech credit

    FSB and CGFS joint report on Fintech credit
    A working group established by the Committee on the Global Financial System and the Financial Stability Board has published a report on FinTech credit. FinTech credit is credit activity facilitated by electronic platforms such as peer-to-peer…
  • May 23

    Delegated Regulation on classes of arrangements protected in partial property transfers under BRRD published in OJ

    Delegated Regulation on classes of arrangements protected in partial property transfers under BRRD published in OJ
    There has been published in the Official Journal of the European Union (OJ) the Commission Delegated Regulation (EU) 2017/867 of 7 February 2017 on classes of arrangements to be protected in a partial property transfer under Article 76 of the…
  • May 22

    ESMA clarifies the concept of trade on a trading venue under MiFID II

    ESMA clarifies the concept of trade on a trading venue under MiFID II
    The European Securities and Markets Authority (ESMA) has published an opinion that seeks to clarify the concept of “traded on a trading venue” (TOTV), which is relevant for a number of provisions under MiFID II and MiFIR. The…
Rank this Week: 511

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/
  • May 23

    What Is Obstruction of Justice? An Often Murky Crime, Explained - The New York Time

    What Is Obstruction of Justice? An Often Murky Crime, Explained - The New York Time
    I am not technically a criminal defense attorney, although sometimes criminal law invades my securities defense practice. That doesn't explain why I keep getting asked: "What is Obstruction of Justice."Of course, the explanation for the…
  • May 22

    ETFs Vs. Index Funds: Quantifying The Difference

    ETFs Vs. Index Funds: Quantifying The Difference
    ETFs Vs. Index Funds: Quantifying The Differences:Exchange-traded funds (ETFs) have become increasingly popular since its inception in 1993. But despite investor's love affair with ETFs, a closer look shows that index funds are still the top…
  • May 22

    The Hits Keep Coming - Scammer Makes Fake Filing and Sells His Call

    The Hits Keep Coming - Scammer Makes Fake Filing and Sells His Call
    The SEC filed fraud charges against a Virginia-based mechanical engineer accused of scheming to manipulate the price of Fitbit stock by making a phony regulatory filing.According to the SEC’s complaint, Robert W. Murray purchased Fitbit…
Rank this Week: 855

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • May 23

    Insider Trading: The Funny Bone

    Insider Trading: The Funny Bone
    This Nixon Peabody memo cracked me up. It describes a criminal insider trading conviction based on one buddy sliding a napkin to his pal at a bar with the name of a company that was going to be acquired (ie. nonpublic material information…
  • May 22

    More Fake News: Fitbit’s “Unreal” Tender Offer

    More Fake News: Fitbit’s “Unreal” Tender Offer
    If you’re a regular reader of this blog, you know that nothing excites me more than when someone fools the SEC’s Edgar & makes a fake filing! A little drool perhaps. Plug the term “fake” into the search box of this…
  • May 19

    Pay Ratio: Are You Banking on a Repeal?!?

    Pay Ratio: Are You Banking on a Repeal?!?
    I worry that some companies might be relying on Congress to step in and delay the implementation of the pay ratio rule. That’s looking less likely by the day. So the time that you have to prepare is narrowing. It’s also far from…
Rank this Week: 849

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • May 22

    Is Deal Litigation in Delaware Done?

    Is Deal Litigation in Delaware Done?
    As documented on this site (for example, here and here) and elsewhere, deal litigation has been shifting from Delaware Chancery Court to courts in other states and to federal courts. This shift is largely the result of two Delaware court…
  • May 21

    Why Are There Fewer Public Companies and How Worried Should We Be About it?

    Why Are There Fewer Public Companies and How Worried Should We Be About it?
    There are fewer public companies in the U.S. than there were in the nineties. Understanding the reason for the decline in the number of public companies is important to understanding whether or not the decline is a cause for concern, as well…
  • May 18

    D&O Insurance is Important for Private Companies, Too

    D&O Insurance is Important for Private Companies, Too
    Executives at companies whose securities are publicly traded typically don’t need to be persuaded that their company needs D&O insurance. They understand that the exposures public companies face make D&O insurance indispensable.…
Rank this Week: 750

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/
  • May 20

    Ex-Deutsche Bank Executives Reportedly to Pay for Misconduct

    Ex-Deutsche Bank Executives Reportedly to Pay for Misconduct
    At the yearly general meeting in Germany, Deutsche Bank AG (DB) told shareholders that the German lender is nearing an agreement with ex-executives in which they would have to help pay for the fines that the financial institution paid for…
  • May 17

    Ex-Nomura Head Traders Charged With Securities Fraud

    Ex-Nomura Head Traders Charged With Securities Fraud
    The US Securities and Exchange Commission is charging two-ex Nomura (NMR) head traders with fraud. Kee Chan and James Im ran Nomura Securities International Inc.’s commercial mortgage-backed securities desk. The regulator claims that…
  • May 16

    Court Upholds Ambac Assurance to Higher Burden of Proof in MRBS Fraud Case Against Countrywide

    Court Upholds Ambac Assurance to Higher Burden of Proof in MRBS Fraud Case Against Countrywide
    In Manhattan appeals court, a panel for the Appellate Division, First Department ruled that Ambac Assurance Corp. must prove all common law fraud elements in its mortgage-backed securities case against Countrywide Home Loans. The insurer,…
Rank this Week: 822

Stock Market Loss

Stock Market Loss

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

http://www.stockmarketloss.com/news/
  • May 19

    Customers of Winston Wade Turner Claim Securities Fraud

    Customers of Winston Wade Turner Claim Securities Fraud
    Stock Market Loss securities attorneys are investigating allegations against Winston Wade Turner, a previously registered broker who has been barred by the Financial Industry Regulatory Authority. Turner is prohibited from serving as a broker…
  • May 19

    Customer Disputes Against Merrill Lynch Broker Sylvester Knox

    Customer Disputes Against Merrill Lynch Broker Sylvester Knox
    Sylvester Knox, a broker and investment adviser with eight different firms over 27 years, is under investigation for a variety of alleged violations . The attorneys at Stock Market Loss are investigating claims against Knox. Since January…
  • May 19

    Customers of Andrew Todd Yocum Allege Unsuitable Investment

    Customers of Andrew Todd Yocum Allege Unsuitable Investment
    Securities attorneys Jay H. Salamon and Hugh D. Berkson of McCarthy, Lebit, Crystal & Liffman represent clients who lost money as the result of Ponzi schemes, investment fraud, and other broker misconduct. They are investigating the…
Rank this Week: 653

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
  • May 16

    This Damnable Sin

    This Damnable Sin
    This morning, I planned to publish an article about a regulatory development but I just don't feel that it's okay to ignore the murder of 22 human beings and the wounding of 59 others last night in a terrorist bombing in Manchester, England.…
  • May 15

    OPEN CALL for Guest Bloggers for BrokeAndBroker.com Blog

    OPEN CALL for Guest Bloggers for BrokeAndBroker.com Blog
    OPEN CALL For BrokeAndBroker.Com Blog Contributors...
  • May 15

    GUEST BLOG: At the SEC, One Year Equal 1,825 Day

    GUEST BLOG: At the SEC, One Year Equal 1,825 Day
    SEC: One year = 1,825 Daysby Stephen Kohn, Stephen A. Kohn & Associates, Ltd.Case in point, and I’m sure there are others: "In S.E.C.'s Streamlined Court, Penalty Exerts a Lasting Grip" (New York Times, by Gretchen Morgenson, May 4,…
Rank this Week: 1015

Strictly Business

Strictly Business

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

http://www.strictlybusinesslawblog.com/
  • May 16

    Pre-Money Valuation vs. Post-Money Valuation

    Pre-Money Valuation vs. Post-Money Valuation
    The concept of pre-money valuation vs. post-money valuation can be a confusing one at first for many startup founders. Pre-money valuation refers to the valuation of the company prior to the investment whereas post-money valuation refers to…
  • Apr 18

    Negotiating a Convertible Note Financing

    Negotiating a Convertible Note Financing
    A convertible note is a hybrid of debt and equity, and it’s a popular form of financing for two main reasons. First, convertible notes are generally easy and cost-effective, because they require little negotiation and paperwork. Second,…
  • Mar 28

    Guide to Starting a Hedge Fund

    Guide to Starting a Hedge Fund
    As an investment manager looking into starting a hedge fund, you know that a successful launch is critical to standing out in the increasingly competitive investment management business. If you want to attract capital from the right…
Rank this Week: 1025

North Carolina Business Litigation…

North Carolina Business Litigation Report

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

http://www.ncbusinesslitigationreport.com/
  • Apr 7

    It Doesn't Take Magic Words To Revoke An Offer

    It Doesn't Take Magic Words To Revoke An Offer
    The lawyers in Baker v. Bowden, 2017 NCBC 30, decided this week by Judge Robinson, were negotiating a settlement agreement by email.  The Plaintiff thought that it had a deal.  When the Defendant balked, the Plaintiff moved the…
  • Mar 28

    First Published Opinion From New Business Court Judge Conrad

    First Published Opinion From New Business Court Judge Conrad
    Business Court Judges don't have to issue written Opinions in cases granting Preliminary Injunctions.  (G.S. § 7A-45.3 limits the obligation to issue a written Opinion to rulings rendered per NCRCP 12, 56, 59, and 60).  But…
  • Mar 15

    NC Business Court On Conflicting Rules Of Civil Procedure: Do You Need Leave Of Court To Amend Your Answer To Add A Counterclaim?

    NC Business Court On Conflicting Rules Of Civil Procedure: Do You Need Leave Of Court To Amend Your Answer To Add A Counterclaim?
    If I asked you if you were familiar with Rule 13(f) of the NC Rules of Civil Procedure, I'm betting that you would respond with a glassy stare and a slack jaw.  That Rule deals with a counterclaim that you should have made in your…
Rank this Week: 773

New York Securities Lawyers Blog

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

http://www.newyorksecuritieslawyersblog.com/
  • Apr 4

    Brokerages Are Making Brokers More Powerful: How Will That Effect The Securities Industry?

    Brokerages Are Making Brokers More Powerful: How Will That Effect The Securities Industry?
    As reported in the Wall Street Journal, there has been a recent trend at big brokerages of shifting the power from the headquarters to brokers and branch managers. Apparently big brokerages like Bank Of America, UBS Group, and Merrill Lynch…
  • Mar 30

    FINRA Bars Broker Involved in New York Pension Fund Scandal

    FINRA Bars Broker Involved in New York Pension Fund Scandal
    Broker Deborah D. Kelley is allegedly one of the key figures in the $184 billion New York pension fund “pay-for-play” bribery scandal. She was reportedly arrested in December 2016 in San Francisco on charges of securities fraud,…
  • Mar 23

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

    You May Know About Your Broker, But How Much Do You Know About Your Brokerage Firm?
    There is an interesting point in this week’s Wall Street Journal titled “Brokerage Files Don’t Give The Full Pictures,” which talks about the how brokerage firms and individual brokers are held to different standards,…
Rank this Week: 608

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: 950

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: 908

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: 900

Perry Krumsiek & Jack Law Blog

Perry Krumsiek & Jack Law Blog

Covers business, health care, intellectual property and media law.

http://pkjlawblog.wordpress.com/
  • Feb 2

    Here’s One Government Program Worth HARPing On

    Here’s One Government Program Worth HARPing On
    If you are one of the hundreds of thousands of Americans permanently traumatized by the government’s highly lauded, but horribly executed, loan modification program, take heart.  I’m here to tell you that there’s another government…
  • Feb 2

    Here’s One Government Program Worth HARPing On

    Here’s One Government Program Worth HARPing On
    If you are one of the hundreds of thousands of Americans permanently traumatized by the government’s highly lauded, but horribly executed, loan modification program, take heart.  I’m here to tell you that there’s…
  • Oct 27

    The Lincoln Lawyer

    The Lincoln Lawyer
    Before Abraham Lincoln became our greatest president, he was a great corporate lawyer.  And before he was a corporate lawyer, he was a brilliant trial lawyer. In the 1840s, Lincoln represented a Revolutionary War widow who had been bilked…
Rank this Week: 1079

About Broker Fraud Blog

About Broker Fraud Blog

Covers compliance rules, duty of disclosure, elder abuse and fraud. By the Hayes Law Firm.

http://aboutbrokerfraud.typepad.com/about_broker_fraud_blog/
  • Dec 6

    SEC Freeze Assets in Alleged Diamond-Themed Ponzi Scheme

    SEC Freeze Assets in Alleged Diamond-Themed Ponzi Scheme
    The SEC alleges that Richard Dalton and Universal Consulting Resources LLC (UCR) raised approximately $17 million from investors for two fraudulent offerings. The programs were generally referred to as the “Trading Program” and the…
  • Sep 28

    Arbitrators Award Ten Times Amount of Investment in Auction Rate Securities Case

    Arbitrators Award Ten Times Amount of Investment in Auction Rate Securities Case
    Last month an arbitration panel ordered the investment firm USB financial to pay over $80 million in consequential investments to Kajeet, Inc., a company who markets cellphones for kids. Kajeet’s award fell short of the $110 million…
  • Aug 30

    Raymond James Must Buy Back Auction Rate Securitie

    Raymond James Must Buy Back Auction Rate Securitie
    A Texas couple got some great news last week from the FINRA arbitration panel that ruled on their claim. The panel ruled that the Raymond James Financial Inc. and broker Larry Milton must buy back some $925,000 worth of auction…
Rank this Week: 888

Securities Lawyer 101

Securities Lawyer 101

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

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

    Going Public Blog l Securities Lawyer 101

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

    Going Public Blog l Securities Lawyer 101

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

    SEC Final Judgment Entered Against Graduate Leverage

    SEC Final Judgment Entered Against Graduate Leverage
    Going Public LawyerOn December 23, 2016, the United States District Court for the District of Massachusetts entered final judgments against Graduate Leverage, LLC, GL Capital Partners, LLC, GL Investment Services, LLC, Taft Financial…
Rank this Week: 2794

McEldrew Young Blog

McEldrew Young Blog

Covers whistleblower law and wage theft for employees.

http://www.mceldrewyoung.com/blog/
  • May 23

    CFTC Completes Whistleblower Program Rule Change

    CFTC Completes Whistleblower Program Rule Change
    The CFTC has issued final rules based on its previously proposed changes to the CFTC whistleblower program. The changes have left the core of the program intact while strengthening the whistleblower retaliation protections, harmonizing the…
  • May 16

    One Third of Drugs Have Safety Issue After FDA Approval

    One Third of Drugs Have Safety Issue After FDA Approval
    A new study in the Journal of the American Medical Association has found that almost one-third of new drugs in the United States have a significant safety issue in the first decade after FDA approval.  This is a very concerning but not…
  • May 5

    SEC Warns About Fake News on Stock

    SEC Warns About Fake News on Stock
    Last month, the SEC warned investors about companies using fake news to drive up stock prices. In conjunction with this warning, the SEC charged 27 public companies, firms and writers with fraud for failing to disclose paid promotion, using…
Rank this Week: 2250

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

http://www.hedgefundlawblog.com
  • May 23

    Artificial Intelligence (AI) Hedge Fund

    Artificial Intelligence (AI) Hedge Fund
    Overview of AI in Investment Management Hedge funds utilizing artificial intelligence (AI) have increasingly gained attention as technology continues to be a driving force behind large and fundamental changes in the investment management and…
  • May 19

    Bitcoin Hedge Fund FAQ

    Bitcoin Hedge Fund FAQ
    Common Questions Related to Cryptocurrency Funds [Note: information posted on May 19, 2017.  Certain areas below will be updated periodically and we will update the timing of the information in each particular section.] We recently wrote…
  • May 17

    New York BitLicense

    New York BitLicense
    Overview of the Cryptocurrency Licensing Regime in New York As cryptocurrencies continue to make headlines, questions continue to arise about the regulatory landscape applicable to market participants. While there have been no new…
Rank this Week: 4503

Stock Attorneys Blog

Stock Attorneys Blog

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

http://www.stockattorneysblog.com/
Rank this Week: 4399

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/
  • May 23

    Officers Of Foreign Corporations And The California Court

    Officers Of Foreign Corporations And The California Court
    Yesterday’s post concerned Section 2116 of the California Corporations Code.  Courts sometimes describe Section 2116 as codifying the internal affairs doctrine.  See, e.g., Vaughn v. LJ Internat., Inc., 174 Cal. App.…
  • May 22

    Enforceability Of Exclusive Forum Bylaw May Hinge On The Meaning Of “May”

    Enforceability Of Exclusive Forum Bylaw May Hinge On The Meaning Of “May”
    No California appellate court has yet addressed the validity of forum selection bylaws in a published decision.  When the question comes before a California appellate court, the outcome may turn on the meaning of “may” in…
  • May 19

    More On Revlon Duties In California

    More On Revlon Duties In California
    Following yesterday’s post concerning the status of Revlon duties in California, I received a note from Suzanne Weakley, an attorney at the California Continuing Education of the BAR (aka the CEB).  For those readers not…
Rank this Week: 4851

Securities Fraud Lawyer Blog

Securities Fraud Lawyer Blog

Covers securities law. By The Law Office of David Liebrader, Inc.

https://www.securitiesfraudlawyerblog.net/
  • May 20

    Dan Levin Hit With $241,000 Arbitration Award

    Dan Levin Hit With $241,000 Arbitration Award
    CPR Radio Show Host Dan Levin Hit With FINRA Arbitration Award On May 19, 2017,  a FINRA Dispute Resolution, Inc. arbitration panel issued a binding arbitration award against Dallas based financial planner Dan Levin, host of the CPR…
  • May 14

    FINRA Bars Charles DeNormandie

    FINRA Bars Charles DeNormandie
    Charles DeNormandie, a registered representative from Alpharetta, Georgia formerly with Commonwealth Financial Network and Ameriprise Financial Services was barred from FINRA membership as a result of refusing to cooperate with a FINRA…
  • May 14

    Sandra Canaba Barred by FINRA

    Sandra Canaba Barred by FINRA
    Sandra Canaba, a registered representative from Santa Teresa, New Mexico formerly with LPL Financial and Chase Investment Services was barred from FINRA membership as a result of refusing to cooperate with a FINRA investigation. FINRA Rule…
Rank this Week: 2104

White Collar Wire

White Collar Wire

Covers news, cases, judicial opinions, practical tips and scholarly work regarding white-collar criminal and civil enforcement, grand jury investigations and regulatory compliance. By Jackson R. Sharman, III.

http://jacksharman.com/
  • May 19

    Needful of a Negroni Cocktail?

    Needful of a Negroni Cocktail?
    I have been drinking Negroni cocktails recently.  The Negroni presents three virtues: it contains gin, it is bitter and it is simple to make (equal parts gin, Campari and sweet vermouth).  Its simplicity makes it superior for quiet…
  • May 15

    Electronic Medical Records and Federal Criminal Prosecution

    Electronic Medical Records and Federal Criminal Prosecution
    Electronic medical records (or “EMR”) were supposed to be a boon to the provision of healthcare. As two Boston-area physicians point out, EMR are anything but a benefit: Electronic medical records, or EMRs, were supposed to…
  • May 10

    Mute Oracle: The Controlled Substances Act and Physicians’ Criminal Conduct

    Mute Oracle: The Controlled Substances Act and Physicians’ Criminal Conduct
    Criminal laws are supposed to give persons regulated by the law sufficient notice of what conduct, exactly, is prohibited.  Criminal laws, as interpreted by courts, are also supposed to provide clear standards for mens rea (that is, the…
Rank this Week: 2707

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • May 18

    Cyber Attacks Merit SEC Risk Assessment Intervention

    Cyber Attacks Merit SEC Risk Assessment Intervention
    The recent cyberattacks across the globe have caused the  SEC’s Office of Compliance Inspections and Examinations (“OCIE”) to issue an alert and highlight certain best practices for firms to handle…
  • May 11

    So You Want To Change Firms — Part II

    So You Want To Change Firms — Part II
    So you really want to change firms.  Do you have a restrictive covenant or a non-compete?  If so, your transition may be a little more complicated.  To learn what restrictions may apply to you, check out our 50-state…
  • May 4

    So You Want To Change Firm

    So You Want To Change Firm
      One certainty in the brokerage world is that registered representatives often switch from one member firm to another. There is nothing wrong with the switch, but there is a word of caution to be shared. Before you leave, make sure you…
Rank this Week: 4001

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: 1809

New York Securities Lawyer Blog

New York Securities Lawyer Blog

Covers securities law. By Lax & Neville LLP.

http://www.newyorksecuritieslawyerblog.com/
Rank this Week: 1692

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: 3500

Special Situations Law

Special Situations Law

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

http://www.specialsituationslaw.com/
Rank this Week: 2237