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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/
Rank this Week: 46

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Jun 28

    Stephen Coupe Was Terminated for “Violating Firm Policy”

    Stephen Coupe Was Terminated for “Violating Firm Policy”
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 26, 2017 indicate that former Washington-based First Allied Securities broker/adviser Stephen Coupe has been the subject of a customer…
  • Jun 28

    James Plaster Received a Complaint for Failing to Manage a Customers Portfolio with Reasonable Care

    James Plaster Received a Complaint for Failing to Manage a Customers Portfolio with Reasonable Care
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 26, 2017 indicate that Alabama-based Ameriprise Financial Services broker/adviser James Plaster has received resolved or pending customer…
  • Jun 28

    Charles Dixon Was Discharged From a Former Employer

    Charles Dixon Was Discharged From a Former Employer
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 23, 2017 indicate that former Texas-based Morgan Stanley broker/adviser Charles Dixon, who has received resolved or pending customer disputes,…
Rank this Week: 84

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Jun 27

    Financial Adviser Michael Jay Sharenow Subject to Multiple Client Dispute

    Financial Adviser Michael Jay Sharenow Subject to Multiple Client Dispute
    The investment fraud lawyers of Gana LLP are examining multiple customer disputes filed with the Financial Industry Regulatory Authority (FINRA) against broker Michael Jay Sharenow (Sharenow). Sharenow’s FINRA BrokerCheck record shows…
  • Jun 27

    James Lynn Subject to Multiple Complaints Over REIT Investment Sale

    James Lynn Subject to Multiple Complaints Over REIT Investment Sale
    Broker James Lynn (Lynn) was recently terminated by his former employer Voya Financial Advisors, Inc. (Voya).  According BrokerCheck  Voya alleged that Lynn provided misleading information to the firm during a complaint…
  • Jun 27

    Gana LLP Files Complaint on Behalf of Dean Mustaphalli Investors (Update)

    Gana LLP Files Complaint on Behalf of Dean Mustaphalli Investors (Update)
    The law offices of Gana LLP have recently filed a complaint on behalf of nearly a dozen investors alleging that Dean Mustaphalli (Mustaphalli) engaged in securities fraud.  The claim was brought against brokerage firms Sterne Agee…
Rank this Week: 91

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 26

    FINRA Arbitration Panel awards $440,000 in case against Ameriprise Financial

    FINRA Arbitration Panel awards $440,000 in case against Ameriprise Financial
    Panel alleges Ameriprise Financial breached fiduciary duty A FINRA arbitration panel of three public arbitrators awarded $440,158 in compensatory damages sought by heirs to one of the firm’s clients, claiming that Ameriprise Financial…
  • Jun 24

    Wedbush Securities Inc. Censured and Fined

    Wedbush Securities Inc. Censured and Fined
    FINRA Fines Wedbush Securities Inc. for Compliance Issues According to FINRA, Wedbush Securities Inc. (CRD #877, Los Angeles, California) submitted an AWC in which the firm was censured and fined $20,000. Without admitting or denying the…
  • Jun 23

    Santander Securities LLC Censured and Fined

    Santander Securities LLC Censured and Fined
    FINRA Fines Santander Securities for Compliance Issues According to FINRA, Santander Securities LLC (CRD #41791, Dorchester, Massachusetts) submitted an AWC in which the firm was censured, fined $175,000 and ordered to pay $62,807.48, plus…
Rank this Week: 115

Securities Law Attorneys Blog

Securities Law Attorneys Blog

Covers securities law. By Fitapelli | Kurta.

http://www.securitieslawattorneys.net/
  • Jun 28

    Christopher Walker Failed “To Report and Proved Requested Documents”

    Christopher Walker Failed “To Report and Proved Requested Documents”
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 23, 2017 indicate that former Washington-based Key Investment Services broker/adviser Christopher Walker recently resigned from his former…
  • Jun 28

    Barney Barnato Failed “To Prove He had Not Exercised Discretion on a Trade”

    Barney Barnato Failed “To Prove He had Not Exercised Discretion on a Trade”
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 23, 2017 indicate that former California-based Alamo Capital broker/adviser Barney Barnato was recently discharged from his former employer and…
  • Jun 28

    Larry Aschebrook Settled a Customer Complaint Last Year For Unsuitable Recommendation

    Larry Aschebrook Settled a Customer Complaint Last Year For Unsuitable Recommendation
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 23, 2017 idnicate that former Georgia-based Watchdog Capital broker Larry Aschebrook has been the subject of a customer complaint and is…
Rank this Week: 142

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: 146

Securities Lawyer 101

Securities Lawyer 101

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

https://www.securitieslawyer101.com/blog/
  • 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…
  • Jan 22

    Final Judgment Entered Against Gregg Mulholland Posted by Brenda Hamilton

    Final Judgment Entered Against Gregg Mulholland Posted by Brenda Hamilton
    Going Public LawyerOn January 11, 2017, the U.S. District Court for the Eastern District of New York entered a final judgment against defendant Gregg R. Mulholland, a penny stock promoter charged in an SEC action with illegally selling more…
  • Jan 21

    Final Judgment Entered in “Prime Bank” Fraud – By: Brenda Hamilton

    Final Judgment Entered in “Prime Bank” Fraud – By: Brenda Hamilton
    Going Public LawyerOn January 13, 2017, the U.S. District Court for the District of Minnesota entered a final judgment against Minnesota resident James M. Louks and his company, FiberPoP Solutions, Inc. Louks and FiberPoP are defendants in an…
Rank this Week: 166

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 28

    Is A Racial Or Ethnic Group A “Person”?

    Is A Racial Or Ethnic Group A “Person”?
    Yesterday’s post concerned the U.S. Supreme Court’s holding in Matal v. Tam, 2017 U.S. LEXIS 3872 (June 19, 2017) that the “disparagement clause” of the Lanham Act violates the Free Speech Clause of the First…
  • Jun 27

    Incorporating Under A Disparaging Name

    Incorporating Under A Disparaging Name
    In Matal v. Tam, 2017 U.S. LEXIS 3872 (June 19, 2017), the U.S. Supreme Court found the “disparagement clause” of the Lanham Act violates the Free Speech Clause of the First Amendment.  The “disparagement…
  • Jun 26

    The Taxpayer Transparency And Fairness Act Is Anything But

    The Taxpayer Transparency And Fairness Act Is Anything But
    Recently, I wrote about the stealth with which the California legislature enacted AB 102, which it ironically named the Taxpayer Transparency and Fairness Act of 2017.  Having been birthed in opacity, AB 102 will operate with even less…
Rank this Week: 224

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/
  • Jun 26

    Morgan Stanley Smith Barney Liable for Aiding and Abetting Financial Elder Abuse

    Morgan Stanley Smith Barney Liable for Aiding and Abetting Financial Elder Abuse
    Last week, a securities arbitration panel in Los Angeles, California, found Morgan Stanley Smith Barney (“MSSB”) liable for elder financial abuse by aiding and abetting an unaffiliated individual’s financial…
  • Jun 14

    A Securities Lawyer’s Advice to Would be Whistleblower

    A Securities Lawyer’s Advice to Would be Whistleblower
    Whistleblower Tips are on the Rise Increased public awareness of the SEC’s Whistleblower Program has lead to a tremendous growth in whistleblower tips and complaints.  In Fiscal Year 2016, the SEC received a record number of tips…
  • 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…
Rank this Week: 227

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: 273

Sharesleuth.com

Sharesleuth.com

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

http://sharesleuth.com/
Rank this Week: 207

Investment Fraud Information

Investment Fraud Information

By Andrew Stoltmann.

http://www.investmentfraudtimes.com/securities-fraud-attorneys/
  • Jun 28

    Losses In REITs Because Of James Lynn? What Investors Can Do

    Losses In REITs Because Of James Lynn? What Investors Can Do
    Former Voya broker James Lynn was terminated from his firm and has been subject to six customer complaints, and three judgment or tax liens. Many of the complaints against him concern variable annuities or direct participation products (DPPs)…
  • Jun 27

    How To Sue Cetera Advisor Networks On A Contingency Fee Basi

    How To Sue Cetera Advisor Networks On A Contingency Fee Basi
    Recently, the Financial Industry Regulatory Authority (FINRA) sanctioned and fined Cetera Advisor Networks. The firm is based in El Segundo, California. FINRA alleged that it “disadvantaged certain retirement plan and charitable…
  • Jun 27

    SEC Subpoenas AmeraTex Energy Inc., Lewis Oil Inc., and Thomas Lewi

    SEC Subpoenas AmeraTex Energy Inc., Lewis Oil Inc., and Thomas Lewi
    The Securities and Exchange Commission (SEC) recently filed a subpoena enforcement action compelling the production of documents by AmeraTex Energy Inc., Lewis Oil, Inc. and Thomas A. Lewis. This is in connection to the commission’s…
Rank this Week: 445

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
Rank this Week: 383

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
Rank this Week: 307

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: 333

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: 435

New York Securities Lawyer Blog

New York Securities Lawyer Blog

Covers securities law. By Lax & Neville LLP.

http://www.newyorksecuritieslawyerblog.com/
Rank this Week: 286

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

    Destructive Impact of Fund Fee

    Destructive Impact of Fund Fee
    A retiree living off her portfolio may lose hundreds of dollars a year in income for each added basis point of fund expense ratio — or adviser fee. BY CRAIG L. ISRAELSENFEES DIRECTLY REDUCE PORTFOLIO RETURNS … AND that comes…
  • 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…
Rank this Week: 344

Ponzitracker

Ponzitracker

Covers Ponzi schemes. By Jordan Maglich.

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

    For Galemmo Ponzi Victims, Recovery Chances Depend On Clawback

    For Galemmo Ponzi Victims, Recovery Chances Depend On Clawback
    When a Cincinnati money manager's $100 million Ponzi scheme collapsed over three years ago, authorities seemingly acknowledged the bleak prospects of recovery in declining to seek appointment of a receiver to marshal and gather assets for…
  • Feb 13

    Zeek Rewards Mastermind Sentenced To Nearly Fifteen Years In Prison

    Zeek Rewards Mastermind Sentenced To Nearly Fifteen Years In Prison
    The North Carolina man who drew comparisons to Bernard Madoff for his operation of a Ponzi scheme that duped tens of thousands of victims out of nearly $1 billion learned from a federal judge today that he, like Madoff, will likely spendthe…
  • Oct 17

    Another Cay Clubs Principal Indicted On Bank Fraud And Tax Charge

    Another Cay Clubs Principal Indicted On Bank Fraud And Tax Charge
    A Florida man is facing bank fraud and tax charges for his involvement in the alleged $300 million Cay Clubs Ponzi scheme, making him the third person to be criminally charged in what was one of the largest schemes in Florida history.…
Rank this Week: 367

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: 426

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/
  • Jun 27

    Time’s Up: Supreme Court Affirms Three-Year Deadline for Opting Out of Section 11 Class Action

    Time’s Up: Supreme Court Affirms Three-Year Deadline for Opting Out of Section 11 Class Action
    On June 26, 2017, the U.S. Supreme Court issued a decision that will have a significant effect on securities class action litigation, changing the strategic calculus for both institutional plaintiffs and defendants. In California Public…
  • Jun 20

    Report Shows 2016 Record-Setting Year for Class Action and SEC Settlement

    Report Shows 2016 Record-Setting Year for Class Action and SEC Settlement
    Last week, proxy advisory firm Institutional Shareholders Services (“ISS”) published its semi-annual report of the top 100 U.S. securities class action settlements and top 50 SEC settlements of all time, as of December 31, 2016.…
  • Jun 13

    Dodd-Frank Re-Write—the House of Representatives Edition

    Dodd-Frank Re-Write—the House of Representatives Edition
    The House has approved major changes to signature aspects of Dodd-Frank. While those changes are unlikely to survive intact, they are certainly worthy of close attention. We’ve studied the nearly 600-page bill so you don’t have…
Rank this Week: 914

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: 1010

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/
  • Jun 27

    Certiorari Granted in Cyan

    Certiorari Granted in Cyan
    The Supreme Court has greated certiorari in Cyan Inc. v. Beaver County Employees Retirement Fund. At issue in the case is whether the Securities Litigation Uniform Standards Act prohibits a state court from exercising jurisdiction over…
  • Jun 27

    Remarks of NASAA President Mike Rothman at NASAA’s 2017 Cybersecurity Roundtable

    Remarks of NASAA President Mike Rothman at NASAA’s 2017 Cybersecurity Roundtable
    The remarks are available here.
  • Jun 27

    California Public Employees’ Retirement System v. ANZ Securities, Inc.

    California Public Employees’ Retirement System v. ANZ Securities, Inc.
    In California Public Employees’ Retirement System v. ANZ Securities, Inc., the Supreme Court of the United States has held that the three year limitation period applicable to Securities Act Section 11 claims cannot be extended or tolled…
Rank this Week: 777

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 26

    CFPB Provides Updated Guidance Related to Loan Forgiveness Program

    CFPB Provides Updated Guidance Related to Loan Forgiveness Program
    On Thursday, June 22, 2017, the Consumer Financial Protection Bureau (CFPB) provided updated guidance for supervisory examinations of student loan servicers.  Richard Cordray, the Director of the CFPB, gave prepared remarks in Washington…
  • Jun 23

    Proposed Rules Aimed at High-Risk Brokers Confirm FINRA Push for Firms to “Do Their Part”

    Proposed Rules Aimed at High-Risk Brokers Confirm FINRA Push for Firms to “Do Their Part”
    Financial Industry Regulatory Authority (FINRA) President and CEO Robert Cook spoke earlier this month at Georgetown University’s McDonough School of Business, where he outlined several proposals to further what he called one of…
  • Jun 19

    Debt Collector Defined: Supreme Court Exempts Debt Purchaser

    Debt Collector Defined: Supreme Court Exempts Debt Purchaser
    On behalf of a unanimous Supreme Court, Justice Neil Gorsuch delivered his first opinion on June 12 to determine whether debt purchasers fall within the statutory language under the Fair Debt Collection Practices Act (FDCPA) as debt…
Rank this Week: 573

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

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

    Cryptocurrency Fund Legal & Operational Post

    Cryptocurrency Fund Legal & Operational Post
    The goal of the posts on this page are to address the legal and operational issues applicable to fund managers who invest in the cryptocurrency space.  We believe the emergence of this new asset class gives rise to a need for open…
  • Jun 17

    Hedge Fund Bits and Pieces for June 16, 2017

    Hedge Fund Bits and Pieces for June 16, 2017
    We are a day late but hope you had a happy Friday.  As has been the trend, we are seeing a large focus on cryptocurrency assets and this update reflects that focus. **** Speaking on Cryptocurrency Hedge Funds – I will be in New…
  • May 30

    California BitLicense

    California BitLicense
    Overview of the Cryptocurrency Licensing Regime in California As we discussed in a recent post, New York has already implemented a statute that requires those engaged in certain virtual currency business activities to obtain a license…
Rank this Week: 799

New York Securities Lawyers Blog

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

http://www.newyorksecuritieslawyersblog.com/
  • Jun 22

    Can I Sue My Brokerage Firm for Filing a False Form U5?

    Can I Sue My Brokerage Firm for Filing a False Form U5?
    Can I Sue My Brokerage Firm for Filing a False Form U5? Financial firms that deal in securities do carry legal liability for filing a Form U5 with false information, and financial advisors can indeed sue their former firms for filing an…
  • Jun 9

    Is my Financial Advisor Allowed to Trade in my Account Without my Permission?

    Is my Financial Advisor Allowed to Trade in my Account Without my Permission?
    The short answer is no. When a customer opens an investment account with a brokerage firm, he or she is typically given the option to choose between a discretionary or non-discretionary account.  A discretionary account gives the…
  • 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…
Rank this Week: 716

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/
  • Jun 22

    13 Books Every White-Collar Lawyer Should Read

    13 Books Every White-Collar Lawyer Should Read
    Of the making of lists of books, there shall be no end. Nevertheless, here is one more. Set out below are 13 works that every white-collar lawyer – defense counsel, prosecutor or judge – should read. Why take on such a…
  • Jun 19

    Risk, Reward and Pain: Doctor Lessons from An Opioid Trial

    Risk, Reward and Pain: Doctor Lessons from An Opioid Trial
    Opioid medications continue to be in the news, as demonstrated by the recent nationwide state attorneys-general investigation.  This situation only demands more attention from physicians and other healthcare providers who may face…
  • Jun 16

    A Meditation On Father’s Day

    A Meditation On Father’s Day
                            At age 56, I am now four years older than my father was when he died. …
Rank this Week: 577

InvestorLawyers.net

InvestorLawyers.net

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

http://www.investorlawyers.net/blog/
  • Jun 1

    LPL Fined by State of NH for Alleged Unsuitable REIT Sale

    LPL Fined by State of NH for Alleged Unsuitable REIT Sale
    For some time we have been blogging about non-traded REITS (and the real risks associated with investing in these complex investment vehicles.  Many investors are familiar with exchange traded Real Estate Investment Trusts…
  • 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…
Rank this Week: 955

Wall Street Investment Fraud…

Wall Street Investment Fraud Lawyer Blog

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

http://www.wallstreetinvestmentfraudlawyer.com/
Rank this Week: 911

Investment Fund Law Blog

Investment Fund Law Blog

Provides updates and insights on legal issues facing fund managers and investors. By Pillsbury Winthrop Shaw Pittman LLP.

http://www.investmentfundlawblog.com/
  • Oct 25

    HFMWEEK AWARDS PILLSBURY INVESTMENT MANAGEMENT PRACTICE FOR SERVICE TO HEDGE FUND STARTUPS

    HFMWEEK AWARDS PILLSBURY INVESTMENT MANAGEMENT PRACTICE FOR SERVICE TO HEDGE FUND STARTUPS
    NEW YORK—Pillsbury has been named Best Onshore Law Firm for Hedge Fund Startups by HFMWeek at its HFM U.S. Hedge Fund Services Awards 2016.  Partner Ildiko Duckor, who is co-leader of the firm’s Investment Funds &…
  • Oct 4

    New Law Mandates Disclosure of Alternative Fund Fees By California Public Pension

    New Law Mandates Disclosure of Alternative Fund Fees By California Public Pension
    To increase the transparency of fees and expenses paid to alternative funds, every California public pension plan must require each alternative fund in which they invest to make various disclosures, and California public pension plans are…
  • Sep 21

    Higher Qualified Client Net Worth Threshold Effective August 15, 2016

    Higher Qualified Client Net Worth Threshold Effective August 15, 2016
    3(c)(1) funds should update their offering documents to reflect $2.1 million net worth requirement. Assets under management threshold remains unchanged at $1 million. Only new client relationships entered and new investors admitted in private…
Rank this Week: 682

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: 884

Page Perry LLC Blog

Page Perry LLC Blog

Covers securities broker abuses, early retirement scams, elder abuses, subprime mortages, collateralized debt obligations, and annuities.

http://www.pageperry.com/blog/
  • Jul 16

    CYNK Latest Wall Street Trap?

    CYNK Latest Wall Street Trap?
    Cynk is a social network company that has no revenue, no assets, and no profits. Until last week, it was the hottest stock on Wall Street, according to a Business Insider report by Hunter Walker and Julia La Roche (July 14, 2014).  Its…
  • Jul 14

    Former LPL Broker Jason Parker Leaves Trail Of Complaint

    Former LPL Broker Jason Parker Leaves Trail Of Complaint
    By law, a broker has to recommend suitable investments. To be considered suitable, an investment should align with the client’s investment objectives. Dumping all client funds into a single foreign stock, despite the client’s low…
  • Jun 13

    Pension Advisers Fall Under Scrutiny

    Pension Advisers Fall Under Scrutiny
    The problem of conflicts of interest for pension advisers attracted Congressional attention, according to a Wall Street Journal article by Dan Fitzpatrick  (June 9, 2014).  U.S. Representative George Miller (D., Calif.) has written…
Rank this Week: 756

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: 466

Corporate Law and Democracy

Corporate Law and Democracy

A repository of ideas, comments and papers on a range of issues related to corporate law and democracy. By Boston College Law School Professor Renee Jones.

http://reneejones.wordpress.com/
  • Nov 18

    Whither State Securities Enforcement?

    Whither State Securities Enforcement?
    Susan Antilla of Bloomberg news published a recent column  revisiting the question of the continued viability of state securities regulators’ enforcement authority.  I spoke to Susan about my research  on the issue and I am quoted in…
  • Nov 18

    Whither State Securities Enforcement?

    Whither State Securities Enforcement?
    Susan Antilla of Bloomberg news published a recent column  revisiting the question of the continued viability of state securities regulators’ enforcement authority.  I spoke to Susan about my research  on the issue…
  • Sep 19

    Bailout-palooza

    Bailout-palooza
    The federal goverment’s proposal for a bailout of the financial industry sounded somewhat familiar to me.  I remembered that I had blogged about a similar proposal about a year ago on Conglomerate.
Rank this Week: 516

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: 4355

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: 2206

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/
  • Jun 28

    FCA publishes asset management market study

    FCA publishes asset management market study
    The FCA has published the final report of its asset management market study. The final report confirms some of the findings set out in the interim report published on 18 November 2016, in particular the FCA’s assessment regarding…
  • Jun 28

    FCA updates AML web page

    FCA updates AML web page
    The FCA has updated its money laundering and terrorist financing web page so that it refers to the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 (the Regulations) which came into force…
  • Jun 28

    Consultations by the FPC and PRA on changes to the UK leverage ratio framework relating to the treatment of claims on central bank

    Consultations by the FPC and PRA on changes to the UK leverage ratio framework relating to the treatment of claims on central bank
    The Financial Policy Committee (FPC) and the PRA have jointly published a paper that contains two consultations. The first consultation sets out the FPC’s proposed recommendation to the PRA to exclude claims on central banks from the…
Rank this Week: 2003

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 28

    Transcript: “Public Company Carve-Outs – The Nuggets”

    Transcript: “Public Company Carve-Outs – The Nuggets”
    We have posted the transcript of our recent webcast: “Public Company Carve-Outs: The Nuggets.” – John Jenkin
  • Jun 27

    Antitrust: 3rd Party Subpoenas in M&A Investigation

    Antitrust: 3rd Party Subpoenas in M&A Investigation
    When a big deal’s brewing in your industry, it’s not unusual for other competitors to receive inquiries from antitrust regulators concerning the market impact of the potential deal.  Those inquiries sometimes…
  • Jun 26

    Delaware: Not Material? Sometimes You Should Still Disclose

    Delaware: Not Material? Sometimes You Should Still Disclose
    In a recent blog, Steve Quinlivan flagged a new Delaware Supreme Court decision in which Chief Justice Strine affirmed a Chancery Court’s decision to dismiss fiduciary duty & disclosure claims – but…
Rank this Week: 2531

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Jun 28

    Enforcement: SEC Targets “Known Trends” Disclosure

    Enforcement: SEC Targets “Known Trends” Disclosure
    Earlier this month, the SEC’s Division of Enforcement entered a cease & desist order against the former CEO & CFO of UTi Worldwide, a multinational freight forwarding company.  The proceeding involved alleged…
  • Jun 27

    Earnings Calls: Using Sli.do

    Earnings Calls: Using Sli.do
    Twitter is so 2016. At our recent “Women’s 100 Conference,” one forward-thinking company said their IR team prefers live Q&A via “Sli.do” – an audience interaction platform that lets you crowd-source…
  • Jun 26

    E&S Proposals: Fidelity’s Updated Guideline

    E&S Proposals: Fidelity’s Updated Guideline
    We’ve blogged a few times about Vanguard’s updated proxy voting guidelines and the impact they might be having on recent climate change proposals. We shouldn’t overlook that Fidelity’s also joined the party.…
Rank this Week: 2528

SEC Whistleblower Lawyer Blog

SEC Whistleblower Lawyer Blog

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

http://www.secwhistleblowerlawyers.net/
Rank this Week: 2566

Securities Fraud Lawyer Blog

Securities Fraud Lawyer Blog

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

https://www.securitiesfraudlawyerblog.net/
  • Jun 27

    David Burke Barred over Komak Investment

    David Burke Barred over Komak Investment
    David Burke barred over Komak transactions. In September, 2015 the Securities Division of the Office of the Attorney General of the State of South Carolina issued a cease and desist order against David Burke and his company Komak…
  • Jun 27

    Shane Melito Ordered to Pay Investor $51,459

    Shane Melito Ordered to Pay Investor $51,459
    Award against Network 1 Financial broker Shane Melito In May, 2017, a FINRA arbitrator sitting in Los Angeles, CA issued a $51,000 binding arbitration award against Shane Melito, a registered representative with Network 1 Financial…
  • Jun 27

    Sharon Fall Barred by FINRA and CFP Board

    Sharon Fall Barred by FINRA and CFP Board
    CFP Board Disciplines Sharon Fall. In October, 2016 the Certified Financial Planner Board’s Commission of Discipline and Ethics announced the discipline of former LPL Financial, International Assets Advisory and Simplicity Wealth rep…
Rank this Week: 1701

Securities Law Blog

Securities Law Blog

Covers securities law. By Fitapelli | Kurta.

https://www.securities-law-attorney.com/
  • Jun 27

    Shannon Taylor Was Terminated From Fidelity in Connection to Alleged Rule Violation

    Shannon Taylor Was Terminated From Fidelity in Connection to Alleged Rule Violation
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 23, 2017 indicate that North Carolina-based BB&T Investment Services broker/adviser Shannon Taylor was discharged from a former employer in…
  • Jun 27

    Richard Thomas Was Terminated From a Former Employer

    Richard Thomas Was Terminated From a Former Employer
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 23, 2017 indicate that former California-based Capital Financial Services broker Richard Thomas was recently terminated from a former employer…
  • Jun 27

    Jude Colangelo Has been Sanction For Failing to Comply with FINRA

    Jude Colangelo Has been Sanction For Failing to Comply with FINRA
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 22, 2017 indicate that former North Carolina-based Wells Fargo Securities Jude Colangelo has been sanctioned by FINRA and suspended from acting…
Rank this Week: 1305

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/
Rank this Week: 4218

Securities Fraud Lawyer Blog

Securities Fraud Lawyer Blog

Covers securities law. By Forman Law Firm.

https://www.securitiesfraudlawyerblog.com/
  • Jun 26

    “A Recovery Checklist For Victims of Investment Fraud”

    “A Recovery Checklist For Victims of Investment Fraud”
    Checklist For Victims of Investment Fraud should include hiring a competent attorney. FINRA's Checklist offers a lot of good advice and resources, but perhaps the most important advice for someone that has been a victim of a financial crime…
  • Jun 19

    FINRA Statistics-What Do They Tell Us About FINRA’s Arbitration Process and Its Fairness?

    FINRA Statistics-What Do They Tell Us About FINRA’s Arbitration Process and Its Fairness?
    FINRA Arbitration Statistics-What do they tell us about fairness of the arbitration process? In reality, not much. Advocates for the public investor community argue that mandatory arbitration is not fair, as it robs the consumer of choice,…
  • Jun 12

    Can I Sue My Stockbroker?

    Can I Sue My Stockbroker?
    Can I Sue My Stockbroker? Well, yes and no.  The question is more appropriately “How do I sue my stockbroker?” or “Where can I sue my stockbroker?”  As I will explain shortly, the common denominator to all of…
Rank this Week: 1359

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 26

    FINRA Arbitrators Can't Explain

    FINRA Arbitrators Can't Explain
    To most Wall Street observers, today's BrokeAndBroker.com Blog's featured FINRA arbitration is a ho-hum, garden-variety dispute between an employer and employee. What often makes the BrokeAndBroker.com Blog an edgy read, however, is the…
  • Jun 26

    SEC Settlement Cites Trading Ahead of Research

    SEC Settlement Cites Trading Ahead of Research
    There's no crying in baseball and there shouldn't be any tears shed on Wall Street when it comes to regulation. Frankly, much of what passes for regulating the industry seems to be a cost-benefits analysis of how much you can get away with…
  • Jun 22

    BREAKING NEWS: Supreme Court Affirms 3 Year Limit in CalPERS v. ANZ

    BREAKING NEWS: Supreme Court Affirms 3 Year Limit in CalPERS v. ANZ
    An issue that had divided the federal circuit cours was when/whether a Section 11 claim could be tolled pending the determination of a class certification. On appeal to the United States Supreme Court ("SCt") was the following :16-373 CA…
Rank this Week: 3866