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TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Sep 30

    Settling Trades: SEC Proposes T+2!

    Settling Trades: SEC Proposes T+2!
    On Wednesday, the SEC proposed shortening the standard settlement cycle for most market transactions from 3 business days after the trade date to just two – known as “T+2” (here’s the 148-page proposing release). A…
  • Sep 29

    The Wells Fargo Clawback: Innovative – & Wave of the Future?

    The Wells Fargo Clawback: Innovative – & Wave of the Future?
    As noted in this NY Times article, MarketWatch article and Reuters article, CEO John Stumpf and the (now former) head of community banking for Wells Fargo have agreed to forfeit unvested equity awards to the tune of $41 million and $19…
  • Sep 28

    ISS FAQ: You May Need to Review Grandfathered Employment & Other Agreement

    ISS FAQ: You May Need to Review Grandfathered Employment & Other Agreement
    Here’s a blog that Mike Melbinger recently wrote on CompensationStandards.com: It’s September, welcome back to “school”. As we all begin to prepare for setting 2017 compensation and the 2017 proxy season, among the…
Rank this Week: 89

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: 83

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Sep 29

    Simon Joseph Terminated from Morgan Stanley

    Simon Joseph Terminated from Morgan Stanley
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on September 9, 2016 indicate that Virginia-based BB&T Securities broker/adviser Simon Joseph was discharged from his previous employer, Morgan…
  • Sep 29

    Joshua Stamm Terminated from Merrill Lynch

    Joshua Stamm Terminated from Merrill Lynch
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on September 9, 2016 indicate that former Virginia-based Merrill Lynch broker Joshua Stamm is currently under investigation for allegations of…
  • Sep 29

    Broker Spotlight: Aaron Maurer

    Broker Spotlight: Aaron Maurer
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on September 9, 2016 indicate that former California-based RP Capital broker Aaron Maurer, also known as Doug Maurer, has received resolved or pending…
Rank this Week: 115

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…
  • Sep 29

    Court Enters Final Judgment Against Saleem Khan and Roshanlal Chaganlal for Insider Trading Scheme

    Court Enters Final Judgment Against Saleem Khan and Roshanlal Chaganlal for Insider Trading Scheme
    Going Public LawyerThe Securities and Exchange Commission (“SEC”) announced on September 21, 2016 that the Honorable Haywood S. Gilliam of the U.S. District Court for the Northern District of California entered a…
Rank this Week: 144

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: 137

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/
  • Dec 31

    SEC’s Report Evaluates The Definition of An Accredited Investor

    SEC’s Report Evaluates The Definition of An Accredited Investor
    The U.S. Securities and Exchange Commission (SEC) has put out a report assessing the definition of who qualifies as an accredited investor. The 2010 Dodd-Frank Act mandates that this definition be reevaluated every four years. Accredited…
  • Dec 29

    Wells Fargo Sued by Commerz Bank in Mortgage-Backed Securities Case

    Wells Fargo Sued by Commerz Bank in Mortgage-Backed Securities Case
    Commerzbank is suing Wells Fargo (WFC) for losses sustained on failed mortgage-backed securities (MBS). The German finance firm claims the California lending giant did not properly supervise MBS during the housing bubble, which Commerzbank…
  • Sep 30

    Former ARCP CFO Pleads Not Guilty to Criminal Securities Fraud Charge

    Former ARCP CFO Pleads Not Guilty to Criminal Securities Fraud Charge
    Brian S. Block, the ex-CFO of American Realty Capital Properties Inc., now called Vereit, has pleaded not guilty to criminal charges that accuse him making false filings with the SEC, making false certifications, securities fraud, and…
Rank this Week: 185

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/
  • Sep 30

    Investigation of Jerome Krause and First Heartland Capital

    Investigation of Jerome Krause and First Heartland Capital
    If you have suffered losses investing with Jerome Krause and First Heartland Capital, The White Law Group may be able to help. Jerome Krause, a broker with First Heartland Capital Inc. must pay $600,000 in damages to an elderly couple after…
  • Sep 30

    Investor Alert: Wells Fargo Advisors to Pay Client $262,000

    Investor Alert: Wells Fargo Advisors to Pay Client $262,000
    A FINRA arbitration panel has ordered Wells Fargo Advisors to pay a former client more than $262,000 for failing to promptly liquidate his brokerage account, according to a recent FINRA filing. Jeffrey Ball, a Los Angeles psychologist,…
  • Sep 29

    Investor Alert: Atlas Energy Group Stock Dive

    Investor Alert: Atlas Energy Group Stock Dive
    A painful sell-off of Atlas Energy Group yesterday saw shares fall more than 42%. The sell-off comes a day after the stock rallied more than 19% on news that hedge fund manager Leon Cooperman had purchased 1,277,162 shares. The…
Rank this Week: 172

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
  • Sep 29

    SEC Issues a $4 Million Whistleblower Award

    SEC Issues a $4 Million Whistleblower Award
    From the Desk of Jim Eccleston at Eccleston Law LLC:Since its inception in 2011, the SEC’s whistleblower program has awarded more than $111 million to 34 whistleblowers.Recently, the SEC awarded more than $4 million to a whistleblower…
  • Sep 28

    FINRA Bars Two Ohio Broker

    FINRA Bars Two Ohio Broker
    From the Desk of Jim Eccleston at Eccleston Law LLC:FINRA has barred two brokers at Triad Advisors, LLC by the names of Douglas Scott Miller of Bowling Green, Ohio and Gary Lee Rathbun of Wauseon, Ohio.  Miller and Rathbun consented to…
  • Sep 27

    LPL Standardizes Brokers’ Product Commission

    LPL Standardizes Brokers’ Product Commission
    From the Desk of Jim Eccleston at Eccleston Law LLC:LPL Financial is changing the way it pays commissions to its brokers when they sell routine investment products like mutual funds and variable annuities.The move was made because of the…
Rank this Week: 167

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Sep 22

    Woodbury Financial Terminates Broker David Ross Over Private Securities Transaction

    Woodbury Financial Terminates Broker David Ross Over Private Securities Transaction
    The investment fraud lawyers of Gana LLP are investigating the employment termination filed with The Financial Industry Regulatory Authority (FINRA) by Woodbury Financial Services, Inc. (Woodbury Financial) involving broker David Ross (Ross).…
  • Sep 21

    Morgan Stanley Terminates Broker Brian Sak Over Outside Business Activitie

    Morgan Stanley Terminates Broker Brian Sak Over Outside Business Activitie
    The investment fraud lawyers of Gana LLP are investigating the employment termination filed with The Financial Industry Regulatory Authority (FINRA) by Morgan Stanley involving broker Brian Sak (Sak). According to BrokerCheck records Sak is…
  • Sep 21

    Broker Investigation: Advisor Bassam Salem

    Broker Investigation: Advisor Bassam Salem
    The securities lawyers of Gana LLP are investigating a customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Bassam Salem (Salem).  According to BrokerCheck records Salem has been subject to at…
Rank this Week: 175

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

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

    Hedge Fund Events December 2015

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

    Hedge Fund Events December 2015

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

    Hedge Fund Events November 2015

    Hedge Fund Events November 2015
    The following are various hedge fund events happening this month.  Please email us if you would like us to add your event to this list. **** Date: November 2-4, 2015 Sponsor: BZ Events Event: Big Data Tech Con 2014 Location: Chicago, IL…
Rank this Week: 190

Stock Broker Fraud Blog

Stock Broker Fraud Blog

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

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

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

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

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

    Man Released from Prison Faces New Fraud Charges in $11M Investor Stock Scam
    The Securities and Exchange Commission is charging Edward Durante with bilking investors once again. Durante, who already served a 10-year sentence for a previous securities fraud conviction, is accused of using different aliases to defraud…
  • Sep 30

    SEC Charges Ex-Microcap CEO and Boiler Room Operator in $20M Penny Stock Fraud to Bilk Senior Investor

    SEC Charges Ex-Microcap CEO and Boiler Room Operator in $20M Penny Stock Fraud to Bilk Senior Investor
    The Securities and Exchange Commission is charging ex-Samoyedic’s Inc. and Fun Cool Free Inc. founder Craig V. Sizer and boiler room operator Miguel Mesa with involvement in a $20M penny stock scam to bilk senior investors and others.…
Rank this Week: 315

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/
Rank this Week: 271

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
  • Sep 30

    Breitburn Energy Partners LP Filed for Chapter 11 Bankruptcy Protection

    Breitburn Energy Partners LP Filed for Chapter 11 Bankruptcy Protection
    This past May, 2016, Breitburn Energy Partners LP filed for chapter 11 bankruptcy protection, another casualty of plunging oil prices. Many investors were sold this investment by their brokerage firms and financial advisors who failed to…
  • Sep 30

    Reverse Convertible Notes – UBS Financial Once Again Violates its Customers’ Trust

    Reverse Convertible Notes – UBS Financial Once Again Violates its Customers’ Trust
    On September 28, 2016, the U.S. Securities & Exchange Commission announced that it had imposed severe monetary penalties on UBS Financial Services in connection with the firm’s activities involving nearly $10.7 billion of…
  • Sep 30

    Brokerages not Paying out Arbitration Award

    Brokerages not Paying out Arbitration Award
    Aware of this issue for many years, FINRA has made little progress in finding a way to ensure investors get what they are owed. Back in 2000, a report was issued by the U.S. Government Accountability Office that stated, the industry needed to…
Rank this Week: 272

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/
  • Sep 30

    Pay-To-Play Meets The California Labor Code

    Pay-To-Play Meets The California Labor Code
    In 2010, the Securities and Exchange Commission adopted a rule (17 CFR § 206-4(5)) prohibiting an investment adviser from providing advisory services for compensation to a government client for two years after the adviser or certain…
  • Sep 29

    D&O Loans: California Section 315 Versus Sarbanes-Oxley Section 402

    D&O Loans: California Section 315 Versus Sarbanes-Oxley Section 402
    Although both Section 315 of the California Corporations Code and Section 402 of the Sarbanes-Oxley Act purport to ban loans to directors and officers, there are significant differences between these statutes.  Below is a precis of some…
  • Sep 28

    California’s D&O Loan Ban And Advancement Of Expense

    California’s D&O Loan Ban And Advancement Of Expense
    Yesterday’s post outlined the general scope of the ban on loans to directors and officers found in Section 315 of the California Corporations Code.  Because Section 315 doesn’t define “loan”, it may not always be…
Rank this Week: 276

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: 226

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • Sep 29

    More and More Frisbee Photo

    More and More Frisbee Photo
    Summer has given way fall, and that means that it is time for another round of readers’ Frisbee photos, this time including a harvest of great pictures taken overseas. Readers will recall that in connection with The D&O…
  • Sep 29

    Guest Post: ERISA-Regulated Benefit Plans Not “Affiliates” for Securities Class Settlement Purpose

    Guest Post: ERISA-Regulated Benefit Plans Not “Affiliates” for Securities Class Settlement Purpose
    In the settlement documents prepared in connection with securities class action settlements, the documents typically specify that certain groups are excluded from the settlement class. Among the groups typically excluded are…
  • Sep 28

    Six Things to Know Now About the SEC Whistleblower Program

    Six Things to Know Now About the SEC Whistleblower Program
    One of the signature features of the Dodd-Frank Act was its creation of an SEC Whistleblower program. Under the program, the SEC can award whistleblowers a bounty of between ten percent and thirty percent of any recoveries the SEC makes in…
Rank this Week: 496

Securities Law Attorneys Blog

Securities Law Attorneys Blog

Covers securities law. By Fitapelli | Kurta.

http://www.securitieslawattorneys.net/
  • Sep 29

    Steven Wine Sanctioned and Suspended by FINRA

    Steven Wine Sanctioned and Suspended by FINRA
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on September 9, 2016 indicate that Chicago-based Stifel Nicolaus & Company broker/adviser Steven Wine has been sanctioned by FINRA. The securities…
  • Sep 29

    Dennis Hayes Facing $750,000 Customer Complaint

    Dennis Hayes Facing $750,000 Customer Complaint
    Public records published by the Financial Industry Regulatory Authority (FINRA) on September 9, 2016 indicate that Florida-based Newbridge Securities broker/adviser Dennis Hayes is the subject of a pending customer complaint. The securities…
  • Sep 29

    Robert Yahney Has Pending Misrepresentation Complaint

    Robert Yahney Has Pending Misrepresentation Complaint
    Public records published by the Financial Industry Regulatory Authority (FINRA) on September 9, 2016 indicate that Florida-based Merrill Lynch broker Robert Yahney is the subject of a pending customer complaint. The securities and investment…
Rank this Week: 501

Corporate Securities Law Blog

Corporate Securities Law Blog

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

http://www.corporatesecuritieslawblog.com/
Rank this Week: 463

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
  • Sep 22

    WTF? FINRA AWC OBA LPL RS CK

    WTF? FINRA AWC OBA LPL RS CK
    If you're a supervisor on Wall Street, it sort of goes without saying that you need to supervise. Unfortunately, a number of folks at Wells Fargo may be having an "ah ha!" moment as they read those wise words about the mechanics of…
  • Sep 22

    Customer Twice Victimized By Broker's Impersonation and Online Disclosure

    Customer Twice Victimized By Broker's Impersonation and Online Disclosure
    The conduct of the registered representative featured in today's BrokeAndBroker.com Blog was improper; by way of spoiler alert, the rep impersonated one of her customers.  The employer discharged the rep in 2014 but things sort of go…
  • Sep 20

    NY Life Rep Crosses Arbitration Rubicon With Expungement Case

    NY Life Rep Crosses Arbitration Rubicon With Expungement Case
    A former registered representative sued his former employer for six figures in damages. The causes of action were impressive. The Financial Industry Regulatory Authority's online BrokerCheck disclosed negative comments about the reasons for…
Rank this Week: 329

InvestorLawyers.net

InvestorLawyers.net

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

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

    Former InterSecurities Broker Harry Hammond Suspended For Unapproved PIPE Transaction

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

    36 Oil and Gas Companies Filed For Bankruptcy In 2015

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

    Customer Complaints Made Against Broker Robyn H. Lee Regarding TIC

    Customer Complaints Made Against Broker Robyn H. Lee Regarding TIC
    According to the Financial Industry Regulatory Authority (FINRA), former Independent Financial Group (Independent), broker Robyn H. Lee (Lee) has had at least thirteen (13) customer complaints made against him, mostly involving sales of…
Rank this Week: 484

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: 334

ComplianceAsia News

ComplianceAsia News

Provides information for compliance professionals dealing with issues in financial regulation with a focus on the Asian region.

http://www.compliance.asia/
  • Feb 6

    WSJ report highlights significant concerns about the nature of global AML system

    WSJ report highlights significant concerns about the nature of global AML system
    Finally there is some reporting about the dirty little secret of global AML enforcement - it might not work.  The following was reported in the Wall Street Journal today and we recommend you read the full article: The Morning Risk…
  • Oct 27

    New FATF announcements regarding the progress various countries are making on AML CFT

    New FATF announcements regarding the progress various countries are making on AML CFT
    On Friday the SFC sent around a circular to licensed firms with details of a number of additions to the AML sanctions regime and this included advice from the FATF that some countries were not doing enough to improve their AML CFT…
  • Oct 23

    Mary Jo White sets out her views on the role of compliance

    Mary Jo White sets out her views on the role of compliance
    SEC Chair, Mary Jo White, recently spoke to an industry association in the United States and talked about the importance of the rule of compliance officers.  Here is the speech: Remarks at National Society of Compliance Professionals…
Rank this Week: 356

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Sep 30

    Interest rate swap clearing requirement expanded

    Interest rate swap clearing requirement expanded
    By R. Jason Howard, J.D.A unanimous vote by the Commission approved an amendment to CFTC regulation 50.4 that establishes a new clearing requirement determination by expanding on the interest swaps required to be cleared.Expanded classes. The…
  • Sep 29

    Court reverses judgment for SEC on disclosure, accounting fraud claim

    Court reverses judgment for SEC on disclosure, accounting fraud claim
    By Lene Powell, J.D.A federal district court erred in awarding partial summary judgment for the SEC in an enforcement action against a bank and its CEO for alleged disclosure and accounting fraud, the Eleventh Circuit ruled. The district…
  • Sep 28

    NASAA requests clarifications to SEC’s continuity plan proposal

    NASAA requests clarifications to SEC’s continuity plan proposal
    By Amy Leisinger, J.D.In comments to the SEC, NASAA offered support for the Commission’s proposal to require registered investment advisers to adopt and implement written business continuity and transition plans. According to the…
Rank this Week: 709

Subject to Inquiry

Subject to Inquiry

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

http://www.subjecttoinquiry.com/
  • Sep 29

    CFPB Announces that ECOA Protects LGBT Persons From Discrimination in Lending

    CFPB Announces that ECOA Protects LGBT Persons From Discrimination in Lending
    This summer, the Consumer Financial Protection Bureau (CFPB) was asked by an LGBT advocacy group whether the provision of the Equal Credit Opportunity Act (ECOA), 15 U.S.C. § 1691 et seq., that prohibits discrimination on the basis of…
  • Sep 28

    A Compliance Plan for the Extractive Industries Payment Disclosure Rule

    A Compliance Plan for the Extractive Industries Payment Disclosure Rule
    In the prior post we described the SEC’s new Rule 13q-1 that took effect on Monday (September 26). In this post, we discuss steps covered companies should take to comply with the rule. To review: Rule 13q-1 requires issuers involved in…
  • Sep 26

    How to prepare for the SEC’s Resource Extraction Disclosure Rule

    How to prepare for the SEC’s Resource Extraction Disclosure Rule
    After a long and tortured route through the courts, the SEC’s final rule implementing Dodd-Frank’s Resource Extraction Payment Disclosure requirement took effect today. Many have watched and commented on the new Rule 13q-1, and…
Rank this Week: 963

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: 648

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • Sep 28

    NASAA Releases Its 2016 Enforcement Report

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

    Financial Advisors Expunging Baseless Customer Complaints in State Court

    Financial Advisors Expunging Baseless Customer Complaints in State Court
    The Internet is awash with articles about “bad brokers” with clean U-4s, and “rouge brokers” obtaining expungements of valid customer complaints.  Indeed, studies have been published ostensibly demonstrating that…
  • Jul 29

    A SHOT ACROSS THE BOW OF ROBO-ADVISERS

    A SHOT ACROSS THE BOW OF ROBO-ADVISERS
    The Massachusetts Securities Division – one of the most active and sophisticated in the nation – recently issued a Policy Statement “to provide its state-registered investment advisers who establish concurrent or…
Rank this Week: 991

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/
  • Sep 21

    Read This Before You Cash That Check

    Read This Before You Cash That Check
    One scam still making the rounds is the fake check scam.  The way it generally works is this.  You receive an authentic-looking check in the mail that appears to be from a real company. Along with the check, you receive instructions…
  • Sep 19

    Wells Fargo to Pay $185 Million to Settle Allegations of Fraudulent Sales Practice

    Wells Fargo to Pay $185 Million to Settle Allegations of Fraudulent Sales Practice
    Wells Fargo & Co. has agreed to pay $185 million to settle federal regulators’ investigation for illegal sales practices.  The bank acknowledged that it pushed employees to open as many as 2 million accounts without…
  • Sep 7

    Options 101: The Basics of Trading Stock Option

    Options 101: The Basics of Trading Stock Option
    Options are complex investments and can carry substantial risk. Before you decide to trade options, you should understand the basics. Options can be used with a wide range of financial products.  This blog will focus on the most vanilla…
Rank this Week: 804

Strictly Business

Strictly Business

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

http://www.strictlybusinesslawblog.com/
Rank this Week: 610

Stock Market Loss

Stock Market Loss

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

http://www.stockmarketloss.com/news/
  • Jul 14

    Using Common Sense Can Keep You Safe From a Ponzi Scheme

    Using Common Sense Can Keep You Safe From a Ponzi Scheme
    This article was originally posted on Stock Market Loss Put as simply as possible, a Ponzi scheme is an investment fraud in which funds contributed by new investors are used to pay purported “returns” or “profits” to…
  • Jun 29

    FINRA’s New Changes Don’t Address Transparency Issue

    FINRA’s New Changes Don’t Address Transparency Issue
    This article was originally posted on Stock Market Loss Although FINFA received 51 recommendations from a task force designed to improve the arbitration process, it recently announced only a few modest changes to the system. The number of…
  • Jun 29

    Hugh Berkson Calls for More Rules on Nontraded REIT

    Hugh Berkson Calls for More Rules on Nontraded REIT
    This article was originally posted on Stock Market Loss New FINRA rules regarding nontraded REITs have some advisors crying off this investment. The rule requires advisers to report the actual value of those investments – less…
Rank this Week: 1083

Sharesleuth.com

Sharesleuth.com

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

http://sharesleuth.com/
  • Nov 22

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

    SEC expands fraud case to include Lenco Mobile, subject of a prior Sharesleuth investigation
    The Securities and Exchange Commission has quietly expanded its fraud case against financier Izak Zirk De Maison, adding seven more people as codefendants and identifying five more stocks he used in his schemes. According to the SEC’s…
  • Feb 4

    Trick Play: Memorabilia company peddled Patriots, Seahawks gear with forged player autograph

    Trick Play: Memorabilia company peddled Patriots, Seahawks gear with forged player autograph
      Just days after the Seattle Seahawks and New England Patriots claimed their spots in Super Bowl XLIX, a memorabilia company called The Highland Mint contacted customers with a tantalizing list of autographed collectibles. Highland…
  • Dec 31

    Kandi Technologies Group Inc.: Where are the Go-Karts?

    Kandi Technologies Group Inc.: Where are the Go-Karts?
    When the global economy collapsed in the fall of 2008, the sharp drop in consumer spending threw the power sports industry into a steep decline. Sales of motorcycles, go-karts and all-terrain vehicles each plunged by 30 percent or more,…
Rank this Week: 713

Securities Fraud Attorney Blog

Securities Fraud Attorney Blog

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

http://www.securitiesfraudattorneyblog.com/
Rank this Week: 788

BD Law Blog

BD Law Blog

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

http://www.bdlawblog.com/
  • Feb 13

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

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

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

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

    Lessons learned from putting on "the Suit."

    Lessons learned from putting on "the Suit."
    Every now and then I use my blog to share with you things not necessarily related to the law, or to our practice areas of financial markets law, estate planning or business law. Today's one of those days, and I...
Rank this Week: 972

Smaller Reporting Company's…

Smaller Reporting Company's Securities Blog

Covers securities law issues for entrepreneurs, emerging companies, investors and shareholders. By Stoecklein Law Group, LLP.

http://slgsecurities.com/
  • Dec 22

    F-Squared hit with $35M SEC penalty

    F-Squared hit with $35M SEC penalty
    Originally posted on America's Markets:Fast-growing money management firm F-Squared has agreed to pay $35 million and admit wrongdoing for defrauding investors with false ads about the firm’s flagship product, a federal regulator…
  • Feb 18

    {Video} The difference between Angel Investors and Venture Capitalist

    {Video} The difference between Angel Investors and Venture Capitalist
    Originally posted on Fabulous & Money Savvy:Successful entrepreneur and CEO, Jay Adelson, demystifies the start-up process by providing advice, tips, and answering questions. Today Jay discusses funding and explains the difference between…
  • Feb 3

    SEC Suspends Trading in 255 “Shell” Companie

    SEC Suspends Trading in 255 “Shell” Companie
    Today, the Securities and Exchange Commission (SEC) issued a Press Release announcing that as a result of its micro-cap fraud-fighting initiative they named “Operation Shell-Expel”, they suspended trading in 255 dormant shell…
Rank this Week: 800

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: 624

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/
  • Sep 30

    SEC Fines UBS for Improper Sales of Reverse Convertible Note

    SEC Fines UBS for Improper Sales of Reverse Convertible Note
    The Securities and Exchange Commission has announced that UBS Financial Services will pay more than $15 million to settle charges related to unsuitable sales of reverse convertible notes (“RCNs”) to individual…
  • May 10

    Attention Former Customers of Leavitt Freeman Sanders: You May Be Able To Recover Your Investment Losse

    Attention Former Customers of Leavitt Freeman Sanders: You May Be Able To Recover Your Investment Losse
    Our firm has already filed many individual lawsuits alleging, among other things, investment fraud against Leavitt Sanders and the firms that he traded through.  Those firms include Invest Financial, Triad Advisors, Capital Asset…
  • May 4

    Record Oil Industry Bankruptcies Take a Toll on Investor

    Record Oil Industry Bankruptcies Take a Toll on Investor
    Reuters reports that bankruptcies in the U.S. oil industry have reached record levels.  The number of bankrupt oil and gas companies is 59 and counting, and we are not even half-way through the wave of bankruptcy filings, according to a…
Rank this Week: 4287

Footnoted

Footnoted

Reports on actionable information in SEC filings.

http://www.footnoted.com/
  • Sep 30

    One CFO’s revolving door

    One CFO’s revolving door
    Ralph Lauren's former CFO ends employment at the company today, collecting $2.5m in severance. Next month, he starts at American Eagle.
  • Sep 6

    Two favorites from the Friday Night Dump

    Two favorites from the Friday Night Dump
    Here's two filings that caught our attention from the pre-Labor Day Friday Night Dump.
  • Aug 25

    More guessing at Barnes & Noble

    More guessing at Barnes & Noble
    Barnes & Noble is at it again: leaving investors to guess what kind of severance its most recent CEO will wind up getting.
Rank this Week: 1834

Securities Law Prof Blog

Securities Law Prof Blog

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

http://lawprofessors.typepad.com/securities/
Rank this Week: 4195

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/
  • Sep 29

    Privilege Issues in M&A: No Consensus Yet

    Privilege Issues in M&A: No Consensus Yet
    This recent SRS Acquiom paper suggests that M&A lawyers are still sorting out the privilege issues raised by the Delaware Chancery Court’s 2013 decision in the Great Hill Equity Partners case…
  • Sep 28

    Director Conflicts: Next Big Thing in M&A Litigation?

    Director Conflicts: Next Big Thing in M&A Litigation?
    This Cleary blog speculates on what the future of M&A litigation in a post-Corwin environment might look like: As the Delaware Supreme Court narrows the avenues for post-closing challenges to mergers, we expect that plaintiffs’…
  • Sep 27

    Tomorrow’s Webcast: “Middle Market Deals – If I Had Only Known”

    Tomorrow’s Webcast: “Middle Market Deals – If I Had Only Known”
    Tune in tomorrow for the webcast – “Middle Market Deals: If I Had Only Known” – to hear Joe Feldman of Joseph Feldman Associates talk about how to best avoid post-closing deal surprises for a mid-market deal. Please…
Rank this Week: 2667

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/
  • Sep 28

    Hedge fund investments survive section 94.1 challenge

    Hedge fund investments survive section 94.1 challenge
    Marianne Kennedy Beaulne -  Although based in low-tax jurisdictions, Tax Court finds business reasons for investments overshadowed their tax benefits Section 94.1 of the Income Tax Act (Canada) is an anti-avoidance rule aimed at…
  • Sep 12

    New TSX dividend reinvestment plan rules adopted

    New TSX dividend reinvestment plan rules adopted
    The Toronto Stock Exchange (TSX) has adopted amendments to the TSX Company Manual (the Manual) intended to provide a complete set of standards and practices (the DRIP Rules) for dividend reinvestment plans (DRIPs). The amendments follow the…
  • Aug 19

    Rights offering amendments for TSXV issuer

    Rights offering amendments for TSXV issuer
    Amendments to TSX Venture Exchange (TSXV) Policy 4.5 – Rights Offerings are now in effect reflecting guidance released by the TSXV earlier this year following the adoption by the Canadian Securities Administrators (the CSA) of…
Rank this Week: 4109

Tim O'Connor's Blog

Tim O'Connor's Blog

Covers stockbroker fraud.

http://stockbrokerlaw.com/tim-oconnors-blog
  • Sep 27

    Oppenheimer Fined for Unsuitable Sales of Exchange Traded Funds (ETFs)

    Oppenheimer Fined for Unsuitable Sales of Exchange Traded Funds (ETFs)
    The Financial Industry Regulatory Authority (FINRA) announced on June 8, 2016 that it fined Oppenheimer & Co., Inc. $2.25 million and ordered the firm to pay restitution of more than $716,000 to customers who were sold leveraged, inverse…
  • Sep 20

    Morgan Stanley Pays Million Dollar Fine in Hacked Customer Data Case

    Morgan Stanley Pays Million Dollar Fine in Hacked Customer Data Case
    The SEC announced in a press release dated June 8, 2016 that Morgan Stanley Smith Barney, LLC has agreed to pay a $1 million penalty to settle charges relating to alleged failures to protect confidential customer information. The SEC also…
  • Sep 13

    FINRA Issues Investor Alert on Non-Traded REIT’

    FINRA Issues Investor Alert on Non-Traded REIT’
    In a recent investor alert, the Financial Industry Regulatory Authority (FINRA) issued an Investor Alert warning investors of the problems associated with non-traded Real Estate Investment Trusts (REIT’s). The investor alert noted…
Rank this Week: 2961

Business Blog

Business Blog

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

http://www.businesslawnews.com/
  • Sep 27

    Business Cases to Watch on U.S. Supreme Court’s Docket

    Business Cases to Watch on U.S. Supreme Court’s Docket
    September also means the end of summer break for the U.S. Supreme Court. When the justices return to the bench for the October 2016 Term, they will consider a number of key commercial law issues. This post offers a brief summary of several…
  • Aug 17

    Are Employee Breaks Mandated by New Jersey Law?

    Are Employee Breaks Mandated by New Jersey Law?
    Are you required to provide employee breaks? Both employers and employees alike are often surprised to learn that federal employment laws do not require employers to set specific intervals or even make time for employees to take work breaks…
  • Aug 2

    SEC Adopts New Rules for Administrative Proceeding

    SEC Adopts New Rules for Administrative Proceeding
    What You Need to Know about the SEC’s New Rules for Administrative Proceedings The Securities and Exchange Commission (SEC) recently adopted several amendments to its rules of practice governing administrative proceedings. According to…
Rank this Week: 3771

New York Securities Lawyer Blog

New York Securities Lawyer Blog

Covers securities law. By Lax & Neville LLP.

http://www.newyorksecuritieslawyerblog.com/
Rank this Week: 1975

May Law, PC Blog

May Law, PC Blog

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

http://www.maylawpc.net/category/blog/
  • Sep 22

    Is There “Gold” In Your Old Daily Or Monthly Statements?

    Is There “Gold” In Your Old Daily Or Monthly Statements?
    Class Action Settlement on Alleged Manipulation Offers to turn old paper or electronic statements into cold, hard cash! WHO: People who traded futures and/or options on futures…
  • Jun 23

    FINRA Takes a Closer Look at Variable Annuity Sale

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

    Who is May Law?

    Who is May Law?
    Press play on the video below for an inside look into what sets May Law apart from other firms and why Andrew May feels so passionately about…
Rank this Week: 2554

Oil & Gas Investment Fraud Lawyer…

Oil & Gas Investment Fraud Lawyer Blog

Covers securities issues with a focus on oil & gas investment fraud. By Silver Law Group, The Law Firm of David R. Chase, P.A., and Ciklin Lubitz & O'Connell.

http://www.oilgasinvestmentfraudlawyer.com/
Rank this Week: 2025

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/
  • Sep 21

    SEC Issues $4 Million Whistleblower Award; Program Surpasses $111 Million Total Award

    SEC Issues $4 Million Whistleblower Award; Program Surpasses $111 Million Total Award
    The Securities and Exchange Commission announced on September 20, 2016 an award of over $4 million to a whistleblower.  The whistleblower’s original information alerted the SEC to a fraud. The SEC whistleblower program was…
  • Sep 14

    Insider Whistleblowers in the Financial Advice Sector Set to Increase

    Insider Whistleblowers in the Financial Advice Sector Set to Increase
    Insiders in the investment advice sector are starting to grow bolder and start a trend of notifying the SEC of bad-acting firms and principals. On August 30, 2016, the Securities and Exchange Commission announced another whistleblower award…
  • Sep 14

    How Contingency Fees Work for Whistleblower

    How Contingency Fees Work for Whistleblower
    Litigating a case can take a long time and accrues many costs and fees.  Among those fees include filing costs, the cost of hiring an expert to testify, the cost of various office tasks such as printing and mailing, and many…
Rank this Week: 2031