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The Race to the Bottom

The Race to the Bottom

A faculty-student collaboration on corporate governance. By Professor J. Robert Brown, Jr.

http://www.theracetothebottom.org/
  • Aug 28

    The SEC and Administrative Proceedings (Part 2)

    The SEC and Administrative Proceedings (Part 2)
    We are discussing some of the issues raised by Peter Henning in his DealBook column, The S.E.C.’s Use of the ‘Rocket Docket’ Is Challenged.   In any event, the limits on discovery, the fact that ALJ decisions are…
  • Aug 26

    The SEC and Administrative Proceedings (Part 1)

    The SEC and Administrative Proceedings (Part 1)
    Peter Henning wrote an interesting piece over at DealBook on the SEC's use of administrative proceedings in place of actions in federal district court.  See The S.E.C.’s Use of the ‘Rocket Docket’ Is Challenged.…
  • Aug 26

    Morrison, the Second Circuit, and the Reverse Effects Test: ParkCentral Global Hub Limited v. Porsche Automobile Holdings (Part 2)

    Morrison, the Second Circuit, and the Reverse Effects Test: ParkCentral Global Hub Limited v. Porsche Automobile Holdings (Part 2)
    We are discussing the Second Circuit's decision in ParkCentral Global Hub Limited v. Porsche Automobile Holdings, a case that effectively created a "reverse effects test" that was contrary to the Supreme Court's analysis…
Rank this Week: 31

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/
  • Aug 28

    Jeffrey Alan Stewart Facing Securities Fraud Charge

    Jeffrey Alan Stewart Facing Securities Fraud Charge
    Former broker Jeffrey Alan Stewart has been charged with securities fraud and forgery. According to Iowa City Press-Citizen , Stewart allegedly lied to clients about how he was investing their money and was moving client’s investments…
  • Aug 25

    CitiGroup Pays $180 million to Settle SEC Charge

    CitiGroup Pays $180 million to Settle SEC Charge
    Citigroup recently settled charges with the Securities and Exchange Commission (SEC) involving two hedge funds. Citigroup agreed to pay $180 million to settle the charges which alleged the two funds were improperly marketed. According to…
  • Aug 25

    KBS $1.75 Tender Offer

    KBS $1.75 Tender Offer
    Have you suffered investment losses in KBS Real Estate Investment Trust? If so, the securities attorneys of The White Law Group may be able to help you recover your losses by filing a FINRA Dispute Resolution claim against the brokerage firm…
Rank this Week: 177

Sharesleuth.com

Sharesleuth.com

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

http://sharesleuth.com/
  • 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,…
  • Oct 7

    Kandi Technologies Group Inc.: The return of the cyber shill

    Kandi Technologies Group Inc.: The return of the cyber shill
    Last June, shares of Kandi Technologies Group Inc. (Nasdaq: KNDI) doubled in the space of a week, spurred on by a mysterious network of social-media touters who later deleted their posts or shut down their accounts…
Rank this Week: 204

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

http://www.seclawyersblog.com/
  • Aug 27

    Sonn|Erez Investigating Claims Involving Former Morgan Stanley Broker Ronald Cohen

    Sonn|Erez Investigating Claims Involving Former Morgan Stanley Broker Ronald Cohen
    Sonn|Erez is investigating claims regarding Ronald Seth Cohen (CRD #2419431, Boca Raton, Florida). Cohen recently submitted an Acceptance, Waiver & Consent ("AWC") in which he was assessed a deferred fine of $10,000 and suspended from…
  • Aug 26

    Sonn|Erez Investigating Claims Involving Mark Andrew Bullivant

    Sonn|Erez Investigating Claims Involving Mark Andrew Bullivant
    Sonn|Erez is investigating claims regarding Mark Andrew Bullivant (CRD #4444874, Fort Myers, Florida). Bullivant recently submitted an Acceptance, Waiver & Consent ("AWC") in which he was barred from association with any FINRA member in…
  • Aug 24

    Sonn|Erez Investigating Claims Involving Former UBS Representative Darlene Bandy

    Sonn|Erez Investigating Claims Involving Former UBS Representative Darlene Bandy
    Sonn|Erez is investigating claims regarding Darlene Kay Bandy (CRD #11744, Bellflower, California). Bandy recently submitted an Acceptance, Waiver & Consent ("AWC") in which she was barred from association with any FINRA member in any…
Rank this Week: 238

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
Rank this Week: 255

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
  • Aug 28

    Edward Jones Fines $20M for Municipal Bond Overcharge

    Edward Jones Fines $20M for Municipal Bond Overcharge
    From the Desk of Jim Eccleston at Eccleston Law LLC: The SEC has ordered Missouri based brokerage firm Edward Jones to pay $20 million as a fine for overcharging retail customers in new municipal bond sales.According to the SEC, Edward Jones…
  • Aug 27

    Citigroup Affiliates to Pay $180 Million to Settle Hedge Fund Fraud Charge

    Citigroup Affiliates to Pay $180 Million to Settle Hedge Fund Fraud Charge
    From the Desk of Jim Eccleston at Eccleston Law LLC: Two Citigroup affiliates, Citigroup Global Markets Inc. (CGMI) and Citigroup Alternative Investments LLC (CAI), have agreed to pay nearly $180 million to settle charges that they defrauded…
  • Aug 26

    Ohio Based IRA Provider Charged with Involvement in Ponzi Scheme

    Ohio Based IRA Provider Charged with Involvement in Ponzi Scheme
    From the Desk of Jim Eccleston at Eccleston Law LLC: The SEC is pursuing charges against Equity Trust Co., a Ohio based IRA provider.  The SEC alleges that Equity Trust was “ignoring red flags for accounts with investments that…
Rank this Week: 257

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: 298

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Aug 31

    Pay Ratio: Media Tries to Sleuth Out Ratios Based on 3rd-Party Data

    Pay Ratio: Media Tries to Sleuth Out Ratios Based on 3rd-Party Data
    I’m wrapping up a comprehensive “pay ratio” chapter for the 2016 edition of our “Executive Compensation Disclosure Treatise” (order your copy now – 1600 pages!) and came across this article by Quartz.…
  • Aug 28

    SEC’s Filing Fees: Going Down 13% for Fiscal Year 2016!

    SEC’s Filing Fees: Going Down 13% for Fiscal Year 2016!
    Yesterday, the SEC issued this fee advisory that sets the filing fee rates for registration statements for 2016. Right now, the filing fee rate for Securities Act registration statements is $116.20 per million (the same rate applies under…
  • Aug 27

    I Doubt Apple’s CEO Violated Reg FD With His “China” Email to Jim Cramer

    I Doubt Apple’s CEO Violated Reg FD With His “China” Email to Jim Cramer
    Yesterday, I ran a popular poll about whether folks thought that Apple’s Tim Cook violated Regulation FD by emailing CNBC host Jim Cramer about how Apple was faring in China. The poll results indicated that 15% thought it was nowhere…
Rank this Week: 355

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • Aug 30

    A Closer Look at the Massive $148 Million Damages Award Against Dole’ s CEO and General Counsel

    A Closer Look at the Massive $148 Million Damages Award Against Dole’ s CEO and General Counsel
    A frequent theme these days in the world of corporate and securities litigation is the complaint about merger objection litigation – how virtually every deal announced attracts at least one lawsuit, and how all too often the cases are…
  • Aug 27

    The Great War: A Book List

    The Great War: A Book List
    Last August, in conjunction with the centennial of the start of World War I, I re-read Barbara Tuchman’s classic account of the war’s first days, The Guns of August. Tuchman is a great writer and she tells the story of the…
  • Aug 25

    Reps and Warranties Insurance: Increasingly Indispensable Part of M&A Deal

    Reps and Warranties Insurance: Increasingly Indispensable Part of M&A Deal
    Representations and warranties insurance has been around for years, but it is becoming an increasingly important part of M&A transactions, according to an August 24, 2015 Law 360 article (here). According to the article, more buyers are…
Rank this Week: 382

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/
  • Aug 27

    Beware of UBS Puerto Rico Sending Out Settlement Offer

    Beware of UBS Puerto Rico Sending Out Settlement Offer
    UBS Puerto Rico clients have reported over the last few days the receipt of unsolicited settlement offers from UBS Puerto Rico for losses in customer accounts. The letters, which appear to be dated August 20, 2015 and are from Roberto…
  • Aug 26

    SEC Says Broker-Dealers Need to Do a Better Job of Monitoring High Risk Product

    SEC Says Broker-Dealers Need to Do a Better Job of Monitoring High Risk Product
    The Securities and Exchange Commission has put out an alert warning brokerage firms that they need to better monitor the sale of high risk complex investments to retail investors. The regulator said that its analysis of 26,600 transactions of…
  • Aug 25

    Puerto Rico Delays $750M Bond Sale

    Puerto Rico Delays $750M Bond Sale
    According to The New York Times, Puerto Rico is again delaying a recent proposed bond issuance latest decision to stall the bond sale, this time because of trouble in the global markets. However, said the newspaper, the island’s…
Rank this Week: 399

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: 407

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
  • Aug 26

    Unregistered Activity Proves Katalyst For FINRA Settlement

    Unregistered Activity Proves Katalyst For FINRA Settlement
    Does she need to be registered with your FINRA firm in order to do that? Does he need to be registered with your FINRA firm before you can pay him a fee? Such registration issues often bedevil member firms and their compliance/legal staff.…
  • Aug 26

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
    BREAKING STORY: Schwab DownThere are growing indications this morning that Charles Schwab is experiencing a widespread outage and customers cannot log in to their accounts either through manual entry of the ID/Password combination or the…
  • Aug 26

    BREAKING STORY: Schwab Down

    BREAKING STORY: Schwab Down
    BREAKING STORYThere are growing indications this morning that Charles Schwab is experiencing a widespread outage and customers cannot log in to their accounts either through manual entry of the ID/Password combination or the recently added…
Rank this Week: 510

Securities Lawyer 101

Securities Lawyer 101

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

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

    Going Public Blog l Securities Lawyer 101

    Going Public Blog l Securities Lawyer 101
    Going Public LawyerGoing 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 quantities of…
  • 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…
Rank this Week: 592

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Aug 31

    WFP Broker Matthew Francis Deline: Barred by FINRA

    WFP Broker Matthew Francis Deline: Barred by FINRA
    Former WFP Securities broker, Matthew Francis Deline has been permanently barred from associating with any FINRA member firm in any capacity.The securities and fraud law firm Fitapelli Kurta is interested in speaking to investors who have…
  • Aug 31

    Former Omni Brokerage’s Byron Anton Meo has Complaint

    Former Omni Brokerage’s Byron Anton Meo has Complaint
    According to the Financial Industry Regulatory Authority (FINRA), former California-based Resourcive broker Byron Anton Meo is currently not licensed to act as a broker or an investment adviser. The securities and investment fraud law firm…
  • Aug 28

    WFP Broker John Evan Schooler

    WFP Broker John Evan Schooler
    The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Arizona-based First Financial Equity broker/adviser John Evan Schooler (CRD# 2368308). John Evan Schooler has…
Rank this Week: 569

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/
  • Aug 31

    In California, A Snail Is Sometimes A Fish And A Goldfish Isn’t

    In California, A Snail Is Sometimes A Fish And A Goldfish Isn’t
    With statutes, it can be dangerous to rely on plain meaning.  Most people, for example, would not consider an amphibian, such as a frog, or a mollusk, such as a snail, to be fish.  However, the California Fish & Game Code…
  • Aug 28

    Grammatical Gender And The General Corporation Law

    Grammatical Gender And The General Corporation Law
    Many, but not all languages, employ grammatical gender.  Anyone who has studied Spanish or German will know that grammatical gender is essential and can be unrelated to biological sex.  For…
  • Aug 27

    Did You Ever Wonder Whether “Within” Might Be A Superfluous Pleonasm?

    Did You Ever Wonder Whether “Within” Might Be A Superfluous Pleonasm?
    Suppose that you hold an option that must be exercised “within 30 days prior to the expiration of the option”.  Does this mean that you must exercise the option no later than thirty days before the expiration date or that you…
Rank this Week: 643

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/
  • Aug 28

    Macey-Dare on English Derivatives Litgation

    Macey-Dare on English Derivatives Litgation
    Rupert Macey-Dare has posted Key Derivatives Cases 2015 on SSRN with the following abstract: The paper considers key derivatives cases in the English courts from 2015, namely: Wani v Royal Bank of Scotland, Dexia v Commune di Prato, Enasarco…
  • Aug 17

    Registration Open for 2015 Central States Law Schools Association Conference

    Registration Open for 2015 Central States Law Schools Association Conference
    Please note the following Conference announcement: Registration is now open for the Central States Law Schools Association 2015 Scholarship Conference, on Friday, October 9 and Saturday, October 10 at The University of Toledo College of Law…
  • Aug 17

    Faculty Opening: University of Iowa College of Law

    Faculty Opening: University of Iowa College of Law
    I received the following notice that may be of interest to some of this blog's readers: THE UNIVERSITY OF IOWA COLLEGE OF LAW anticipates hiring several tenured/tenure track faculty members and clinical faculty members (including a director…
Rank this Week: 556

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
Rank this Week: 704

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/
  • Aug 25

    Judge Berman Deflates SEC’s ALJ Appointment Proce

    Judge Berman Deflates SEC’s ALJ Appointment Proce
    United States District Court Judge Richard M. Berman of the Southern District of New York has been making headlines in recent weeks as he presides over the highly publicized case between the National Football League (“NFL”) and…
  • Aug 19

    International Hacking and Insider Trading Scheme Exposes Cybersecurity Vulnerabilities at Third-Party Vendor

    International Hacking and Insider Trading Scheme Exposes Cybersecurity Vulnerabilities at Third-Party Vendor
    On August 11, 2015, the SEC announced that it was bringing fraud charges against 32 defendants for their alleged participation in a five-year, international hacking and insider trading scheme.  According to the SEC, two Ukrainian men…
  • Aug 11

    The Boss Makes HOW much more than me? SEC Issues Final Pay Ratio Rule

    The Boss Makes HOW much more than me? SEC Issues Final Pay Ratio Rule
    On August 5, 2015, the Securities and Exchange Commission approved its final rule subjecting most public companies to the so-called “Pay Ratio Disclosure” mandated by the 2010 Dodd-Frank Wall Street Reform and Consumer Protection…
Rank this Week: 668

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…
  • Sep 8

    Nu Skin Inventory Red Flags Remain Even After $50 Million Impairment Charge

    Nu Skin Inventory Red Flags Remain Even After $50 Million Impairment Charge
    On July 22, 2014, I warned investors that Utah-based multi-level marketing company Nu Skin Enterprises' (NYSE: NUS) surging inventory levels might lead it "to recognize a material impairment charge against inventory in a future period." On…
Rank this Week: 617

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: 651

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Aug 31

    ESMA Seeks Input on Clearinghouse Margin, Considers Compromise with U.S.

    ESMA Seeks Input on Clearinghouse Margin, Considers Compromise with U.S.
    By Lene Powell, J.D.The European Securities and Markets Authority (ESMA) is seeking feedback on a new consultation paper addressing the amount of margin required to be collected by clearinghouses. E.U. and U.S. regulatory regimes provide for…
  • Aug 28

    Commissioner Aguilar Calls for “Calibrated” Waiver Proce

    Commissioner Aguilar Calls for “Calibrated” Waiver Proce
    By Mark S. Nelson, J.D.SEC Commissioner Luis A. Aguilar once again voiced his worries that the agency’s waiver process fails to capture the ambiguities that typically infuse the decision to grant or deny a person or entity accused of…
  • Aug 27

    Puerto Rico Seeks Supreme Court Review in Bankruptcy Preemption Case

    Puerto Rico Seeks Supreme Court Review in Bankruptcy Preemption Case
    By Kevin Kulling, J.D.The government of Puerto Rico has filed a petition for a writ of certiorari with the United States Supreme Court in an effort to overturn a federal appeals court decision holding that the bankruptcy code preempted Puerto…
Rank this Week: 848

Recover Investment Losses Blog

Recover Investment Losses Blog

Covers investment scams, broker fraud and broker negligence. By Rex Securities Law.

http://blog.rexsecuritieslaw.com
  • Aug 27

    San Antonio Man Admits Laundering $66 Million From Mexican Investor

    San Antonio Man Admits Laundering $66 Million From Mexican Investor
    August 26, 2015- San Antonio, Texas The FBI reports that Armando Jesus Hernandez Leal, 53, of Shavano Park, Texas, pleaded guilty to federal money laundering charges in connection with a multimillion dollar investment scam. Hernandez was…
  • Aug 27

    Dennis Flood of Medina County Ohio Sentenced For Insurance Scam

    Dennis Flood of Medina County Ohio Sentenced For Insurance Scam
    August 26, 2015- Cleveland, Ohio Cleveland.com reports that Dennis Flood, 64, of Brunswick, Ohio, pleaded guilty to engaging in a pattern of corrupt activity and aggravated theft for stealing  from 43, mostly elderly, people by selling…
  • Aug 27

    St. Tammany SALT Council to Hold “Money Smart for Older Adults Seminar” Sept. 9, 2015

    St. Tammany SALT Council to Hold “Money Smart for Older Adults Seminar” Sept. 9, 2015
    August 27, 2015- Slidell, Louisiana The St. Tammany SALT Council, the Council on Aging St. Tammany (COAST) and Gulf Coast Bank & Trust are holding a free seminar  on Financial Exploitation for seniors at the Slidell Senior Center on…
Rank this Week: 823

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/
  • Aug 27

    HSR “Investment-Only” Exemption: Lessons from Third Point’s Yahoo! Investment

    HSR “Investment-Only” Exemption: Lessons from Third Point’s Yahoo! Investment
    Here’s the intro from this Cooley memo: While acquisitions of up to 10% of the voting interest in a target that are made “solely for the purpose of investment” are in many circumstances exempt from Hart-Scott-Rodino (HSR)…
  • Aug 26

    How Carl Icahn Work

    How Carl Icahn Work
    Here’s an excerpt from this interesting blog from a while back by “The Activist Investor”: For one of the most-discussed investors these days, we know surprisingly little about Carl Icahn’s activist investing. Numerous…
  • Aug 19

    Key M&A Trends: Overseas Expansion Going Mainstream

    Key M&A Trends: Overseas Expansion Going Mainstream
    Here’s something that Randi Morrison blogged on TheCorporateCounsel.net a few days ago: Recently, Deloitte released 2015 M&A Trends Report reveals a booming, wide-reaching M&A environment spanning small, mid-sized and large…
Rank this Week: 854

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/
  • Aug 26

    Former Merrill Lynch Broker Must Pay $1.4M for Insider Trading

    Former Merrill Lynch Broker Must Pay $1.4M for Insider Trading
    Gary Yin, an ex-Bank of America Merrill Lynch (BAC) broker, must pay $1.4M in restitution for helping a client launder money made from insider trading. Yin admitted to helping former Qualcomm Inc. president Jing Wang conceal hundreds of…
  • Aug 21

    Citigroup Global Markets to Pay $15M Penalty to the SEC for Surveillance and Compliance Failure

    Citigroup Global Markets to Pay $15M Penalty to the SEC for Surveillance and Compliance Failure
    The Securities and Exchange Commission said that Citigroup Global Markets (C) will pay a $15M penalty to settle charges that it did not enforce procedures and policies that would stop and identify securities transactions potentially involving…
  • Aug 20

    FINRA Probes Broker Pay for Conflicts of Interest

    FINRA Probes Broker Pay for Conflicts of Interest
    The Financial Industry Regulatory Authority has sent a targeted exam letter seeking to examine possible conflicts of interest in the way firms pay brokers. About a dozen brokerage firms received the letter, which the regulator said is aimed…
Rank this Week: 940

InvestorLawyers.net

InvestorLawyers.net

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

http://www.investorlawyers.net/blog/
Rank this Week: 778

Stock Broker Attorney Blog

Stock Broker Attorney Blog

Covers current investigations, opinions and industry news relating to securities arbitration, investment fraud, stockbroker or brokerage firm misconduct. By Levin Papantonio Thomas Mitchell Rafferty & Proctor, P.A.

http://www.stockbrokerattorney.com/blog
  • Jan 7

    Man Sentence to 18-Months for Investment Scam

    Man Sentence to 18-Months for Investment Scam
    In Scottsdale, J'Sean Claude Butierries pleaded guilty to defrauding investors out of hundreds of thousands of dollars. He allegedly used the ill-gotten gains to buy himself luxury items like a $195,000 Audi and cosmetic surgery for his wife…
  • Jan 5

    SEC Charges Unlicensed Man with Scamming Investor

    SEC Charges Unlicensed Man with Scamming Investor
    Vinay Kumar Nevatia, of Palo Alto, has been charged by the U.S. Securities and Exchange Commission for allegedly reselling almost $900,000 stock shares of an off-shore company, CSS Technologies (Mauritius) Limited, already owned by eight…
  • Jan 1

    Broker Barred from Practice for Stealing from Elderly

    Broker Barred from Practice for Stealing from Elderly
    Jeffrey McClure, a former employee of Wells Fargo Advisors and an affiliated bank in California, was recently barred from the securities industry after stealing almost $89,000 from an elderly customer. Between December 2012 and August 2014,…
Rank this Week: 777

Inside Sarbanes Oxley

Inside Sarbanes Oxley

Covers Sarbanes-Oxley and compliance.

http://insidesarbanesoxley.com/
  • Sep 10

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

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

    Internal Audit: The Continuous Conundrum

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

    How to choose the right nonexecutive board leader

    How to choose the right nonexecutive board leader
    Ever since stock-listing requirements prompted many US companies to name an independent director to serve as the chairman, lead director, or presiding director of the board, these companies have been grappling with what, exactly, this board…
Rank this Week: 864

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/
  • Aug 25

    How Liquid are Your Bonds?

    How Liquid are Your Bonds?
    Recent turmoil in the financial markets may have you considering whether to sell or ride things out.  If your portfolio contains individual bonds, you should factor in the liquidity of the bonds you hold when making that decision.…
  • Aug 18

    Citigroup Will Pay $180 Million to Settle SEC Case

    Citigroup Will Pay $180 Million to Settle SEC Case
    The Securities and Exchange Commission (“SEC”) announced that Citigroup Global Markets, Inc. (“CGMI”) and Citigroup Alternative Investments LLC (“CAI”) have agreed to settle charges concerning two…
  • Aug 17

    Aegis Fined for Selling Unregistered Penny Stock

    Aegis Fined for Selling Unregistered Penny Stock
    The Financial Industry Regulatory Authority (“FINRA”) announced that is has settled enforcement actions with Aegis Capital Corp. (“Aegis”), two of its chief compliance officers, and its CEO.  Aegis, based in New…
Rank this Week: 1416

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/
Rank this Week: 1021

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

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

    Hedge Fund Events August 2015

    Hedge Fund Events August 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: August 1, 2015 Sponsor: HFC Event: 10th Annual West Coast Ride for the Children Location:…
  • Jul 1

    Hedge Fund Events July 2015

    Hedge Fund Events July 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: June 29-July 1, 2015 Sponsor: Infocast Event: 2nd California Water Summit Location:…
  • Jun 1

    Hedge Fund Events June 2015

    Hedge Fund Events June 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: May 31-June 2, 2015 Sponsor: WITI Event: The Women in Technology International (WITI)…
Rank this Week: 1410

Business Law Post

Business Law Post

Covers corporate law, securities law, intellectual property, and social entrepreneurship. By Arina Shulga.

http://www.businesslawpost.com
Rank this Week: 1054

Securities Arbitration Blog

Securities Arbitration Blog

Covers the happenings in the Securities and Investment Fraud Sector. By Guiliano Law Firm.

http://www.securitiesarbitrations.com
  • Jun 10

    Pittsburgh Area Stockbroker Patricia S. Miller Alleged to Have Stolen Millions from Customer

    Pittsburgh Area Stockbroker Patricia S. Miller Alleged to Have Stolen Millions from Customer
    andnbsp;Hairdressor, Marcy Salandra went to her stockbrokerandrsquo;s office at Investors Capital Corporation in McMurray Pennsylvania to withdraw money to buy a house. andnbsp;However, instead of meeting her broker Patricia S. Miller, she…
  • Apr 18

    Lawyers Tempt Fate Before Second Circuit and No One Likes What They May Get

    Lawyers Tempt Fate Before Second Circuit and No One Likes What They May Get
    Last year, a Connecticut based hedge fund, Turnberry Capital Management LP, filed a FINRA arbitration securities claim against SunTrust Banks, Inc. to recover $13 million it lost in 2007 by investing in mortgage backed securities. However,…
  • Mar 13

    Investment Fraudsters: You have a friend in Pennsylvania

    Investment Fraudsters: You have a friend in Pennsylvania
    What does a big firm commercial defense lawyer, a banker, a healthcare lobbyist, a parking authority commissioner and an Allegheny parks commissioner all have in common? andnbsp; Apparently, they are all friends of Pennsylvania Governor Tom…
Rank this Week: 1383

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: 1445

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: 1486

About Broker Fraud Blog

About Broker Fraud Blog

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

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

    SEC Freeze Assets in Alleged Diamond-Themed Ponzi Scheme

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

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

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

    Raymond James Must Buy Back Auction Rate Securitie

    Raymond James Must Buy Back Auction Rate Securitie
    A Texas couple got some great news last week from the FINRA arbitration panel that ruled on their claim. The panel ruled that the Raymond James Financial Inc. and broker Larry Milton must buy back some $925,000 worth of auction…
Rank this Week: 1344

Strictly Business

Strictly Business

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

http://www.strictlybusinesslawblog.com/
  • Aug 31

    Why You Can’t Really Include Non-accredited Investors in Rule 506 Offering

    Why You Can’t Really Include Non-accredited Investors in Rule 506 Offering
    One common misconception I encounter among startups is the idea that companies raising capital can include non-accredited investors in Rule 506[1] offerings. While it is technically true that a Rule 506 offering may include up to 35…
  • Jul 31

    Summary of the Proposed Amendments to Form ADV and Investment Advisers Act Rule

    Summary of the Proposed Amendments to Form ADV and Investment Advisers Act Rule
    On May 20, 2015, the SEC issued proposed amendments to Form ADV and the Investment Advisers Act rules. In the release, the SEC proposed amendments to Form ADV that would require advisers to disclose additional information, such as information…
  • Jun 30

    Frequently Asked Questions about Regulation A+

    Frequently Asked Questions about Regulation A+
    Back in March, I wrote about proposed revisions to Regulation A, commonly known as “Regulation A+”, which were designed to implement Section 401 of the Jumpstart Our Business Startups Act (JOBS Act). Since then, the SEC issued its…
Rank this Week: 3125

Business Blog

Business Blog

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

http://www.businesslawnews.com/
  • Aug 31

    The FTC’s Cybersecurity Authority Is Affirmed By The Third Circuit

    The FTC’s Cybersecurity Authority Is Affirmed By The Third Circuit
    Decisions have been made regarding the FTC’s cybersecurity authority… In a precedential decision, the Third Circuit Cmorourt of Appeals recently affirmed the cybersecurity authority of the Federal Trade Commission (FTC) to hold…
  • Aug 28

    NJ Supreme Court Addresses Sidewalk Liability of Homeowners Association

    NJ Supreme Court Addresses Sidewalk Liability of Homeowners Association
    NJ Supreme Court Addresses Sidewalk Liability of Homeowners Association The Supreme Court of New Jersey recently addressed whether the homeowners association and management company of a common-interest community had the duty to clear snow and…
  • Aug 27

    EPA Finalizes Controversial Carbon Emissions Rule

    EPA Finalizes Controversial Carbon Emissions Rule
    On August 3, 2015, the Environmental Protection Agency (EPA) published the final version of its “Clean Power Plan,” which seeks to reduce carbon emissions from existing power plants by fostering the creation of renewable energy.…
Rank this Week: 3979

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/
  • Aug 28

    Quebec Derivatives Blanket Exemption - Revocation postponed by nine month

    Quebec Derivatives Blanket Exemption - Revocation postponed by nine month
    Alix d’Anglejan-Chatillon and Ken Ottenbreit -  The Autorité des marchés financiers (AMF), Quebec's financial services regulator, published Decision No. 2015-PDG-0132 (the Extension Decision) yesterday (August…
  • Aug 28

    IIROC releases finalized Guidance on Marketplace Threshold

    IIROC releases finalized Guidance on Marketplace Threshold
     The Investment Industry Regulatory Organization of Canada (IIROC) has released its finalized Guidance on Marketplace Thresholds. As discussed in our 2014 post on the draft version, the Guidance is intended to promote stable markets by…
  • Aug 28

    IIROC releases annual report

    IIROC releases annual report
    The Investment Industry Regulatory Organization of Canada (IIROC) has just released its 2014-15 Annual Report. As the accompanying news release indicates, the 56-page report  recaps a number of important achievements during the period,…
Rank this Week: 4189

New York Securities Lawyers Blog

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

http://www.newyorksecuritieslawyersblog.com/
Rank this Week: 3113

Subject to Inquiry

Subject to Inquiry

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

http://www.subjecttoinquiry.com/
  • Aug 28

    SEC Issues Wells Notice to Pimco Over Fund Valuation

    SEC Issues Wells Notice to Pimco Over Fund Valuation
    On Monday, August 3, 2015, Pacific Investment Management Co. LLC (Pimco) announced that it had received a Wells notice from the Securities and Exchange Commission concerning the valuation of certain nonagency mortgage-backed securities in its…
  • Aug 25

    FinCEN Proposes Rule Requiring Investment Advisor AML Compliance

    FinCEN Proposes Rule Requiring Investment Advisor AML Compliance
    Investment advisors may soon face increased costs and scrutiny thanks to a proposed rule issued by the Financial Crimes Enforcement Network (FinCEN).  On Tuesday, August 25, FinCEN proposed a rule that would require many…
  • Aug 24

    Consumer Financial Protection Bureau Takes Action Against Payment Processing Company and Mortgage Servicer

    Consumer Financial Protection Bureau Takes Action Against Payment Processing Company and Mortgage Servicer
    The Consumer Financial Protection Bureau (CFBP) recently took action against a payment processing company, Paymap Inc. (Paymap), and mortgage servicing company, LoanCare, LLC (LoanCare), for deceptive conduct in connection with a mortgage…
Rank this Week: 1828

The Securities Edge

The Securities Edge

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

http://www.thesecuritiesedge.com/
  • Aug 27

    Registered investment advisers and anti-money laundering compliance: Is it practical?

    Registered investment advisers and anti-money laundering compliance: Is it practical?
    Posted By: Stephanie Quiñones Earlier this week, the Financial Crimes Enforcement Network (“FinCEN”) proposed a rule that would require investment advisers registered with the Securities Exchange Commission…
  • Aug 13

    Pay ratio disclosure: Myths and madne

    Pay ratio disclosure: Myths and madne
    Posted By: Robert B. Lamm It’s done. On August 5, the SEC adopted final rules that will require publicly traded companies to disclose the ratio of the CEO’s “total compensation” to that of the “median…
  • Jul 10

    Why I hate “best practices”

    Why I hate “best practices”
    Posted By: Robert B. Lamm Governance wonks can rest easy. In fact, we can all go home and think about another career. The reason? CalSTRS – California State Teachers’ Retirement System – has issued a “fact sheet”…
Rank this Week: 3711

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/
  • Aug 27

    Investor Alert: Market Risk: What You Don't Know Can Hurt You

    Investor Alert: Market Risk: What You Don't Know Can Hurt You
    FINRA has reissued an investor alert regarding market risk, to remind investors that  investing involves risks as well as rewards and that, generally speaking, the higher the risk, the greater the potential reward.FINRA believes that…
  • Aug 26

    Small Percentage of Brokers Fined is a Bad Thing?

    Small Percentage of Brokers Fined is a Bad Thing?
    It is truly a bizarre world that we live in. Anyone involved in the financial services industry knows that  the overwhelming majority, in fact almost all of the registered representatives in this country, are honest, hard working…
  • Aug 25

    More Filings and Regulations on the Way for Investment Advisers and Investment Companie

    More Filings and Regulations on the Way for Investment Advisers and Investment Companie
     The SEC is proposing to increase the reporting and disclosure requirements for Registered Investment Advisers and Investment companies.The investment company proposals would increase data reporting for mutual funds, ETFs and other…
Rank this Week: 2685

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: 4172

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • Aug 26

    Who Wants To Avoid Being Sued In This Market

    Who Wants To Avoid Being Sued In This Market
    Now that I have your attention, there is a pretty tried and true method to avoiding customer complaints, especially in this volatile market. All too often, clients hide in their shelters when the market gets rough. The biggest mistake you can…
  • Aug 21

    SEC Cracks Down on Compliance and Surveillance Failure

    SEC Cracks Down on Compliance and Surveillance Failure
    Earlier this week, the Securities and Exchange Commission agreed to settle charges with a company related to prevention and detection of potential insider trading.  The SEC alleged that the company failed to enforce policies and…
  • Aug 19

    What Do Insider Trading And Data Breaches Have In Common

    What Do Insider Trading And Data Breaches Have In Common
    It is bad enough that firms and publicly traded companies have to make sure that their respective IT architecture is safe and secure, but recent developments demonstrate that you have to be weary regarding the media outlet with who you share…
Rank this Week: 3929

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Aug 25

    Better Plan Ahead

    Better Plan Ahead
    Does the fact that an individual defendant’s stock trading took place pursuant to a pre-determined Rule 10b5-1 trading plan undermine any inference that the trades were “suspicious”?  Courts continue to be split on…
  • Jul 31

    Cornerstone Releases Midyear Report

    Cornerstone Releases Midyear Report
    Cornerstone Research (in conjunction with the Stanford Securities Class Action Clearinghouse) has issued its 2015 midyear report on securities class action filings. The findings for the first half of 2015 include: (1) There were 85 new…
  • Jul 6

    How Strong is “Very Strong”?

    How Strong is “Very Strong”?
    The U.S. Court of Appeals for the District of Columbia only hears a small number of securities cases, which means that it is often playing catch-up on the relevant legal standards.  In In re Harman Int’l Industries, Inc. Sec.…
Rank this Week: 2686