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The Race to the Bottom

The Race to the Bottom

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

http://www.theracetothebottom.org/
Rank this Week: 88

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/
  • Jul 22

    Trump to Nominate Former Senate Aide Peirce for SEC Commissioner

    Trump to Nominate Former Senate Aide Peirce for SEC Commissioner
    Eric Beech (Reuters), Trump to Nominate Former Senate Aide Peirce for SEC Commissioner: U.S. President Donald Trump intends to nominate former Senate Republican aide Hester Maria Peirce to be a member of the Securities and Exchange…
  • Jul 22

    Call for Papers: Symposium on Personalized Law

    Call for Papers: Symposium on Personalized Law
    I received the following conference announcement: Call for Papers: Symposium on Personalized Law Presented by the University of Chicago Law Review and the Coase-Sandor Institute for Law and Economics April 27-28, 2018 We are pleased to…
  • Jul 17

    New Securities Law Articles in Print

    New Securities Law Articles in Print
    The following law review articles relating to securities regulation are now available in paper format: Jesus Garcia Aparicio, Note, Enhancing Shareholder Rights in Intermediated Securities Holding Structures Across Borders, 13 N.Y.U. J.L.…
Rank this Week: 109

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Jul 21

    Robert Wamhoff: Received 4 Customer Complaints, Most Recently For Violating Regulatory Rule

    Robert Wamhoff: Received 4 Customer Complaints, Most Recently For Violating Regulatory Rule
    Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 20, 2017 indicate that Missouri-based Calton & Associates broker/adviser Robert Wamhoff has received several resolved or pending customer…
  • Jul 21

    Nicholas Toadvine Has Received Eleven Customer Comlaint

    Nicholas Toadvine Has Received Eleven Customer Comlaint
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 20, 2017 indicate that Florida-based Calton & Associates broker/adviser Nicholas Toadvine has received several resolved or pending customer…
  • Jul 20

    Kory Keath Has Been Named in a Pending FINRA Complaint

    Kory Keath Has Been Named in a Pending FINRA Complaint
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 19, 2017 indicate that former Washington-based Edward Jones broker/adviser Kory Keath has been named in a pending FINRA complaint.…
Rank this Week: 110

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/
  • Jul 20

    Goldman Sachs Fined $2.5 Million for Reporting Issue

    Goldman Sachs Fined $2.5 Million for Reporting Issue
    FINRA censures and fines Goldman Sachs for Reporting Issues According to the Financial Industry Regulatory Authority (FINRA) Goldman Sachs & Co. LLC did not account for numerous conventional options positions between January 2010 and July…
  • Jul 20

    Trident Partners LTD Censured and Fined

    Trident Partners LTD Censured and Fined
    FINRA sanctions Trident Partners LTD for Violations Relating to Sale of Steepeners The Financial Industry Regulatory Authority Inc. has censured Trident Partners LTD and fined it $50,000 for supervisory system violations relating to…
  • Jul 19

    ARC New York City REIT Shareholders Postpone Vote on Charter Provision

    ARC New York City REIT Shareholders Postpone Vote on Charter Provision
    Recovery of Investment Losses in ARC New York City REIT Have you suffered investment losses in ARC New York City REIT? If so, The White Law Group may be able to help you recover your losses by filing FINRA Arbitration claim against…
Rank this Week: 128

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: 196

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Jul 21

    Broker Clay Hoffman Barred by FINRA

    Broker Clay Hoffman Barred by FINRA
    The investment lawyers of Gana LLP are investigating the allegations made by The Financial Industry Regulatory Authority (FINRA) against barred broker Clay Hoffman. In June 2016, Hoffman was suspended by FINRA for his alleged failure to…
  • Jul 21

    Broker Alan Rose Receives Customer Complaints over Unsuitable Trade

    Broker Alan Rose Receives Customer Complaints over Unsuitable Trade
    Our law firm, Gana LLP, is investigating claims made by Financial Industry Regulatory Authority (FINRA) against broker Alan Rose. The customer complaints allege that Rose engaged in securities law violations, including making unsuitable…
  • Jul 20

    Financial Advisor Gary Kenneth Rasmussen Receives Customer Complaints Over Unsuitability

    Financial Advisor Gary Kenneth Rasmussen Receives Customer Complaints Over Unsuitability
    Our law firm, Gana LLP, is investigating claims made by Financial Industry Regulatory Authority (FINRA) against advisor Gary Kenneth Rasmussen. Rasmussen’s BrokerCheck records show customer complaints that allege that Rasmussen engaged…
Rank this Week: 277

Florida Securities Fraud Lawyer…

Florida Securities Fraud Lawyer Blog

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

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

    I Inherited an IRA Account. Now What?

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

    SEC Whistleblower Program is Gaining Momentum and Paying Big Bountie

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

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

    What are the pros and cons of taking a 401K loan?
    Many employers provide 401k plans for their employees.  A 401k plan is a retirement savings plan where employees can save a portion of their pre-tax earnings. Taxes aren’t paid on the money until it is withdrawn from the account.…
Rank this Week: 246

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: 262

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Jul 21

    Piwowar engages in Q&A session on capital formation initiative

    Piwowar engages in Q&A session on capital formation initiative
    By Jacquelyn LumbCommissioner Michael Piwowar participated in a question-and-answer session hosted by the Heritage Foundation titled “SEC, Entrepreneurship and Economic Growth.” David Burton, a senior fellow in economic policy,…
  • Jul 20

    Hester Peirce again gets nod for SEC post

    Hester Peirce again gets nod for SEC post
    By Mark S. Nelson, J.D.President Trump has nominated Hester Peirce to be an SEC commissioner. This will be the second time Peirce has received a presidential nod to join the Commission, the first having been under the Obama administration.…
  • Jul 19

    House panel mulls reforms to fixed income market structure

    House panel mulls reforms to fixed income market structure
    By John M. Jascob, J.D., LL.M.The House Subcommittee on Capital Markets, Securities, and Investment held a hearing on July 14 to review the state of the U.S. fixed income markets and the need for reform of the current market structure. Aimed…
Rank this Week: 369

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/
  • Jul 17

    Two More Texans Plead Guilty in $6.5M Diamond Investment Scam

    Two More Texans Plead Guilty in $6.5M Diamond Investment Scam
    Jay Bruce Heimburger, a Dallas man, has pleaded guilty to mail fraud over his involvement in a $6.4M investment scam that allegedly took place from about March 2011 to November 2013. He faces up to more than 20 years in prison, has to pay a…
  • Jul 15

    Financier Who Bilked Family and Friends of $23M Investment Fraud Gets Three Years in Prison

    Financier Who Bilked Family and Friends of $23M Investment Fraud Gets Three Years in Prison
    Haena Park, the Harvard-educated financier who pleaded guilty to the commodities fraud that bilked over 40 investors of more than $23M, is sentenced to three years in prison. Park defrauded friends and family over six years, beginning in…
  • Jul 13

    14 People Charged In $14.7M Stock Rigging Fraud That Bilked Senior Investor

    14 People Charged In $14.7M Stock Rigging Fraud That Bilked Senior Investor
    According to prosecutors, criminal charges have been brought against 14 people over their alleged involvement in a $14.7M investment scam that primarily targeted older investors. The US Attorney’s office alleges that between 1/2014 and…
Rank this Week: 326

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: 311

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: 295

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: 342

Regulation tomorrow

Regulation tomorrow

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

http://www.regulationtomorrow.com/
  • Jul 22

    US regulators reviewing Volcker Rule applicability to certain non-US fund

    US regulators reviewing Volcker Rule applicability to certain non-US fund
    On July 21, 2017, the Federal Reserve Board, Office of the Comptroller of the Currency, and Federal Deposit Insurance Corporation (the “US Banking Agencies”), along with the Securities and Exchange Commission and the Commodity…
  • Jul 21

    Latest issue of Global Asset Management Quarterly now available

    Latest issue of Global Asset Management Quarterly now available
    The sixth issue of our Global Asset Management Quarterly is now available. You can also register to automatically receive each issue as it is released. This publication highlights key developments that will be of interest to, and affect, our…
  • Jul 21

    Global Asset Management Quarterly – latest issue

    Global Asset Management Quarterly – latest issue
    The latest issue of Global Asset Management Quarterly is now available. EU / UK articles Quarterly update Cross-jurisdictional AIFMD guides 2017 FCA publishes asset management market study: not quite an earthquake but beware of the…
Rank this Week: 492

McEldrew Young Blog

McEldrew Young Blog

Covers whistleblower law and wage theft for employees.

http://www.mceldrewyoung.com/blog/
  • Jul 21

    Without Whistleblower Rewards, British Tips Decline

    Without Whistleblower Rewards, British Tips Decline
    A report earlier this month by the Financial Conduct Authority detailed the declining number of whistleblower tips reported to the British authorities. From 2014-15 to 2016-17, the number of reports has declined each year, resulting in just…
  • Jul 20

    Record Award Predicted for SEC Whistleblowers from JPMorgan Fine

    Record Award Predicted for SEC Whistleblowers from JPMorgan Fine
    A media outlet, Financial Planning, is predicting that a pair of SEC whistleblowers will share an award of approximately $70.6 million out of the $307 million in regulatory fines against JPMorgan in 2015. Another outlet, Advisor Hub, put the…
  • Jul 19

    SEC, CFTC Directors Speak on Whistleblower Program

    SEC, CFTC Directors Speak on Whistleblower Program
    The Chief of the SEC’s Office of the Whistleblower, Jane Norberg, and the Director of the CFTC Whistleblower Office, Christopher Ehrman, spoke recently at the Practicing Law Institute’s program on June 28, 2017, titled Corporate…
Rank this Week: 485

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • Jul 20

    D&O Insurance: Securing Coverage for Books and Records Request

    D&O Insurance: Securing Coverage for Books and Records Request
    The right of shareholders to demand inspection of companies’ books and records is of course nothing new. What is new is the increased frequency of books and records demands, often as a result of courts’ requirement for prospective…
  • Jul 19

    Up Next: Mandatory Securities Claim Arbitration Provisions?

    Up Next: Mandatory Securities Claim Arbitration Provisions?
    For a while a few years ago, litigation reform bylaws were all the rage – including forum selection bylaws, fee shifting bylaws, even mandatory arbitration bylaws. More recently, discussion of the topic quieted down, in part because the…
  • Jul 17

    Turning Events into Securities Suit

    Turning Events into Securities Suit
    It may come as little surprise that litigation has emerged in the wake of the tragic Grenfell Tower fire in London last month. Some may find it surprising, however, that among the lawsuits arising from the London building fire is a securities…
Rank this Week: 463

Investment Fraud Information

Investment Fraud Information

By Andrew Stoltmann.

http://www.investmentfraudtimes.com/securities-fraud-attorneys/
Rank this Week: 465

Institutional Investor Securities…

Institutional Investor Securities Blog

Covers investment fraud involving auction-rate securities, credit rating agencies, hedge funds and mortgage-backed securities. By Shepherd Smith Edwards & Kantas.

http://www.institutionalinvestorsecuritiesblog.com/
Rank this Week: 430

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: 439

Federal Securities Law Blog

Federal Securities Law Blog

FedSecLaw.com is devoted to highlighting current issues in securities laws, discussing the ramifications of those issues for today’s businesses, and providing bottom-line takeaways for busy owners, managers, and executives. By Porter Wright Morris & Arthur LLP.

http://www.fedseclaw.com/
  • Jul 21

    Non-competition agreements: Ensuring enforceability

    Non-competition agreements: Ensuring enforceability
    A non-competition agreement raises state-law public policy concerns. As a result, states often restrict the scope of non-competition agreements before they will enforce them. The protectable interests that states will recognize, the rules of…
  • Jul 7

    The importance of reading the document

    The importance of reading the document
    One of the most important things lawyers and clients should do in every merger & acquisition transaction is to read the documents, and be clear on the central facts of their transaction. This seems so profoundly simple and obvious that it…
  • Jul 5

    Data breaches and due diligence

    Data breaches and due diligence
    Chances are that you or someone you know has been the victim of a data breach. The high number of cyberattacks and data breaches, now reported almost daily, calls attention to the importance of addressing these areas in the due diligence…
Rank this Week: 604

Securities Law Attorneys Blog

Securities Law Attorneys Blog

Covers securities law. By Fitapelli | Kurta.

http://www.securitieslawattorneys.net/
  • Jul 21

    Abraham Heimann Has Three Pending Customer Complaint

    Abraham Heimann Has Three Pending Customer Complaint
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 20, 2017 indicate that former Georgia-based Cetera Advisors broker Abraham Heimann has received several pending customer disputes.…
  • Jul 21

    Mike Milne Received a FINRA Sanction

    Mike Milne Received a FINRA Sanction
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 20, 2017 indicate that former Florida-based Kovack Securities broker/adviser Mike Milne has received a pending customer dispute…
  • Jul 21

    Jeb Bonner Was Discharged From a Former Employer in Connection to Alleged Rule Violation

    Jeb Bonner Was Discharged From a Former Employer in Connection to Alleged Rule Violation
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 20, 2017 indicate that former Alabama-based Raymond James & Associates broker/adviser Jeb Bonner was recently discharged from…
Rank this Week: 619

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/
  • Jul 21

    Private Equity: Institutions Offer “Subscription Credit Line” Guideline

    Private Equity: Institutions Offer “Subscription Credit Line” Guideline
    This Weil Gotshal blog discusses the Institutional Limited Partners Association’s new guidelines on the use of subscription credit lines by fund managers.  These credit arrangements – which originally were used to…
  • Jul 20

    Preferred Stock: Charter Provision Gives Vote, Not Preference

    Preferred Stock: Charter Provision Gives Vote, Not Preference
    It’s been a tough year in Delaware for preferred stockholders – & according to this K&L Gates blog, they just took another hit in Chancery Court: In In re Appraisal of GoodCents Holdings, Inc., C.A. No.…
  • Jul 19

    Earnouts: Yes, They Can Be Securitie

    Earnouts: Yes, They Can Be Securitie
    Convincing business people that an earnout can be a “security” for purposes of the Securities Act is often a challenge.  Fortunately, this recent Cooley blog provides some help. Here’s an excerpt:…
Rank this Week: 612

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Jul 21

    Proxy Voting: Increase in Directors Getting “No” Vote

    Proxy Voting: Increase in Directors Getting “No” Vote
    It looks like investors used their votes to send a message to some directors during this year’s proxy season – and it wasn’t “keep up the good work.”  This excerpt from a recent Bloomberg…
  • Jul 20

    IPOs: Commissioner Piwowar Favors Allowing Mandatory Arbitration

    IPOs: Commissioner Piwowar Favors Allowing Mandatory Arbitration
    Speaking at the Heritage Foundation earlier this week, SEC Commissioner Mike Piwowar said that the SEC might be receptive to requests by IPO companies to include mandatory arbitration clauses in their charters. Here’s an excerpt from…
  • Jul 19

    Tomorrow’s Pre-Conference Webcast: “Pay Ratio Workshop – What You Need to Do Now”

    Tomorrow’s Pre-Conference Webcast: “Pay Ratio Workshop – What You Need to Do Now”
    For those registered for the upcoming “Pay Ratio & Proxy Disclosure Conference,” tune in tomorrow – noon eastern (audio archive goes up when the program ends; transcript available in a week or so) – for the first…
Rank this Week: 590

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/
  • Jul 21

    Shares of Foreign Subsidiarie

    Shares of Foreign Subsidiarie
    I expect that little or no thought is given to the possible application of California’s Corporate Securities Law of 1968 when a corporation incorporates a subsidiary under the laws of a foreign country.  However, the…
  • Jul 20

    The Case Of The Wholly Owned, But Not Totally Held, Subsidiary That May Or May Not Be 100% Owned

    The Case Of The Wholly Owned, But Not Totally Held, Subsidiary That May Or May Not Be 100% Owned
    When someone says that a subsidiary is “wholly owned”, I believe that the common understanding is that the parent company owns all of the issued and outstanding equity of the subsidiary.  What if the statement is that the…
  • Jul 19

    Court Declines To Impose Alter Ego Liability On LLC’s President

    Court Declines To Impose Alter Ego Liability On LLC’s President
    In general, the debts, obligations, or other liabilities of a California limited liability company do not become the debts, obligations, or other liabilities of a member or manager solely by reason of the member acting as a member or…
Rank this Week: 586

Financial Counsel

Financial Counsel

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

http://financialcounselblog.com
  • Jun 23

    Destructive Impact of Fund Fee

    Destructive Impact of Fund Fee
    A retiree living off her portfolio may lose hundreds of dollars a year in income for each added basis point of fund expense ratio — or adviser fee. BY CRAIG L. ISRAELSENFEES DIRECTLY REDUCE PORTFOLIO RETURNS … AND that comes…
  • Apr 7

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

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

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

    New Recommendations by the FINRA Dispute Resolution Task Force (15th Article)
    From the Desk of Jim Eccleston at Eccleston Law LLC:This is the fifteenth in a series of posts to discuss the 51 recommendations that the FINRA Dispute Resolution Task Force (Task Force) has made to the National Arbitration and Mediation…
Rank this Week: 631

Ponzitracker

Ponzitracker

Covers Ponzi schemes. By Jordan Maglich.

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

    For Galemmo Ponzi Victims, Recovery Chances Depend On Clawback

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

    Zeek Rewards Mastermind Sentenced To Nearly Fifteen Years In Prison

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

    Another Cay Clubs Principal Indicted On Bank Fraud And Tax Charge

    Another Cay Clubs Principal Indicted On Bank Fraud And Tax Charge
    A Florida man is facing bank fraud and tax charges for his involvement in the alleged $300 million Cay Clubs Ponzi scheme, making him the third person to be criminally charged in what was one of the largest schemes in Florida history.…
Rank this Week: 534

Securities Lawyer 101

Securities Lawyer 101

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

https://www.securitieslawyer101.com/blog/
  • Jan 23

    SEC Final Judgment Entered Against Graduate Leverage

    SEC Final Judgment Entered Against Graduate Leverage
    Going Public LawyerOn December 23, 2016, the United States District Court for the District of Massachusetts entered final judgments against Graduate Leverage, LLC, GL Capital Partners, LLC, GL Investment Services, LLC, Taft Financial…
  • Jan 22

    Final Judgment Entered Against Gregg Mulholland Posted by Brenda Hamilton

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

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

    Final Judgment Entered in “Prime Bank” Fraud – By: Brenda Hamilton
    Going Public LawyerOn January 13, 2017, the U.S. District Court for the District of Minnesota entered a final judgment against Minnesota resident James M. Louks and his company, FiberPoP Solutions, Inc. Louks and FiberPoP are defendants in an…
Rank this Week: 510

Securities Attorney Law Blog

Securities Attorney Law Blog

Reviews Federal Securities Fraud Litigation, Arbitration, Whistleblower Claims & Derivative Lawsuits. By Jay Eng.

http://securitiesattorneys.us/
Rank this Week: 520

Special Situations Law

Special Situations Law

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

http://www.specialsituationslaw.com/
  • Jul 19

    Trends and Strategies for Companies Involved in M&A Transaction

    Trends and Strategies for Companies Involved in M&A Transaction
    In a report entitled “M&A Activism: A Special Report”[1] (the Report), the editor-in-chief of Activist Insight describes the types of companies most at risk of being targeted by shareholder demands, providing steps that can be…
  • Jul 10

    Fasten Your Seatbelts: Preparing for the Globalization of Hedge Fund Activist

    Fasten Your Seatbelts: Preparing for the Globalization of Hedge Fund Activist
    Activist hedge funds have grown up and gone global, reinforcing the need for companies of all shapes and sizes to plan ahead for the possibility of an attack. A recent article by Martin Lipton in the Harvard Law School Forum of Corporate…
  • Jul 4

    The drivers and consequences of settlement agreements in proxy fight

    The drivers and consequences of settlement agreements in proxy fight
    Activist interventions are being increasingly resolved by way of settlement agreements, with 3% of activist interventions in 2000 having resulted in a settlement agreement versus 16% in 2011.[1] In light of this emerging trend, the Columbia…
Rank this Week: 1316

Securities Fraud Lawyer Blog

Securities Fraud Lawyer Blog

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

https://www.securitiesfraudlawyerblog.net/
  • Jul 16

    Vincent Mehdizadeh agrees to $12MM settlement with SEC

    Vincent Mehdizadeh agrees to $12MM settlement with SEC
    Vincent Mehdizadeh agrees to a ban, and a $12 million fine to settle SEC charges related to Medbox. In March, 2017 entrepreneur Vincent Mehdizadeh agreed to settle charges brought by the SEC against him and his company Medbox, a legal…
  • Jul 15

    Bart Ellis pleads guilty to fraud

    Bart Ellis pleads guilty to fraud
    Bart Ellis pleads guilty to defrauding clients In July, 2017 former Ameriprise Financial broker Bart Ellis plead guilty to money laundering and defrauding his clients in a case involving over one million dollars. Ellis will be sentenced on…
  • Jul 14

    Charles Laverty hit with $1.3MM arbitration award

    Charles Laverty hit with $1.3MM arbitration award
    In May, 2017, a FINRA arbitrator panel sitting in Los Angeles issued a $1,378,800 binding arbitration award against Charles Laverty in a case involving personal loans that the clients made to Laverty. The underlying matter involved…
Rank this Week: 1257

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: 1230

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/
  • Jul 5

    Incorporating By Reference In Your NC Business Court Brief? Don't Do It!

    Incorporating By Reference In Your NC Business Court Brief? Don't Do It!
    If you have ever drafted a Complaint, you have undoubtedly used the words that your previous numbered allegations were "incorporated by reference."  It's a way of not having to repeat yourself.  That  shortcut is specifically…
  • Jun 16

    Joint Defense Agreements Are Not Protected By The Attorney-Client Privilege

    Joint Defense Agreements Are Not Protected By The Attorney-Client Privilege
    Why would any lawyer think that his Joint Defense Agreement, entered into with a co-defendant, was protected from production by the attorney-client privilege?  Well, the lawyer for one of the Defendants in AP Atlantic, Inc., v. Crescent…
  • Jun 6

    Deposition, My Office Or Yours? NC Business Court: Neither

    Deposition, My Office Or Yours? NC Business Court: Neither
    You probably don't think much, when you are noticing a deposition, about where it should take place.  Ideally, you probably want it to happen in your own office. The NC Rule of Civil Procedure on depositions, Rule 30, says that the…
Rank this Week: 1300

New York Securities Lawyer Blog

New York Securities Lawyer Blog

Covers securities law. By Lax & Neville LLP.

http://www.newyorksecuritieslawyerblog.com/
Rank this Week: 1171

InvestorLawyers.net

InvestorLawyers.net

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

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

    LPL Fined by State of NH for Alleged Unsuitable REIT Sale

    LPL Fined by State of NH for Alleged Unsuitable REIT Sale
    For some time we have been blogging about non-traded REITS (and the real risks associated with investing in these complex investment vehicles.  Many investors are familiar with exchange traded Real Estate Investment Trusts…
  • May 23

    Non-Traded REITs – Investors Should Proceed with Caution!

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

    State of Illinois Charges Thrivent Over Variable Annuity Switching

    State of Illinois Charges Thrivent Over Variable Annuity Switching
    The State of Illinois Securities Department (“Department”) recently initiated enforcement proceedings against Thrivent Investment Management, Inc. (“Thrivent”) (CRD #18387) for allegedly violating the Illinois…
Rank this Week: 1313

Sharesleuth.com

Sharesleuth.com

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

http://sharesleuth.com/
Rank this Week: 849

Securities Mining Law

Securities Mining Law

Covers securities law affecting the mining industry in Canada.

http://www.securitiesmininglaw.com/
  • Oct 21

    Mining M&A and Consolidation: Are We There Yet?

    Mining M&A and Consolidation: Are We There Yet?
    For a third consecutive year, Dentons is proud to support the Mining & Investment Latin America Summit (MILA), the largest mining and investment event in Latin America, which was incepted in 2014. This year’s summit will host an…
  • Jun 9

    Compliance alert: Mine Financial Security, Reclamation and Closure Policy by Yukon Government

    Compliance alert: Mine Financial Security, Reclamation and Closure Policy by Yukon Government
    The Yukon Territorial Government has published a “Yukon Quartz Mine Financial Security, Reclamation and Closure Policy,” dated February 2016 (Policy). The Policy is intended to cover all lands in Yukon, whether Category…
  • May 20

    Insolvency and energy insights: The Redwater decision

    Insolvency and energy insights: The Redwater decision
    An Alberta court has held that provisions of the Bankruptcy and Insolvency Act allowing a trustee or receiver to disclaim real property without assuming environmental  liabilities in relation thereto renders inoperable provincial…
Rank this Week: 1218

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: 860

Startup Law Blog

Startup Law Blog

Covers legal and regulatory developments in startup, securities law and regulation. By Joe Wallin.

http://www.startuplawblog.com/
  • Sep 17

    Chip-and-PIN (EMV) Credit Card Liability Shift is Oct. 1: Are You Ready?

    Chip-and-PIN (EMV) Credit Card Liability Shift is Oct. 1: Are You Ready?
    October 1 is right around the corner. Merchants, retailers, hotels and restaurants: are you ready for what’s in your customers’ wallets? Starting next month, the payment card industry’s transition to chip-and-PIN (also known…
  • Apr 27

    Join Us at Pacific Rim M&A Institute This Wednesday

    Join Us at Pacific Rim M&A Institute This Wednesday
    Please join us for the Pacific Rim M&A Institute’s next session. This quarter’s program features Port of Seattle CEO, Ted J. Fick, who will discuss how the Port contributes to our region’s economy. We look forward to…
  • Dec 18

    Revenue Lending

    Revenue Lending
    I recently had the chance to sit down with BJ Lackland, the CEO of Lighter Capital, to talk about life, revenue loans, and Lighter Capital. Below is a transcript of most of our talk. – JW: BJ, what’s the first … Continue…
Rank this Week: 1247

White Collar Fraud

White Collar Fraud

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

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

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

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

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

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

    White Collar Fraud List of Blog Posts for 2014

    White Collar Fraud List of Blog Posts for 2014
    December 19, 2014: Cleveland.com - Crazy Eddie CFO shares how companies trick auditors and fleece investors: Plain Dealing, by Sheryl HarrisDecember 3, 2014: Going Concern - Ex-Crazy Eddie CFO's 10 Tips for Advancing Your Accounting Career by…
Rank this Week: 1279

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: 1327

White Collar Wire

White Collar Wire

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

http://jacksharman.com/
  • Jul 21

    Summer Crime, “Young Lawyers,” Martini

    Summer Crime, “Young Lawyers,” Martini
    Summer’s heat is fully upon us.  Let us take a moment for crime fiction and cocktails. For recent crime-fiction releases, take a look at Midmonth Book Notes  from The Poisoned Pen bookstore. Also, here is a useful…
  • Jul 14

    Booze Beats Law: Subscribe to White Collar Wire

    Booze Beats Law: Subscribe to White Collar Wire
    Please take a moment to subscribe to White Collar Wire’s email newsletter.  You’ll get notice of articles before anyone else in the Western world. Just look to the left where it says, very helpfully: Subscribe to our…
  • Jun 22

    13 Books Every White-Collar Lawyer Should Read

    13 Books Every White-Collar Lawyer Should Read
    Of the making of lists of books, there shall be no end. Nevertheless, here is one more. Set out below are 13 works that every white-collar lawyer – defense counsel, prosecutor or judge – should read. Why take on such a…
Rank this Week: 2788

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/
  • Jul 21

    Alberta, Manitoba and New Brunswick Adopt MI 61-101

    Alberta, Manitoba and New Brunswick Adopt MI 61-101
    Minority security holders in Alberta, Manitoba and New Brunswick will enjoy enhanced protections as the result of the adoption by their respective provincial securities regulators of Multilateral Instrument 61-101 Protection of Minority…
  • Jul 21

    TSX Ex-Dates Transition to T+2

    TSX Ex-Dates Transition to T+2
    In connection with the settlement cycles in Canadian and U.S. capital markets being shortened to trade date plus two business days (T+2) from trade date plus three business days (T+3), 2017, the TSX is making certain amendments to the TSX…
  • Jul 21

    TSX Adopts Housekeeping Amendments to Company Manual

    TSX Adopts Housekeeping Amendments to Company Manual
    On May 11, 2017, the TSX published housekeeping amendments to the TSX Company Manual related to non-public interest changes. The amendments include fixing typographical errors, clarifying provisions, updating references to securities…
Rank this Week: 4897

Subject to Inquiry

Subject to Inquiry

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

http://www.subjecttoinquiry.com/
  • Jul 21

    DOJ Takes Down AlphaBay, the World’s Largest Dark Web Marketplace

    DOJ Takes Down AlphaBay, the World’s Largest Dark Web Marketplace
    The U.S. Department of Justice has announced the seizure of AlphaBay, the largest criminal marketplace on the Internet, which was used to sell stolen financial information, identification documents and other personal data, computer hacking…
  • Jul 11

    CFPB Issues Game-Changing Rule On Arbitration Clause

    CFPB Issues Game-Changing Rule On Arbitration Clause
    On Monday, July 10, 2017, the Consumer Financial Protection Bureau (CFPB) issued a game-changing final rule regarding the use of arbitration clauses in consumer contracts.  The Rule is effective 60 days following its publication in the…
  • Jul 6

    Treasury Department Recommends Broad Reforms to CFPB

    Treasury Department Recommends Broad Reforms to CFPB
    The Department of the Treasury recently cited the CFPB’s “unaccountable structure and unduly broad regulatory powers,” in suggesting reforms to address the CFPB’s “regulatory abuses and excesses.” The…
Rank this Week: 2737

White Collar Alert

White Collar Alert

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

http://whitecollarblog.mmwr.com
Rank this Week: 2701

Securities Law Blog

Securities Law Blog

Covers securities law. By Fitapelli | Kurta.

https://www.securities-law-attorney.com/
  • Jul 20

    James Schaedler: Sanctioned by FINRA Following an Investigation into Alleged Rule Violation

    James Schaedler: Sanctioned by FINRA Following an Investigation into Alleged Rule Violation
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 19, 2017 indicate that former California-based Wells Fargo Clearing Services broker/adviser James Schaedler has been sanctioned by…
  • Jul 20

    Dale Wright Has Received Two Customer Complaint

    Dale Wright Has Received Two Customer Complaint
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 18, 2017 indicate that Virginia-based Cambridge Investment Research broker/adviser Dale Wright has received resolved or pending…
  • Jul 19

    Customer Seeking $2.5 Million in Damages From Broker Daniel Haugh

    Customer Seeking $2.5 Million in Damages From Broker Daniel Haugh
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 18, 2017 indicate that Chicago-based PTI Securities & Futures LP broker/adviser Daniel Haugh has received a regulatory…
Rank this Week: 2214