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Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Apr 26

    David Stone Has Received One FINRA Sanction

    David Stone Has Received One FINRA Sanction
    Public records published by the Financial Industry Regulatory Authority (FINRA) on April 20, 2017 indicate that former Massachusetts-based Liberty Tree Advisors broker David Stone has been sanctioned by FINRA and suspended from acting as a…
  • Apr 25

    Corrine Mittag: Discharged From a Former Employer

    Corrine Mittag: Discharged From a Former Employer
    Public records published by the Financial Industry Regulatory Authority (FINRA) on April 19, 2017 indicate that Nebraska-based Cor Clearing broker Corrine Mittag has been named in a pending FINRA complaint. Fitapelli Kurta is interested in…
  • Apr 25

    Aileen Eppig Was Barred From Acting as a Broker

    Aileen Eppig Was Barred From Acting as a Broker
    Public records published by the Financial Industry Regulatory Authority (FINRA) on April 19, 2017 indicate that former Florida-based International Assets Advisory broker Aileen Eppig has been sanctioned by FINRA and barred from acting as a…
Rank this Week: 44

Recover Investment Losses Blog

Recover Investment Losses Blog

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

http://blog.rexsecuritieslaw.com
  • Apr 25

    German Mora-Former Merrill Lynch Broker-Discloses Terminations From Employment-San Antonio, TX

    German Mora-Former Merrill Lynch Broker-Discloses Terminations From Employment-San Antonio, TX
    April 2017- San Antonio, Texas The FINRA records of  German Ricardo Mora ,  a  former Merrill Lynch stockbroker who is currently not registered discloses two recent terminations from employment. The…
  • Apr 25

    Three Arrested in Investment Scheme-San Antonio, TX

    Three Arrested in Investment Scheme-San Antonio, TX
    April 2017- San Antonio, TX The U.S. Attorney’s Office for the Western District of Texas announced the arrest of three men who face federal charges for their alleged  roles in an advanced fee investment scheme. Named in the…
  • Apr 24

    Willbanks Securities Ordered to Pay Customer Over $1M on Annuity Purchase

    Willbanks Securities Ordered to Pay Customer Over $1M on Annuity Purchase
    April 2017-Salt Lake City, UT An all public, three member FINRA arbitration panel ordered Wilbanks Securities to pay  a former customer compensatory damages of $536,720 together with a like amount of punitive damages, for a total award…
Rank this Week: 112

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: 102

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/
  • Apr 25

    FINRA Revises its Sanction Guidelines on Churning

    FINRA Revises its Sanction Guidelines on Churning
    FINRA Tightens Sanctions on Churning In April 2017, the Financial Industry Regulatory Authority announced that it had revised its sanction guidelines for violations of its rules. The revisions include changes relating to rule violations that…
  • Apr 25

    Corporate Property Associates 17 Global Inc. Investment Losse

    Corporate Property Associates 17 Global Inc. Investment Losse
    Recovery of Corporate Property Associates 17 Global Inc. Investment Losses Have you suffered investment losses in Corporate Property Associates 17 Global Inc.? If so, The White Law Group may be able to help you recover your losses through…
  • Apr 25

    Corporate Capital Trust Update

    Corporate Capital Trust Update
    Recovery of Investment Losses in Corporate Capital Trust Concerned about investment losses in Corporate Capital Trust? If so, The White Law Group may be able to help you recover your losses by filing a FINRA Arbitration claim…
Rank this Week: 170

Financial Counsel

Financial Counsel

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

http://financialcounselblog.com
  • Apr 7

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

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

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

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

    Virginia Adviser Sentenced to Prison for Embezzling Money

    Virginia Adviser Sentenced to Prison for Embezzling Money
    From the Desk of Jim Eccleston at Eccleston Law LLC: Virginia financial adviser Troy Baldridge was sentenced to prison for 41 months after admitting to embezzling more than $500,000 from his mostly elderly, retired clients.According to…
Rank this Week: 158

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Apr 26

    Corp Fin: Will Bill Hinman Be the New Director?

    Corp Fin: Will Bill Hinman Be the New Director?
    We normally don’t comment on rumors, but we couldn’t ignore this WSJ article by Dave Michaels: President Donald Trump’s choice to run the Securities and Exchange Commission is quietly assembling a cabinet of top staff…
  • Apr 25

    Survey Results: Rule 10b5-1 Plan Practice

    Survey Results: Rule 10b5-1 Plan Practice
    We have posted these survey results on Rule 10b5-1 plan practices: 1. Does your company require insiders to sell shares only pursuant to a Rule 10b5-1 trading plan? – Yes, insiders are required to use Rule 10b5-1 plans in order to sell…
  • Apr 24

    Shareholder Proposals: No-Action Letter Stat

    Shareholder Proposals: No-Action Letter Stat
    Here are stats about this year’s no-action letters for shareholder proposals, courtesy of this Bloomberg blog: – An increase in number of no-action letter requests: Over 220 requests were submitted – almost a 10% increase…
Rank this Week: 296

Securities Law Attorneys Blog

Securities Law Attorneys Blog

Covers securities law. By Fitapelli | Kurta.

http://www.securitieslawattorneys.net/
  • Apr 25

    Bernard McGee Was Barred From Acting as a Broker

    Bernard McGee Was Barred From Acting as a Broker
    Public records published by the Financial Industry Regulatory Authority (FINRA) on April 18, 2017 indicate that former New York-based Independent Financial Group broker Bernard McGee has been sanctioned by FINRA and barred from acting as a…
  • Apr 25

    John Wheeler Was Issued a Six Month Suspension and a $20,000 Fine

    John Wheeler Was Issued a Six Month Suspension and a $20,000 Fine
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on April 20, 2017 indicate that former Florida-based Raymond James Financial Services broker/adviser John Wheeler has been sanctioned by FINRA and…
  • Apr 25

    Jeffrey Kluge Was Suspended From Acting as a Broker

    Jeffrey Kluge Was Suspended From Acting as a Broker
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on April 20, 2017 indicate that former Minnesota-based Merrill Lynch broker/adviser Jeffrey Kluge has been sanctioned by FINRA and suspended from…
Rank this Week: 239

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/
  • Apr 24

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: Evelyn S. Anderson, Note, Wealth and Knowledge: Strengthening the Economy by Expanding the Qualified Purchaser "Sophisticated"…
  • Apr 24

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: Craig Boyd, Comment, Appraisal Arbitrage: Closing the Floodgates on Hedge Funds and Activist Shareholders, 65 U. Kan. L. Rev. 497 (2016).…
  • Apr 11

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: Ilya Beylin, A Reassessment of the Clearing Mandate: How the Clearing Mandate Affects Swap Trading Behavior and the Consequences for…
Rank this Week: 304

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • Apr 24

    April in Pari

    April in Pari
    The D&O Diary is on assignment in Europe this week, with a first stop in Paris, for meetings. I have been to Paris many times before, but almost always in the fall or winter. Before this trip, I hadn’t really had the pleasure…
  • Apr 20

    PwC Annual Study Reports Record Number of Securities Suit

    PwC Annual Study Reports Record Number of Securities Suit
    Largely driven by a “dramatic” increase in the number of federal court merger objection lawsuits, securities class action litigation filings rose to the highest level ever in 2016, according to PwC’s most recent annual…
  • Apr 18

    The Steep Rise of Collective Actions in Europe

    The Steep Rise of Collective Actions in Europe
    In prior posts (for example, here), I have described the rise of collective investor actions outside of the U.S. as one of the most important current developments in the world of directors and officers liability. The rise of these collective…
Rank this Week: 230

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: 256

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: 233

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Apr 20

    Advisor James Vernon Regier Receives Customer Complaints Over Unsuitable Trade

    Advisor James Vernon Regier Receives Customer Complaints Over Unsuitable Trade
    Our law firm, Gana LLP, is investigating claims made by Financial Industry Regulatory Authority (FINRA) against broker James Vernon Regier (Regier), formerly associated with Summit Brokerage Services, Inc. The customer complaints allege that…
  • Apr 18

    Broker Charles Wiggle Jr Receives Multiple Customer Complaint

    Broker Charles Wiggle Jr Receives Multiple Customer Complaint
    The investment and securities fraud attorneys of Gana LLP are investigating potential recovery options for investors with broker Glenn Charles Wiggle Jr (Wiggle). According to BrokerCheck records Charles Wiggle has been subject to four…
  • Apr 18

    Broker Gerald O’Halloran Customer Complaints Alleging Securities Law Violation

    Broker Gerald O’Halloran Customer Complaints Alleging Securities Law Violation
    Gana LLP’s securities fraud investigation has uncovered a complaint filed by the Financial Industry Regulatory Authority (FINRA) against broker Gerald O’Halloran (O’Halloran). O’Halloran was  formerly associated…
Rank this Week: 368

The Securities Edge

The Securities Edge

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

http://www.thesecuritiesedge.com/
  • Apr 17

    It’s a good time to be a VC fund

    It’s a good time to be a VC fund
    Things are looking pretty good for the venture capital industry. Potential VC investors have a lot of money available, and industry and geographical trends show a positive outlook for VC investing in the near term. There are numerous factors…
  • Mar 29

    Shore patrol

    Shore patrol
    Posted By: Robert B. Lamm Even as we speculate about the likelihood and potential impact of massive deregulation here in the US, the EU is going in the opposite direction.  Earlier this month, the European Parliament passed a…
  • Mar 19

    Beware when the legislature is in session

    Beware when the legislature is in session
    Posted By: Robert B. Lamm New York Surrogate Gideon Tucker (1826-1899) is credited with originating the maxim that “no man’s life, liberty or property are safe while the legislature is in session.”  Were Surrogate…
Rank this Week: 356

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • Apr 17

    REPRESENTING ELDERS AND ATHLETES

    REPRESENTING ELDERS AND ATHLETES
    It wouldn’t seem likely that elders and athletes would have much, if anything, in common.  But they do.  They are frequently blessed with substantial semi-liquid assets, and are therefore the targets of fraudulent or reckless…
  • Mar 24

    Kokesh v. SEC: Implications for the Statute of Limitations for Missouri Securities Enforcement Action

    Kokesh v. SEC: Implications for the Statute of Limitations for Missouri Securities Enforcement Action
     Kokesh v. SEC, Docket No. 16-529 (oral argument date April 18, 2017) – Implications for the Statute of Limitations for Missouri State Securities Enforcement Actions.By John R. Phillips, Counsel for Cosgrove Law Group, LLC and…
  • Feb 24

    Get Your Own Lawyer, Darn It!

    Get Your Own Lawyer, Darn It!
    Financial advisors facing an arbitration claim or regulatory inquiry often count on their broker-dealer or registered investment advisor for legal counsel. These “employers” will frequently provide them with an ostensibly…
Rank this Week: 499

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/
  • Mar 17

    SEC Adopts Rule Requiring Hyperlinks to Exhibits and HTML Formatting

    SEC Adopts Rule Requiring Hyperlinks to Exhibits and HTML Formatting
    On March 1, 2017, the Securities and Exchange Commission (“SEC”) announced the adoption of amendments that will require registrants that file certain registration statements and reports subject to the exhibit requirements of Item…
  • Mar 9

    Delaware Court of Chancery Holds that Cancellation of Shares Through Merger Deprives Stockholder of Standing in Section 220 Action

    Delaware Court of Chancery Holds that Cancellation of Shares Through Merger Deprives Stockholder of Standing in Section 220 Action
    In Weingarten v. Monster Worldwide, Inc., C.A. No. 12931-VCG, 2017 WL 752179 (Del. Ch. Feb. 27, 2017), the Delaware Court of Chancery (Glasscock, V.C.) clarified when a plaintiff has standing to vitiate inspection rights under Delaware…
  • Mar 3

    SNAP IPO Debuts On NYSE

    SNAP IPO Debuts On NYSE
    SNAP Inc., the parent company of Snapchat, went public yesterday with a valuation of approximately $33.4 billion. The Company raised $3.4 billion at $17 per share, and is now trading well above the IPO price. While SNAP has reported…
Rank this Week: 522

Business Blog

Business Blog

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

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

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

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

    Are Employee Breaks Mandated by New Jersey Law?

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

    SEC Adopts New Rules for Administrative Proceeding

    SEC Adopts New Rules for Administrative Proceeding
    What You Need to Know about the SEC’s New Rules for Administrative Proceedings The Securities and Exchange Commission (SEC) recently adopted several amendments to its rules of practice governing administrative proceedings. According to…
Rank this Week: 538

Ponzitracker

Ponzitracker

Covers Ponzi schemes. By Jordan Maglich.

http://www.ponzitracker.com/
  • Jan 27

    SEC Charges Wisconsin Man With $10.4 Million Ponzi Scheme

    SEC Charges Wisconsin Man With $10.4 Million Ponzi Scheme
    A Wisconsin man was charged by the Securities and Exchange Commission with operating a Ponzi scheme that took in more than $10 million from at least 122 investors.  Loren Holzhueter, 69, was the subject of an emergency enforcement action…
  • Jan 26

    Ohio CPA Gets 21 Years For Role In $40 Million Ponzi Scheme

    Ohio CPA Gets 21 Years For Role In $40 Million Ponzi Scheme
    An Ohio man was sentenced to serve twenty-one years in federal prison for his role in funnelling investors to the massive "Black Diamond" Ponzi scheme that ultimately duped over 400 investors out of at least $40 million.  Jonathan…
  • Jan 26

    California Men Plead Guilty To $100 Million ATM Ponzi Scheme

    California Men Plead Guilty To $100 Million ATM Ponzi Scheme
    Two California men have entered guilty pleas to operating a massive Ponzi scheme that allegedly caused losses of over $100 million to victims who thought they were investing in a profitable ATM leasing operation.  Joel Barry Gillis, 74,…
Rank this Week: 399

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: 412

Securities Lawyer 101

Securities Lawyer 101

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

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

    Going Public Blog l Securities Lawyer 101

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

    Going Public Blog l Securities Lawyer 101

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

    SEC Final Judgment Entered Against Graduate Leverage

    SEC Final Judgment Entered Against Graduate Leverage
    Going Public LawyerOn December 23, 2016, the United States District Court for the District of Massachusetts entered final judgments against Graduate Leverage, LLC, GL Capital Partners, LLC, GL Investment Services, LLC, Taft Financial…
Rank this Week: 721

Securities Compliance Sentinel

Securities Compliance Sentinel

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

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

    You Better Watch Your Suitability Determination

    You Better Watch Your Suitability Determination
    The SEC recently announced that it charged a former broker with knowingly or recklessly trading unsuitable investment products for five customers and taking $170,000 for one of those customers. These charges follow a prior SEC Investor Alert…
  • Apr 19

    Fox’s Mark Silow, Joshua Horn and Cannabis Practice Profiled

    Fox’s Mark Silow, Joshua Horn and Cannabis Practice Profiled
    We strongly encourage you to read the article profiling our firm and partners, Mark Silow (also our firm Chairman) and Joshua Horn, on Fox’s  Cannabis Practice Group.  See…
  • Apr 18

    When Independent Commentary Isn’t

    When Independent Commentary Isn’t
      The SEC has recently issued an Investor Alert regarding commentary provided about investors from what appear to be independent sources. It turns out, many of those independent sources are not independent at all. Instead, they are paid…
Rank this Week: 1195

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/
  • Apr 26

    Buying Assets? Have You Considered This Secretary’s Certificate?

    Buying Assets? Have You Considered This Secretary’s Certificate?
    California Corporations Code Section 1001 requires approval by the outstanding shares (Corp. Code § 152) of the principal terms of a sale of all or substantially all of a corporation’s assets (unless the transaction is in the usual…
  • Apr 25

    Court Rules Indirect Purchaser Claims Against Theranos May Proceed

    Court Rules Indirect Purchaser Claims Against Theranos May Proceed
    Theranos’ anni horribilium began in October 2015 with the publication of a story by investigative reporter John Carreyrou at The Wall Street Journal.  Lawsuits and government investigations ensued.  Although the…
  • Apr 24

    Court of Appeal Defines Good Faith Defense Under The UFTA

    Court of Appeal Defines Good Faith Defense Under The UFTA
    In 2015, the California legislature refurbished the Uniform Fraudulent Transfer Act and rechristened it as the Uniform Voidable Transactions Act.  2015 Cal. Stats. Ch. 44 (SB 161 (Vidak)).  The UFTA has not left the stage entirely…
Rank this Week: 746

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: 690

Securities Litigation and…

Securities Litigation and Regulatory Enforcement Blog

Covers SEC investigations, insider trading, derivative actions, white collar defense, and whistleblowers. By Orrick, Herrington & Sutcliffe LLP.

http://blogs.orrick.com/securities-litigation/
Rank this Week: 1160

Stock Broker Fraud Blog

Stock Broker Fraud Blog

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

http://www.stockbrokerfraudblog.com/
Rank this Week: 930

Strictly Business

Strictly Business

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

http://www.strictlybusinesslawblog.com/
  • Apr 18

    Negotiating a Convertible Note Financing

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

    Guide to Starting a Hedge Fund

    Guide to Starting a Hedge Fund
    As an investment manager looking into starting a hedge fund, you know that a successful launch is critical to standing out in the increasingly competitive investment management business. If you want to attract capital from the right…
  • Mar 15

    Understanding the Common Investment Structures for a Seed or Angel Round

    Understanding the Common Investment Structures for a Seed or Angel Round
    I’ve previously written about the steps that startups and emerging companies need to take to prepare for an angel or seed round, one of which is becoming familiar with the popular investment structures that are available. With the…
Rank this Week: 1081

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

http://www.hedgefundlawblog.com
  • Apr 14

    Hedge Fund Bits and Pieces for April 14, 2017

    Hedge Fund Bits and Pieces for April 14, 2017
    Happy Friday.  Markets are closed today for the holiday and it is tax day this Tuesday.  Enjoy the weekend! **** SEC Brings Actions Against Authors on Investment Article Platforms – platforms like Seeking Alpha and SumZero…
  • Apr 13

    Greyline Solutions Continues Expansion

    Greyline Solutions Continues Expansion
    Regulatory Compliance Consulting Company Adds Significant Broker-Dealer Practice Below is a press release from Greyline Solutions, one of the premier regulatory consulting groups (editors note: I have an ownership interest in this company and…
  • Apr 7

    Hedge Fund Bits and Pieces for April 7, 2017

    Hedge Fund Bits and Pieces for April 7, 2017
    Happy Masters Friday! **** End Game of Mini-Prime Consolidation? – earlier this week Cowen announced the acquisition of Convergex.  For Cowen, this is the second introducing prime (mini-prime) acquisition in the last two…
Rank this Week: 634

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/
  • Apr 13

    SEC News - Fraud and Boiler Room Scheme

    SEC News - Fraud and Boiler Room Scheme
    SEC Charges Pastor With Defrauding RetireesThe SEC announced fraud charges and an emergency asset freeze obtained against a Michigan-based pastor accused of exploiting church members, retirees, and laid-off auto workers who were misled to…
  • Apr 12

    FINRA Requests Comment on FINRA Rules Impacting Capital Formation

    FINRA Requests Comment on FINRA Rules Impacting Capital Formation
    The ability of small and large businesses to raise capital efficiently is critical to job creation and economic growth. Broker-dealers play a vital role in helping businesses raise capital through the securities markets, and as a…
  • Apr 12

    Wells Fargo Wins Bank Arbitrations? Maybe not

    Wells Fargo Wins Bank Arbitrations? Maybe not
    The LA Times published this article, based on a study that we can't find.Admittedly I haven't seen the study, and am only commenting on the article. If anyone has a link to the actual study, I would love to review it.One more caveat - I don't…
Rank this Week: 617

Footnoted

Footnoted

Reports on actionable information in SEC filings.

http://www.footnoted.com/
Rank this Week: 1147

Business Law Post

Business Law Post

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

http://www.businesslawpost.com
  • Mar 13

    SaaS Contracts vs Software License Agreement

    SaaS Contracts vs Software License Agreement
    Just like technology itself, technology contracts are becoming more and more complex.  Yet, the legal theories that apply to them remain the same. Understanding the technological aspects of the transaction allows attorneys to apply…
  • Mar 11

    Deconstructing Open Source Software License

    Deconstructing Open Source Software License
    When drafting and negotiating software license agreements, I frequently come across open source licenses.  This blog post is to clarify some of the myths that exist around the definition and use of open source software.First, I want to…
  • Feb 6

    Are Terms of Use and Other Online Agreements Real and Binding Contracts?

    Are Terms of Use and Other Online Agreements Real and Binding Contracts?
    It used to be that people would enter into binding agreements by manually signing them. A signature manifested the two required aspects of forming a binding contract: a notice and an assent, i.e., the signatory has read the agreement and…
Rank this Week: 800

Sharesleuth.com

Sharesleuth.com

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

http://sharesleuth.com/
Rank this Week: 618

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/
  • Nov 27

    Christmas Movies and Serial Killer

    Christmas Movies and Serial Killer
    Today is the first Sunday in the season of Advent, a time in which Christians traditionally prepare themselves by reflection and prayer for the Incarnation, the birth of Jesus, God made flesh.  Ultimately, of course, Jesus was sacrificed…
  • Apr 22

    Handwriting On The Wall (And In The FBI’s Notes)

    Handwriting On The Wall (And In The FBI’s Notes)
    As the father of a college-bound high school senior and an eventually college-bound high school sophomore, I pass along to them helpful articles.  Whether, in the ancient words of Archbishop Cramner in the Anglican liturgy, they actually…
  • Mar 17

    “Fantastic Lies” and Corporate Criminal Prosecution

    “Fantastic Lies” and Corporate Criminal Prosecution
    When the past is dug up in documentaries (or docudramas), events are often sensationalized.  This practice is of long pedigree: Shakespeare was not above amping up an old story when it suited his needs.  Unfortunately, few…
Rank this Week: 1125

Smaller Reporting Company's…

Smaller Reporting Company's Securities Blog

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

http://slgsecurities.com/
  • Dec 22

    F-Squared hit with $35M SEC penalty

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

    {Video} The difference between Angel Investors and Venture Capitalist

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

    SEC Suspends Trading in 255 “Shell” Companie

    SEC Suspends Trading in 255 “Shell” Companie
    Today, the Securities and Exchange Commission (SEC) issued a Press Release announcing that as a result of its micro-cap fraud-fighting initiative they named “Operation Shell-Expel”, they suspended trading in 255 dormant shell…
Rank this Week: 1307

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: 978

Corporate Finance & Securities Law…

Corporate Finance & Securities Law Blog

Covers mergers and acquisitions, private to public transactions, public company disclosure, regulatory defense, and other financial issues. By The Lebrecht Group.

http://www.thelebrechtgroup.com/blog/
  • Jul 11

    SEC Allows Solicitation in Private Offering

    SEC Allows Solicitation in Private Offering
    At long last, the SEC has approved general solicitation in 506 offerings.  I have previously blogged on the subject here and here. It seems each stakeholder group is claiming it as their own victory.  Hedge funds, crowdfunders,…
  • Jun 19

    Sponsored Research. When Is It Independent?

    Sponsored Research. When Is It Independent?
    This week, Fox Business News contributor Tobin Smith was terminated because he violated their policy that “no contributor to FBN [Fox Business Network], nor his/her firm, and/or family members are allowed to accept financial…
  • Jun 6

    When Is It a Good Strategy To Lie to the SEC?

    When Is It a Good Strategy To Lie to the SEC?
    This, of course, is a misleading question.  The answer is never.  In case you need some law to back up that conclusion, take a look at the recent case of Robert J. Vitale.  Mr. Vitale was the subject of an SEC enforcement…
Rank this Week: 1301

Investment Fraud Information

Investment Fraud Information

By Andrew Stoltmann.

http://www.investmentfraudtimes.com/securities-fraud-attorneys/
  • Apr 26

    How To Bring A Claim Against Swan Sihua Shen and Capital Financial Service

    How To Bring A Claim Against Swan Sihua Shen and Capital Financial Service
    Did you lose money with Swan Sihua Shen, a registered broker with Capital Financial Services? Ms. Shen allegedly violated firm policies by copying and pasting client signatures, and altering forms. This resulted in her being terminated from…
  • Apr 26

    Can I Recover My Thomas Gackle Losses By Suing Lowell & Company?

    Can I Recover My Thomas Gackle Losses By Suing Lowell & Company?
    You can. The attorneys of Stoltmann Law Offices sue brokerage firms like Lowell & Company in the Financial Industry Regulatory Authority (FINRA) on a contingency fee basis in order to recover investment losses for investors. We sue firms…
  • Apr 25

    Update For Investors: Kevin Arnell Charged By SEC

    Update For Investors: Kevin Arnell Charged By SEC
    The Securities and Exchange Commission (SEC) charged Kevin Arnell with fraud yesterday. He was accused of diverting at least $1.95 million to his personal brokerage account from a fund over which he had trading authority. The complaint…
Rank this Week: 1991

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/
  • Apr 26

    OSC investor panel supports "Best Interest" standard and ban on conflicted advice by Investment Advisor

    OSC investor panel supports "Best Interest" standard and ban on conflicted advice by Investment Advisor
    Encouraging the adoption of a best interest standard for investment advisors continues to be a key goal of the Investor Advisory Panel (IAP) of the Ontario Securities Commission, according to the IAP’s newly released 2016 Annual Report.…
  • Apr 26

    Increased enforcement highlighted in annual IIROC report

    Increased enforcement highlighted in annual IIROC report
    The annual Enforcement Report published by the Investment Industry Regulatory Organization of Canada (IIROC) on April 19, 2017 highlights IIROC’s increased enforcement activity in 2016, as well as an increase in complaints, proceedings,…
  • Apr 26

    The OSC's FinTech Hackathon: a hint of what's to come?

    The OSC's FinTech Hackathon: a hint of what's to come?
    As part of the Ontario Securities Commission’s “OSC LaunchPad” initiative, more than 120 members of the FinTech community were brought together in late 2016 to find solutions to capital markets regulatory problems. The…
Rank this Week: 5032

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Apr 26

    Complaint seeks to enjoin vote on amending Intel incentive plan

    Complaint seeks to enjoin vote on amending Intel incentive plan
    By Rodney F. Tonkovic, J.D.An Intel shareholder is seeking to block a management proposal to issue 33 million new shares under a benefit plan. The complaint, filed in the district court in Manhattan, seeks an injunction to stop shareholders…
  • Apr 25

    High court declines petition on jurisdiction to hear challenges to FINRA disciplinary action

    High court declines petition on jurisdiction to hear challenges to FINRA disciplinary action
    By Rodney F. Tonkovic, J.D.The Supreme Court has denied certiorari for a petition on the issue of a court’s jurisdiction over challenges to the statutory authority of a regulatory body. The petition, filed by a FINRA-registered…
  • Apr 24

    DOJ remains interested in prosecuting white collar crime

    DOJ remains interested in prosecuting white collar crime
    By Joanne Cursinella, J.D.Seeking to dispel the myth that the DOJ is no longer is interested in prosecuting white collar crime, Acting Principal Deputy Assistant Attorney General Trevor N. McFadden, speaking at the recent 19th Annual…
Rank this Week: 2253

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/
  • Apr 26

    Delaware: Does Corwin Cleanse a Unocal Problem?

    Delaware: Does Corwin Cleanse a Unocal Problem?
    This Fried Frank memo discusses the Chancery Court’s recent decision in In re Paramount Gold and Silver Stockholders Litigation (Del. Ch.; 4/17), which left unanswered the question of whether fully informed shareholder approval under…
  • Apr 25

    Earnouts: Be Ambiguous, Get Sued. Be Explicit, Get Sued.

    Earnouts: Be Ambiguous, Get Sued. Be Explicit, Get Sued.
    Earnouts always seem like such a good idea at the time.  This K&E memo is a reminder of just what a post-closing mess they frequently turn out to be.  The memo looks at two recent Delaware cases – Chancellor…
  • Apr 24

    M&A Activity: 1st Quarter Report

    M&A Activity: 1st Quarter Report
    Mergermarket recently issued its Global and Regional M&A Report for the 1st quarter of 2017.  Here’s an excerpt with some of the highlights: – Global dealmaking so far has remained resilient in the face of an…
Rank this Week: 2255

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/
  • Apr 25

    More Presidential action on potential deregulation

    More Presidential action on potential deregulation
    On April 21, 2017, the White House issued an Executive Order and two Presidential Memoranda to the U.S. Secretary of the Treasury as part of the Trump Administration’s continuing efforts on deregulation: The Presidential Executive Order…
  • Apr 25

    Regulatory Compliance Consulting webinar and video serie

    Regulatory Compliance Consulting webinar and video serie
    Continued scrutiny by authorities, enforcement actions and complex regulatory developments are at the forefront of the challenges facing all financial services providers today. A robust, sustainable and risk based framework of controls is a…
  • Apr 25

    New MiFID II video

    New MiFID II video
    The following MiFID II videos have been published which look at different angles on investor protection: MiFID II – Buy-side topics; MiFID II – Institutional topics; and MiFID II – Sell-side topics.… Continue Reading
Rank this Week: 2036

Classified: The Class Action Blog

Classified: The Class Action Blog

A blog focused on the latest class action developments and trends by the attorneys of Carlton Fields Jorden Burt.

http://classifiedclassaction.com/
  • Apr 24

    Saved By The Bellwether Trial in the Ninth Circuit

    Saved By The Bellwether Trial in the Ninth Circuit
    Removal under the “mass action” provision of the Class Action Fairness Act (CAFA) is appropriate when 100 or more plaintiffs take the affirmative step of proposing to try their claims jointly and the claims involve common issues…
  • Apr 18

    2017 Carlton Fields Class Action Survey Highlight

    2017 Carlton Fields Class Action Survey Highlight
    Carlton Fields recently released its sixth annual Class Action Survey, which is based on detailed interviews with general counsel and senior legal officers at 373 companies operating in more than 25 industries. Those individuals shared their…
  • Apr 14

    Class Representatives Do Not Hold Veto Power Over Class Settlement

    Class Representatives Do Not Hold Veto Power Over Class Settlement
    In In re FedEx Ground Package Sys., Inc. Employment Practices Litig., No. 3:05-CV-595 RLM, 2017 WL 632119 (N.D. Ind. Feb. 14, 2017), only one of a total of seven class representatives signed off on accepting a proposed class settlement with…
Rank this Week: 1693

Securities Fraud Lawyer Blog

Securities Fraud Lawyer Blog

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

https://www.securitiesfraudlawyerblog.net/
  • Apr 24

    Robert Turpin Barred by FINRA

    Robert Turpin Barred by FINRA
    Robert Turpin, a registered representative from Arizona, formerly with Source Capital Group was barred from FINRA membership as a result of refusing to cooperate with a FINRA investigation into claims that he engaged in outside business…
  • Apr 24

    Kyle Kurtz Suspended, Barred by FINRA

    Kyle Kurtz Suspended, Barred by FINRA
    Kyle Kurtz, a registered representative from Bay City, Michigan, formerly with Thrivent Investment Management was suspended from FINRA membership for violations of Rule 9552 FINRA Rule 9552. Failure to Provide Information or Keep Information…
  • Apr 24

    Robert Wodicker Suspended by FINRA

    Robert Wodicker Suspended by FINRA
    Robert Wodicker, a registered representative from St. Louis, Missouri, formerly with LPL Financial and Wells Fargo Advisors was suspended from FINRA membership for violations of Rule 9552 FINRA Rule 9552. Failure to Provide Information or…
Rank this Week: 1589

McEldrew Young Blog

McEldrew Young Blog

Covers whistleblower law and wage theft for employees.

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

    How 700 Bank Whistleblowers Get Ignored

    How 700 Bank Whistleblowers Get Ignored
    Like much of America, we have been following the story of Wells Fargo’s sales tactics and the government response to it. We haven’t discussed this matter in depth yet here on our blog (just a brief comment about its implications…
  • Apr 19

    Tax Day Debate at Supreme Court Over Time for SEC Disgorgement

    Tax Day Debate at Supreme Court Over Time for SEC Disgorgement
    The Securities and Exchange Commission defended its ability to disgorge illegal profits from wrongdoers before the Supreme Court yesterday in Kokesh v. SEC. It was Justice Neil Gorsuch’s second day of oral arguments.  An opinion is…
  • Apr 18

    Buy American and Hire American for Whistleblower

    Buy American and Hire American for Whistleblower
    President Trump is signing an executive order today to implement a more muscular Buy American Act. This measure likely signals strengthened enforcement of the Buy American Act under the False Claims Act. The Buy American Act is a domestic…
Rank this Week: 1792

Stock Attorneys Blog

Stock Attorneys Blog

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

http://www.stockattorneysblog.com/
  • Apr 20

    New Sanction Guidelines for NAC

    New Sanction Guidelines for NAC
    FINRA (Financial Industry Regulatory Authority) announced that the National Adjudicatory Council (NAC) revised guidelines regarding financial exploitation of vulnerable individuals or individuals with diminished capacity. In addition, the new…
  • Apr 6

    Investor Alert issued by FINRA regarding Binary Options Follow-up Scheme

    Investor Alert issued by FINRA regarding Binary Options Follow-up Scheme
    FINRA (Financial Industry Regulatory Authority) issued an Investor Alert warning anyone involved in binary options trading through unregistered non-U.S. companies. Binary options are inherently risky all-or-nothing propositions.…
  • Mar 30

    Will Allen (Former Dolphins, Giants, and Patriots NFL Player) was Charged with 23 Federal Felonies in Alleged Ponzi Scheme

    Will Allen (Former Dolphins, Giants, and Patriots NFL Player) was Charged with 23 Federal Felonies in Alleged Ponzi Scheme
    The SEC charged Allen with fraud for allegedly operating a $31 million Ponzi Scheme.  Allen, with his accomplice Susan Daub, formed a company that made high-interest, short-term loans to athletes.  The loans were funded by money…
Rank this Week: 4605

Subject to Inquiry

Subject to Inquiry

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

http://www.subjecttoinquiry.com/
  • Apr 19

    The CFPB’s Alternative Data RFI: Making Your Response Count

    The CFPB’s Alternative Data RFI: Making Your Response Count
    The Consumer Financial Protection Bureau (CFPB) recently issued a Request for Information (RFI) Regarding Use of Alternative Data and Modeling Techniques in the Credit Process, available here.  The deadline for response is May 19. …
  • Apr 18

    H-1B Employers Face Increased Site Visit

    H-1B Employers Face Increased Site Visit
    Employers using the H-1B visa program should take note as additional site visits may be on the horizon.  U.S. Citizenship and Immigration Services (“USCIS”), part of the Department of Homeland Security, recently announced a…
  • Mar 27

    CFPB Fails to State Case Against Payment Processor

    CFPB Fails to State Case Against Payment Processor
    The United States District Court for the District of North Dakota recently dismissed the Consumer Financial Protection Bureau’s (CFPB) complaint against a payment processor, Intercept, in a case McGuireWoods has been monitoring. …
Rank this Week: 2786

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
  • Apr 18

    Misconduct Bricks In FINRA Wall of Statutory Disqualification

    Misconduct Bricks In FINRA Wall of Statutory Disqualification
    In isolation, any number of acts may not seem to amount to all that big a deal when it comes to violations of in-house compliance policies or industry rules and regulations. A single example of a private securities transaction. An undisclosed…
  • Apr 18

    FINRA's Three Handed Monster of a Settlement

    FINRA's Three Handed Monster of a Settlement
    FINRA has a few thousand employees, millions of dollars in funding, and a mandate to protect the investing public and police the securities industry. Sometimes the excuse for a regulator coming up short is found in the organization being…
  • Apr 17

    FINRA Arbitrator Says Compliance Not A Call To Sainthood

    FINRA Arbitrator Says Compliance Not A Call To Sainthood
    BrokeandBroker.com Blog's Bill Singer at a loss for words? Is that even possible? Yes, dear readers, Bill has virtually nothing to add to today's featured FINRA Arbitration decision. Indeed, Hell has frozen over, pigs are flying, and our…
Rank this Week: 3954