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Securities Lawyer 101

Securities Lawyer 101

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

http://www.securitieslawyer101.com/blog/
  • Sep 10

    Corporate Hijackings 101 l Securities Lawyer 101 Blog

    Corporate Hijackings 101 l Securities Lawyer 101 Blog
    Securities Lawyer 101 Blog Corporate hijackings, also known as corporate identity theft, of public shell companies has been around for more than a decade.  It  is a growing method used by fraudsters to acquire…
  • Jan 1

    Going Public Blog l Securities Lawyer 101

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

    Going Public Blog l Securities Lawyer 101

    Going Public Blog l Securities Lawyer 101
      Securities Lawyer 101 Blog Going public is a big step for any company.  The process of “going public” is complex and at times precarious.  While going public offers many benefits it also comes with risks and…
Rank this Week: 41

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: 57

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
  • Jan 28

    Former Texas Financial Planner Facing Charges in $8 million Ponzi Scheme

    Former Texas Financial Planner Facing Charges in $8 million Ponzi Scheme
    From the Desk of Jim Eccleston at Eccleston Law Offices: Charles D. Jones, a former financial adviser from Texas, was charged with stealing at least $8 million from his clients in a Ponzi-typeinvestment…
  • Jan 22

    Florida Based Investment Advisor Firm Is Charged in Ponzi Scheme

    Florida Based Investment Advisor Firm Is Charged in Ponzi Scheme
    From the Desk of Jim Eccleston at Eccleston Law Offices: The SEC has charged a Florida based investment advisor firm, Elm Tree Investment Advisors LLC, its founder Frederic Elm, and its private funds Elm…
  • Jan 21

    Wheat Ridge, Colorado Man Pleads Guilty to Orchestrating a $4.8 Million Ponzi Scheme

    Wheat Ridge, Colorado Man Pleads Guilty to Orchestrating a $4.8 Million Ponzi Scheme
    From the Desk of Jim Eccleston at Eccleston Law Offices: Perry Sawano pled guilty to swindling investors in a $4.8 million Ponzi scheme between 2007 and 2013. Sawano was accused of running the scheme…
Rank this Week: 148

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Jan 28

    Government Asks Full Court to Rehear Newman Insider Trading Appeal

    Government Asks Full Court to Rehear Newman Insider Trading Appeal
    [This story previously appeared in Securities Regulation Daily.]By Anne Sherry, J.D.Criticizing last month’s opinion by a Second Circuit panel overturning two insider trading convictions based on a lack of personal benefit to the…
  • Jan 27

    With Judicial Challenge Looming, FSOC Will Be Under Scrutiny from House Panel

    With Judicial Challenge Looming, FSOC Will Be Under Scrutiny from House Panel
    Against the backdrop of a judicial challenge to the Financial Stability Oversight Council’s (FSOC) designation of  Met Life, Inc. as a systemically important financial institution (SIFI) under the Dodd-Frank Act, the House…
  • Jan 27

    House Panel Signals Strong Oversight of Dodd-Frank Derivatives Regulation

    House Panel Signals Strong Oversight of Dodd-Frank Derivatives Regulation
    The House Agriculture Committee will conduct intense oversight of the regulatory implementation of the Dodd-Frank Act derivatives provisions. An oversight plan approved by the Committee, which is chaired by Rep. K. Michael Conaway (R-TX),…
Rank this Week: 166

California Corporate & Securities…

California Corporate & Securities Law

Covers California securities law, corporate governance, mergers & acquisitions and securities litigation. By Keith Paul Bishop.

http://calcorporatelaw.com/
  • Jan 29

    Court Of Appeal Decides Against Arbitration Bylaw Amendment

    Court Of Appeal Decides Against Arbitration Bylaw Amendment
    Much has been written of late about the enforceability of exclusive forum bylaws.  What happens when the forum isn’t a court, but an arbitration?  Does it make any difference if the arbitration bylaw is adopted after a dispute…
  • Jan 28

    California AG Declares Whistleblower Tally A State Secret

    California AG Declares Whistleblower Tally A State Secret
    Since 2004, the California Attorney General has been required to maintain a whistleblower hotline to receive calls from persons who have information regarding possible violations of state or federal statutes, rules, or regulations, or…
  • Jan 27

    Victims Of Corporate Fraud Compensation Fund

    Victims Of Corporate Fraud Compensation Fund
    In the waning days of the 2001-2002 legislative session, then Assemblymember Kevin Shelley gutted and amended AB 55. As introduced, AB 55 would have amended the Elections Code. Instead, AB 55 became the vehicle for the enactment of the deeply…
Rank this Week: 205

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: 230

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

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

    UBS Financial Services broker, David Alan Lavine, permanently barred from securities industry.

    UBS Financial Services broker, David Alan Lavine, permanently barred from securities industry.
    On January 20, 2015 former Houston based UBS Financial Services broker, David Alan Lavine, was permanently barred from the financial industry for failing to comply with a FINRA investigation. The post UBS Financial Services broker, David Alan…
  • Jan 26

    Update: First Allied Securities’ William “Bill” Tatro complaint

    Update: First Allied Securities’ William “Bill” Tatro complaint
    According to FINRA’s BrokerCheck Report, William L. Tatro has had an astounding 48 investor complaints filed against him in his 35 years in the securities industry. The post Update: First Allied Securities’ William…
  • Jan 23

    Securities fraud attorneys investigating suspended broker, Randy L. Bostick

    Securities fraud attorneys investigating suspended broker, Randy L. Bostick
    The securities and investment fraud law firm, Fitapelli Kurta, is investigating potential claims against currently suspended Janney Montgomery Scott stockbroker, Randy L. Bostick. The post Securities fraud attorneys investigating suspended…
Rank this Week: 248

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

http://www.seclawyersblog.com/
  • Jan 23

    Sonn|Erez Investigating Claims Involving Arque Capital, Ltd., and GWG Renewable Debenture

    Sonn|Erez Investigating Claims Involving Arque Capital, Ltd., and GWG Renewable Debenture
    Sonn|Erez is investigating claims regarding Arque Capital, Ltd. (CRD #121192, Scottsdale, AZ) and sales of GWG Renewable Debentures. Arque Capital recently submitted an AWC in which the firm was censured and fined $50,000. See FINRA Case…
  • Jan 21

    SEC Charges Elm Tree Investment Adviser and Manager in Fort Lauderdale, Florida-Based Fraud

    SEC Charges Elm Tree Investment Adviser and Manager in Fort Lauderdale, Florida-Based Fraud
    The Securities and Exchange Commission today announced fraud charges and an asset freeze against Fort Lauderdale, Florida-based investment advisory firm, its manager, and three related funds in a scheme that raised more than $17 million since…
  • Jan 19

    FINRA Cautions Investors Regarding E-Cigarette Stock Scam

    FINRA Cautions Investors Regarding E-Cigarette Stock Scam
    FINRA recently issued an Investor Alert, "E-Cigarette Stock Scams: New Smoking Technology Could Light Up Pump-and-Dump Fraud." In the Alert, FINRA warns investors of aggressive promotions advertising stocks that allegedly capitalize on the…
Rank this Week: 266

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/
  • Jan 27

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: Zachary Ahonen, Note, The Recent Financial Crisis and Its Impact on Interest Rate Swaps: A Road to Recovery through the Frustration of…
  • Jan 27

    Park on Bondholders and Securities Class Action

    Park on Bondholders and Securities Class Action
    James J. Park has posted Bondholders and Securities Class Actions on SSRN with the following abstract: Prior studies of corporate and securities law litigation have focused almost entirely on cases filed by shareholder plaintiffs. Bondholders…
  • Jan 27

    Chen, Hope, Li & Wang on International Market

    Chen, Hope, Li & Wang on International Market
    Feng Chen, Ole-Kristian Hope, Qingyuan Li, and Xin Wang have posted Flight to Quality in International Markets: Political Uncertainty and Investors’ Demand for Financial Reporting Quality on SSRN with the following abstract: We examine…
Rank this Week: 275

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Jan 29

    Proxy Access Punt: Glass Lewis Weighs In “For Real”

    Proxy Access Punt: Glass Lewis Weighs In “For Real”
    On Monday, I blogged about a statement from Glass Lewis on proxy access shareholder proposals that was contained in a WSJ article. Now, Glass Lewis has posted this on its own blog on the topic: In 2015, approximately 100 companies will face…
  • Jan 28

    Our New “Form 8-K Handbook”

    Our New “Form 8-K Handbook”
    Spanking brand new. By popular demand, this comprehensive “Form 8-K Handbook” covers all you need to know about “real time” disclosures via Form 8-K (it’s now posted on our “Form 8-K” Practice Area).…
  • Jan 27

    Corp Fin: New CDI on Filing Non-Searchable Graphics & Image

    Corp Fin: New CDI on Filing Non-Searchable Graphics & Image
    One of the goals of Corp Fin’s “Disclosure Effectiveness” project is to modernize its filing framework, EDGAR. Not an easy thing to do, but it definitely could use a look. For example, use of multimedia in SEC filings poses…
Rank this Week: 333

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
Rank this Week: 336

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/
  • Dec 5

    FINRA Increases Arbitrator Pay- Passes Costs to Partie

    FINRA Increases Arbitrator Pay- Passes Costs to Partie
    According to Regulatory Notice 14-49 (“RN 14-49”) issued by the Financial Industry Regulatory Authority (“FINRA”), FINRA is increasing the pay for arbitrators assigned to hear FINRA cases and passing the costs of the…
  • Nov 20

    Former Florida Broker Permanently Barred for Alleged Theft

    Former Florida Broker Permanently Barred for Alleged Theft
    According to his BrokerCheck Report, Jeffrey Brian Grove of Melbourne, Florida has been permanently barred from the financial services industry by the Financial Industry Regulatory Authority (“FINRA”).   According to…
  • Oct 16

    SEC Approves Rule to Help Non-Traded REIT Investor

    SEC Approves Rule to Help Non-Traded REIT Investor
    The Securities and Exchange Commission has approved the Financial Industry Regulatory Authority’s (“FINRA”) proposed revisions to NASD Rule 2340 regarding per share estimated valuations of unlisted REITs held by…
Rank this Week: 327

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: 373

Recover Investment Losses Blog

Recover Investment Losses Blog

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

http://blog.rexsecuritieslaw.com
  • Jan 29

    Royal Alliance Ordered to Pay $870K Over Variable Universal Life (VUL) Policy

    Royal Alliance Ordered to Pay $870K Over Variable Universal Life (VUL) Policy
    January  9, 2015- Los Angeles, California A FINRA arbitration panel in Los Angeles, CA , ordered Royal Alliance Associates  to pay a customer $870,000 in compensatory damages and over $14,000 in costs.  The…
  • Jan 29

    HSBC Securities Ordered to Pay $3.2 Million in FINRA Arbitration

    HSBC Securities Ordered to Pay $3.2 Million in FINRA Arbitration
    January 12, 2015- Miami, Florida A FINRA arbitration panel in Miami, Florida , ordered HSBC Securities (USA), Inc. and broker Mark Richard Corbet Yale ,  to pay a customer, Blue Bank International,  $3,250,000 in…
  • Jan 29

    Interactive Brokers, LLC, Hit with $2.4 Million Arbitration Award

    Interactive Brokers, LLC, Hit with $2.4 Million Arbitration Award
    January 12, 2015- Newark, New Jersey A FINRA arbitration panel in Newark, New Jersey , ordered Interactive Brokers, LLC,  to pay a customer over $2.4 million  in compensatory damages to a customer  who…
Rank this Week: 499

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/
  • Jan 28

    Investigation into Boston Capital Tax Credit Fund IV

    Investigation into Boston Capital Tax Credit Fund IV
    Have you suffered investment losses in Boston Capital Tax Credit Fund? If so, the securities attorneys of The White Law Group may be able to help you recover your losses by filing a FINRA Dispute Resolution claim against the brokerage firm…
  • Jan 28

    Recovery of United States Diesel-Heating Oil ETF Losse

    Recovery of United States Diesel-Heating Oil ETF Losse
    Have you suffered losses investing in United States Diesel-Heating Oil ETF?  If so, the securities attorneys of The White Law Group may be able to help you recover your losses in a FINRA arbitration claim against the brokerage firm…
  • Jan 28

    Recovery of United States Gasoline ETF Losse

    Recovery of United States Gasoline ETF Losse
    Have you suffered losses investing in United States Gasoline ETF?  If so, the securities attorneys of The White Law Group may be able to help you recover your losses in a FINRA arbitration claim against the brokerage firm that…
Rank this Week: 479

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

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

    FINRA Fines Sigma Financial Over Supervisory Failures Part II

    FINRA Fines Sigma Financial Over Supervisory Failures Part II
    This post continues our prior report on the Financial Industry Regulatory Authority’s (FINRA) recently sanctions against Sigma Financial Corporation (Sigma Financial) alleging from April 25, 2011, through June 24, 2012, supervisory…
  • Jan 26

    FINRA Fines Sigma Financial Over Supervisory Failures Part I

    FINRA Fines Sigma Financial Over Supervisory Failures Part I
    The Financial Industry Regulatory Authority (FINRA) recently sanctioned Sigma Financial Corporation (Sigma Financial) alleging from April 25, 2011, through June 24, 2012, supervisory deficiencies existed at Sigma in specific areas of…
  • Jan 23

    FINRA Bars Broker Chase Casson For Failing to Respond to Inquiries Over Private Transaction

    FINRA Bars Broker Chase Casson For Failing to Respond to Inquiries Over Private Transaction
    The Financial Industry Regulatory Authority (FINRA) recently barred broker Chase Casson (Casson) alleging that Casson failed to provide documents and information to FINRA in response to demands made to investigate the broker’s…
Rank this Week: 448

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/
  • Jan 22

    Texas State Securities Board Was Special Prosecutor in $1M Securities Fraud Case

    Texas State Securities Board Was Special Prosecutor in $1M Securities Fraud Case
    Alberto Alba Villareal was sentenced to five years behind bars for defrauding investors in a $1 million Texas securities fraud. Villareal was convicted of theft of property for stealing money. The funds he procured were supposed to go toward…
  • Jan 21

    Investment Adviser Fraud Cases Lead to Civil Charges, Criminal Convictions, and Investor Losse

    Investment Adviser Fraud Cases Lead to Civil Charges, Criminal Convictions, and Investor Losse
    SEC Accuses Elm Tree Investment Advisors, its Founder, of $17M Securities Fraud The Securities and Exchange Commission has filed fraud charges against Elm Tree Investment Advisors LLC and its founder Frederic Elm for running a Florida-based…
  • Jan 20

    FINRA Fines Fidelity $350K for Overcharging Over 20,000 Clients $2.4M

    FINRA Fines Fidelity $350K for Overcharging Over 20,000 Clients $2.4M
    The Financial Industry Regulatory Authority says that Fidelity Investments must pay $350,000 for overcharging thousands of clients $2.4 million for transactions involving fee-based accounts in its Institutional Wealth Services Group. The…
Rank this Week: 500

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/
  • Jan 26

    10 ETFs To Be Excited About In 2015

    10 ETFs To Be Excited About In 2015
    Investors were introduced to more than 180 new exchange-traded products in 2014, as well as a handful of ETF issuer newcomers.While the majority of new offerings offer more traditional investment objectives, there are a passel of funds that…
  • Jan 26

    Good News - FINRA Chief Says FINRA Won't Be Piling On.

    Good News - FINRA Chief Says FINRA Won't Be Piling On.
    In discussing the state of FINRA enforcement's activities, FINRA Enforcement Director Brad Bennett said he will not pursue a violator if the Securities and Exchange Commission or state regulators are going after the same individuals and…
  • Jan 22

    Investor Alert - Owen Li crashes Canarsie Capital in New York

    Investor Alert - Owen Li crashes Canarsie Capital in New York
    Owen Li, the manager of Canarsie Capital has apparently lost nearly 100 million dollars in what he calls overzealous investments, which caused devastating losses.Fund managers who invest the funds assets in an inappropriate manner are liable…
Rank this Week: 625

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
  • Jan 26

    WHITE HOUSE TAKING NOTICE OF FINACIAL ADVISORS COSTING WORKERS BILLIONS IN RETIREMENT SAVINGS

    WHITE HOUSE TAKING NOTICE OF FINACIAL ADVISORS COSTING WORKERS BILLIONS IN RETIREMENT SAVINGS
    A top economic adviser under President Obama is calling for stricter rules on Wall Street after finding some bad broker practices costing investors $8 billion to $17 billion a year. Chairman of President Obama’s Council of Economic…
  • Jan 23

    WHAT HAPPENS WHEN YOUR BROKERS AGE CATCHES UP WITH THEM?

    WHAT HAPPENS WHEN YOUR BROKERS AGE CATCHES UP WITH THEM?
    Just like an average person who ages, an older financial adviser is more likely to show signs of aging. Red flags that a financial adviser might be suffering from senior moments: forgetfulness, a tendency to repeat things, a disregard for…
  • Jan 20

    SEC Compliance Inspections and Examinations Office Released Examination Priorities for 2015

    SEC Compliance Inspections and Examinations Office Released Examination Priorities for 2015
    The Examination priorities for 2015 address issues across a variety of financial institutions, including investment advisers, investment companies, broker-dealers, transfer agents, clearing agencies, and national securities exchanges. …
Rank this Week: 572

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
  • Jan 23

    Unreasonable AML Policies Cited In Trading Platform Fraud

    Unreasonable AML Policies Cited In Trading Platform Fraud
    There are lots of bad guys out there, and on Wall Street, brokerage firms need to protect not only their customers but also themselves from some of the online scams and cons.  In a recent regulatory settlement, we see how one firm was…
  • Jan 23

    Wells Fargo Associate Duped By Email Scam

    Wells Fargo Associate Duped By Email Scam
    Another day and another email disaster at another major FINRA member firm. In the end, however, the customer is made a whole -- but the registered person is made a bit less than whole by a fine and suspension.  Some good lessons embedded…
  • Jan 23

    EMPLOYMENT TUESDAY at BrokeAndBroker.com

    EMPLOYMENT TUESDAY at BrokeAndBroker.com
    Seems to me that Wall Street is quite a bit like weather forecasts. Take today, for example -- in NYC, we were supposed to awake to Snowmageddon with close to three feet of snow and a howlin' storm. There wasn't much doubt according to all…
Rank this Week: 537

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/
  • Jan 20

    Comment by Feb. 16 on proposed uniform state model rule for M&A broker

    Comment by Feb. 16 on proposed uniform state model rule for M&A broker
    The Broker-Dealer Section of the North American Securities Administrators Association is seeking comments no later than Feb. 16, 2015, on a proposed uniform state model rule exempting certain merger and acquisition brokers from registration…
  • Dec 29

    Bill governing M&A brokers should resurface in 2015

    Bill governing M&A brokers should resurface in 2015
    During 2014, Congress has gained momentum toward creating an exemption from federal broker-dealer registration for “M&A brokers” who facilitate mergers, acquisitions, sales and similar transactions involving privately held…
  • Dec 3

    A compliance problem truly “Made in the USA”

    A compliance problem truly “Made in the USA”
    Following the expiration of a public comment period last week, the ink is now dry on the Federal Trade Commission’s consent decree against Made in USA Brand, LLC, settling charges that the Columbus, Ohio-based company sold its…
Rank this Week: 545

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/
  • Sep 8

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

    Nu Skin Inventory Red Flags Remain Even After $50 Million Impairment Charge
    On July 22, 2014, I warned investors that Utah-based multi-level marketing company Nu Skin Enterprises' (NYSE: NUS) surging inventory levels might lead it "to recognize a material impairment charge against inventory in a future period." On…
  • Aug 4

    Why Nu Skin Must Come Clean on Troubling Inventory Red Flag

    Why Nu Skin Must Come Clean on Troubling Inventory Red Flag
    Co-authored by Sam E. Antar and Zachary PrenskyThis coming Wednesday morning, Utah based multi-level marketing company Nu Skin Enterprises (NYSE: NUS) is scheduled to report its second quarter earnings. In its Q1 2014 10-Q report issued in…
  • Jul 22

    Do Nu Skin Inventory Red Flags Spell Trouble Ahead?

    Do Nu Skin Inventory Red Flags Spell Trouble Ahead?
    Last Friday morning, a comment posted on Twitter by Marc Cohodes about Nu Skin Enterprises (NYSE: NUS), a Utah based multi-level marketing company, caught my curiosity. Cohodes is a legendary short-seller with an excellent track record and…
Rank this Week: 607

Business Blog

Business Blog

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

http://www.businesslawnews.com/
  • Jan 29

    Consumer Privacy and Security Risks Are Issues That Businesses Need To Addre

    Consumer Privacy and Security Risks Are Issues That Businesses Need To Addre
    As the prevalence of Internet-connected devices continues to grow, companies need to be proactive in addressing the consumer privacy attendant risks. The Federal Trade Commission (FTC) recently issued a report on the Internet of Things, which…
  • Jan 28

    Women in Businesses: Where Do We Stand According to the UN Report?

    Women in Businesses: Where Do We Stand According to the UN Report?
    Though they run 30 % of it, women in businesses are noticeably absent at the top of the world’s largest corporations. In fact, women in businesses represent just five percent of the chief operating officers, according to a new report by…
  • Jan 26

    Affidavit of Merit in Negligence Suit Must Be From Like-Licensed Professional

    Affidavit of Merit in Negligence Suit Must Be From Like-Licensed Professional
    The Appellate Division recently held that New Jersey’s Affidavit of Merit (AOM) statute requires a supporting AOM from a “like-licensed” professional in all malpractice or negligence cases within the scope of the statute.…
Rank this Week: 802

Cady Bar the Door

Cady Bar the Door

Provides insight and commentary on SEC enforcement actions. By Brooks Pierce.

http://www.secmiscellany.com
  • Jan 26

    The SEC Totally Cares about Its Injunction

    The SEC Totally Cares about Its Injunction
    Last week I wrote a post discussing the injunctions the SEC typically obtains against defendants in federal court.  I noted the oddity of these obey-the-law injunctions and wondered aloud why the Commission never pursues findings of…
  • Jan 20

    Retrench of DOJ’s Equitable Sharing Program Could be Boon to N.C. School

    Retrench of DOJ’s Equitable Sharing Program Could be Boon to N.C. School
    “Equitable Sharing” sounds so reasonable.  Who could argue with it?  Here’s what it is, and what it does:  The Justice Department’s Equitable Sharing program allows federal law enforcement agencies to…
  • Jan 19

    The SEC Does Not Care about Its Injunction

    The SEC Does Not Care about Its Injunction
    It won’t surprise you to learn that the U.S. Code includes this provision: “A court of the United States shall have power to punish by fine or imprisonment, or both, at its discretion, such contempt of its authority . . . as . . .…
Rank this Week: 806

InvestorLawyers.net

InvestorLawyers.net

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

http://www.investorlawyers.net/blog/
Rank this Week: 798

Sharesleuth.com

Sharesleuth.com

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

http://sharesleuth.com/
  • Dec 31

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

    Kandi Technologies Group Inc.: Where are the Go-Karts?
    When the global economy collapsed in the fall of 2008, the sharp drop in consumer spending threw the power sports industry into a steep decline. Sales of motorcycles, go-karts and all-terrain vehicles each plunged by 30 percent or more,…
  • Oct 7

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

    Kandi Technologies Group Inc.: The return of the cyber shill
    Last June, shares of Kandi Technologies Group Inc. (Nasdaq: KNDI) doubled in the space of a week, spurred on by a mysterious network of social-media touters who later deleted their posts or shut down their accounts…
  • Jun 17

    Telestone Technologies revisited: SEC letters reveal doubts about revenues and receivable

    Telestone Technologies revisited: SEC letters reveal doubts about revenues and receivable
    Recently released letters between the Securities and Exchange Commission and Telestone Technologies Corp. (Pink Sheets: TSTC) show that regulators have significant concerns about the Chinese wireless communication company’s reported…
Rank this Week: 644

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: 740

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/
  • Jan 29

    Is It Worth It For Plaintiffs' Counsel To Gamble On Merger Class Actions in North Carolina?

    Is It Worth It For Plaintiffs' Counsel To Gamble On Merger Class Actions in North Carolina?
    I hadn't written anything yet about the multiple shareholder actions challenging the merger of PokerTek -- a developer and distributor of electronic table (gambling) games -- with Multimedia Games -- another developer and distributor of…
  • Jan 23

    A Couple Of Things To Know Before Bringing A Piercing The Corporate Veil Claim

    A Couple Of Things To Know Before Bringing A Piercing The Corporate Veil Claim
    You might remember the case of  Cold Springs Ventures, LLC v. Gilead Sciences, Inc..  Last year, Judge Jolly stayed an arbitration proceeding pending a ruling on a piercing the corporate veil claim.  If you are a reader of this…
  • Jan 16

    Reading Before Signing Is Advisable

    Reading Before Signing Is Advisable
    It's pretty basic that your clients should read the agreements that they sign before they sign them.  Or you should at least explain to your client the key provisions in what they are going to sign, if they are not going to read it. In…
Rank this Week: 1155

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/
  • Jan 29

    Doing Deals: Be Careful How You Send Confidential Information

    Doing Deals: Be Careful How You Send Confidential Information
    I recently asked my good friend Jim Brashear of Zix Corporation this question: “are lawyers are still sending confidential deal documents via unencrypted email?” I asked Jim since he’s an expert in that area (Zix is an email…
  • Jan 28

    Webcast: “Proxy Solicitation Tactics in M&A”

    Webcast: “Proxy Solicitation Tactics in M&A”
    Tune in tomorrow for the webcast – “Proxy Solicitation Tactics in M&A” – to hear Okapi Partners’ Chuck Garske, Alliance Advisors’ Waheed Hassan, Managing Director and Innisfree’s Scott Winter…
  • Jan 26

    Corp Fin’s No-Action Relief: 5-Business Day Debt Tender Offers Allowed

    Corp Fin’s No-Action Relief: 5-Business Day Debt Tender Offers Allowed
    On Friday, Corp Fin’s Office of Mergers & Acquisitions issued a no-action response as fleshed out by this Gibson Dunn blog by Jim Moloney & Andrew Fabens (we’re posting memos about this in our “Tender Offers”…
Rank this Week: 913

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: 1117

William Carleton, Counselor @ Law

William Carleton, Counselor @ Law

Covers legal and investment issues facing emerging tech companies.

http://www.wac6.com/wac6/
  • Jan 25

    One Thousand Things Worth Knowing

    One Thousand Things Worth Knowing
    This weekend I've read Paul Muldoon's newly published collection of poems, "One Thousand Things Worth Knowing." (The dust jacket sports a very pleasing design by the ubiquitous Quemadura, a brilliant designer and a kind man I will…
  • Nov 16

    ACA Webinar on Accredited Investor Definition and Established Angel Group Certification

    ACA Webinar on Accredited Investor Definition and Established Angel Group Certification
    I've just listened to an archived recording of an excellent webinar presented by the Angel Capital Association last week (I had intended to listen in real time, but got pulled away): ACA Webinar on Accredited Investor Definition and…
  • Nov 4

    A Sestina About Copyright

    A Sestina About Copyright
    Sestinas are all about copyright!
Rank this Week: 1053

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • Jan 21

    What Is Big Brother Focused On In 2015

    What Is Big Brother Focused On In 2015
    It is that time of year again.  The SEC Office of Compliance and Inspection (OCIE) has announced its examination priorities for 2015.  Knowing what these priorities are will help firms gauge their compliance and supervision efforts…
  • Jan 20

    Why You Need To Think Twice About That New Hire

    Why You Need To Think Twice About That New Hire
    Starting July 1, member firms are required to have written procedures to verify the accuracy and completeness of the information in a registered representative’s U-4 within 30 days of the U-4 being filed with FINRA.  The question…
  • Dec 23

    Whistleblower Tips Continue to Rise in 2014

    Whistleblower Tips Continue to Rise in 2014
    The number of whistleblower tips to the Securities and Exchange Commission (SEC) continues to rise, according to the SEC’s 2014 Annual Report to Congress on the Dodd-Frank Whistleblower Program.  In the November 17, 2014 report,…
Rank this Week: 1045

Business Law Post

Business Law Post

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

http://www.businesslawpost.com
  • Jan 19

    How to Comply with New York Blue Sky Laws?

    How to Comply with New York Blue Sky Laws?
    As I previously explained here, Rule 506 private placements involve the filing of a Form D with the SEC as well as complying with blue sky notice filings requirements in each state where the investors participating in the offering reside.…
  • Jan 19

    The SEC Increases Focus On Digital Currencie

    The SEC Increases Focus On Digital Currencie
    It is clear that the SEC has been focusing on securities fraud involving digital currencies.  In July 2013, the SEC charged Trendon T. Shavers, the founder and operator of Bitcoin Savings and Trust, with defrauding investors in a…
  • Dec 26

    Blue Sky Filings Made Easy?

    Blue Sky Filings Made Easy?
    One of the reasons that explains why Rule 506 offerings have been so popular as a means of conducting a private placement is because they are exempt from state regulation.  In 1996, the National Securities Markets Improvement Act…
Rank this Week: 833

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/
  • Jan 13

    STIFEL NICOLAUS AND CENTURY SECURITIES CONSENT TO FINES OVER IMPROPER SALES OF LEVERAGED AND INVERSE ETFS

    STIFEL NICOLAUS AND CENTURY SECURITIES CONSENT TO FINES OVER IMPROPER SALES OF LEVERAGED AND INVERSE ETFS
    According to a recent news release, the Financial Industry Regulatory Authority (FINRA) has fined Stifel, Nicolaus & Company, Incorporated and an affiliate $550,000 ordered them to pay approximately $475,000 in restitution to 65 customers…
  • Jan 9

    J. P. Morgan Chase Avoids Criminal Prosecution for Hosting Madoff Fraud

    J. P. Morgan Chase Avoids Criminal Prosecution for Hosting Madoff Fraud
    Banking giant J. P. Morgan Chase has reached a deal with federal prosecutors to avoid criminal prosecution for its role in the Bernard Madoff Ponzi scheme. According to the prosecutors, J. P. Morgan, which had custody of Madoff accounts,…
  • Jan 9

    FINRA IDENTIFIES AREAS OF CONCERN FOR INVESTORS

    FINRA IDENTIFIES AREAS OF CONCERN FOR INVESTORS
    Each year, the Financial Industry Regulatory Authority (FINRA) publishes a letter to the financial services industry identifying its regulatory and examination priorities. FINRA is the industry's "self-regulatory organization," which is…
Rank this Week: 1083

100 F Street

100 F Street

Covers securities law for growing businesses. By Vanessa Schoenthaler.

http://100fstreet.com/
  • Jan 27

    The SEC Will Host a Proxy Voting Roundtable on February 19th

    The SEC Will Host a Proxy Voting Roundtable on February 19th
    The Securities and Exchange Commission announced today that it will host a proxy voting roundtable on Thursday, February 19, 2015 (that was quick), to explore ways to improve the proxy voting process, with a focus on universal proxy…
  • Jan 26

    CorpFin’s Latest C&DIs: Graphics and Images in EDGAR Filings and Reg. S Resale

    CorpFin’s Latest C&DIs: Graphics and Images in EDGAR Filings and Reg. S Resale
    CorpFin issued two new Compliance and Disclosure Interpretations (C&DIs) on Friday, one presents a somewhat niche scenario involving application of the resale limitations set forth Rule 905 of Regulation S, and the…
  • Jan 19

    CorpFin Won’t Be Expressing Views on 14a-8(i)(9) During the 2015 Proxy Season

    CorpFin Won’t Be Expressing Views on 14a-8(i)(9) During the 2015 Proxy Season
    Dear Blog, It’s been entirely too long and I miss you terribly. I had quit the crazy 2014, but as things are settling down now I plan to get back to you on a more regular basis. There are so many things that we need to…
Rank this Week: 1232

May Law, PC Blog

May Law, PC Blog

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

http://www.maylawpc.net/category/blog/
  • Jan 26

    The Riskiest Financial Products for the Average Investor

    The Riskiest Financial Products for the Average Investor
    The United States Securities and Exchange Commission (SEC) has launched a new public investor watchdog to look out for the interests of mom and pop investors around…
  • Dec 18

    Is Arbitration Cheaper than Litigation?

    Is Arbitration Cheaper than Litigation?
    Many think that arbitration is less expensive than litigation. As a result, many aggrieved investors begin the process with unrealistic expectations about how much it will cost.…
  • Nov 24

    The Impact FINRA’s CARDS Plan Will Have on the Financial Industry

    The Impact FINRA’s CARDS Plan Will Have on the Financial Industry
    The largest independent regulator of securities firms in the U.S., the Financial Industry Regulatory Authority (FINRA) purports to protect investors by making sure brokerage firms play by…
Rank this Week: 1291

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/
  • Jan 23

    TSX proposes additional listing exemptions for interlisted issuer

    TSX proposes additional listing exemptions for interlisted issuer
    Jonah Mann -  The Toronto Stock Exchange yesterday proposed amendments to its Company Manual that would adopt a broader deference model in respect of certain exchange requirements where an interlisted issuer is subject to the…
  • Jan 23

    Regulators adopt changes to CRM2 project

    Regulators adopt changes to CRM2 project
    Earlier this week, the Investment Industry Regulatory Organization of Canada announced that Phase 2 of its Client Relationship Model amendments (CRM2) have been approved by the applicable securities regulatory authorities and will come…
  • Jan 23

    CSA issue guidance on structured notes filing

    CSA issue guidance on structured notes filing
    The Canadian Securities Administrators yesterday issued a notice setting out the views of CSA staff concerning the offering of structured notes under the shelf prospectus system. Structured (or linked) notes are specified derivatives…
Rank this Week: 1545

Stock Broker Attorney Blog

Stock Broker Attorney Blog

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

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

    Man Sentence to 18-Months for Investment Scam

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

    SEC Charges Unlicensed Man with Scamming Investor

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

    Broker Barred from Practice for Stealing from Elderly

    Broker Barred from Practice for Stealing from Elderly
    Jeffrey McClure, a former employee of Wells Fargo Advisors and an affiliated bank in California, was recently barred from the securities industry after stealing almost $89,000 from an elderly customer. Between December 2012 and August 2014,…
Rank this Week: 1357

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • Jan 7

    Arbitration's Cancer – The Systemic Bias Created by the Co-existence of Paid Arbitrators, Arbitrator Strikes, and Award Historie

    Arbitration's Cancer – The Systemic Bias Created by the Co-existence of Paid Arbitrators, Arbitrator Strikes, and Award Historie
    One of the cornerstones of the rules of judicial ethics is that bias is to be avoided or ferreted out.  The intolerance for bias in our judiciary is not limited to overt bias.  Indeed, it has been said: “because bias is so…
  • Dec 16

    Are You Stuck in a REIT?

    Are You Stuck in a REIT?
    Realty Capital Securities, LLC (RCS) is a Boston-based unit of American Realty Capital (ARC).  According to its website, ARC is a “full service investment advisory firm sponsoring a series of investment programs with an emphasis on…
  • Nov 30

    What Will be on the SEC’s 2015 Exam Priorities for Investment Advisers?

    What Will be on the SEC’s 2015 Exam Priorities for Investment Advisers?
    Each January, The SEC’s National Exam Program (“NEP”) issues examination priorities for the year ahead.  The priorities are based upon the SEC’s evaluation of those areas in the financial markets that it believes…
Rank this Week: 1507

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

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

    Cole-Frieman & Mallon LLP 2014 Fourth Quarter Update

    Cole-Frieman & Mallon LLP 2014 Fourth Quarter Update
    www.colefrieman.com December 29, 2014 Clients, Friends, Associates: December is the busiest month of the year for most private fund managers. In addition to end of year administrative upkeep, the regulatory landscape has shifted dramatically…
  • Dec 4

    Hedge Fund Events December 2014

    Hedge Fund Events December 2014
    The following are various hedge fund events happening this month. Please email us if you would like us to add your event to this list. **** Date: December 3, 2014 Sponsor: Morgan Stanley Event: Dive into New Portfolio Strategies Location: New…
  • Nov 11

    3rd Annual Alternative Investments Summit – November 20th

    3rd Annual Alternative Investments Summit – November 20th
    Please see below information on the Seattle Investment Association event on November 20th. **** The Seattle Alternative Investment Association, together with the CFA Society of Seattle, invites you to join us on November 20th, 2014 for the…
Rank this Week: 1986

Tim O'Connor's Blog

Tim O'Connor's Blog

Covers stockbroker fraud.

http://stockbrokerlaw.com/tim-oconnors-blog
  • Aug 12

    ERISA Plan Trustees Subject to Offsets for Prohibited Transactions as Functional Fiduciarie

    ERISA Plan Trustees Subject to Offsets for Prohibited Transactions as Functional Fiduciarie
    ERISA-Qualified Pension Plans The past decade has seen an explosion of new investment products being purchased in ERISA-qualified pension plans. These products, including structured products, auction rate notes, private placements, managed…
  • Jul 31

    Tenants-in-Common Investments: An Accident Waiting to Happen

    Tenants-in-Common Investments: An Accident Waiting to Happen
    The most common form of tenancy-in-common interests involves ownership interests in real property, with two or more persons possessing undivided interests in the property. Section 1031 of the Internal Revenue Code codified permissible…
  • Jul 21

    New York State Deferred Compensation Plan Beneficiary Designation

    New York State Deferred Compensation Plan Beneficiary Designation
    The New York State Deferred Compensation Plan is presently administered through Nationwide, and curiously, beneficiary designation forms must be mailed to an address in Ohio, not New York State. The New York State Deferred Compensation Plan…
Rank this Week: 1811

Alixe Cormick: Small Cap Lawyer

Alixe Cormick: Small Cap Lawyer

Focuses on Canadian and United States securities law matters of interest to micro and small cap companies.

http://www.alixecormick.com
  • Apr 30

    Welcome to Canada! Using Regulation A+ to List on the CSE, TSX or TSX Venture Exchange

    Welcome to Canada! Using Regulation A+ to List on the CSE, TSX or TSX Venture Exchange
     By Alixe Cormick Using Regulation A in conjunction with listing on the CSE, TSX, or TSX Venture Exchange in Canada is an option that will become more practical for United States (US) based issuers once proposed changes to Regulation A…
  • Apr 21

    How Much Does an Offering Memorandum Cost?

    How Much Does an Offering Memorandum Cost?
    By Alixe Cormick Asking what the “all-in-costs” are for preparing an offering memorandum (an OM) is like asking how much it costs to build a house. A new 4,000 square foot custom-built house in West Vancouver, BC will cost more…
  • Apr 17

    Where You Can Find the Proposed Canadian Equity Crowdfunding Rules and Form

    Where You Can Find the Proposed Canadian Equity Crowdfunding Rules and Form
      By Alixe Cormick In Canada, two crowdfunding specific exemption proposals are out for public comment: a start-up crowdfunding exemption and an integrated crowdfunding exemption. Six provinces (including Saskatchewan) are…
Rank this Week: 1598

The Lebrecht Group, APLC Blog

The Lebrecht Group, APLC Blog

Discusses corporate securities law .

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: 1668

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: 1258

Dividends and Preferences

Dividends and Preferences

Musings on Venture Capital, Technology and Entrepreneurship. By Hank J. Heyming.

http://www.dividendsandpreferences.com/
  • Jan 24

    Microsoft/Skype -- Putting Things into Perspective

    Microsoft/Skype -- Putting Things into Perspective
    {EAV:984c4a016f17013d} Microsoft acquires Skype! Largest Microsoft acquisition ever!! Facebook jilted!!! Google jilted!!!! Wait, Facebook wins through Microsoft!!!!! Wait, Microsoft overpaid by $4 billion with a B!!!!!! OMG Google just…
  • May 10

    Nerd Chic

    Nerd Chic
    Lately, I've noticed a new twist to the typical ebb and flow of the fashion wars.  It occurred to me that, for perhaps the first time in my lifetime, it is cool right now to be a nerd.
  • Apr 25

    Out and About

    Out and About
    Hey folks -- I'm getting ready to head down to the RTP area for the annual CED Venture Conference.  This year it is in downtown Raleigh, instead of Pinehurst, and looks to be bigger and better than ever. So, if anyone happens to be in the…
Rank this Week: 1949