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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 LawyerGoing public is a big step for any company.  The process of “going public” is complex and at times precarious.  While going public offers many benefits it also comes with risks and quantities of…
  • Jan 1

    Going Public Blog l Securities Lawyer 101

    Going Public Blog l Securities Lawyer 101
    Going Public Lawyer  Securities Lawyer 101 Blog Going public is a big step for any company.  The process of “going public” is complex and at times precarious.  While going public offers many benefits it also comes…
Rank this Week: 58

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Feb 27

    Chair Massad Highlights Recent CFTC Actions and Prioritie

    Chair Massad Highlights Recent CFTC Actions and Prioritie
    [This story previously appeared in Securities Regulation Daily.]By Amanda Maine, J.D.The global financial crisis demonstrated how excessive risk in the over-the-counter (OTC) derivatives market can contribute to systemic risk, according…
  • Feb 26

    Commission Puts the Brakes on Goodyear FCPA Violation

    Commission Puts the Brakes on Goodyear FCPA Violation
    [This story previously appeared in Securities Regulation Daily.]By Rodney F. Tonkovic, J.D.The Goodyear Tire & Rubber Company will pay over $16 million to settle charges of FCPA violations arising from bribes paid by subsidiaries in…
  • Feb 25

    IM Guidance Recommends Policy Updates to Guard Against Buyoff

    IM Guidance Recommends Policy Updates to Guard Against Buyoff
    [This story previously appeared in Securities Regulation Daily.]By Amy Leisinger, J.D.The SEC’s Division of Investment Management has issued guidance to caution investment advisers regarding the conflict of interest that arises…
Rank this Week: 430

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/
  • Feb 27

    Investigation into Unite Realty Trust

    Investigation into Unite Realty Trust
    Recent news regarding the real estate investment trust, United Realty Trust, may be of concern to some investors. According to Investment news, a former executive of Cabot Lodge securities, Al Akerman, sent a letter to the SEC’s Office…
  • Feb 20

    Jason Muskey Accused of Fraud

    Jason Muskey Accused of Fraud
    Have you suffered financial losses as a result of investments made with Jason Muskey? If so, The White Law Group may be able to help you recover your investment losses through an arbitration claim with the Financial Industry Regulatory…
  • Feb 20

    Fraud Charges filed against Timothy S. Demski and Walter F. Grenda

    Fraud Charges filed against Timothy S. Demski and Walter F. Grenda
    If you suffered losses investing in Prestige Wealth Management Fund, the securities attorneys of The White Law Group may be able to help you recover your investment losses. According to a press release, the Securities and Exchange Commission…
Rank this Week: 704

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Feb 27

    Capital Investment Group broker, Wanda Newton Cooper: stock fraud firm hearing complaint

    Capital Investment Group broker, Wanda Newton Cooper: stock fraud firm hearing complaint
    New York based stock fraud attorneys at Fitapelli Kurta are interested in speaking to investors who have complaints about Capital Investment Group or Wanda Newton Cooper. The post Capital Investment Group broker, Wanda Newton Cooper: stock…
  • Feb 26

    Berthel, Fisher’s Thomas Biesheuvel faces pending complaint

    Berthel, Fisher’s Thomas Biesheuvel faces pending complaint
    Thomas Biesheuvel is the CEO of InConcert Financial Group, an independent consulting company offering securities through Berthel, Fisher & Co. InConcert Financial Group is located in El Cerrito, California. Thomas Biesheuval is a…
  • Feb 10

    Broker-dealer firm, M & T Securities, fined $300,000 by FINRA

    Broker-dealer firm, M & T Securities, fined $300,000 by FINRA
    February 10, 2015, New York – M & T Securities, a Buffalo based broker-dealer firm, was fined $300,000 by the Financial Industry Regulatory Authority (FINRA) on January 29, 2015. The post Broker-dealer firm, M & T Securities,…
Rank this Week: 224

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/
  • Feb 27

    Read Our White Collar Magazine on Flipboard. Seriously.

    Read Our White Collar Magazine on Flipboard. Seriously.
    This weekend, flip through White Collar magazine (by Jack Sharman) http://flip.it/rkxEc and follow it for white-collar news and notes. If you don’t use Flipboard, it is very handy as a personalized news aggregator.  …
  • Feb 21

    White Collar Wire Now on Facebook and Tumblr

    White Collar Wire Now on Facebook and Tumblr
      With some trepidation, we finally took the plunge and established a White Collar Wire page on Facebook. Please go over there and “like” it, “friend” it an otherwise approve us.  I promise it will…
  • Feb 20

    When Your Lawyer Dimes You In A Wireless World: Undercover Techniques and White-Collar Investigation

    When Your Lawyer Dimes You In A Wireless World: Undercover Techniques and White-Collar Investigation
    It has become commonplace to note the ascendancy in white-collar investigations of techniques previously reserved for investigations of organized crime and violent, life-and-death offenses. Three recent articles bring the issue around again.…
Rank this Week: 1782

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/
  • Feb 27

    CSA release 2014 Enforcement Report

    CSA release 2014 Enforcement Report
    The Canadian Securities Administrators recently released their 2014 Enforcement Report, which provides a summary of the enforcement actions undertaken by CSA members over the past year. According to the report, CSA member staff initiated 105…
  • Feb 27

    IIROC proposes adjusting margin requirements for agency lending agreement

    IIROC proposes adjusting margin requirements for agency lending agreement
    The Investment Industry Regulatory Organization of Canada yesterday proposed amendments to Dealer Member Form 1 intended to address concerns that current rules do not set out specific margin requirements for agency cash and security…
  • Feb 26

    OSC releases 2014 report for investment fund and structured product issuer

    OSC releases 2014 report for investment fund and structured product issuer
    Darin Renton -  The OSC last week released its annual Summary Report for Investment Fund and Structured Product Issuers, which reviewed the OSC's initiatives for 2014 that impact investment fund and structured product issuers (including…
Rank this Week: 4151

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: 555

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
  • Feb 27

    World Equity Group Is Charged for Failing to Supervise Sales of Risky Investment

    World Equity Group Is Charged for Failing to Supervise Sales of Risky Investment
    From the Desk of Jim Eccleston at Eccleston Law Offices:FINRA has accused World Equity Group, an Illinois based brokerage firm, of failing to supervise the sale of non-traditional Exchange Traded Funds (ETFs), failing to properly document due…
  • Feb 24

    First American Securities Charged for Failing to Supervise Broker

    First American Securities Charged for Failing to Supervise Broker
    From the Desk of Jim Eccleston at Eccleston Law Offices: First American Securities, Inc., an Ohio-based brokerage firm, was fined by FINRA for failing to implement, maintain and enforce a proper supervisory system. According to FINRA,…
  • Feb 18

    Deferred Compensation Is the New Black For Wirehouses Payment Grid

    Deferred Compensation Is the New Black For Wirehouses Payment Grid
    From the Desk of Jim Eccleston at Eccleston Law Offices:Many wirehouses have deferred compensations for their advisors. Even though the whole grids were largely left intact, compensation is inarguably more back loaded, and therefore somewhat…
Rank this Week: 129

Recover Investment Losses Blog

Recover Investment Losses Blog

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

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

    Charles Kilway of North Richland Hills, TX, Sentenced for Securities Fraud

    Charles Kilway of North Richland Hills, TX, Sentenced for Securities Fraud
    February 19, 2015- North Richland Hills, Texas The Texas State Securities Board announced that Charles Wayne Kilway was sentenced to 15 years in state prison for the fraudulent sale of securities and 15 years for theft of property from the…
  • Feb 27

    Newbridge Securities Agrees to Pay $850,000 in Inflated Postage Charge Class Action

    Newbridge Securities Agrees to Pay $850,000 in Inflated Postage Charge Class Action
    February 27, 2015- Ft. Lauderdale, FL The InvestmentNews reports that Newbridge Securities Corp. , which is headquartered in Ft. Lauderdale, Florida, has agreed to pay $850,000 to resolve a class action lawsuit alleging that Newbridge…
  • Feb 27

    Alabama Broker Terry Bagwell Sanctioned by Securities Regulator

    Alabama Broker Terry Bagwell Sanctioned by Securities Regulator
    February 26, 2015  – Birmingham, Alabama Terry Joe Bagwell   entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve…
Rank this Week: 768

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

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

    Gana LLP Broker Spotlight: Wade Lawrence

    Gana LLP Broker Spotlight: Wade Lawrence
    According to the records kept by the Financial Industry Regulatory Authority (FINRA) broker Wade Lawrence (Lawrence) has been suspended following the broker’s failure to comply with an arbitration award or settlement and by failing to…
  • Feb 27

    FINRA Files Complaint Against Daniel McCourt Concerning Promissory Note

    FINRA Files Complaint Against Daniel McCourt Concerning Promissory Note
    The Financial Industry Regulatory Authority (FINRA) filed a complaint against broker Daniel McCourt (McCourt) concerning allegations McCourt participated in private securities transactions, also known as “selling away”, without…
  • Feb 26

    FINRA Sanctions Broker Douglas Campbell Jr. Over Unsuitable Investment Advice

    FINRA Sanctions Broker Douglas Campbell Jr. Over Unsuitable Investment Advice
    The Financial Industry Regulatory Authority (FINRA) sanctioned broker Douglas Campbell Jr. (Campbell) concerning allegations that between May 2008 and September 2008, while registered with Wedbush Morgan Securities, Inc. (Wedbush), he engaged…
Rank this Week: 1105

Business Blog

Business Blog

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

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

    List of FINRA Exam Priorites for 2015

    List of FINRA Exam Priorites for 2015
    The Financial Industry Regulatory Authority (“FINRA”) recently published its 2015 Regulatory and Examinations Priorities Letter. The priorities for this year are divided into the following three categories: key sales practices,…
  • Feb 26

    Monitoring Employees Internet Use: Is It Ok to Snoop?

    Monitoring Employees Internet Use: Is It Ok to Snoop?
    From posting to social media to online shopping, the Internet can be a major distraction in the workplace. For employers concerned about productivity, it is important to understand what you can and cannot when it comes to monitoring employees…
  • Feb 25

    What You Can Do If Your Bank Account Been Hacked.

    What You Can Do If Your Bank Account Been Hacked.
    If you use your debit card at a store or gas station where you don’t know the workers, there is added danger that your bank information could be swiped and the stolen information used by a thief to access your bank account using…
Rank this Week: 819

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Feb 27

    Proxy Access: Citigroup Joins GE & Others (Sorta Kinda)

    Proxy Access: Citigroup Joins GE & Others (Sorta Kinda)
    A few weeks ago, I blogged that General Electric and two other companies had adopted proxy access bylaws in the face of shareholder proposals seeking access. Now comes the news from this WSJ article (& this Reuters piece) – in this…
  • Feb 26

    Should the SEC Shorten Its Adopting Releases By Providing Less Guidance, Etc.?

    Should the SEC Shorten Its Adopting Releases By Providing Less Guidance, Etc.?
    Recently, SEC Commissioner Piwowar delivered this speech entitled “A Fair, Orderly, and Efficient SEC.” The piece of the speech that interested me was the one below calling for shorter adopting releases – and perhaps even…
  • Feb 25

    Proxy Access: CalPERS & CalSTRS Weigh In

    Proxy Access: CalPERS & CalSTRS Weigh In
    In this recent joint statement about climate change, CalPERS and CalSTRS note that they intend to ramp up their engagement efforts on this topic. In the announcement, CalPERS states it has sent proxy access shareholder proposals to 33 energy…
Rank this Week: 884

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/
  • Feb 27

    Is Anything Fishy With The SEC’s Whistleblower Inquiries?

    Is Anything Fishy With The SEC’s Whistleblower Inquiries?
    Yesterday, Rachel Louise Ensign of The Wall Street Journal wrote that the SEC recently sent letters “to a number of companies asking for years of nondisclosure agreements, employment contracts and other documents”.  According…
  • Feb 26

    Finders Bill Was Lost, But Now Is Found

    Finders Bill Was Lost, But Now Is Found
    In the last legislative biennium, the Corporations Committee of the Business Law Section of the California State Bar sponsored a bill, AB 713 (Wagner), to clarify the status of finders under the California Corporate Securities Law of…
  • Feb 25

    The “Long Arm” Of Section 2115 May Be Shorter Than Some Believe

    The “Long Arm” Of Section 2115 May Be Shorter Than Some Believe
    Recently, I came across a prospectus that included a description of California Corporations Code Section 2115 under the caption “Description of Capital Stock”.  The description began: We are a Delaware corporation, governed…
Rank this Week: 447

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • Feb 27

    Cornerstone Research Releases 2014 M&A Litigation Report

    Cornerstone Research Releases 2014 M&A Litigation Report
    According to the latest report from Cornerstone Research, during 2014, over 90 percent of M&A transactions resulting in at least one lawsuit, but each deal attracted a smaller average number of lawsuits and in fewer jurisdictions than in…
  • Feb 27

    The D&O Diary Goes Down Under

    The D&O Diary Goes Down Under
    The D&O Diary is on assignment in Australia this week. Here’s what you need to know about Sydney in late February – if you traverse the vast expanse of the Pacific Ocean, fly across the Equator and the International Date Line,…
  • Feb 25

    Guest Post: Despite SLUSA, Plaintiffs File IPO Lawsuits in State Court

    Guest Post: Despite SLUSA, Plaintiffs File IPO Lawsuits in State Court
    In a recent post, I noted the curious phenomenon of plaintiffs filing IPO-related securities class lawsuits in state court. Plaintiffs have this option under the concurrent jurisdiction provisions of the ’33 Act, but I still wondered…
Rank this Week: 389

Cady Bar the Door

Cady Bar the Door

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

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

    Two-Factor Authentication May Be Coming to a Bank Near You

    Two-Factor Authentication May Be Coming to a Bank Near You
    When I was at the SEC and online broker-dealers’ customers were the victims of hacking incidents, I used to wonder, why don’t the broker-dealers require multi-factor authentication to gain access to accounts?  It was a silly…
  • Feb 23

    In Ordering Disgorgement in SEC Cases, Courts Have Discretion, but Not That Much Discretion

    In Ordering Disgorgement in SEC Cases, Courts Have Discretion, but Not That Much Discretion
    When defendants argue in federal court against the SEC’s calculation of a disgorgement figure, they hear a lot of this: “A district court has broad discretion to order disgorgement of profits obtained through violation of federal…
  • Feb 19

    The FCPA on Prezi

    The FCPA on Prezi
    I spoke at the UNC Festival of Legal Learning last week about recent developments in the law surrounding the FCPA.  It’s always a little tricky speaking to novices in any area, because you have to lay a lot of groundwork for the…
Rank this Week: 2944

Subject to Inquiry

Subject to Inquiry

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

http://www.subjecttoinquiry.com/
  • Feb 26

    SEC Speaks 2015: Enforcement Highlight

    SEC Speaks 2015: Enforcement Highlight
    On February 20, 2015, the Securities and Exchange Commission (SEC) held its annual SEC Speaks conference, which updated the public regarding the staff’s work over the last year and its plans for 2015. The conference covered several…
  • Feb 23

    Guilty Plea in DOJ’s First Criminal Prosecution for Campaign Finance Coordination

    Guilty Plea in DOJ’s First Criminal Prosecution for Campaign Finance Coordination
    The news media has already engaged in rampant speculation regarding the potential candidates from both parties in the 2016 presidential election. Inextricably tied to the talk of political campaigns is the public discussion about campaign…
  • Feb 20

    PCAOB Update: 2015 Budget and Broker-Dealer Audit

    PCAOB Update: 2015 Budget and Broker-Dealer Audit
    On Feb. 4, 2015, Public Company Accounting Oversight Board (PCAOB) Chairman James R. Doty provided an update on the Board’s 2015 budget at the Securities and Exchange Commission’s (SEC’s) Open Meeting in Washington, D.C.…
Rank this Week: 3693

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

http://www.seclawyersblog.com/
Rank this Week: 899

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/
  • Feb 26

    Activision: Shareholder Challenging $275 Million Settlement

    Activision: Shareholder Challenging $275 Million Settlement
    This Reuters article provides an interesting summary of some of the issues relating to the proposed settlement – and the expected objection – in the In re Activision Blizzard settlement announced last November. In addition to an…
  • Feb 25

    Webcast: “Private M&A Wake-Up Calls”

    Webcast: “Private M&A Wake-Up Calls”
    Tune in tomorrow for the webcast – “Private M&A Wake-Up Calls: Conflicted Board Risks, Post-Closing Unenforceability & Shareholder Approval/Duty of Care Traps” – to hear Cleary Gottlieb’s Ethan…
  • Feb 23

    One Plaintiff, Dozens of Merger Objection Lawsuits, Millions in Attorneys’ Fees, Zero for Shareholder

    One Plaintiff, Dozens of Merger Objection Lawsuits, Millions in Attorneys’ Fees, Zero for Shareholder
    Here’s an excerpt from this blog by Kevin LaCroix of the D&O Diary: It is now well-established that pretty much every M&A deal attracts at least one lawsuit from a shareholder objecting to the transaction. According to research…
Rank this Week: 557

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
  • Feb 25

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
    After Credit Card Expense Suspension, Stockbroker Barred By Liens And JudgmentsIf you were lucky to dodge a regulatory bullet, don't count on your deft footwork to bail you out a second time.  In a recent FINRA regulatory settlement, we…
  • Feb 25

    After Credit Card Expense Suspension, Stockbroker Barred By Liens And Judgment

    After Credit Card Expense Suspension, Stockbroker Barred By Liens And Judgment
    If you were lucky to dodge a regulatory bullet, don't count on your deft footwork to bail you out a second time.  In a recent FINRA regulatory settlement, we have the circumstance of a registered person who improperly charged his firm's…
  • Feb 24

    Supreme Court Asks If A Fish Is Always A Fish Or Sometimes A Computer Hard Drive

    Supreme Court Asks If A Fish Is Always A Fish Or Sometimes A Computer Hard Drive
    Sometimes a cigar is a cigar. Sometimes a fish is a fish -- or a grouper. Sometimes, however, federal prosecutors would have you believe that a fish is a digital drive on which evidence is written and archived and .  . . well, you know…
Rank this Week: 1159

Securities Fraud Attorney Blog

Securities Fraud Attorney Blog

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

http://www.securitiesfraudattorneyblog.com/
  • Feb 25

    Brokers May Soon Be Subject to Fiduciary Duty to Their IRA Investor

    Brokers May Soon Be Subject to Fiduciary Duty to Their IRA Investor
    A leaked White House memo supports imposing fiduciary duties on brokers in their dealings with IRA investors, as reported by the New York Times. Current rules provide a weaker standard for brokers. The memo estimates that the absence of…
  • Feb 19

    Securities Arbitration Award Against Merrill Lynch Upheld

    Securities Arbitration Award Against Merrill Lynch Upheld
    This week, the New Jersey Supreme Court denied the appeal of an arbitration award against Merrill Lynch by the Associated Humane Societies Inc. of Tinton Falls, N.J. In the original FINRA arbitration, the society alleged that certain of its…
  • Feb 19

    Brokers Must Consider New Market Realities When Determining the Suitability of Asset Allocation for Young Investor

    Brokers Must Consider New Market Realities When Determining the Suitability of Asset Allocation for Young Investor
    Does the conventional wisdom regarding asset allocation hold up in today’s economy? The New York Times recently featured an article suggesting that a portfolio teeming with risky stocks, derivatives, and other exotic investments may,…
Rank this Week: 1865

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/
  • Feb 25

    A Valuable Point From The NC Business Court On Subpoenas Without Deposition

    A Valuable Point From The NC Business Court On Subpoenas Without Deposition
    Can you send a subpoena duces tecum -- which translated from Latin is "a writ commanding a person to produce in court certain designated documents or evidence " --  without coupling it with a deposition? Maybe that question has never…
  • Feb 12

    The Business Court Rules Again On Claims Under The North Carolina Securities Act

    The Business Court Rules Again On Claims Under The North Carolina Securities Act
    Last week's decision in Atkinson v. Lackey, 2015 NCBC 13 doesn't tell you everything you wanted to know about the North Carolina Securities Act (the "NCSA"), but it comes pretty close. The lawsuit was brought by three individuals who had made…
  • Feb 11

    An Answer To A Million Dollar Question About Designating Cases To The NC Business Court

    An Answer To A Million Dollar Question About Designating Cases To The NC Business Court
    This past Friday, I went to a seminar put on by the Antitrust and Complex Business Disputes Law Section of the North Carolina Bar Association in an almost successful effort to finish getting my required CLE hours for 2014.  This seminar…
Rank this Week: 2116

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: 1467

Footnoted

Footnoted

Reports on actionable information in SEC filings.

http://www.footnoted.com/
Rank this Week: 3463

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/
  • Feb 24

    Stifel Confirms Acquisition of Sterne Agee

    Stifel Confirms Acquisition of Sterne Agee
    After weeks of speculation, St. Louis-based Stifel Financial announced it has entered a definitive merger agreement to acquire Birmingham's Sterne Agee Group Inc. in a $150 million deal. Sterne Agee brings 730 financial advisers and…
  • Feb 23

    With 100% Success Rate, SEC's Use of In-House Judges Questioned by Commissioner Piwowar

    With 100% Success Rate, SEC's Use of In-House Judges Questioned by Commissioner Piwowar
    The SEC's increased use of administrative proceedings as the forum for its enforcement actions has come under fire in recent months, with many of the respondents in those cases filing lawsuits arguing (unsuccessfully) that administrative…
  • Feb 13

    SEC Commissioner Agrees - FINRA's CARDS Proposal is Nut

    SEC Commissioner Agrees - FINRA's CARDS Proposal is Nut
    FINRA, a non-governmental, private entity, is pushing to force brokerage firms to deliver details of every transaction in every brokerage account, including yours, to it, every day.  The concept, known as CARDS, is simply mind boggling.…
Rank this Week: 369

New York Securities Lawyers Blog

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

http://www.newyorksecuritieslawyersblog.com/
Rank this Week: 2503

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • Feb 23

    Josh Horn’s Great Guidance on RIA Conflicts of Interest

    Josh Horn’s Great Guidance on RIA Conflicts of Interest
    We are pleased to share with everyone Josh Horn’s excellent guidance on RIA conflicts of interest, recently, published in the Practical Compliance and Risk Management for the Securities Industry, a professional journal published by…
  • Feb 23

    What FINRA Is Doing About Private Placement

    What FINRA Is Doing About Private Placement
    FINRA recently censured and fined a broker-dealer $175,000.00 for failing to perform appropriate due diligence and supervision regarding private placements that the firm and its registered representatives offered. This penalty should serve as…
  • Feb 18

    FINRA in 2015 – High-Risk and Recidivist Broker

    FINRA in 2015 – High-Risk and Recidivist Broker
    FINRA is planning on turning up the heat on perceived “high-risk” brokers this year, and the firms that hire them.  Continuing our discussion regarding FINRA’s 2015 Regulatory and Examinations Priorities Letter, this…
Rank this Week: 2460

InvestorLawyers.net

InvestorLawyers.net

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

http://www.investorlawyers.net/blog/
Rank this Week: 1609

Securities Mining Law

Securities Mining Law

Covers securities law affecting the mining industry in Canada.

http://www.securitiesmininglaw.com/
  • Feb 23

    PDAC

    PDAC
    Only going to one mining investment show? Make it this one. PDAC International Convention, Trade Show & Investors Exchange is the world’s leading Convention for people, companies and organizations in, or connected with, mineral…
  • Dec 3

    Important Changes to Offerings to Existing Security Holders and Rights Offerings and their Impact on the Mining Sector in Canada

    Important Changes to Offerings to Existing Security Holders and Rights Offerings and their Impact on the Mining Sector in Canada
    Two important developments were announced today that affect how Canadian reporting issuers can raise capital from their existing security holders: The Ontario Securities Commission (“OSC”) announced the introduction of a new…
  • Nov 5

    Mining seminar

    Mining seminar
    Please join Dentons’ Mining Group at the Terminal City Club on Tuesday, November 18, 2014, as we discuss the following topics: “Tax pitfalls and planning for the mining sector,” presented by Anne Calverley, Partner (Dentons…
Rank this Week: 2831

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/
  • Feb 23

    SEC Speaks 2015

    SEC Speaks 2015
    At SEC Speaks 2015 on February 20, 2015 in Washington, D.C., Chair Mary Jo White, Commissioner Luis A. Aguilar, Commissioner Daniel M. Gallagher, Commissioner Michael S. Piwowar, and Commissioner Kara M. Stein delivered remarks. The texts of…
  • Feb 23

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: Jesse Scott, Student Article, The JOBS Act: Encouraging Capital Formation, But Not IPOs, 7 J. Bus. Entrepreneurship & L. 367 (2014).…
  • Feb 23

    This Week in Securities Litigation

    This Week in Securities Litigation
    The SEC Actions Blog has compiled This Week In Securities Litigation (Week ending February 20, 2015).
Rank this Week: 182

White Collar Alert

White Collar Alert

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

http://whitecollarblog.mmwr.com
Rank this Week: 3397

The Securities Edge

The Securities Edge

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

http://www.thesecuritiesedge.com/
  • Feb 20

    Ineffective disclosure

    Ineffective disclosure
    Posted By: Robert B. Lamm It’s not for nothing that I’m a securities lawyer.  I sincerely believe in the need for and efficacy of full and fair disclosure, both professionally and personally.  That’s one of the…
  • Feb 12

    Marketplace lending: A hot new industry looking for crowdfunding

    Marketplace lending: A hot new industry looking for crowdfunding
    Posted By: Gregory K. Bader Marketplace lending surely had its day in the sun in 2014.  Peer-to-peer lending, which now goes by the term marketplace lending, took a big step forward last year.  We saw the IPO of Lending Club rocket…
  • Jan 25

    In sickness and in health

    In sickness and in health
    Posted By: Robert B. Lamm Jamie Dimon, CEO of JPMorgan Chase, is reputed to be a decisive person with a strong personality.  Of course, that shouldn’t be news to anyone who follows business or who knows what it takes to be CEO of…
Rank this Week: 3194

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Feb 20

    Give and Take

    Give and Take
    To what extent does a company have to anticipate that its actions could result in a negative regulatory outcome?  In Fire and Police Pension Association of Colorado v. Abiomed, Inc., 2015 WL 500748 (1st Cir. Feb. 6, 2015), the…
  • Jan 30

    Compare and Contrast

    Compare and Contrast
    NERA Economic Consulting and Cornerstone Research (in conjunction with the Stanford Securities Class Action Clearinghouse) have released their 2014 annual reports on securities class action filings.  As usual, the different methodologies…
  • Jan 24

    Domestic Statu

    Domestic Statu
    Under the Morrison test for extraterritoriality, a Section 10(b) claim for securities fraud may only be brought if the transaction involved “the purchase or sale of a security listed on an American stock exchange” or “the…
Rank this Week: 891

100 F Street

100 F Street

Covers securities law for growing businesses. By Vanessa Schoenthaler.

http://100fstreet.com/
  • Feb 20

    ISS Releases FAQs Related to Its 2015 Proxy Voting Policie

    ISS Releases FAQs Related to Its 2015 Proxy Voting Policie
    Yesterday Institutional Shareholder Services (ISS) released a set of five frequently asked questions related to select proxy voting policies for the 2015 proxy season. The first two questions address shareholder proxy…
  • Feb 16

    Catching Up on All Things Proxy Related From Last Week

    Catching Up on All Things Proxy Related From Last Week
    Among the many things Commission-related going on as of late, here’s a round of up some of the more notable proxy-related matters from the week that was February 9th. The Upcoming Proxy Voting Roundtable On Thursday the Commission…
  • Feb 9

    The SEC Issues Proposed Rules Regarding Disclosure of Hedging by Employees and Director

    The SEC Issues Proposed Rules Regarding Disclosure of Hedging by Employees and Director
    Yesterday the Securities and Exchange Commission announced the adoption of proposed rules to implement Section 955 of the Dodd-Frank Wall Street Reform and Consumer Protection Act which addresses disclosure of company policies…
Rank this Week: 4521

William Carleton, Counselor @ Law

William Carleton, Counselor @ Law

Covers legal and investment issues facing emerging tech companies.

http://www.wac6.com/wac6/
  • Feb 20

    First Cherry Blossom

    First Cherry Blossom
    Wet and temperate in Seattle this morning. And look, Spring!
  • Feb 9

    Lark & Environ

    Lark & Environ
    Interesting stuff going on at, let's call it 10th and Seneca, about a half block east of Broadway off Madison. Lark has recently moved there, and, based on one dinner experience at the new location, is as good or better...
  • 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…
Rank this Week: 1373

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/
  • Feb 18

    US Probing Whether Morgan Stanley Data Breach Was Linked to Fired Financial Adviser

    US Probing Whether Morgan Stanley Data Breach Was Linked to Fired Financial Adviser
    A U.S investigation into the way Morgan Stanley (MS) information became available for sale online is looking at whether hackers targeted financial adviser Galen Marsh after he took information from the bank. Marsh was fired for taking data on…
  • Feb 17

    EU Fines ICAP $17M for Helping Traders Manipulate Yen Libor

    EU Fines ICAP $17M for Helping Traders Manipulate Yen Libor
    The European Commission says that ICAP Plc has been ordered to pay a $17.2 million fine for helping traders manipulate benchmark interest rates linked to the Japanese yen. The word’s largest broker of transactions between banks is…
  • Feb 16

    New Details Accusing HSBC of Aiding Tax Evaders Emerge

    New Details Accusing HSBC of Aiding Tax Evaders Emerge
    New information regarding HSBC Holdings PLC’s (HSBC) history of aiding tax evaders has been released by ex-employee Hervé Falciani to a number of media outlet, as well as the International Consortium of Investigative Journalists.…
Rank this Week: 939

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/
  • Feb 18

    U.S. Bank National Association Must Pay $18M to Peregrine Customers, Says Court

    U.S. Bank National Association Must Pay $18M to Peregrine Customers, Says Court
    A district court issued a Consent Order placing a permanent injunction against the U.S. Bank National Association and mandating that the bank return $18 million to customers of Peregrine Financial Group, Inc. customers. US Bank has offices…
  • Feb 17

    DOJ Investigating UBS Over Losses Related To Firm’s V10 Enhanced FX Carry Strategy

    DOJ Investigating UBS Over Losses Related To Firm’s V10 Enhanced FX Carry Strategy
    UBS Group AG (UBS) is under scrutiny over losses related to its V10 Enhanced FX Carry Strategy. The complex financial product was sold to fund managers, businesses, and individual investors and touted as a high-yielding foreign-exchange…
  • Feb 16

    Jury Says Ex-Envoy Involved in Stanford Ponzi Scam Must Pay $750K

    Jury Says Ex-Envoy Involved in Stanford Ponzi Scam Must Pay $750K
    A federal jury has decided that ex-U.S. Ambassador to Ecuador Peter Romero would not be allowed to keep over $758K in expenses, fees, and interest he earned while lending his legal counsel and credibility to Allen Stanford. Instead, he will…
Rank this Week: 181

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/
  • Feb 18

    FINRA’s Regulatory and On-Site Exam Priorities for 2015

    FINRA’s Regulatory and On-Site Exam Priorities for 2015
    Gear up and prepare yourselves –FINRA says they’re concerned with: 1)      Senior Investors. Due to the aging of “Baby Boomers,” the population of senior investors is large…
  • Feb 9

    The SEC’s View on Historic Fine

    The SEC’s View on Historic Fine
    When former federal prosecutor Mary Jo White was appointed the Chairwoman of the Securities and Exchange Commission (“SEC”), everyone in the securities industry knew right away that…
  • Jan 29

    Major SEC Enforcement Actions Since 2009

    Major SEC Enforcement Actions Since 2009
    The United States Securities and Exchange Commission (SEC) has been extremely busy since the financial crisis. The SEC’s increase in its efforts to tackle violations has managed…
Rank this Week: 3685

Stock Market Loss

Stock Market Loss

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

http://www.stockmarketloss.com/news/
Rank this Week: 2735

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/
  • Feb 16

    Securities Clawback Actions May be Subject to Arbitration Clause

    Securities Clawback Actions May be Subject to Arbitration Clause
    The United States Court of Appeals for the Eleventh Circuit recently held that “clawback actions brought by court-appointed receivers are not categorically exempt from the Federal Arbitration Act.”  Wiand v. Schneiderman,…
  • Feb 6

    Standard & Poor’s to Pay $1.375 Billion to Settle Lawsuit

    Standard & Poor’s to Pay $1.375 Billion to Settle Lawsuit
    According to the Department of Justice, rating agency Standard & Poor’s Financial Services, LLC (“S&P) and its parent company McGraw Hill Financial, Inc. have agreed to settle multiple lawsuits brought by the federal…
  • 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…
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
Rank this Week: 875

BD Law Blog

BD Law Blog

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

http://www.bdlawblog.com/
  • Feb 13

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

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

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

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

    Lessons learned from putting on "the Suit."

    Lessons learned from putting on "the Suit."
    Every now and then I use my blog to share with you things not necessarily related to the law, or to our practice areas of financial markets law, estate planning or business law. Today's one of those days, and I...
Rank this Week: 1914

New York Securities Lawyer Blog

New York Securities Lawyer Blog

Covers securities law. By Lax & Neville LLP.

http://www.newyorksecuritieslawyerblog.com/
Rank this Week: 3000

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
Rank this Week: 1757

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/
  • Feb 9

    Once again, House takes up bill governing M&A broker

    Once again, House takes up bill governing M&A broker
    HR 686, The Small Business Mergers, Acquisitions, Sales & Brokerage Simplification Act, was introduced in the U.S. House of Representatives on Feb. 3, 2015. This bill is identical to HR 2274, which was passed unanimously in the U.S. House…
  • 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…
Rank this Week: 2109

Strictly Business

Strictly Business

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

http://www.strictlybusinesslawblog.com/
Rank this Week: 1445