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Securities Lawyer 101

Securities Lawyer 101

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

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

    Going Public Blog l Securities Lawyer 101

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

    Going Public Blog l Securities Lawyer 101

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

    Court Enters Final Judgments in Sky Capital Boiler Room Case

    Court Enters Final Judgments in Sky Capital Boiler Room Case
    Going Public LawyerThe Securities and Exchange Commission (“SEC”) announced that on April 8th the Honorable Paul A. Crotty of the United States District Court for the Southern District of New York entered final judgments on…
Rank this Week: 386

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/
  • Dec 31

    SEC’s Report Evaluates The Definition of An Accredited Investor

    SEC’s Report Evaluates The Definition of An Accredited Investor
    The U.S. Securities and Exchange Commission (SEC) has put out a report assessing the definition of who qualifies as an accredited investor. The 2010 Dodd-Frank Act mandates that this definition be reevaluated every four years. Accredited…
  • Dec 29

    Wells Fargo Sued by Commerz Bank in Mortgage-Backed Securities Case

    Wells Fargo Sued by Commerz Bank in Mortgage-Backed Securities Case
    Commerzbank is suing Wells Fargo (WFC) for losses sustained on failed mortgage-backed securities (MBS). The German finance firm claims the California lending giant did not properly supervise MBS during the housing bubble, which Commerzbank…
  • May 19

    Former UBS Trader is Helping Prosecutors Pursue Forex Rigging Cases Against Individual

    Former UBS Trader is Helping Prosecutors Pursue Forex Rigging Cases Against Individual
    Bloomberg reports that according to sources, Matt Gardiner, a former UBS Group AG (UBS) trader who was part of the instant-messaging group the federal government identified when obtaining guilty pleas from Barclays PLC (BARC), Royal Bank of…
Rank this Week: 304

Stock Broker Fraud Blog

Stock Broker Fraud Blog

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

http://www.stockbrokerfraudblog.com/
Rank this Week: 580

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/
  • May 28

    Investors Filing Claims for Energy, Oil and Gas Stock Losse

    Investors Filing Claims for Energy, Oil and Gas Stock Losse
    With the collapse of oil prices over the past two years, many analysts were predicting a decline in the overall stock market, and in particular in oil and energy stocks. That of course, means an increase in securities arbitration claims…
  • May 26

    FINRA and SEC Actions Against Compliance Officer

    FINRA and SEC Actions Against Compliance Officer
    There was a time when FINRA and the SEC, gave compliance officers a pass in regulatory actions, except of course in the most egregious cases. Their job is tough enough without worrying about a regulatory complaint because of perceived…
  • May 24

    SEC Prevents Trader’s Profits From False Filing

    SEC Prevents Trader’s Profits From False Filing
    The Securities and Exchange Commission has obtained a court order to freeze the profits of a trader who allegedly manipulated a technology stock through a false regulatory filing traced to a computer in Pakistan.  The asset freeze issued…
Rank this Week: 2358

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/
  • May 27

    Master Limited Partnerships: What You Need to Know

    Master Limited Partnerships: What You Need to Know
    We have received several inquiries recently about investments in master limited partnerships (MLPs).  It seems that, although the popularity of MLPs is growing, many investors still don’t understand exactly what an MLP is or the…
  • May 20

    Crowdfunding and Securities?  What?!

    Crowdfunding and Securities?  What?!
    As many readers may know, “crowdfunding” is a modern innovation for raising money.  Typically using internet sites like Indiegogo, Kickstarter, or GoFundMe, a person can set up a website to raise money to develop a product or…
  • May 12

    Investment Advisor Fraud – Who You Gonna Sue?

    Investment Advisor Fraud – Who You Gonna Sue?
    Here’s something you probably don’t think about when you hire an investment advisor: who will I be able to sue if this person steals my money? Maybe you should think about it. If you’re dealing with a major brokerage firm…
Rank this Week: 265

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
  • May 27

    SEC Plans to Implement New Fiduciary Rule and Third Party Examination

    SEC Plans to Implement New Fiduciary Rule and Third Party Examination
    From the Desk of Jim Eccleston at Eccleston Law LLC:According to the most recent regulatory agenda, the Securities and Exchange Commission plans to propose a new set of rules to raise the standards for investment advisers and also to…
  • May 26

    First Enforcement Action under New Fiduciary Rule

    First Enforcement Action under New Fiduciary Rule
    From the Desk of Jim Eccleston at Eccleston Law LLC:In its first action brought forth under the new fiduciary requirement for municipal advisers, the SEC has charged a municipal adviser, its CEO, and two employees for their roles in failing…
  • May 25

    FINRA Chief Executive Richard Ketchum Will Focus on the Hiring of Bad Brokers and Firm Culture

    FINRA Chief Executive Richard Ketchum Will Focus on the Hiring of Bad Brokers and Firm Culture
    From the Desk of Jim Eccleston at Eccleston Law LLC:At the Financial Industry Regulatory Authority Inc.’s annual conference in Washington, FINRA Chairman and Chief Executive Richard G. Ketchum pointed out that a broker with a worrisome…
Rank this Week: 93

Securities Law Attorneys Blog

Securities Law Attorneys Blog

Covers securities law. By Fitapelli | Kurta.

http://www.securitieslawattorneys.net/
  • May 27

    Paul Valencia Has Regulatory Sanction and Customer Complaint

    Paul Valencia Has Regulatory Sanction and Customer Complaint
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 26, 2016 indicate that former California-based World Equity Group broker Paul Valencia has been sanctioned by FINRA. The securities and…
  • May 27

    Steven Larson Discharged from Oakbridge Financial Service

    Steven Larson Discharged from Oakbridge Financial Service
    Public records published by the Financial Industry Regulatory Authority (FINRA) on May 26, 2016 indicate that former Missouri-based Oakbridge Financial Services broker Steven Larson is currently not licensed to act as a broker or an…
  • May 27

    John Towers is Permanently Barred

    John Towers is Permanently Barred
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 25, 2016 indicate that former Texas-based VSR Financial Services broker John Towers has been permanently barred from acting as a broker or…
Rank this Week: 513

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

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

    Gregory Taylor Has Unethical Conduct Complaint

    Gregory Taylor Has Unethical Conduct Complaint
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 26, 2016 indicate that former Texas-based Morgan Stanley broker Gregory Taylor is currently not licensed to act as a broker or an investment…
  • May 27

    Broker Spotlight: Michael Marchassalla

    Broker Spotlight: Michael Marchassalla
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 26, 2016 indicate that former New York-based Oppenheimer broker Michael Marchassalla is currently not licensed to act as a broker or an…
  • May 27

    Paul Akre is Sanctioned by FINRA

    Paul Akre is Sanctioned by FINRA
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 24, 2016 indicate that Wisconsin-based Merrill Lynch broker/adviser Paul Akre has been sanctioned by FINRA. The securities and investment fraud…
Rank this Week: 173

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

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

    Broker Investigation: Churning Complaints Against Broker Nathaniel Clay

    Broker Investigation: Churning Complaints Against Broker Nathaniel Clay
    The securities lawyers of Gana LLP are investigating a customer complaint filed with The Financial Industry Regulatory Authority (FINRA) against broker Nathaniel Clay (Clay).  According to BrokerCheck records Clay has been subject to at…
  • May 27

    Customers File Complaints Against Bruce Slater Involving REITs, Oil and Gas, and Variable Annuitie

    Customers File Complaints Against Bruce Slater Involving REITs, Oil and Gas, and Variable Annuitie
    The securities lawyers of Gana LLP are investigating a customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Bruce Slater (Slater).  According to BrokerCheck records Slater has been subject to…
  • May 25

    FINRA Sanctions Broker Peyton Jackson Over Outside Business Activitie

    FINRA Sanctions Broker Peyton Jackson Over Outside Business Activitie
    The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Peyton Jackson (Jackson).  According to BrokerCheck records Jackson has been subject…
Rank this Week: 107

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

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

    Board Meeting: Ain’t Gonna Meet Itself

    Board Meeting: Ain’t Gonna Meet Itself
    In this 10-second video, Ehrlich from “Silicon Valley” has a board meeting that won’t meet itself: Happy Memorial Day! – Broc Romanek
  • May 26

    Auditor Independence: Unintended Consequences of “Loan Rule” Violation

    Auditor Independence: Unintended Consequences of “Loan Rule” Violation
    The disclosure in this Form 8-K filed by Invesco reflects a question posed to the Big 4 recently by the SEC Staff. This position by the SEC seems like it could ultimately impact clients of the Big 4 if a passive investor (eg. large bank)…
  • May 25

    Non-GAAP Measures: Are The New CDIs Kosher?

    Non-GAAP Measures: Are The New CDIs Kosher?
    The first thing I need to note is that I have moved up the date of our webcast – “Non-GAAP Disclosures: What Is Permissible?” – to Thursday, June 9th at 11 am eastern. Meredith Cross has joined the all-star panel too.…
Rank this Week: 425

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/
Rank this Week: 159

Recover Investment Losses Blog

Recover Investment Losses Blog

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

http://blog.rexsecuritieslaw.com
Rank this Week: 129

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: 2915

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

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

    Valeant staff comment dialogue spotlights non-GAAP measure

    Valeant staff comment dialogue spotlights non-GAAP measure
    By Mark S. Nelson, J.D.Valeant Pharmaceuticals International, Inc.’s answers to queries by SEC staff about the company’s financials may offer a glimpse into the SEC’s recent focus on non-GAAP financial measures. As the…
  • May 25

    SEC to up ‘qualified client’ threshold for performance-based fee

    SEC to up ‘qualified client’ threshold for performance-based fee
    By Amy Leisinger, J.D.The SEC intends to issue an order to adjust for inflation the dollar-amount thresholds in the Advisers Act rule permitting investment advisers to charge performance-based fees to “qualified clients.” The…
  • May 24

    Omitting speculative projections was not bad faith

    Omitting speculative projections was not bad faith
    By Anne Sherry, J.D.Directors of Chelsea Therapeutics did not breach their duty of loyalty in approving the biopharm company's sale to Lundbeck. The Chelsea shareholders seeking damages post-closing did not state a claim that the board acted…
Rank this Week: 2360

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: 1148

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/
  • May 26

    Taking Action That Affects The Shareholder Vote? Expect the “Gimlet Eye”

    Taking Action That Affects The Shareholder Vote? Expect the “Gimlet Eye”
    Here’s the intro for this Orrick memo: On May 19, 2016, the Delaware Chancery Court preliminarily enjoined the directors of Cogentix Medical from reducing the size of the company’s board because, under the facts presented, there…
  • May 25

    Transcript: “M&A Research – Nuts & Bolts”

    Transcript: “M&A Research – Nuts & Bolts”
    We have posted the transcript for our recent webcast: “M&A Research: Nuts & Bolts.”
  • May 24

    Private Deal Terms Study

    Private Deal Terms Study
    In this 101-page study, SRS Acquiom analyzes the deal terms of 735 private-target acquisitions valued at $137 billion, to assist you in deal structuring and negotiation and bring you a robust view of the private-target M&A…
Rank this Week: 274

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • May 25

    Divided Loyalties? Defense Counsel in M&A Litigation

    Divided Loyalties? Defense Counsel in M&A Litigation
    What is the role of defense counsel in deal litigation? What impact does the involvement of “top” deal litigation firms have on lawsuit outcomes? And what will the impact on deal litigation be from the advent of forum selection…
  • May 24

    Under Morrison, U.S. Securities Laws Don’t Apply to Toshiba’s Unsponsored ADRs Purchased OTC in the U.S.

    Under Morrison, U.S. Securities Laws Don’t Apply to Toshiba’s Unsponsored ADRs Purchased OTC in the U.S.
    It has been nearly six years since the U.S. Supreme Court’s landmark 2010 decision in Morrison v. National Australia Bank, in which the Court restricted the ability of shareholders of non-U.S. companies who purchased their shares…
  • May 23

    Two Cities in Canada

    Two Cities in Canada
    The D&O Diary was on assignment in Canada last week for meetings and to attend a PLUS Canadian Chapter event in Montréal. It was a short sunlit visit to our Northern neighbor, but it was just long enough for a bit of foreign…
Rank this Week: 650

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

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

    Shaky Ground

    Shaky Ground
    In Halliburton II, the U.S. Supreme Court held that defendants can rebut the fraud-on-the-market presumption of reliance at the class certification stage with evidence of a lack of stock price impact.  In a typical case, where the…
  • Apr 25

    Tell Me Something New

    Tell Me Something New
    Plaintiffs often establish the existence of loss causation by pointing to a “corrective disclosure” that allegedly revealed the fraud and led to a stock price decline. What a disclosure must contain to be deemed…
  • Mar 16

    Don’t Tout

    Don’t Tout
    A number of years ago, the U. S. Court of Appeals for the Fourth Circuit addressed whether a company’s false statement about its CEO’s educational background was material.  The court found that the statement was…
Rank this Week: 2357

Cady Bar the Door

Cady Bar the Door

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

http://www.secmiscellany.com
  • May 25

    The Insider Trading Cartoon Series, Vol. IX — Tender Offer

    The Insider Trading Cartoon Series, Vol. IX — Tender Offer
    I want to talk about Rule 14e-3, because it has significant implications for insider trading liability.  But to do that, we first have to talk about tender offers, and what they are.     The post The Insider Trading Cartoon…
  • May 19

    Phil Mickelson is very glad United States v. Newman is the law in the Second Circuit.

    Phil Mickelson is very glad United States v. Newman is the law in the Second Circuit.
    Phil Mickelson, whom the SEC describes as a “successful professional golfer,” was not charged with insider trading earlier today.  I wasn’t either, and I’m glad about that.  And you probably weren’t…
  • May 13

    Custody rule examiners need to, you know, examine.

    Custody rule examiners need to, you know, examine.
    Here’s a thing I know: South Carolina doesn’t require vehicle inspections.  Dumb, right?  If your car is properly registered, you can drive it there all you want no matter how dangerous it is.  Here’s a thing…
Rank this Week: 3847

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/
  • May 25

    Ontario, Manitoba and Quebec Adopt Useful Amendments to the Trade Reporting Rule

    Ontario, Manitoba and Quebec Adopt Useful Amendments to the Trade Reporting Rule
    Margaret Grottenthaler and Alison Beer -  The anticipated amendments to the rules on reporting derivatives data in Ontario, Quebec and Manitoba are expected to come into force on July 29, 2016.  Highlights of the final…
  • May 20

    Changes to private placement reports of trade soon in force

    Changes to private placement reports of trade soon in force
    A new harmonized Form 45-106F1 Report of Exempt Distribution (the New Report) will come into effect on June 30, 2016 in all Canadian provinces and territories. Announced by the Canadian Securities Administrators (the CSA) on April 7, 2016 in…
  • May 20

    Insider trading prohibition to be broadened

    Insider trading prohibition to be broadened
    The Securities Act (Ontario) (OSA) is expected to be amended to include a prohibition on recommending the purchase or sale of securities of an issuer where the person or company making the recommendation is in a “special…
Rank this Week: 4165

Tim O'Connor's Blog

Tim O'Connor's Blog

Covers stockbroker fraud.

http://stockbrokerlaw.com/tim-oconnors-blog
  • May 24

    Think Twice Against Borrowing Against Your Pension

    Think Twice Against Borrowing Against Your Pension
    The New York State Department of Financial Services (DFS) and the Consumer Financial Protection Bureau (CFPB) have initiated action against two companies involved in soliciting pension advance loans from unsuspecting consumers. The suit…
  • May 16

    School Law

    School Law
    School principals and administrators often take it upon themselves to investigate and prosecute cheating scandals that don’t exist. In this day and age of advanced information technology capabilities both students on the one side, and…
  • May 9

    Top Investors Threats Announced By NASAA

    Top Investors Threats Announced By NASAA
    The North American Securities Administrators Association (NASAA) recently announced its annual list of top investor threats after a survey of state securities regulators, identifying the five most problematic investment products, schemes and…
Rank this Week: 3011

New York Securities Lawyer Blog

New York Securities Lawyer Blog

Covers securities law. By Lax & Neville LLP.

http://www.newyorksecuritieslawyerblog.com/
Rank this Week: 1066

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: 1598

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • May 23

    DOL Fiduciary Rule P II: The SEC Story

    DOL Fiduciary Rule P II: The SEC Story
    While the previous post discussed the Department of Labor’s (DOL) fiduciary rule, it is not the only government agency tackling the issue. In 2010, President Obama signed into law the Dodd-Frank Act, which authorized the Securities and…
  • Apr 18

    “Lumpiness” insufficient When the Ship is Going Down

    “Lumpiness” insufficient When the Ship is Going Down
    Class action investors recently won a partial victory against Dolan Company in the 8th Circuit Court of Appeals.  I stress partial because, while the trial court’s dismissal was reversed, its severe limitation of the…
  • Apr 15

    DOL Fiduciary Rule: Part I

    DOL Fiduciary Rule: Part I
    After much nail-biting by many in the industry, the Department of Labor (DOL) recently released its anticipated and long-awaited final fiduciary rule, which it touts as the fulfillment of its mission to protect the retirement of investors…
Rank this Week: 1195

Securities Compliance Sentinel

Securities Compliance Sentinel

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

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

    SEC Announces Third Largest Whistleblower Award

    SEC Announces Third Largest Whistleblower Award
    Business Insurance reported late last week that the Securities and Exchange Commission will award $5-6 million to a whistleblower who provided information on securities violations that would have been “nearly impossible” for…
  • May 23

    So you think you want to invest in medical marijuana

    So you think you want to invest in medical marijuana
    By most recent estimates, the medical marijuana business is generating at least $4.5 billion a year in revenue. Naturally, many people want to cultivate their own opportunities in this ever growing business. Now that Pennsylvania has become…
  • May 18

    Take Away From The NSCP New York Regional Conference

    Take Away From The NSCP New York Regional Conference
    It was great speaking at the May 17 New York NSCP regional conference on risk issues facing firms where Ernie Badway and I discussed cyber-security, risk issues, regulatory matters, issues involving elder clients and ways compliance personnel…
Rank this Week: 3859

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/
  • May 22

    Former advisor Gregg Caplitz sentenced.

    Former advisor Gregg Caplitz sentenced.
    According to reports, Gregg Caplitz, an investment advisor from Wilmington, Massachusetts, recently received a three-and-a-half year prison sentence for allegedly telling clients he would invest their money in a hedge fund but instead…
  • May 18

    UDF IV releases results of internal investigation.

    UDF IV releases results of internal investigation.
    According to reports, UDF IV has announced that it had conducted an independent investigation of its business and found no evidence of fraud. UDF IV was listed on the Nasdaq in June 2014. In December, an anonymous post on an investor…
  • May 18

    Raymond James fined by FINRA.

    Raymond James fined by FINRA.
    According to various reports, regulators have fined Raymond James $17 million, accusing the financial services firm of widespread failures in its controls against money laundering. The Financial Industry Regulatory Authority (a/k/a FINRA)…
Rank this Week: 76

Securities Mining Law

Securities Mining Law

Covers securities law affecting the mining industry in Canada.

http://www.securitiesmininglaw.com/
  • May 20

    Insolvency and energy insights: The Redwater decision

    Insolvency and energy insights: The Redwater decision
    An Alberta court has held that provisions of the Bankruptcy and Insolvency Act allowing a trustee or receiver to disclaim real property without assuming environmental  liabilities in relation thereto renders inoperable provincial…
  • Apr 14

    Canadian Securities Administrators amend take-over bid rule

    Canadian Securities Administrators amend take-over bid rule
    Effective May 9, 2016, the Canadian Securities Administrators will implement new take-over bid rules that will introduce significant changes to bid mechanics, including lengthier minimum deposit periods.  For a description of the…
  • Mar 31

    Rush to conflict: Hurried transaction fails after British Columbia court finds conflicts of interest

    Rush to conflict: Hurried transaction fails after British Columbia court finds conflicts of interest
    A recent court decision led to the failure of an attempted acquisition of an exploration company by a listed issuer, in part due to conflicts of interest. We analyze the decision, and provide commentary on the law and practice of managing…
Rank this Week: 3501

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/
  • May 20

    SEC forces Mickelson to return $1 million from insider trading

    SEC forces Mickelson to return $1 million from insider trading
    PGA golfer Phil Mickelson agreed to forfeit almost $1 million that the Securities and Exchange Commission (SEC) said was obtained through insider trading. Mickelson was named as a “relief defendant” in a criminal case, filed in…
  • Jan 28

    Delaware Courts continue scrutiny of “disclosure only” settlements in M&A litigation

    Delaware Courts continue scrutiny of “disclosure only” settlements in M&A litigation
    On Jan. 22, 2016, the Delaware Court of Chancery released its opinion in In re Trulia Stockholder Litigation in which it rejected a “disclosure only” settlement of a shareholders’ suit challenging an M&A transaction.…
  • Jan 22

    Supreme Court to review insider trading case

    Supreme Court to review insider trading case
    The Supreme Court has agreed to consider something that lies at the center of nearly every insider trading case: what prosecutors need to prove an insider trading conviction. This case aims to determine exactly what benefits corporate…
Rank this Week: 1447

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/
Rank this Week: 2560

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
  • May 19

    Mickelson Seeks Relief from Insider Trading Hazard

    Mickelson Seeks Relief from Insider Trading Hazard
    Almost two years ago, the Wall Street Journal and New York Times first reported an insider trading investigation involving sports gambler William “Billy” Walters and pro golfer Phil Mickelson.  At the time, the investigation…
  • May 3

    Supreme Court Takes On “Another” in Upholding Hobbs Act Conviction

    Supreme Court Takes On “Another” in Upholding Hobbs Act Conviction
    The Hobbs Act – a law promulgated in 1946 to deal with the infiltration of racketeering activity in labor unions – got a “W” in its column yesterday with the Supreme Court’s issuance of Ocasio v. United…
  • Apr 13

    D.C. Circuit Reins In District Court for Second-Guessing Government’s Deferred Prosecution Agreement

    D.C. Circuit Reins In District Court for Second-Guessing Government’s Deferred Prosecution Agreement
    This guest post was authored by our colleague Jeremy A. Gunn, an associate in the firm’s Litigation Department. In an unusual win for both the U.S. Department of Justice and corporate defendants, the D.C. Circuit last week reversed a…
Rank this Week: 1964

The Securities Edge

The Securities Edge

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

http://www.thesecuritiesedge.com/
  • May 18

    What’s up with Crowdfunding? So far, not much (but a fix may be coming)

    What’s up with Crowdfunding? So far, not much (but a fix may be coming)
    Posted By: Robert C. White Jr. The SEC’s crowdfunding rules (under Regulation Crowdfunding) became effective earlier this week. From the legal and legislative perspectives this was a big day since it marked the effective date of one of…
  • May 5

    Keeping Your Trade Secrets Safe: When NDAs Can Backfire

    Keeping Your Trade Secrets Safe: When NDAs Can Backfire
    Posted By: Stephanie Quiñones In business, we’ve all seen the traditional nondisclosure agreement (also known, more simply, as the “NDA”) between two parties wishing to discuss a potential business transaction. While…
  • Apr 19

    Impact of accounting literature: Time to get out of the pool and other change

    Impact of accounting literature: Time to get out of the pool and other change
    Posted By: David C. Scileppi Over the past couple of months, the FASB has been busy. I wanted to point out one recent change and my thoughts on its impact. FASB has “simplified” share-based compensation accounting. I will always…
Rank this Week: 3544

Andrew Abramowitz, PLLC

Andrew Abramowitz, PLLC

News, advice, and trends from the corporate law world.

http://aalegalnyc.com/blog/
  • May 18

    Title III Crowdfunding is Now Live

    Title III Crowdfunding is Now Live
    The effectiveness of Title III crowdfunding got the high-profile Sunday New York Times treatment this past weekend. I think it will take some time for the flow of these deals to come, as portals apply for and receive approval from the SEC and…
  • May 6

    Prince and the Consequences of Reflexive Distrust of Advisor

    Prince and the Consequences of Reflexive Distrust of Advisor
    As part of the extensive media coverage of Prince’s recent death, it’s been reported that Prince died without a will as a result of his distrust of lawyers. If true, it’s a pretty disastrous result from an estate…
  • Apr 27

    The SEC’s Discussion of Risk Factor

    The SEC’s Discussion of Risk Factor
    The SEC recently issued a long concept release seeking public comment on ways to modernize Regulation S-K, the set of disclosure requirements used both for Securities Act registration statements like Form S-1 and Exchange Act reports like…
Rank this Week: 994

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
  • May 18

    Wordless Songs and the Sounds of Crickets on Wall Street

    Wordless Songs and the Sounds of Crickets on Wall Street
    Today, May 26, is the Friday before the Memorial Day weekend. To say that it's a quiet day on Wall Street would be an understatement. On this Friday, there are three types of folks in the securities industry: those who took off for vacation…
  • May 18

    SEC Can't Reach Federal Inmate For Telephonic Hearing

    SEC Can't Reach Federal Inmate For Telephonic Hearing
    Daniel Christian Stanley Powell founded and operated Christian Stanley, Inc. When you go by four different names, I guess it’s pretty easy to harvest two of those for use in your own business. Moving on from that observation, the…
  • May 18

    Love And Marriage On Wall Street

    Love And Marriage On Wall Street
    What if the spouse or domestic partner of a stockbroker or trader wants to open an account at a brokerage firm other than the one employing the registered person? Is there an important difference between the registered rep "opening" an…
Rank this Week: 360

Subject to Inquiry

Subject to Inquiry

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

http://www.subjecttoinquiry.com/
  • May 17

    HIGH COURT ADOPTS OUT-OF-DISTRICT ELECTRONIC SEARCHES

    HIGH COURT ADOPTS OUT-OF-DISTRICT ELECTRONIC SEARCHES
    By letter to House Speaker Paul Ryan on April 28, 2016, the Supreme Court adopted two significant amendments to Rule 41 of the Federal Rules of Criminal Procedure–the rule governing search and seizure.  The amendments, if enacted,…
  • May 16

    CFPB Announces Plan to Promulgate Key Mortgage Disclosure Rule

    CFPB Announces Plan to Promulgate Key Mortgage Disclosure Rule
    Consumer Financial Protection Bureau (CFPB) Director Richard Cordray recently informed several banking and other industry groups that the Bureau plans to introduce a proposed rule to address concerns related to CFPB mortgage disclosure…
  • May 12

    The Anti-Corruption Summit – UK plans for a new corporate money-laundering offence, and a host of other proposal

    The Anti-Corruption Summit – UK plans for a new corporate money-laundering offence, and a host of other proposal
    Today the UK’s Prime Minster David Cameron hosted the  “Anti-Corruption Summit”, a first of its kind, bringing together world leaders, business, and civil society with the goal of seeking to agree on a package of steps…
Rank this Week: 1858

Footnoted

Footnoted

Reports on actionable information in SEC filings.

http://www.footnoted.com/
  • May 17

    LendingClub tries to buck up its troops!

    LendingClub tries to buck up its troops!
    LendingClub, which has been struggling, managed to give its top executives and directors hefty raises this week.
  • May 2

    Yahoo gets defensive on compensation

    Yahoo gets defensive on compensation
    A late Friday filing by Yahoo attempts to explain -- over and over -- why compensation was so high in 2015.
  • Apr 5

    On tax inversions and relocation allowance

    On tax inversions and relocation allowance
    The current crop of proxies show how so-called tax inversion companies are not only avoiding taxes -- they're paying hefty amounts for their executives to live here in the U.S.
Rank this Week: 1886

Amato Law Firm, LLC Blog

Amato Law Firm, LLC Blog

Overview of current developments in the area of securities law with a focus on securities arbitration and broker-dealer regulation.

http://www.ramatolaw.com/blog1
  • May 16

    Credit Suisse Deferred Compensation Claim

    Credit Suisse Deferred Compensation Claim
    Amato Law Firm, LLC is investigating claims against Credit Suisse (CS) on behalf of its former U.S.-based advisers who have transitioned to firms other than Wells Fargo Advisors.  As recently reported in On Wall Street, more than…
  • Feb 24

    United Development Funding Investment Losse

    United Development Funding Investment Losse
    The securities law firm of Amato Law Firm, LLC is investigating potential securities law claims involving United Development Funding (UDF) and its real estate investment trusts (REITs) including United Development Funding IV (UDF IV), a…
  • Feb 24

    Oil and Gas Investments Rack Up Large Losse

    Oil and Gas Investments Rack Up Large Losse
    The securities law firm of Amato Law Firm, LLC is investigating large losses in oil and gas related investments, such as publicly-traded master limited partnerships (MLPs) and private placements (limited partnerships that do not trade on a…
Rank this Week: 2605

Strictly Business

Strictly Business

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

http://www.strictlybusinesslawblog.com/
  • May 16

    Title III Crowdfunding Is Here

    Title III Crowdfunding Is Here
    Title III crowdfunding is here! The first funding portals can begin operations today, May 16, 2016. On Friday, I was a guest on the “This Week in Law” Podcast, where I talked about the impact this will have on startups, technology…
  • May 5

    The Founders’ Intro to Raising Startup Capital

    The Founders’ Intro to Raising Startup Capital
    For many startup founders, what led them into the risky but thrilling world of starting their own company was technology, innovation, the ability to affect the world, and the freedom of being their own boss. Learning the ins and outs of…
  • Apr 25

    Hiring a Programmer? Get an Invention Assignment Agreement

    Hiring a Programmer? Get an Invention Assignment Agreement
    This post first appeared in Startup Southerner on March 23, 2016. Founders have a lot to think about when starting a new company, such as finding the right team, developing their strategy and getting the company’s legal structure in…
Rank this Week: 2930

Business Blog

Business Blog

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

http://www.businesslawnews.com/
  • May 11

    Cyber Threats on Small Businesses Come from All Angle

    Cyber Threats on Small Businesses Come from All Angle
    Cyber Threats on Small Businesses Come from All Angles The Federal Bureau of Investigation (FBI) recently issued several “cyber alerts” that may impact small businesses in Monmouth County and throughout New Jersey. As with all…
  • May 9

    Getting More Sleep Can Make Your Monmouth County Business More Successful

    Getting More Sleep Can Make Your Monmouth County Business More Successful
    Getting More Sleep Can Make Your Monmouth County Business More Successful When facing a busy work day, that extra cup of coffee can only do so much. A new study confirms that getting more sleep can help Monmouth County business executives be…
  • May 3

    New Jersey Supreme Court Addresses Use of Metadata in Electronic Document

    New Jersey Supreme Court Addresses Use of Metadata in Electronic Document
    New Jersey Supreme Court Addresses Use of Metadata in Electronic Documents The Supreme Court of New Jersey recently issued an administrative determination regarding whether a lawyer who receives an electronic document may, consistent with…
Rank this Week: 3838

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/
  • May 10

    Attention Former Customers of Leavitt Freeman Sanders: You May Be Able To Recover Your Investment Losse

    Attention Former Customers of Leavitt Freeman Sanders: You May Be Able To Recover Your Investment Losse
    Our firm has already filed many individual lawsuits alleging, among other things, investment fraud against Leavitt Sanders and the firms that he traded through.  Those firms include Invest Financial, Triad Advisors, Capital Asset…
  • May 4

    Record Oil Industry Bankruptcies Take a Toll on Investor

    Record Oil Industry Bankruptcies Take a Toll on Investor
    Reuters reports that bankruptcies in the U.S. oil industry have reached record levels.  The number of bankrupt oil and gas companies is 59 and counting, and we are not even half-way through the wave of bankruptcy filings, according to a…
  • Mar 10

    Greenville Broker Claus Foerster Indicted in $2.8 Million Ponzi Scheme

    Greenville Broker Claus Foerster Indicted in $2.8 Million Ponzi Scheme
    A South Carolina grand jury has indicted a Greenville broker named Claus Foerster for defrauding his clients out of $2.8 million.  According to news reports, the indictments states that Foerster persuaded clients to invest in a…
Rank this Week: 953

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
  • May 4

    Equity Crowdfunding for Your Residential Construction Busine

    Equity Crowdfunding for Your Residential Construction Busine
    By Alixe Cormick Canada currently has four real estate specific crowdfunding portals : Brix RCR, Open Avenue , R2Crowd, and NexusCrowd.  All of them are located in Ontario.  Canadians can expect other new equity and debt…
  • May 4

    Equity Crowdfunding for Your Residential Construction Busine

    Equity Crowdfunding for Your Residential Construction Busine
    By Alixe Cormick Canada currently has four real estate specific crowdfunding portals : Brix RCR, Open Avenue , R2Crowd, and NexusCrowd.  All of them are located in Ontario.  Canadians can expect other new equity and debt…
  • Mar 23

    Equity Crowdfunding Portal Update and Latest Presentation Slide Deck

    Equity Crowdfunding Portal Update and Latest Presentation Slide Deck
    By Alixe Cormick As of today’s date there are seventeen (17) equity crowdfunding portals active in Canada. There are also five (5) marketplace lending platforms aimed at small business. Canadians can expect other new equity and debt…
Rank this Week: 1972

Securities Law Prof Blog

Securities Law Prof Blog

Covers securities arbitration, state securities law, court decisions and law review articles. By Eric C. Chaffee.

http://lawprofessors.typepad.com/securities/
  • Apr 28

    Call for Papers AALS Section on Securities Regulation - 2017 AALS Annual Meeting

    Call for Papers AALS Section on Securities Regulation - 2017 AALS Annual Meeting
    The AALS Section on Securities Regulation invites papers for its program on “Securities Regulation and Technological Change” at the 2017 AALS annual meeting. TOPIC DESCRIPTION: This panel discussion will explore the intersection of…
  • Apr 28

    Save the Date: Central States Law Schools Scholarship Conference

    Save the Date: Central States Law Schools Scholarship Conference
    The Central States Law Schools Association 2016 Scholarship Conference will be held on Friday, September 23 and Saturday, September 24 at the University of North Dakota School of Law in Grand Forks, ND. CSLSA is an organization of law…
  • Apr 28

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: Ivet A. Bell, Note, The Constitutionality of the SEC Pay to Play Rule: Why 206(4)-5 Survives the Deregulatory Trend in Campaign Finance, 49…
Rank this Week: 559

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: 176

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/
  • Apr 22

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

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

    “Fantastic Lies” and Corporate Criminal Prosecution

    “Fantastic Lies” and Corporate Criminal Prosecution
    When the past is dug up in documentaries (or docudramas), events are often sensationalized.  This practice is of long pedigree: Shakespeare was not above amping up an old story when it suited his needs.  Unfortunately, few…
  • Feb 12

    Where Did You Go, Batman? Martin Shkreli, Congress, the Fifth Amendment and You

    Where Did You Go, Batman? Martin Shkreli, Congress, the Fifth Amendment and You
    It does not help that the most recent symbol of the Fifth Amendment is The Joker:   There has been plenty of news coverage about Martin Shkreli, “pharma bro” and alleged securities fraudster, and his appearance before…
Rank this Week: 1770

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: 3488

William Carleton, Counselor @ Law

William Carleton, Counselor @ Law

Covers legal and investment issues facing emerging tech companies.

http://www.wac6.com/wac6/
  • Mar 16

    Secondary Sales and An Investor Covenant You Don’t Want To Mi

    Secondary Sales and An Investor Covenant You Don’t Want To Mi
    Dear Readers: This is a post I co-wrote with Joe Wallin, who has published the almost identical post here. If you are investing in early stage companies, there are certain deal terms you want. Most you probably know already: if...
  • Mar 11

    A Gift from Congress to Angel

    A Gift from Congress to Angel
    The picture here was taken by Joe Wallin, who was on a panel with me, Gary Kocher of K&L Gates, Tom Alberg of Madrona Ventures, and Dan Rosen of the Alliance of Angels, talking to the Angel Capital Association's NW...
  • Mar 3

    Looking for Mr. 506(c)

    Looking for Mr. 506(c)
    "On a relative basis, issuances claiming the new Rule 506(c) exemption have accounted for only 2.1% of the reported capital raised pursuant to Rule 506 since becoming effective in September 2014." So reads a key finding of a report,…
Rank this Week: 4871