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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…
  • Feb 26

    George Theodule Sentenced to 150 Month

    George Theodule Sentenced to 150 Month
    On February 26, 2014, the FBI announced George Louis Theodule, 52, a former resident of Wellington, Florida was sentenced to 150 months in prison, to be followed by three years of supervised release. Theodule previously pled guilty to wire…
  • Feb 26

    SEC Charges Arizona-Based Equity Fund l Securities Lawyer 101

    SEC Charges Arizona-Based Equity Fund l Securities Lawyer 101
    Securities Lawyer 101 Blog On February 26, 2014, the Securities and Exchange Commission (the “SEC”) announced charges against an Arizona-based private equity fund manager and his investment advisory firm for…
Rank this Week: 215

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 29

    Wells Fargo Reaches $591 Million Mortgage Deal with Fannie Mae

    Wells Fargo Reaches $591 Million Mortgage Deal with Fannie Mae
    Wells Fargo & Co. (WFC) has arrived at a $591 million mortgage settlement with Fannie Mae (FNMA). The arrangement resolves claims that the banking institution sold faulty mortgages to the government run-home loan financier and covers…
  • Apr 15

    SEC Takes a Closer Look at Municipal Bond

    SEC Takes a Closer Look at Municipal Bond
    The US Securities and Exchange Commission is finally beginning to scrutinize municipal bond issuers. Recent efforts include the opening of investigations into whether certain municipalities misled investors about their financial well-being…
  • Apr 12

    SAC Capital Advisor’s $1.8B Criminal Securities Fraud Settlement with the DOJ is Accepted by a Federal Judge

    SAC Capital Advisor’s $1.8B Criminal Securities Fraud Settlement with the DOJ is Accepted by a Federal Judge
    U.S. District Judge Laura Taylor Swain has approved the criminal settlement reached between the US Department of Justice and SAC Capital Advisors LP. The hedge fund, which was founded by Steven A. Cohen, consented to pay a $1.8 billion…
Rank this Week: 657

Startup Law Blog

Startup Law Blog

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

http://www.startuplawblog.com/
  • Apr 16

    How is corporate M&A strategy developed?

    How is corporate M&A strategy developed?
    How do strategic M&A events germinate? When does the corporate development process for major companies begin? How is corporate strategy developed? Pacific Rim M&A Institute’s inaugural session answers these questions and more.…
  • Apr 1

    Crowdfunding : Key Decisions and Strategie

    Crowdfunding : Key Decisions and Strategie
    Crowdfunding has become a reality in Washington State. This is a great opportunity for startups and entrepreneurs to finally get the funding they need to move forward with the support of many small contributors. But there are still strict SEC…
  • Mar 26

    What Does the New Washington Crowdfunding Law Allow?

    What Does the New Washington Crowdfunding Law Allow?
    The Washington State legislature has passed a crowdfunding bill, HB 2023.  The Governor has yet to sign the bill, so it is not yet law.  But hopefully it will be law soon. If you are wondering what the new law will allow, I have put…
Rank this Week: 1174

Ponzitracker

Ponzitracker

Covers Ponzi schemes. By Jordan Maglich.

http://www.ponzitracker.com/
  • Apr 16

    Authorities Charge Rothstein CFO With Conspiracy

    Authorities Charge Rothstein CFO With Conspiracy
    Federal authorities continued their quest to prosecute those connected to the massive $1.2 billion Ponzi scheme perpetrated by Scott Rothstein, with Rothstein's former CFO becoming the 18th person to face charges to date.  Irene Shannon,…
  • Apr 16

    Judge Revokes Bond For Accused Ponzi Schemer After Contact With Victim

    Judge Revokes Bond For Accused Ponzi Schemer After Contact With Victim
    A federal judge has revoked bail for a Florida man accused of orchestrating a $70.9 million Ponzi scheme, siding with prosecutors' allegations of "brazen" violations of a "no-contact" condition of his bail.  Joseph Signore,…
  • Apr 15

    Massachusetts Regulators Allege TelexFREE Is $1 Billion Ponzi Scheme

    Massachusetts Regulators Allege TelexFREE Is $1 Billion Ponzi Scheme
    This article originally appeared on Forbes.com on April 15, 2014 Massachusetts securities regulators have initiated civil proceedings accusing a Massachusetts and Nevada company of operating a massive pyramid andPonzi…
Rank this Week: 399

FinancialCounsel

FinancialCounsel

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

http://financialcounsel.typepad.com/financialcounsel/
  • Apr 16

    你需要的文件

    你需要的文件
  • Apr 14

    This Could Be A Massive Day....

    This Could Be A Massive Day....
    Crichton and Bush supported the eventual nominee, Goldwater, the U. The gewog has an area of 139. The Coming Age of Systems and Machines Inspired by Living Things. The earlier 707s had been powered by the turbojet JT3C and the...
  • Apr 13

    Winner Is Back!

    Winner Is Back!
    Ashton's assistant Chrissie out on a date. Members of the Fiesta Association choose the recipient of this award. This article is about the Atlantic hurricane of 1965. Their wedding is on March 13, but Becky turns up drunk, and they...
Rank this Week: 146

Securities Mining Law

Securities Mining Law

Covers securities law affecting the mining industry in Canada.

http://www.securitiesmininglaw.com/
Rank this Week: 1258

Securities Law Blog

Securities Law Blog

News and comments on securities law. By The Frankowski Firm, LLC

http://www.securitieslaw-blog.com/
  • Apr 16

    Ruling Upcoming On Fiduciary Duty For Broker

    Ruling Upcoming On Fiduciary Duty For Broker
    Should brokers be required to act in the best interest of their clients when providing personalized investment advice, including recommendations about securities, to retail investors? The answer to that question is close to a resolution.…
  • Apr 15

    Bitcoin Entrepreneurs Urge For More Regulation

    Bitcoin Entrepreneurs Urge For More Regulation
    Last month, the IRS declared that it would consider bitcoins as property and not currency for tax reasons. This came to the pleasant surprise of many Bitcoin proponents who have longed for more federal regulation and would like to see more of…
  • Apr 14

    According To The SEC, More Than 200 Private-Equity Firms Have Imposed Bogus Fee

    According To The SEC, More Than 200 Private-Equity Firms Have Imposed Bogus Fee
    The SEC has announced that over half of the private-equity firms it has investigated have charged unjustified expenses and fees to investors without their knowledge. The 2010 Dodd-Frank Act gave the SEC more power in overseeing money managers…
Rank this Week: 1959

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Apr 16

    Hits of the 80′s and 90′s Sounding Like Fraud: Gana LLP Files Suit Against Producer of Classic Tune

    Hits of the 80′s and 90′s Sounding Like Fraud: Gana LLP Files Suit Against Producer of Classic Tune
    Music lovers looking to reminisce while enjoying classic hits from the 80’s and 90’s may not be getting what they paid for.  Producers have created and marketed a compilation of some of those classic tunes, which include…
  • Apr 15

    Meyers Associates: Black Marks and Red Flag

    Meyers Associates: Black Marks and Red Flag
    The Financial Industry Regulatory Authority (FINRA) maintains a public database, called BrokerCheck, which acts as a free tool for investors looking to research the backgrounds of FINRA registered personnel. BrokerCheck covers brokerage…
  • Apr 14

    FINRA Investigating Newest Puerto Rico Issuance of Municipal Bond

    FINRA Investigating Newest Puerto Rico Issuance of Municipal Bond
    On March 21, 2014, The Financial Industry Regulatory Authority (FINRA) announced that it is investigating trading in Puerto Rico, examining secondary trades in Puerto Rico’s blockbuster $3.5 billion bond deal. FINRA is looking at…
Rank this Week: 172

The Race to the Bottom

The Race to the Bottom

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

http://www.theracetothebottom.org/
  • Apr 16

    NATIONAL ASSOCIATION OF MANUFACTURERS v. SEC: En Banc Strategy (part 2)

    NATIONAL ASSOCIATION OF MANUFACTURERS v. SEC: En Banc Strategy (part 2)
    The SEC's decision to apply for rehearing en banc in NAM v. SEC needs to take into account the impact of any consolidation with a related case. Consolidation may affect the pool of judges eligible to participate in the decision which in turn…
  • Apr 16

    NATIONAL ASSOCIATION OF MANUFACTURERS v. SEC: En Banc Strategy (part 1)

    NATIONAL ASSOCIATION OF MANUFACTURERS v. SEC: En Banc Strategy (part 1)
    The DC Circuit just ruled in the conflicts mineral case. See NAM v. SEC. The court struck down a small aspect of the rule on First Amendment grounds.   With respect to the administrative law analysis, the court wrote a very…
  • Apr 15

    Partial Victory For the SEC on its Conflict Minerals Rule (Part 2)

    Partial Victory For the SEC on its Conflict Minerals Rule (Part 2)
    So far things are going swimmingly for the SEC; however, once the Court reached the First Amendment argument it sang a different tune.  The Association challenged the Rule’s requirement that an issuer describe its products as…
Rank this Week: 71

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Apr 16

    Was the Conflict Minerals Ruling a "Win" for SEC Rulemaking?

    Was the Conflict Minerals Ruling a "Win" for SEC Rulemaking?
    Was the Conflict Minerals Ruling a "Win" for SEC Rulemaking? As I noted in yesterday's blog, the opinion of the U.S. Court of Appeals for the District of Columbia Circuit in the appeal of National Association of Manufacturers, et…
  • Apr 15

    Big News: Court of Appeals Rules in the Conflict Minerals Case

    Big News: Court of Appeals Rules in the Conflict Minerals Case
    Big News: Court of Appeals Rules in the Conflict Minerals Case Yesterday, the U.S. Court of Appeals for the District of Columbia Circuit issued its opinion in the appeal of National Association of Manufacturers, et al., v. Securities and…
  • Apr 14

    27 Cool Things About Intel's '14 Proxy Statement

    27 Cool Things About Intel's '14 Proxy Statement
    27 Cool Things About Intel's '14 Proxy Statement Here's a 2-minute video about the 27 great ways that Intel enhances the usability of its 2014 proxy statement (78 pages, with assistance from Addison): Spring Break: What DC Tourism Looks…
Rank this Week: 871

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/
  • Apr 16

    Understanding the Selling Away Rule (Prohibition Against Private Securities Transactions)

    Understanding the Selling Away Rule (Prohibition Against Private Securities Transactions)
    Each month when you review the Regulatory Notice announcing the disciplinary actions taken by FINRA Enforcement against brokers, you'll generally see cases involving violations of the selling away rule (private securities transactions) as…
  • Apr 14

    Understanding the Outside Business Activity Rule

    Understanding the Outside Business Activity Rule
    Each month when you review the Regulatory Notice announcing the disciplinary actions taken by FINRA Enforcement against brokers, you'll generally see cases involving violations of the outside business activity rule and the selling away rule…
  • Apr 11

    Report: FINRA to Cease Efforts to Regulate RIA

    Report: FINRA to Cease Efforts to Regulate RIA
    According to a report over at Investmentnews.com yesterday, FINRA is backing off plans to become the self-regulatory organization for registered investment advisors. The articles quotes Rich Ketchum, FINRA's Chair and CEO as telling the WSJ…
Rank this Week: 2576

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • Apr 16

    Cornerstone Releases 2013 Study of M&A Lawsuit Settlement

    Cornerstone Releases 2013 Study of M&A Lawsuit Settlement
    Only two percent of M&A lawsuit that settled in 2013 involved a monetary payment to shareholders, according to the latest report on M&A lawsuit settlements from Cornerstone Research. The report, entitled “Settlements in…
  • Apr 15

    PwC 2013 Securities Litigation Report Asks Whether There Are Changes Ahead

    PwC 2013 Securities Litigation Report Asks Whether There Are Changes Ahead
    In its recently released annual analysis of securities class action litigation, PricewaterhouseCoopers observes that while 2013 may not have been a particularly noteworthy year in the securities class action litigation arena,…
  • Apr 15

    D.C. Circuit Strikes Down SEC Conflicts Minerals Rules in Part, Upholds Other Provision

    D.C. Circuit Strikes Down SEC Conflicts Minerals Rules in Part, Upholds Other Provision
    In an April 14, 2014 Opinion (here), the D.C. Circuit struck down a portion of the SEC’s conflicts minerals rules as violative of the First Amendment, while at the same time upholding the other challenged portions of the Rules. A…
Rank this Week: 991

Business Law Post

Business Law Post

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

http://www.businesslawpost.com
  • Apr 16

    Elusive Bitcoin: Regulation of Bitcoin in the U.S. Part I

    Elusive Bitcoin: Regulation of Bitcoin in the U.S. Part I
    The phenomenon of Bitcoin (and virtual currency in general) presents an interesting legal conundrum. It is still not clear for many where does Bitcoin fit within our legal system, and whether and how to regulate it. Today, I would like to…
  • Feb 1

    Could Your Update on LinkedIn Violate a Non-Compete Agreement?

    Could Your Update on LinkedIn Violate a Non-Compete Agreement?
    Today, I am re-posting a blog post of a colleague of mine (with his permission) that I found to be particularly interesting and relevant for those of you who are looking to leave your present employers to start your own businesses or to just…
  • Jan 30

    Startup-NY - an Amazing New York Initiative for Tech Startup

    Startup-NY - an Amazing New York Initiative for Tech Startup
    I have been following the development of this exciting new program in New York State that, if successful, can really turn New York into the next Silicon Valley. The program became effective on January 1, 2014. All of the details are at…
Rank this Week: 977

Business Blog

Business Blog

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

http://www.businesslawnews.com/
  • Apr 16

    Cybersecurity – Is It Time to Make Your Vendors Account?

    Cybersecurity – Is It Time to Make Your Vendors Account?
    With cybersecurity being at the forefront of clients’ and customers’ minds, businesses should take reasonable precautions to protect digital data that they create, collect, process, and/or maintain. And, according to The New York…
  • Apr 15

    Third Circuit Endorses Successor Liability for Wage and Hour Violation

    Third Circuit Endorses Successor Liability for Wage and Hour Violation
    In the recent case of Thompson v. Real Estate Mortgage Network, the U.S. Court of Appeals for the Third Circuit has endorsed successor liability for claimed wage-and-hour violations of the Fair Labor Standards Act (FLSA). The ruling…
  • Apr 14

    Defense Against Hacking: Is A New Industry Emerging?

    Defense Against Hacking: Is A New Industry Emerging?
    As the advent of the Internet of Things (IoT) continues to increase data exponentially, cyber-attacks and data breaches persist at alarming rates and effectiveness.  These circumstances create a need that has fostered a booming business…
Rank this Week: 1552

California Corporate & Securities…

California Corporate & Securities Law

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

http://calcorporatelaw.com/
  • Apr 16

    This Proposed Amendment To DGCL Section 141(f) Is A Curate’s Egg

    This Proposed Amendment To DGCL Section 141(f) Is A Curate’s Egg
    In AGR Halifax Fund, Inc. v. Fiscina, 743 A.2d 1188 (1999), the Delaware Court of Chancery was asked to decide whether a consent given by persons before they became directors could become effective if delivered to the corporation after they…
  • Apr 15

    Name And Shame No More?

    Name And Shame No More?
    The last few years has seen the rise of so-called “name and shame” laws. The aims of many these laws may be laudable, but yesterday’s decision by the Court of Appeals for the District of Columbia Circuit calls their…
  • Apr 14

    American Icon Amends Stock Plan To Make It Section 25102(o) Eligible – Why?

    American Icon Amends Stock Plan To Make It Section 25102(o) Eligible – Why?
    Section 102 the National Securities Markets Improvement Act (which amended Section 18 of the Securities Act of 1933) deems securities listed (or authorized for listing) on the NYSE, the American Stock Exchange or the National Market…
Rank this Week: 112

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
Rank this Week: 2329

Securities Law Prof Blog

Securities Law Prof Blog

Covers securities arbitration, state securities law, court decisions and law review articles. By Professor Barbara Black.

http://lawprofessors.typepad.com/securities/
  • Apr 15

    Ong & Lipinsky on Asia's Stock Market

    Ong & Lipinsky on Asia's Stock Market
    Li Ong and Fabian Lipinsky have posted Asia's Stock Markets: Are There Crouching Tigers and Hidden Dragons? on SSRN with the following abstract: Stock markets play a key role in corporate financing in Asia. However, despite their increasing…
  • Apr 15

    Berdejo on Going Public

    Berdejo on Going Public
    Carlos Berdejo has posted Going Public After the JOBS Act on SSRN with the following abstract: The Jumpstart Our Business Startups Act of 2012 (JOBS Act) represents one of the most comprehensive overhauls of the securities laws in recent…
  • Apr 15

    Prather-Kinsey & Tanyi on IFRS

    Prather-Kinsey & Tanyi on IFRS
    Jenice J. Prather-Kinsey and Paul Tanyi have posted The Market Reaction to SEC IFRS-Related Announcements: The Case of American Depository Receipt (ADR) Firms in the U.S. on SSRN with the following abstract: The objective of our study is to…
Rank this Week: 588

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: 788

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: 1490

The White Law Group's Securities…

The White Law Group's Securities Fraud Blog

Covers securities fraud cases, investment fraud practices and securities industry regulations.

http://www.whitesecuritieslaw.com/securities-fraud/blog/
  • Apr 15

    PNC Investments LLC fined by FINRA

    PNC Investments LLC fined by FINRA
    PNC Investments LLC (CRD# 129052, Pittsburgh, Pennsylvania) recently submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $90,000. The firm has paid restitution to all affected customers. Without…
  • Apr 15

    Merriman Capital, Inc. fined by FINRA

    Merriman Capital, Inc. fined by FINRA
    Merriman Capital, Inc. (CRD #18296, San Francisco, California) recently submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured, fined $120,000 and required to retain an independent consultant to conduct a…
  • Apr 15

    Chase Investment Services Corp. fined by FINRA

    Chase Investment Services Corp. fined by FINRA
    Chase Investment Services Corp. (CRD #25574, Chicago, Illinois) recently submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $825,000. Without admitting or denying the findings, the firm…
Rank this Week: 150

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. Published by Porter, Wright,

http://www.fedseclaw.com/
Rank this Week: 4390

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/
Rank this Week: 310

William Carleton, Counselor @ Law

William Carleton, Counselor @ Law

Covers legal and investment issues facing emerging tech companies.

http://www.wac6.com/wac6/
  • Apr 14

    A Simple Act of Congress to Make Things Better for Startup

    A Simple Act of Congress to Make Things Better for Startup
    My friend Joe Wallin had an idea earlier today, which was, “how can Congress pass a single, simple law, to tell federal agencies to back off the rulemaking?” His idea is borne of the frustration we all feel when Congress...
  • Apr 9

    Another Car2Go story

    Another Car2Go story
    I love this service. A lot of people in Seattle are talking about the politics of ride sharing services. But Car2Go is more like a self-service. Or the loan of hardware, I guess you could say. Because you find a...
  • Apr 2

    Non-accredited crowdfunding: a license to pillage the vulnerable, or democracy in action?

    Non-accredited crowdfunding: a license to pillage the vulnerable, or democracy in action?
    The essential problem with Title III of the JOBS Act is that it doesn't pick sides.
Rank this Week: 763

Stock Broker Attorney Blog

Stock Broker Attorney Blog

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

http://www.stockbrokerattorney.com/blog
  • Apr 14

    UBS Puerto Rico Investment Loss Claims Rise as Island Debt Downgraded to Junk Statu

    UBS Puerto Rico Investment Loss Claims Rise as Island Debt Downgraded to Junk Statu
    The nationally recognized investment fraud attorneys at Levin Papantonio are actively filing claims on behalf of investors who suffered unwarranted losses. UBS Financial Services of Puerto Rico routinely advised clients to take concentrated…
  • Sep 9

    He's Not Above The Law - But It's Still a Slap On The Wrist

    He's Not Above The Law - But It's Still a Slap On The Wrist
    According to Forbes, Philip Falcone is No. 377 on the list of the 1%, worth $1.2 billion as of March 2013 as well as one of the Top 40 hedge fund managers in the U.S. Except that he won't be doing that anymore - for awhile, anyway.  read…
  • Aug 19

    When Billions Aren't Enough

    When Billions Aren't Enough
    Author and talk show host Thom Hartmann periodically suggests that it is a form of mental illness – a pathological condition.  We're talking about the type of sociopathic greed that has become the “American Way” over…
Rank this Week: 3584

White Collar Fraud

White Collar Fraud

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

http://whitecollarfraud.blogspot.com/
Rank this Week: 1005

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
  • Apr 14

    The Quagmire of “Unauthorized Access” Remain

    The Quagmire of “Unauthorized Access” Remain
    This guest post was authored by our colleague Jeremy D. Mishkin, partner and chair of the firm’s Litigation practice. His practice emphasizes complex commercial matters, technology, the Internet and First Amendment/Media Law issues. He…
  • Apr 10

    Crisis Management: Law and PR

    Crisis Management: Law and PR
    As readers of this blog know by now, my colleagues and I were members of the defense team that represented U.S. Army Brigadier General Jeffrey Sinclair. Our client faced a rare court-martial of a general officer at Fort Bragg, NC ……
  • Mar 20

    Vindication: General Sinclair Sentenced to a Reprimand and $20K Fine

    Vindication: General Sinclair Sentenced to a Reprimand and $20K Fine
    Today marks the end of what The New York Times recently called “a textbook example of justice gone awry.”  Thankfully, justice was not completely absent from the courtroom this morning. During yesterday’s closing…
Rank this Week: 2377

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • Apr 14

    Why Should You Care About Cyber-Security

    Why Should You Care About Cyber-Security
    The short answer to this question is that the SEC and FINRA care.  Both regulators have made this issue an exam priority for the year, and it was recently a focus of an SEC roundtable.  We hear of data breaches on nearly a daily…
  • Apr 3

    Who Wants To Know Something About FINRA’s New Written Procedures Rule?

    Who Wants To Know Something About FINRA’s New Written Procedures Rule?
    New FINRA Rule 3110 (effective December 1, 2014) sets out various written procedures and requirements for member firms.  You should pay particular attention to these rules because they suggest those areas of focus in any upcoming…
  • Apr 2

    RIAs Permitted to More Freely Advertise on Social Media

    RIAs Permitted to More Freely Advertise on Social Media
    The SEC’s Division of Investment Management  issued guidance permitting advisers  greater use of social media while maintaining the  prohibition on testimonials.   See…
Rank this Week: 2173

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: 1896

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/
  • Apr 12

    FINRA Doesn’t Want Oversight Over Financial Advisers, Says CEO Ketchum

    FINRA Doesn’t Want Oversight Over Financial Advisers, Says CEO Ketchum
    According to Financial Industry Regulatory Authority CEO Richard G. Ketchum, the regulator no longer wants to be given oversight over financial advisers. Speaking to The Wall Street Journal, Ketchum said the self-regulatory agency had done…
  • Apr 11

    Large Hedge Funds Invested in Puerto Rico Bond

    Large Hedge Funds Invested in Puerto Rico Bond
    According to The Wall Street Journal, a number of large hedge funds and other nontraditional buyers got involved in Puerto Rico debt last month during the US Territory’s $3.5B bond sale, buying up to 70% of the deal. Brigade Capital…
  • Apr 9

    SEC Files Charges Over Securities Fraud Scams that Used YouTube, Facebook, Twitter, & Other Social Media

    SEC Files Charges Over Securities Fraud Scams that Used YouTube, Facebook, Twitter, & Other Social Media
    The US Securities and Exchange Commission has filed securities fraud charges against Joseph Signore, Paul L. Schumack II, and their respective companies for their Florida-based Ponzi scam that purportedly used YouTube videos to target…
Rank this Week: 497

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
Rank this Week: 138

Broke and Broker

Broke and Broker

Covers the Wall Street docket of criminal, civil, regulatory, and arbitration cases. By Bill Singer.

http://brokeandbroker.com/index.php
  • Apr 12

    Mom, Her IRA, And Her Stockbroker Son

    Mom, Her IRA, And Her Stockbroker Son
    Here's an interesting cocktail of facts: an IRA, a mother, powers of attorney, and a stockbroker son. Add into that mix questions about whether a $60,000 transfer was a gift. As with all mixtures of family and money, this one doesn't end…
  • Apr 12

    EMPLOYMENT TUESDAY at BrokeAndBroker.com

    EMPLOYMENT TUESDAY at BrokeAndBroker.com
    Stockbroker, Compliance, Legal, and Regulatory JobsFor a full listing of current job openings, visit the BrokeAndBroker Employment Page BrokeAndBroker.c...
  • Apr 11

    UBS Associate Goes Through ARS Meat Grinder

    UBS Associate Goes Through ARS Meat Grinder
    Auction Rate Securities are the unwanted gift that keeps on giving. In today's BrokeAndBroker.com Blog, we report about yet another bit of collateral damage in which a lowly associate gets caught up in the litigation and regulatory meat…
Rank this Week: 795

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Apr 11

    Cornerstone Releases Report On Settlement

    Cornerstone Releases Report On Settlement
    Cornerstone Research has released its annual report on securities class action settlements. The notable findings include: (1) There were 67 settlements last year, a 17.5% increase from 2012. The report concludes that the increase is likely…
  • Mar 28

    Shielding From Suspicion

    Shielding From Suspicion
    The U.S. Court of Appeals for the Fourth Circuit has issued an opinion - Yates v. Municipal Mortgage & Equity, LLC, 2014 WL 890018 (4th Cir. March 7, 2014) - that clarifies the court's position on several securities fraud issues....
  • Mar 13

    Back To The Well

    Back To The Well
    Securities litigation? Check. Then you are well on your way to getting your cert petition granted by the U.S. Supreme Court. After agreeing just last week to hear Omnicare and resolve a circuit split over the pleading of false opinions...
Rank this Week: 2968

New York Securities Lawyers Blog

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

http://www.newyorksecuritieslawyersblog.com/
  • Apr 11

    Biggest Recent FINRA Fines Point to Poor Supervision at Large Broker-Dealer

    Biggest Recent FINRA Fines Point to Poor Supervision at Large Broker-Dealer
    Apparently the opportunity for bad brokers to engage in wrongful conduct is enabled by big brokerage firms, as recent Financial Industry Regulatory Authority (FINRA) fines indicate that these businesses fail to properly supervise their foot…
  • Apr 4

    Managed Futures Fund Fees: When Is Enough Enough?

    Managed Futures Fund Fees: When Is Enough Enough?
    When are money management fees too much? It is hard to imagine that any investor who has sought the guidance of professional financial advisors has not asked himself or herself this question at least once - most likely more. In the case of…
  • Mar 27

    FINRA Files LPL Financial for Failures to Supervise Alternative Investment

    FINRA Files LPL Financial for Failures to Supervise Alternative Investment
    LPL Financial LLC has been hit again for supervisory failures stemming from the recommendation of non-traded real estate investment trusts (REITs), as well as other illiquid investments, begging the question whether the fines are large enough…
Rank this Week: 1468

Footnoted

Footnoted

Reports on actionable information in SEC filings.

http://www.footnoted.com/
  • Apr 11

    Hertz CFO being paid twice for one job

    Hertz CFO being paid twice for one job
    Hertz' new CFO is being paid twice -- once by Hertz and an even larger "salary" by his former employer, Hilton Worldwide.
  • Apr 7

    Proxy madness: mystery fees at Google

    Proxy madness: mystery fees at Google
    New disclosures in Google's proxy caught our attention and created a bit of a mystery on exactly what the company is paying for.
  • Mar 26

    Advanced Micro Devices execs say game on!

    Advanced Micro Devices execs say game on!
    It's silly season for perks, which means disclosure like the one at AMD which provided Xbox's and PlayStations to their named executives in 2013.
Rank this Week: 3107

Canadian Securities Law Online

Canadian Securities Law Online

Covers Canadian securities law topics, including disclosures, corporate governance, mergers, registration and compliance. By Stikeman Elliott.

http://www.canadiansecuritieslaw.com/
  • Apr 11

    Ontario's proposed prospectus exemptions: existing security holder exemption

    Ontario's proposed prospectus exemptions: existing security holder exemption
    Emma Parker and Simon Romano - Of the new prospectus exemptions proposed to be adopted by the Ontario Securities Commission (OSC), the “existing security holder” exemption represents, in many ways, a significantly streamlined…
  • Apr 10

    Exchange of Letters to facilitate Canadian issuer offerings in Chile

    Exchange of Letters to facilitate Canadian issuer offerings in Chile
    The OSC, AMF, ASC and BCSC have entered into an Exchange of Letters with Chile's Superintendencia de Valores y Seguros intended to facilitate the public offering of securities of Canadian reporting issuers in Chile on an exempt…
  • Apr 10

    CSA extend time for OTC derivatives trade reporting

    CSA extend time for OTC derivatives trade reporting
    The CSA announced today that they are pushing back the date for the implementation of OTC derivatives trade reporting obligations. Clearing agencies and dealers will now have to begin trade reporting on October 31, 2014, while all…
Rank this Week: 1510

Andrew Abramowitz, PLLC

Andrew Abramowitz, PLLC

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

http://aalegalnyc.com/blog/
  • Apr 11

    Income Share Agreement

    Income Share Agreement
    I blogged last year about an IPO for a football player – the public offering of a share of the right to receive 20% of Arian Foster’s future football-related income.  There is a movement afoot now to introduce this concept in…
  • Apr 7

    Interesting Reads for the Week April 7

    Interesting Reads for the Week April 7
    A profile of a matching service connecting small businesses with lawyers.  I generally get my clients the old-fashioned way – referrals – but approaches like this could be useful for both lawyers and the businesses. A…
  • Apr 3

    Limiting Investment Risk for Non-Accredited Investor

    Limiting Investment Risk for Non-Accredited Investor
    I’ve noted in past posts that the SEC tends to take a paternalistic attitude toward the notion of non-accredited investors participating in private offerings, with income and net worth enshrined in the applicable rules as a rough proxy…
Rank this Week: 2475

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
  • Apr 11

    Variable Universal & Indexed Universal Life Insurance Policie

    Variable Universal & Indexed Universal Life Insurance Policie
    In an April 4, 2014 article in The Wall Street Journal (“The Great Life-Insurance Temptation”), customers are warned that they “could be in for a shock” as a result of the correlation between specific life insurance…
  • Apr 10

    SEC Is Probing Dealings by Banks and Companies in Loan Securitie

    SEC Is Probing Dealings by Banks and Companies in Loan Securitie
    The Securities and Exchange Commission is investigating a Wall Street boom in complicated bond deals. SEC investigators are looking at whether banks and companies are using the bond deals to hide certain risks illegally, said the people close…
  • Apr 2

    SEC Is Probing Dealings by Banks and Companies in Loan Securitie

    SEC Is Probing Dealings by Banks and Companies in Loan Securitie
    On March 24, 2014, an article in The Wall Street Journal (“SEC is Probing Dealings by Banks and Companies in Loan Securities”), disclosed that the Securities and Exchange Commission is investigating whether a Wall Street boom in…
Rank this Week: 690

Cady Bar the Door

Cady Bar the Door

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

http://www.secmiscellany.com
  • Apr 10

    Give Me That Old-Time Insider Trading

    Give Me That Old-Time Insider Trading
    Recently I had a question that required me to review Don Langevoort’s comprehensive insider trading treatise.  It got me thinking about the roots of insider trading law.  Specifically, the pre-SEC, pre-10b-5 insider trading…
  • Mar 19

    Two Thoughts about Dewey LeBoeuf and Parallel Proceeding

    Two Thoughts about Dewey LeBoeuf and Parallel Proceeding
    You’ve probably read about the Manhattan district attorney’s office’s indictment of executives at former Big Law giant Dewey LeBoeuf.  According to the WSJ  Law Blog, the crux is this: “[F]ormer Dewey…
  • Mar 13

    For Municipal Bond Issuers, SEC’s New Cooperation Initiative Could Be a Good Idea (Unless It’s a Bad Idea)

    For Municipal Bond Issuers, SEC’s New Cooperation Initiative Could Be a Good Idea (Unless It’s a Bad Idea)
    You know how every few years libraries will offer an amnesty program and give delinquent borrowers a chance to bring in their old books without prohibitive late fines?  The SEC is sort of trying out that approach with its new…
Rank this Week: 3919

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

http://www.seclawyersblog.com/
Rank this Week: 422

TRACE Blog

TRACE Blog

Covers anti-bribery compliance.

http://traceblog.org/
  • Apr 10

    Reflections on TRACE’s Global Enforcement Report 2013: The Butterfly Effect

    Reflections on TRACE’s Global Enforcement Report 2013: The Butterfly Effect
    While the U.S. remains the leader in formal foreign bribery actions, defined as cross-border enforcement actions by government agencies that have resulted in formal charges or official declinations, other countries are certainly taking steps…
  • Apr 1

    TRACE Poll: March’s Biggest Compliance Story

    TRACE Poll: March’s Biggest Compliance Story
    Vote for what you think is this month’s top compliance story. U.S. government freezes stolen assets of former Nigerian dictator Sani Abacha- A civil forfeiture complaint was unsealed this month indicating that the U.S. Department of…
  • Mar 7

    Guest Post: Five Questions that Can Keep Your Monitor From Running Away

    Guest Post: Five Questions that Can Keep Your Monitor From Running Away
    Today’s guest blog post is written by Ms. Kathleen Hamann. Ms. Hamann, a partner at White & Case LLP in Washington, DC, was previously a Trial Attorney in the FCPA Unit at the Department of Justice, where she selected and oversaw a…
Rank this Week: 2422

InvestorLawyers.net

InvestorLawyers.net

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

http://www.investorlawyers.net/blog/
  • Apr 9

    Two MetLife Brokers Accused of Unsuitable Variable Annuity Sale

    Two MetLife Brokers Accused of Unsuitable Variable Annuity Sale
    Securities fraud attorneys are currently investigating claims on behalf of investors who suffered significant losses in variable annuities. Variable annuities are insurance products tied to an investment portfolio, which typically consist of…
  • Apr 7

    Have You Been the Victim of Investment Scalping?

    Have You Been the Victim of Investment Scalping?
    Investment fraud lawyers are currently investigating claims on behalf of investors who suffered significant losses as a result of a securities fraud related to scalping. Scalping occurs when a broker or financial advisor recommends a security…
  • Apr 2

    Claims Against Berthel Fisher for Unsuitable Sale of Alternative Investments Begin

    Claims Against Berthel Fisher for Unsuitable Sale of Alternative Investments Begin
    Our recent blog post, “Berthel Fisher and Affiliate Fined Regarding Sales of ETFs and Non-Traded REITs,” reported that in February the firm had been fined $775,000 by the Financial Industry Regulatory Authority (FINRA). The FINRA…
Rank this Week: 3882

100 F Street

100 F Street

Covers securities law for growing businesses. By Vanessa Schoenthaler.

http://100fstreet.com/
  • Apr 9

    You Know that Old Adage About a Picture Being Worth a 1,000 Words …

    You Know that Old Adage About a Picture Being Worth a 1,000 Words …
    TweetOr perhaps this post should be entitled: “Lessons in How Not to Preside Over Your Annual Meeting” While I haven’t been following the proxy contest over at Harvard Illinois Bancorp, things seem to have taken an…
  • Apr 8

    The SEC Issues 9 New FAQs Relating to Conflict Mineral Disclosure

    The SEC Issues 9 New FAQs Relating to Conflict Mineral Disclosure
    TweetWith the filing deadline for the first Form SD a little more than a month away (June 2, 2014), yesterday the Division of Corporation Finance issued nine new FAQs providing additional conflict mineral disclosure guidance. This…
  • Mar 17

    CorpFin’s Updated and Refined WKSI Ineligible Issuer Waiver Framework

    CorpFin’s Updated and Refined WKSI Ineligible Issuer Waiver Framework
    TweetOn Wednesday the Division of Corporation Finance issued a revision to its July 2011 statement on well-known seasoned issuer waivers. The original statement was issued to provide guidance on what constitutes “a showing of good…
Rank this Week: 3420

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/
  • Apr 9

    A Million Dollars In Fees For Class Counsel in Wachovia/Wells Fargo Merger Lawsuit

    A Million Dollars In Fees For Class Counsel in Wachovia/Wells Fargo Merger Lawsuit
    When I first looked at Judge Murphy's (unpublished) Order in Ehrenhaus v. Baker earlier this month awarding attorneys' fees to the class action attorneys who sued Wachovia and Wells Fargo over their merger in 2008,  I was disappointed,…
  • Apr 8

    Business Court Makes North Carolina Safe For Construction Lawyer

    Business Court Makes North Carolina Safe For Construction Lawyer
    Construction lawyers in North Carolina can breathe a sigh of relief.  On Friday of last week, the Business Court ruled that the service of on-line service provider Lienguard in preparing claims of lien constitutes the unauthorized…
  • Apr 7

    Real Estate Agents Need To Be Careful About Disclosing Dual Agency

    Real Estate Agents Need To Be Careful About Disclosing Dual Agency
    Dual agency is a big deal to real estate agents.  It lets them represent both a buyer and a seller in a transaction.  Dual agency was the focal point of the Business Court's opinion last week in BDM Investments v. Lenhil, Inc.,…
Rank this Week: 713

Securities Law Blog

Securities Law Blog

Features news, commentary and thoughts on the law of the securities markets. By Mark Astarita.

http://seclaw.blogspot.com/
  • Apr 7

    SEC Announces Additional $150,000 Payment to Recipient of First Whistleblower Award

    SEC Announces Additional $150,000 Payment to Recipient of First Whistleblower Award
    The SEC has announced that the whistleblower who received the first award under the agency's new whistleblower program will receive an additional $150,000 payout after the SEC collected additional funds in the case.The whistleblower, who the…
  • Apr 7

    New Jersey Brokerage Firm Charged in Manipulation

    New Jersey Brokerage Firm Charged in Manipulation
    The Securities and Exchange Commission charged the owner of a Holmdel, N.J.-based brokerage firm with manipulative trading of publicly traded stocks through an illegal practice known as "layering" or "spoofing."The SEC also charged the owner…
  • Apr 5

    SEC Expanding the Scope of Insider Trading

    SEC Expanding the Scope of Insider Trading
    Despite all of the insider trading investigations and cases we have handled there are two aspects of these cases that still amaze us - the convoluted charges that the Commission  sometimes files, and the contortions that some folks go…
Rank this Week: 1432

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

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

    California Finance Lenders License

    California Finance Lenders License
    California Requirements for Hedge Funds and Private Equity Funds Engaged in Lending Businesses Investment advisers, private equity managers, private fund managers, and other businesses that are engaged in making loans should be aware of…
  • Mar 28

    NFA May Impose Capital Requirements, Other Restrictions on CPOs and CTA

    NFA May Impose Capital Requirements, Other Restrictions on CPOs and CTA
    NFA Suggests New Rules, Solicits Comments from CPOs and CTAs The NFA recently issued a Notice to Members that included a Request for Comments on a proposal to subject CPOs and CTAs to new rules. These rules, which include a minimum capital…
  • Mar 5

    SEC Compliance – Custody Issue

    SEC Compliance – Custody Issue
    Annual Update Guidance on Custody Issue It is that time of year that registered investment advisers are focusing on the ADV annual updating process.  Occasionally the SEC will provide guidance to managers on common questions applicable…
Rank this Week: 1921