Most Popular Securities Law Blawgs Expanded View List View

Blogs 1 - 45 of 82
Sort by Popularity | Sort by Name | Sorted by Last Post Date

Securities Lawyer 101

Securities Lawyer 101

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

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

    Corporate Hijackings 101 l Securities Lawyer 101 Blog

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

    Going Public Blog l Securities Lawyer 101

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

    Going Public Blog l Securities Lawyer 101

    Going Public Blog l Securities Lawyer 101
    Going Public Lawyer  Securities Lawyer 101 Blog Going public is a big step for any company.  The process of “going public” is complex and at times precarious.  While going public offers many benefits it also comes…
Rank this Week: 70

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/
  • Mar 30

    Merrill Lynch fined by State of Massachusetts over supervisory failures.

    Merrill Lynch fined by State of Massachusetts over supervisory failures.
    Merrill Lynch recently agreed to pay a $2.5 million fine in Massachusetts to settle charges that it failed to follow its own compliance rules. Secretary of the Commonwealth William Galvin accused Merrill, Lynch, Pierce, Fenner & Smith of…
  • Mar 25

    Recovery of TIER REIT

    Recovery of TIER REIT
    Have you suffered investment losses in TIER REIT ? If so, the securities attorneys of The White Law Group may be able to help you recover your losses by filing a FINRA Dispute Resolution claim against the brokerage firm that sold you the…
  • Mar 25

    Recovery of KBS Real Estate Investment Trust

    Recovery of KBS Real Estate Investment Trust
    Have you suffered investment losses in KBS Real Estate Investment Trust ? If so, the securities attorneys of The White Law Group may be able to help you recover your losses by filing a FINRA Dispute Resolution claim against the brokerage firm…
Rank this Week: 349

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Mar 30

    Broker Spotlight: Wells Fargo Advisor Marcus Debaise

    Broker Spotlight: Wells Fargo Advisor Marcus Debaise
    According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Marcus Debaise (Debaise) has been the subject of at least 14 different customer complaints over the course of his career. Beginning in 2011…
  • Mar 27

    FINRA Sanctions Oriental Financial Over Concentrated Customer Accounts in Puerto Rico Bond Fund

    FINRA Sanctions Oriental Financial Over Concentrated Customer Accounts in Puerto Rico Bond Fund
    This is the second regulatory action that our firm has tracked concerning brokerage firms recommending concentrated positions in Puerto Rico bond funds without having appropriate supervisory system and procedures designed to identify and…
  • Mar 26

    FINRA Bars Former Legend Equities Principal Jerry Chancy Concerning Outside Business Activitie

    FINRA Bars Former Legend Equities Principal Jerry Chancy Concerning Outside Business Activitie
    The Financial Industry Regulatory Authority (FINRA) sanctioned and barred broker Jerry Chancy (Chancy) concerning allegations that Chancy potentially engage in outside business activities and/or the sales of private securities. When a…
Rank this Week: 1084

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Mar 30

    Congressman Proposes to Make Insider Trading a Federal Crime

    Congressman Proposes to Make Insider Trading a Federal Crime
    [This story previously appeared in Securities Regulation Daily.]By John Filar AtwoodInsider trading would be classified as a federal crime under a new legislative proposal introduced by Rep. Jim Himes (D-Conn). The bill, drafted under…
  • Mar 28

    SEC Investor Advocate to Keynote NASAA’s Public Policy Conference

    SEC Investor Advocate to Keynote NASAA’s Public Policy Conference
    [This story previously appeared in Securities Regulation Daily.]By John M. Jascob, J.D.NASAA has announced that SEC Investor Advocate Rick Fleming will keynote NASAA’s 30th Annual Public Policy Conference next month in Washington,…
  • Mar 27

    CFTC Commissioner Bowen Addresses Risk Management

    CFTC Commissioner Bowen Addresses Risk Management
    [This story previously appeared in Securities Regulation Daily.]By R. Jason Howard, J.D.CFTC Commissioner Sharon Y. Bowen spoke before the 17th Annual OpRisk North America on March 25th to discuss operational risk, an issue she described…
Rank this Week: 93

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/
  • Mar 30

    Overstock.com Hatchet Man Judd Bagley's Downward Spiral: Junkie, Confessed Criminal, Admitted Adulterer

    Overstock.com Hatchet Man Judd Bagley's Downward Spiral: Junkie, Confessed Criminal, Admitted Adulterer
    In the years that I’ve written extensively about Overstock.com (NASDAQ: OSTK), I have always been amazed about its bizarre CEO Patrick Byrne and the gang of misfits he has surrounded himself with. By far, the worst was a real loser…
  • Feb 5

    Crook vs. Crook: Why Former Congressman Michael Grimm is a Dumb Crook

    Crook vs. Crook: Why Former Congressman Michael Grimm is a Dumb Crook
    In my first segment of a series of Op-ed articles about white-collar crime on CNBC, I examine the case of former Republican Congressman Michael Grimm who recently pleaded guilty to income tax evasion and awaits sentencing on June 8, 2015.New…
  • Sep 8

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

    Nu Skin Inventory Red Flags Remain Even After $50 Million Impairment Charge
    On July 22, 2014, I warned investors that Utah-based multi-level marketing company Nu Skin Enterprises' (NYSE: NUS) surging inventory levels might lead it "to recognize a material impairment charge against inventory in a future period." On…
Rank this Week: 1617

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Mar 30

    Board Composition: Insights From Investor

    Board Composition: Insights From Investor
    With board composition and renewal under increasing scrutiny, this recent EY report summarizing views of institutional investors, investor associations and advisors about board composition and board composition disclosure is instructive.…
  • Mar 27

    Proxy Statements: Pru Includes Lead Director Video

    Proxy Statements: Pru Includes Lead Director Video
    Last year, I blogged about how to file video on EDGAR – and predicted that the use of video in SEC filings would explode over the next decade as a disclosure tool. More recently, I blogged that I thought we would see more video during…
  • Mar 26

    SEC Adopts Reg A+

    SEC Adopts Reg A+
    Yesterday, the SEC adopted rules and forms under Section 3(b) of the Securities Act – known as “Reg A+” – as required by Section 401 of the JOBS Act. The 453-page adopting release was posted last night (so no law firm…
Rank this Week: 285

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • Mar 30

    Paris Arts Review

    Paris Arts Review
    The D&O Diary rounded out its European visit last week with a quick weekend visit to Paris. In addition to rendezvous with friends and family, the stopover included several long walks, two encounters with the Parisian contemporary art…
  • Mar 27

    Notes from the London Underground

    Notes from the London Underground
    The D&O Diary was in London this week for meetings and a couple of industry events. Though my schedule on this visit was full, I did have a little time between meetings for a bit of touristing. I have been to London many times…
  • Mar 25

    Guest Post: Is Employee Awareness and Training the Holy Grail of Cybersecurity?

    Guest Post: Is Employee Awareness and Training the Holy Grail of Cybersecurity?
    In the current environment, most organizations are aware of the potential threats to their firms from a breach of their data systems and networks. Among the ways companies can protect themselves from these types of threats is through improved…
Rank this Week: 335

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • Mar 30

    Who Needs The SEC Anyway

    Who Needs The SEC Anyway
    At least one New York City official would answer that question in the negative. The city comptroller released a proposal that would require a financial advisor to clearly state whether he or she must act in the investor’s best…
  • Mar 25

    How to avoid being sued 2.0

    How to avoid being sued 2.0
    Over the years that I have defended financial advisors and their firms, I have frequently spoken and written about ways to avoid the risk of being sued. I prepared a guidebook a couple of years ago that detailed some common sense approaches…
  • Mar 24

    Cybersecurity: FINRA’s Take

    Cybersecurity: FINRA’s Take
    We recently highlighted the Security and Exchange Commission’s 2014 OCIE Cybersecurity Initiative.  Not to be outdone, FINRA also released its Report on Cybersecurity Practices, which provided a much more in-depth report on…
Rank this Week: 270

Business Blog

Business Blog

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

http://www.businesslawnews.com/
  • Mar 30

    Could Your Online Job Application Lead to an FCRA Violation?

    Could Your Online Job Application Lead to an FCRA Violation?
    In the digital age, it makes sense to post job openings and allow prospective employees to complete a online job application. After all, most job searches are conducted on the Internet. However, many companies are learning that online job…
  • Mar 27

    Acquisition Frenzy Continue in Pharmaceutical Industry

    Acquisition Frenzy Continue in Pharmaceutical Industry
    Earlier this month, AbbVie, Inc. paid $21 billion to acquire Pharmacyclics, Inc., a cancer drug company with only one medication on the market. The deal highlights the acquisition frenzy that continues to dominate the pharmaceutical industry.…
  • Mar 26

    Even Company Officers Can Blow the Whistle on Securities Fraud

    Even Company Officers Can Blow the Whistle on Securities Fraud
    Highlighting that anyone can become a whistleblower on securities fraud under the right circumstances, the Securities and Exchange Commission (SEC) recently announced that it plans to award between $475,000 and $575,000 to a former company…
Rank this Week: 1430

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/
  • Mar 30

    District Court Refuses To Halt SEC Administrative Proceeding

    District Court Refuses To Halt SEC Administrative Proceeding
    While serving as General Counsel to California’s Business, Transportation & Housing Agency, I was from time to time asked to respond to ersatz summons and other documents issued by “Our One Supreme Court”. …
  • Mar 27

    Covenants Not To Compete – By The Number

    Covenants Not To Compete – By The Number
    In a recently published article, three professors undertook an empirical analysis of noncompetition and other restrictive postemployment covenants in public company Chief Executive Officer contracts.  Norman D. Bishara, Kenneth J.…
  • Mar 26

    Did The Judge’s Ruling Truly Decimate The Defendant’s Contention?

    Did The Judge’s Ruling Truly Decimate The Defendant’s Contention?
    Yesterday’s post concerned Justice M. Kathleen Butz’ recent holding in Yee v. Am. Nat’l Ins. Co., 2015 Cal. App. LEXIS 257 (Cal. Ct. App. 2015).  The case involved the California Controller’s attempt to examine…
Rank this Week: 660

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/
  • Mar 28

    White-Collar Felon Registries, Hester Prynne and The Drive-By Trucker

    White-Collar Felon Registries, Hester Prynne and The Drive-By Trucker
    Although one must admire the historicist sensibilities of a state legislature that just reinstated the firing squad  as a methodology for execution, the Utah legislature’s passage of a bill to create a white-collar crime…
  • Mar 20

    The Drinking Reader, Our Cocktails Magazine, Tom Jones and Other Weekend Matter

    The Drinking Reader, Our Cocktails Magazine, Tom Jones and Other Weekend Matter
    White Collar Wire supports cocktails. As part of that effort, I have a magazine on Flipboard called (helpfully) “Cocktails.”  Follow here, read on and use good ice. Two items we focus on — books and cocktails…
  • Mar 18

    White-Collar Crime, DPAs and Repeat Busine

    White-Collar Crime, DPAs and Repeat Busine
    The phenomenon of extending corporate deferred-prosecution agreements (or “DPAs”) continues, as here with medical device maker Biomet, and controversy inevitably ensues: Life was supposed to return to normal for Biomet, the giant…
Rank this Week: 3034

New York Securities Lawyer Blog

New York Securities Lawyer Blog

Covers securities law. By Lax & Neville LLP.

http://www.newyorksecuritieslawyerblog.com/
Rank this Week: 3235

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
  • Mar 27

    Cambridge Expands Succession Planning Partnership Program

    Cambridge Expands Succession Planning Partnership Program
    From the Desk of Jim Eccleston at Eccleston Law LLC:Cambridge Investment Research Inc., an independent broker-dealer, is expanding a current offering by a sister company, Continuity Partners Group to provide capital for succession planning…
  • Mar 26

    New York Based Brokerage Firm Charged in Investment Fraud

    New York Based Brokerage Firm Charged in Investment Fraud
    From the Desk of Jim Eccleston at Eccleston Law LLC:Brookville Capital Partners LLC, a registered brokerage firm based in New York, was charged by FINRA with investment fraud in connection with sales of a private placement offering. FINRA…
  • Mar 25

    Former UBS Broker Pleads Guilty to $1 Million Securities Fraud

    Former UBS Broker Pleads Guilty to $1 Million Securities Fraud
    From the Desk of Jim Eccleston at Eccleston Law LLC:Khawaja Saud Masud, a former UBS broker from New Jersey pled guilty for stealing over $1 million from a retired pediatrician and his wife by fraudulently soliciting them to invest in his…
Rank this Week: 133

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/
  • Mar 27

    Canadian regulators issue registration exemptions for U.S. dealers and adviser

    Canadian regulators issue registration exemptions for U.S. dealers and adviser
    Canadian securities regulators, other than Ontario, yesterday released omnibus blanket orders to exempt certain U.S. broker-dealers and advisers from registration requirements where they have offices or employees in Canada but are not…
  • Mar 27

    B.C. issues blanket order for MI 51-105 and NI 33-105 exemption

    B.C. issues blanket order for MI 51-105 and NI 33-105 exemption
    The British Columbia Securities Commission published a blanket order, B.C. Instrument 51-512 Certain Private Placements, on March 23, 2015 which expands existing exemptions in B.C. from the application of Multilateral Instrument 51-105…
  • Mar 20

    Stikeman Elliott LLP advises on the first Canadian SPAC IPO

    Stikeman Elliott LLP advises on the first Canadian SPAC IPO
    Simon Romano - Stikeman Elliott LLP has the distinction of acting as legal adviser to the first ever IPO of a Canadian SPAC to date. A Special Purpose Acquisition Corporation (a SPAC) is a publicly-traded shell company that has as its…
Rank this Week: 1566

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: 507

Footnoted

Footnoted

Reports on actionable information in SEC filings.

http://www.footnoted.com/
  • Mar 27

    An inverse relationship at J.C. Penney

    An inverse relationship at J.C. Penney
    Before he was replaced as CEO, Marvin Ullman was a very avid user of JC Penney's corporate jet for personal travel.
  • Mar 18

    Hunting for Perks in Proxy Season

    Hunting for Perks in Proxy Season
    Proxy season invariably means the disclosure of some unique perks, including a hunting lodge at ArcBest.
  • Feb 24

    Goldman Sachs says “People are People”

    Goldman Sachs says “People are People”
    An interesting new disclosure in Goldman Sach's 405-page 10-K notes that the company's made up of humans.
Rank this Week: 3569

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

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

    Former LPL Financial broker, Raymond Daniel Schmidt, barred by FINRA

    Former LPL Financial broker, Raymond Daniel Schmidt, barred by FINRA
    On March 25, 2015, former LPL Financial broker, Raymond Daniel Schmidt, was permanently barred from the financial industry. The post Former LPL Financial broker, Raymond Daniel Schmidt, barred by FINRA appeared first on Stock Fraud News &…
  • Mar 27

    Wells Fargo broker, Joseph B. Dirago, Jr., suspended and fined

    Wells Fargo broker, Joseph B. Dirago, Jr., suspended and fined
    Current Wells Fargo Advisor broker, Joseph B. Dirago, Jr. was suspended from the financial industry for fifteen business days and fined $5,000 on March 19, 2015. The post Wells Fargo broker, Joseph B. Dirago, Jr., suspended and fined appeared…
  • Mar 26

    Former Wells Fargo broker, Nicholas C. Kramer, barred from securities industry

    Former Wells Fargo broker, Nicholas C. Kramer, barred from securities industry
    Former Wells Fargo Advisors stockbroker, Nicholas C. Kramer, was permanently barred from the financial industry on March 16, 2015. The post Former Wells Fargo broker, Nicholas C. Kramer, barred from securities industry appeared first on Stock…
Rank this Week: 821

Recover Investment Losses Blog

Recover Investment Losses Blog

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

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

    Texas Securities Commisioner Shuts Down Unregistered Sale of Oil & Gas Royaltie

    Texas Securities Commisioner Shuts Down Unregistered Sale of Oil & Gas Royaltie
    March 25, 2015-Austin, TX John Morgan, Securities Commissioner for the State of Texas, entered an Emergency Cease and Desist Order against Lonestar Mineral Assets or Dallas and Colleyville, TX, and its owner Kenneth W. McKay of…
  • Mar 27

    Losses on CNL Lifestyle Properties REIT May Be Recoverable

    Losses on CNL Lifestyle Properties REIT May Be Recoverable
    March 12, 2015 In recent SEC filings, CNL Lifestyle Properties, Inc. reported an estimated value of $5.20 per share. The value of CNL LIfestyle Properties has dropped nearly 25% since 2013 when it had an estimated value of $6.85. It was…
  • Mar 25

    Dallas Based Worth Financial Group Sanctioned by Securities Regulator

    Dallas Based Worth Financial Group Sanctioned by Securities Regulator
    January 9, 2015 Worth Financial Group  entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  it failed to establish…
Rank this Week: 932

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/
  • Mar 27

    Dead Partner And Disqualification

    Dead Partner And Disqualification
    The Business Court on Wednesday disqualified  a law firm from representing its longtime corporate client in a lawsuit against the corporation's former CEO and Chairman of its Board of Directors. The basis for the ruling in Kingsdown Inc.…
  • Mar 23

    If You Are Proceeding Pro Se In The Business Court It Is Best Not To Be Defiant

    If You Are Proceeding Pro Se In The Business Court It Is Best Not To Be Defiant
    It's probably never a good idea to proceed without a lawyer in any Court, but if you are a non-lawyer and insist on proceeding pro se in the Business Court, don't be defiant and obnoxious.  You will not like the result. Two of the…
  • Mar 5

    There Is A Difference Between "Inducing" Something and "Causing" Something

    There Is A Difference Between "Inducing" Something and "Causing" Something
    If you asked me to list my favorite torts, tortious interference with prospective economic advantage would be near the bottom of the list. But that tort was front and center in Judge McGuire's Opinion in KRG New Hill Place, LLC v. Springs…
Rank this Week: 837

Subject to Inquiry

Subject to Inquiry

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

http://www.subjecttoinquiry.com/
  • Mar 27

    CFPB Launches Inquiry into the Credit Card Industry

    CFPB Launches Inquiry into the Credit Card Industry
    Last week, the Consumer Financial Protection Bureau (CFPB) announced it is seeking public comment from consumers on how the credit card market is functioning following several initiatives imposed by the Credit Card Accountability…
  • Mar 26

    Biomet FCPA Announcement Highlights Distributor-Related Risk

    Biomet FCPA Announcement Highlights Distributor-Related Risk
    Last week, Biomet Inc. announced in a filing with the U.S. Securities and Exchange Commission (SEC) that instead of its 2012 deferred prosecution agreement with the U.S. Department of Justice (DOJ) regarding violations of the U.S. Foreign…
  • Mar 23

    The FCPA Implications of China’s Plan to Consolidate State-Owned Enterprise

    The FCPA Implications of China’s Plan to Consolidate State-Owned Enterprise
    China’s recently announced plan to restructure and consolidate its state-owned enterprises (SOEs) focuses on bolstering the private sector of its economy and creating economies of scale to allow Chinese companies to better compete…
Rank this Week: 1940

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

http://www.seclawyersblog.com/
Rank this Week: 1468

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/
Rank this Week: 294

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

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

    Omnicare Decided

    Omnicare Decided
    The U.S. Supreme Court has issued a decision in the Omnicare case holding that opinions presented in registration statements can be subject to Section 11 liability if either (a) the opinion was not genuinely held, or (b) the registration…
  • Mar 20

    The Streak Is Over

    The Streak Is Over
    Plaintiffs in securities class actions often point to insider trades as evidence that the individual defendants had a pecuniary motive to commit fraud.   But if the plaintiffs do not make any allegations related to insider…
  • Mar 6

    Core Workout

    Core Workout
    The core operations theory, as developed in the Ninth Circuit, holds that it may be possible to infer a strong inference of scienter in situations where the nature of the alleged fraud “is of such prominence that it would be…
Rank this Week: 1198

White Collar Alert

White Collar Alert

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

http://whitecollarblog.mmwr.com
Rank this Week: 3591

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/
  • Mar 25

    FINRA adopts rule to permit sharing of transaction based compensation to unregistered person

    FINRA adopts rule to permit sharing of transaction based compensation to unregistered person
    The Securities and Exchange Commission (SEC) has approved the Financial Industry Regulatory Authority’s FINRA Rule 2040, which will permit the payment of compensation, fees, concessions, discounts, commissions or other allowances to…
  • Mar 19

    FCPA officials point to dollars-and-cents benefits to self-disclosure and cooperation

    FCPA officials point to dollars-and-cents benefits to self-disclosure and cooperation
    High ranking officials in the Department of Justice (DOJ) and Securities and Exchange Commission (SEC) said on March 12 that companies that fail to self-report overseas bribes will face tougher Foreign Criminal Practices Act (FCPA)…
  • Feb 9

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

    Once again, House takes up bill governing M&A broker
    HR 686, The Small Business Mergers, Acquisitions, Sales & Brokerage Simplification Act, was introduced in the U.S. House of Representatives on Feb. 3, 2015. This bill is identical to HR 2274, which was passed unanimously in the U.S. House…
Rank this Week: 496

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
  • Mar 25

    Massachusetts Fines $2.5M for Supervision Violations to Merrill Lynch

    Massachusetts Fines $2.5M for Supervision Violations to Merrill Lynch
    William Galvin, Secretary of the Commonwealth of Massachusetts has fined Merrill Lynch $2.5 million for supervisory violations in association with a training presentation in 2013. The fine order states that the presentation specifically…
  • Mar 23

    Miguel Mattei Zapata Hit with $500K Clawback, $6M in Client Complaint

    Miguel Mattei Zapata Hit with $500K Clawback, $6M in Client Complaint
    A former UBS and Wells Fargo advisor, Zapata has been ordered by FINRA to reimburse $500,000 to his ex-employer Wells Fargo for failure to pay back a promissory note, and will be answering to seven client complaints that allege more than $6…
  • Mar 18

    FINRA Unveiled a Redesigned Website

    FINRA Unveiled a Redesigned Website
    FINRA just unveiled a redesigned website today for arbitration and mediation. It is much more user friendly, checkout the new webpage here: http://www.finra.org/arbitration-and-mediation   The post FINRA Unveiled a Redesigned Website…
Rank this Week: 391

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/
Rank this Week: 206

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: 2875

Strictly Business

Strictly Business

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

http://www.strictlybusinesslawblog.com/
  • Mar 24

    Venture Capital Term Sheet Negotiation — Part 20: Founders’ Stock

    Venture Capital Term Sheet Negotiation — Part 20: Founders’ Stock
    This post is the twentieth in a series giving practical advice to startups with respect to understanding and negotiating a venture capital term sheet. In the prior nineteen posts, we provided an introduction to negotiation…
  • Feb 5

    Venture Capital Term Sheet Negotiation — Part 19: Board Matter

    Venture Capital Term Sheet Negotiation — Part 19: Board Matter
    This post is the nineteenth in a series giving practical advice to startups with respect to understanding and negotiating a venture capital term sheet. In the prior eighteen posts, we provided an introduction to…
  • Jan 14

    Venture Capital Term Sheet Negotiation — Part 18: Non-Disclosure and Developments Agreement

    Venture Capital Term Sheet Negotiation — Part 18: Non-Disclosure and Developments Agreement
    This post is the eighteenth in a series giving practical advice to startups with respect to understanding and negotiating a venture capital term sheet. In the prior seventeen posts, we provided an introduction to…
Rank this Week: 1456

Cady Bar the Door

Cady Bar the Door

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

http://www.secmiscellany.com
  • Mar 23

    FINRA Issues Report on Cybersecurity Practice

    FINRA Issues Report on Cybersecurity Practice
    Following up on our post from last week on the SEC’s cybersecurity exam sweep, you should also know about FINRA’s recent report on this area.  Last month, FINRA published a Report on Cybersecurity Practices that really could…
  • Mar 16

    SEC Releases Results of Cybersecurity Exam Sweep

    SEC Releases Results of Cybersecurity Exam Sweep
    We’re a bit behind on this, but better (a little bit) late than never.  Last month the SEC’s Office of Compliance, Inspections and Examinations released the first results of its Cybersecurity Examination Initiative, announced…
  • Mar 2

    The SEC Will Be Your Employment Law Agency, Too

    The SEC Will Be Your Employment Law Agency, Too
    The nature of the SEC’s business a regulator of public companies lends a certain expansive aspect to its jurisdiction.  That is, when your job as a government agency is to be sure public companies are making complete and accurate…
Rank this Week: 2172

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
  • Mar 23

    Stockbroker Fined And Suspended For Undisclosed Insurance Biz

    Stockbroker Fined And Suspended For Undisclosed Insurance Biz
    For 20 years, one registered person timely and fully disclosed her outside business activity to her employer FINRA member firm. Inexplicably, a few years ago, she apparently embarked upon another outside business but failed to notify her firm…
  • Mar 23

    FULL TEXT Complaints And Answers in Pao v. Kleiner Perkin

    FULL TEXT Complaints And Answers in Pao v. Kleiner Perkin
    On March 27, 2015, after a month of trial testimony and three days of deliberations, a California Superior Court jury found that Plaintiff Ellen Pao had not been discriminated against by venture capital firm Defendant Kleiner Perkins…
  • Mar 23

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
    FULL TEXT Complaints And Answers in Pao v. Kleiner PerkinsOn March 27, 2015, after a month of trial testimony and three days of deliberations, a California Superior Court jury found that Plaintiff Ellen Pao had not been discriminated against…
Rank this Week: 1497

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/
  • Mar 21

    US Prosecutors May Revoke Currency Rigging Settlement

    US Prosecutors May Revoke Currency Rigging Settlement
    According to Bloomberg.com, U.S. prosecutors are thinking about revoking settlements in currency manipulation settlements that were agreed upon years ago and going after banks for manipulating interest rates. The Department of Justice is…
  • Mar 19

    Bank of New York Mellon Corp. Settles Currency Fraud Lawsuits Involving Pension Funds for $714M

    Bank of New York Mellon Corp. Settles Currency Fraud Lawsuits Involving Pension Funds for $714M
    Bank of New York Mellon Corp. (BK) has agreed to pay $714 million to settle claims that it bilked pension funds and others by overcharging for currency transactions. The settlements resolve cases by New York Attorney General Eric Schneiderman…
  • Mar 17

    HTG Capital Partners Files High-Frequency Trading Lawsuit Alleging That It Was the Victim of Spoofing

    HTG Capital Partners Files High-Frequency Trading Lawsuit Alleging That It Was the Victim of Spoofing
    The Chicago high-frequency trading firm HTG Capital Partners is suing rival traders, claiming that “John Doe defendants” engaged in spoofing to manipulate the market. The illegal practice was outlawed in 2010 under the Dodd-Frank…
Rank this Week: 499

Securities Fraud Attorney Blog

Securities Fraud Attorney Blog

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

http://www.securitiesfraudattorneyblog.com/
Rank this Week: 2055

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: 575

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/
  • Mar 19

    Corporate Insiders Individually Charged for Failing to Update SEC Filing

    Corporate Insiders Individually Charged for Failing to Update SEC Filing
    While we all understand that registered individuals rely on their firms to update their required filings, so do corporate officers and shareholders. The problem is that the individuals are still personally responsible for the updates - and…
  • Mar 16

    SEC News - FCPA Violations, Trade Suspensions, Whistleblower Award

    SEC News - FCPA Violations, Trade Suspensions, Whistleblower Award
    Goodyear Charged With FCPA ViolationsGoodyear Tire & Rubber Company has been charged with violating the Foreign Corrupt Practices Act (FCPA) when its subsidiaries paid bribes to land tire sales in Kenya and Angola.SEC Halts Ponzi-Like…
  • Mar 9

    Morgan Stanley breach probe shifts to hacker from fired employee

    Morgan Stanley breach probe shifts to hacker from fired employee
    U.S. authorities are investigating whether a hacker is behind the online publication of a cache of Morgan Stanley's client data and not the financial adviser who was fired in connection with the breach, according to CNN and The Wall Street…
Rank this Week: 1057

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
Rank this Week: 883

Andrew Abramowitz, PLLC

Andrew Abramowitz, PLLC

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

http://aalegalnyc.com/blog/
  • Mar 10

    Interesting Legal Reads for the Week of March 9, 2015

    Interesting Legal Reads for the Week of March 9, 2015
    Some interesting legal reads for the week of March 9, 2015: SEC Commissioner Luis Aguilar on secondary trading of small business stock, including discussion of a so-called “venture exchange.” Steven Davidoff Solomon on hedge…
  • Mar 9

    Should You Be Making Blue Sky Filings in New York?

    Should You Be Making Blue Sky Filings in New York?
    One of the oddities of New York securities law is that a core legal requirement imposed by the state was preempted by federal law almost 20 years ago, and yet the requirement remains on the books. The National Securities Markets Improvement…
  • Mar 4

    Interesting Reads of the Week

    Interesting Reads of the Week
    Some interesting legal reads for the week of March 2, 2015: A speech from SEC Commissioner Michael S. Piwowar, which bemoans the length of the SEC’s rule adopting releases. I agree with his suggestions, including breaking them up into…
Rank this Week: 3112

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

http://www.hedgefundlawblog.com
  • Mar 10

    Hedge Fund Events March 2015

    Hedge Fund Events March 2015
    The following are various hedge fund events happening this month.  Please email us if you would like us to add your event to this list. ****l Date: March 2-3, 2015 Sponsor: Information Management Network Event: Alpha Hedge East…
  • Feb 1

    Hedge Fund Events February 2015

    Hedge Fund Events February 2015
    The following are various hedge fund events happening this month.  Please email us if you would like us to add your event to this list. **** Date: February 1, 2015 Sponsor: The Venture Capital and Private Equity Club at Harvard Business…
  • Jan 5

    Cole-Frieman & Mallon LLP 2014 Fourth Quarter Update

    Cole-Frieman & Mallon LLP 2014 Fourth Quarter Update
    www.colefrieman.com December 29, 2014 Clients, Friends, Associates: December is the busiest month of the year for most private fund managers. In addition to end of year administrative upkeep, the regulatory landscape has shifted dramatically…
Rank this Week: 1810

Stock Market Loss

Stock Market Loss

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

http://www.stockmarketloss.com/news/
  • Mar 9

    Can a Stock Broker or Investor Be Sued?

    Can a Stock Broker or Investor Be Sued?
    This article was originally posted on Stock Market Loss Losing money in the stock market is not unheard of; many investors may even expect it. However, some investors may find that the loss they experience is not necessarily due to the…
  • Mar 9

    Reverse and Home Equity Conversion Mortgage

    Reverse and Home Equity Conversion Mortgage
    This article was originally posted on Stock Market Loss A home equity conversion mortgage, also known as a reverse mortgage, is a federally regulated type of loan available to people over the age of 62. A reverse mortgage permits borrowers to…
  • Feb 17

    How to File a Loss Deduction on Your Income Taxes if you were the Victim of Investment Fraud

    How to File a Loss Deduction on Your Income Taxes if you were the Victim of Investment Fraud
    This article was originally posted on Stock Market Loss Unfortunately, investment frauds and Ponzi schemes are on the rise in this country.  In times of economic hardship, these conspiracies often victimize the most vulnerable in our…
Rank this Week: 2952

Securities Mining Law

Securities Mining Law

Covers securities law affecting the mining industry in Canada.

http://www.securitiesmininglaw.com/
  • Mar 3

    Welcome Tax Measures Announced at the PDAC 2015 Convention

    Welcome Tax Measures Announced at the PDAC 2015 Convention
    On Sunday March 1, 2015, the Honourable Joe Oliver, Federal Minister of Finance addressed the Prospectors & Developers Association of Canada (“PDAC”) at the annual PDAC Convention in Toronto and announced certain proposals…
  • Feb 23

    PDAC

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

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

    Important Changes to Offerings to Existing Security Holders and Rights Offerings and their Impact on the Mining Sector in Canada
    Two important developments were announced today that affect how Canadian reporting issuers can raise capital from their existing security holders: The Ontario Securities Commission (“OSC”) announced the introduction of a new…
Rank this Week: 2467

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/
  • Mar 2

    The SEC’s Examination Priorities for 2015

    The SEC’s Examination Priorities for 2015
    The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (“OCIE”) announced the National Examination Program (“NEP”).  Below are the top 6 things to take away…
  • Feb 18

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

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

    The SEC’s View on Historic Fine

    The SEC’s View on Historic Fine
    When former federal prosecutor Mary Jo White was appointed the Chairwoman of the Securities and Exchange Commission (“SEC”), everyone in the securities industry knew right away that…
Rank this Week: 3376

The Securities Edge

The Securities Edge

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

http://www.thesecuritiesedge.com/
  • Mar 1

    Political contributions disclosure: My Exchange Act report is bigger than your

    Political contributions disclosure: My Exchange Act report is bigger than your
    Posted By: Robert B. Lamm As some of us contemplate which disclosure rules we’d like to do away with, others are thinking about new rules that would require more disclosure. One possible area of rulemaking relates to disclosure of…
  • Feb 20

    Ineffective disclosure

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

    Marketplace lending: A hot new industry looking for crowdfunding

    Marketplace lending: A hot new industry looking for crowdfunding
    Posted By: Gregory K. Bader Marketplace lending surely had its day in the sun in 2014.  Peer-to-peer lending, which now goes by the term marketplace lending, took a big step forward last year.  We saw the IPO of Lending Club rocket…
Rank this Week: 3116

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: 1786

InvestorLawyers.net

InvestorLawyers.net

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

http://www.investorlawyers.net/blog/
Rank this Week: 1903

100 F Street

100 F Street

Covers securities law for growing businesses. By Vanessa Schoenthaler.

http://100fstreet.com/
  • Feb 20

    ISS Releases FAQs Related to Its 2015 Proxy Voting Policie

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

    Catching Up on All Things Proxy Related From Last Week

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

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

    The SEC Issues Proposed Rules Regarding Disclosure of Hedging by Employees and Director
    Yesterday the Securities and Exchange Commission announced the adoption of proposed rules to implement Section 955 of the Dodd-Frank Wall Street Reform and Consumer Protection Act which addresses disclosure of company policies…
Rank this Week: 1581