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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: 642

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 16

    Barclays Settles Two Libor-Related Securities Case

    Barclays Settles Two Libor-Related Securities Case
    Barclays (BARC) has just settled two Libor-related securities cases alleging mis-selling related to Libor. In the first lawsuit, filed by Guardian Care Homes over interest swaps worth £70M that were linked to the benchmark interest…
  • 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…
Rank this Week: 787

Ponzitracker

Ponzitracker

Covers Ponzi schemes. By Jordan Maglich.

http://www.ponzitracker.com/
  • Apr 23

    SEC Seeks To Move TelexFree Bankruptcy To Massachusett

    SEC Seeks To Move TelexFree Bankruptcy To Massachusett
    Citing a "coordinated effort to avoid the Massachusetts courts," the Securities and Exchange Commission filed a motion in a Nevada bankruptcy court seeking to transfer venue of the TelexFree bankruptcy to a Massachusetts bankruptcy court.…
  • Apr 23

    TelexFree Trustee Says "Compelling Evidence of Fraud," Seeks Appointment Of Independent Trustee

    TelexFree Trustee Says "Compelling Evidence of Fraud," Seeks Appointment Of Independent Trustee
     Given the facts alleged in the SEC Case, TelexFree appears to be engaged in a classic Ponzi scheme. - Tracy Hope Davis, U.S. Trustee  The United States trustee overseeing the bankruptcy cases of TelexFree, LLC, TelexFree,…
  • Apr 22

    TelexFree Seeks Six-Week Extension To File Financial Information

    TelexFree Seeks Six-Week Extension To File Financial Information
    Attorneys for TelexFree have filed a motion seeking court approval for a six-week extension to provide the required supplements to their bankruptcy filing, including financial disclosure statements, summaries of assets, and lists of…
Rank this Week: 586

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: 347

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Apr 23

    All The CLE You Could Possibly Want

    All The CLE You Could Possibly Want
    It is not too late to sign up for PLI's Handling a Securities Case 2014: From Investigation to Trial and Everything in Between. The program takes place on Thursday, April 24 in New York and via webcast (and, shortly thereafter,...
  • 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....
Rank this Week: 2009

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 23

    Spain Tech Week

    Spain Tech Week
    As part of the “Spain Tech Week 2014”, the Spanish startup community is converging on Seattle to explore business and investment opportunities. Come to this event and: Meet more than 30 Spanish startups. Network with twenty…
  • 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…
Rank this Week: 612

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 23

    Ontario's proposed prospectus exemptions: crowdfunding exemption

    Ontario's proposed prospectus exemptions: crowdfunding exemption
    Cara Cornacchia - In its March 20, 2014 proposals for four new prospectus exemptions intended to facilitate capital raising for businesses in Ontario, the Ontario Securities Commission (OSC) proposed a crowdfunding prospectus exemption (the…
  • Apr 17

    Amendments to derivatives trade reporting rule to lessen burden on local end-user counterpartie

    Amendments to derivatives trade reporting rule to lessen burden on local end-user counterpartie
    The Ontario Securities Commission, among other regulators, released amendments today to OSC Rule 91-507 Trade Repositories and Derivatives Data Reporting (the TR Rule). The amendments are intended to lessen the burden on…
  • Apr 17

    IIROC report highlights enforcement activity for 2013

    IIROC report highlights enforcement activity for 2013
    Earlier this week, the Investment Industry Regulatory Organization of Canada released its Enforcement Report for 2013, which covers IIROC's enforcement activities and key policy initiatives for last year. According to IIROC, enforcement…
Rank this Week: 4288

Cady Bar the Door

Cady Bar the Door

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

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

    Texas Court of Appeals Has Put Some FCPA Internal Investigations in an Awkward Spot

    Texas Court of Appeals Has Put Some FCPA Internal Investigations in an Awkward Spot
    Given that this case was decided last summer, I can’t quite put the headline in the present tense.  I’m slow to the draw on it, but I think it’s important.  Last July, in Writt v. Shell Oil Co., 409 S.W.3d 59 (Tex.…
  • Apr 17

    SEC Says the Cyber Police Are Coming

    SEC Says the Cyber Police Are Coming
    Pretty soon we’ll all be data privacy lawyers.  The SEC is certainly doing its part to ensure that comes to pass.  Earlier this year the SEC’s Office of Compliance, Inspections, and Examinations announced that its 2014…
  • 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…
Rank this Week: 1943

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Apr 23

    New York State Fines AXA Equitable $20 Million Over Variable Annuity Product

    New York State Fines AXA Equitable $20 Million Over Variable Annuity Product
    Governor Andrew M. Cuomo announced on March 17, 2014, that AXA Equitable (AXA) agreed to a consent order to pay a $20 million fine to the New York Department of Financial Services (DFS) for violations relating to certain variable annuity…
  • Apr 22

    Investors in LEAF Limited Partnerships May Have A Investment Claim

    Investors in LEAF Limited Partnerships May Have A Investment Claim
    Some investment advisors have touted alternative investments as safe, stable, high return products.  The truth is, these products are often laden with risks that are not disclosed and discussed with clients.  In addition,…
  • Apr 21

    FINRA Announces UBS Puerto Rico Bond Fund Cases to Move Forward

    FINRA Announces UBS Puerto Rico Bond Fund Cases to Move Forward
    On Monday, April 14, 2014, the Financial Industry Regulatory Authority (FINRA) announced that it would lift the hold that it had put on some cases related to the collapse of Puerto Rico Bond Funds. FINRA has been able to expand its pool of…
Rank this Week: 329

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 23

    City of Brockton Ret. Sys. v. CVS Caremark Corp: Court Finds Adequate Pleadings by Brockton Upon Remand

    City of Brockton Ret. Sys. v. CVS Caremark Corp: Court Finds Adequate Pleadings by Brockton Upon Remand
    Upon remand from the First Circuit Court of Appeals, the District Court of Rhode Island in City of Brockton Ret. Sys. v. CVS Caremark Corp., 09-cv-554-JL, 2013 WL 6841927 (D.R.I. Dec. 31, 2013), denied CVS Caremark Corporation’s…
  • Apr 22

    The Evolution of Executive Compensation and the Impact of Say on Pay

    The Evolution of Executive Compensation and the Impact of Say on Pay
    The NYT published a pair of pieces on executive compensation. One looked at the amount (a 9% increase in the median) and the other looked at the metrics used to determine the amount. Other articles have suggested that companies use a wide…
  • Apr 21

    Anonymous Whistleblower Awarded $14 Million by the SEC

    Anonymous Whistleblower Awarded $14 Million by the SEC
    On October 1, 2013, the SEC awarded more than $14 million to an anonymous whistleblower whose information led to an enforcement action that recovered substantial investor funds. This was the largest award granted since the whistleblower…
Rank this Week: 57

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/
  • Apr 23

    Another New Paradigm: Corporate & Hedgie Team Up for Hostile Bid

    Another New Paradigm: Corporate & Hedgie Team Up for Hostile Bid
    As noted in the DealBook piece, William Ackman, the well-known hedge fund manager, has teamed up with Valeant, a big health care company, to make a hostile bid for Allergan. Here’s an excerpt from that article: If successful, the joint…
  • Apr 22

    Corp Fin Issues New “Legend for Twitter” & “Retweeting” Guidance

    Corp Fin Issues New “Legend for Twitter” & “Retweeting” Guidance
    Yesterday, Corp Fin issued 2 new Compliance & Disclosure Interpretations dealing with social media. The first CDI deals with how to affix legends to tweets & other social media communications. The second CDI deals with retweeting or…
  • Apr 21

    Transcript: “Rural/Metro and Claims for Aiding & Abetting Breaches of Fiduciary Duty”

    Transcript: “Rural/Metro and Claims for Aiding & Abetting Breaches of Fiduciary Duty”
    We have posted the transcript for our popular webcast: “Rural/Metro and Claims for Aiding & Abetting Breaches of Fiduciary Duty.”
Rank this Week: 2002

TRACE Blog

TRACE Blog

Covers anti-bribery compliance.

http://traceblog.org/
Rank this Week: 2709

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Apr 23

    Glossy Annual Reports: Corp Fin Will No Longer Scan Them, So Why…

    Glossy Annual Reports: Corp Fin Will No Longer Scan Them, So Why…
    Last week, Corp Fin announced that it will no longer scan glossy annual reports into Edgar – thus, meaning they will no longer be available online through the SEC’s website. However, companies are still required to post glossy…
  • Apr 22

    Why I Don’t Like Corp Fin’s New “Legend for Twitter” Guidance

    Why I Don’t Like Corp Fin’s New “Legend for Twitter” Guidance
    Yesterday, Corp Fin issued 2 new Compliance & Disclosure Interpretations dealing with social media. The first CDI deals with how to affix legends to tweets & other social media communications. The second CDI deals with retweeting or…
  • Apr 21

    18 Cool Things About Spectra Energy’s ’14 Proxy Statement

    18 Cool Things About Spectra Energy’s ’14 Proxy Statement
    In this 2-minute video, there are 18 great ways that Spectra Energy enhances the usability of its 2014 proxy statement (compare to last year’s proxy): Say-on-Pay: 3rd & 4th Failures Over the last week, Cogent Communications Group…
Rank this Week: 437

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
Rank this Week: 396

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 23

    Honolulu Woman Charged with Fraud Through Social Media

    Honolulu Woman Charged with Fraud Through Social Media
    According to the SEC, its investigation found that Keiko Kawamura engaged in two separate fraudulent schemes to raise money from investors while casting herself as an investment and hedge fund expert when in fact she had virtually no prior…
  • Apr 21

    SEC Charges Brokerage Firm Executives in Kickback Scheme to Secure Business of Venezuelan Bank

    SEC Charges Brokerage Firm Executives in Kickback Scheme to Secure Business of Venezuelan Bank
    The Securities and Exchange Commission announced another round of charges in its ongoing case against several individuals involved in a massive kickback scheme to secure the bond trading business of a state-owned Venezuelan bank.The SEC…
  • Apr 20

    Lessons About Handling Money

    Lessons About Handling Money
    I have represented a few professional athletes over the years. Unfortunately, it is after they have lost their wealth, or failed to plan for the end of their professional sports careers. They have either lost their money, or spent it, and are…
Rank this Week: 1453

Business Blog

Business Blog

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

http://www.businesslawnews.com/
  • Apr 23

    False Claims Act Statistics Reveal Robust Enforcement

    False Claims Act Statistics Reveal Robust Enforcement
    The Department of Justice recently released its enforcement statistics under the False Claim Act (FCA), the federal government’s primary civil enforcement tool to recover losses due to false claims for government funds and property…
  • Apr 22

    5 Key Tips for Encouraging Internal Whistleblower

    5 Key Tips for Encouraging Internal Whistleblower
    In the wake of the U.S. Supreme Court’s ruling in Lawson v. FMR, LLC, whistleblower claims against U.S. companies are likely to rise. As previously discussed, the Court ruled that the whistleblower protections of the Sarbanes-Oxley Act…
  • Apr 21

    Is Your Favorite Brew Really a “Craft” Beer?

    Is Your Favorite Brew Really a “Craft” Beer?
    The number of craft breweries in the United States has skyrocketed in recent years. Most recently, the monks of St. Joseph Abbey, located in a small Massachusetts town, made headlines by introducing the first and only certified Trappist ale…
Rank this Week: 673

California Corporate & Securities…

California Corporate & Securities Law

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

http://calcorporatelaw.com/
Rank this Week: 337

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 22

    Illinois Forms Securities Fraud Section

    Illinois Forms Securities Fraud Section
    According to a recent report in Crain’s, the US Attorney for the Northern District of Illinois recently created a new section to prosecute securities and commodities fraud. The new fraud section was formed as part of the criminal…
  • Apr 22

    NJ Broker Pleads Guilty to Fraud

    NJ Broker Pleads Guilty to Fraud
    According to FA-mag.com a former New Jersey borker, Randy Schneider recently plead quilty to theft by unlawful taking. Schneider allegedly stole nearly one million dollars from two elderly clients. According to the report, Schneider worked…
  • Apr 17

    DBSI Executives Found Guilty

    DBSI Executives Found Guilty
    According to reports, CEO and president of DBSI, Douglas L. Swenson, was convicted of thirty-four counts of wire fraud and forty-four counts of securities fraud. Three other top DBSI executives were also convicted on multiple fraud charges.…
Rank this Week: 147

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: 2069

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

http://www.hedgefundlawblog.com
  • Apr 22

    San Francisco Hedge Fund Events – April 22 and April 23

    San Francisco Hedge Fund Events – April 22 and April 23
    There are two big events in San Francisco this week. SF Hedge Fund Networking Group Meeting April 22 at 4pm at Blanc et Rouge in San Francisco.  For more information, please see the LinkedIn page. Hedge Funds Care 13th Annual Benefit The…
  • Apr 21

    CFTC Issues No-Action Letters for CPO Registration Relief

    CFTC Issues No-Action Letters for CPO Registration Relief
    Hedge Fund General Partner CPO Registration Relief  In a series of no-action letters issued in March, the CFTC has granted no-action relief from registration as a commodity pool operator (“CPO”) for a general partner of a…
  • 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…
Rank this Week: 4497

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 22

    How prepared are you?

    How prepared are you?
    This follows the Keyhole route to the Boulder Field, then ascends the North Face of the peak. The player is entitled to know who is his King called before be declares for the vole. He is internationally renowned for the...
  • Apr 22

    怎样奖惩让业务员心服口服

    怎样奖惩让业务员心服口服
  • Apr 21

    大数据时代的到来

    大数据时代的到来
Rank this Week: 94

InvestorLawyers.net

InvestorLawyers.net

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

http://www.investorlawyers.net/blog/
  • Apr 21

    ETF, ETN Investors Could Recover Losse

    ETF, ETN Investors Could Recover Losse
    Lawyers are investigating claims on behalf of investors who suffered significant losses in exchange-traded notes (ETNs) and exchange-traded funds (ETFs) issued by Credit Suisse and other full-service brokerage firms. According to Bloomberg,…
  • Apr 16

    Morgan Stanley Customers Could Recover Losses for Unsuitable Puerto Rico Bond Sale

    Morgan Stanley Customers Could Recover Losses for Unsuitable Puerto Rico Bond Sale
    Securities fraud attorneys are currently investigating claims on behalf of Morgan Stanley customers who suffered significant losses in Puerto Rico Bonds. The investigation concerns Morgan Stanley sales practices of Puerto Rico bonds and bond…
  • Apr 15

    Pennsylvania Regulators Investigate Non-traded REIT Sale

    Pennsylvania Regulators Investigate Non-traded REIT Sale
    Investment fraud lawyers are currently investigating claims on behalf of investors who suffered significant losses in non-traded real estate investment trusts, or non-traded REITs, in light of an investigation that is now underway by the…
Rank this Week: 458

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: 599

Alixe Cormick: Small Cap Lawyer

Alixe Cormick: Small Cap Lawyer

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

http://www.alixecormick.com
  • Apr 21

    How Much Does an Offering Memorandum Cost?

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

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

    Where You Can Find the Proposed Canadian Equity Crowdfunding Rules and Form
      By Alixe Cormick In Canada, two crowdfunding specific exemption proposals are out for public comment: a start-up crowdfunding exemption and an integrated crowdfunding exemption. Six provinces (including Saskatchewan) are…
  • Apr 15

    The Northwestern Exemption: How Unregistered Selling Agents (Finders) Sell Securities out West

    The Northwestern Exemption: How Unregistered Selling Agents (Finders) Sell Securities out West
      By Alixe Cormick Issuers need two exemptions when selling exempt market securities.  ONE exemption, which provides relief from the obligation to file a prospectus and register the securities to be sold,[1] and a SECOND…
Rank this Week: 2755

Securities Law Blog

Securities Law Blog

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

http://www.securitieslaw-blog.com/
  • Apr 21

    SEC Charges San Diego Investment Adviser

    SEC Charges San Diego Investment Adviser
    Last week, the SEC filed charges against a San Diego investment advisory firm called Total Wealth Management, its Chief Executive Officer, Chief Compliance Officer, and an investment adviser representative for misleading investors and…
  • Apr 18

    Agent Sentenced To Five Years In Southern California For Ponzi Scheme

    Agent Sentenced To Five Years In Southern California For Ponzi Scheme
    Michael Zuno Zuniga of Fullerton, California was sentenced to five years in Los Angeles County jail and ordered to pay $1.2 million in restitution for his part in a Ponzi scheme that preyed on senior citizens in the Los Angeles area. The…
  • 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.…
Rank this Week: 1507

Stock Attorneys Blog

Stock Attorneys Blog

Covers FINRA arbitration, securities litigation, and stockbroker misconduct. By Blum Law Group.

http://www.stockattorneysblog.com/
Rank this Week: 842

Securities Compliance Sentinel

Securities Compliance Sentinel

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

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

    You Knew It Was Coming… SEC Cybersecurity Exam

    You Knew It Was Coming… SEC Cybersecurity Exam
    We have repeatedly warned broker-dealers and registered investment advisers that they needed to be prepared as it related to cybersecurity.  Now, the SEC’s Office of Compliance Inspections and Examinations has announced that it…
  • Apr 21

    Data breaches and third-party vendors; what do you need to know.

    Data breaches and third-party vendors; what do you need to know.
    I recently blogged about the pervasive nature of data breaches and the particular risks presented to this industry.  Many firms may think that they are secure because they used a vendor to build a secure environment, but history tells us…
  • 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…
Rank this Week: 3965

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: 2333

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 21

    Bharara’s Fire Dies Out: Cohen Remains Uncharged And Turns His Losses Into Gain

    Bharara’s Fire Dies Out: Cohen Remains Uncharged And Turns His Losses Into Gain
    As the chapter closes on the decade-long insider trading investigation of SAC Capital Advisors, our question has finally been answered—at least for now: billionaire hedge fund guru Steven A. Cohen has dodged criminal charges for his…
  • 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 ……
Rank this Week: 2869

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
Rank this Week: 2010

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

http://www.seclawyersblog.com/
  • Apr 19

    Sample Practices that Create Firm Liability for Customer Investment Losse

    Sample Practices that Create Firm Liability for Customer Investment Losse
    Securities firms and brokers can't always "blame it on the market" when it comes to investor losses. In addition to state and federal securities laws, FINRA rules impose obligations upon securities firms and brokers. In particular, FINRA…
  • Apr 17

    Sonn|Erez Investigating Claims Involving William Bradford Coolidge (Cordova, Tennessee)

    Sonn|Erez Investigating Claims Involving William Bradford Coolidge (Cordova, Tennessee)
    Sonn|Erez is investigating claims regarding William Bradford Coolidge (CRD #1636957, Cordova, Tennessee), also known as Brad Coolidge and William B. Coolidge. Coolidge recently submitted a Letter of Acceptance, Waiver and Consent in which he…
  • Apr 15

    Sonn|Erez Investigating Claims Involving Stefani Ann Bennett (Salmon, Idaho)

    Sonn|Erez Investigating Claims Involving Stefani Ann Bennett (Salmon, Idaho)
    Sonn|Erez is investigating claims regarding Stefani Ann Bennett (CRD #5890347, Salmon, Idaho). Bennett recently submitted a Letter of Acceptance, Waiver and Consent in which she was barred from association with any FINRA member in any…
Rank this Week: 962

The Securities Edge

The Securities Edge

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

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

    Don’t cross the border!: Intrastate offering exemption still not useful despite new interpretation

    Don’t cross the border!: Intrastate offering exemption still not useful despite new interpretation
    Posted By: David C. Scileppi Last week, the SEC issued three new interpretations related to the so-called “intrastate offering exemption,” which is a registration exemption that facilitates the financing of local business…
  • Mar 21

    Proposed relief for companies going public is insufficient

    Proposed relief for companies going public is insufficient
    Posted By: David C. Scileppi In recent weeks, a bill has been reported out of the House Committee on Financial Services promising relief to companies going public.  While I applaud their intentions, this bill will not have much impact,…
  • Mar 4

    Uniform Fiduciary Standard for Broker-Dealers: An Update

    Uniform Fiduciary Standard for Broker-Dealers: An Update
    Posted By: Stephanie Quiñones As we blogged about last August, Section 913 of the Dodd-Frank Act directed the SEC to study the need for establishing a new, uniform, federal fiduciary standard of care for brokers and investment…
Rank this Week: 3860

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: 243

Securities Arbitration Blog

Securities Arbitration Blog

Covers the happenings in the Securities and Investment Fraud Sector. By Guiliano Law Firm.

http://www.securitiesarbitrations.com
  • Apr 18

    Lawyers Tempt Fate Before Second Circuit and No One Likes What They May Get

    Lawyers Tempt Fate Before Second Circuit and No One Likes What They May Get
    Last year, a Connecticut based hedge fund, Turnberry Capital Management LP, filed a FINRA arbitration securities claim against SunTrust Banks, Inc. to recover $13 million it lost in 2007 by investing in mortgage backed securities. However,…
  • Mar 13

    Investment Fraudsters: You have a friend in Pennsylvania

    Investment Fraudsters: You have a friend in Pennsylvania
    What does a big firm commercial defense lawyer, a banker, a healthcare lobbyist, a parking authority commissioner and an Allegheny parks commissioner all have in common? andnbsp; Apparently, they are all friends of Pennsylvania Governor Tom…
  • Mar 13

    Investment Fraudsters: You have a friend in Pennsylvania

    Investment Fraudsters: You have a friend in Pennsylvania
    What does a big firm commercial defense lawyer, a banker, a healthcare lobbyist, a parking authority commissioner and an Allegheny parks commissioner all have in common? andnbsp; Apparently, they are all friends of Governor Tom Corbett…
Rank this Week: 2269

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: 898

Chicago Securities Lawyer Blog

Chicago Securities Lawyer Blog

Covers FINRA and securities fraud. By Thomas F. Burke, P.C.

http://www.chicagosecuritieslawyerblog.com/
  • Apr 17

    You Might Think Twice About Using A Broker Who Failed The Exam To Get His License

    You Might Think Twice About Using A Broker Who Failed The Exam To Get His License
    The Wall Street Journal reported that there are more than 51,500 stockbrokers that have failed, at least once, an exam to obtain a license to sell securities. Additionally, those brokers that failed the exam have worse disciplinary records…
  • Jan 20

    Justice Department Weak on Charging Individuals for White Collar Crime

    Justice Department Weak on Charging Individuals for White Collar Crime
    On Friday, January 17, 2014, the Wall Street Journal reported that a University of Virginia law professor's analysis revealed that the Justice Department hadn't charged employees at nearly two thirds of nearly 400 companies that have settled…
  • Jan 20

    The Wolf of Wall Street

    The Wolf of Wall Street
    I have attached an article by Jonathan Weil that everyone shoulld find interesting. 'Wolf of Wall Street' Offspring Never Quite Die Normally it wouldn't be news that a small-fry stock hustler like Christopher F. Veale got busted for…
Rank this Week: 1582

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 17

    Customer Loan Earns Stockbroker A Fine And Suspension

    Customer Loan Earns Stockbroker A Fine And Suspension
    Wall Street may be the place where trillions of dollars exchange hands, but it's not the place where a registered person should simply ask a customer for the loan of a few bucks. Which is not to say that a stockbroker can't borrow money from…
  • Apr 17

    EMPLOYMENT TUESDAY at BrokeAndBroker.com

    EMPLOYMENT TUESDAY at BrokeAndBroker.com
    Stockbroker, Compliance, Legal, and Regulatory JobsEmployment Page BrokeAndBroker.com Jobs#brokeandbroker ...
  • Apr 16

    Getting The Wall Street Girl To Do It

    Getting The Wall Street Girl To Do It
    For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of…
Rank this Week: 813

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 17

    Form U4 Basics Video Series #4- OBAs, Regulatory Actions and Terminations Disclosure Issue

    Form U4 Basics Video Series #4- OBAs, Regulatory Actions and Terminations Disclosure Issue
    In this fourth and final video installment of the Form U4 Basics video series, attorney Joel Beck discusses U4 disclosure issues involving outside business activities, regulatory actions, and terminations, applicable to registered…
  • 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…
Rank this Week: 2429

Securities Mining Law

Securities Mining Law

Covers securities law affecting the mining industry in Canada.

http://www.securitiesmininglaw.com/
  • Apr 17

    BC Environmental Assessment Office Fee

    BC Environmental Assessment Office Fee
    The Province of British Columbia approved an Order in Council dated April 11, 2014 to establish environmental assessment fees in British Columbia for the review of environmental assessment applications, orders and enforcement fees. The fee…
  • Apr 16

    Mandatory reporting standards for payments by extractive industry companie

    Mandatory reporting standards for payments by extractive industry companie
    The Government of Canada recently issued a Consultation Paper regarding proposed mandatory reporting standards (the proposed standards) for payments by extractive industry companies to governments, both domestic and foreign, and including…
  • Mar 28

    British Columbia Aboriginal Mentoring and Training Association (“BCAMTA”)

    British Columbia Aboriginal Mentoring and Training Association (“BCAMTA”)
    On February 7, 2014, BCAMTA opened its office in Terrace to guide and support aboriginal people towards gaining employment in the mining and exploration industry. There are a number of mines planned in the Terrace area and the need for…
Rank this Week: 3759

Business Law Post

Business Law Post

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

http://www.businesslawpost.com
  • Apr 17

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

    Elusive Bitcoin: Regulation of Bitcoin in the U.S. Part II
    Today, I am going to summarize FinCEN’s regulations relating to Bitcoin.The Financial Crimes Enforcement Network (FinCEN) is an agency within the US Treasure Department. Its mission is to safeguard the financial system from illicit…
  • 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…
Rank this Week: 780

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: 363

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: 731

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…
  • Apr 14

    What’s Wrong with Public Non-Traded REITs?

    What’s Wrong with Public Non-Traded REITs?
    A Real Estate Investment Trust (REIT) allows investors to own and operate income-producing real estate through a corporation. The real estate in a REIT can range from offices and apartment buildings to warehouses or timberlands. The benefit…
  • 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…
Rank this Week: 3347

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: 1776

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: 2070