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Securities Lawyer 101

Securities Lawyer 101

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

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

    Going Public Blog l Securities Lawyer 101

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

    Going Public Blog l Securities Lawyer 101

    Going Public Blog l Securities Lawyer 101
      Securities Lawyer 101 Blog Going public is a big step for any company.  The process of “going public” is complex and at times precarious.  While going public offers many benefits it also comes with risks and…
  • Aug 17

    Leonid Momotok Pleads Guilty to Conspiracy to Commit Wire Fraud

    Leonid Momotok Pleads Guilty to Conspiracy to Commit Wire Fraud
    Going Public LawyerOn August 2, 2016, Leonid Momotok of Suwanee, Georgia pled guilty before United States Magistrate Judge Ramon E. Reyes, Jr. in United States District Court for the Eastern District of New York to one count of conspiracy…
Rank this Week: 77

Institutional Investor Securities…

Institutional Investor Securities Blog

Covers investment fraud involving auction-rate securities, credit rating agencies, hedge funds and mortgage-backed securities. By Shepherd Smith Edwards & Kantas.

http://www.institutionalinvestorsecuritiesblog.com/
  • Dec 31

    SEC’s Report Evaluates The Definition of An Accredited Investor

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

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

    Wells Fargo Sued by Commerz Bank in Mortgage-Backed Securities Case
    Commerzbank is suing Wells Fargo (WFC) for losses sustained on failed mortgage-backed securities (MBS). The German finance firm claims the California lending giant did not properly supervise MBS during the housing bubble, which Commerzbank…
  • Aug 15

    Ex-Goldman Sachs Trader to Pay $400K Fine to Settle RMBS Fraud Case

    Ex-Goldman Sachs Trader to Pay $400K Fine to Settle RMBS Fraud Case
    Edwin Chin, an ex-Goldman Sachs Group Inc. (GS) senior trader, will pay $400K to resolve U.S. Securities and Exchange Commission charges accusing him of misleading the bank’s customers when he sold them residential mortgage-backed…
Rank this Week: 355

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: 314

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Aug 23

    William Lellyett (Raymond James) Has Customer Complaint

    William Lellyett (Raymond James) Has Customer Complaint
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 16, 2016 indicate that Georgia-based Raymond James & Associates broker/adviser William Lellyett, Jr. has been the subject of several…
  • Aug 23

    Timothy O’Brien Sanctioned by FINRA

    Timothy O’Brien Sanctioned by FINRA
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 16, 2016 indicate that Minnesota-based Feltl & Company broker Timothy O’Brien has been sanctioned by FINRA. The securities and…
  • Aug 23

    Eduardo Alaman Terminated from Merrill Lynch

    Eduardo Alaman Terminated from Merrill Lynch
    Public records provided by the Financial Industry Regulatory Authority (FINRA) on August 11, 2016 indicate that Texas-based Global Investor Services broker/adviser Eduardo Alaman, also known as Eduardo Alamanpandal, has been the subject of…
Rank this Week: 289

Subject to Inquiry

Subject to Inquiry

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

http://www.subjecttoinquiry.com/
  • Aug 23

    CFPB’s Proposed Arbitration Rule Prompts Thousands of Comment

    CFPB’s Proposed Arbitration Rule Prompts Thousands of Comment
    The comment period for the Consumer Financial Protection Bureau (CFPB)’s proposed arbitration rulemaking ended on Monday, and the Bureau received nearly 11,000 comments both strongly supporting and opposing the proposed rule.  As…
  • Aug 9

    CFPB Proposes Multiple Changes to TRID “Know Before You Owe” Rule

    CFPB Proposes Multiple Changes to TRID “Know Before You Owe” Rule
    The Consumer Financial Protection Bureau (“CFPB”) recently issued 293 pages of proposed changes (the “Amendments”) to the federal mortgage disclosure requirements it propounded in October 2015 commonly known as the…
  • Aug 5

    CFPB Issues Final Mortgage Servicing Rule

    CFPB Issues Final Mortgage Servicing Rule
    On August 4, 2016, the Consumer Financial Protection Bureau (CFPB) issued its long-awaited final mortgage servicing rule under the Real Estate Settlement Procedures Act (RESPA) and implementing Regulation X, and the Truth in Lending Act…
Rank this Week: 1844

SEC Whistleblower Lawyer Blog

SEC Whistleblower Lawyer Blog

Covers securities law. By Silver Law Group & The Law Firm of David R. Chase, P.A.

http://www.secwhistleblowerlawyers.net/
Rank this Week: 2003

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
  • Aug 19

    Life Insurance Companies to Pay $3.4 Million to Settle Death Benefit Mishap

    Life Insurance Companies to Pay $3.4 Million to Settle Death Benefit Mishap
    From the Desk of Jim Eccleston at Eccleston Law LLC:State regulators recently have been investigating insurance companies who allegedly have failed to make death benefit payments on a timely basis. Most recently the regulators have reached…
  • Aug 18

    FINRA Investigates the Sale of Business Development Company Interest

    FINRA Investigates the Sale of Business Development Company Interest
    From the Desk of Jim Eccleston at Eccleston Law LLC:FINRA is launching investigations of brokers who have selling arrangements with Business Development Companies (BDCs). BDCs are the latest focus of the regulator in a line of alternative…
  • Aug 16

    CFP Board Elects New Chairman

    CFP Board Elects New Chairman
    From the Desk of Jim Eccleston at Eccleston Law LLC:The Financial Planning Association has elected a new Board of Directors for 2018. Richard Salmen, CFP (FPA), who has served in the past as a national President of the Financial Planning…
Rank this Week: 101

Recover Investment Losses Blog

Recover Investment Losses Blog

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

http://blog.rexsecuritieslaw.com
Rank this Week: 761

Securities Law Attorneys Blog

Securities Law Attorneys Blog

Covers securities law. By Fitapelli | Kurta.

http://www.securitieslawattorneys.net/
  • Aug 19

    Ray Anthony San Pedro Has Pending Tax Lien

    Ray Anthony San Pedro Has Pending Tax Lien
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 9, 2016 indicate that New York-based National Securities Corporation broker Ray Anthony San Pedro has been the subject of a customer…
  • Aug 19

    Christian Herrera Has Regulatory Sanction

    Christian Herrera Has Regulatory Sanction
    Public records provided by the Financial Industry Regulatory Authority (FINRA) on August 9, 2016 indicate that New York-based Laidlaw & Company broker Christian Herrera has received customer complaints and a regulatory sanction. The…
  • Aug 9

    Jeffrey Geraci Sanctioned by FINRA

    Jeffrey Geraci Sanctioned by FINRA
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on August 9, 2016 indicate that Virginia-based Intervest International Equities Corporation broker/adviser Jeffrey Geraci has been the subject of…
Rank this Week: 732

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Aug 19

    Industry worries about incomplete Treasury trade reporting

    Industry worries about incomplete Treasury trade reporting
    By John M. Jascob, J.D., LL.M.Securities industry groups have expressed concerns about the scope of FINRA’s recent proposal to require members to report secondary market transactions in U.S. Treasury securities to the Trade Reporting…
  • Aug 18

    Former enforcement director asks SEC to limit retroactive application of penalty increase

    Former enforcement director asks SEC to limit retroactive application of penalty increase
    By John Filar AtwoodThree WilmerHale attorneys, including former SEC Enforcement Division director William McLucas, have written to the SEC to urge it to restrict the application of its civil penalty increases to violations that occur after…
  • Aug 17

    Comment period closes on PCAOB’s reproposal to revise the auditor’s reporting model

    Comment period closes on PCAOB’s reproposal to revise the auditor’s reporting model
    By Jacquelyn LumbThe comment period has closed on the PCAOB’s reproposed standard to revise the auditor’s reporting model to include communications about critical audit matters (CAMs) that arose during the audit of a…
Rank this Week: 682

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Aug 19

    A More Sober Approach

    A More Sober Approach
    The author of The 10b-5 Daily has a guest post on Forbes concerning the use of confidential witnesses in securities class actions.  Please give it a read.
  • Jul 6

    Scienter Samba

    Scienter Samba
    The Sixth Circuit continues to be a source of interesting opinions regarding corporate scienter.  In 2014, the court held in its Omnicare decision that only a limited set of corporate officers (including officers who had either…
  • May 25

    Shaky Ground

    Shaky Ground
    In Halliburton II, the U.S. Supreme Court held that defendants can rebut the fraud-on-the-market presumption of reliance at the class certification stage with evidence of a lack of stock price impact.  In a typical case, where the…
Rank this Week: 2438

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/
  • Aug 19

    Rights offering amendments for TSXV issuer

    Rights offering amendments for TSXV issuer
    Amendments to TSX Venture Exchange (TSXV) Policy 4.5 – Rights Offerings are now in effect reflecting guidance released by the TSXV earlier this year following the adoption by the Canadian Securities Administrators (the CSA) of…
  • Aug 19

    T+2 settlement prompts proposed amendments to NI 24-101 and publication of consultation paper

    T+2 settlement prompts proposed amendments to NI 24-101 and publication of consultation paper
    The migration to a standard T+2 settlement cycle on September 5, 2017 is part of the impetus for amendments proposed by the Canadian Securities Administrators (CSA) to National Instrument 24-101 Institutional Trade Matching and Settlement (NI…
  • Aug 16

    Common Reporting Standard legislative proposals published in Canada

    Common Reporting Standard legislative proposals published in Canada
    Roanne C. Bratz - On July 29, 2016, the Department of Finance Canada released for public comment a package of draft legislative proposals and explanatory notes relating to a number of measures announced in the 2016 federal budget, which…
Rank this Week: 4196

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/
  • Aug 19

    Decline of Disclosure-Only Settlements: Will We Regret What We Wished For?

    Decline of Disclosure-Only Settlements: Will We Regret What We Wished For?
    Here’s an excerpt from this blog by Lane Powell’s Doug Greene: If the disclosure-only door to resolving merger cases is shut, then more cases will need to be litigated post-close. That will make settlement more expensive.…
  • Aug 15

    Disclosure-Only Settlements: 7th Circuit Approves of Trulia

    Disclosure-Only Settlements: 7th Circuit Approves of Trulia
    As noted in this Sheppard Mullin blog, the 7th Circuit’s recent Walgreen decision is the latest – and perhaps most significant – opinion in which a jurisdiction has adopted Delaware’s “plainly material”…
  • Aug 11

    How Jeff Ubben Work

    How Jeff Ubben Work
    Here’s the intro from this blog by “The Activist Investor”: Smart PMs learn from others, including other activist investors. To this end, previously we profiled the investment strategies of Carl Icahn, Nelson Peltz, and Bill…
Rank this Week: 2436

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Aug 19

    How Virtual Reality Might Impact Our Working Lifestyle

    How Virtual Reality Might Impact Our Working Lifestyle
    While spending time out in Berkeley for my oldest son’s graduation from Cal back in May, I was reminded that this truly could be the year that virtual reality starts to go mainstream. The Oculus Rift was released earlier this year. Late…
  • Aug 18

    Corp Fin’s Non-GAAP Comments: MD&A’s Executive Summary

    Corp Fin’s Non-GAAP Comments: MD&A’s Executive Summary
    Here’s a blog by Duane Morris’ Rich Silfen: As many of us have noticed, the first comment letters from the Staff in the SEC’s Division of Corporation Finance, following Corp Fin’s recent issuance of new CDI guidance on…
  • Aug 17

    Whistleblowers: What Should You Do Now With Your Agreements? (Let’s Call It a Trend)

    Whistleblowers: What Should You Do Now With Your Agreements? (Let’s Call It a Trend)
    Here’s news from Scott Kimpel of Hunton & Williams: As described in this press release, the SEC brought yet one more settled administrative case yesterday against a public company – Health Net – based on confidentiality…
Rank this Week: 1609

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: 124

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • Aug 18

    SEC Enforcement Actions Decline

    SEC Enforcement Actions Decline
    The SEC’s enforcement activity so far this fiscal year trails the record levels in the 2015 fiscal year. According to a recent report from Cornerstone Research (here), the SEC’s enforcement activity through the end of the fiscal…
  • Aug 17

    As the Failed Bank Litigation Wave Winds Down, A Look Back

    As the Failed Bank Litigation Wave Winds Down, A Look Back
    As we approach what will be the eighth anniversary of the peak of the global financial crisis, many of the effects of the crisis have subsided. But while the crisis and many of the worst of its effects have largely faded into the past, a…
  • Aug 15

    The Next Round of Frisbee Photo

    The Next Round of Frisbee Photo
    The many travels of readers’ D&O Diary Tenth Anniversary Frisbees have continued, with stops in places both familiar and remote. The results are a variety of Frisbee photos taken on location in places both far and wide and…
Rank this Week: 1159

New York Securities Lawyers Blog

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

http://www.newyorksecuritieslawyersblog.com/
  • Aug 18

    FINRA Fines UBS Financial Services, Inc. $250,000 For Mutual Fund Supervisory Failure

    FINRA Fines UBS Financial Services, Inc. $250,000 For Mutual Fund Supervisory Failure
    Generally speaking, it’s usually not a good thing when when a company is fined for similar conduct multiple times. Just this month, UBS Financial Services, Inc. submitted a Letter of Acceptance, Waiver and Consent No. 2013038351701…
  • Aug 17

    FINRA Suspends Broker Joseph L. Bess, II for Mismarking Order Ticket

    FINRA Suspends Broker Joseph L. Bess, II for Mismarking Order Ticket
    The securities attorneys at Malecki Law are interested in hearing from customers who have complaints against Joseph L. Bess, II.  Mr. Bess was recently registered to sell securities with Waddell & Reed, in Edmond, Oklahoma, From…
  • Aug 16

    BROKER REPORT: Financial Advisor Paul G. Liebezeit

    BROKER REPORT: Financial Advisor Paul G. Liebezeit
    The securities fraud attorneys at Malecki Law are interested in hearing from investors who have complaints against stockbroker Paul G. Liebezeit.  Mr. Liebezeit is currently registered to sell securities with Purshe Kaplan Sterling…
Rank this Week: 3383

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/
  • Aug 18

    Investor Alert: Alison N. Andrews Barred from the Securities Industry

    Investor Alert: Alison N. Andrews Barred from the Securities Industry
    According to FINRA, Alison Nicole Andrews (CRD #6196235, West Plains, Missouri) submitted an AWC in which she was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Andrews consented to…
  • Aug 18

    Investor Alert: Lawrence LaBine Barred from the Securities Industry

    Investor Alert: Lawrence LaBine Barred from the Securities Industry
    According to FINRA, Lawrence Michael LaBine (CRD #1279935, Fountain Hills, Arizona) submitted an Offer of Settlement in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the allegations,…
  • Aug 18

    Latest News: SEC Bars Michael Oppenheim from the Securities Industry

    Latest News: SEC Bars Michael Oppenheim from the Securities Industry
    Have you suffered losses investing with Michael Oppenheim, and JP Morgan Chase? If so, The White Law Group may be able to help. Michael Oppenheim, 50, was barred from the securities industry after admitting that he stole more…
Rank this Week: 337

Strictly Business

Strictly Business

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

http://www.strictlybusinesslawblog.com/
  • Aug 17

    Legal Considerations for Selling an Emerging Growth Company Part 1: The M&A Proce

    Legal Considerations for Selling an Emerging Growth Company Part 1: The M&A Proce
    Everyone knows that a primary goal for many, if not most, startups and tech companies is to eventually sell the company, even if the founders intend to remain with the company. It goes without saying that selling your company can result in an…
  • Jul 12

    The Pros and Cons of Taking Venture Capital Money

    The Pros and Cons of Taking Venture Capital Money
    In many ways, the dilemma of deciding whether to take venture capital money from an interested VC firm can be filed under “Good Problems to Have.” The majority of startups never get to this point, either failing outright, or, even…
  • Jun 14

    5 Questions to Answer As You Prepare Your Startup for a Seed or Angel Round

    5 Questions to Answer As You Prepare Your Startup for a Seed or Angel Round
    Last month I wrote about the four stages of startup capital – (1) seed rounds, (2) angel rounds, (3) venture rounds, and (4) bridge/pre-ipo stage rounds. This month we’ll take a look at what startups need to do to prepare…
Rank this Week: 3012

Oil & Gas Investment Fraud Lawyer…

Oil & Gas Investment Fraud Lawyer Blog

Covers securities issues with a focus on oil & gas investment fraud. By Silver Law Group, The Law Firm of David R. Chase, P.A., and Ciklin Lubitz & O'Connell.

http://www.oilgasinvestmentfraudlawyer.com/
Rank this Week: 1998

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
  • Aug 17

    FINRA Aribtration Soccer Match Ends With Penalty Kick

    FINRA Aribtration Soccer Match Ends With Penalty Kick
    I'm not a big soccer fan because it often strikes me as a game where two teams run back and forth, someone pretends to by grievously injured only to pop up and smile, lots of red and yellow cards get waived, and, at the end of the match,…
  • Aug 17

    FINRA Settlement Highlights War Between RIAs and BD

    FINRA Settlement Highlights War Between RIAs and BD
    Wall Street has experienced more sightings in recent years of the RRIAR,  an interesting creature that is half registered representative (often of the "stockbroker" variety) and half investment advisor representative (from the world of…
  • Aug 15

    I Don't Want To Miss A Thing In Customer's Armageddon FINRA Arbitration

    I Don't Want To Miss A Thing In Customer's Armageddon FINRA Arbitration
    I don't want to miss a thing: was sung by the famous band Aerosmith and a refrain repeated by the not-so famous Bill Singer, publisher of the BrokeAndBroker.com Blog. Whether you listen to lead singer Steven Tyler or the natural born "Singer"…
Rank this Week: 3124

Business Blog

Business Blog

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

http://www.businesslawnews.com/
  • Aug 17

    Are Employee Breaks Mandated by New Jersey Law?

    Are Employee Breaks Mandated by New Jersey Law?
    Are you required to provide employee breaks? Both employers and employees alike are often surprised to learn that federal employment laws do not require employers to set specific intervals or even make time for employees to take work breaks…
  • Aug 2

    SEC Adopts New Rules for Administrative Proceeding

    SEC Adopts New Rules for Administrative Proceeding
    What You Need to Know about the SEC’s New Rules for Administrative Proceedings The Securities and Exchange Commission (SEC) recently adopted several amendments to its rules of practice governing administrative proceedings. According to…
  • Jul 26

    OSHA Fines Will Soon Become Very Costly

    OSHA Fines Will Soon Become Very Costly
    Fines assessed by Occupational Safety and Health Administration (OSHA) will increase significantly next month. OSHA is one of several government agencies that must increase its civil monetary penalties pursuant to the Federal Civil Penalties…
Rank this Week: 955

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • Aug 16

    Don’t argue; the client is always right even when they are not

    Don’t argue; the client is always right even when they are not
    Over the years that I have defended broker-dealers and investment advisors on customer-initiated claims, I have seen many things that would make any compliance officer cringe. One spine tingling (not in the good way) type of conduct is when…
  • Aug 16

    Don’t argue; the client is always right even when they are not

    Don’t argue; the client is always right even when they are not
    Over the years that I have defended broker-dealers and investment advisors on customer-initiated claims, I have seen many things that would make any compliance officer cringe. One spine tingling (not in the good way) type of conduct is when…
  • Aug 1

    Why treating customer complaint with therapeutic neglect always fail

    Why treating customer complaint with therapeutic neglect always fail
    When faced with a customer complaining through a letter or email, it is human nature to try to appease the customer with a conciliatory response or no response at all. I have seen this “human nature” all too often when defending…
Rank this Week: 3748

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: 3470

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/
  • Aug 16

    Company Punished for Severance Agreements That Removed Financial Incentives for Whistleblowing

    Company Punished for Severance Agreements That Removed Financial Incentives for Whistleblowing
    The Securities and Exchange Commission today announced that a California-based health insurance provider has agreed to pay a $340,000 penalty for illegally using severance agreements requiring outgoing employees to waive their ability to…
  • Aug 16

    Former Goldman Sachs Trader Settles Fraud Charge

    Former Goldman Sachs Trader Settles Fraud Charge
    The Securities and Exchange Commission today announced that the former head trader in residential mortgage-backed securities (RMBS) at Goldman Sachs has agreed to be barred from the securities industry and pay $400,000 to settle charges that…
  • Aug 15

    Hedge Fund Manager Charged in Scheme Involving Terminally Ill

    Hedge Fund Manager Charged in Scheme Involving Terminally Ill
    The Securities and Exchange Commission today announced fraud charges against a hedge fund manager and his firm accused of paying terminally ill individuals to use their names on purportedly joint brokerage accounts so he could purchase…
Rank this Week: 559

Tim O'Connor's Blog

Tim O'Connor's Blog

Covers stockbroker fraud.

http://stockbrokerlaw.com/tim-oconnors-blog
  • Aug 15

    Prudential Annuities Distributors, Inc. Fined by FINRA for Failing to Detect Variable Annuity Scheme

    Prudential Annuities Distributors, Inc. Fined by FINRA for Failing to Detect Variable Annuity Scheme
    In a Press Release dated Tuesday, July 19, 2016, the Financial Industry Regulatory Authority (FINRA) announced a finding against Prudential Annuities Distributors, Inc. for failing to detect forged variable annuity withdrawal requests from a…
  • Aug 11

    Merrill Lynch Fined for Disclosure Failures on Note

    Merrill Lynch Fined for Disclosure Failures on Note
    The SEC and Financial Industry Regulatory Authority (FINRA) announced an assessment of a $5,000,000 fine against Merrill Lynch for misleading information relating to its strategic return notes. Merrill Lynch sold over $168,000,000 worth of…
  • Aug 2

    Expungement of Adverse Information on Forms U4 and U5

    Expungement of Adverse Information on Forms U4 and U5
    The Financial Industry Regulatory Authority (FINRA) maintains an archive of frequently asked questions regarding the application of FINRA Rule 2080 relating to the disclosure of customer dispute information. Additional procedures relating…
Rank this Week: 3068

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: 342

New York Securities Lawyer Blog

New York Securities Lawyer Blog

Covers securities law. By Lax & Neville LLP.

http://www.newyorksecuritieslawyerblog.com/
Rank this Week: 1482

Representing Investors

Representing Investors

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

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

    FINRA Targets Business Development Companies (BDCs)

    FINRA Targets Business Development Companies (BDCs)
    The Financial Industry Regulatory Authority (“FINRA”) has launched an examination sweep of non-traded business development companies (“BDCs”), the latest alternative investment product to receive increased scrutiny…
  • Jun 28

    Merrill Lynch Market-Linked Notes: Investor Beware?

    Merrill Lynch Market-Linked Notes: Investor Beware?
    Merrill Lynch underwrites, manages and markets the sale of Market-Linked Notes issued by its parent company, Bank of America Corporation, and numerous other unaffiliated banks. Market-Linked Notes were purportedly recommended by Merrill Lynch…
  • Jun 22

    SEC Places Merrill Lynch in its Crosshairs over Sales of Structured Note

    SEC Places Merrill Lynch in its Crosshairs over Sales of Structured Note
    A recent article in The Wall Street Journal (“SEC Readies Case Against Merrill Lynch Over Notes That Lost 95%”) stated that the Securities and Exchange Commission is preparing a civil enforcement case against Merrill Lynch over a…
Rank this Week: 699

Amato Law Firm, LLC Blog

Amato Law Firm, LLC Blog

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

http://www.ramatolaw.com/blog1
  • Aug 4

    FINRA Recently Reminds Firms of Clients’, Associated Persons’ Right to Arbitrate

    FINRA Recently Reminds Firms of Clients’, Associated Persons’ Right to Arbitrate
    In a recently published Regulatory Notice (FINRA Regulatory Notice 16-25), FINRA sought to remind customers, as well as associated persons, of their right to arbitrate within the FINRA forum “at any time.”  In short, FINRA…
  • May 16

    Credit Suisse Deferred Compensation Claim

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

    United Development Funding Investment Losse

    United Development Funding Investment Losse
    The securities law firm of Amato Law Firm, LLC is investigating potential securities law claims involving United Development Funding (UDF) and its real estate investment trusts (REITs) including United Development Funding IV (UDF IV), a…
Rank this Week: 2334

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Aug 2

    The Difference Between Arbitration and Mediation in a Divorce

    The Difference Between Arbitration and Mediation in a Divorce
    GUEST POST By Steven Madel As you already know, it can get ugly fast during a divorce. Or, on occasion, the married couple holds no animosity toward one another and is ready to split amicably. Depending on your particular situation, you may…
  • Jul 30

    Customers File Complaints Against Meyers Associates Broker Matthew Silato

    Customers File Complaints Against Meyers Associates Broker Matthew Silato
    The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Matthew Silato (Silato).  According to BrokerCheck records there are at least…
  • Jul 26

    Broker Investigation: Meyers Associates Advisor Craig Langweiler

    Broker Investigation: Meyers Associates Advisor Craig Langweiler
    The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Craig Langweiler (Langweiler).  According to BrokerCheck records there are at…
Rank this Week: 875

The Securities Edge

The Securities Edge

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

http://www.thesecuritiesedge.com/
  • Aug 2

    Moving Rapidly into the 90

    Moving Rapidly into the 90
    Posted By: Robert B. Lamm If you’ve been reading our posts (and probably even if you haven’t), you should know by now that the SEC has launched a “disclosure effectiveness” initiative and has already taken actions to…
  • Jul 25

    Top Five Considerations in a Challenging IPO Market

    Top Five Considerations in a Challenging IPO Market
    Posted By: Robert B. Lamm This posting is a reprint of an article, co-authored by Bob Lamm and David Scileppi, that appeared in the Daily Business Review on July 15, 2016.     Recent months have been difficult for the initial…
  • Jul 22

    SEC issues guidance on Securities Act Rule 701in context of merger

    SEC issues guidance on Securities Act Rule 701in context of merger
    Posted By: Stephanie Quiñones The SEC’s Division of Corporation Finance recently issued new Compliance and Disclosure Interpretations (“C&DIs”) for Securities Act Rule 701 which clarify application of the Rule in…
Rank this Week: 3613

Footnoted

Footnoted

Reports on actionable information in SEC filings.

http://www.footnoted.com/
  • Aug 2

    A year too late for Barnes & Noble

    A year too late for Barnes & Noble
    In its proxy, Barnes & Noble disclosed for the first time that former CEO Michael Huseby received $15.7 million in severance.
  • May 17

    LendingClub tries to buck up its troops!

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

    Yahoo gets defensive on compensation

    Yahoo gets defensive on compensation
    A late Friday filing by Yahoo attempts to explain -- over and over -- why compensation was so high in 2015.
Rank this Week: 2661

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • Jul 29

    A SHOT ACROSS THE BOW OF ROBO-ADVISERS

    A SHOT ACROSS THE BOW OF ROBO-ADVISERS
    The Massachusetts Securities Division – one of the most active and sophisticated in the nation – recently issued a Policy Statement “to provide its state-registered investment advisers who establish concurrent or…
  • Jul 29

    A SHOT ACROSS THE BOW OF ROBO-ADVISERS

    A SHOT ACROSS THE BOW OF ROBO-ADVISERS
    The Massachusetts Securities Division – one of the most active and sophisticated in the nation – recently issued a Policy Statement “to provide its state-registered investment advisers who establish concurrent or…
  • Jul 19

    84 Year Old Takes on Edward Jones for Unauthorized Trading

    84 Year Old Takes on Edward Jones for Unauthorized Trading
    An elderly St. Louis man has filed a FINRA arbitration claim against Edward Jones and one of its financial advisers. The elderly client alleges that the financial adviser over-rode his objections to liquidating over a thousand shares of…
Rank this Week: 1299

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/
  • Jul 27

    Equity Compensation: Not Just for CEOs Anymore

    Equity Compensation: Not Just for CEOs Anymore
    Equity compensation, also known as a stock award, is a form of non-cash compensation that represents ownership in a company.  If the company does well and the value of its stock goes up, the future value of the stock award could be…
  • Jul 27

    Equity Compensation: Not Just for CEOs Anymore

    Equity Compensation: Not Just for CEOs Anymore
    Equity compensation, also known as a stock award, is a form of non-cash compensation that represents ownership in a company.  If the company does well and the value of its stock goes up, the future value of the stock award could be…
  • Jul 8

    Broker Obligations When Selling Municipal Bond

    Broker Obligations When Selling Municipal Bond
    Many brokers and customers mistakenly believe that municipal bonds are always a “safe” place to be.  The recent debacle in Puerto Rico proves this is not the case. The law imposes special obligations upon brokers who sell…
Rank this Week: 847

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
  • Jul 18

    Prosecutorial Discretion under the CFAA Gets More Discretionary: US v. Nosal

    Prosecutorial Discretion under the CFAA Gets More Discretionary: US v. Nosal
    This guest post was authored by our colleague Jeremy D. Mishkin, partner and co-chair of the Litigation Department of Montgomery McCracken.  The Computer Fraud and Abuse Act, 18 U.S.C. § 1030 (“CFAA”), has become…
  • Jun 29

    VW Clears the Air with $14.7B Emissions Settlement

    VW Clears the Air with $14.7B Emissions Settlement
    This guest post was authored by Mara Smith, a summer associate with Montgomery McCracken. This Tuesday, Volkswagen agreed to pay the largest auto-related class action settlement in U.S. history, totaling $14.7 billion. The settlement was…
  • Jun 24

    Yuengling to Settle Up on Expensive Tab after Feds Discover Excessive Suds Byproducts in Water

    Yuengling to Settle Up on Expensive Tab after Feds Discover Excessive Suds Byproducts in Water
    Someone at local D.G. Yuengling and Son, Inc. could probably go for a cold one right now, as settlement negotiations with the U.S. Environmental Protection Agency (“USEPA”) have finally come to a head.   In a consent…
Rank this Week: 2742

Stock Market Loss

Stock Market Loss

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

http://www.stockmarketloss.com/news/
  • Jul 14

    Using Common Sense Can Keep You Safe From a Ponzi Scheme

    Using Common Sense Can Keep You Safe From a Ponzi Scheme
    This article was originally posted on Stock Market Loss Put as simply as possible, a Ponzi scheme is an investment fraud in which funds contributed by new investors are used to pay purported “returns” or “profits” to…
  • Jun 29

    FINRA’s New Changes Don’t Address Transparency Issue

    FINRA’s New Changes Don’t Address Transparency Issue
    This article was originally posted on Stock Market Loss Although FINFA received 51 recommendations from a task force designed to improve the arbitration process, it recently announced only a few modest changes to the system. The number of…
  • Jun 29

    Hugh Berkson Calls for More Rules on Nontraded REIT

    Hugh Berkson Calls for More Rules on Nontraded REIT
    This article was originally posted on Stock Market Loss New FINRA rules regarding nontraded REITs have some advisors crying off this investment. The rule requires advisers to report the actual value of those investments – less…
Rank this Week: 3525

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/
  • Jun 23

    FINRA Takes a Closer Look at Variable Annuity Sale

    FINRA Takes a Closer Look at Variable Annuity Sale
    The things we spend our money on tend to change as we get older. There’s a good chance you have a lot more money in your pocket…
  • Jun 2

    Who is May Law?

    Who is May Law?
    Press play on the video below for an inside look into what sets May Law apart from other firms and why Andrew May feels so passionately about…
  • May 20

    The Evolution of Insider Trading

    The Evolution of Insider Trading
    In the world of finance, one of the most malleable legal terms is “insider trading.” It may seem obvious to financial experts, but many don’t fully appreciate…
Rank this Week: 2844

Cady Bar the Door

Cady Bar the Door

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

http://www.secmiscellany.com
  • Jun 15

    Supreme Court Says Prosecutors Can’t Judge the Cases They Prosecute

    Supreme Court Says Prosecutors Can’t Judge the Cases They Prosecute
    Not all of the justices would put it that way.  To be fair to the dissenters, and because his version is shorter, we’ll use Justice Thomas’s description of the underlying facts from his dissent in Williams v. Pennsylvania,…
  • Jun 13

    Don’t even think about violating that penny stock bar.

    Don’t even think about violating that penny stock bar.
    The penny stock world can be rough. So rough that breaking the rules in that corner of the securities markets ban bring its own kind of injunction, one that’s much more specific than the typical don’t-break-the-law-anymore kind of…
  • May 25

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

    The Insider Trading Cartoon Series, Vol. IX — Tender Offer
    I want to talk about Rule 14e-3, because it has significant implications for insider trading liability.  But to do that, we first have to talk about tender offers, and what they are.     The post The Insider Trading Cartoon…
Rank this Week: 3917

Securities Mining Law

Securities Mining Law

Covers securities law affecting the mining industry in Canada.

http://www.securitiesmininglaw.com/
  • Jun 9

    Compliance alert: Mine Financial Security, Reclamation and Closure Policy by Yukon Government

    Compliance alert: Mine Financial Security, Reclamation and Closure Policy by Yukon Government
    The Yukon Territorial Government has published a “Yukon Quartz Mine Financial Security, Reclamation and Closure Policy,” dated February 2016 (Policy). The Policy is intended to cover all lands in Yukon, whether Category…
  • May 20

    Insolvency and energy insights: The Redwater decision

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

    Canadian Securities Administrators amend take-over bid rule

    Canadian Securities Administrators amend take-over bid rule
    Effective May 9, 2016, the Canadian Securities Administrators will implement new take-over bid rules that will introduce significant changes to bid mechanics, including lengthier minimum deposit periods.  For a description of the…
Rank this Week: 3492

Federal Securities Law Blog

Federal Securities Law Blog

FedSecLaw.com is devoted to highlighting current issues in securities laws, discussing the ramifications of those issues for today’s businesses, and providing bottom-line takeaways for busy owners, managers, and executives. By Porter Wright Morris & Arthur LLP.

http://www.fedseclaw.com/
  • May 20

    SEC forces Mickelson to return $1 million from insider trading

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

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

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

    Supreme Court to review insider trading case

    Supreme Court to review insider trading case
    The Supreme Court has agreed to consider something that lies at the center of nearly every insider trading case: what prosecutors need to prove an insider trading conviction. This case aims to determine exactly what benefits corporate…
Rank this Week: 4300

Andrew Abramowitz, PLLC

Andrew Abramowitz, PLLC

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

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

    Title III Crowdfunding is Now Live

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

    Prince and the Consequences of Reflexive Distrust of Advisor

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

    The SEC’s Discussion of Risk Factor

    The SEC’s Discussion of Risk Factor
    The SEC recently issued a long concept release seeking public comment on ways to modernize Regulation S-K, the set of disclosure requirements used both for Securities Act registration statements like Form S-1 and Exchange Act reports like…
Rank this Week: 1763

Wall Street Investment Fraud…

Wall Street Investment Fraud Lawyer Blog

Covers Ponzi schemes, investment fraud, and other scams. By The Doss Firm.

http://www.wallstreetinvestmentfraudlawyer.com/
  • May 10

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

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

    Record Oil Industry Bankruptcies Take a Toll on Investor

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

    Greenville Broker Claus Foerster Indicted in $2.8 Million Ponzi Scheme

    Greenville Broker Claus Foerster Indicted in $2.8 Million Ponzi Scheme
    A South Carolina grand jury has indicted a Greenville broker named Claus Foerster for defrauding his clients out of $2.8 million.  According to news reports, the indictments states that Foerster persuaded clients to invest in a…
Rank this Week: 947

Alixe Cormick: Small Cap Lawyer

Alixe Cormick: Small Cap Lawyer

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

http://www.alixecormick.com
  • May 4

    Equity Crowdfunding for Your Residential Construction Busine

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

    Equity Crowdfunding for Your Residential Construction Busine

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

    Equity Crowdfunding Portal Update and Latest Presentation Slide Deck

    Equity Crowdfunding Portal Update and Latest Presentation Slide Deck
    By Alixe Cormick As of today’s date there are seventeen (17) equity crowdfunding portals active in Canada. There are also five (5) marketplace lending platforms aimed at small business. Canadians can expect other new equity and debt…
Rank this Week: 2713

Securities Law Prof Blog

Securities Law Prof Blog

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

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

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

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

    Save the Date: Central States Law Schools Scholarship Conference

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

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: Ivet A. Bell, Note, The Constitutionality of the SEC Pay to Play Rule: Why 206(4)-5 Survives the Deregulatory Trend in Campaign Finance, 49…
Rank this Week: 440