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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…
  • 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…
Rank this Week: 32

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

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

    MSRB Again Calls for Better Debt Disclosure by Bond Issuer

    MSRB Again Calls for Better Debt Disclosure by Bond Issuer
    [This story previously appeared in Securities Regulation Daily.]By John Filar AtwoodThe Municipal Securities Rulemaking Board (MSRB) has issued another call to municipal bond issuers to make more information about their bank loans and other…
  • Jan 29

    Savings Statute Cannot Rescue Claim of Improper Demand Refusal

    Savings Statute Cannot Rescue Claim of Improper Demand Refusal
    [This story previously appeared in Securities Regulation Daily.]By Amy Leisinger, J.D.The Delaware District Court has dismissed an action against certain investment advisers, funds, and a number of directors alleging, among other things,…
  • Jan 28

    Government Asks Full Court to Rehear Newman Insider Trading Appeal

    Government Asks Full Court to Rehear Newman Insider Trading Appeal
    [This story previously appeared in Securities Regulation Daily.]By Anne Sherry, J.D.Criticizing last month’s opinion by a Second Circuit panel overturning two insider trading convictions based on a lack of personal benefit to the…
Rank this Week: 171

Recover Investment Losses Blog

Recover Investment Losses Blog

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

http://blog.rexsecuritieslaw.com
  • Jan 30

    Adam Jensen, State Farm Broker, Sanctioned by FINRA

    Adam Jensen, State Farm Broker, Sanctioned by FINRA
    January 30, 2015- Adam B. Jensen  entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he submitted 41 automobile…
  • Jan 30

    Former Sandlapper Securities Broker Fitzhugh Duggan Sanctioned by FINRA

    Former Sandlapper Securities Broker Fitzhugh Duggan Sanctioned by FINRA
    January 20, 2015- Fitzhugh L. Duggan III  entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between May 2012-September…
  • Jan 30

    Donald Babb & Ralph Ruth of Brevard County Sentenced on Ponzi Scheme

    Donald Babb & Ralph Ruth of Brevard County Sentenced on Ponzi Scheme
    January 30, 2014-Brevard County, FL Donald Babb, 58, of Merritt Island, and Ralph Ruth, 61, of Melbourne, were each sentenced to 121 in federal prison after pleading guilty to an $18 million fraud scheme involving their companies Southeast…
Rank this Week: 288

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Jan 30

    Compare and Contrast

    Compare and Contrast
    NERA Economic Consulting and Cornerstone Research (in conjunction with the Stanford Securities Class Action Clearinghouse) have released their 2014 annual reports on securities class action filings.  As usual, the different methodologies…
  • Jan 24

    Domestic Statu

    Domestic Statu
    Under the Morrison test for extraterritoriality, a Section 10(b) claim for securities fraud may only be brought if the transaction involved “the purchase or sale of a security listed on an American stock exchange” or “the…
  • Jan 15

    That Escalated Quickly

    That Escalated Quickly
    Item 303 of Regulation S-K requires issuers to disclose known trends or uncertainties “reasonably likely” to have a material effect on operations, capital, and liquidity. Plaintiffs often contend that if the disclosure required…
Rank this Week: 2568

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
Rank this Week: 250

Subject to Inquiry

Subject to Inquiry

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

http://www.subjecttoinquiry.com/
Rank this Week: 2299

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
  • Jan 30

    Investors Continue to Avoid High-Yield Bonds Despite New Cash Infusion

    Investors Continue to Avoid High-Yield Bonds Despite New Cash Infusion
    From the Desk of Jim Eccleston at Eccleston Law Offices:The European Central Bank announced a new $1.1 trillion euro bond-buying program last week. The goal of the new program was to push investors back into the market to buy risky corporate…
  • Jan 29

    CFP Board Changes CFP Exam Requirement

    CFP Board Changes CFP Exam Requirement
    From the Desk of Jim Eccleston at Eccleston Law Offices: The CFP Board has approved two changes to the process of attaining the initial CFP designation. First, candidates who want to take the CFP exams no longer…
  • Jan 28

    Former Texas Financial Planner Facing Charges in $8 million Ponzi Scheme

    Former Texas Financial Planner Facing Charges in $8 million Ponzi Scheme
    From the Desk of Jim Eccleston at Eccleston Law Offices: Charles D. Jones, a former financial adviser from Texas, was charged with stealing at least $8 million from his clients in a Ponzi-typeinvestment…
Rank this Week: 180

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/
  • Jan 30

    CSA identify needed improvements to proxy voting infrastructure

    CSA identify needed improvements to proxy voting infrastructure
    Mihkel Voore - Staff of the Canadian Securities Administrators yesterday released a progress report on the CSA's review of the proxy voting infrastructure. As we previously discussed, the CSA published a consultation paper setting out a…
  • Jan 30

    Proposed TSX Company Manual amendments create tailored listing regime for non-corporate issuer

    Proposed TSX Company Manual amendments create tailored listing regime for non-corporate issuer
    Darin Renton and Junaid Subhan -  On January 15, 2015, the Toronto Stock Exchange (TSX) published for comment proposed public interest amendments to the TSX Company Manual (the Manual) in respect of Non-Corporate Issuers, comprising…
  • Jan 30

    IIROC releases compliance report for 2014/2015

    IIROC releases compliance report for 2014/2015
    Darin Renton and Alix d'Anglejan-Chatillon -  On January 27, the Investment Industry Regulatory Organization of Canada released its annual consolidated compliance report for 2014/2015. Key findings in the report are certain…
Rank this Week: 664

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/
  • Jan 30

    Recovery of Global X Junior Miners ETF Losse

    Recovery of Global X Junior Miners ETF Losse
    Have you suffered losses investing in Global X Junior Miners ETF?  If so, the securities attorneys of The White Law Group may be able to help you recover your losses in a FINRA arbitration claim against the brokerage firm that…
  • Jan 30

    Recovery of PowerShares Dynamic Oil & Gas Services ETF Losse

    Recovery of PowerShares Dynamic Oil & Gas Services ETF Losse
    Have you suffered losses investing in PowerShares Dynamic Oil & Gas Services ETF?  If so, the securities attorneys of The White Law Group may be able to help you recover your losses in a FINRA arbitration claim against the…
  • Jan 30

    Recovery of PowerShares S&P SmallCap Energy ETF Losse

    Recovery of PowerShares S&P SmallCap Energy ETF Losse
    Have you suffered losses investing in PowerShares S&P SmallCap Energy ETF?  If so, the securities attorneys of The White Law Group may be able to help you recover your losses in a FINRA arbitration claim against the brokerage…
Rank this Week: 495

White Collar Alert

White Collar Alert

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

http://whitecollarblog.mmwr.com
Rank this Week: 1127

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/
  • Jan 30

    Backstory: Corp Fin’s 5-Business Day Debt Tender Offer No-Action Relief

    Backstory: Corp Fin’s 5-Business Day Debt Tender Offer No-Action Relief
    This Bloomberg article does a nice job providing the backstory behind how 18 law firms came together with the Corp Fin Staff to get this no-action relief on debt tender offers out there. Here’s an excerpt: Jim Clark, a partner at Cahill…
  • Jan 29

    Doing Deals: Be Careful How You Send Confidential Information

    Doing Deals: Be Careful How You Send Confidential Information
    I recently asked my good friend Jim Brashear of Zix Corporation this question: “are lawyers are still sending confidential deal documents via unencrypted email?” I asked Jim since he’s an expert in that area (Zix is an email…
  • Jan 28

    Webcast: “Proxy Solicitation Tactics in M&A”

    Webcast: “Proxy Solicitation Tactics in M&A”
    Tune in tomorrow for the webcast – “Proxy Solicitation Tactics in M&A” – to hear Okapi Partners’ Chuck Garske, Alliance Advisors’ Waheed Hassan, Managing Director and Innisfree’s Scott Winter…
Rank this Week: 822

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

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

    FINRA Bars Broker Michael Evangelista Over Real Estate Securities Sale

    FINRA Bars Broker Michael Evangelista Over Real Estate Securities Sale
    The Financial Industry Regulatory Authority (FINRA) recently barred broker Michael Evangelista (Evangelista) concerning allegations that between 2006 and 2011, Evangelista referred approximately six of his firm customers to invest in real…
  • Jan 29

    Gana LLP Brings Claim on Behalf of Client Against Clark Dodge and Global Arena for Alleged Selling Away Activity

    Gana LLP Brings Claim on Behalf of Client Against Clark Dodge and Global Arena for Alleged Selling Away Activity
    On November 28, 2014, Gana LLP filed a complaint on behalf of its client against Clark Dodge & Co, Inc. (“Clark”), Global Arena Capital Corp. (Global), and Steros Christoforou (Steros). The complaint alleges that Clark and…
  • Jan 27

    FINRA Fines Sigma Financial Over Supervisory Failures Part II

    FINRA Fines Sigma Financial Over Supervisory Failures Part II
    This post continues our prior report on the Financial Industry Regulatory Authority’s (FINRA) recently sanctions against Sigma Financial Corporation (Sigma Financial) alleging from April 25, 2011, through June 24, 2012, supervisory…
Rank this Week: 1112

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • Jan 30

    Another Litigation Reform Bylaw Variant: The Minimum Stake to Sue Bylaw

    Another Litigation Reform Bylaw Variant: The Minimum Stake to Sue Bylaw
    In prior posts, I have noted the growing phenomenon of companies adopting various types of bylaws as a self-help version of litigation reform. Delaware’s courts have already approved the facially validity of both forum-selection bylaws…
  • Jan 29

    Guest Post: Hack to the Future: Eleven Cyber Risk Developments Watch in 2015

    Guest Post: Hack to the Future: Eleven Cyber Risk Developments Watch in 2015
    Without a doubt, during 2014, cyber security emerged as one of the critical topics for discussion. In the following guest post, Bill Boeck, who is  senior legal and claim resource worldwide for cyber and executive risk coverages and…
  • Jan 28

    Advisen Releases 2014 Corporate and Securities Litigation Report

    Advisen Releases 2014 Corporate and Securities Litigation Report
    New corporate and securities lawsuit filings and enforcement actions were down for the third consecutive year in 2014, according to the latest annual report from the insurance information firm, Advisen. According to the report, which is…
Rank this Week: 561

Business Blog

Business Blog

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

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

    SEC Announces 2015 Exam Prioritie

    SEC Announces 2015 Exam Prioritie
    Don’t say you haven’t been warned! In January, the Securities and Exchange Commission (SEC) announced its 2015 exam priorities for the coming year. In regards to the 2015 exam priorities, the report should be required reading for…
  • Jan 29

    Consumer Privacy and Security Risks Are Issues That Businesses Need To Addre

    Consumer Privacy and Security Risks Are Issues That Businesses Need To Addre
    As the prevalence of Internet-connected devices continues to grow, companies need to be proactive in addressing the consumer privacy attendant risks. The Federal Trade Commission (FTC) recently issued a report on the Internet of Things, which…
  • Jan 28

    Women in Businesses: Where Do We Stand According to the UN Report?

    Women in Businesses: Where Do We Stand According to the UN Report?
    Though they run 30 % of it, women in businesses are noticeably absent at the top of the world’s largest corporations. In fact, women in businesses represent just five percent of the chief operating officers, according to a new report by…
Rank this Week: 1077

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

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

    House Bill: Repeal of Pay Ratio

    House Bill: Repeal of Pay Ratio
    Last week, the “Burdensome Data Collection Relief Act” (HR 414) was introduced to repeal Dodd Frank’s Section 953(b), the pay ratio disclosure requirement. The bill is real simple – a single paragraph. This same bill…
  • Jan 29

    Proxy Access Punt: Glass Lewis Weighs In “For Real”

    Proxy Access Punt: Glass Lewis Weighs In “For Real”
    On Monday, I blogged about a statement from Glass Lewis on proxy access shareholder proposals that was contained in a WSJ article. Now, Glass Lewis has posted this on its own blog on the topic: In 2015, approximately 100 companies will face…
  • Jan 28

    Our New “Form 8-K Handbook”

    Our New “Form 8-K Handbook”
    Spanking brand new. By popular demand, this comprehensive “Form 8-K Handbook” covers all you need to know about “real time” disclosures via Form 8-K (it’s now posted on our “Form 8-K” Practice Area).…
Rank this Week: 278

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/
  • Jan 30

    These Data Show Nevada Rising And California Sinking

    These Data Show Nevada Rising And California Sinking
    A recent paper by Matthew D. Cain, an economic fellow at the Securities and Exchange Commission, Stephen B. McKeon, an Assistant Finance Professor at the University of Oregon, and Steven Davidoff Solomon, a Professor of Law at the…
  • Jan 29

    Court Of Appeal Decides Against Arbitration Bylaw Amendment

    Court Of Appeal Decides Against Arbitration Bylaw Amendment
    Much has been written of late about the enforceability of exclusive forum bylaws.  What happens when the forum isn’t a court, but an arbitration?  Does it make any difference if the arbitration bylaw is adopted after a dispute…
  • Jan 28

    California AG Declares Whistleblower Tally A State Secret

    California AG Declares Whistleblower Tally A State Secret
    Since 2004, the California Attorney General has been required to maintain a whistleblower hotline to receive calls from persons who have information regarding possible violations of state or federal statutes, rules, or regulations, or…
Rank this Week: 293

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • Jan 29

    FINRA in 2015 – Sales Practice – Part 1

    FINRA in 2015 – Sales Practice – Part 1
    Earlier this month, FINRA released its 2015 Regulatory and Examinations Priorities Letter.  In the letter, FINRA lays out its 2015 priorities, which focus on three general areas: 1) Sales Practice; 2) Financial and Operational…
  • Jan 21

    What Is Big Brother Focused On In 2015

    What Is Big Brother Focused On In 2015
    It is that time of year again.  The SEC Office of Compliance and Inspection (OCIE) has announced its examination priorities for 2015.  Knowing what these priorities are will help firms gauge their compliance and supervision efforts…
  • Jan 20

    Why You Need To Think Twice About That New Hire

    Why You Need To Think Twice About That New Hire
    Starting July 1, member firms are required to have written procedures to verify the accuracy and completeness of the information in a registered representative’s U-4 within 30 days of the U-4 being filed with FINRA.  The question…
Rank this Week: 1092

New York Securities Lawyers Blog

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

http://www.newyorksecuritieslawyersblog.com/
Rank this Week: 3520

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/
  • Jan 29

    S.E.C. Faces Challenges Over the Constitutionality of Some of Its Court Proceeding

    S.E.C. Faces Challenges Over the Constitutionality of Some of Its Court Proceeding
    Great analysis of the issues raised by the SEC's use of administrative proceedings to avoid juries, evidentiary rules, discovery by defendants and other procedural safeguards afforded to defendants in government prosecutions.We have written…
  • Jan 26

    10 ETFs To Be Excited About In 2015

    10 ETFs To Be Excited About In 2015
    Investors were introduced to more than 180 new exchange-traded products in 2014, as well as a handful of ETF issuer newcomers.While the majority of new offerings offer more traditional investment objectives, there are a passel of funds that…
  • Jan 26

    Good News - FINRA Chief Says FINRA Won't Be Piling On.

    Good News - FINRA Chief Says FINRA Won't Be Piling On.
    In discussing the state of FINRA enforcement's activities, FINRA Enforcement Director Brad Bennett said he will not pursue a violator if the Securities and Exchange Commission or state regulators are going after the same individuals and…
Rank this Week: 1596

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: 222

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/
  • Jan 29

    Major SEC Enforcement Actions Since 2009

    Major SEC Enforcement Actions Since 2009
    The United States Securities and Exchange Commission (SEC) has been extremely busy since the financial crisis. The SEC’s increase in its efforts to tackle violations has managed…
  • Jan 26

    The Riskiest Financial Products for the Average Investor

    The Riskiest Financial Products for the Average Investor
    The United States Securities and Exchange Commission (SEC) has launched a new public investor watchdog to look out for the interests of mom and pop investors around…
  • Dec 18

    Is Arbitration Cheaper than Litigation?

    Is Arbitration Cheaper than Litigation?
    Many think that arbitration is less expensive than litigation. As a result, many aggrieved investors begin the process with unrealistic expectations about how much it will cost.…
Rank this Week: 1592

North Carolina Business Litigation…

North Carolina Business Litigation Report

Reports on judicial decisions of significance to business and shareholders. By Mack Sperling of Brooks Pierce LLP.

http://www.ncbusinesslitigationreport.com/
  • Jan 29

    Is It Worth It For Plaintiffs' Counsel To Gamble On Merger Class Actions in North Carolina?

    Is It Worth It For Plaintiffs' Counsel To Gamble On Merger Class Actions in North Carolina?
    I hadn't written anything yet about the multiple shareholder actions challenging the merger of PokerTek -- a developer and distributor of electronic table (gambling) games -- with Multimedia Games -- another developer and distributor of…
  • Jan 23

    A Couple Of Things To Know Before Bringing A Piercing The Corporate Veil Claim

    A Couple Of Things To Know Before Bringing A Piercing The Corporate Veil Claim
    You might remember the case of  Cold Springs Ventures, LLC v. Gilead Sciences, Inc..  Last year, Judge Jolly stayed an arbitration proceeding pending a ruling on a piercing the corporate veil claim.  If you are a reader of this…
  • Jan 16

    Reading Before Signing Is Advisable

    Reading Before Signing Is Advisable
    It's pretty basic that your clients should read the agreements that they sign before they sign them.  Or you should at least explain to your client the key provisions in what they are going to sign, if they are not going to read it. In…
Rank this Week: 906

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: 452

100 F Street

100 F Street

Covers securities law for growing businesses. By Vanessa Schoenthaler.

http://100fstreet.com/
  • Jan 27

    The SEC Will Host a Proxy Voting Roundtable on February 19th

    The SEC Will Host a Proxy Voting Roundtable on February 19th
    The Securities and Exchange Commission announced today that it will host a proxy voting roundtable on Thursday, February 19, 2015 (that was quick), to explore ways to improve the proxy voting process, with a focus on universal proxy…
  • Jan 26

    CorpFin’s Latest C&DIs: Graphics and Images in EDGAR Filings and Reg. S Resale

    CorpFin’s Latest C&DIs: Graphics and Images in EDGAR Filings and Reg. S Resale
    CorpFin issued two new Compliance and Disclosure Interpretations (C&DIs) on Friday, one presents a somewhat niche scenario involving application of the resale limitations set forth Rule 905 of Regulation S, and the…
  • Jan 19

    CorpFin Won’t Be Expressing Views on 14a-8(i)(9) During the 2015 Proxy Season

    CorpFin Won’t Be Expressing Views on 14a-8(i)(9) During the 2015 Proxy Season
    Dear Blog, It’s been entirely too long and I miss you terribly. I had quit the crazy 2014, but as things are settling down now I plan to get back to you on a more regular basis. There are so many things that we need to…
Rank this Week: 1233

Ponzitracker

Ponzitracker

Covers Ponzi schemes. By Jordan Maglich.

http://www.ponzitracker.com/
  • Jan 27

    SEC Charges Wisconsin Man With $10.4 Million Ponzi Scheme

    SEC Charges Wisconsin Man With $10.4 Million Ponzi Scheme
    A Wisconsin man was charged by the Securities and Exchange Commission with operating a Ponzi scheme that took in more than $10 million from at least 122 investors.  Loren Holzhueter, 69, was the subject of an emergency enforcement action…
  • Jan 26

    Ohio CPA Gets 21 Years For Role In $40 Million Ponzi Scheme

    Ohio CPA Gets 21 Years For Role In $40 Million Ponzi Scheme
    An Ohio man was sentenced to serve twenty-one years in federal prison for his role in funnelling investors to the massive "Black Diamond" Ponzi scheme that ultimately duped over 400 investors out of at least $40 million.  Jonathan…
  • Jan 26

    California Men Plead Guilty To $100 Million ATM Ponzi Scheme

    California Men Plead Guilty To $100 Million ATM Ponzi Scheme
    Two California men have entered guilty pleas to operating a massive Ponzi scheme that allegedly caused losses of over $100 million to victims who thought they were investing in a profitable ATM leasing operation.  Joel Barry Gillis, 74,…
Rank this Week: 1117

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/
  • Jan 27

    The Continuing Fall-Out from the Second Circuit’s Insider Trading Decision in Newman

    The Continuing Fall-Out from the Second Circuit’s Insider Trading Decision in Newman
    Last week, a New York federal judge struck another blow to prosecutorial efforts to secure insider trading convictions in tipper-tippee cases. As discussed in detail here, the U.S. Attorney’s Office for the Southern District of New York…
  • Jan 21

    New House Bill Aims to Reduce Some Dodd-Frank Regulatory Burden

    New House Bill Aims to Reduce Some Dodd-Frank Regulatory Burden
    On January 24, 2015, the U.S. House of Representatives passed a bill that loosens certain Dodd-Frank requirements and reduces the scope of the SEC’s regulatory authority over certain private equity firms, small businesses, and emerging…
  • Jan 13

    Corporate Whistleblowing: Key Issues In Responding to Possible Violation

    Corporate Whistleblowing: Key Issues In Responding to Possible Violation
    The need to detect and investigate reported allegations of wrongdoing within a corporation has long been a fact of corporate life. In the last 15 years, however, a combination of circumstances has contributed to an explosion of activity in…
Rank this Week: 3616

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/
  • Jan 27

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: Zachary Ahonen, Note, The Recent Financial Crisis and Its Impact on Interest Rate Swaps: A Road to Recovery through the Frustration of…
  • Jan 27

    Park on Bondholders and Securities Class Action

    Park on Bondholders and Securities Class Action
    James J. Park has posted Bondholders and Securities Class Actions on SSRN with the following abstract: Prior studies of corporate and securities law litigation have focused almost entirely on cases filed by shareholder plaintiffs. Bondholders…
  • Jan 27

    Chen, Hope, Li & Wang on International Market

    Chen, Hope, Li & Wang on International Market
    Feng Chen, Ole-Kristian Hope, Qingyuan Li, and Xin Wang have posted Flight to Quality in International Markets: Political Uncertainty and Investors’ Demand for Financial Reporting Quality on SSRN with the following abstract: We examine…
Rank this Week: 291

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

http://www.seclawyersblog.com/
Rank this Week: 295

Cady Bar the Door

Cady Bar the Door

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

http://www.secmiscellany.com
  • Jan 26

    The SEC Totally Cares about Its Injunction

    The SEC Totally Cares about Its Injunction
    Last week I wrote a post discussing the injunctions the SEC typically obtains against defendants in federal court.  I noted the oddity of these obey-the-law injunctions and wondered aloud why the Commission never pursues findings of…
  • Jan 20

    Retrench of DOJ’s Equitable Sharing Program Could be Boon to N.C. School

    Retrench of DOJ’s Equitable Sharing Program Could be Boon to N.C. School
    “Equitable Sharing” sounds so reasonable.  Who could argue with it?  Here’s what it is, and what it does:  The Justice Department’s Equitable Sharing program allows federal law enforcement agencies to…
  • Jan 19

    The SEC Does Not Care about Its Injunction

    The SEC Does Not Care about Its Injunction
    It won’t surprise you to learn that the U.S. Code includes this provision: “A court of the United States shall have power to punish by fine or imprisonment, or both, at its discretion, such contempt of its authority . . . as . . .…
Rank this Week: 563

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
  • Jan 26

    WHITE HOUSE TAKING NOTICE OF FINACIAL ADVISORS COSTING WORKERS BILLIONS IN RETIREMENT SAVINGS

    WHITE HOUSE TAKING NOTICE OF FINACIAL ADVISORS COSTING WORKERS BILLIONS IN RETIREMENT SAVINGS
    A top economic adviser under President Obama is calling for stricter rules on Wall Street after finding some bad broker practices costing investors $8 billion to $17 billion a year. Chairman of President Obama’s Council of Economic…
  • Jan 23

    WHAT HAPPENS WHEN YOUR BROKERS AGE CATCHES UP WITH THEM?

    WHAT HAPPENS WHEN YOUR BROKERS AGE CATCHES UP WITH THEM?
    Just like an average person who ages, an older financial adviser is more likely to show signs of aging. Red flags that a financial adviser might be suffering from senior moments: forgetfulness, a tendency to repeat things, a disregard for…
  • Jan 20

    SEC Compliance Inspections and Examinations Office Released Examination Priorities for 2015

    SEC Compliance Inspections and Examinations Office Released Examination Priorities for 2015
    The Examination priorities for 2015 address issues across a variety of financial institutions, including investment advisers, investment companies, broker-dealers, transfer agents, clearing agencies, and national securities exchanges. …
Rank this Week: 673

William Carleton, Counselor @ Law

William Carleton, Counselor @ Law

Covers legal and investment issues facing emerging tech companies.

http://www.wac6.com/wac6/
  • Jan 25

    One Thousand Things Worth Knowing

    One Thousand Things Worth Knowing
    This weekend I've read Paul Muldoon's newly published collection of poems, "One Thousand Things Worth Knowing." (The dust jacket sports a very pleasing design by the ubiquitous Quemadura, a brilliant designer and a kind man I will…
  • Nov 16

    ACA Webinar on Accredited Investor Definition and Established Angel Group Certification

    ACA Webinar on Accredited Investor Definition and Established Angel Group Certification
    I've just listened to an archived recording of an excellent webinar presented by the Angel Capital Association last week (I had intended to listen in real time, but got pulled away): ACA Webinar on Accredited Investor Definition and…
  • Nov 4

    A Sestina About Copyright

    A Sestina About Copyright
    Sestinas are all about copyright!
Rank this Week: 959

The Securities Edge

The Securities Edge

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

http://www.thesecuritiesedge.com/
  • Jan 25

    In sickness and in health

    In sickness and in health
    Posted By: Robert B. Lamm Jamie Dimon, CEO of JPMorgan Chase, is reputed to be a decisive person with a strong personality.  Of course, that shouldn’t be news to anyone who follows business or who knows what it takes to be CEO of…
  • Jan 20

    Update to the JOBS Act? Probably not…

    Update to the JOBS Act? Probably not…
    Posted By: David C. Scileppi   On January 14th, the House passed H.R. 37 “Promoting Job Creation and Reducing Small Business Burdens Act.”  Although passed with some support from the Democrats (29 votes, which in these…
  • Jan 17

    Shock and awe at the SEC (and turning it into chicken salad)

    Shock and awe at the SEC (and turning it into chicken salad)
    Posted By: Robert B. Lamm Something shocking happened at the SEC yesterday.  SEC Chair Mary Jo White directed the SEC Staff to review its long-standing position on when a shareholder proposal conflicts with a company proposal and may be…
Rank this Week: 3757

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/
Rank this Week: 816

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
  • Jan 23

    Elderly Sugar Daddy, His Young Thing, And His Banker / Broker

    Elderly Sugar Daddy, His Young Thing, And His Banker / Broker
    Good intentions seem to have exploded in a banker / broker's  face, when he came to the aid of an elderly customer, who fell under the sway of a younger woman with a criminal record. When the do-gooder stepped in to protect the customer,…
  • Jan 23

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
    Elderly Sugar Daddy, His Young Thing, And His Banker / BrokerGood intentions seem to have exploded in a banker / broker's  face, when he came to the aid of an elderly customer, who fell under the sway of a younger woman with a criminal…
  • Jan 23

    Unreasonable AML Policies Cited In Trading Platform Fraud

    Unreasonable AML Policies Cited In Trading Platform Fraud
    There are lots of bad guys out there, and on Wall Street, brokerage firms need to protect not only their customers but also themselves from some of the online scams and cons.  In a recent regulatory settlement, we see how one firm was…
Rank this Week: 393

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/
  • Jan 20

    Comment by Feb. 16 on proposed uniform state model rule for M&A broker

    Comment by Feb. 16 on proposed uniform state model rule for M&A broker
    The Broker-Dealer Section of the North American Securities Administrators Association is seeking comments no later than Feb. 16, 2015, on a proposed uniform state model rule exempting certain merger and acquisition brokers from registration…
  • Dec 29

    Bill governing M&A brokers should resurface in 2015

    Bill governing M&A brokers should resurface in 2015
    During 2014, Congress has gained momentum toward creating an exemption from federal broker-dealer registration for “M&A brokers” who facilitate mergers, acquisitions, sales and similar transactions involving privately held…
  • Dec 3

    A compliance problem truly “Made in the USA”

    A compliance problem truly “Made in the USA”
    Following the expiration of a public comment period last week, the ink is now dry on the Federal Trade Commission’s consent decree against Made in USA Brand, LLC, settling charges that the Columbus, Ohio-based company sold its…
Rank this Week: 750

Business Law Post

Business Law Post

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

http://www.businesslawpost.com
  • Jan 19

    How to Comply with New York Blue Sky Laws?

    How to Comply with New York Blue Sky Laws?
    As I previously explained here, Rule 506 private placements involve the filing of a Form D with the SEC as well as complying with blue sky notice filings requirements in each state where the investors participating in the offering reside.…
  • Jan 19

    The SEC Increases Focus On Digital Currencie

    The SEC Increases Focus On Digital Currencie
    It is clear that the SEC has been focusing on securities fraud involving digital currencies.  In July 2013, the SEC charged Trendon T. Shavers, the founder and operator of Bitcoin Savings and Trust, with defrauding investors in a…
  • Dec 26

    Blue Sky Filings Made Easy?

    Blue Sky Filings Made Easy?
    One of the reasons that explains why Rule 506 offerings have been so popular as a means of conducting a private placement is because they are exempt from state regulation.  In 1996, the National Securities Markets Improvement Act…
Rank this Week: 791

White Collar Wire

White Collar Wire

Covers news, cases, judicial opinions, practical tips and scholarly work regarding white-collar criminal and civil enforcement, grand jury investigations and regulatory compliance. By Jackson R. Sharman, III.

http://jacksharman.com/
Rank this Week: 1512

Stock Market Loss

Stock Market Loss

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

http://www.stockmarketloss.com/news/
Rank this Week: 3662

Footnoted

Footnoted

Reports on actionable information in SEC filings.

http://www.footnoted.com/
Rank this Week: 2811

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: 3172

InvestorLawyers.net

InvestorLawyers.net

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

http://www.investorlawyers.net/blog/
Rank this Week: 1128

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
  • Jan 7

    Man Sentence to 18-Months for Investment Scam

    Man Sentence to 18-Months for Investment Scam
    In Scottsdale, J'Sean Claude Butierries pleaded guilty to defrauding investors out of hundreds of thousands of dollars. He allegedly used the ill-gotten gains to buy himself luxury items like a $195,000 Audi and cosmetic surgery for his wife…
  • Jan 5

    SEC Charges Unlicensed Man with Scamming Investor

    SEC Charges Unlicensed Man with Scamming Investor
    Vinay Kumar Nevatia, of Palo Alto, has been charged by the U.S. Securities and Exchange Commission for allegedly reselling almost $900,000 stock shares of an off-shore company, CSS Technologies (Mauritius) Limited, already owned by eight…
  • Jan 1

    Broker Barred from Practice for Stealing from Elderly

    Broker Barred from Practice for Stealing from Elderly
    Jeffrey McClure, a former employee of Wells Fargo Advisors and an affiliated bank in California, was recently barred from the securities industry after stealing almost $89,000 from an elderly customer. Between December 2012 and August 2014,…
Rank this Week: 1622

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • Jan 7

    Arbitration's Cancer – The Systemic Bias Created by the Co-existence of Paid Arbitrators, Arbitrator Strikes, and Award Historie

    Arbitration's Cancer – The Systemic Bias Created by the Co-existence of Paid Arbitrators, Arbitrator Strikes, and Award Historie
    One of the cornerstones of the rules of judicial ethics is that bias is to be avoided or ferreted out.  The intolerance for bias in our judiciary is not limited to overt bias.  Indeed, it has been said: “because bias is so…
  • Dec 16

    Are You Stuck in a REIT?

    Are You Stuck in a REIT?
    Realty Capital Securities, LLC (RCS) is a Boston-based unit of American Realty Capital (ARC).  According to its website, ARC is a “full service investment advisory firm sponsoring a series of investment programs with an emphasis on…
  • Nov 30

    What Will be on the SEC’s 2015 Exam Priorities for Investment Advisers?

    What Will be on the SEC’s 2015 Exam Priorities for Investment Advisers?
    Each January, The SEC’s National Exam Program (“NEP”) issues examination priorities for the year ahead.  The priorities are based upon the SEC’s evaluation of those areas in the financial markets that it believes…
Rank this Week: 1408

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/
  • Jan 7

    SEC Affirms FINRA Sanctions for Broker Taking Client Info. to New Firm

    SEC Affirms FINRA Sanctions for Broker Taking Client Info. to New Firm
    On December 15, 2014, the SEC affirmed a FINRA disciplinary action finding that a broker violated Conduct Rule 2110 when that broker downloaded certain confidential and nonpublic customer information for more than 2000 clients of his former…
  • Dec 19

    Lessons learned from putting on "the Suit."

    Lessons learned from putting on "the Suit."
    Every now and then I use my blog to share with you things not necessarily related to the law, or to our practice areas of financial markets law, estate planning or business law. Today's one of those days, and I...
  • Dec 9

    SEC Sanctions Audit Firm

    SEC Sanctions Audit Firm
    The SEC announced settled administrative proceedings against eight audit firms for alleged violations of the auditor independence rules in connection with audits of broker-dealers. According to the SEC's press release, in agreeing to settle…
Rank this Week: 1275

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

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

    Cole-Frieman & Mallon LLP 2014 Fourth Quarter Update

    Cole-Frieman & Mallon LLP 2014 Fourth Quarter Update
    www.colefrieman.com December 29, 2014 Clients, Friends, Associates: December is the busiest month of the year for most private fund managers. In addition to end of year administrative upkeep, the regulatory landscape has shifted dramatically…
  • Dec 4

    Hedge Fund Events December 2014

    Hedge Fund Events December 2014
    The following are various hedge fund events happening this month. Please email us if you would like us to add your event to this list. **** Date: December 3, 2014 Sponsor: Morgan Stanley Event: Dive into New Portfolio Strategies Location: New…
  • Nov 11

    3rd Annual Alternative Investments Summit – November 20th

    3rd Annual Alternative Investments Summit – November 20th
    Please see below information on the Seattle Investment Association event on November 20th. **** The Seattle Alternative Investment Association, together with the CFA Society of Seattle, invites you to join us on November 20th, 2014 for the…
Rank this Week: 1315