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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…
  • Aug 15

    By: EAkHCuax

    By: EAkHCuax
    <strong>EAkHCuax</strong>Securities Law and Going Public Blog
  • Aug 5

    By: lexutilispl - bookmarks.blogme24.com

    By: lexutilispl - bookmarks.blogme24.com
    […] is gonna kill meDrum Building Secrets!Make Your Mark Online With These Design Tips : BACKLINKSSecurities Lawyer101 l Securities Law Blog l Hamilton & AssociatesPennySaverUSA.com Blog - The Best Resource for Online Classifieds,…
Rank this Week: 52

Institutional Investor Securities…

Institutional Investor Securities Blog

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

http://www.institutionalinvestorsecuritiesblog.com/
  • Dec 29

    Wells Fargo Reaches $591 Million Mortgage Deal with Fannie Mae

    Wells Fargo Reaches $591 Million Mortgage Deal with Fannie Mae
    Wells Fargo & Co. (WFC) has arrived at a $591 million mortgage settlement with Fannie Mae (FNMA). The arrangement resolves claims that the banking institution sold faulty mortgages to the government run-home loan financier and covers…
  • Aug 21

    Lehman Brothers' Unsecured Creditors to Get $4.6B Payout

    Lehman Brothers' Unsecured Creditors to Get $4.6B Payout
    Pension funds, former employees, investment firms, and banks with unsecured claims against Lehman Brothers Holdings are finally getting an initial payout of $4.6 billion. That’s about 71% of the unsecured claims against the…
  • Aug 19

    Securities Lawsuit Against BlackRock Accuses Firm of Charging Excessive Sub-Advisor Fee

    Securities Lawsuit Against BlackRock Accuses Firm of Charging Excessive Sub-Advisor Fee
    BlackRock Inc. (BLK) wants a judge to dismiss a securities lawsuit accusing the money manager of charging exorbitant fees and breaching its fiduciary duties. Lawyers for the firm argued that the claims have no merit in the U.S. District Court…
Rank this Week: 602

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Aug 22

    Oregon Proposes Renewable Energy Cooperative Corporation Exemption

    Oregon Proposes Renewable Energy Cooperative Corporation Exemption
    [This story previously appeared in Securities Regulation Daily.]By Jay Fishman, J.D.The Oregon Finance and Corporate Securities Division proposed rules allowing renewable energy cooperative corporations to claim an Oregon Securities Law…
  • Aug 21

    Argentina Bond Case Saga Continues Post-Supreme Court Ruling

    Argentina Bond Case Saga Continues Post-Supreme Court Ruling
    As the Argentina bond saga continues post-U.S. Supreme Court opinion, Reuters reported that a federal judge (SDNY) today said that legislation proposed in the Argentine Congress allowing the government to resume payment to holders of bonds…
  • Aug 21

    Market Expert Shuns Potential Ban on Payment for Order Flow

    Market Expert Shuns Potential Ban on Payment for Order Flow
    [This story previously appeared in Securities Regulation Daily.]By Amy Leisinger, J.D.Larry Tabb, founder and CEO of capital markets research and consulting firm TABB Group, has submitted a letter to Sen. Carl Levin (D-Mich.), disagreeing…
Rank this Week: 683

Startup Law Blog

Startup Law Blog

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

http://www.startuplawblog.com/
  • Aug 22

    Crowdlending for Businesse

    Crowdlending for Businesse
    By Tabitha Creighton Finding capital for a startup can be as tough as any other part business and sometimes emotionally draining, since everyone seems to have an opinion on your concept. Borrowing money from a bank can be just as ……
  • Aug 16

    Intrastate Crowdfunding and the 499 Shareholder Problem

    Intrastate Crowdfunding and the 499 Shareholder Problem
    In prior posts I have lamented the problems with the federal crowdfunding law.  The SEC is still behind on finalizing rules implementing the crowdfunding provisions of the JOBS Act. In the meantime, Washington State and a handful of…
  • Aug 16

    Intrastate Crowdfunding and the 499 Unaccredited Shareholder Problem

    Intrastate Crowdfunding and the 499 Unaccredited Shareholder Problem
    In prior posts I have lamented the problems with the federal crowdfunding law.  The SEC is still behind on finalizing rules implementing the crowdfunding provisions of the JOBS Act. In the meantime, Washington State and a handful of…
Rank this Week: 1367

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 22

    TNP Attempts to Restructure Debt

    TNP Attempts to Restructure Debt
    Have you purchased investments with Thompson National Properties (TNP)? If so, the following information may be of value to you. According to InvestmentNews,Tony Thompson and his company are offering to exchange TNP notes for a new stock…
  • Aug 21

    Recovery of Investment Losses in Catalyst Energy

    Recovery of Investment Losses in Catalyst Energy
    Have you suffered financial losses as a result of your purchase of a Catalyst Energy Limited Partnership? If so, The White Law Group may be able to recover some of your losses in a FINRA arbitration claim against the brokerage firms that…
  • Aug 20

    Recovery of Geneva Exchange Fund TIC Losse

    Recovery of Geneva Exchange Fund TIC Losse
    Have you suffered investment losses in a Geneva Exchange Fund tenant-in-common (TIC)? If so, The White Law Group may be able to help you recover your losses through a FINRA arbitration claim against the brokerage firm that recommended the…
Rank this Week: 207

Securities Law Blog

Securities Law Blog

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

http://www.securitieslaw-blog.com/
  • Aug 22

    Ponzi Schemes Year In Review: Volume I

    Ponzi Schemes Year In Review: Volume I
    Throughout the year, the Frankowski Firm has investigated a number of Ponzi schemes. Thousands of investors have lost millions of dollars by unwittingly putting their money into Ponzi schemes all across the country. This Year In Review…
  • Aug 21

    Bank Of America To Pay Record $16.65B

    Bank Of America To Pay Record $16.65B
    Last Thursday, Bank of America and two of its subsidiaries agreed to settle its case with the U.S. Department of Justice for $16.65 billion. The settlement will put to end claims that the bank engaged in faulty lending during the housing boom…
  • Aug 20

    Florida CEO Pleads Guilty In $3M Fraud Scheme

    Florida CEO Pleads Guilty In $3M Fraud Scheme
    Cecil Franklin Speight, sole owner and CEO of International Stock Transfer of Palm Beach, Florida pleaded guilty last month to conspiracy to commit mail fraud and securities fraud for operating a scheme in which he conned investors out of $3…
Rank this Week: 3300

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 22

    SEC Charges Former Bank Executive and Friend With Insider Trading Ahead of Acquisition

    SEC Charges Former Bank Executive and Friend With Insider Trading Ahead of Acquisition
    The SEC charged a former bank executive in Massachusetts and his friend with insider trading in advance of the bank’s acquisition of another financial institution.The SEC alleges that the former executive, then a senior vice president…
  • Aug 21

    Securities Fraud Cases Can Be Criminal Case

    Securities Fraud Cases Can Be Criminal Case
    Defending a SEC securities fraud case is not simply about the civil charges and penalties. Most securities law violations are also criminal violations, and violators can be charged both civilly and criminally.As securities litigators, we…
  • Aug 21

    SEC Announces Charges in Houston-Based Scheme Touting Technology to End Fracking

    SEC Announces Charges in Houston-Based Scheme Touting Technology to End Fracking
    A Houston-based penny stock company and four individuals are being charged after the SEC discovered they were behind a pump-and-dump scheme that misled investors to believe the company was on the brink of developing revolutionary technology…
Rank this Week: 522

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 22

    OSC publishes The Investment Funds Practitioner for July 2014

    OSC publishes The Investment Funds Practitioner for July 2014
    Darin Renton - The Investment Funds and Structured Products Branch of the Ontario Securities Commission recently released the July 2014 issue of The Investments Funds Practitioner, which provides an overview of recent issues…
  • Aug 22

    Delaware Chancery provides important guidance to boards of directors and financial advisor

    Delaware Chancery provides important guidance to boards of directors and financial advisor
    Stéphane Rousseau and Benoît Dubord - The recent Rural Metro decision in the Delaware Court of Chancery provides important guidance to boards of directors and financial advisors in change of control situations. Specifically, the…
  • Aug 20

    New UK measures to counter avoidance schemes involving transfer of corporate profit

    New UK measures to counter avoidance schemes involving transfer of corporate profit
    Jeffrey Keey -  A new section 1305A of the UK Corporation Tax Act 2009 (CTA 2009) has been introduced by the UK Finance Act 2014 that applies to payments made from March 19, 2014 under avoidance schemes involving the transfer of…
Rank this Week: 1705

Business Law Post

Business Law Post

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

http://www.businesslawpost.com
  • Aug 22

    New Seed Financing Documents (500 Startups and Y Combinator)

    New Seed Financing Documents (500 Startups and Y Combinator)
    The startup industry keeps on coming up with new innovative solutions to seed financing.  The latest trend is convertible equity.  Two startup venture funds and incubators, 500 Startups and Y Combinator, recently released their…
  • Aug 22

    Unregistered IPOs of Bitcoin Companies Do Not Go Unnoticed By the SEC

    Unregistered IPOs of Bitcoin Companies Do Not Go Unnoticed By the SEC
    As I previously discussed in my blog here, the SEC does not have a mandate to regulate Bitcoin. Not unless it is used in a securities offering, especially in an unregistered initial public offering conducted over the Internet in violation of…
  • Aug 6

    Crowdfunding Right Now (Fund Model, Broker-Dealer Model, Lending Platforms and Intrastate Offerings)

    Crowdfunding Right Now (Fund Model, Broker-Dealer Model, Lending Platforms and Intrastate Offerings)
    We are still waiting for the SEC to issue final rules with respect to the Title III crowdfunding that will allow the U.S. companies to issue up to $1 million in securities to non-accredited investors through the online funding portals. So,…
Rank this Week: 4747

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 22

    FINRA Charges Newport Coast and Five Brokers with Churning

    FINRA Charges Newport Coast and Five Brokers with Churning
    (Original article can be found here) From the Desk of Jim Eccleston at Eccleston Law Offices: New York-based Newport Coast Securities Inc. and five brokers from the firm allegedly churned customer…
  • Aug 19

    SEC Announces Sweeping Examinations of Brokerage Firm

    SEC Announces Sweeping Examinations of Brokerage Firm
    From the Desk of Jim Eccleston at Eccleston Law Offices: The SEC is planning to examine brokerages in 2015 with a focus on sales of expensive mutual funds as well as problem brokers. Sales of expensive…
  • Aug 19

    Former UBS Broker Pleads Guilty to Ponzi Scheme

    Former UBS Broker Pleads Guilty to Ponzi Scheme
    From the Desk of Jim Eccleston at Eccleston Law Offices: Donna Tucker, a former UBS Wealth Management Americas broker, was charged by the SEC with perpetrating a five-year Ponzi scheme. Tucker began her career…
Rank this Week: 125

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • Aug 22

    What are Knowledgeable Employees?

    What are Knowledgeable Employees?
    The SEC’s Division of Investment Management issued updated guidance regarding the definition of “knowledgeable employees” under Rule 3c-5 of the Investment Company Act of 1940.  See Managed Funds Ass’n, SEC…
  • Aug 21

    Cash Solicitations Allowed Despite Court Bar

    Cash Solicitations Allowed Despite Court Bar
    The SEC’s Division of Investment Management said it will not object if an investment adviser pays a cash fee for the solicitation of advisory clients, although a federal district court injunctive order precluded it.  RBS Sec. Inc.,…
  • Aug 20

    Changes in SEC Enforcement Function

    Changes in SEC Enforcement Function
    Adjustments to the SEC’s enforcement function is enabling it to be more aggressive with individuals and corporations when pursuing allegedly violative behavior. The SEC’s ongoing push to strengthen penalties for wrongdoing…
Rank this Week: 1258

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/
  • Aug 22

    Ninth Circuit Finds No Tag Jurisdiction Over Foreign Corporation

    Ninth Circuit Finds No Tag Jurisdiction Over Foreign Corporation
    When a corporation sends an officer to a conference in California, is the corporation present in California?  A corporation can only act through its officers.  Thus, it might be said that the corporation is present wherever their…
  • Aug 21

    Can A Whistleblower Disclose What Has Already Been Reported?

    Can A Whistleblower Disclose What Has Already Been Reported?
    In California, employees who blow the whistle are protected from retaliation by Labor Code § 1102.5(b) which provides: An employer, or any person acting on behalf of the employer, shall not retaliate against an employee for disclosing…
  • Aug 20

    Indemnification And The Circle Of Litigation

    Indemnification And The Circle Of Litigation
    An employee sues his employer for, among other things, violations of the California Labor Code.  The quondam employer responds with a counterclaim against its erstwhile employee claiming that to the extent it is liable, the employee is…
Rank this Week: 349

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Aug 22

    Brokerage Firm Safeguard Securities and Peter Mooney Sanctioned Over Numerous Supervisory Failure

    Brokerage Firm Safeguard Securities and Peter Mooney Sanctioned Over Numerous Supervisory Failure
    The Financial Industry Regulatory Authority (FINRA) sanctioned brokerage firm Safeguard Securities, Inc. (Safeguard Securities) and broker Peter Mooney (Mooney) concerning allegations that during a FINRA examination of the firm Safeguard…
  • Aug 21

    SEC Releases Alert Warning Investors About Affinity Fraud

    SEC Releases Alert Warning Investors About Affinity Fraud
    The SEC’s Office of Investor Education and Advocacy issued a Investor Alert to help educate and warn investors about the dangers of affinity fraud. Affinity fraud is a common type of securities fraud that preys upon members of a group…
  • Aug 20

    Business Development Companies (BDC) – Investment Risks to Be Aware of – Part II

    Business Development Companies (BDC) – Investment Risks to Be Aware of – Part II
    In our prior post we recently highlighted, the rising popularity of non-traded business development companies (BDCs). BDCs may be one of the latest and greatest products that Wall Street is promoting that will provide outsized yield with less…
Rank this Week: 572

The Race to the Bottom

The Race to the Bottom

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

http://www.theracetothebottom.org/
  • Aug 22

    Teaching Securities in Law School (Part 2)

    Teaching Securities in Law School (Part 2)
    So what can be done differently in a securities class?   Obviously, a class as broad as securities can be taught in an infinite number of ways.  My class has always had a section on market structure (mostly discussing the role of…
  • Aug 21

    Teaching Securities in Law School (Part 1)

    Teaching Securities in Law School (Part 1)
    The new semester has started at the University of Denver Sturm College of Law and I am, among other things, teaching a basic securities class. If I compare what I am teaching this semester with what I taught in say the 1990s, the classes are…
  • Aug 19

    History Repeating Itself: Microcap Fraud and Tertiary Player

    History Repeating Itself: Microcap Fraud and Tertiary Player
    According to the WSJ, the SEC is looking into microcap fraud. Microcap fraud typically involves a dishonest broker (someone has to facilitate the sale of the shares) and often a dishonest company (someone has to tell the market a false…
Rank this Week: 65

Business Blog

Business Blog

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

http://www.businesslawnews.com/
  • Aug 22

    Do a CEO’s Marital Woes Belong in the Boardroom?

    Do a CEO’s Marital Woes Belong in the Boardroom?
    In today’s fast-paced digital news environment, very little is off limits, and stories can spread like wildfire. The Donald Sterling saga is just one recent example. While interest in the actions of a company’s chief executive…
  • Aug 21

    Executive Order Puts Mandatory Arbitration Provisions Back in the Spotlight

    Executive Order Puts Mandatory Arbitration Provisions Back in the Spotlight
    President Barak Obama recently issued an executive order that restricts the use of mandatory arbitration provisions by federal contractors. The move is likely to reignite the debate over the continued use of such provisions in a number of…
  • Aug 20

    Mums the Word: The Power of Silence in Contract Negotiation

    Mums the Word: The Power of Silence in Contract Negotiation
    When negotiating a key business contract, sometimes what you don’t say can be just as powerful as what you do. In fact, silence is one of the simplest yet most frequently overlooked contract negotiation strategies. In today’s…
Rank this Week: 4064

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Aug 22

    Shareholder Proposals: 10 Things About NY Times’ “Gadflies” Column

    Shareholder Proposals: 10 Things About NY Times’ “Gadflies” Column
    A few days ago, the NY Times ran this DealBook column – “Grappling With the Cost of Corporate Gadflies” – by Professor Steven Davidoff Solomon. Here are 10 thoughts that I had right off the bat: 1. Never Use the Loaded…
  • Aug 21

    PCAOB: Staff’s Concept Paper on Accounting Estimates & Fair Value

    PCAOB: Staff&rsquo;s Concept Paper on Accounting Estimates &amp; Fair Value
    A few days ago, the PCAOB issued this 47-page “Staff Consultation Paper” about accounting estimates and fair value measurements. What is a “Staff Consultation Paper”? It appears to be similar to the SEC’s concept…
  • Aug 20

    Profanity in SEC Filings? Yes, It Happen

    Profanity in SEC Filings? Yes, It Happen
    Have you ever wanted to swear when drafting disclosure? I have. So exactly when is it acceptable to write f%ck&ng a$$h@le in a prospectus? Perhaps when you are offering shares to raise production funds for a particular type of feature…
Rank this Week: 682

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 22

    Guest Post: The Director Risks Posed by a UK Subsidiary

    Guest Post: The Director Risks Posed by a UK Subsidiary
    Because I am based in the United States and because my experience has been concentrated in the U.S., my focus in this blog has primarily been on issues and developments in the U.S. — although I do enjoy the occasional opportunity to…
  • Aug 19

    Another Environmental Disclosures Securities Suit Survives Initial Pleading Hurdle

    Another Environmental Disclosures Securities Suit Survives Initial Pleading Hurdle
    In recent months, there have been a number of securities class action lawsuits filed based on alleged misrepresentations of the defendant company’s environmental compliance. On August 7, 2014, the securities suit filed against Exide…
  • Aug 18

    Dodd-Frank Anti-Retaliation Provisions Do Not Protect Overseas Whistleblower

    Dodd-Frank Anti-Retaliation Provisions Do Not Protect Overseas Whistleblower
    In the latest fiscal year report of the SEC Office of the Whistleblower, the agency reported that as of the end of the 2013 fiscal year it had received  a total of 6,573 whistleblower reports since the the Dodd-Frank whistleblower…
Rank this Week: 646

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Aug 21

    No Bright Line

    No Bright Line
    In its Morrison decision, the U.S. Supreme Court addressed the extraterritorial application of Section 10(b) and held that the statute only applies to "transactions in securities listed on our domestic exchanges, and domestic…
  • Aug 15

    Cornerstone Releases Midyear Report

    Cornerstone Releases Midyear Report
    Cornerstone Research (in conjunction with the Stanford Securities Class Action Clearinghouse) has released its 2014 midyear report on federal securities class action filings. The findings for the first half of 2014 include: (1) There were 78…
  • Jul 25

    Too Tangential

    Too Tangential
    In its recent Chadbourne decision, the U.S. Supreme Court held that to be "in connection with" the purchase or sale of a security, an alleged securities fraud must involve "victims who took, who tried to take, who divested…
Rank this Week: 1591

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: 2778

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/
  • Aug 21

    The #ALSIceBucketChallenge

    The #ALSIceBucketChallenge
    I was challenged to the ALS Ice Bucket Challenge last night by some family members, who I thought loved me. It's all good - and it's all for a good cause, to raise awareness, and funds, to help fight ALS....
  • Aug 21

    Investor Alert Roundup

    Investor Alert Roundup
    Some investor alerts have been in the news lately, including those recently issued, and those re-issued to warn folks of continuing threats or issues as seen by the regulators. Here's a few: FINRA Investor Alert: Viral Disease Stock Scams.…
  • Aug 8

    The Power of Connections: Finding Good Advisors for your Busine

    The Power of Connections: Finding Good Advisors for your Busine
    I had lunch today with a new friend who has recently left a career in the corporate world and started his own business. Though quite an experienced and knowledgeable guy, he's new to running his own business, and, while looking...
Rank this Week: 1357

Ponzitracker

Ponzitracker

Covers Ponzi schemes. By Jordan Maglich.

http://www.ponzitracker.com/
  • Aug 21

    Ponzi Schemes Remain Prevalent In 2014; Over $1 Billion In New Schemes Uncovered

    Ponzi Schemes Remain Prevalent In 2014; Over $1 Billion In New Schemes Uncovered
    Nearly six years after the word "Ponzi scheme" became a household name thanks to Bernard Madoff, Ponzi schemes continue to proliferate and leave a trail of financial destruction in their wake as demonstrated by newly-compiled data showing…
  • Aug 20

    Former Attorney Gets 10-Year Sentence For $4 Million Ponzi Scheme

    Former Attorney Gets 10-Year Sentence For $4 Million Ponzi Scheme
    A now-disbarred Minnesota attorney who swindled victims out of more than $4 million in an elaborate Ponzi scheme was sentenced to serve 10 years in federal prison.  Mark Holt, 45, received the sentence from U.S. District Judge Susan…
  • Aug 20

    California Men Sentenced For $5 Million Real Estate Ponzi Scheme

    California Men Sentenced For $5 Million Real Estate Ponzi Scheme
    Two California men will each serve at least a decade in prison for operating a real estate Ponzi scheme that duped victims out of nearly $5 million.  Terrance Brown, of San Jose, California, and Antranik Kabajouzian, of Morgan City,…
Rank this Week: 985

Cady Bar the Door

Cady Bar the Door

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

http://www.secmiscellany.com
  • Aug 20

    Unregistered Brokers: Watch out for Shortcut

    Unregistered Brokers: Watch out for Shortcut
    One of the things I’ve learned since returning to private practice three years ago is that people like to raise money for profitable enterprises when they can.  And why not?  It can be lucrative.  And if the people…
  • Jul 28

    Guns and More Guns: SEC Hits Smith & Wesson for FCPA Violation

    Guns and More Guns: SEC Hits Smith &amp; Wesson for FCPA Violation
    One thing the SEC likes to do is bring cases with a lot of deterrent value.  That is, cases that it hopes will scare other people and companies into complying with the law.  Often that means cases with large price tags…
  • Jul 20

    Foreign Pink Sheets Companies and the FCPA

    Foreign Pink Sheets Companies and the FCPA
    Penny stock companies have been much in the news recently.  They can be tough entities for law enforcement to look into given that their officers and directors are often not inclined to cooperate with government investigations. …
Rank this Week: 1558

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/
  • Aug 20

    SEC Examines Municipal Advisers and Alternative Mutual Funds, Reviews “Wrap-Fee” Account

    SEC Examines Municipal Advisers and Alternative Mutual Funds, Reviews “Wrap-Fee” Account
    The Securities and Exchange Commission introduced a two-year plan to examine municipal advisers who assist localities and states to raise money in the $3.7 trillion municipal bond market. During this period, regulators plan to look at a…
  • Aug 19

    FINRA Investor Alert Warns About Scams Touting Ebola Cure and Other Viral Disease Stock Scheme

    FINRA Investor Alert Warns About Scams Touting Ebola Cure and Other Viral Disease Stock Scheme
    The Financial Industry Regulatory Authority has put out an investor alert warning against buying stocks in companies claiming to combat viral diseases. The self-regulatory organization says it knows of several possible schemes involving stock…
  • Aug 18

    SEC Files Charges in $4.5M Houston-Based Pump-and-Dump Scam

    SEC Files Charges in $4.5M Houston-Based Pump-and-Dump Scam
    The SEC has filed charges against Chimera Energy, a Houston-based penny stock scam, and four individuals for their purported involvement in a pump-and-dump scam that made over $4.5 million in illicit proceeds. Investors were led to believe…
Rank this Week: 170

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Aug 20

    Buffalo Financial Advisor Raymond Clark Suspended

    Buffalo Financial Advisor Raymond Clark Suspended
    On August 5, 2014, the Financial Industry Regulatory Authority, or FINRA, announced that it was suspending Financial Advisor Raymond Clark.   Raymond Clark is a broker associated with Dynasty Capital Partners in Buffalo, New…
  • Aug 19

    Woodstock Financial Group Broker Daniel Barthold Suspended

    Woodstock Financial Group Broker Daniel Barthold Suspended
    On August 14, 2014, FINRA, or the Financial Industry Regulatory Authority, announced the suspension of Daniel Barthold.  Daniel Barthold is a broker associated with Woodstock Financial Group. He has been associated with Woodstock since…
  • Aug 18

    Investigation: Former Clients of Michael Zukowski

    Investigation: Former Clients of Michael Zukowski
    Fitapelli Kurta is investigating customer complaints against Michael Zukowski, who was formerly associated with Wall Street Financial Group and RBC Capital Markets in Massachusetts. In November, 2010, RBC Capital Markets permitted Michael…
Rank this Week: 702

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 20

    M&A: Bankruptcy-Proofing a License

    M&amp;A: Bankruptcy-Proofing a License
    In this video, Jeff Bell of Morrison & Foerster uses an IP portfolio as an example when explaining how to make that acquisition more valuable by insuring financial stability and lowering the risk of insolvency.
  • Aug 19

    U.S. Mid Year Activism Review: Slow Start, Big Finish

    U.S. Mid Year Activism Review: Slow Start, Big Finish
    From ISS: The resurgence in proxy contest activism that began in 2012 appeared to have stalled by Q1 of 2014 when only two contested situations went to a shareholder vote, compared to eight in the first quarter of 2013. Both of these…
  • Aug 14

    Strine Wears New Robes: News at 11

    Strine Wears New Robes: News at 11
    I chuckled to see this article from DelawareOnline about the new style of judicial robe that Chief Justice Strine is rocking. Legal fashion is in baby! Justice of a different stripe?
Rank this Week: 1595

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 19

    Venture Capital Term Sheet Negotiation — Part 13: Drag-Along Right

    Venture Capital Term Sheet Negotiation — Part 13: Drag-Along Right
    This post is the thirteenth in a series giving practical advice to startups with respect to understanding and negotiating a venture capital term sheet. In the prior twelve posts, we provided an introduction to negotiation of the…
  • Jul 7

    Venture Capital Term Sheet Negotiation — Part 12: Preemptive Right

    Venture Capital Term Sheet Negotiation — Part 12: Preemptive Right
    This post is the twelfth in a series giving practical advice to startups with respect to understanding and negotiating a venture capital term sheet. In the prior eleven posts, we provided an introduction to negotiation of…
  • Jun 30

    Is it time for the JOBS Act, Part Two?

    Is it time for the JOBS Act, Part Two?
    When the JOBS Act was passed, a lot of people hoped that it would de-regulate startup finance, resulting in a boom of new startups being funded.  Through repealing the ban on general solicitation, allowing online angel investment…
Rank this Week: 3388

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: 2154

TRACE Blog

TRACE Blog

Covers anti-bribery compliance.

http://traceblog.org/
  • Aug 19

    The Role of Academia in Anti-Corruption Collective Action

    The Role of Academia in Anti-Corruption Collective Action
    Last week TRACE joined leading anti-corruption experts and academics from all over the world in Vienna, Austria to discuss effective teaching and pedagogy in anti-corruption studies within institutions of higher learning. The workshop, which…
  • Aug 11

    Demystifying Anti-Bribery Certification

    Demystifying Anti-Bribery Certification
    Over the past few weeks, we here at TRACEblog have noticed a few interesting critiques of anti-bribery certifications. Harvard Law Professor Matthew Stephenson writes on his blog that he holds “a fair amount of skepticism”…
  • Aug 6

    Research Call for Case Studies to Advance Third Party Due Diligence

    Research Call for Case Studies to Advance Third Party Due Diligence
    Until now, if ten companies all work with the same ten distributors, these relationships generated a total of 100 due diligence reports.   Each company paid ten times and each distributor completed ten labor-intensive…
Rank this Week: 3185

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/
  • Aug 18

    Chu on Credit Rating

    Chu on Credit Rating
    Chenghuan Sean Chu has posted Empirical Analysis of Credit Ratings Inflation as a Game of Incomplete Information on SSRN with the following abstract: This paper models competition among credit rating agencies as an auction. Equilibrium…
  • Aug 18

    Rapp on the Office of Market Intelligence

    Rapp on the Office of Market Intelligence
    Geoffrey Christopher Rapp has posted Intelligence Design: An Analysis of the SEC's New Office of Market Intelligence and its Goal of Using Big Data to Improve Securities Enforcement on SSRN with the following abstract: This contribution to…
  • Aug 18

    NASAA Annual Conference to Focus on Meeting Tomorrow’s Challenges Today

    NASAA Annual Conference to Focus on Meeting Tomorrow’s Challenges Today
    Details available here.
Rank this Week: 186

Stock Attorneys Blog

Stock Attorneys Blog

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

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

    LPL Financial Fraught with Allegations of Supervisory Failure

    LPL Financial Fraught with Allegations of Supervisory Failure
    Advisor Independence Achilles Heel for Gigantic Investment Organization LPL Financial is one of the nation’s largest broker/dealer investment firms, yet it is not an investment firm in the traditional sense. Whereas most investment…
  • Aug 12

    Total Wealth Management Sanctions Kickback

    Total Wealth Management Sanctions Kickback
    Top Executives Foster Flagrant Fraud Practices It goes without saying that there is a lot of money to be made in the investment industry. Even when investment firms and advisors follow the rules that govern the industry, they stand to earn…
  • Aug 4

    U.S. Attorney’s Office Files Parallel Action in Response to Previous CFTC Fraud Charge

    U.S. Attorney’s Office Files Parallel Action in Response to Previous CFTC Fraud Charge
    The types of investments that one can invest in are nearly as diverse as the brokers who trade them and the investors who invest in them. One such investment practice is commodity futures pools. This type of investment is a private…
Rank this Week: 1270

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
  • Aug 18

    The Gov. Rick Perry Indictment: Another Weak Case that Shouldn’t Have Been Charged

    The Gov. Rick Perry Indictment: Another Weak Case that Shouldn’t Have Been Charged
    The news outlets exploded this weekend with commentary on the Gov. Rick Perry indictment, and the criticism was fast and swift to deem it a very weak case. On Friday, Perry was indicted on two felony counts that arose from … Continue…
  • Aug 14

    Federal Lawsuit Highlights Powerful Civil Forfeiture Tool

    Federal Lawsuit Highlights Powerful Civil Forfeiture Tool
    This post was co-authored by White Collar Alert contributor, Erin Dougherty. In a federal complaint filed on Monday, three Philadelphia homeowners whose homes have been targeted for state civil forfeiture have sued the city of Philadelphia,…
  • Aug 6

    Public Officials: Don’t Drive the Ferrari and Don’t Take the Rolex

    Public Officials: Don’t Drive the Ferrari and Don’t Take the Rolex
    Whether or not prosecutors will prove the 14 count indictment against former Governor Bob McDonnell of Virginia and his wife, Maureen, remains to be seen. The public corruption trial is currently into the second week, and the New York Times…
Rank this Week: 1418

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 18

    Bob Lamm joins The Securities Edge (and returns to Gunster)

    Bob Lamm joins The Securities Edge (and returns to Gunster)
    Posted By: David C. Scileppi The Securities Edge is excited to announce a new blogger to the fold: Bob Lamm!  After a 12-year “hiatus”, Bob has rejoined Gunster.   Bob is widely considered a national…
  • Aug 17

    Trying to save its own neck? ISS works to assure “data integrity”

    Trying to save its own neck? ISS works to assure “data integrity”
    Posted By: David C. Scileppi On Thursday, Institutional Shareholder Services Inc. (ISS) announced the launch of a new data verification portal to be used for equity-based compensation plans that U.S. companies submit for approval by their…
  • Jul 30

    Delaware vs Florida: Where should you incorporate?

    Delaware vs Florida: Where should you incorporate?
    Posted By: Gustav L. Schmidt There is an attraction for companies to incorporate in Delaware, likely due to the abundance of well-known publicly traded corporations that have chosen to incorporate there. However, it is not necessarily true…
Rank this Week: 1235

Footnoted

Footnoted

Reports on actionable information in SEC filings.

http://www.footnoted.com/
  • Aug 18

    From $1 to $675K for new LA Times chief!

    From $1 to $675K for new LA Times chief!
    When the LA Times named a new publisher and CEO last week, it was widely noted that he once took a $1 salary. Not anymore.
  • Aug 13

    EZCorp: The gift that keeps on giving

    EZCorp: The gift that keeps on giving
    Some companies filings are gifts that keep on giving. Take pawn shop company EZCORP for example.
  • Aug 7

    Walgreen’s CFOs: coming and going

    Walgreen’s CFOs: coming and going
    Lots of news out of Walgreens lately, but we still found details in an 8-K that haven't received much coverage.
Rank this Week: 2590

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

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

    FINRA Cautions Investors on Viral Disease Stock Scam

    FINRA Cautions Investors on Viral Disease Stock Scam
    FINRA recently issued an Investor Alert, "Viral Disease Stock Scams: Don't Let Them Infect Your Portfolio." In the Alert, FINRA warns that dramatic news stories viral outbreaks, such as Ebola and Middle Eastern Respiratory Syndrome ("MERS"),…
  • Aug 15

    Sonn|Erez Investigating Claims Involving Paul Gerard Chiampa

    Sonn|Erez Investigating Claims Involving Paul Gerard Chiampa
    Sonn|Erez is investigating claims regarding Paul Gerard Chiampa (CRD #1133609, East Longmeadow, Massachusetts). Chiampa recently entered into a Letter of Acceptance, Waiver, and Consent ("AWC") in which he was fined $7,500 and suspended from…
  • Jul 27

    SEC Approves FINRA Rule to Prohibit Conditioning Settlements on Expungement

    SEC Approves FINRA Rule to Prohibit Conditioning Settlements on Expungement
    The Securities and Exchange Commission recently approved the implementation of FINRa Rule 2081, which prohibits brokers from making settlements of customer disputes contingent on the claimant's agreement not to oppose expungement of the…
Rank this Week: 800

New York Securities Lawyers Blog

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

http://www.newyorksecuritieslawyersblog.com/
  • Aug 15

    Are Some Customers Paying Too Much In Fees? The SEC Cracks Down on Linkbroker

    Are Some Customers Paying Too Much In Fees? The SEC Cracks Down on Linkbroker
    "Is my stockbroker charging me too much in commissions and fees?" This is a common question many investors frequently have. Unfortunately, all too often, the answer to this question is "Yes." In fact, just yesterday, the SEC announced…
  • Aug 1

    Are We Coming Up On A "Sweet Spot" for SEC Whistleblowers?

    Are We Coming Up On A "Sweet Spot" for SEC Whistleblowers?
    In only three years, the Dodd-Frank whistleblower program, which promises cash rewards for those whose tips lead to a successful investigation by the SEC, has yielded more than 6,500 tips according to a recent article in the Wall Street…
  • May 9

    Bitcoin Update: Alerts and Guidance Issued by the SEC, FINRA and IRS

    Bitcoin Update: Alerts and Guidance Issued by the SEC, FINRA and IRS
    It's Buyer Beware, according to guidance and alerts issued recently by the SEC, FINRA and IRS concerning risks inherent in Bitcoin. Bitcoin is described by all three offices as a decentralized, peer-to-peer virtual currency that can be used…
Rank this Week: 3636

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/
  • Aug 15

    Lauren Bacall and The Big Sleep: Noir Film, White Collar, Cocktail

    Lauren Bacall and The Big Sleep: Noir Film, White Collar, Cocktail
    The recent outpouring of remembrances of and praise for the late comedian and actor Robin Williams is understandable and commendable, but the deluge seems to have somewhat submerged most thoughtful notice of the passing of Lauren Bacall this…
  • Aug 14

    Liz and Literacy

    Liz and Literacy
    This note is not about white-collar crime.  It’s something much better.  The story of my colleague, Liz Huntley:  
  • Aug 12

    Would You Buy A Subpoena Response From This Man?

    Would You Buy A Subpoena Response From This Man?
    Always pay attention when the Department of Justice becomes enthusiastic about a long-neglected statute.  (The federal False Claims Act was dormant for almost a century).  Here is a sound, short article by Professor Peter J.…
Rank this Week: 2802

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/
Rank this Week: 3197

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 15

    Stockbroker Wins Expungement Of 1990 Customer Complaint

    Stockbroker Wins Expungement Of 1990 Customer Complaint
    In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in January 2014, registered person Claimant Harmon sought $50 in compensatory damages and the expungement of a 1990 customer complaint from…
  • Aug 15

    Stockbroker U5 Defamation And Wrongful Termination Case Backfire

    Stockbroker U5 Defamation And Wrongful Termination Case Backfire
    In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in January 2013, registered person Claimant Jeffords alleged: breaches of contract and the covenant of good faith and fair…
  • Aug 13

    Hack Attack Hits UBS

    Hack Attack Hits UBS
    I keep writing about fraudulent wire disbursements in the apparently misguided hope that someone will read my warnings and avoid a career catastrophe. Notwithstanding my best efforts, the reports of violations roll in. Consider this recent…
Rank this Week: 752

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/
  • Aug 14

    Mark Your Calendar For October 1st For Changes To The Business Court

    Mark Your Calendar For October 1st For Changes To The Business Court
    If you litigate cases in the NC Business Court, mark your calendar for October 1st.  That's when the General Assembly's "modernization" of the Business Court is due to become effective.  The bill containing these changes was signed…
  • Aug 12

    Can You Get A Ruling From A Superior Court Judge After Your Case Is Designated To The Business Court?

    Can You Get A Ruling From A Superior Court Judge After Your Case Is Designated To The Business Court?
    If you've been reading this blog for a while, you know that once a case is in the Business Court, it is in there forever, even if the issues that justified it being there in the first place are subsequently resolved.  But when does the…
  • Jul 18

    An Important Tip On Appealing A Decision From The NC Business Court

    An Important Tip On Appealing A Decision From The NC Business Court
    The Business Court is electronic.  Paper copies of documents are not filed with the Business Court.  So when you e-file a Notice of Appeal, is that sufficient for purposes of Rule 3 of the NC Rules of Appellate Procedure? Let's look…
Rank this Week: 830

Tim O'Connor's Blog

Tim O'Connor's Blog

Covers stockbroker fraud.

http://stockbrokerlaw.com/tim-oconnors-blog
  • Aug 12

    ERISA Plan Trustees Subject to Offsets for Prohibited Transactions as Functional Fiduciarie

    ERISA Plan Trustees Subject to Offsets for Prohibited Transactions as Functional Fiduciarie
    ERISA-Qualified Pension Plans The past decade has seen an explosion of new investment products being purchased in ERISA-qualified pension plans. These products, including structured products, auction rate notes, private placements, managed…
  • Jul 31

    Tenants-in-Common Investments: An Accident Waiting to Happen

    Tenants-in-Common Investments: An Accident Waiting to Happen
    The most common form of tenancy-in-common interests involves ownership interests in real property, with two or more persons possessing undivided interests in the property. Section 1031 of the Internal Revenue Code codified permissible…
  • Jul 21

    New York State Deferred Compensation Plan Beneficiary Designation

    New York State Deferred Compensation Plan Beneficiary Designation
    The New York State Deferred Compensation Plan is presently administered through Nationwide, and curiously, beneficiary designation forms must be mailed to an address in Ohio, not New York State. The New York State Deferred Compensation Plan…
Rank this Week: 1578

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
  • Aug 12

    How to file a UBS Puerto Rico fund lawsuit?

    How to file a UBS Puerto Rico fund lawsuit?
    Losing your life savings because of unsuitable investment advice by your financial advisor can leave you feeling helpless and wondering where to turn. You want answers and justice. A UBS Puerto Rico fund lawsuit may be able to give you both.…
  • Jul 21

    Bond Prices Plummet for Puerto Rico Power Authority

    Bond Prices Plummet for Puerto Rico Power Authority
    Puerto Rico's power authority bonds dropped from trading at around 55 cents on the dollar to 45 cents on the dollar by the end of June as investors worry about the agency's inability to pay off its bonds and bank loans. The power authority is…
  • Jul 16

    Disciplinary Action Against BlackRock Advisors Recommended by SEC

    Disciplinary Action Against BlackRock Advisors Recommended by SEC
    The Securities and Exchange Commission (SEC) has recommend disciplinary action for possible securities violations, including the failure to disclose conflicts of interest, by BlackRock Advisors.
Rank this Week: 1500

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • Aug 12

    Does your Investment Adviser Firm Have a Social Media Policy?

    Does your Investment Adviser Firm Have a Social Media Policy?
    Social media such as Facebook, Twitter, LinkedIn, or blogs have become popular mechanisms for companies to communicate with the public. Social media allows companies to communicate with clients and prospective clients, market their services,…
  • Aug 1

    Who has the Right to Enforce Your Promissory Note?

    Who has the Right to Enforce Your Promissory Note?
    A customary practice in the securities industry is for financial advisors to receive a transition bonus above and beyond an advisor’s standard commission compensation upon joining to a new firm. The bonus amount is usually determined…
  • Jul 29

    Calculating Breach of Fiduciary Duty Damage

    Calculating Breach of Fiduciary Duty Damage
    According to a variety of authorities including the SEC, the much-debated fiduciary duty for registered investment advisers and their representatives includes a subset of responsibilities[1].  Common sense would, or should tell you that…
Rank this Week: 1492

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

http://www.hedgefundlawblog.com
  • Aug 6

    NFA Action Against Firm for Inadequate 1101 Investigation

    NFA Action Against Firm for Inadequate 1101 Investigation
    Doing Business with Non-Members – NFA Action Raises Compliance Questions Under NFA Bylaw 1101, NFA members are restricted from doing business with individuals or entities that should be, but are not, registered with the CFTC and members…
  • Aug 1

    Hedge Fund Events August 2014

    Hedge Fund Events August 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. **** August 4-5, 2014 Sponsor: InVida Events Event: Ship Energy Management in Practice Location:…
  • Jul 18

    New IA Rules in Washington State

    New IA Rules in Washington State
    Amendments to Investment Adviser Rules in Washington State Washington State Department of Financial Institutions has amended the rules governing the registration and activities of investment advisers set forth in Chapter 460-24A WAC.…
Rank this Week: 756

White Collar Fraud

White Collar Fraud

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

http://whitecollarfraud.blogspot.com/
  • Aug 4

    Why Nu Skin Must Come Clean on Troubling Inventory Red Flag

    Why Nu Skin Must Come Clean on Troubling Inventory Red Flag
    Co-authored by Sam E. Antar and Zachary PrenskyThis coming Wednesday morning, Utah based multi-level marketing company Nu Skin Enterprises (NYSE: NUS) is scheduled to report its second quarter earnings. In its Q1 2014 10-Q report issued in…
  • Jul 22

    Do Nu Skin Inventory Red Flags Spell Trouble Ahead?

    Do Nu Skin Inventory Red Flags Spell Trouble Ahead?
    Last Friday morning, a comment posted on Twitter by Marc Cohodes about Nu Skin Enterprises (NYSE: NUS), a Utah based multi-level marketing company, caught my curiosity. Cohodes is a legendary short-seller with an excellent track record and…
  • Jul 16

    Indicted Former Utah Attorney General Mark Shurtleff was bribed by Overstock.com too

    Indicted Former Utah Attorney General Mark Shurtleff was bribed by Overstock.com too
    My experience in dealing with former Utah Attorney General Mark Shurtleff goes way back. On October 30, 2007, Overstock.com (NASDAQ: OSTK) paid him $5,000 purportedly as a "campaign contribution." Two weeks later, Overstock.com issued a press…
Rank this Week: 1926

InvestorLawyers.net

InvestorLawyers.net

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

http://www.investorlawyers.net/blog/
  • Jul 30

    New York Brokerage Firm Newport Coast Securities, Representatives Charged with $1 Million Churning Violation

    New York Brokerage Firm Newport Coast Securities, Representatives Charged with $1 Million Churning Violation
    FINRA has filed charges against five stockbrokers formerly employed by Newport Coast Securities Inc., as well as the firm itself and two supervisors, alleging that the firm excessively traded customer accounts for the purpose of generating…
  • Jun 23

    Investor Files FINRA Arbitration Claim Against First Allied Regarding Private Equitie

    Investor Files FINRA Arbitration Claim Against First Allied Regarding Private Equitie
    Stockbroker arbitration lawyers are looking into accusations made against First Allied Securities, Inc. and broker Rami Yahalom regarding risky investments in AE Luxtera Investments II, LLC, a private technology start-up company. According to…
  • Jun 18

    FINRA Bars Wade James Lawrence from Financial Industry

    FINRA Bars Wade James Lawrence from Financial Industry
    Recently, Wade James Lawrence was barred from the financial industry by the Financial Industry Regulatory Authority (FINRA). Investors’ rights lawyers are exploring accusations made against Lawrence regarding misappropriation of funds…
Rank this Week: 868