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Securities Lawyer 101

Securities Lawyer 101

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

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

    Going Public Blog l Securities Lawyer 101

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

    Going Public Blog l Securities Lawyer 101

    Going Public Blog l Securities Lawyer 101
      Securities Lawyer 101 Blog Going public is a big step for any company.  The process of “going public” is complex and at times precarious.  While going public offers many benefits it also comes with risks and…
  • Jan 23

    SEC Final Judgment Entered Against Graduate Leverage

    SEC Final Judgment Entered Against Graduate Leverage
    Going Public LawyerOn December 23, 2016, the United States District Court for the District of Massachusetts entered final judgments against Graduate Leverage, LLC, GL Capital Partners, LLC, GL Investment Services, LLC, Taft Financial…
Rank this Week: 661

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Mar 28

    David Page Has Received Two Customer Complaint

    David Page Has Received Two Customer Complaint
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on March 27, 2017 indicate that former New York-based PHX Financial broker David Page has been the subject of customer disputes and is currently not…
  • Mar 28

    Anthony Mediate: Two Regulatory Sanction

    Anthony Mediate: Two Regulatory Sanction
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on March 27, 2017 indicate that former New York-based Legend Securities broker has been the subject of several resolved or pending customer disputes…
  • Mar 28

    Donald Wojnowski Has Received Five Customer Complaint

    Donald Wojnowski Has Received Five Customer Complaint
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on March 27, 2017 indicate that New York-based Paulson Investment Company broker/adviser Donald Wojnowski has been the subject of several customer…
Rank this Week: 55

The White Law Group's Securities…

The White Law Group's Securities Fraud Blog

Covers securities fraud cases, investment fraud practices and securities industry regulations.

http://www.whitesecuritieslaw.com/securities-fraud/blog/
  • Mar 28

    Benefit Street Partners Realty Trust Secondary Market Offer

    Benefit Street Partners Realty Trust Secondary Market Offer
    Recovery of Investment Losses in Benefit Street Partners Realty Trust Have you suffered losses investing in Benefit Street Partners Realty Trust? If so, The White Law Group may be able to help by filing a FINRA Resolution claim…
  • Mar 28

    CNL Lifestyle Properties Sale & Liquidation

    CNL Lifestyle Properties Sale & Liquidation
    Recovery of Investment Losses in CNL Lifestyle Properties Have you suffered losses investing in CNL Lifestyle Properties? If so, The White Law Group may be able to help you by filing a FINRA Arbitration claim against the brokerage firm that…
  • Mar 27

    Cervino & Kahn Found Guilty in $15 Million VGTel Scheme

    Cervino & Kahn Found Guilty in $15 Million VGTel Scheme
    Recovery of Investment Losses in VGTel According to Investment News, broker Christopher Cervino of Franklin Lakes, N.J., and Sheik F. Kahn, a registered investment adviser in Las Vegas, NV, have been found guilty of securities fraud by a…
Rank this Week: 48

Securities Law Attorneys Blog

Securities Law Attorneys Blog

Covers securities law. By Fitapelli | Kurta.

http://www.securitieslawattorneys.net/
  • Mar 28

    Minish Hede: Received a Customer Complaint

    Minish Hede: Received a Customer Complaint
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on March 27, 2017 indicate that New York-based Paulson Investment Company broker Minish Hede, also known as Joe Hede, has been the subject of a…
  • Mar 28

    Laura Stees: Received Three Customer Complaint

    Laura Stees: Received Three Customer Complaint
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on March 27, 2017 indicate that California-based Woodbury Financial Services broker/adviser Laura Stees has been the subject of several customer…
  • Mar 28

    James Pecoraro Issued a 30 Day Suspension and a Fine

    James Pecoraro Issued a 30 Day Suspension and a Fine
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on March 27, 2017 indicate that New York-based Salomon Whitney Financial broker James Pecoraro has been the subject of numerous customer disputes and…
Rank this Week: 1099

Canadian Securities Law Online

Canadian Securities Law Online

Covers Canadian securities law topics, including disclosures, corporate governance, mergers, registration and compliance. By Stikeman Elliott.

http://www.canadiansecuritieslaw.com/
  • Mar 28

    OSC publishes draft 2017-2018 statement of prioritie

    OSC publishes draft 2017-2018 statement of prioritie
    The Ontario Securities Commission (OSC) will seek opportunities to reduce the regulatory burden on market participants while maintaining investor protections as one of the 14 priority areas further described in the OSC’s draft Statement…
  • Mar 24

    Climate change disclosure gets its day in the sun

    Climate change disclosure gets its day in the sun
    The Canadian Securities Administrators will review TSX-listed issuers’ disclosure of the material risks and financial impacts associated with climate change and related governance processes as part of a disclosure review project…
  • Mar 20

    TSX publishes guidance on advance notice policie

    TSX publishes guidance on advance notice policie
    The Toronto Stock Exchange (TSX) has reviewed 25 randomly selected advance notice policies adopted by TSX-listed issuers and has identified a number of its concerns in a Staff Notice published on March 9, 2017. The Staff Notice acknowledges…
Rank this Week: 4281

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/
  • Mar 28

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: Robert B. Ahdieh, Notes from the Border: Writing Across the Administrative Law/Financial Regulation Divide, 66 J. Legal Educ. 64 (2016).…
  • Mar 28

    Call for Participants: Proposed AALS Discussion Group - A New Era for Business Regulation?

    Call for Participants: Proposed AALS Discussion Group - A New Era for Business Regulation?
    Proposed Discussion Group A New Era for Business Regulation? Joan MacLeod Heminway, The University of Tennessee College of Law Anne Tucker, Georgia State University College of Law 2018 AALS Annual Meeting San Diego, CA January 3-6, 2018 This…
  • Feb 27

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: John P. Anderson, When Does Corporate Criminal Liability for Insider Trading Make Sense?, 46 Stetson L. Rev. 147 (2016). Maria Babajanian,…
Rank this Week: 130

Investment Fraud Information

Investment Fraud Information

By Andrew Stoltmann.

http://www.investmentfraudtimes.com/securities-fraud-attorneys/
  • Mar 28

    Former UBS Broker Allegedly Fired For Whistleblowing

    Former UBS Broker Allegedly Fired For Whistleblowing
    Craig D. Price, a former broker at UBS Financial Services, filed a wrongful termination whistleblowing lawsuit against UBS in federal court on Monday. Price claims he was fired for his cooperation in investigations of elder abuse against…
  • Mar 28

    Losses With Investment Professionals?

    Losses With Investment Professionals?
    Did you sustain losses with Investment Professionals? William F. Galvin of the Massachusetts Securities Division ordered Investment Professionals to pay a $100,000 fine and offered restitution to four senior citizens who were allegedly sold…
  • Mar 28

    For Students Of Ashworth College

    For Students Of Ashworth College
    If you were a student at Ashworth College, you may be entitled to recover some of your money. Ashworth College has agreed to settle Federal Trade Commission (FTC) charges that it misrepresented to students that they would receive training and…
Rank this Week: 939

Strictly Business

Strictly Business

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

http://www.strictlybusinesslawblog.com/
  • Mar 28

    Guide to Starting a Hedge Fund

    Guide to Starting a Hedge Fund
    As an investment manager looking into starting a hedge fund, you know that a successful launch is critical to standing out in the increasingly competitive investment management business. If you want to attract capital from the right…
  • Mar 15

    Understanding the Common Investment Structures for a Seed or Angel Round

    Understanding the Common Investment Structures for a Seed or Angel Round
    I’ve previously written about the steps that startups and emerging companies need to take to prepare for an angel or seed round, one of which is becoming familiar with the popular investment structures that are available. With the…
  • Feb 15

    Legal Considerations for Selling Your Emerging Growth Company Part 7: The Closing

    Legal Considerations for Selling Your Emerging Growth Company Part 7: The Closing
    We’ve come to the end of our 7-part series on selling an emerging growth company, and now it’s time to seal the deal. The closing is the crucial final step in the sale, where ownership of your company officially changes hands. The…
Rank this Week: 1245

Financial Counsel

Financial Counsel

Covers compliance, employment and industry intelligence for investment professionals and investment, planning and regulatory intelligence for investors. By James J. Eccleston.

http://financialcounselblog.com
  • Mar 28

    Ex-Adviser Gets 7 Years in Prison for Running a $21M Ponzi Scheme

    Ex-Adviser Gets 7 Years in Prison for Running a $21M Ponzi Scheme
    From the Desk of Jim Eccleston at Eccleston Law LLC: A federal judge in Rhode Island sentenced adviser, Patrick Churchville, to 7 years in prison for conducting a $21 million dollar Ponzi scheme with 100 of his clients. According to the…
  • Mar 24

    New Recommendations by the FINRA Dispute Resolution Task Force (12th Article)

    New Recommendations by the FINRA Dispute Resolution Task Force (12th Article)
    From the Desk of Jim Eccleston at Eccleston Law LLC:This is the twelfth in a series of posts to discuss the 51 recommendations that the FINRA Dispute Resolution Task Force (Task Force) has made to the National Arbitration and Mediation…
  • Mar 21

    New Recommendations by the FINRA Dispute Resolution Task Force (11th Article)

    New Recommendations by the FINRA Dispute Resolution Task Force (11th Article)
    From the Desk of Jim Eccleston at Eccleston Law LLC:This is the eleventh in a series of posts to discuss the 51 recommendations that the FINRA Dispute Resolution Task Force (Task Force) has made to the National Arbitration and Mediation…
Rank this Week: 263

Regulation tomorrow

Regulation tomorrow

By Norton Rose Fulbright. Offers resources on the global financial services regulatory environment. It reports on financial services regulatory developments and provides insights and commentary across Africa, Asia, Australia, Canada, Europe and the United States.

http://www.regulationtomorrow.com/
Rank this Week: 442

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Mar 28

    Broker petitions SEC for rules on digital assets and blockchain tech

    Broker petitions SEC for rules on digital assets and blockchain tech
    By Anne Sherry, J.D.A broker-dealer that operates an alternative trading system (ATS) petitioned the SEC for guidance on when digital assets will be deemed securities and whether firms that facilitate their trading must register as a…
  • Mar 27

    Dissent asserts wrong question asked in failure of pipeline company merger

    Dissent asserts wrong question asked in failure of pipeline company merger
    By R. Jason Howard, J.D.On appeal from the Court of Chancery, the Delaware Supreme Court has affirmed the decision that Energy Transfer Equity, L.P. (ETE) did not breach its representations and warranties and that The Williams Companies,…
  • Mar 24

    SEC chief accountant highlights revenue recognition, internal control topic

    SEC chief accountant highlights revenue recognition, internal control topic
    By Amanda Maine, J.D.SEC Chief Accountant Wesley Bricker recently addressed the Annual Life Sciences Accounting and Reporting Congress in Philadelphia, where he discussed the progress of companies transitioning to FASB’s new revenue…
Rank this Week: 475

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Mar 28

    Pay Ratio: Comments Received So Far

    Pay Ratio: Comments Received So Far
    Back in early February, the SEC’s Acting Chair – Mike Piwowar issued a statement directing the Corp Fin Staff to revisit the pay ratio rule & requested public comment about any challenges in complying with the rule. Comments…
  • Mar 27

    Ooh! Ahh! Corp Fin Lifestyle

    Ooh! Ahh! Corp Fin Lifestyle
    In this 33-minute podcast, Brian Lane & Jim Moloney talk about their SEC days, including: 1. How did you wind up being a securities lawyer? 2. What was your career path within the SEC? 3. What is one of your fondest memories in Corp Fin?…
  • Mar 24

    Clayton Confirmation: Make America’s Capital Markets Great Again

    Clayton Confirmation: Make America’s Capital Markets Great Again
    Yesterday, the Senate held a confirmation hearing on Jay Clayton’s nomination to serve as SEC Chair.  In his opening statement, Jay touched on some of his priorities – and improving…
Rank this Week: 2582

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/
  • Mar 28

    Study: Cross-Border M&A

    Study: Cross-Border M&A
    This Deloitte study surveyed 500 global executives with cross-border M&A experience.  Despite caution about political instability and the global economy, the study says that the appetite for cross-border deals remains…
  • Mar 27

    The Williams Cos. v. Energy Transfer: A Rare Dissent on Delaware’s High Court

    The Williams Cos. v. Energy Transfer: A Rare Dissent on Delaware’s High Court
    Last week, the Delaware Supreme Court affirmed the Chancery Court’s decision in The Williams Companies v. Energy Transfer. There’s nothing unusual about that – the Supreme Court and the Chancery Court are usually…
  • Mar 24

    Need a Break? Visit our “Deal Cube Museum”

    Need a Break? Visit our “Deal Cube Museum”
    Need a break? Don’t check your NCAA bracket – you’ll only get depressed.  Visit our “Deal Cube Museum” instead.  We’ve got prime artifacts from some of the great – and maybe…
Rank this Week: 1770

California Corporate & Securities…

California Corporate & Securities Law

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

http://calcorporatelaw.com/
  • Mar 28

    Interstate Versus Intrastate Business – What’s The Difference?

    Interstate Versus Intrastate Business – What’s The Difference?
    Some words are easily confused such as hyperthermia and hypothermia.  In the case of the former, one is overheated and in the case of the latter, one is not warm enough.  The difference becomes more understandable…
  • Mar 27

    Improper Purpose Frustrates Member’s Assertion Of A Proper Purpose

    Improper Purpose Frustrates Member’s Assertion Of A Proper Purpose
    The inspection rights of members of California nonprofit mutual benefit corporations mirror those of shareholders of corporations under the General Corporation Law. Section 8333 of the Corporations Code provides that the accounting books and…
  • Mar 24

    Want To File A Derivative Suit? You May Soon Be Required To Read Statute

    Want To File A Derivative Suit? You May Soon Be Required To Read Statute
    I have been writing recently about SB 203, a bill that is now pending in the Nevada legislature.  As introduced, the bill would, among other things, require the following: In an action involving or relating to a…
Rank this Week: 792

Oil & Gas Investment Fraud Lawyer…

Oil & Gas Investment Fraud Lawyer Blog

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

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

    Retiree Recovers in FINRA Arbitration After Broker Recommended Breitburn Energy

    Retiree Recovers in FINRA Arbitration After Broker Recommended Breitburn Energy
    A retired investor recovered over $20,000 in February 2017 in a FINRA arbitration involving the sale of Breitburn Energy Partners LP (“Breitburn”). According to the FINRA award, the retiree alleged unsuitability, failure to…
  • Jan 31

    Shareholders Lose as Peabody Energy Gets Chapter 11 Bankruptcy Plan Approval

    Shareholders Lose as Peabody Energy Gets Chapter 11 Bankruptcy Plan Approval
    Peabody Energy (OTCPK: BTUUQ) announced on January 26, 2016 that the U.S. Bankruptcy Court for the Eastern District of Missouri approved the company’s reorganization plan, disclosure statement, private placement agreement and backstop…
  • Jan 31

    Shareholders Lose as Peabody Energy Gets Chapter 11 Bankruptcy Plan Approval

    Shareholders Lose as Peabody Energy Gets Chapter 11 Bankruptcy Plan Approval
    Peabody Energy (OTCPK: BTUUQ) announced on January 26, 2016 that the U.S. Bankruptcy Court for the Eastern District of Missouri approved the company’s reorganization plan, disclosure statement, private placement agreement and backstop…
Rank this Week: 2193

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
Rank this Week: 1140

McEldrew Young Blog

McEldrew Young Blog

Covers whistleblower law and wage theft for employees.

http://www.mceldrewyoung.com/blog/
Rank this Week: 2106

Subject to Inquiry

Subject to Inquiry

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

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

    CFPB Fails to State Case Against Payment Processor

    CFPB Fails to State Case Against Payment Processor
    The United States District Court for the District of North Dakota recently dismissed the Consumer Financial Protection Bureau’s (CFPB) complaint against a payment processor, Intercept, in a case McGuireWoods has been monitoring. …
  • Mar 20

    President’s Proposed Budget Increases Healthcare Fraud Enforcement Funding

    President’s Proposed Budget Increases Healthcare Fraud Enforcement Funding
    Much of the discussion surrounding President Trump’s 2018 budget blueprint has focused on cuts, but one proposed budget increase shows the new administration is likely to continue focusing on healthcare fraud enforcement.  Among…
  • Mar 13

    SEC Opens Cease-and-Desist Order Proceeding against Broker-Dealer and Chief Compliance / AML Officer

    SEC Opens Cease-and-Desist Order Proceeding against Broker-Dealer and Chief Compliance / AML Officer
    As we have highlighted in prior posts, regulators of financial institutions, including FinCEN, FINRA and SEC, have increasingly brought actions to bring organizations – and individuals – into compliance with AML / BSA…
Rank this Week: 1978

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: 299

Classified: The Class Action Blog

Classified: The Class Action Blog

A blog focused on the latest class action developments and trends by the attorneys of Carlton Fields Jorden Burt.

http://classifiedclassaction.com/
Rank this Week: 1846

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

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

    Hedge Fund Bits and Pieces for March 24, 2017

    Hedge Fund Bits and Pieces for March 24, 2017
    Happy Friday from rainy San Francisco. As a reminder, there is one week left for investment advisers to complete the annual ADV update. **** Notes on cryptocurrency and blockchain – earlier this week Coinbase added a new margin…
  • Mar 17

    Hedge Fund Bits and Pieces for March 17, 2017

    Hedge Fund Bits and Pieces for March 17, 2017
    Happy Friday. This week’s updates below. **** Bitcoin ETF Rejected by SEC – an application to establish an ETF which would be based on a basket of Bitcoins was rejected by the SEC on March 10. The Winklevoss brothers, noted…
  • Mar 16

    Bitcoin Hedge Funds (Cryptocurrency / AltCurrency Funds)

    Bitcoin Hedge Funds (Cryptocurrency / AltCurrency Funds)
    Overview of Blockchain Based Digital Currency Investment Fund Structures Bitcoin has recently been in the news again due to strong results over the last couple of months. Bitcoin and other digital currencies have been a bit of a fringe…
Rank this Week: 4512

New York Securities Lawyer Blog

New York Securities Lawyer Blog

Covers securities law. By Lax & Neville LLP.

http://www.newyorksecuritieslawyerblog.com/
Rank this Week: 1894

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
Rank this Week: 4332

Stock Attorneys Blog

Stock Attorneys Blog

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

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

    FINRA bars North Carolina Broker/Dealer for False Testimony, and Fabricated Document

    FINRA bars North Carolina Broker/Dealer for False Testimony, and Fabricated Document
    Frank H. Black and his Firm Southeast Investments NC failed to comply with applicable securities laws by retaining business related emails and to establish, maintain and enforce, supervisory systems. Southeast Investments N.C. which was…
  • Mar 16

    Morgan Stanley pays penalty after allegations of inverse ETF investment

    Morgan Stanley pays penalty after allegations of inverse ETF investment
    The Securities and Exchange Commission (SEC) announced Feb. 14, 2017 that Morgan Stanley Smith Barney will pay $8 million and admit wrongdoing after allegations related to single inverse ETF (exchange –traded fund) investments it…
  • Feb 24

    Large FINRA Arbitration Award Against UBS of Puerto Rico Regarding Bond Fund

    Large FINRA Arbitration Award Against UBS of Puerto Rico Regarding Bond Fund
    Blum Law Group, along with Place and Hanley, LLC is pleased to report a FINRA Arbitration Award against UBS Financial Services of Puerto Rico relating to the crash of UBS closed end bond funds in 2013 which were sold to Puerto Rico…
Rank this Week: 4403

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: 3302

New York Securities Lawyers Blog

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

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

    You May Know About Your Broker, But How Much Do You Know About Your Brokerage Firm?

    You May Know About Your Broker, But How Much Do You Know About Your Brokerage Firm?
    There is an interesting point in this week’s Wall Street Journal titled “Brokerage Files Don’t Give The Full Pictures,” which talks about the how brokerage firms and individual brokers are held to different standards,…
  • Mar 20

    Rhode Island Financial Advisor Sentenced to 7 Years in Prison for Ponzi Scheme

    Rhode Island Financial Advisor Sentenced to 7 Years in Prison for Ponzi Scheme
    Patrick Churchville of Rhode Island has been accused of orchestrating a $21 million Ponzi scheme and was recently sentenced to 7 years in prison by a federal judge, according to an Investment News report. Mr. Churchville is the owner and…
  • Mar 2

    AARP Fraud Watch Network Publishes a New Study About Who Is Vulnerable To Elder Fraud

    AARP Fraud Watch Network Publishes a New Study About Who Is Vulnerable To Elder Fraud
    According to the Consumer Financial Protection Bureau, 17 percent of Americans 65 and older, have already been the victims of financial exploitation. A new study by the AARP Fraud Watch Network reveals that Americans who lose money to fraud…
Rank this Week: 619

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • Mar 23

    So I Guess It Is All About The Senior

    So I Guess It Is All About The Senior
    Contrary to what the title may suggest, I am not referring to students who are about to graduate from high school or college. Instead, this post is about that group of our society who all too often (based upon my years of defending…
  • Mar 16

    The SEC Reluctantly Vacates Collateral Bars After Court Lo

    The SEC Reluctantly Vacates Collateral Bars After Court Lo
    One of the outstanding issues relating to the Dodd-Frank Act was the SEC’s use of statutory power to regulate conduct that occurred prior to its enactment in July 2010. The United States Court of Appeals for the District of Columbia…
  • Mar 15

    If You Want Trouble, Do Not Register as a Broker-Dealer

    If You Want Trouble, Do Not Register as a Broker-Dealer
    At Fox Rothschild, we are constantly advising clients regarding the peril of engaging in the securities industry without the proper license. In fact, we have developed materials to provide our clients with information about the process. See…
Rank this Week: 4013

Securities Law Blog

Securities Law Blog

Features news, commentary and thoughts on the law of the securities markets. By Mark Astarita.

http://seclaw.blogspot.com/
  • Mar 22

    Indecision Hampers SEC

    Indecision Hampers SEC
    President Donald J. Trump's unpredictability may extend to his appointment of Securities and Exchange Commissioner members, financial industry government relations officials said on Tuesday.Traditionally, the SEC's five commissioners are…
  • Mar 13

    Art Cashin warns that there's something ‘disturbing' happening in the market

    Art Cashin warns that there's something ‘disturbing' happening in the market
    Stocks may be trekking higher, but Wall Street trading veteran Art Cashin says there are looming risks to the market that could soon shake things up.On CNBC's "Futures Now" last week, Cashin commented on how a "counter-intuitive" trend is…
  • Feb 27

    SEC Wants All Investors to Access High Risk Investments.

    SEC Wants All Investors to Access High Risk Investments.
    In a startling about-face, Acting Securities and Exchange Commissioner Michael Piwowar called for allowing every investor to buy unregistered securities, regardless of their income, net worth, or ability to suffer the risk of loss.The…
Rank this Week: 2587

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/
  • Mar 21

    Hold the Phone: SEC Takes One Last Stand Before the Tenth Circuit regarding the Constitutionality of the SEC’s Administrative Law Judge

    Hold the Phone: SEC Takes One Last Stand Before the Tenth Circuit regarding the Constitutionality of the SEC’s Administrative Law Judge
    Last week, the United States Securities and Exchange Commission filed a petition for rehearing en banc with the Tenth Circuit Court of Appeals, imploring the court to reconsider a divided panel’s ruling on the unconstitutionality of its…
  • Mar 17

    Understanding the New DOJ Guidance: Part 1 – Tone at the Top

    Understanding the New DOJ Guidance: Part 1 – Tone at the Top
    In February, the Department of Justice’s Fraud Section offered a new perspective on what the government expects in a compliance program in the form of a series of questions that companies should be prepared to answer about their…
  • Mar 14

    Circuit Split on Whistleblower Protections Widen

    Circuit Split on Whistleblower Protections Widen
    On March 8, 2017, a divided panel of the Ninth Circuit issued an opinion in Somers v. Digital Realty Trust Inc. that further widened a circuit split on the issue of whether the anti-retaliation provisions in the Dodd-Frank Wall Street Reform…
Rank this Week: 1005

Special Situations Law

Special Situations Law

By Norton Rose Fulbright. Covers shareholder activist and defence mandates, as well as complex reorganization transactions.

http://www.specialsituationslaw.com/
  • Mar 20

    Making your vote count II: CSA finalizes proxy voting protocol

    Making your vote count II: CSA finalizes proxy voting protocol
    The Canadian Securities Administrators (CSA) have recently released finalized guidance and protocols for meeting vote reconciliation under CSA Staff-Notice 54-305 Meeting Vote Reconciliation Protocols (the Protocols) which are implemented on…
  • Mar 13

    Glass Lewis’ 2017 Canada Policy Guideline

    Glass Lewis’ 2017 Canada Policy Guideline
    Towards the end of last year, Glass, Lewis & Co., LLC (Glass Lewis), a leading governance and proxy voting firm, released its 2017 Proxy Paper Guidelines for Canada (the Guidelines) for the upcoming 2017 proxy season.  Although the…
  • Feb 27

    Re Hemostemix Inc: Alberta Securities Commission upholds decision of TSXV in contested private placement

    Re Hemostemix Inc: Alberta Securities Commission upholds decision of TSXV in contested private placement
    Following recent amendments to Canada’s takeover bid rules, private placements in the face of hostile bids have become newly controversial. Private placements in the context of proxy contests have received less attention. Yet this is…
Rank this Week: 2310

Broke and Broker

Broke and Broker

Covers the Wall Street docket of criminal, civil, regulatory, and arbitration cases. By Bill Singer.

http://brokeandbroker.com/index.php
  • Mar 20

    Where There's Willfulness There's No Way At FINRA

    Where There's Willfulness There's No Way At FINRA
    Few issues appear more frequently on the regulatory docket of the Financial Industry Regulatory Authority than allegations about a registered representative's failure to timely disclose tax liens. In recent years, the BrokeAndBroker.com Blog…
  • Mar 20

    Bill Singer Analyzes FINRA Expungement Rules 2080 and 2081

    Bill Singer Analyzes FINRA Expungement Rules 2080 and 2081
    To say that we live in a litigious age is something of an understatement. That being said, as a lawyer, who the hell am I to complain about more business? Frankly, it's an ill lawsuit that blows no good for the legal profession. On Wall…
  • Mar 20

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
    Warp Speed Dismissal In Lightspeed Trading ArbitrationYa got yer speed of sound. Ya got yer speed of light. And then, for all you Trekkies, ya got yer warp speed. In a recent FINRA public customer arbitration, the three arbitrators moved…
Rank this Week: 911

The Securities Edge

The Securities Edge

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

http://www.thesecuritiesedge.com/
  • Mar 19

    Beware when the legislature is in session

    Beware when the legislature is in session
    Posted By: Robert B. Lamm New York Surrogate Gideon Tucker (1826-1899) is credited with originating the maxim that “no man’s life, liberty or property are safe while the legislature is in session.”  Were Surrogate…
  • Mar 17

    The missing (hyper) link

    The missing (hyper) link
    Posted By: Robert B. Lamm If you have ever had to search for an exhibit originally filed with the SEC years ago, you know it can take forever, particularly when the exhibit consists of an original document that has been amended several times,…
  • Mar 5

    News from the institutional investor front

    News from the institutional investor front
    Posted By: Robert B. Lamm   I recently attended the Winter Meeting of the Council of Institutional Investors and thought you would like to know what the Council and its members are thinking. What was NOT discussed – proxy access…
Rank this Week: 3696

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/
  • Mar 17

    SEC Adopts Rule Requiring Hyperlinks to Exhibits and HTML Formatting

    SEC Adopts Rule Requiring Hyperlinks to Exhibits and HTML Formatting
    On March 1, 2017, the Securities and Exchange Commission (“SEC”) announced the adoption of amendments that will require registrants that file certain registration statements and reports subject to the exhibit requirements of Item…
  • Mar 9

    Delaware Court of Chancery Holds that Cancellation of Shares Through Merger Deprives Stockholder of Standing in Section 220 Action

    Delaware Court of Chancery Holds that Cancellation of Shares Through Merger Deprives Stockholder of Standing in Section 220 Action
    In Weingarten v. Monster Worldwide, Inc., C.A. No. 12931-VCG, 2017 WL 752179 (Del. Ch. Feb. 27, 2017), the Delaware Court of Chancery (Glasscock, V.C.) clarified when a plaintiff has standing to vitiate inspection rights under Delaware…
  • Mar 3

    SNAP IPO Debuts On NYSE

    SNAP IPO Debuts On NYSE
    SNAP Inc., the parent company of Snapchat, went public yesterday with a valuation of approximately $33.4 billion. The Company raised $3.4 billion at $17 per share, and is now trading well above the IPO price. While SNAP has reported…
Rank this Week: 505

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
  • Mar 14

    Unsuspecting Investors May Owe Taxes on Their Individual Retirement Accounts (IRAs)

    Unsuspecting Investors May Owe Taxes on Their Individual Retirement Accounts (IRAs)
    As described in a recent article in The Wall Street Journal (“Are Taxes Lurking in Your Tax-Free Retirement Account”), many Americans are now receiving notices informing them that they owe additional taxes on their traditional…
  • Mar 7

    Steven B. Caruso Selected to Speak at 2017 New York City Bar Association Arbitration Program

    Steven B. Caruso Selected to Speak at 2017 New York City Bar Association Arbitration Program
    Steven B. Caruso, the Resident Partner in the New York City office of Maddox Hargett & Caruso, P.C., has been invited to participate as a speaker at the 2017 “Hot Topics in Securities Arbitration” program that will be offered…
  • Feb 16

    Morgan Stanley Smith Barney to Pay $8M Penalty

    Morgan Stanley Smith Barney to Pay $8M Penalty
    Morgan Stanley Smith Barney has agreed to pay an $8 million penalty and admit wrongdoing to settle SEC charges that the firm made unsuitable recommendations about single inverse exchange traded fund (“ ETF”)  investments to…
Rank this Week: 158

Business Law Post

Business Law Post

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

http://www.businesslawpost.com
  • Mar 13

    SaaS Contracts vs Software License Agreement

    SaaS Contracts vs Software License Agreement
    Just like technology itself, technology contracts are becoming more and more complex.  Yet, the legal theories that apply to them remain the same. Understanding the technological aspects of the transaction allows attorneys to apply…
  • Mar 11

    Deconstructing Open Source Software License

    Deconstructing Open Source Software License
    When drafting and negotiating software license agreements, I frequently come across open source licenses.  This blog post is to clarify some of the myths that exist around the definition and use of open source software.First, I want to…
  • Feb 6

    Are Terms of Use and Other Online Agreements Real and Binding Contracts?

    Are Terms of Use and Other Online Agreements Real and Binding Contracts?
    It used to be that people would enter into binding agreements by manually signing them. A signature manifested the two required aspects of forming a binding contract: a notice and an assent, i.e., the signatory has read the agreement and…
Rank this Week: 4820

Footnoted

Footnoted

Reports on actionable information in SEC filings.

http://www.footnoted.com/
  • Mar 10

    2016 was the year of autonomous vehicle

    2016 was the year of autonomous vehicle
    The number of companies making disclosures about self-driving cars and trucks has exploded since the start of 2016.
  • Mar 3

    Election results have gun makers feeling blue

    Election results have gun makers feeling blue
    The unexpected results of the presidential election delivered good news and bad news for the gun industry. In the months leading up to the November election, it seems gun owners clearly thought Hillary Clinton would win. As a result, they…
  • Feb 23

    PG&E’s Filing Of Misery

    PG&E’s Filing Of Misery
    It might be tough to find any company that offered a gloomier set of disclosures than the list of fires, explosions, and legal problems found in PG&E’s latest annual report. None of this seems to be bothering investors.…
Rank this Week: 2691

Recover Investment Losses Blog

Recover Investment Losses Blog

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

http://blog.rexsecuritieslaw.com
Rank this Week: 223

SEC Whistleblower Lawyer Blog

SEC Whistleblower Lawyer Blog

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

http://www.secwhistleblowerlawyers.net/
  • Feb 27

    SEC Awards $7 million to Whistleblower

    SEC Awards $7 million to Whistleblower
    The SEC announced an award of over $7 million split among three (3) whistleblower who helped the SEC litigate an investment scheme. The SEC began their investigation when one of the whistleblowers provided a tip to the SEC.  The initial…
  • Feb 27

    SEC Awards $7 million to Whistleblower

    SEC Awards $7 million to Whistleblower
    The SEC announced an award of over $7 million split among three (3) whistleblower who helped the SEC litigate an investment scheme. The SEC began their investigation when one of the whistleblowers provided a tip to the SEC.  The initial…
  • Feb 17

    How the Investment Management Firm BlackRock Undermined Whistleblower Incentive

    How the Investment Management Firm BlackRock Undermined Whistleblower Incentive
    Firm managing $5.1 trillion is forced to change improper employee whistleblower policy Until recently, the world’s largest investment management firm forced ex-employees to sign away their rights to potential whistleblower awards in…
Rank this Week: 2206

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Feb 24

    Somebody Else Said It

    Somebody Else Said It
    Is paying someone else to make a misstatement to investors the same as making the misstatement yourself for purposes of securities fraud liability?  Two recent appellate decisions address this question and come to different conclusions…
  • Feb 10

    Compare and Contrast

    Compare and Contrast
    NERA Economic Consulting and Cornerstone Research have released their respective 2016 annual reports on federal securities class action filings.  As usual, the different methodologies employed by the two organizations have led to…
  • Jan 30

    Transparently Aspirational

    Transparently Aspirational
    Can shareholders bring a claim for securities fraud when a corporate official violates the company’s code of conduct after publicly touting the business’s high standards for ethics and compliance?  According to the U.S. Court…
Rank this Week: 2583

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: 3623

Amato Law Firm, LLC Blog

Amato Law Firm, LLC Blog

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

http://www.ramatolaw.com/blog1
  • Feb 15

    FINRA Bars Former Wells Fargo Advisors Broker Matthew Maczko

    FINRA Bars Former Wells Fargo Advisors Broker Matthew Maczko
    The securities law firm of Amato Law Firm, LLC is investigating potential securities law claims involving former Wells Fargo Advisors, LLC representative Matthew Maczko.  Mr. Maczko, who worked in Wells Fargo Advisors’ Oak Brook,…
  • Jan 19

    Large Raiding Award Against Robert W. Baird & Co. Underscores Issues with Team Transition

    Large Raiding Award Against Robert W. Baird & Co. Underscores Issues with Team Transition
    A notable (due to its size) $23.5 million FINRA arbitration award against broker-dealer Robert W. Baird & Co. (Baird) and some of its representatives, issued by a three-member FINRA panel in Kansas last week, underscores the issues that…
  • Jan 12

    JPMorgan Found to Have Retaliated Against Adviser, Filed Defamatory U5

    JPMorgan Found to Have Retaliated Against Adviser, Filed Defamatory U5
    A recent investigation by the U.S. Occupational Safety and Health Administration (OSHA) has resulted in an award of more than $160,000 for back pay and “reputational damage” to a former JPMorgan Chase & Co. financial adviser.…
Rank this Week: 2850

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Feb 13

    Broker Investigation: Customer Complaints Against Scott Palmer

    Broker Investigation: Customer Complaints Against Scott Palmer
    The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Scott Palmer (Palmer). According to BrokerCheck records, Palmer is subject to at least five…
  • Feb 13

    Broker Investigation: Customer Complaints Against Scott Palmer

    Broker Investigation: Customer Complaints Against Scott Palmer
    The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Scott Palmer (Palmer). According to BrokerCheck records, Palmer is subject to at least five…
  • Feb 13

    Advisor Robert Estevez Subject to Multiple Regulatory Action

    Advisor Robert Estevez Subject to Multiple Regulatory Action
    The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Robert Estevez (Estevez). According to BrokerCheck records there are at least 9…
Rank this Week: 53

The California Securities…

The California Securities Attorneys

By Bruce E. Methven and Kenneth A. Priore. Covers securities offerings.

http://thecaliforniasecuritiesattorneys.com/
  • Feb 9

    Marketing Your Offering by Bruce E. Methven

    Marketing Your Offering by Bruce E. Methven
    The truth about marketing your securities offering is that you have to find investors yourself. Venture capital firms invest in only a tiny percentage of the companies that approach them. Groups that involve angel investors may work, but…
  • Oct 28

    Report on Crowdfunding by Bruce E. Methven

    Report on Crowdfunding by Bruce E. Methven
    Crowdfunding via approved internet portals became available in May of this year. So far companies have been averaging about $800 per investor and may have hundreds of investors. That’s a lot of small investors to deal with. Many…
  • May 13

    Running Another Offering With a Crowdfunding Offer by Bruce E. Methven

    Running Another Offering With a Crowdfunding Offer by Bruce E. Methven
    This is part of a series on crowdfunding; this part covers running another offer simultaneously with a crowdfunding offer. Again, true crowdfunding — offerings of stock, LLC units and promissory notes — becomes available on May…
Rank this Week: 2078

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/
  • Feb 7

    FTC revises HSR and interlocking directorate threshold

    FTC revises HSR and interlocking directorate threshold
    The Federal Trade Commission has announced annual filing threshold revisions under the Hart-Scott-Rodino (HSR) Antitrust Improvements Act that set new antitrust reporting standards. Jay Levine, our colleague at Antitrust Law Source, provides…
  • Jan 23

    SEC enforces rules regarding use of non-GAAP measures and undisclosed perk

    SEC enforces rules regarding use of non-GAAP measures and undisclosed perk
    Last week, the Securities and Exchange Commission (SEC) made good on its promises to enforce violations of its non-GAAP financial measure disclosure rules. MDC Partners agreed to pay a $1.5 million dollar penalty to settle the SEC’s…
  • Dec 9

    Supreme Court affirms family insider trading conviction

    Supreme Court affirms family insider trading conviction
    On Tuesday, The United States Supreme Court unanimously affirmed an insider trading conviction by finding that inside information exchanged between relatives violates federal security laws. The case is Salman v. United States. The decision…
Rank this Week: 4495

Florida Securities Fraud Lawyer…

Florida Securities Fraud Lawyer Blog

Covers securities fraud, investor fraud and Ponzi schemes. By McCabe Rabin, P.A.

http://www.floridasecuritiesfraudlawyerblog.com/
  • Jan 31

    I Inherited an IRA Account. Now What?

    I Inherited an IRA Account. Now What?
    Ira Account Inheritance The answer to that question depends on whether you inherited the IRA account from your spouse or someone other than your spouse, such as your parent, sibling, or close friend.  You have more options if you…
  • Jan 27

    SEC Whistleblower Program is Gaining Momentum and Paying Big Bountie

    SEC Whistleblower Program is Gaining Momentum and Paying Big Bountie
    SEC Whistleblowers On January 23, the SEC announced that its whistleblower program will pay out to three whistleblowers a combined award of $7 million.  The whistleblowers’ awards were for helping the SEC pursue an investment…
  • Jan 19

    What are the pros and cons of taking a 401K loan?

    What are the pros and cons of taking a 401K loan?
    Many employers provide 401k plans for their employees.  A 401k plan is a retirement savings plan where employees can save a portion of their pre-tax earnings. Taxes aren’t paid on the money until it is withdrawn from the account.…
Rank this Week: 142