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Securities Lawyer 101

Securities Lawyer 101

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

http://www.securitieslawyer101.com/blog/
  • Sep 10

    Corporate Hijackings 101 l Securities Lawyer 101 Blog

    Corporate Hijackings 101 l Securities Lawyer 101 Blog
    Securities Lawyer 101 Blog Corporate hijackings, also known as corporate identity theft, of public shell companies has been around for more than a decade.  It  is a growing method used by fraudsters to acquire…
  • Jan 1

    Going Public Blog l Securities Lawyer 101

    Going Public Blog l Securities Lawyer 101
    Going Public LawyerGoing 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 quantities of…
  • 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…
Rank this Week: 497

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 1

    Request for Public Comment on Exchange-Traded Product

    Request for Public Comment on Exchange-Traded Product
    The SEC is soliciting comments on exchange-traded products and the window for comment is drawing to a close. This issue has not received the attention that it deserves. Hopefully, some of this Blog's readers will consider contributing. The…
  • Aug 1

    Law Professor Survey on the Use of Popular Culture in Law Teaching

    Law Professor Survey on the Use of Popular Culture in Law Teaching
    Cynthia Bond, a professor at John Marshall Law School, has requested that I post the following survey announcement: Greetings Law Teacher Colleagues: I am working on an article this summer on uses of popular culture in the law school…
  • Aug 1

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: Bryce Cullinane, Case Note, Assessing Irving Picard's Writ of certiorari in Picard v. JPMorgan Chase: Another Chapter in the Saga of Bernie…
Rank this Week: 177

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/
Rank this Week: 871

New York Securities Lawyers Blog

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

http://www.newyorksecuritieslawyersblog.com/
  • Jul 31

    Broker Brian Berger Barred From Securities Industry Over Questions Concerning Misappropriation of Customer Fund

    Broker Brian Berger Barred From Securities Industry Over Questions Concerning Misappropriation of Customer Fund
    According to a recent Acceptance, Waiver & Consent (“AWC”) submitted by broker Brian Berger with the Financial Industry Regulatory Authority (FINRA), Mr. Berger has been banned from associating with a broker-dealer in the…
  • Jul 31

    This Week at Malecki Law

    This Week at Malecki Law
      It was an eventful week at Malecki Law with prominent stories in the press, speaking engagements at legal educational organizations, appointments to bar association committees, and introduction to securities fraud in different…
  • Jul 30

    Former Securities America, Inc. Broker Adrian S. Lauer Suspended and Fined

    Former Securities America, Inc. Broker Adrian S. Lauer Suspended and Fined
    A Letter of Acceptance, Waiver and Consent (AWC) was recently accepted by Financial Industry Regulatory Authority’s (FINRA’s) Department of Enforcement from Adrian S. Lauer.  Mr. Lauer was accused of failing to disclose…
Rank this Week: 643

Strictly Business

Strictly Business

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

http://www.strictlybusinesslawblog.com/
  • Jul 31

    Summary of the Proposed Amendments to Form ADV and Investment Advisers Act Rule

    Summary of the Proposed Amendments to Form ADV and Investment Advisers Act Rule
    On May 20, 2015, the SEC issued proposed amendments to Form ADV and the Investment Advisers Act rules. In the release, the SEC proposed amendments to Form ADV that would require advisers to disclose additional information, such as information…
  • Jun 30

    Frequently Asked Questions about Regulation A+

    Frequently Asked Questions about Regulation A+
    Back in March, I wrote about proposed revisions to Regulation A, commonly known as “Regulation A+”, which were designed to implement Section 401 of the Jumpstart Our Business Startups Act (JOBS Act). Since then, the SEC issued its…
  • May 27

    Should Founders Subject Themselves to a Vesting Schedule?

    Should Founders Subject Themselves to a Vesting Schedule?
    When advising startup clients, I frequently recommend that they subject the shares issued to their founders (as well as those issued to any equity-compensated employees and contractors) to a vesting schedule. This conversation often leads the…
Rank this Week: 3099

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/
  • Jul 31

    SEC Awards Whistleblower $3 Million

    SEC Awards Whistleblower $3 Million
    The Securities and Exchange Commission (SEC) recently announced they recently awarded a multi-million dollar payout to a whistleblower. The $3 million payout was the program’s third largest award. The whistleblower provided the SEC with…
  • Jul 31

    JP Turner to shutter

    JP Turner to shutter
    Cetera Financial Group, which owns the independent broker-dealer industry’s largest network group, is closing down one of its broker-dealers, J.P. Turner & Co., a firm that has recently become known as a large seller of…
  • Jul 30

    Morgan Stanley Pays Investors $2.4 Million

    Morgan Stanley Pays Investors $2.4 Million
    Morgan Stanley has been ordered to pay $2.4 million to investors due allegations of unauthorized and excessive trading on client accounts. The investors included a group of physicians and their family members. All were clients of former…
Rank this Week: 205

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Jul 31

    Cornerstone Releases Midyear Report

    Cornerstone Releases Midyear Report
    Cornerstone Research (in conjunction with the Stanford Securities Class Action Clearinghouse) has issued its 2015 midyear report on securities class action filings. The findings for the first half of 2015 include: (1) There were 85 new…
  • Jul 6

    How Strong is “Very Strong”?

    How Strong is “Very Strong”?
    The U.S. Court of Appeals for the District of Columbia only hears a small number of securities cases, which means that it is often playing catch-up on the relevant legal standards.  In In re Harman Int’l Industries, Inc. Sec.…
  • Jun 19

    Big Verdicts and Big Appeal

    Big Verdicts and Big Appeal
    Securities class actions rarely go to trial.  When they do, as in the Household International case where the plaintiffs won a $2.46 billion verdict, they make the news.  But it is axiomatic that big verdicts lead to big…
Rank this Week: 2628

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/
Rank this Week: 490

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Jul 31

    NASAA Backs Extending Fiduciary Duty to IRA

    NASAA Backs Extending Fiduciary Duty to IRA
    By John M. Jascob, J.D.NASAA has expressed support for a proposal by the Department of Labor that would extend the fiduciary duty standard of care to persons who provide investment advice to Individual Retirement Accounts (IRAs). In a comment…
  • Jul 30

    Human Trafficking Bill Would Add to Supply Chain Dutie

    Human Trafficking Bill Would Add to Supply Chain Dutie
    By Mark S. Nelson, J.D.A bill introduced by Rep. Carolyn Maloney (D-NY) would create new socially-themed disclosure obligations under the federal securities laws for many companies. The Business Supply Chain Transparency on Trafficking and…
  • Jul 29

    New Hampshire Adopts Uniform Securities Act

    New Hampshire Adopts Uniform Securities Act
    By Jay Fishman, J.D.New Hampshire’s Governor, Maggie Hassan, signed Senate Bill 266, comprising a new uniform securities act. The bill was spurred by the Governor’s Live Free and Start Initiative and has had bipartisan legislative…
Rank this Week: 442

White Collar Alert

White Collar Alert

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

http://whitecollarblog.mmwr.com
  • Jul 31

    U.S. Government Appeals Landmark Insider Trading Decision to the Supreme Court

    U.S. Government Appeals Landmark Insider Trading Decision to the Supreme Court
    This guest post was authored by our colleague Rimma Tsvasman, an associate in the firm’s Litigation Department in New York. Rimma concentrates her practice on corporate and securities transactions, investment management…
  • Jul 30

    Attorney General Kane Files Wiretap Charges Against Two Lawyer

    Attorney General Kane Files Wiretap Charges Against Two Lawyer
    This post was co-authored by David F. Herman, an associate in Montgomery McCracken’s Litigation Department. He serves an editor of the firm’s Data Privacy Alert blog, which focuses on data privacy and cybersecurity issues. David…
  • Jul 14

    Seventh Circuit Upholds Non-Incarceration Sentence for Beanie Baby Creator

    Seventh Circuit Upholds Non-Incarceration Sentence for Beanie Baby Creator
    This guest post was authored by Mara Smith, a summer associate with Montgomery McCracken. On Friday, the Seventh Circuit upheld what it determined to be a substantively reasonable sentence for billionaire Ty Warner, the creator of Beanie…
Rank this Week: 1851

Investment Fraud Attorney Blog

Investment Fraud Attorney Blog

Covers securities law. By Pratt Davis.

http://www.investmentfraudattorneyblog.com/
  • Jul 31

    SEC Announces $3 million Whistleblower Award

    SEC Announces $3 million Whistleblower Award
    As recently noted in a press release, The Securities and Exchange Commission (“SEC”) announced a whistleblower award of more than $3 million to a company insider whose information helped the SEC crack a complex fraud. …
  • Jul 7

    Former Stockbroker Charged By SEC With Conducting Ponzi Scheme

    Former Stockbroker Charged By SEC With Conducting Ponzi Scheme
    The Securities and Exchange Commission (“SEC”) recently charged a former stockbroker in Pennsylvania with conducting a Ponzi scheme and stealing investor money to purchase a condominium in Florida and pay for his own vacations and…
  • Jun 24

    SEC Charges Investment Advisor with Placing 17 million in Client funds in Penny Stock Companies in which he Allegedly has Interest

    SEC Charges Investment Advisor with Placing 17 million in Client funds in Penny Stock Companies in which he Allegedly has Interest
    The Securities and Exchange Commission recently announced fraud charges against a Massachusetts-based investment advisory firm and its owner for placing more than $17 million in client assets into four financially troubled Canadian penny…
Rank this Week: 2082

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Jul 31

    Gana LLP Investigation: Broker Duane Smith

    Gana LLP Investigation: Broker Duane Smith
    According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Duane Smith (Smith) has been the subject of at least two customer complaint and one employment separation. The customer complaints against…
  • Jul 31

    FINRA Sanctions Broker Garyn Angel Over Transactions in Baron Energy

    FINRA Sanctions Broker Garyn Angel Over Transactions in Baron Energy
    According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Garyn Angel (Angel) has been sanctioned by the regulator in connection with allegations that Angel participated in two private securities…
  • Jul 30

    Gana LLP Investigation: Claims Against Broker George Lincoln

    Gana LLP Investigation: Claims Against Broker George Lincoln
    According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker George Lincoln (Lincoln) has been the subject of at least three customer complaints, one regulatory action, and one employment separation. The…
Rank this Week: 236

Business Blog

Business Blog

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

http://www.businesslawnews.com/
  • Jul 31

    NJ Supreme Court Rules Watchdog Employees Entitled Whistleblower Protection

    NJ Supreme Court Rules Watchdog Employees Entitled Whistleblower Protection
    The Supreme Court of New Jersey recently held that a plaintiff who reports conduct as part of his or her job is entitled to the whistle-blowing protections afforded under the Conscientious Employee Protection Act (CEPA). In light of the…
  • Jul 30

    Are Performance Reviews Becoming Passé? Five Tips for Re-tooling Your Policy

    Are Performance Reviews Becoming Passé? Five Tips for Re-tooling Your Policy
    For supervisors and their reports, the requirement for conducting performance reviews has been an annual rite that both sides have endured at sufferance. The quality of the process and its purpose is rarely evaluated or questioned. …
  • Jul 29

    DOL Warns “Most” Independent Contractors Are Misclassified Worker

    DOL Warns “Most” Independent Contractors Are Misclassified Worker
    On July 15, 2015, the Department of Labor (DOL) published guidance on the increasing number of misclassified workers. The agency’s broad interpretation of “employee” under the Fair Labor Standards Act (FLSA) suggests that…
Rank this Week: 3930

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Jul 31

    ’34 Act Reports: Benchmarking Law Firm Bill

    ’34 Act Reports: Benchmarking Law Firm Bill
    I probably haven’t been touting our numerous checklists – over 300 of them now – sufficiently. For example, this one on “’34 Act Reports – Benchmarking Law Firm Bills” provides practical guidance…
  • Jul 30

    Pay Ratio Rules Coming Next Wednesday! (& Our “Pay Ratio Workshop” on August 25th!)

    Pay Ratio Rules Coming Next Wednesday! (& Our “Pay Ratio Workshop” on August 25th!)
    Last night, the SEC posted its Sunshine Act notice to adopt the pay ratio rules next Wednesday, August 5th. My blog on CompensationStandards.com gives a guess as to some of the rule’s final parameters. We want to help you get prepared…
  • Jul 29

    Proxy Disclosure Awards: The Winners!

    Proxy Disclosure Awards: The Winners!
    We have the winners in the 12 categories for our “Proxy Disclosure Awards”! Congrats to them & all the nominees! As promised, the voting was transparent as here are the results of the final tallies. Thanks to the 500+ of you…
Rank this Week: 198

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/
  • Jul 31

    CalPERS And Pay Equity

    CalPERS And Pay Equity
    The Securities and Exchange Commission has given notice of its intent to adopt final pay ratio disclosure rules at its meeting next week.  In applauding the SEC’s proposed rules, the California Public Employees’ Retirement…
  • Jul 30

    Senate Appropriations Committee Is Next Stop For California Finders Bill

    Senate Appropriations Committee Is Next Stop For California Finders Bill
    AB 667 (Wagner) continues to wend its way through the California legislature.  The bill, which was sponsored by the Corporations Committee of the Business Law Section of the California State Bar, defines a finder as a natural person who,…
  • Jul 29

    California Crowdfunding Bill In Suspense

    California Crowdfunding Bill In Suspense
    Yesterday, Broc Romanek published several posts regarding crowdfunding.  Meanwhile here in California, crowd funding has stalled in the legislature.  AB 722 (Perea) passed unanimously out the Assembly Committee on Judiciary…
Rank this Week: 616

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • Jul 30

    The Developing Phenomenon of Trade Sanction-Related Follow-On Civil Litigation

    The Developing Phenomenon of Trade Sanction-Related Follow-On Civil Litigation
    In the latest example of a case where alleged violations of U.S. trade sanction laws have led to a follow-on civil lawsuit, on July 28, 2015, a plaintiff shareholder filed a securities class action lawsuit against VASCO Data Security…
  • Jul 30

    Cornerstone Research Releases Midyear Securities Litigation Report

    Cornerstone Research Releases Midyear Securities Litigation Report
    The number of federal securities class action lawsuit filings in the first half of 2015 was above the number of securities suits in the first half of 2014, although below long-term semiannual averages, according to the latest report from…
  • Jul 28

    Meanwhile, Back at the FDIC Failed Bank Litigation Ranch

    Meanwhile, Back at the FDIC Failed Bank Litigation Ranch
    As the global financial crisis has receded further into the past and as other issues have crowded to the top of the agenda, the remaining vestiges from the credit crisis have faded into the background. But though the peak of the crisis is now…
Rank this Week: 611

Footnoted

Footnoted

Reports on actionable information in SEC filings.

http://www.footnoted.com/
Rank this Week: 2838

Subject to Inquiry

Subject to Inquiry

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

http://www.subjecttoinquiry.com/
  • Jul 30

    CFPB Targets Practices Impacting the Elderly

    CFPB Targets Practices Impacting the Elderly
    On July 13, the Consumer Financial Protection Bureau (CFPB) Director Richard Cordray delivered remarks at the White House Conference on Aging and signaled the CFPB’s plans to issue an advisory later in 2015 to assist financial…
  • Jul 30

    Casino Forfeiture a Reminder that FinCEN’s Regulatory Oversight May Involve DOJ and Criminal Penalty

    Casino Forfeiture a Reminder that FinCEN’s Regulatory Oversight May Involve DOJ and Criminal Penalty
    In early June 2015, FinCEN assessed a civil money penalty on the Tinian Dynasty Hotel & Casino, located in the Northern Mariana Islands, an archipelago to the east of the Philippines (don’t feel bad if you click here to learn a…
  • Jul 29

    Possible Life Sentence in Salmonella Case Raises Stakes for Food and Beverage Industry Compliance

    Possible Life Sentence in Salmonella Case Raises Stakes for Food and Beverage Industry Compliance
    Last week, federal prosecutors in Georgia filed papers supporting the local probation office’s U.S. Sentencing Guidelines calculation calling for a sentence of life in prison for Stewart Parnell, the one-time CEO of Peanut Corporation…
Rank this Week: 1744

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/
  • Jul 30

    Rite Aid Shareholders Vote to Take Wind Out of CEO’s Golden Parachute

    Rite Aid Shareholders Vote to Take Wind Out of CEO’s Golden Parachute
    As noted in this Reuters article, last month, nearly 60% of Rite Aid shareholders supported a non-binding shareholder proposal at the company’s annual meeting that asks that the company to limit the CEO’s golden parachute. This is…
  • Jul 29

    Rural/Metro: Appellees’ Answering Brief & Cross-Appellant’s Opening Brief

    Rural/Metro: Appellees’ Answering Brief & Cross-Appellant’s Opening Brief
    We have posted the Appellees’ Answering Brief & Cross-Appellant’s Opening Brief in the Rural/Metro appeal (here’s a prior blog with other documents)…
  • Jul 22

    July-August Issue: Deal Lawyers Print Newsletter

    July-August Issue: Deal Lawyers Print Newsletter
    This July-August issue of the Deal Lawyers print newsletter was posted a few weeks ago – & also sent to the printers – and includes articles on: – Reflections on the DuPont Proxy Contest: What Happens Next? –…
Rank this Week: 365

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/
  • Jul 29

    Grand Jury to Decide Whether to Indict State AG of Texas Securities Fraud

    Grand Jury to Decide Whether to Indict State AG of Texas Securities Fraud
    This week, a grand jury convened to hear evidence to determine whether Ken Paxton, the State’s Attorney General, should be indicted for first-degree felony charges alleging violations involving Texas securities fraud. If convicted, he…
  • Jul 24

    SEC Probes Whether Mutual Fund Managers Are Charging Investors Undisclosed Fee

    SEC Probes Whether Mutual Fund Managers Are Charging Investors Undisclosed Fee
    The Securities and Exchange Commission is looking into whether Franklin Templeton, Oppenheimer Funds (OPY), J.P. Morgan Chase & Co. (JPM), and other mutual fund managers are charging investors for fund fees that have not been fully…
  • Jul 23

    Puerto Rico Owes $5.4B of Bond Payment

    Puerto Rico Owes $5.4B of Bond Payment
    Puerto Rico owes investors $5.4 billion of bond payments in the next 12 months. A lot of this debt is for COFINA, which is sales tax debt, and securities that were sold by the Government Development Bank. As a result of the upcoming…
Rank this Week: 319

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
Rank this Week: 902

Securities Compliance Sentinel

Securities Compliance Sentinel

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

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

    A Look Ahead: SEC to Adopt CEO-Pay Ratio Rule?

    A Look Ahead: SEC to Adopt CEO-Pay Ratio Rule?
    According to Andrew Ackerman and Joann Lublin of the Wall Street Journal, the Securities and Exchange Commission is “poised to complete a rule requiring companies to disclose the pay gap between chief executives and…
  • Jul 23

    How can a phone call save your career

    How can a phone call save your career
    A 17-year veteran advisor recently agreed to a lifetime ban for falsifying the signatures of a client on 10 documents transferring money out of the client’s accounts over a period of two months. Part of this transfer also involved 17…
  • Jul 21

    Who wants to know some pre and post data breach consideration

    Who wants to know some pre and post data breach consideration
    In a recent blog by Chris Pogue (a digital forensic expert), he highlighted a handful of considerations for firms both pre and post data breach. After all, the issue is not really whether you will suffer a breach, but when and how bad will it…
Rank this Week: 3847

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
  • Jul 29

    Cabot Investment Properties Under Investigation

    Cabot Investment Properties Under Investigation
    From the Desk of Jim Eccleston at Eccleston Law LLC:Timothy J. Kroll and business partner Carlton P. Cabot were arrested for allegedly defrauding investors in various Cabot Investment Properties LLC-sponsored real estate investments.The men…
  • Jul 28

    SEC Announces Cherry-Picking Charges Against Mark Welhouse

    SEC Announces Cherry-Picking Charges Against Mark Welhouse
    From the Desk of Jim Eccleston at Eccleston Law LLC:The SEC announced charges against Mark P. Welhouse. Welhouse is accused of “cherry-picking,” allocating appreciated in value options trades to personal accounts, while allocating…
  • Jul 24

    FINRA Fines Morgan Stanley And Scottrade For Failing to Detect Fraudulent Wire Transfer

    FINRA Fines Morgan Stanley And Scottrade For Failing to Detect Fraudulent Wire Transfer
    From the Desk of Jim Eccleston at Eccleston Law LLC:Morgan Stanley and Scottrade Inc. agreed to pay $950,000 to FINRA after the regulatory authority deemed that the two firms failed to monitor wire transfers of customer funds to third-party…
Rank this Week: 232

Florida Securities Fraud Lawyer…

Florida Securities Fraud Lawyer Blog

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

http://www.floridasecuritiesfraudlawyerblog.com/
  • Jul 29

    Reverse Mortgages: What You Need to Know

    Reverse Mortgages: What You Need to Know
    The TV is full of upbeat ads pitching reverse mortgages as an easy, cost–free way to generate income.  What many ads don’t say, is that reverse mortgages come with risk, including the risk of foreclosure. A reverse mortgage…
  • May 28

    FIFA Officials Indicted for Racketeering and Fraud

    FIFA Officials Indicted for Racketeering and Fraud
    The Department of Justice announced that high-ranking officials of the governing body for soccer worldwide – referred to as “football” outside of the United States – the Fédération Internationale de…
  • May 12

    SEC Sues Retirement Planners who Sold Life Settlement

    SEC Sues Retirement Planners who Sold Life Settlement
    According to the Securities and Exchange Commission (“SEC”), it has filed suit against a Texas retirement planning firm and its principals in connection with their practices in the sales of life settlement investments.  The…
Rank this Week: 375

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/
  • Jul 28

    FINRA Orders Morgan Stanley to Pay $2.4M Over Ex-Broker’s Trades, Bars Former Merrill Lynch Trader from the Industry

    FINRA Orders Morgan Stanley to Pay $2.4M Over Ex-Broker’s Trades, Bars Former Merrill Lynch Trader from the Industry
    A Financial Industry Regulatory Authority panel arbitration panel says that Morgan Stanley (MS) must pay at least $2.4M to settle the latest client claims accusing its former broker, Steven Mark Wyatt, of mishandling their investments. The…
  • Jul 24

    Ex-Oppenheimer Employees Resolve SEC Charges Over Unregistered Penny Stock Sale

    Ex-Oppenheimer Employees Resolve SEC Charges Over Unregistered Penny Stock Sale
    The Securities and Exchange Commission said that Scott A. Einsler, Arthur W. Lewis, and Robert Okin, three former Oppenheimer & Co. (OPY) employees, have settled charges involving the unregistered sales of billions of shares of penny…
  • Jul 24

    SEC Awards Over $3M to Whistleblower

    SEC Awards Over $3M to Whistleblower
    In the third highest award that the Securities and Exchange Commission has issued under its whistleblower program, the regulator is giving one individual $3 million for providing information that helped expose a complex fraud. The tip…
Rank this Week: 184

Stock Market Loss

Stock Market Loss

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

http://www.stockmarketloss.com/news/
  • Jul 28

    FINRA Permanently Bars Former Merrill Lynch Heavyweight Thomas Buck

    FINRA Permanently Bars Former Merrill Lynch Heavyweight Thomas Buck
    This article was originally posted on Stock Market Loss On April 3, 2015, we mentioned that Thomas J. Buck, who was Merrill Lynch’s top financial adviser in Indiana by assets under management –reportedly $1.3 billion – had…
  • May 26

    Investors Receive Biased Advice From Stockbrokers New Study Confirm

    Investors Receive Biased Advice From Stockbrokers New Study Confirm
    This article was originally posted on Stock Market Loss In our May 18th post, we discussed stockbrokers (sales persons who purportedly dispense advice only in conjunction with selling investment products) and investment advisors (who give…
  • May 19

    Non-Traded REITs are Unsuitable for Retail Investor

    Non-Traded REITs are Unsuitable for Retail Investor
    This article was originally posted on Stock Market Loss We continue to see lots of activity involving unsuitable sales of non-traded Real Estate Investment Trusts (“non-traded REITs”). If you’re a retail customer who was…
Rank this Week: 3608

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/
  • Jul 28

    SEC Awards Third Highest Whistleblower Award to Date

    SEC Awards Third Highest Whistleblower Award to Date
    On July 17, 2015, the SEC announced a whistleblower award of over $3 million to a company insider who provided information that “helped the SEC crack a complex fraud.”  This payout represents the third highest award under the…
  • Jul 22

    Don’t touch that remote (tippee)? Salman reflects Ninth Circuit’s view on Newman

    Don’t touch that remote (tippee)? Salman reflects Ninth Circuit’s view on Newman
    In United States v. Salman, the Ninth Circuit recently held that a remote tippee could be liable for insider trading in the absence of any “personal benefit” to the insider/tipper where the insider had a close personal…
  • Jul 14

    You Can’t Cover Up Fraud with TARP Funds: US Government Sues Bank President’s Estate

    You Can’t Cover Up Fraud with TARP Funds: US Government Sues Bank President’s Estate
    On July 1, 2015, the United States for the District of Columbia sued the estate and trusts of the late Layton P. Stuart – the former owner of One Financial Corporation and its subsidiary One Bank & Trust– and the Read More
Rank this Week: 3604

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Jul 27

    $2 mil. complaint pending against Morgan Stanley broker Craig Patrick Cunningham

    $2 mil. complaint pending against Morgan Stanley broker Craig Patrick Cunningham
    A $2.8 million dollar customer complaint is currently pending arbitration against Morgan Stanley broker Craig Patrick Cunningham of Orland Park, Illinois. The post $2 mil. complaint pending against Morgan Stanley broker Craig Patrick…
  • Jul 27

    Roric Eugene Griffith: REIT Complaint

    Roric Eugene Griffith: REIT Complaint
    The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Milwaukee-based Princor broker/adviser Roric Eugene Griffith. Roric Eugene Griffith has spent seventeen years in…
  • Jul 27

    ETF Complaint: Robert James Batchen (Uhlmann Price)

    ETF Complaint: Robert James Batchen (Uhlmann Price)
    The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Illinois-based Uhlmann Price broker/adviser Robert James Batchen. Robert James Batchen has spent twenty-four…
Rank this Week: 90

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: 2882

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/
  • Jul 27

    Civil Lesson From Criminal Trial

    Civil Lesson From Criminal Trial
    Civil lawyers can learn something from criminal trials. Here is a 20-minute talk . . .   . . . and, if you are ambitious, here is the slide deck: Civil Lessons from Criminal Trial
  • Jul 17

    New! Improved! Resources on White-Collar Crime and Cocktail

    New! Improved! Resources on White-Collar Crime and Cocktail
    We’ve recently expanded our blogs, links and sources page.  Good resources for white-collar crime, cocktails, crime fiction and theology.  Sometimes all at once. Have at it.  
  • Jun 24

    Flipboard Spotlight | White Collar | Nice Tie.

    Flipboard Spotlight | White Collar | Nice Tie.
    You may use Flipboard as a nifty way to organize news and media in which you have an interest.  (If you don’t use Flipboard, try it). For mysterious reasons, Flipboard decided to do a “spotlight” on me as a…
Rank this Week: 1890

New York Securities Lawyer Blog

New York Securities Lawyer Blog

Covers securities law. By Lax & Neville LLP.

http://www.newyorksecuritieslawyerblog.com/
Rank this Week: 2097

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
  • Jul 27

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
    Stockbroker Disqualified For Non Disclose Of Grand Jury InvestigationDo you know what a Target Letter is? If you don't and you're a Wall Street employee, you might want to take a few minutes and read about one registered person's tale of woe.…
  • Jul 20

    Stockbroker Disqualified For Non Disclose Of Grand Jury Investigation

    Stockbroker Disqualified For Non Disclose Of Grand Jury Investigation
    Do you know what a Target Letter is? If you don't and you're a Wall Street employee, you might want to take a few minutes and read about one registered person's tale of woe. During the relevant times, he wasn't charged with failing to…
  • Jul 20

    Bond Parking For Net Capital Benefit Disqualifies Brokerage Executive

    Bond Parking For Net Capital Benefit Disqualifies Brokerage Executive
    Wall Street is the financial capital of legerdemain, which is a fancy term for "sleight of hand." I mean, c'mon, what lawyer isn't going to use a fancy-schmanzy ten-dollar word instead of a penny-ante one? Whether it's high-stakes trading…
Rank this Week: 1490

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

http://www.seclawyersblog.com/
  • Jul 24

    Sonn|Erez Investigating Claims Involving James Madden

    Sonn|Erez Investigating Claims Involving James Madden
    Sonn|Erez is investigating claims regarding James Michael Madden (CRD #1086380, Indianapolis, Indiana). Madden recently submitted a Letter of Acceptance, Waiver and Consent ("AWC") in which he was fined $5,000 and suspended from association…
  • Jul 22

    Sonn|Erez Investigating Claims Involving Former Wells Fargo Broker Randall Girton

    Sonn|Erez Investigating Claims Involving Former Wells Fargo Broker Randall Girton
    Sonn|Erez is investigating claims regarding Randall Layne Girton (CRD #5807758, Orland Park, Illinois). Girton recently submitted a Letter of Acceptance, Waiver and Consent ("AWC") in which he was assessed a deferred fine of $12,500, which…
  • Jul 20

    Sonn|Erez Investigating Claims Involving City Securities Broker Leonard Tanner

    Sonn|Erez Investigating Claims Involving City Securities Broker Leonard Tanner
    Sonn|Erez is investigating claims regarding Leonard Eugene Tanner (CRD #442470, Indianapolis, Indiana). Tanner recently submitted a Letter of Acceptance, Waiver and Consent ("AWC") in which he was fined $15,000 and suspended from association…
Rank this Week: 569

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/
  • Jul 24

    SEC proposed rules for compensation clawback policie

    SEC proposed rules for compensation clawback policie
    The SEC has proposed rules that require the securities exchanges to adopt rules that in turn require listed companies to adopt, disclose and comply with a clawback policy for executive compensation based on erroneous financial statements. The…
  • Jun 29

    What types of companies might use Regulation A+ to raise capital?

    What types of companies might use Regulation A+ to raise capital?
    Recently finalized Regulation A+ allows most private companies to raise up to $50 million by selling securities to the public. Companies using Regulation A+ can advertise the offering and solicit investors, and anyone can invest (subject…
  • May 22

    World’s top banks plead guilty to gaming foreign-currency market

    World’s top banks plead guilty to gaming foreign-currency market
    Scandal roiled the banking industry Wednesday as four of the world’s largest banks — Citigroup, JPMorgan Chase, Barclays and Royal Bank of Scotland — pleaded guilty to federal antitrust violations for conspiring to…
Rank this Week: 1152

Cady Bar the Door

Cady Bar the Door

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

http://www.secmiscellany.com
Rank this Week: 3843

Corporate Securities Law Blog

Corporate Securities Law Blog

Focuses on complliance, corporate governance, disclosure, mergers and tax issues. By Sheppard Mullin.

http://www.corporatesecuritieslawblog.com/
Rank this Week: 1033

Business Law Post

Business Law Post

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

http://www.businesslawpost.com
Rank this Week: 1007

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/
Rank this Week: 1131

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: 373

The Securities Edge

The Securities Edge

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

http://www.thesecuritiesedge.com/
  • Jul 10

    Why I hate “best practices”

    Why I hate “best practices”
    Posted By: Robert B. Lamm Governance wonks can rest easy. In fact, we can all go home and think about another career. The reason? CalSTRS – California State Teachers’ Retirement System – has issued a “fact sheet”…
  • Jul 5

     Summer doldrums in DC? Not so much!

     Summer doldrums in DC? Not so much!
    Posted By: Robert B. Lamm For those who think nothing ever gets done in Washington, last week must have been a challenge. From outward appearances, both the SEC and the PCAOB seem to be working overtime, possibly in order to ruin our holiday…
  • Jul 3

    A dispatch from the front lines (with SEC Chair White telling us to wave the white flag)…

    A dispatch from the front lines (with SEC Chair White telling us to wave the white flag)…
    Posted By: Robert B. Lamm Last week I attended the National Conference of the Society of Corporate Secretaries and Governance Professionals in Chicago. It was a great conference – wonderful, substantive programs and a chance to catch up…
Rank this Week: 3704

Securities Mining Law

Securities Mining Law

Covers securities law affecting the mining industry in Canada.

http://www.securitiesmininglaw.com/
Rank this Week: 3576

Tim O'Connor's Blog

Tim O'Connor's Blog

Covers stockbroker fraud.

http://stockbrokerlaw.com/tim-oconnors-blog
Rank this Week: 1414

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • Jul 8

    Feds Take Aim at Investment Adviser

    Feds Take Aim at Investment Adviser
    The SEC and DOJ brought a slew of cases against IAR's and RIA's in the first half of 2015. At least six cases were filed just last month alone. Here is a brief summary of a sampling of those cases. On January 21, 2015, the SEC filed fraud…
  • Jul 1

    Wells Fargo Takes One on the Chin

    Wells Fargo Takes One on the Chin
    A St. Louis County jury recently awarded over $70 million to the beneficiary of two trusts against Wells Fargo (WF).WF and its predecessors had served as the corporate trustee of one trust, and the custodian of the other. This firm…
  • Mar 11

    The Arbitration System

    The Arbitration System
    The premise that underlies the justification for the loss of rights in arbitration is simple:  both parties knowingly agreed to binding arbitration.  This presumption is based upon the presumptions that 1) signators read contracts…
Rank this Week: 1340

Andrew Abramowitz, PLLC

Andrew Abramowitz, PLLC

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

http://aalegalnyc.com/blog/
  • Jul 8

    Interesting Legal Reads of the Week

    Interesting Legal Reads of the Week
    Some interesting legal reads for the week of July 6, 2015: The New York Times on the pitfalls of having too many angel investors. The SEC proposed new rules on “clawbacks” of executive compensation following the issuance of…
  • Jun 17

    Interesting Legal Reads of the Week

    Interesting Legal Reads of the Week
    Some interesting legal reads for the week of June 15, 2015: DealBook on how late-stage venture capital investors will invest at high valuations but with very favorable provisions like anti-dilution protection that can ultimately come at the…
  • Jun 12

    The Distinction Between Entity Name and Trademark

    The Distinction Between Entity Name and Trademark
    When I assist clients in setting up entities, one of the threshold matters, of course, is the selection of a name for the entity.  Once that is settled, and the entity is set up, many clients assume the job is complete as far as…
Rank this Week: 1532

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

http://www.hedgefundlawblog.com
  • Jul 1

    Hedge Fund Events July 2015

    Hedge Fund Events July 2015
    The following are various hedge fund events happening this month.  Please email us if you would like us to add your event to this list. **** Date: June 29-July 1, 2015 Sponsor: Infocast Event: 2nd California Water Summit Location:…
  • Jun 1

    Hedge Fund Events June 2015

    Hedge Fund Events June 2015
    The following are various hedge fund events happening this month.  Please email us if you would like us to add your event to this list. **** Date: May 31-June 2, 2015 Sponsor: WITI Event: The Women in Technology International (WITI)…
  • May 26

    Cole-Frieman & Mallon LLP 2015 First Quarter Update

    Cole-Frieman & Mallon LLP 2015 First Quarter Update
     www.colefrieman.com May 13, 2015 Clients and Friends: The first quarter of 2015 was a busy period for investment managers and service providers alike and we find ourselves sending out this update very late.  As a variety of filing…
Rank this Week: 110