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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: 246

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
  • May 29

    Job Uncertainty, Increase in Advisors Lead Top Branch Managers to Smaller Firm

    Job Uncertainty, Increase in Advisors Lead Top Branch Managers to Smaller Firm
    From the Desk of Jim Eccleston at Eccleston Law LLC:In a recent market trend, top branch managers are leaving national wirehouses for smaller firms. This trend can be attributed to two distinct causes: job uncertainty and an increase in the…
  • May 28

    Oil and Gas Company and Its Founder Charged with Fraud

    Oil and Gas Company and Its Founder Charged with Fraud
    From the Desk of Jim Eccleston at Eccleston Law LLC:The SEC filed suit against Texas businessman Brian J. Polito and his company GC Resources, LLC for defrauding investors through the sale of interests in oil and gas wells that the company…
  • May 27

    Massachusetts Securities Regulator Sues SEC to Overturn New Rules for Startup

    Massachusetts Securities Regulator Sues SEC to Overturn New Rules for Startup
    From the Desk of Jim Eccleston at Eccleston Law LLC:William Galvin, the Massachusetts securities regulator, has filed a lawsuit against the SEC to overturn a recently adopted rule that he claims curtails state oversight of stock offerings by…
Rank this Week: 239

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • May 29

    Molycorp Directors’ Failure to Predict Future Is Not Actionable

    Molycorp Directors’ Failure to Predict Future Is Not Actionable
    By Anne Sherry, J.D.Private equity investors in Molycorp, Inc., and the directors they appointed, have been unburdened of claims that they breached their fiduciary duties in connection with a secondary offering that injured minority…
  • May 28

    Two States Challenge Regulation A+

    Two States Challenge Regulation A+
    By Matthew Garza, J.D.Massachusetts and Montana have filed petitions for court review of Regulation A+, adopted unanimously by the SEC on March 25 to raise the dollar limit for smaller offerings that are exempt from Securities Act…
  • May 27

    Chairman Massad Concerned About Proposed EU Legislation on Benchmark Supervision

    Chairman Massad Concerned About Proposed EU Legislation on Benchmark Supervision
    By Lene Powell, J.D.In the wake of multiple enforcement actions against major banks for benchmark rate rigging, CFTC Chairman Timothy Massad sounded a warning about legislation being considered in Europe that could stop European banks and…
Rank this Week: 380

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: 5031

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
  • May 29

    Former Speaker Hastert Indicted: Structuring a Costly Cover-Up

    Former Speaker Hastert Indicted: Structuring a Costly Cover-Up
    Yesterday, the Department of Justice charged former House Speaker Dennis Hastert in an indictment stemming from his alleged agreement to pay an unknown individual $3.5 million “to compensate for and conceal his prior misconduct”…
  • May 1

    Confidentiality Shouldn’t End When the Lawyer Walks Through the Nonprofit’s Door

    Confidentiality Shouldn’t End When the Lawyer Walks Through the Nonprofit’s Door
    Yesterday, the Association of Corporate Counsel (“ACC”) filed an amicus curiae brief requesting that the Pennsylvania Supreme Court uphold the Commonwealth Court’s decision that there is no fiduciary duty for attorneys of…
  • Apr 24

    General Petraeus Avoids Jail for Leaking Classified Information to Girlfriend

    General Petraeus Avoids Jail for Leaking Classified Information to Girlfriend
    Yesterday, former CIA head and retired General David H. Petraeus was sentenced for leaking classified information about the war in Afghanistan to his biographer/mistress, Paula Broadwell. Broadwell published a biography about him in 2012,…
Rank this Week: 3136

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/
  • May 29

    SEC Files Civil Complaint against Patrick Churchville

    SEC Files Civil Complaint against Patrick Churchville
    Have you suffered investment losses through Patrick Churchville? If so, The White Law Group may be able to help you recover your losses through FINRA arbitration. The White Law Group is investigating Churchville’s alleged improper use…
  • May 27

    Inland American Name Change

    Inland American Name Change
    SEC records indicate that the purpose of the name change was to better reflect the company’s recent changes which include the transition to “self-management transaction” and “spin-off lodging platform.” According…
  • May 26

    Recovery of Hines Global REIT II Investment Losse

    Recovery of Hines Global REIT II Investment Losse
    Have you suffered investment losses in Hines Global REIT II? If so, The White Law Group may be able to help you recover your losses through FINRA arbitration. The White Law Group is investigating potential securities fraud claims involving…
Rank this Week: 322

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • May 29

    Expanded Audit Reports: Rolls Royce is the “Rolls Royce”

    Expanded Audit Reports: Rolls Royce is the “Rolls Royce”
    As the PCAOB continues to toy with the long-floated idea of “expanded” audit reports – which means that auditors would be required to include some narrative in their boilerplate – I thought it would be helpful to…
  • May 28

    Spoofed Emails From Your CEO: Get Very Scared!

    Spoofed Emails From Your CEO: Get Very Scared!
    If you haven’t heard about this, brace yourself. Some sophisticated scammers have been successful learning the style of how your CEO and other senior executives write their emails – and then are capable of sending emails from…
  • May 27

    Regulation A/A+: Massachusetts Sues SEC (In Two Paragraphs)

    Regulation A/A+: Massachusetts Sues SEC (In Two Paragraphs)
    Last Friday, in this “Petition for Review,” the Massachusetts Secretary has sued the SEC in the US Appeals Court for the District of Columbia asking the court to vacate the portion of the SEC’s new Regulation A+ rules that…
Rank this Week: 1294

California Corporate & Securities…

California Corporate & Securities Law

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

http://calcorporatelaw.com/
Rank this Week: 158

The Securities Edge

The Securities Edge

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

http://www.thesecuritiesedge.com/
  • May 28

    SAFEs and KISSes – Alternative investment vehicles can help early stage companies get financed

    SAFEs and KISSes – Alternative investment vehicles can help early stage companies get financed
    Posted By: Robert C. White Jr. Early stage and startup companies often face difficulty in obtaining initial financing.  These companies normally do not have access to traditional venture capital, angel, or bank financing.  Even when…
  • May 19

    Crazy is as crazy does – compensation run amok?

    Crazy is as crazy does – compensation run amok?
    Posted By: Robert B. Lamm As we approach the end of the 2015 peak proxy season, the annual parade of articles and studies of executive compensation has begun. To no one’s surprise (at least not mine), the numbers keep going up, and some…
  • May 14

    Chancery Court Holds Board to Heightened Fiduciary Duty Standard in Connection with Equity Award

    Chancery Court Holds Board to Heightened Fiduciary Duty Standard in Connection with Equity Award
    Posted By: Gustav L. Schmidt A recent case out of the Delaware Court of Chancery could result in heightened scrutiny of equity award grants to non-employee directors. Although this decision was rendered at the procedural stage of the case and…
Rank this Week: 2199

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

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

    Broker Spotlight: Wall Street Financial Group’s Charles Lieberman

    Broker Spotlight: Wall Street Financial Group’s Charles Lieberman
    The securities and investment fraud law firm, Fitapelli Kurta, is interested in speaking to investors who have complaints regarding Charles Lieberman formerly of Wall Street Financial Group, Inc. Charles Lieberman worked for Wall Street…
  • May 28

    Lindon, Utah broker, Guy Madsen, files for bankruptcy

    Lindon, Utah broker, Guy Madsen, files for bankruptcy
    Signator Financial Services broker, Guy Madsen, of Lindon, Utah, filed for Chapter 7 bankruptcy on July 30, 2014. The post Lindon, Utah broker, Guy Madsen, files for bankruptcy appeared first on Stock Fraud News & Information.
  • May 28

    San Antonio broker, Roger Frank Festor, pending complaint

    San Antonio broker, Roger Frank Festor, pending complaint
    Former DBA the Delta Company broker Roger Frank Festor, of San Antonio, Texas, has two pending customer complaints, according to his FINRA BrokerCheck Report. The post San Antonio broker, Roger Frank Festor, pending complaints appeared first…
Rank this Week: 243

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/
  • May 28

    NC Business Court: Motions To Amend And The Statute Of Limitation

    NC Business Court: Motions To Amend And The Statute Of Limitation
    Maybe you have the same nightmare that I do.  You have moved to amend your Complaint to add a new defendant.  The statute of limitations is about to run, but your motion to amend was made before the end of the limitations…
  • May 19

    NC Business Court Gives Full Faith And Credit To LegalZoom's California Class Action Settlement

    NC Business Court Gives Full Faith And Credit To LegalZoom's California Class Action Settlement
    There are probably some of you who lie awake at night wondering whether Leagalzoom's offering of do it yourself lawyering products will be found to be the unauthorized practice of law (UPL) in North Carolina. For those few of you, that…
  • May 15

    Two Claims You May Not Want To Make In North Carolina

    Two Claims You May Not Want To Make In North Carolina
    I said yesterday that there was too much in DSM Dyneema, LLC v. Thagard, 2015 NCBC 47 for just one post, so here are the rest of the key points from the case.  They involve two claims you might not want to bother to make in North…
Rank this Week: 4623

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/
  • May 28

    FIFA Indictments and the Notion of Global Compliance

    FIFA Indictments and the Notion of Global Compliance
    In an article by Joel Schectman for the Wall Street Journal and its “Morning Risk Report,” Jack Sharman is interviewed about the idea of a global compliance regime in light of the recent indictments of FIFA officials: Jackson…
  • Apr 23

    Barry Bonds, Ramblin’ Man

    Barry Bonds, Ramblin’ Man
      The federal appeals court in San Francisco recently reversed baseball player Barry Bonds’s conviction for obstruction of justice.  The criminal charge and conviction arose out of testimony that Bonds gave to a grand…
  • Apr 15

    The Old College Try, and The New College Tribunal

    The Old College Try, and The New College Tribunal
    In disciplinary proceedings involving claims of sexual assault, universities continue to find themselves in an intolerable situation, caught in a lawyer-triangle of the Department of Education’s Office of Civil Rights,…
Rank this Week: 2350

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/
  • May 28

    Ohio Stockbroker Jerry Cicolani Finally Barred From Financial Industry

    Ohio Stockbroker Jerry Cicolani Finally Barred From Financial Industry
    After pleading guilty to two criminal counts of selling unregistered securities, The Financial Industry Regulatory Authority (“FINRA”), the agency primarily charged with regulating the nation’s stockbrokers, finally barred…
  • May 26

    Massachusetts Securities Regulator Sues the SEC Over New Rules Affecting Small Company Stock Offering

    Massachusetts Securities Regulator Sues the SEC Over New Rules Affecting Small Company Stock Offering
    William Galvin, the securities regulator of Massachusetts, is suing the U.S. Securities and Exchange Commission. Galvin is seeking to stop new rules that he believes restricts state oversight of stock offerings made by emerging and small…
  • May 22

    Nationwide to Pay $8M Over Variable Annuity Pricing Violation

    Nationwide to Pay $8M Over Variable Annuity Pricing Violation
    Nationwide Life Insurance Co. has ben ordered to pay an $8 million penalty to the U.S. Securities and Exchange Commission for purposely delaying variable annuity and life insurance policy orders and that this led to company’s failure to…
Rank this Week: 583

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/
  • May 28

    Haan on NAM v. SEC

    Haan on NAM v. SEC
    Sarah Haan has an interesting post on Balkination about D.C. Circuit's rehearing of NAM v. SEC, the 2014 case in which the court threw out part of the SEC’s Conflict Minerals Rule on First Amendment grounds. The post addresses the...
  • May 28

    Koehler on the FCPA and SEC Forum Selection

    Koehler on the FCPA and SEC Forum Selection
    Mike Koehler has an interesting post on the Foreign Corrupt Practices Act on the FCPA Professor Blog. The post discusses how the SEC determines whether as a civil action in federal court or an SEC administrative proceeding. It's well worth...
  • May 28

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: Carlos Berdejo, Revisiting the Voting Prohibition in Bond Workouts, 89 Tul. L. Rev. 541 (2015). Hunter DeKoninck, Note, Breaking the Curse:…
Rank this Week: 186

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/
  • 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…
  • May 6

    LPL Financial Sanctioned for Supervisory Failure

    LPL Financial Sanctioned for Supervisory Failure
    According to the Financial Industry Regulatory Authority (“FINRA”), it has entered into a Letter of Acceptance, Waiver and Consent (“AWC”) with brokerage firm LPL Financial LLC for supervisory failures in a number of…
Rank this Week: 339

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/
  • May 28

    Former SEC ALJ Claims Bia

    Former SEC ALJ Claims Bia
    More information coming out from the Wall Street Journal's article on the failure of defendants to get a fair trial before the SEC's own administrative law judges.According to the article, one former SEC judge said she thought the system…
  • May 27

    SEC Wins Big When Bringing Cases In Front of its Own Judge

    SEC Wins Big When Bringing Cases In Front of its Own Judge
    This story is not going away, and the SEC needs to pull its collective heads out of the sand and stop denying what everyone knows. Using an administrative law judge, which you appoint, to decide charges that you decided to bring, by a…
  • May 22

    SEC News - FCPA Violations and Fraud

    SEC News - FCPA Violations and Fraud
    SEC Charges BHP Billiton With Violating FCPA at Olympic GamesGlobal resources company BHP Billiton has been charged with violating the Foreign Corrupt Practices Act (FCPA) when it sponsored the attendance of foreign government officials at…
Rank this Week: 706

Business Blog

Business Blog

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

http://www.businesslawnews.com/
  • May 28

    Up, Up and Away? FAA Proposes Commercial Drone Regulation

    Up, Up and Away? FAA Proposes Commercial Drone Regulation
    In February, the Federal Aviation Administration (FAA) released its much-anticipated commercial drone regulations. While the proposed drone regulations relax some restrictions, there is still along way to go before businesses will be able to…
  • May 27

    SEC Addresses Criticism By Publishing Forum-Selection Guideline

    SEC Addresses Criticism By Publishing Forum-Selection Guideline
    The SEC addresses criticism for its use of administrative proceedings as a means to secure more favorable rulings.  In response to the criticism, the agency recently published  forum-selection guidelines on its approach to forum…
  • May 22

    Is Your Start-Up Ready to Hire Employees? Here Are Some Employment Contract Basic

    Is Your Start-Up Ready to Hire Employees? Here Are Some Employment Contract Basic
    Once your startup is ready to hire employees, it is important to do it right. A written employment contract is recommendable to establish and structure the legal relationship when it you start to hire employees. If artfully drawn, the…
Rank this Week: 917

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/
  • May 28

    Corralling & Curtailing Merger Litigation: Lessons Learned From Past Reform

    Corralling & Curtailing Merger Litigation: Lessons Learned From Past Reform
    Here’s an excerpt from this blog by Lane Powell’s Doug Greene: What’s the harm with taking a shot at as many fixes as possible? Even if someone could see the big picture well enough to judge that these problems aren’t…
  • May 27

    Status Check: Case Seeking to Reverse Rural/Metro Progresse

    Status Check: Case Seeking to Reverse Rural/Metro Progresse
    For RBC v Jervis, the opening brief of RBC seeking reversal of Rural/Metro was filed last week in the Delaware Chancery Court. According to the scheduling order: 1. RBC’s Opening Brief may be up to 70 pages long and is due on or before…
  • May 20

    What Activist Investors Can Learn from Trian & DuPont

    What Activist Investors Can Learn from Trian & DuPont
    A few days ago, I blogged about these law firm memos describing the end result of Trian’s attempt on DuPont. Here’s an excerpt of this blog from “The Activist Investor” looking at it from the activist’s…
Rank this Week: 638

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • May 27

    Enforcement Settlements All Wrapped Up in a Bow

    Enforcement Settlements All Wrapped Up in a Bow
    Last year, the SEC’s Division of Enforcement launched the “Municipalities Continuing Disclosure Initiative” offering “favorable settlement terms” to municipal issuers and underwriters who self-report continuing…
  • May 27

    Who You Gonna Call? FINRA!

    Who You Gonna Call? FINRA!
    Last month, FINRA launched a toll-free FINRA Securities Helpline for Seniors at 844-57-HELPS (844-574-3577) to provide older investors with assistance from FINRA staff related to concerns they have with their brokerage accounts and…
  • May 14

    What Does The “E” In Email Mean Redux

    What Does The “E” In Email Mean Redux
    I recently blogged about the meaning of the “E” in email.  For a further discussion of the dangers associated with email, you can listen to this podcast.  The moral to the story is think long and hard before you hit that…
Rank this Week: 788

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: 410

Strictly Business

Strictly Business

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

http://www.strictlybusinesslawblog.com/
  • 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…
  • Apr 29

    Venture Capital Term Sheet Negotiation — Part 21: No-Shop and Confidentiality Provision

    Venture Capital Term Sheet Negotiation — Part 21: No-Shop and Confidentiality Provision
    This post is the twenty-first and final in a series giving practical advice to startups with respect to understanding and negotiating a venture capital term sheet. In the prior twenty posts, we provided an introduction to…
  • Mar 24

    Venture Capital Term Sheet Negotiation — Part 20: Founders’ Stock

    Venture Capital Term Sheet Negotiation — Part 20: Founders’ Stock
    This post is the twentieth in a series giving practical advice to startups with respect to understanding and negotiating a venture capital term sheet. In the prior nineteen posts, we provided an introduction to negotiation…
Rank this Week: 1273

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

http://www.seclawyersblog.com/
  • May 27

    Sonn|Erez Investigating Claims Involving Jonathan A. Franci

    Sonn|Erez Investigating Claims Involving Jonathan A. Franci
    Sonn|Erez is investigating claims regarding Jonathan A. Francis (CRD #5204602, Brooklyn, New York). Francis recently submitted an AWC in which he was barred from association with any FINRA member in any capacity. See FINRA Case…
  • May 25

    Sonn|Erez Investigating Claims Involving Former LPL Broker Charles Fackrell

    Sonn|Erez Investigating Claims Involving Former LPL Broker Charles Fackrell
    Sonn|Erez is investigating claims regarding Charles Caleb Fackrell (CRD #5369665, Boonville, North Carolina). Fackrell recently submitted an AWC in which he was barred from association with any FINRA member in any capacity. See FINRA Case…
  • May 23

    Sonn|Erez Investigating Claims Involving Former Legend Equities Broker Jerry Chancy

    Sonn|Erez Investigating Claims Involving Former Legend Equities Broker Jerry Chancy
    Sonn|Erez is investigating claims regarding Jerry Irvin Chancy (CRD #1787712, Savannah, Tennessee). Chancy recently submitted an AWC in which he was barred from association with any FINRA member in any capacity. See FINRA Case…
Rank this Week: 168

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
  • May 27

    BrokeAndBroker by Bill Singer WEEK IN REVIEW

    BrokeAndBroker by Bill Singer WEEK IN REVIEW
    Hundreds of Thousands Defrauded In $50 Million Text Messaging ScamOn May 28, 2015, the United States Attorney for the Southern District unsealed a criminal Complaint charging six Defendants with count of conspiracy to commit wire fraud; and…
  • May 27

    Hundreds of Thousands Defrauded In $50 Million Text Messaging Scam

    Hundreds of Thousands Defrauded In $50 Million Text Messaging Scam
    On May 28, 2015, the United States Attorney for the Southern District unsealed a criminal Complaint charging Defendants Lin Miao, Yong Jason Lee a/k/a "Jason Lee," Michael Pearse, Yongchao Liu a/k/a "Kevin Liu," Michael Pajaczkowski a/k/a…
  • May 26

    Study Guide Fails A Wannabe Stockbroker

    Study Guide Fails A Wannabe Stockbroker
    If there is a shortcut through the forest of continuing education, a detour around career qualification exams, or any way in which to avoid and evade the obligation to sit and take a test, someone has tried it. If it worked, we probably don't…
Rank this Week: 3879

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/
  • May 26

    Deutsche Bank Ordered to Pay $55M for Misstating Financial Reports During the Economic Crisi

    Deutsche Bank Ordered to Pay $55M for Misstating Financial Reports During the Economic Crisi
    The U.S. Securities and Exchange Commission is ordering Deutsche Bank AG (DB) to pay $55M to resolve charges accusing the firm of misstating financial reports during the peak of economic crisis. The regulator believes that the financial…
  • May 21

    Gray Financial is Charged with Bilking Georgia Pension Fund

    Gray Financial is Charged with Bilking Georgia Pension Fund
    The SEC is accusing investment advisory firm Gray Financial, its co-CEO Robert C. Hubbard IV, and president/founder Laurence O. Gray with fraud. The regulator claims that the three of them of breached their duty to clients by directing…
  • May 19

    Morgan Stanley to Pay $2M for Violations Involving Short Sales and Short Interest Reporting

    Morgan Stanley to Pay $2M for Violations Involving Short Sales and Short Interest Reporting
    The Financial Industry Regulatory Authority is fining Morgan Stanley & Co. LLC (MS) $2M for violations involving short sale and short interest reporting rules. The violations purportedly took place over six years. The financial firm is…
Rank this Week: 384

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

http://www.hedgefundlawblog.com
  • 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…
  • May 1

    Hedge Fund Events May 2015

    Hedge Fund Events May 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 4, 2015 Sponsor: Sohn Conference Event: Sohn Investment Conference Location: New York,…
  • Apr 1

    Hedge Fund Events April 2015

    Hedge Fund Events April 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: April 1, 2015 Sponsor: 100WHF Event: Investing in Healthcare Location: Boston, MA Date:…
Rank this Week: 742

New York Securities Lawyer Blog

New York Securities Lawyer Blog

Covers securities law. By Lax & Neville LLP.

http://www.newyorksecuritieslawyerblog.com/
  • May 26

    LPL Financial LLC Violates FINRA Supervision Rules During Its Expansion

    LPL Financial LLC Violates FINRA Supervision Rules During Its Expansion
    On May 6, 2015, LPL Financial LLC (“LPL”) submitted a Letter of Acceptance, Waiver and Consent (“AWC”) to the Financial Industry Regulatory Authority’s (“FINRA”) Department of Enforcement to settle…
  • May 12

    FINRA Panel Awards Ex-Morgan Stanley Employee $500,000 In Promissory Note Dispute

    FINRA Panel Awards Ex-Morgan Stanley Employee $500,000 In Promissory Note Dispute
    On May 7, 2015, a Financial Industry Regulatory Authority (“FINRA”) arbitration panel (the “Panel”) awarded (the “Award”) $500,000 to Respondent, John Offenburger (“Offenburger”), against the…
  • May 8

    SEC Charges Veros Partners Alleging $15 Million Ponzi Scheme

    SEC Charges Veros Partners Alleging $15 Million Ponzi Scheme
      On April 22, 2015, the Securities and Exchange Commission (“SEC”) filed a Complaint in the District Court for the United States Southern District of Indiana, Indianapolis Division (the “Complaint”), against…
Rank this Week: 2459

Stock Market Loss

Stock Market Loss

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

http://www.stockmarketloss.com/news/
  • 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…
  • May 18

    FINRA Toughens Sanctions Guidelines For Unsuitable Recommendation

    FINRA Toughens Sanctions Guidelines For Unsuitable Recommendation
    This article was originally posted on Stock Market Loss A stockbroker is not permitted to indiscriminately sell any available investment product to any customer he or she chooses, nor may a broker follow a “one-size-fits-all”…
Rank this Week: 4310

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: 740

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • May 26

    OneAmerica Securities Sanctioned By FINRA Over Failure to Supervise

    OneAmerica Securities Sanctioned By FINRA Over Failure to Supervise
    As we previously reported, The Financial Industry Regulatory Authority (FINRA) sanctioned and barred financial advisor Matthew Davis (Davis) concerning allegations of misconduct in several customer accounts. Davis was associated with…
  • May 19

    Wells Fargo Broker Aaron Parthemer Barred Over Private Securities Sale

    Wells Fargo Broker Aaron Parthemer Barred Over Private Securities Sale
    The Financial Industry Regulatory Authority (FINRA) barred broker Aaron Parthemer (Parthemer) concerning allegations that Parthemer engaged in private securities transactions – also known as “selling away.” FINRA alleged…
  • May 19

    Gana LLP Investigates Investor Losses in BPZ Energy

    Gana LLP Investigates Investor Losses in BPZ Energy
    The law offices of Gana LLP are currently investigating investors who have suffered losses in in now bankrupt oil and gas company, BPZ Resources, Inc. (BPZ Resources) (Stock Symbols: BPZRQ and BPZ)  BPZ Resources is an independent oil…
Rank this Week: 763

Subject to Inquiry

Subject to Inquiry

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

http://www.subjecttoinquiry.com/
  • May 26

    Here to Stay? Appellate Court Rejects Challenges to CFPB

    Here to Stay? Appellate Court Rejects Challenges to CFPB
    On May 1, 2015, the U.S. Court of Appeals for the D.C. Circuit rejected a constitutional challenge to the Consumer Financial Protection Bureau’s (CFPB’s) authority. In Morgan Drexen, Inc. v. CFPB, Morgan Drexen, Inc., which…
  • May 22

    White House Opposes Bill Giving Small Businesses Greater Voice in CFPB Rulemaking

    White House Opposes Bill Giving Small Businesses Greater Voice in CFPB Rulemaking
    Last month, the White House informed Congress that it opposes a bill passed by the House of Representatives designed to give small businesses a larger role in developing Consumer Financial Protection Bureau (CFPB) rules and regulations.…
  • May 21

    CFPB Enforcement Action Appeals: Quick Resolution with Unchecked Discretion

    CFPB Enforcement Action Appeals: Quick Resolution with Unchecked Discretion
    On March 9, 2015, Consumer Financial Protection Bureau (CFPB) Director Richard Cordray presided over oral argument in the first appeal hearing of an administrative enforcement action.   The appeal involves two companies that…
Rank this Week: 2314

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • May 22

    Adverse Interest

    Adverse Interest
    Is it possible for a securities class action based on alleged misrepresentations in a company’s public filings to proceed against an individual officer, but not the company (presuming the company is not otherwise immune from…
  • May 1

    Not Congress’s Concern

    Not Congress’s Concern
    The Securities Litigation Uniform Standards Act (“SLUSA”) is designed to limit the ability of plaintiffs to avoid the heightened pleading standards (and other procedural and substantive protections) applicable to federal…
  • Apr 17

    Creating Your Own Losse

    Creating Your Own Losse
    Under the PSLRA, the presumptive lead plaintiff in a securities class action is the applicant with the “largest financial interest in the relief sought by the class.”  The largest financial interest is measured by assessing…
Rank this Week: 2904

New York Securities Lawyers Blog

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

http://www.newyorksecuritieslawyersblog.com/
Rank this Week: 4078

Securities Fraud Attorney Blog

Securities Fraud Attorney Blog

Covers securities fraud, and other areas of securities law and banking and finance law. By Rich, Intelisano & Katz, LLP.

http://www.securitiesfraudattorneyblog.com/
  • May 22

    FINRA’s Regulatory Arm Announces Strengthening of Sanction Guidelines for Fraudulent Conduct by Broker

    FINRA’s Regulatory Arm Announces Strengthening of Sanction Guidelines for Fraudulent Conduct by Broker
    In a move intended to emphasize that FINRA’s ultimate mandate is to protect investors, the SRO’s National Adjudicatory Council last week issued newly-revised Sanction Guidelines including tougher ranges of recommended punishments…
  • May 8

    FINRA Fines LPL for Failure to Supervise on Complex Product

    FINRA Fines LPL for Failure to Supervise on Complex Product
    What are non-traditional exchange-traded funds (ETFs) and non-traded real estate investment trusts (REITs)? Why are independent broker dealers selling these complex products without proper supervision? FINRA wants to know and just slammed…
  • May 1

    Liability of Commercial Banks for Investment Advisor Fraud

    Liability of Commercial Banks for Investment Advisor Fraud
    An increasing issue in investment fraud cases is the liability of commercial banks for aiding and abetting fraud by an investment advisory firm that engages in fraud and then goes defunct. Such firms typically house their investment…
Rank this Week: 2467

Federal Securities Law Blog

Federal Securities Law Blog

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

http://www.fedseclaw.com/
  • May 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…
  • Apr 30

    SEC votes to propose executive compensation rule

    SEC votes to propose executive compensation rule
    On April 29, 2015, pursuant to the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, the Securities and Exchange Commission (SEC) voted 3 to 2 to approve a proposed amendment to executive compensation rules in Item 402…
  • Apr 3

    U.S. Supreme Court clarifies liability for opinions in registration statement

    U.S. Supreme Court clarifies liability for opinions in registration statement
    Opinions in registration statements continue to be one of the most commonly litigated items under Section 11 of the Securities Act of 1933 (“Section 11”). On March 24, 2015, the U.S. Supreme Court in Omnicare, Inc. v. Laborers…
Rank this Week: 566

Cady Bar the Door

Cady Bar the Door

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

http://www.secmiscellany.com
  • May 21

    Why Did BHP Billiton Settle an FCPA Case Including 7+ Year-Old Conduct?

    Why Did BHP Billiton Settle an FCPA Case Including 7+ Year-Old Conduct?
    Remember the Water Cube from the 2008 Olympics in Beijing?  BHP Billiton has probably had reason to think about it recently.  On Wednesday it settled an FCPA case with the SEC arising out of the company’s sponsoring the…
  • May 12

    D.C. Circuit Says “Heads I Win, Tails You Lose” Is Maybe Not the Best Set of Rules for Criminal Forfeiture

    D.C. Circuit Says “Heads I Win, Tails You Lose” Is Maybe Not the Best Set of Rules for Criminal Forfeiture
    If you’re a federal prosecutor, you have a lot of tools at your disposal.  Crimes waiting to be indicted are abundant.  If you’re having trouble getting a defendant sentenced as a career offender, you can see if he fits…
  • May 5

    Insider Trading Recklessness and Kevin Love’s Shoulder

    Insider Trading Recklessness and Kevin Love’s Shoulder
    A couple of weeks ago I expressed skepticism about the ultimate impact of Judge Rakoff’s recent opinion in SEC v. Payton.  In it, he held that for purposes of a motion to dismiss, the SEC had adequately alleged insider trading…
Rank this Week: 3979

Tim O'Connor's Blog

Tim O'Connor's Blog

Covers stockbroker fraud.

http://stockbrokerlaw.com/tim-oconnors-blog
  • May 21

    The New York State Department of Financial Services - Life Insurance Resource Center

    The New York State Department of Financial Services - Life Insurance Resource Center
    The New York State Department of Financial Services maintains a Life Insurance Resource Center on its website designed to inform New York State residents of the various life insurance-related products being sold in New York State. These…
  • May 18

    Reverse Convertibles – Risky Investments Plagued with Losse

    Reverse Convertibles – Risky Investments Plagued with Losse
    A number of brokerage firms have sold reverse exchangeable securities, also known as reverse convertibles, to retail investors. These structured products, promising high yields, are often difficult for the average investor to understand and…
  • May 15

    Are You Interested in Being An SEC Whistleblower?

    Are You Interested in Being An SEC Whistleblower?
    The Office of the Whistleblower of the Securities and Exchange Commission (hereafter “SEC”) established a whistleblower program on July 21, 2010 as a part of the Dodd-Frank Wall Street Reform and Consumer Protection Act signed by…
Rank this Week: 3858

Securities Litigation and…

Securities Litigation and Regulatory Enforcement Blog

Covers SEC investigations, insider trading, derivative actions, white collar defense, and whistleblowers. By Orrick, Herrington & Sutcliffe LLP.

http://blogs.orrick.com/securities-litigation/
Rank this Week: 4552

Business Law Post

Business Law Post

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

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

    Handshake Agreements: Still a Good Idea?

    Handshake Agreements: Still a Good Idea?
    I’ve seen this many times before: entrepreneurs enter into handshake agreements with others, trying to save on legal fees. Often, the counterparties are contractors, employees, investors, or co-founders. These entrepreneurs are not…
  • Jan 19

    How to Comply with New York Blue Sky Laws?

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

    The SEC Increases Focus On Digital Currencie

    The SEC Increases Focus On Digital Currencie
    It is clear that the SEC has been focusing on securities fraud involving digital currencies.  In July 2013, the SEC charged Trendon T. Shavers, the founder and operator of Bitcoin Savings and Trust, with defrauding investors in a…
Rank this Week: 3479

Representing Investors

Representing Investors

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

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

    Attorney Mark Maddox Quoted in IBJ Article

    Attorney Mark Maddox Quoted in IBJ Article
    Checkout the article Attorney Mark Maddox was quoted in below. http://www.ibj.com/articles/53113-sec-suit-firm-hid-mounting-losses?utm_source=this-week-in-ibj&utm_medium=newsletter&utm_campaign=2015-05-09 The post Attorney Mark Maddox…
  • May 8

    LPL Ordered to Pay 10M in Fines & 1.7M in Restitution

    LPL Ordered to Pay 10M in Fines & 1.7M in Restitution
    LPL Financial LLC facing 11.7M in sanctions by FINRA for widespread supervisory failures related to complex product sales, trade surveillance, and trade confirmations delivery. Supervisory failures include the sales of non-traditional…
  • May 7

    Colorado Merrill Lynch Brokers Terminated by Bank of America

    Colorado Merrill Lynch Brokers Terminated by Bank of America
    Our firm will be looking into investor complaints against Joseph Yanofsky and Brooke Clements and the Yanofsky Group as a result of their termination from Bank of America Merrill Lynch.…
Rank this Week: 436

Footnoted

Footnoted

Reports on actionable information in SEC filings.

http://www.footnoted.com/
  • May 6

    Herbalife v. Ackman: Who’s manipulating who?

    Herbalife v. Ackman: Who’s manipulating who?
    In the 10-Q that it filed yesterday, Herbalife confirmed a DoJ query and accused short seller Bill Ackman of stock manipulation.
  • May 1

    Warning signals in Yelp’s 10-K

    Warning signals in Yelp’s 10-K
    On March 2, we put out a Pro report based on Yelp's 10K. That report is now available here for free.
  • Apr 29

    Pier 1’s Not-So Confidential Agreement

    Pier 1’s Not-So Confidential Agreement
    Pier 1 is the latest company to file a confidential agreement with the SEC, providing details on its agreement with its former CFO.
Rank this Week: 3264

Startup Law Blog

Startup Law Blog

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

http://www.startuplawblog.com/
  • Apr 27

    Join Us at Pacific Rim M&A Institute This Wednesday

    Join Us at Pacific Rim M&A Institute This Wednesday
    Please join us for the Pacific Rim M&A Institute’s next session. This quarter’s program features Port of Seattle CEO, Ted J. Fick, who will discuss how the Port contributes to our region’s economy. We look forward to…
  • Dec 18

    Revenue Lending

    Revenue Lending
    I recently had the chance to sit down with BJ Lackland, the CEO of Lighter Capital, to talk about life, revenue loans, and Lighter Capital. Below is a transcript of most of our talk. – JW: BJ, what’s the first … Continue…
  • Nov 28

    Current Funding Trends and Capital Raising Tip

    Current Funding Trends and Capital Raising Tip
    How Are You Planning to Fund Your Big Idea in 2015? Due to cheaper tools, the cost of getting a startup off the ground has markedly decreased over the past dozen or so years. However, despite lower costs, it can … Continue reading…
Rank this Week: 2887

Recover Investment Losses Blog

Recover Investment Losses Blog

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

http://blog.rexsecuritieslaw.com
  • Apr 23

    ForceField Energy Stock Trading Suspended-CEO Arrested for Securities Fraud

    ForceField Energy Stock Trading Suspended-CEO Arrested for Securities Fraud
    April 21, 2015- The Securities and Exchange Commission (SEC) suspended trading in the securities of ForceField Energy, Inc. (FNRG)  until May 5th due to concerns about the adequacy and accuracy of information available to investors in…
  • Apr 23

    Former D’Hanis State Bank President Indicted for Fraud & Embezzlement

    Former D’Hanis State Bank President Indicted for Fraud & Embezzlement
    April 17, 2015- San Antonio, Texas The FBI announced that Laurie Mayfield (aka Laurie H. Scott), 54, of Fredericksburg, Texas, was indicted for bank fraud and embezzlement. According to the release, Mayfield , formerly president of…
  • Apr 23

    Houston Broker Suspended for Trading Account Without Client’s Permission

    Houston Broker Suspended for Trading Account Without Client’s Permission
    April 8, 2015- Austin, Texas The Texas State Securities Board (TSSB) suspended Bruce William Schoendorf, an investment adviser of Hurwitz Associates,  for ten days for exercising discretion in a client account in violation of a…
Rank this Week: 2621

Andrew Abramowitz, PLLC

Andrew Abramowitz, PLLC

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

http://aalegalnyc.com/blog/
  • Apr 16

    Employee vs. Independent Contractor

    Employee vs. Independent Contractor
    In my practice, the question of classification of service providers as employees or independent contractors has come up with increasing frequency.  This probably results from the increasing amount of freelancing in the economy in recent…
  • Apr 14

    Interesting Reads of the Week

    Interesting Reads of the Week
    Some interesting legal reads for the week of April 13, 2015: From DealBook, arguments in favor of allowing law firms to go public. From Bloomberg, leveraged loans are not considered securities, which is a disputed point. From the WSJ, several…
  • Apr 2

    Regulation A+ – How It Fits Into the System

    Regulation A+ – How It Fits Into the System
    The SEC recently adopted final rules implementing significant changes to securities offerings done under Regulation A.  Because of the greatly expanded scope of the offerings, they are referred to colloquially as Regulation A+…
Rank this Week: 3252

Securities Mining Law

Securities Mining Law

Covers securities law affecting the mining industry in Canada.

http://www.securitiesmininglaw.com/
  • Apr 13

    Mining Issuers: Ensure your Websites and Investor Presentations Comply with NI 43-101

    Mining Issuers: Ensure your Websites and Investor Presentations Comply with NI 43-101
    Mining issuers have their qualified persons (“QPs”) and occasionally legal counsel review technical disclosure, including news releases and technical reports, to ensure they comply with National Instrument 43-101 Standards of…
  • Mar 3

    Welcome Tax Measures Announced at the PDAC 2015 Convention

    Welcome Tax Measures Announced at the PDAC 2015 Convention
    On Sunday March 1, 2015, the Honourable Joe Oliver, Federal Minister of Finance addressed the Prospectors & Developers Association of Canada (“PDAC”) at the annual PDAC Convention in Toronto and announced certain proposals…
  • Feb 23

    PDAC

    PDAC
    Only going to one mining investment show? Make it this one. PDAC International Convention, Trade Show & Investors Exchange is the world’s leading Convention for people, companies and organizations in, or connected with, mineral…
Rank this Week: 2409

Kueser Law Firm Blog

Kueser Law Firm Blog

Covers securities and investment fraud, as well as other consumer and investor-related issues.

http://blog.jmkesquire.com
Rank this Week: 4860