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Securities Lawyer 101

Securities Lawyer 101

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

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

    Going Public Blog l Securities Lawyer 101

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

    Going Public Blog l Securities Lawyer 101

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

    SEC Final Judgment Entered Against Graduate Leverage

    SEC Final Judgment Entered Against Graduate Leverage
    Going Public LawyerOn December 23, 2016, the United States District Court for the District of Massachusetts entered final judgments against Graduate Leverage, LLC, GL Capital Partners, LLC, GL Investment Services, LLC, Taft Financial…
Rank this Week: 473

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • Feb 20

    Melbourne

    Melbourne
    The D&O Diary is on assignment in Australia this week, for meetings and for little bit of a look around. The first stop on this sojourn down under was in Melbourne, in the Australian state of Victoria, on the Southeastern quadrant of…
  • Feb 19

    A Closer Look at Securities Litigation Involving Life Sciences Companie

    A Closer Look at Securities Litigation Involving Life Sciences Companie
    As I noted in my survey of 2016 securities class action litigation (here), one of the factors contributing to the rise in securities litigation last year was the volume of litigation filed against companies in the life sciences sector.…
  • Feb 16

    Book Review: Federal Securities Litigation

    Book Review: Federal Securities Litigation
    The interpretation and application of the federal securities laws has in recent years proven to be a rapidly changing arena. For that reason, it is a particularly welcome development that the authors of the “Federal Securities…
Rank this Week: 147

Investment Fraud Information

Investment Fraud Information

By Andrew Stoltmann.

http://www.investmentfraudtimes.com/securities-fraud-attorneys/
  • Feb 20

    If I Lost Money With Vanguard, How Can I Recover Those Losses?

    If I Lost Money With Vanguard, How Can I Recover Those Losses?
    You can recover the losses you have sustained with The Vanguard Group by calling our law offices in Chicago at 312-332-4200 to speak with an attorney for a free consultation. We are Chicago and Barrington, Illinois-based securities attorneys…
  • Feb 20

    Jeffrey Cadan; Morgan Stanley; New York, New York

    Jeffrey Cadan; Morgan Stanley; New York, New York
    Stoltmann Law Offices is investigating Jeffrey Cadan, a former broker with Morgan Stanley in New York, New York. Cadan has been accused of acting negligently, misrepresenting material facts, committing fraud, not disclosing a conflict of…
  • Feb 20

    Travis Dillard; Wells Fargo; Tucson, Arizona

    Travis Dillard; Wells Fargo; Tucson, Arizona
    Stoltmann Law Offices is investigating Travis Dillard, a registered broker with Wells Fargo Clearing Services in Tucson, Arizona. Dillard was accused of recommending unsuitable investments, recommending unsuitable equity investments and…
Rank this Week: 5083

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
  • Feb 20

    Net 204 Brokers Left Wells Fargo in the Fourth Quarter

    Net 204 Brokers Left Wells Fargo in the Fourth Quarter
    From the Desk of Jim Eccleston at Eccleston Law LLC:Across its private client, independent brokerage and in-bank brokerage channels, Wells Fargo Advisors experienced a net loss of 204 brokers during the fourth quarter of this past year.…
  • Feb 20

    Former Texas Registered Rep Arrested for Internet Ponzi Scheme

    Former Texas Registered Rep Arrested for Internet Ponzi Scheme
    From the Desk of Jim Eccleston at Eccleston Law LLC:Former registered rep Bobby Eugene Guess was arrested following his indictment on charges of securities fraud, theft, money laundering and engaging in organized criminal activity related to…
  • Feb 17

    New Recommendations by the FINRA Dispute Resolution Task Force

    New Recommendations by the FINRA Dispute Resolution Task Force
    From the Desk of Jim Eccleston at Eccleston Law LLC:This is the second in a series of posts to discuss the 51 recommendations the FINRA Dispute Resolution Task Force (Task Force) has made to the National Arbitration and Mediation Committee…
Rank this Week: 142

Classified: The Class Action Blog

Classified: The Class Action Blog

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

http://classifiedclassaction.com/
Rank this Week: 5025

Regulation tomorrow

Regulation tomorrow

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

http://www.regulationtomorrow.com/
  • Feb 20

    ECB consults on amendments to Regulation on reporting of supervisory financial information

    ECB consults on amendments to Regulation on reporting of supervisory financial information
    The European Central Bank (ECB) has published a consultation paper on amendments to the ECB Regulation on reporting of supervisory financial information (Regulation). The ECB proposes to amend the Regulation to reflect the European Banking…
  • Feb 20

    Single Resolution Board report on approach to MREL in 2016 and next step

    Single Resolution Board report on approach to MREL in 2016 and next step
    The Single Resolution Board (SRB) has published a report on its approach to the minimum requirement for own funds and eligible liabilities (MREL) in 2016 and its approach towards setting MREL in 2017 and beyond. The SRB determined that a…
  • Feb 20

    CLLS responds to FCA third consultation on MiFID II implementation

    CLLS responds to FCA third consultation on MiFID II implementation
    In September 2016, the FCA published its third MiFID II consultation paper, Consultation Paper 16/29: Markets in Financial Instruments Directive II implementation – Consultation Paper III.  The deadline for comments on this…
Rank this Week: 5108

Securities Law Attorneys Blog

Securities Law Attorneys Blog

Covers securities law. By Fitapelli | Kurta.

http://www.securitieslawattorneys.net/
  • Feb 17

    Broker Andrew Constatinides: One Pending Customer Complaint

    Broker Andrew Constatinides: One Pending Customer Complaint
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on February 14, 2017 indicate that Florida-based Merrill Lynch broker/adviser Andrew Constatinides has been named in a pending customer dispute.…
  • Feb 17

    Alan Rosenberg Has Received a Customer Complaint

    Alan Rosenberg Has Received a Customer Complaint
    Public records published by the Financial Industry Regulatory Authority (FINRA) on February 14, 2017 indicate that New York-based Raymond James & Associates broker/adviser Alan Rosenberg has been the subject of resolved or pending…
  • Feb 17

    David Niswonger Has One Pending Customer Dispute

    David Niswonger Has One Pending Customer Dispute
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on February 14, 2017 indicate that Indiana-based Raymond James & Associates broker/adviser David Niswonger has been named in a pending customer…
Rank this Week: 3220

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/
  • Feb 17

    OE Capital Ventures LLC Investigation

    OE Capital Ventures LLC Investigation
    Concerned about investment losses in OE Capital Ventures LLC? Have you suffered losses investing in OE Capital Ventures LLC? If so, The White Law Group may be able to help you recover your losses through FINRA arbitration. The SEC announced…
  • Feb 17

    Manuel Mejia-Gomez Suspended from Securities Industry

    Manuel Mejia-Gomez Suspended from Securities Industry
    Concerned about investment losses with Manuel Mejia-Gomez? Have you suffered losses investing with Manuel Mejia-Gomez? If so, The White Law Group may be able to help you recover your losses through FINRA Arbitration. According to FINRA,…
  • Feb 17

    Andrew Corbman Barred from Securities Industry

    Andrew Corbman Barred from Securities Industry
    Concerned about investment losses with Andrew Corbman? Have you suffered losses investing with Andrew Corbman? If so, The White Law Group may be able to help you recover your losses through a FINRA Arbitration claim. According to FINRA,…
Rank this Week: 332

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: 2562

Stock Market Loss

Stock Market Loss

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

http://www.stockmarketloss.com/news/
Rank this Week: 3143

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Feb 17

    SEC advisory committee ponders why companies are staying private

    SEC advisory committee ponders why companies are staying private
    By Anne Sherry, J.D.“Because they can,” quipped panelists at an SEC advisory committee session examining why companies are staying private longer. A higher accredited investor limit and unprecedented amounts of private capital…
  • Feb 16

    Dissolution and sanctions appropriate for feuding co-owner

    Dissolution and sanctions appropriate for feuding co-owner
    By Amy Leisinger, J.D.The Delaware Supreme Court affirmed chancery court decisions appointing a custodian to sell a highly profitable, yet managerially dysfunctional company and requiring one of the company’s CEOs to pay over $7.1…
  • Feb 15

    Focus on governance, enforcement to rebuild faith in institutions, says CFTC’s Bowen

    Focus on governance, enforcement to rebuild faith in institutions, says CFTC’s Bowen
    By Lene Powell, J.D.Rapid technological change and structural economic problems, including massive manufacturing job losses, are causing many Americans to feel they’re not getting a fair deal, said CFTC Commissioner Sharon Bowen in…
Rank this Week: 150

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/
  • Feb 17

    Forum Selection Bylaws: Yet Another Brick in the Wall

    Forum Selection Bylaws: Yet Another Brick in the Wall
    Last year, Broc blogged about California joining the list of states that will enforce Delaware forum selection bylaws.  This Troutman Sanders memo says that we can add Missouri to the list: In a recent decision, a Missouri state…
  • Feb 16

    Transcript: “Privilege Issues in M&A”

    Transcript: “Privilege Issues in M&A”
    We have posted the transcript for our recent webcast: “Privilege Issues in M&A.”
  • Feb 15

    Enforcement: SEC Targets Control Contest Disclosure

    Enforcement: SEC Targets Control Contest Disclosure
    Yesterday, the SEC’s Division of Enforcement announced two new actions involving disclosure violations that took place in the heat of takeover & activist battles.  Disclosure in this arena seems to be an area of…
Rank this Week: 585

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Feb 17

    Enforcement: Acting SEC Chair Trims Subpoena Power

    Enforcement: Acting SEC Chair Trims Subpoena Power
    Mike Piwowar may only be “Acting” SEC Chair – but he’s never going to be accused of just keeping the seat warm for Jay Clayton.  This WSJ article reports that Piwowar has revoked subpoena…
  • Feb 16

    Our New “Form S-3 Handbook”

    Our New “Form S-3 Handbook”
    Spanking brand new. By popular demand, this comprehensive “Form S-3 Handbook” covers the entire terrain, from “baby shelfs” to “automatic shelfs” and everything in between. This one is a real gem –…
  • Feb 15

    Earnings Releases: Rethink Using Your Website to Get the Word Out

    Earnings Releases: Rethink Using Your Website to Get the Word Out
    MarketWatch’s reporters have been reading your earnings releases – and this article says they’re not impressed. It surveys a number of major companies’ releases, concluding that they’re generally a…
Rank this Week: 294

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/
  • Feb 17

    Is California “The Biggest Loser”?

    Is California “The Biggest Loser”?
    I am very excited to be moderating a panel discussion this weekend at a symposium entitled Can Delaware Be Dethroned? Evaluating Delaware’s Dominance Of Corporate Law.  The symposium is being presented by the…
  • Feb 16

    Bill Introduced To Require Registration Of Finders Under The California Finance Lenders Law

    Bill Introduced To Require Registration Of Finders Under The California Finance Lenders Law
    The California Finance Lenders Law, Financial Code § 22000 et seq., currently requires licensing of finance lenders and brokers.  A finance lender is defined as any person who is engaged in the business of making consumer…
  • Feb 15

    Investment Advisers And Broker-Dealers Face Scant Likelihood Of California Examination

    Investment Advisers And Broker-Dealers Face Scant Likelihood Of California Examination
    The California Department of Business Oversight recently issued a report on its Broker-Dealer/Investment Adviser Program.  This report was required by the Budget Act of 2014. Although short, the report provides some…
Rank this Week: 369

Stock Broker Fraud Blog

Stock Broker Fraud Blog

Covers broker fraud, investor fraud, marketing timing, and securities fraud. By Shepherd Smith Edwards & Kantas.

http://www.stockbrokerfraudblog.com/
Rank this Week: 152

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
  • Feb 16

    Morgan Stanley Smith Barney to Pay $8M Penalty

    Morgan Stanley Smith Barney to Pay $8M Penalty
    Morgan Stanley Smith Barney has agreed to pay an $8 million penalty and admit wrongdoing to settle SEC charges that the firm made unsuitable recommendations about single inverse exchange traded fund (“ ETF”)  investments to…
  • Feb 13

    Variable Annuity Rider

    Variable Annuity Rider
    One of the most common investments sold by financial advisors to investors is the Variable Annuity (VA). These products are often sold because they pay among the highest commissions to the advisor. In recent years, we have seen many cases…
  • Feb 6

    Morgan Stanley Financial Advisor Barry Connell Arrested for Stealing more than $5 million from Client Account

    Morgan Stanley Financial Advisor Barry Connell Arrested for Stealing more than $5 million from Client Account
    On January 3, 2017, Preet Bharara, the United States Attorney for the Southern District of New York, and William F. Sweeney Jr., the Assistant Director-in-Charge of the New York Field Office of the Federal Bureau of Investigation…
Rank this Week: 537

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: 335

New York Securities Lawyers Blog

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

http://www.newyorksecuritieslawyersblog.com/
  • Feb 16

    Jenice Malecki Makes An Appearance on CNBC’s American Greed

    Jenice Malecki Makes An Appearance on CNBC’s American Greed
    Source: Jenice Malecki Makes An Appearance on CNBC’s American Greed
  • Feb 14

    BROKER REPORT: Financial Advisor Matthew Maczko

    BROKER REPORT: Financial Advisor Matthew Maczko
    The securities fraud attorneys at Malecki Law are interested in hearing from investors who have complaints against stockbroker Matthew Maczko.  Mr. Maczko was employed and registered with Wells Fargo Advisors, LLC, a national…
  • Feb 14

    FINRA Bars Wells Fargo Broker Matthew Maczko

    FINRA Bars Wells Fargo Broker Matthew Maczko
      Former Wells Fargo broker Matthew Maczko has been barred by FINRA for allegedly churning an elderly client’s accounts, according to reports. Maczko is accused of churning four accounts belonging to a client, who was over 90 years…
Rank this Week: 2275

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/
  • Feb 16

    SEC News - Stolen Funds, Ponzi Scheme, Overbilling Client

    SEC News - Stolen Funds, Ponzi Scheme, Overbilling Client
    Financial Adviser Charged With Stealing From Client AccountsAn investment adviser representative has been charged with stealing approximately $5 million from client accounts by initiating unauthorized wire transfers and issuing checks to…
  • Feb 1

    SEC News - Impeding Whistleblowers, Accounting Failures, Misuse of EB-5 Investment

    SEC News - Impeding Whistleblowers, Accounting Failures, Misuse of EB-5 Investment
    Financial Company Charged With Improper Accounting and Impeding WhistleblowersSeattle-based financial services company HomeStreet Inc. has agreed to pay a $500,000 penalty to settle charges that it conducted improper hedge accounting and…
  • Jan 31

    SEC News - Internalization, Miscalculations, and FCPA Violation

    SEC News - Internalization, Miscalculations, and FCPA Violation
    Citadel Securities Paying $22 Million for Misleading Clients About Pricing TradesThe SEC’s order finds that Citadel Execution Services suggested to its broker-dealer clients that upon receiving retail orders they forwarded from their…
Rank this Week: 499

New York Securities Lawyer Blog

New York Securities Lawyer Blog

Covers securities law. By Lax & Neville LLP.

http://www.newyorksecuritieslawyerblog.com/
Rank this Week: 4184

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • Feb 15

    Ed Raleigh Publishes Mail and Wire Fraud Article

    Ed Raleigh Publishes Mail and Wire Fraud Article
    Our colleague Ed Raleigh in our DC office has published an insightful article on Mail and Wire Fraud in the ABA’s Criminal Justice Magazine.  We invite you to read it.  Continue Reading…
  • Feb 15

    Ed Raleigh Publishes Mail and Wire Fraud Article

    Ed Raleigh Publishes Mail and Wire Fraud Article
    Our colleague, Ed Raleigh, in our DC Office has published an insightful article on Mail and Wire Fraud in the ABA’s Criminal Justice Magazine.  Here is the link for your…
  • Feb 13

    SEC’s Exam Deficiencie

    SEC’s Exam Deficiencie
    The SEC recently released its findings relating to exams of investment advisers.  https://www.sec.gov/ocie/Article/risk-alert-5-most-frequent-ia-compliance-topics.pdf. In particular, the SEC’s Office of Compliance Inspections and…
Rank this Week: 1295

Institutional Investor Securities…

Institutional Investor Securities Blog

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

http://www.institutionalinvestorsecuritiesblog.com/
Rank this Week: 1016

Amato Law Firm, LLC Blog

Amato Law Firm, LLC Blog

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

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

    FINRA Bars Former Wells Fargo Advisors Broker Matthew Maczko

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

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

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

    JPMorgan Found to Have Retaliated Against Adviser, Filed Defamatory U5

    JPMorgan Found to Have Retaliated Against Adviser, Filed Defamatory U5
    A recent investigation by the U.S. Occupational Safety and Health Administration (OSHA) has resulted in an award of more than $160,000 for back pay and “reputational damage” to a former JPMorgan Chase & Co. financial adviser.…
Rank this Week: 3739

Strictly Business

Strictly Business

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

http://www.strictlybusinesslawblog.com/
Rank this Week: 1945

Subject to Inquiry

Subject to Inquiry

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

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

    Pending Senate Bill Would Restructure CFPB Leadership

    Pending Senate Bill Would Restructure CFPB Leadership
    On January 11, 2017, a trio of Republican Senators introduced a bill that would change the leadership structure of the Consumer Financial Protection Bureau (“CFPB”) from a single director to a five-member bipartisan “Board…
  • Feb 8

    Will Cryptocurrency Abuse be an Enforcement Focus for the IRS this Tax Season?

    Will Cryptocurrency Abuse be an Enforcement Focus for the IRS this Tax Season?
    Tax filing season began January 23rd, and with its arrival the IRS began rolling out its annual list of the so-called “Dirty Dozen.” The Dirty Dozen list is an educational effort to inform the public about scams, but it also…
  • Feb 7

    Trump Signals Beginning of Efforts to Curtail Dodd-Frank

    Trump Signals Beginning of Efforts to Curtail Dodd-Frank
    On February 3, President Donald J. Trump signed an executive order that signaled the beginning of the Trump Administration’s efforts to dismantle parts of the Dodd-Frank Wall Street Reform and Consumer Protection Act…
Rank this Week: 4219

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

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

    Broker Investigation: Customer Complaints Against Scott Palmer

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

    Advisor Robert Estevez Subject to Multiple Regulatory Action

    Advisor Robert Estevez Subject to Multiple Regulatory Action
    The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Robert Estevez (Estevez). According to BrokerCheck records there are at least 9…
  • Feb 10

    Michael Spears Subject to Claims Over Non-Traded REIT

    Michael Spears Subject to Claims Over Non-Traded REIT
    Our investment attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Michael Spears (Spears) currently associated with IMS Securities, Inc. alleging negligence, failure to…
Rank this Week: 1663

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Feb 10

    Compare and Contrast

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

    Transparently Aspirational

    Transparently Aspirational
    Can shareholders bring a claim for securities fraud when a corporate official violates the company’s code of conduct after publicly touting the business’s high standards for ethics and compliance?  According to the U.S. Court…
  • Jan 22

    Pipe Dream

    Pipe Dream
    The federal securities laws have statutes of repose that bar a suit after a fixed number of years from the time the defendant acts in some way.  There is an appellate split, however, over whether the existence of a class ……
Rank this Week: 929

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
  • Feb 9

    Sharemaster, Howard Feigenbaum and Johnny Burris Battle Wall Street's Goliath

    Sharemaster, Howard Feigenbaum and Johnny Burris Battle Wall Street's Goliath
    PERSONAL MESSAGE FROM BrokeAndBroker.com Blog publisher Bill Singer: "Sharemaster Becomes The Beastmaster Of FINRA And SEC" (BrokeAndBroker.com Blog, February 17, 2017) presented the saga of FINRA member firm Sharemaster and its Sole…
  • Feb 9

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
    Sharemaster Becomes The Beastmaster Of FINRA And SECMuch has happened since May 2010 when Sharemaster's 2009 annual report was called out by FINRA's Department of Market Regulation. Not the least of the developments is that the Trump…
  • Feb 8

    Sharemaster Becomes the Beastmaster of FINRA and SEC

    Sharemaster Becomes the Beastmaster of FINRA and SEC
    Get a cup of coffee and a couple of donuts – okay, go ahead, make it three donuts. Find a comfy chair. Sit down. Settle in. This is a long one and it’s going to take some time to get up on the old learning curve. Come with me as we…
Rank this Week: 1350

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
Rank this Week: 1252

Footnoted

Footnoted

Reports on actionable information in SEC filings.

http://www.footnoted.com/
  • Feb 8

    On Intuitive Surgical’s trifecta of event

    On Intuitive Surgical’s trifecta of event
    Intuitive Surgical warned about a trifecta of events in its recent 10-K
  • Jan 12

    2016: The year in filing

    2016: The year in filing
    There were 670,00 filings made to the SEC in 2016, with the largest filing over 3,330 pages!
  • Nov 30

    Post-election disclosure

    Post-election disclosure
    It’s now been three weeks since Americans elected Donald Trump as the nation’s next President. While Trump doesn’t take office until Jan. 20, 2017, we’ve seen a number of interesting disclosures in SEC filings related…
Rank this Week: 4328

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: 451

Federal Securities Law Blog

Federal Securities Law Blog

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

http://www.fedseclaw.com/
  • Feb 7

    FTC revises HSR and interlocking directorate threshold

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

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

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

    Supreme Court affirms family insider trading conviction

    Supreme Court affirms family insider trading conviction
    On Tuesday, The United States Supreme Court unanimously affirmed an insider trading conviction by finding that inside information exchanged between relatives violates federal security laws. The case is Salman v. United States. The decision…
Rank this Week: 979

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/
  • Feb 6

    Reminder: National Business Law Scholars Conference Paper Submissions Due February 17

    Reminder: National Business Law Scholars Conference Paper Submissions Due February 17
    National Business Law Scholars Conference (NBLSC) Thursday & Friday, June 8-9, 2017 Call for Papers The National Business Law Scholars Conference (NBLSC) will be held on Thursday and Friday, June 8-9, 2017, at the University of Utah S.J.…
  • Feb 6

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: S. Burcu Avci, Cindy A. Schipani & H. Nejat Seyhun, Manipulative Games of Gifts by Corporate Executives, 18 U. Pa. J. Bus. L. 1131…
  • Jan 17

    Anderson on Insider Trading

    Anderson on Insider Trading
    John P. Anderson has posted When Does Corporate Criminal Liability for Insider Trading Make Sense? on SSRN with the following abstract: Corporations are subject to broad criminal liability for the insider trading of their employees. Critics…
Rank this Week: 98

Business Law Post

Business Law Post

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

http://www.businesslawpost.com
  • Feb 6

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

    Are Terms of Use and Other Online Agreements Real and Binding Contracts?
    It used to be that people would enter into binding agreements by manually signing them. A signature manifested the two required aspects of forming a binding contract: a notice and an assent, i.e., the signatory has read the agreement and…
  • Feb 2

    How to Form a Delaware Corporation (Correctly)

    How to Form a Delaware Corporation (Correctly)
    Forming a Delaware corporation is pretty straightforward for those who have done it many times before.  You just have to follow the steps.  Skipping any of them may hurt the founders later on, when they find out that they are not…
  • Feb 1

    Filing Delaware Annual Report Made Easy

    Filing Delaware Annual Report Made Easy
    Once a year, all domestic Delaware corporations must file an annual report and pay Delaware franchise tax.  They have to do so before March 1.  Missed deadline will result in a $125 penalty plus 1.5% monthly interest rate on the…
Rank this Week: 2103

Oil & Gas Investment Fraud Lawyer…

Oil & Gas Investment Fraud Lawyer Blog

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

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

    Shareholders Lose as Peabody Energy Gets Chapter 11 Bankruptcy Plan Approval

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

    Our Firms Initiate Investigation into Losses in Energy XXI Ltd. Bermuda (EXXI)

    Our Firms Initiate Investigation into Losses in Energy XXI Ltd. Bermuda (EXXI)
    Our attorneys are investigating losses in Energy XXI Ltd. Bermuda (stock ticker “EXXI”). According to its website, EXXI is an independent oil and natural gas development and production company that focuses on developing drilling…
  • Jan 25

    Bankruptcy Judge Confirms Linn Energy Bankruptcy Plan

    Bankruptcy Judge Confirms Linn Energy Bankruptcy Plan
    Linn Energy, LLC (LINE) filed for bankruptcy protection in May 2016.  U.S. Bankruptcy Judge David Jones issued an Order today confirming LINE’s chapter 11 bankruptcy restructuring plan.  Our attorneys have previously written…
Rank this Week: 4803

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Jan 31

    Jesus Rodriguez: Received Resolved or Pending Customer Dispute

    Jesus Rodriguez: Received Resolved or Pending Customer Dispute
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on January 26, 2017 indicate that Florida-based IMS Securities broker Jesus Rodriguez has received resolved or pending pending customer disputes.…
  • Jan 31

    Jean Paul Skovronck: One Pending Customer Complaint

    Jean Paul Skovronck: One Pending Customer Complaint
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on January 26, 2017 indicate that New York-based Alexander Capital broker Jean Paul Skovronck has been named in a pending customer dispute. Fitapelli…
  • Jan 31

    Christian Webb Terminated From LPL Financial

    Christian Webb Terminated From LPL Financial
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on January 26, 2017 indicate that former Texas-based LPL Financial broker/adviser Christian Webb has been terminated from LPL Financial and is…
Rank this Week: 1288

May Law, PC Blog

May Law, PC Blog

Covers investment law, securities laws the requirements of the Financial Industry Regulatory Authority (FINRA).

http://www.maylawpc.net/category/blog/
  • Jan 25

    SEC’s National Examination Priorities for 2017

    SEC’s National Examination Priorities for 2017
    According to Office of Compliance Inspections and Examinations (“OCIE”)   The U.S. Securities and Exchange Commission (“SEC”) regulates more than 4,000 broker-dealers and more than 12,000 registered…
  • Jan 25

    FINRA’S 2017 Examination Prioritie

    FINRA’S 2017 Examination Prioritie
    The Financial Industry National Regulatory Authority’s (”FINRA’s”) annual examination letter is out and filled with nuggets. Fear not; the breakdown that that you need is contained below.…
  • Sep 22

    Is There “Gold” In Your Old Daily Or Monthly Statements?

    Is There “Gold” In Your Old Daily Or Monthly Statements?
    Class Action Settlement on Alleged Manipulation Offers to turn old paper or electronic statements into cold, hard cash! WHO: People who traded futures and/or options on futures…
Rank this Week: 4636

SEC Whistleblower Lawyer Blog

SEC Whistleblower Lawyer Blog

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

http://www.secwhistleblowerlawyers.net/
  • Jan 23

    SEC Awards $5.5 Million to Whistleblower

    SEC Awards $5.5 Million to Whistleblower
    The Securities and Exchange Commission (the “SEC”) announced an award of more than $5.5 million to a whistleblower who provided pertinent information that helped the SEC uncover an ongoing scheme on January 6, 2017. According to…
  • Dec 23

    Proposed CFTC Rules Might Make It Easier for Whistleblowers to Inform the Government About Commodities Fraud

    Proposed CFTC Rules Might Make It Easier for Whistleblowers to Inform the Government About Commodities Fraud
    The regulatory agency has requested public comment on proposed amendments The Commodity Futures Trading Commission (CFTC), the independent US government agency that regulates futures and options markets, has requested public comment on…
  • Dec 10

    SEC Awards Approximately $1 Million to Whistleblower

    SEC Awards Approximately $1 Million to Whistleblower
    The Securities and Exchange Commission (the “SEC’) announced on December 9, 2016 that it had awarded more than $900,000 to a whistleblower whose tip enabled the SEC to bring multiple enforcement actions against bad actors. The…
Rank this Week: 5042

Tim O'Connor's Blog

Tim O'Connor's Blog

Covers stockbroker fraud.

http://stockbrokerlaw.com/tim-oconnors-blog
  • Jan 20

    Whistleblower Anonymity, Protection & Award

    Whistleblower Anonymity, Protection & Award
    Learn About Whistleblower Protection, Anonymity & AwardsAn Attorney for Whistleblowers Securities Whistleblower Incentives and Protection (15 USC 78u-6) The Federal Securities Whistleblower Incentives and Protection…
  • Jan 5

    Looking for Your Lost Retirement Account?

    Looking for Your Lost Retirement Account?
    In our mobile society, millions of Americans have lost track of former pension accounts over the past half century. Where did they go? There are a number of resources at your fingertips which could help locate your lost plan. These…
  • Nov 30

    Problems at the Family Office

    Problems at the Family Office
    The past decade has seen an explosion in the number of family offices set up by families seeking to coordinate and organize family wealth and assets, as well as issues involving the intergenerational transfer of family legacies. This growth…
Rank this Week: 2944

Canadian Securities Law Online

Canadian Securities Law Online

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

http://www.canadiansecuritieslaw.com/
  • Jan 20

    Regulations for CBCA's New Diversity, Majority Voting and Notice-for-Access Provisions Released

    Regulations for CBCA's New Diversity, Majority Voting and Notice-for-Access Provisions Released
    Laura Levine and Alethea Au -  The Government of Canada has released proposed regulations to accompany the proposed amendments to the Canada Business Corporations Act under Bill C-25 (discussed here). These proposed regulations add…
  • Jan 10

    Board Diversity Series: Voices of proxy advisers and other influencer

    Board Diversity Series: Voices of proxy advisers and other influencer
    Amanda Linett and Cheryl De Los Santos -  Proxy advisers such as Institutional Shareholders Services (ISS) and Glass Lewis have started to respond to the changes in corporate governance relating to gender diversity, and to encourage…
  • Dec 9

    Keep Calm and Carry On - InterOil and Smoothwater

    Keep Calm and Carry On - InterOil and Smoothwater
    Sean Vanderpol - There are, generally speaking, relatively few judicial decisions touching on the practical aspects of M&A law in Canada, particularly when compared to the output of the Delaware courts.  In November, however, we saw…
Rank this Week: 490

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

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

    Anecdotal Evidence of Strong Investor Appetite in 2017

    Anecdotal Evidence of Strong Investor Appetite in 2017
    Hedge funds to be attractive investments in new year? By: Bart Mallon Over the past couple of years hedge funds have seemingly taken a back seat to private equity, which has seen a significant amount of attention and inflows from…
  • Jan 4

    Cole-Frieman & Mallon EOY Update

    Cole-Frieman & Mallon EOY Update
    www.colefrieman.com January 4, 2016 Clients, Friends, Associates:While the holiday season is a cause for celebration and reflection, it is also the busiest time of the year for most investment managers.  Year-end administrative upkeep…
  • Jul 22

    Cole-Frieman & Mallon 2016 Second Quarter Update

    Cole-Frieman & Mallon 2016 Second Quarter Update
     www.colefrieman.com July 22, 2016 Clients and Friends: We hope that this message finds you well and that you are enjoying the first months of summer. As we move into the third quarter, we would like to provide you with a brief overview…
Rank this Week: 793

The Securities Edge

The Securities Edge

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

http://www.thesecuritiesedge.com/
  • Jan 2

    My 10 Best Books of 2016

    My 10 Best Books of 2016
    Posted By: Robert B. Lamm Those of you who’ve been reading my posts for a while know that I depart from securities and governance topics only once each year, to report on my 10 favorite books of the year just gone by.  I will point…
  • Dec 12

    Insider trading: there still ought to be a law

    Insider trading: there still ought to be a law
    Posted By: Robert B. Lamm In the few days since the Supreme Court handed down its decision in Salman v. United States, many commentators have said, in effect, that criminal prosecutions for insider trading are alive and well.  Alive,…
  • Nov 30

    Bob Lamm receives Lifetime Achievement award for his dedication to governance

    Bob Lamm receives Lifetime Achievement award for his dedication to governance
    Posted By: David C. Scileppi Congratulations to our esteemed colleague, Bob Lamm, for winning this prestigious award! While we all know that Bob is the guru in the governance space, it’s great that he was recognized for all of his…
Rank this Week: 3156

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
  • Dec 7

    Insider Trading and Brotherly Love at the Supreme Court

    Insider Trading and Brotherly Love at the Supreme Court
    Yesterday, the Supreme Court of the United States decided Salman v. United States, wading into the “personal benefit” requirement necessary to establish criminal insider trading liability.  Justice Alito, writing for a…
  • Dec 7

    Insider Trading and Brotherly Love at the Supreme Court

    Insider Trading and Brotherly Love at the Supreme Court
    Yesterday, the Supreme Court of the United States decided Salman v. United States, wading into the “personal benefit” requirement necessary to establish criminal insider trading liability.  Justice Alito, writing for a…
  • Nov 28

    First Circuit Confronts Perils of Non-Custodial Interrogation in Fraud Prosecution

    First Circuit Confronts Perils of Non-Custodial Interrogation in Fraud Prosecution
    Miranda warnings are one of those things most lawyers and non-lawyers alike know something about. Most know we enjoy a right under the Fifth Amendment and Miranda v. Arizona, 384 U.S. 436 (1966), to be told before being taken into custody…
Rank this Week: 4281

Sharesleuth.com

Sharesleuth.com

Offers investigative reporting aimed at exposing securities fraud. By Chris Carey.

http://sharesleuth.com/
Rank this Week: 1041

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/
  • Nov 29

    Can a FINRA Securities Arbitration Award be Appealed?

    Can a FINRA Securities Arbitration Award be Appealed?
    Yes, technically, but in reality, no.  Under the law, a FINRA securities arbitration award can be appealed, but practically speaking, arbitration awards are rarely changed when appealed.   Indeed, under the Federal Arbitration…
  • Nov 28

    What Are the Key Differences Between Arbitrating an Investor Case Before FINRA and Suing in Court?

    What Are the Key Differences Between Arbitrating an Investor Case Before FINRA and Suing in Court?
    An investor who is abused by his or her securities broker cannot sue in court.  Instead, the investor must sue the broker or the brokerage firm in arbitration before the Financial Industry Regulatory Authority, otherwise known as…
  • Nov 3

    Managing Finances After the Death of a Loved One

    Managing Finances After the Death of a Loved One
    In September 2016, the Florida Office of Financial Regulation issued a Consumer Alert titled “Managing Finances After the Death of a Loved One.”   The alert makes a number of helpful recommendations to take following the…
Rank this Week: 753