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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/
  • 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…
  • 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…
Rank this Week: 543

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

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

    ESMA Seeks Input on Clearinghouse Margin, Considers Compromise with U.S.

    ESMA Seeks Input on Clearinghouse Margin, Considers Compromise with U.S.
    By Lene Powell, J.D.The European Securities and Markets Authority (ESMA) is seeking feedback on a new consultation paper addressing the amount of margin required to be collected by clearinghouses. E.U. and U.S. regulatory regimes provide for…
  • Aug 28

    Commissioner Aguilar Calls for “Calibrated” Waiver Proce

    Commissioner Aguilar Calls for “Calibrated” Waiver Proce
    By Mark S. Nelson, J.D.SEC Commissioner Luis A. Aguilar once again voiced his worries that the agency’s waiver process fails to capture the ambiguities that typically infuse the decision to grant or deny a person or entity accused of…
  • Aug 27

    Puerto Rico Seeks Supreme Court Review in Bankruptcy Preemption Case

    Puerto Rico Seeks Supreme Court Review in Bankruptcy Preemption Case
    By Kevin Kulling, J.D.The government of Puerto Rico has filed a petition for a writ of certiorari with the United States Supreme Court in an effort to overturn a federal appeals court decision holding that the bankruptcy code preempted Puerto…
Rank this Week: 141

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
Rank this Week: 2366

Strictly Business

Strictly Business

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

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

    Why You Can’t Really Include Non-accredited Investors in Rule 506 Offering

    Why You Can’t Really Include Non-accredited Investors in Rule 506 Offering
    One common misconception I encounter among startups is the idea that companies raising capital can include non-accredited investors in Rule 506[1] offerings. While it is technically true that a Rule 506 offering may include up to 35…
  • Jul 31

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

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

    Frequently Asked Questions about Regulation A+

    Frequently Asked Questions about Regulation A+
    Back in March, I wrote about proposed revisions to Regulation A, commonly known as “Regulation A+”, which were designed to implement Section 401 of the Jumpstart Our Business Startups Act (JOBS Act). Since then, the SEC issued its…
Rank this Week: 1995

Business Blog

Business Blog

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

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

    The FTC’s Cybersecurity Authority Is Affirmed By The Third Circuit

    The FTC’s Cybersecurity Authority Is Affirmed By The Third Circuit
    Decisions have been made regarding the FTC’s cybersecurity authority… In a precedential decision, the Third Circuit Cmorourt of Appeals recently affirmed the cybersecurity authority of the Federal Trade Commission (FTC) to hold…
  • Aug 28

    NJ Supreme Court Addresses Sidewalk Liability of Homeowners Association

    NJ Supreme Court Addresses Sidewalk Liability of Homeowners Association
    NJ Supreme Court Addresses Sidewalk Liability of Homeowners Association The Supreme Court of New Jersey recently addressed whether the homeowners association and management company of a common-interest community had the duty to clear snow and…
  • Aug 27

    EPA Finalizes Controversial Carbon Emissions Rule

    EPA Finalizes Controversial Carbon Emissions Rule
    On August 3, 2015, the Environmental Protection Agency (EPA) published the final version of its “Clean Power Plan,” which seeks to reduce carbon emissions from existing power plants by fostering the creation of renewable energy.…
Rank this Week: 797

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

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

    Pay Ratio: Media Tries to Sleuth Out Ratios Based on 3rd-Party Data

    Pay Ratio: Media Tries to Sleuth Out Ratios Based on 3rd-Party Data
    I’m wrapping up a comprehensive “pay ratio” chapter for the 2016 edition of our “Executive Compensation Disclosure Treatise” (order your copy now – 1600 pages!) and came across this article by Quartz.…
  • Aug 28

    SEC’s Filing Fees: Going Down 13% for Fiscal Year 2016!

    SEC’s Filing Fees: Going Down 13% for Fiscal Year 2016!
    Yesterday, the SEC issued this fee advisory that sets the filing fee rates for registration statements for 2016. Right now, the filing fee rate for Securities Act registration statements is $116.20 per million (the same rate applies under…
  • Aug 27

    I Doubt Apple’s CEO Violated Reg FD With His “China” Email to Jim Cramer

    I Doubt Apple’s CEO Violated Reg FD With His “China” Email to Jim Cramer
    Yesterday, I ran a popular poll about whether folks thought that Apple’s Tim Cook violated Regulation FD by emailing CNBC host Jim Cramer about how Apple was faring in China. The poll results indicated that 15% thought it was nowhere…
Rank this Week: 289

California Corporate & Securities…

California Corporate & Securities Law

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

http://calcorporatelaw.com/
  • Aug 31

    In California, A Snail Is Sometimes A Fish And A Goldfish Isn’t

    In California, A Snail Is Sometimes A Fish And A Goldfish Isn’t
    With statutes, it can be dangerous to rely on plain meaning.  Most people, for example, would not consider an amphibian, such as a frog, or a mollusk, such as a snail, to be fish.  However, the California Fish & Game Code…
  • Aug 28

    Grammatical Gender And The General Corporation Law

    Grammatical Gender And The General Corporation Law
    Many, but not all languages, employ grammatical gender.  Anyone who has studied Spanish or German will know that grammatical gender is essential and can be unrelated to biological sex.  For…
  • Aug 27

    Did You Ever Wonder Whether “Within” Might Be A Superfluous Pleonasm?

    Did You Ever Wonder Whether “Within” Might Be A Superfluous Pleonasm?
    Suppose that you hold an option that must be exercised “within 30 days prior to the expiration of the option”.  Does this mean that you must exercise the option no later than thirty days before the expiration date or that you…
Rank this Week: 382

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • Aug 30

    A Closer Look at the Massive $148 Million Damages Award Against Dole’ s CEO and General Counsel

    A Closer Look at the Massive $148 Million Damages Award Against Dole’ s CEO and General Counsel
    A frequent theme these days in the world of corporate and securities litigation is the complaint about merger objection litigation – how virtually every deal announced attracts at least one lawsuit, and how all too often the cases are…
  • Aug 27

    The Great War: A Book List

    The Great War: A Book List
    Last August, in conjunction with the centennial of the start of World War I, I re-read Barbara Tuchman’s classic account of the war’s first days, The Guns of August. Tuchman is a great writer and she tells the story of the…
  • Aug 25

    Reps and Warranties Insurance: Increasingly Indispensable Part of M&A Deal

    Reps and Warranties Insurance: Increasingly Indispensable Part of M&A Deal
    Representations and warranties insurance has been around for years, but it is becoming an increasingly important part of M&A transactions, according to an August 24, 2015 Law 360 article (here). According to the article, more buyers are…
Rank this Week: 145

Securities Law Prof Blog

Securities Law Prof Blog

Covers securities arbitration, state securities law, court decisions and law review articles. By Eric C. Chaffee.

http://lawprofessors.typepad.com/securities/
  • Aug 28

    Macey-Dare on English Derivatives Litgation

    Macey-Dare on English Derivatives Litgation
    Rupert Macey-Dare has posted Key Derivatives Cases 2015 on SSRN with the following abstract: The paper considers key derivatives cases in the English courts from 2015, namely: Wani v Royal Bank of Scotland, Dexia v Commune di Prato, Enasarco…
  • Aug 17

    Registration Open for 2015 Central States Law Schools Association Conference

    Registration Open for 2015 Central States Law Schools Association Conference
    Please note the following Conference announcement: Registration is now open for the Central States Law Schools Association 2015 Scholarship Conference, on Friday, October 9 and Saturday, October 10 at The University of Toledo College of Law…
  • Aug 17

    Faculty Opening: University of Iowa College of Law

    Faculty Opening: University of Iowa College of Law
    I received the following notice that may be of interest to some of this blog's readers: THE UNIVERSITY OF IOWA COLLEGE OF LAW anticipates hiring several tenured/tenure track faculty members and clinical faculty members (including a director…
Rank this Week: 99

Canadian Securities Law Online

Canadian Securities Law Online

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

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

    Quebec Derivatives Blanket Exemption - Revocation postponed by nine month

    Quebec Derivatives Blanket Exemption - Revocation postponed by nine month
    Alix d’Anglejan-Chatillon and Ken Ottenbreit -  The Autorité des marchés financiers (AMF), Quebec's financial services regulator, published Decision No. 2015-PDG-0132 (the Extension Decision) yesterday (August…
  • Aug 28

    IIROC releases finalized Guidance on Marketplace Threshold

    IIROC releases finalized Guidance on Marketplace Threshold
     The Investment Industry Regulatory Organization of Canada (IIROC) has released its finalized Guidance on Marketplace Thresholds. As discussed in our 2014 post on the draft version, the Guidance is intended to promote stable markets by…
  • Aug 28

    IIROC releases annual report

    IIROC releases annual report
    The Investment Industry Regulatory Organization of Canada (IIROC) has just released its 2014-15 Annual Report. As the accompanying news release indicates, the 56-page report  recaps a number of important achievements during the period,…
Rank this Week: 485

The White Law Group's Securities…

The White Law Group's Securities Fraud Blog

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

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

    Jeffrey Alan Stewart Facing Securities Fraud Charge

    Jeffrey Alan Stewart Facing Securities Fraud Charge
    Former broker Jeffrey Alan Stewart has been charged with securities fraud and forgery. According to Iowa City Press-Citizen , Stewart allegedly lied to clients about how he was investing their money and was moving client’s investments…
  • Aug 25

    CitiGroup Pays $180 million to Settle SEC Charge

    CitiGroup Pays $180 million to Settle SEC Charge
    Citigroup recently settled charges with the Securities and Exchange Commission (SEC) involving two hedge funds. Citigroup agreed to pay $180 million to settle the charges which alleged the two funds were improperly marketed. According to…
  • Aug 25

    KBS $1.75 Tender Offer

    KBS $1.75 Tender Offer
    Have you suffered investment losses in KBS Real Estate Investment Trust? If so, the securities attorneys of The White Law Group may be able to help you recover your losses by filing a FINRA Dispute Resolution claim against the brokerage firm…
Rank this Week: 374

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: 2497

Subject to Inquiry

Subject to Inquiry

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

http://www.subjecttoinquiry.com/
  • Aug 28

    SEC Issues Wells Notice to Pimco Over Fund Valuation

    SEC Issues Wells Notice to Pimco Over Fund Valuation
    On Monday, August 3, 2015, Pacific Investment Management Co. LLC (Pimco) announced that it had received a Wells notice from the Securities and Exchange Commission concerning the valuation of certain nonagency mortgage-backed securities in its…
  • Aug 25

    FinCEN Proposes Rule Requiring Investment Advisor AML Compliance

    FinCEN Proposes Rule Requiring Investment Advisor AML Compliance
    Investment advisors may soon face increased costs and scrutiny thanks to a proposed rule issued by the Financial Crimes Enforcement Network (FinCEN).  On Tuesday, August 25, FinCEN proposed a rule that would require many…
  • Aug 24

    Consumer Financial Protection Bureau Takes Action Against Payment Processing Company and Mortgage Servicer

    Consumer Financial Protection Bureau Takes Action Against Payment Processing Company and Mortgage Servicer
    The Consumer Financial Protection Bureau (CFBP) recently took action against a payment processing company, Paymap Inc. (Paymap), and mortgage servicing company, LoanCare, LLC (LoanCare), for deceptive conduct in connection with a mortgage…
Rank this Week: 4413

Financial Counsel

Financial Counsel

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

http://financialcounselblog.com
  • Aug 28

    Edward Jones Fines $20M for Municipal Bond Overcharge

    Edward Jones Fines $20M for Municipal Bond Overcharge
    From the Desk of Jim Eccleston at Eccleston Law LLC: The SEC has ordered Missouri based brokerage firm Edward Jones to pay $20 million as a fine for overcharging retail customers in new municipal bond sales.According to the SEC, Edward Jones…
  • Aug 27

    Citigroup Affiliates to Pay $180 Million to Settle Hedge Fund Fraud Charge

    Citigroup Affiliates to Pay $180 Million to Settle Hedge Fund Fraud Charge
    From the Desk of Jim Eccleston at Eccleston Law LLC: Two Citigroup affiliates, Citigroup Global Markets Inc. (CGMI) and Citigroup Alternative Investments LLC (CAI), have agreed to pay nearly $180 million to settle charges that they defrauded…
  • Aug 26

    Ohio Based IRA Provider Charged with Involvement in Ponzi Scheme

    Ohio Based IRA Provider Charged with Involvement in Ponzi Scheme
    From the Desk of Jim Eccleston at Eccleston Law LLC: The SEC is pursuing charges against Equity Trust Co., a Ohio based IRA provider.  The SEC alleges that Equity Trust was “ignoring red flags for accounts with investments that…
Rank this Week: 149

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

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

    Sonn|Erez Investigating Claims Involving Former Morgan Stanley Broker Ronald Cohen

    Sonn|Erez Investigating Claims Involving Former Morgan Stanley Broker Ronald Cohen
    Sonn|Erez is investigating claims regarding Ronald Seth Cohen (CRD #2419431, Boca Raton, Florida). Cohen recently submitted an Acceptance, Waiver & Consent ("AWC") in which he was assessed a deferred fine of $10,000 and suspended from…
  • Aug 26

    Sonn|Erez Investigating Claims Involving Mark Andrew Bullivant

    Sonn|Erez Investigating Claims Involving Mark Andrew Bullivant
    Sonn|Erez is investigating claims regarding Mark Andrew Bullivant (CRD #4444874, Fort Myers, Florida). Bullivant recently submitted an Acceptance, Waiver & Consent ("AWC") in which he was barred from association with any FINRA member in…
  • Aug 24

    Sonn|Erez Investigating Claims Involving Former UBS Representative Darlene Bandy

    Sonn|Erez Investigating Claims Involving Former UBS Representative Darlene Bandy
    Sonn|Erez is investigating claims regarding Darlene Kay Bandy (CRD #11744, Bellflower, California). Bandy recently submitted an Acceptance, Waiver & Consent ("AWC") in which she was barred from association with any FINRA member in any…
Rank this Week: 1110

The Securities Edge

The Securities Edge

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

http://www.thesecuritiesedge.com/
  • Aug 27

    Registered investment advisers and anti-money laundering compliance: Is it practical?

    Registered investment advisers and anti-money laundering compliance: Is it practical?
    Posted By: Stephanie Quiñones Earlier this week, the Financial Crimes Enforcement Network (“FinCEN”) proposed a rule that would require investment advisers registered with the Securities Exchange Commission…
  • Aug 13

    Pay ratio disclosure: Myths and madne

    Pay ratio disclosure: Myths and madne
    Posted By: Robert B. Lamm It’s done. On August 5, the SEC adopted final rules that will require publicly traded companies to disclose the ratio of the CEO’s “total compensation” to that of the “median…
  • Jul 10

    Why I hate “best practices”

    Why I hate “best practices”
    Posted By: Robert B. Lamm Governance wonks can rest easy. In fact, we can all go home and think about another career. The reason? CalSTRS – California State Teachers’ Retirement System – has issued a “fact sheet”…
Rank this Week: 3241

Securities Law Blog

Securities Law Blog

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

http://seclaw.blogspot.com/
  • Aug 27

    Investor Alert: Market Risk: What You Don't Know Can Hurt You

    Investor Alert: Market Risk: What You Don't Know Can Hurt You
    FINRA has reissued an investor alert regarding market risk, to remind investors that  investing involves risks as well as rewards and that, generally speaking, the higher the risk, the greater the potential reward.FINRA believes that…
  • Aug 26

    Small Percentage of Brokers Fined is a Bad Thing?

    Small Percentage of Brokers Fined is a Bad Thing?
    It is truly a bizarre world that we live in. Anyone involved in the financial services industry knows that  the overwhelming majority, in fact almost all of the registered representatives in this country, are honest, hard working…
  • Aug 25

    More Filings and Regulations on the Way for Investment Advisers and Investment Companie

    More Filings and Regulations on the Way for Investment Advisers and Investment Companie
     The SEC is proposing to increase the reporting and disclosure requirements for Registered Investment Advisers and Investment companies.The investment company proposals would increase data reporting for mutual funds, ETFs and other…
Rank this Week: 509

Recover Investment Losses Blog

Recover Investment Losses Blog

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

http://blog.rexsecuritieslaw.com
  • Aug 27

    San Antonio Man Admits Laundering $66 Million From Mexican Investor

    San Antonio Man Admits Laundering $66 Million From Mexican Investor
    August 26, 2015- San Antonio, Texas The FBI reports that Armando Jesus Hernandez Leal, 53, of Shavano Park, Texas, pleaded guilty to federal money laundering charges in connection with a multimillion dollar investment scam. Hernandez was…
  • Aug 27

    Dennis Flood of Medina County Ohio Sentenced For Insurance Scam

    Dennis Flood of Medina County Ohio Sentenced For Insurance Scam
    August 26, 2015- Cleveland, Ohio Cleveland.com reports that Dennis Flood, 64, of Brunswick, Ohio, pleaded guilty to engaging in a pattern of corrupt activity and aggravated theft for stealing  from 43, mostly elderly, people by selling…
  • Aug 27

    St. Tammany SALT Council to Hold “Money Smart for Older Adults Seminar” Sept. 9, 2015

    St. Tammany SALT Council to Hold “Money Smart for Older Adults Seminar” Sept. 9, 2015
    August 27, 2015- Slidell, Louisiana The St. Tammany SALT Council, the Council on Aging St. Tammany (COAST) and Gulf Coast Bank & Trust are holding a free seminar  on Financial Exploitation for seniors at the Slidell Senior Center on…
Rank this Week: 3972

Stock Broker Fraud Blog

Stock Broker Fraud Blog

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

http://www.stockbrokerfraudblog.com/
  • Aug 27

    Beware of UBS Puerto Rico Sending Out Settlement Offer

    Beware of UBS Puerto Rico Sending Out Settlement Offer
    UBS Puerto Rico clients have reported over the last few days the receipt of unsolicited settlement offers from UBS Puerto Rico for losses in customer accounts. The letters, which appear to be dated August 20, 2015 and are from Roberto…
  • Aug 26

    SEC Says Broker-Dealers Need to Do a Better Job of Monitoring High Risk Product

    SEC Says Broker-Dealers Need to Do a Better Job of Monitoring High Risk Product
    The Securities and Exchange Commission has put out an alert warning brokerage firms that they need to better monitor the sale of high risk complex investments to retail investors. The regulator said that its analysis of 26,600 transactions of…
  • Aug 25

    Puerto Rico Delays $750M Bond Sale

    Puerto Rico Delays $750M Bond Sale
    According to The New York Times, Puerto Rico is again delaying a recent proposed bond issuance latest decision to stall the bond sale, this time because of trouble in the global markets. However, said the newspaper, the island’s…
Rank this Week: 151

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

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

    Broker Spotlight: Mark Anthony Intino (Royal Alliance)

    Broker Spotlight: Mark Anthony Intino (Royal Alliance)
    According to the Financial Industry Regulatory Authority (FINRA), former Nevada-based Royal Alliance Associates broker Mark Anthony Intino is presently not licensed to act as a broker or an investment adviser. The securities and investment…
  • Aug 27

    CA Stockbroker, Robert J. Clark: Complaints and Fine

    CA Stockbroker, Robert J. Clark: Complaints and Fine
    According to his FINRA BrokerCheck report, California stockbroker, Robert J. Clark is the subject of three customer complaints and one regulatory sanction. Robert J. Clark has spent 37 years in the securities industry and was most…
  • Aug 26

    Broker Spotlight: Cape Securities’ Robert M. Mark

    Broker Spotlight: Cape Securities’ Robert M. Mark
    The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding New York-based Cape Securities broker Robert M. Marks (CRD# 4198251). Robert M. Marks has spent fifteen years…
Rank this Week: 2330

DealLawyers.com Blog

DealLawyers.com Blog

Covers mergers & acquisitions. From editor Broc Romanek, who is also editor of TheCorporateCounsel.net.

http://www.deallawyers.com/Blog/
  • Aug 27

    HSR “Investment-Only” Exemption: Lessons from Third Point’s Yahoo! Investment

    HSR “Investment-Only” Exemption: Lessons from Third Point’s Yahoo! Investment
    Here’s the intro from this Cooley memo: While acquisitions of up to 10% of the voting interest in a target that are made “solely for the purpose of investment” are in many circumstances exempt from Hart-Scott-Rodino (HSR)…
  • Aug 26

    How Carl Icahn Work

    How Carl Icahn Work
    Here’s an excerpt from this interesting blog from a while back by “The Activist Investor”: For one of the most-discussed investors these days, we know surprisingly little about Carl Icahn’s activist investing. Numerous…
  • Aug 19

    Key M&A Trends: Overseas Expansion Going Mainstream

    Key M&A Trends: Overseas Expansion Going Mainstream
    Here’s something that Randi Morrison blogged on TheCorporateCounsel.net a few days ago: Recently, Deloitte released 2015 M&A Trends Report reveals a booming, wide-reaching M&A environment spanning small, mid-sized and large…
Rank this Week: 584

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/
  • Aug 26

    Former Merrill Lynch Broker Must Pay $1.4M for Insider Trading

    Former Merrill Lynch Broker Must Pay $1.4M for Insider Trading
    Gary Yin, an ex-Bank of America Merrill Lynch (BAC) broker, must pay $1.4M in restitution for helping a client launder money made from insider trading. Yin admitted to helping former Qualcomm Inc. president Jing Wang conceal hundreds of…
  • Aug 21

    Citigroup Global Markets to Pay $15M Penalty to the SEC for Surveillance and Compliance Failure

    Citigroup Global Markets to Pay $15M Penalty to the SEC for Surveillance and Compliance Failure
    The Securities and Exchange Commission said that Citigroup Global Markets (C) will pay a $15M penalty to settle charges that it did not enforce procedures and policies that would stop and identify securities transactions potentially involving…
  • Aug 20

    FINRA Probes Broker Pay for Conflicts of Interest

    FINRA Probes Broker Pay for Conflicts of Interest
    The Financial Industry Regulatory Authority has sent a targeted exam letter seeking to examine possible conflicts of interest in the way firms pay brokers. About a dozen brokerage firms received the letter, which the regulator said is aimed…
Rank this Week: 1103

Wall Street Investment Fraud…

Wall Street Investment Fraud Lawyer Blog

Covers Ponzi schemes, investment fraud, and other scams. By The Doss Firm.

http://www.wallstreetinvestmentfraudlawyer.com/
Rank this Week: 1063

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
Rank this Week: 555

Broke and Broker

Broke and Broker

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

http://brokeandbroker.com/index.php
  • Aug 26

    Unregistered Activity Proves Katalyst For FINRA Settlement

    Unregistered Activity Proves Katalyst For FINRA Settlement
    Does she need to be registered with your FINRA firm in order to do that? Does he need to be registered with your FINRA firm before you can pay him a fee? Such registration issues often bedevil member firms and their compliance/legal staff.…
  • Aug 26

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
    BREAKING STORY: Schwab DownThere are growing indications this morning that Charles Schwab is experiencing a widespread outage and customers cannot log in to their accounts either through manual entry of the ID/Password combination or the…
  • Aug 26

    BREAKING STORY: Schwab Down

    BREAKING STORY: Schwab Down
    BREAKING STORYThere are growing indications this morning that Charles Schwab is experiencing a widespread outage and customers cannot log in to their accounts either through manual entry of the ID/Password combination or the recently added…
Rank this Week: 1435

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • Aug 26

    Who Wants To Avoid Being Sued In This Market

    Who Wants To Avoid Being Sued In This Market
    Now that I have your attention, there is a pretty tried and true method to avoiding customer complaints, especially in this volatile market. All too often, clients hide in their shelters when the market gets rough. The biggest mistake you can…
  • Aug 21

    SEC Cracks Down on Compliance and Surveillance Failure

    SEC Cracks Down on Compliance and Surveillance Failure
    Earlier this week, the Securities and Exchange Commission agreed to settle charges with a company related to prevention and detection of potential insider trading.  The SEC alleged that the company failed to enforce policies and…
  • Aug 19

    What Do Insider Trading And Data Breaches Have In Common

    What Do Insider Trading And Data Breaches Have In Common
    It is bad enough that firms and publicly traded companies have to make sure that their respective IT architecture is safe and secure, but recent developments demonstrate that you have to be weary regarding the media outlet with who you share…
Rank this Week: 1303

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Aug 25

    Better Plan Ahead

    Better Plan Ahead
    Does the fact that an individual defendant’s stock trading took place pursuant to a pre-determined Rule 10b5-1 trading plan undermine any inference that the trades were “suspicious”?  Courts continue to be split on…
  • Jul 31

    Cornerstone Releases Midyear Report

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

    How Strong is “Very Strong”?

    How Strong is “Very Strong”?
    The U.S. Court of Appeals for the District of Columbia only hears a small number of securities cases, which means that it is often playing catch-up on the relevant legal standards.  In In re Harman Int’l Industries, Inc. Sec.…
Rank this Week: 919

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/
  • Aug 25

    Judge Berman Deflates SEC’s ALJ Appointment Proce

    Judge Berman Deflates SEC’s ALJ Appointment Proce
    United States District Court Judge Richard M. Berman of the Southern District of New York has been making headlines in recent weeks as he presides over the highly publicized case between the National Football League (“NFL”) and…
  • Aug 19

    International Hacking and Insider Trading Scheme Exposes Cybersecurity Vulnerabilities at Third-Party Vendor

    International Hacking and Insider Trading Scheme Exposes Cybersecurity Vulnerabilities at Third-Party Vendor
    On August 11, 2015, the SEC announced that it was bringing fraud charges against 32 defendants for their alleged participation in a five-year, international hacking and insider trading scheme.  According to the SEC, two Ukrainian men…
  • Aug 11

    The Boss Makes HOW much more than me? SEC Issues Final Pay Ratio Rule

    The Boss Makes HOW much more than me? SEC Issues Final Pay Ratio Rule
    On August 5, 2015, the Securities and Exchange Commission approved its final rule subjecting most public companies to the so-called “Pay Ratio Disclosure” mandated by the 2010 Dodd-Frank Wall Street Reform and Consumer Protection…
Rank this Week: 330

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/
  • Aug 25

    How Liquid are Your Bonds?

    How Liquid are Your Bonds?
    Recent turmoil in the financial markets may have you considering whether to sell or ride things out.  If your portfolio contains individual bonds, you should factor in the liquidity of the bonds you hold when making that decision.…
  • Aug 18

    Citigroup Will Pay $180 Million to Settle SEC Case

    Citigroup Will Pay $180 Million to Settle SEC Case
    The Securities and Exchange Commission (“SEC”) announced that Citigroup Global Markets, Inc. (“CGMI”) and Citigroup Alternative Investments LLC (“CAI”) have agreed to settle charges concerning two…
  • Aug 17

    Aegis Fined for Selling Unregistered Penny Stock

    Aegis Fined for Selling Unregistered Penny Stock
    The Financial Industry Regulatory Authority (“FINRA”) announced that is has settled enforcement actions with Aegis Capital Corp. (“Aegis”), two of its chief compliance officers, and its CEO.  Aegis, based in New…
Rank this Week: 807

New York Securities Lawyer Blog

New York Securities Lawyer Blog

Covers securities law. By Lax & Neville LLP.

http://www.newyorksecuritieslawyerblog.com/
Rank this Week: 4786

North Carolina Business Litigation…

North Carolina Business Litigation Report

Reports on judicial decisions of significance to business and shareholders. By Mack Sperling of Brooks Pierce LLP.

http://www.ncbusinesslitigationreport.com/
Rank this Week: 510

Cady Bar the Door

Cady Bar the Door

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

http://www.secmiscellany.com
  • Aug 23

    SEC Comments on Whistleblower Anti-Retaliation Provisions/Internal Reporting

    SEC Comments on Whistleblower Anti-Retaliation Provisions/Internal Reporting
    In the wake of Dodd-Frank’s passage in July 2010, many companies and corporate organizations lobbied the SEC on its upcoming whistleblower rules.  One of their specific goals was to require whistleblowers, to be eligible for the…
  • Aug 20

    Probably Don’t Do What the Red Cross CEO Just Did

    Probably Don’t Do What the Red Cross CEO Just Did
    You might have read the NPR/ProPublica story from Monday about the Government Accountability Office’s investigation of the Red Cross, and CEO Gail McGovern’s attempts to end that investigation.  The article says that in 2014…
  • Aug 16

    The Justice Department Has Some Things to Tell You about Cybersecurity

    The Justice Department Has Some Things to Tell You about Cybersecurity
    In April the Justice Department’s Computer Crime and Intellectual Property Section issued its Best Practices for Victim Response and Reporting of Cyber Incidents.  It is an excellent guide for a business organization to respond to…
Rank this Week: 2459

Investment Fraud Attorney Blog

Investment Fraud Attorney Blog

Covers securities law. By Pratt Davis.

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

    Finra Checks into Potential Broker Compensation Conflicts of Interest

    Finra Checks into Potential Broker Compensation Conflicts of Interest
    As recently reported in InvestmentNews the Financial Industry Regulatory Authority (“Finra”) is taking a closer look at potential conflicts of interest in how firms pay their brokers. As stated in the article, in the targeted exam…
  • Aug 5

    FINRA Fines Aegis Capital $950,000 over Penny Stock Sale

    FINRA Fines Aegis Capital $950,000 over Penny Stock Sale
    According to a recent article in InvestmentNews, Aegis Capital Corp., a New York-based broker-dealer with over 400 registered brokers, has agreed to pay $950,000 as part of a settlement with the Financial Industry Regulatory Authority Inc.…
  • Aug 1

    SEC Announces $3 million Whistleblower Award

    SEC Announces $3 million Whistleblower Award
    As recently noted in a press release, The Securities and Exchange Commission (“SEC”) announced a whistleblower award of more than $3 million to a company insider whose information helped the SEC crack a complex fraud. …
Rank this Week: 4864

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/
  • Aug 21

    U.S. Court of Appeals reaffirms April 2014 decision on the conflict minerals rule

    U.S. Court of Appeals reaffirms April 2014 decision on the conflict minerals rule
    We reported previously in April 2014 on the ruling by the United States Court of Appeals for the District of Columbia Circuit striking down the part of the SEC’s conflict minerals rules that requires a registrant to describe its…
  • Aug 20

    Student internships basis for FCPA violation

    Student internships basis for FCPA violation
    The Securities and Exchange Commission (SEC) announced Tuesday that Bank of New York Mellon (BNY Mellon) had agreed to pay $14.8 million dollars to settle Foreign Corrupt Practices Act (FCPA) violations. The agreement arose out of BNY Mellon…
  • Jul 24

    SEC proposed rules for compensation clawback policie

    SEC proposed rules for compensation clawback policie
    The SEC has proposed rules that require the securities exchanges to adopt rules that in turn require listed companies to adopt, disclose and comply with a clawback policy for executive compensation based on erroneous financial statements. The…
Rank this Week: 1009

White Collar Wire

White Collar Wire

Covers news, cases, judicial opinions, practical tips and scholarly work regarding white-collar criminal and civil enforcement, grand jury investigations and regulatory compliance. By Jackson R. Sharman, III.

http://jacksharman.com/
  • Aug 14

    Wine, White-Collar Crime and You.

    Wine, White-Collar Crime and You.
    The ABA Southeastern White Collar Crime Institute near Atlanta on September 10 and 11, 2015  is a good event at a nice place (Chateau Elan) for white-collar practitioners. They are letting me speak at the conference, but do not let…
  • Aug 6

    The Myth of Club Fed

    The Myth of Club Fed
    For those who refer in cavalier fashion to white-collar convicts and “Club Fed,” consider this New York Times article on Raj Gupta’s federal prison experience: Onetime Allies on Wall Street Have Uneasy Prison Reunion…
  • Aug 2

    FIFA Indictments, Corporate Compliance, Alfred Kinsey and Robert Lee

    FIFA Indictments, Corporate Compliance, Alfred Kinsey and Robert Lee
    Law360′s Zachary Zagger has a nice piece on the FIFA prosecution and quotes, among others, Jack Sharman: “Given this many defendants and the fact that there is going to be at least some who are going to cooperate, it would not…
Rank this Week: 4553

Andrew Abramowitz, PLLC

Andrew Abramowitz, PLLC

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

http://aalegalnyc.com/blog/
  • Aug 10

    Interesting Reads of the Week of August 10, 2015

    Interesting Reads of the Week of August 10, 2015
    Some interesting legal reads for the week of August 10, 2015: Broc Romanek with the top 10 things to know about the new pay ratio rules. The Wall Street Journal with the latest on financing college expenses via equity, i.e., a share of future…
  • Aug 7

    The Pay Ratio Rule and the Effect of Disclosure

    The Pay Ratio Rule and the Effect of Disclosure
    The SEC this week approved the pay ratio rules, required under the Dodd-Frank Act. Details can be found in the SEC’s adopting release and press release. The rules require disclosure by public companies of the ratio of the compensation…
  • Aug 3

    Interesting Legal Reads of the Week: August 3rd, 2015

    Interesting Legal Reads of the Week: August 3rd, 2015
    Some interesting legal reads for the week of August 3, 2015: From the Philadelphia Inquirer, a feature on the increasing popularity of alternative fee arrangements at law firms. The Wall Street Journal on how confidential IPO filings are…
Rank this Week: 4551

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

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

    Hedge Fund Events August 2015

    Hedge Fund Events August 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: August 1, 2015 Sponsor: HFC Event: 10th Annual West Coast Ride for the Children Location:…
  • Jul 1

    Hedge Fund Events July 2015

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

    Hedge Fund Events June 2015

    Hedge Fund Events June 2015
    The following are various hedge fund events happening this month.  Please email us if you would like us to add your event to this list. **** Date: May 31-June 2, 2015 Sponsor: WITI Event: The Women in Technology International (WITI)…
Rank this Week: 812

White Collar Alert

White Collar Alert

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

http://whitecollarblog.mmwr.com
  • Aug 4

    Texas Attorney General Ken Paxton Indicted

    Texas Attorney General Ken Paxton Indicted
    Last Tuesday, a Texas grand jury indicted 52-year-old Texas Attorney General Ken Paxton on three counts of securities fraud. Paxton, sworn in on January 1, 2015, was previously a member of the Texas House of Representatives. The alleged…
  • Jul 31

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

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

    Attorney General Kane Files Wiretap Charges Against Two Lawyer

    Attorney General Kane Files Wiretap Charges Against Two Lawyer
    This post was co-authored by David F. Herman, an associate in Montgomery McCracken’s Litigation Department. He serves an editor of the firm’s Data Privacy Alert blog, which focuses on data privacy and cybersecurity issues. David…
Rank this Week: 4462

Footnoted

Footnoted

Reports on actionable information in SEC filings.

http://www.footnoted.com/
Rank this Week: 4421

Stock Market Loss

Stock Market Loss

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

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

    FINRA Permanently Bars Former Merrill Lynch Heavyweight Thomas Buck

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

    Investors Receive Biased Advice From Stockbrokers New Study Confirm

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

    Non-Traded REITs are Unsuitable for Retail Investor

    Non-Traded REITs are Unsuitable for Retail Investor
    This article was originally posted on Stock Market Loss We continue to see lots of activity involving unsuitable sales of non-traded Real Estate Investment Trusts (“non-traded REITs”). If you’re a retail customer who was…
Rank this Week: 3285

May Law, PC Blog

May Law, PC Blog

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

http://www.maylawpc.net/category/blog/
Rank this Week: 4660

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: 465

Business Law Post

Business Law Post

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

http://www.businesslawpost.com
Rank this Week: 2160

Securities Mining Law

Securities Mining Law

Covers securities law affecting the mining industry in Canada.

http://www.securitiesmininglaw.com/
  • Jul 9

    Caveat Optionor: Canadian court strikes a blow for mineral exploration companie

    Caveat Optionor: Canadian court strikes a blow for mineral exploration companie
    In interpreting an exploration option agreement, a recent court of appeal decision recognized the inherent challenges faced by junior exploration companies, in both good times and bad. See our Dentons Insight to learn more: Caveat…
  • Jul 9

    Caveat Optionor: Canadian court strikes a blow for mineral exploration companie

    Caveat Optionor: Canadian court strikes a blow for mineral exploration companie
    In interpreting an exploration option agreement, a recent court of appeal decision recognized the inherent challenges faced by junior exploration companies, in both good times and bad. See our Dentons Insight to learn more: Caveat…
  • 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…
Rank this Week: 2858

Tim O'Connor's Blog

Tim O'Connor's Blog

Covers stockbroker fraud.

http://stockbrokerlaw.com/tim-oconnors-blog
Rank this Week: 3083