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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: 471

The Securities Edge

The Securities Edge

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

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

    Required reading

    Required reading
    Those of you who know me have probably heard me sing the praises of Adam Epstein.  Adam was trained as a lawyer, has been an investor, and now advises small-cap companies on matters like board composition and disclosure.  IMHO, Adam…
  • May 12

    The Financial CHOICE Act – everything you’ve ever wanted, and more?

    The Financial CHOICE Act – everything you’ve ever wanted, and more?
    I don’t know when Congress decided that every piece of legislation had to have a nifty acronym, but the House Financial Services Committee recently passed (on a partisan basis) what old-fashioned TV ads might have called the new,…
  • May 9

    New Corp Fin director announced

    New Corp Fin director announced
    As has been rumored, the SEC announced today that William H. Hinman will be the new director for the SEC’s Division of Corporation Finance. Mr. Hinman, who recently retired as a securities and corporate finance partner from the Silicon…
Rank this Week: 3143

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
Rank this Week: 1614

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: 2419

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/
  • May 26

    TSXV codified past practice with amendments to change of business and reverse takeover policy

    TSXV codified past practice with amendments to change of business and reverse takeover policy
    Effective December 15, 2016, the TSX Venture Exchange implemented amendments to its Policy 5.2 Changes of Business and Reverse Takeovers which, among other things, formalized existing working practices related to certain transactions and…
  • May 26

    ASC Exempt Market Dealer Sweep Prompts Best Practice Guidance

    ASC Exempt Market Dealer Sweep Prompts Best Practice Guidance
    Darin Renton - The Alberta Securities Commission (ASC) recently completed a compliance “sweep” of 66 Alberta-based exempt market dealers (EMDs). The results of the sweep, which involved EMDs of many stripes, were released on May…
  • May 26

    Rights Offerings Increase in Popularity

    Rights Offerings Increase in Popularity
    The use of prospectus-exempt rights offerings has increased across Canada since the adoption of the new rights offering exemption in 2015, as reported in a Staff Notice published by the Canadian Securities Administrators (CSA) on April 20,…
Rank this Week: 491

Investment Fraud Information

Investment Fraud Information

By Andrew Stoltmann.

http://www.investmentfraudtimes.com/securities-fraud-attorneys/
  • May 26

    Former JP Morgan financial advisor Rick Konecny Investor Information

    Former JP Morgan financial advisor Rick Konecny Investor Information
    Did you invest with former JP Morgan financial advisor Rick Konecny? We are currently representing multiple victims of his. He recommended investments like: Sandridge Energy Inc. (SD) Yamana Gold Inc. (AUY) Cliffs Ntural Resources Inc (CLV)…
  • May 25

    Broker Gerhard Heuer Has Customer Complaints: What Investors Can Do

    Broker Gerhard Heuer Has Customer Complaints: What Investors Can Do
    Stoltmann Law Offices is interested in hearing from those investors who may have invested with Gerhard Heuer, a registered broker with Independent Financial Group in Beaverton, Ohio since January 2016. While registered with Thrivent…
  • May 25

    Darrach Bourke Of Emerson Equity, Suspended and Fined By FINRA

    Darrach Bourke Of Emerson Equity, Suspended and Fined By FINRA
    Stoltmann Law Offices is investigating Darrach Bourke, a broker with Emerson Equity in San Mateo, California. Mr. Bourke was fined $5,000 and suspended for 20 business days by the Financial Industry Regulatory Authority (FINRA) for allegedly…
Rank this Week: 4416

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

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

    Hedge Fund Bits and Pieces for May 26, 2017

    Hedge Fund Bits and Pieces for May 26, 2017
    Happy Friday.  Best wishes for a happy and safe Memorial Day Weekend! **** Initial Coin Offerings – Bitcoin and other cryptocurrencies took center stage this weeks as new high prices were reached in volatile trading and euphoria…
  • May 25

    Initial Coin Offerings (ICOs)

    Initial Coin Offerings (ICOs)
    ICO Overview and Securities Law Analysis After a number of recent, high-profile and wildly successful Initial Coin Offerings or “ICOs”, the blockchain based asset industry has been abuzz about new ICOs as well as the regulatory…
  • May 23

    Artificial Intelligence (AI) Hedge Fund

    Artificial Intelligence (AI) Hedge Fund
    Overview of AI in Investment Management Hedge funds utilizing artificial intelligence (AI) have increasingly gained attention as technology continues to be a driving force behind large and fundamental changes in the investment management and…
Rank this Week: 791

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • May 26

    Acting SG urges justices to hear SLUSA case, provide uniformity

    Acting SG urges justices to hear SLUSA case, provide uniformity
    By Mark S. Nelson, J.D.The Acting U.S. Solicitor General has asked the Supreme Court to take a case raising the question of whether a state court may hear a case that is a covered class action but raises only claims brought under the…
  • May 25

    American Pipe tolls statute of limitations for class actions too

    American Pipe tolls statute of limitations for class actions too
    By Anne Sherry, J.D.Assessing the viability of a securities fraud class action, the Court of Appeals for the Ninth Circuit held that the statute of limitations was tolled during the pendency of two prior class actions. The court read American…
  • May 24

    In light of Bandimere, SEC stays proceedings subject to Tenth Circuit review

    In light of Bandimere, SEC stays proceedings subject to Tenth Circuit review
    By John M. Jascob, J.D., LL.M.In light of the Tenth Circuit’s decision to deny the SEC’s petition for rehearing en banc of Bandimere v. SEC, the SEC has stayed certain administrative proceedings assigned to an administrative law…
Rank this Week: 150

The White Law Group's Securities…

The White Law Group's Securities Fraud Blog

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

http://www.whitesecuritieslaw.com/securities-fraud/blog/
  • May 26

    Griffins Accused of $23M Oil Investment Fraud with Payson Petroleum 3 Well Program

    Griffins Accused of $23M Oil Investment Fraud with Payson Petroleum 3 Well Program
    Payson Petroleum 3 Well Program Investment Losses Did you lose money investing in Payson Petroleum 3 Well Program at the recommendation of your investment advisor? If so, The White Law Group may be able to recover your losses through FINRA…
  • May 26

    Cetera Accused of Failure to Supervise Advisor George Merhoff

    Cetera Accused of Failure to Supervise Advisor George Merhoff
    The White Law Group is Investigating Potential Claims Did you lose money investing with George Merhoff and Cetera Advisors? If so, attorneys at The White Law Group may be able to help you recover your losses by filing a FINRA Arbitration…
  • May 25

    Adageo Energy Group – Drilling Program 2007 LLC Investigation

    Adageo Energy Group – Drilling Program 2007 LLC Investigation
    Recovery of investment losses in Adageo Energy Group – Drilling Program 2007 LLC Investment Losses Did you lose money investing in Adageo Energy Group – Drilling Program 2007 LLC at the recommendation of  your broker? If so,…
Rank this Week: 326

Securities Law Attorneys Blog

Securities Law Attorneys Blog

Covers securities law. By Fitapelli | Kurta.

http://www.securitieslawattorneys.net/
  • May 26

    Dennis Hayes Was Permitted to Resign From a Former Employer

    Dennis Hayes Was Permitted to Resign From a Former Employer
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 25, 2017 indicate that former New York-based Salomon Whitney Financial broker/adviser Dennis Hayes is currently not affiliated with any…
  • May 26

    Keith Smith Was Terminating For Failure to Follow Firm Policy

    Keith Smith Was Terminating For Failure to Follow Firm Policy
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on May 25, 2017 indicate that former Pennsylvania-based Signator Investors broker Keith Smith was discharged from his former employer and is currently…
  • May 26

    Grant Jaax Was Terminated From a Former Employer

    Grant Jaax Was Terminated From a Former Employer
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 25, 2017 indicate that former Georgia-based Raymond James & Associates broker/adviser Grant Jaax has received a customer dispute and is…
Rank this Week: 2901

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • May 26

    Live Ventures Incorporated: Class Action

    Live Ventures Incorporated: Class Action
    Publicly available records indicate that a class action lawsuit has been filed on behalf of investors in Live Ventures Incorporated (NASDAQ:LIVE) in connection to alleged violations of securities laws by LIVE. Fitapelli Kurta is interested in…
  • May 26

    Vince Holding Corporation: Class Action

    Vince Holding Corporation: Class Action
    Publicly available records indicate that a class action lawsuit has been filed on behalf of investors in Vince Holding Corporation (NYSE:VNCE) in connection to alleged violations of securities laws by VNCE. Fitapelli Kurta is interested in…
  • May 26

    United States Steel Corporation: Class Action

    United States Steel Corporation: Class Action
    Publicly available records indicate that a class action lawsuit has been filed on behalf of investors in United States Steel Corporation (NYSE:X) in connection to alleged violations of securities laws by X. Fitapelli Kurta is interested in…
Rank this Week: 1194

Regulation tomorrow

Regulation tomorrow

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

http://www.regulationtomorrow.com/
Rank this Week: 4517

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • May 26

    From a Newbie: 5 Blogging Tip

    From a Newbie: 5 Blogging Tip
    One of the more challenging aspects of this new job is learning how to blog. Luckily, I’m learning from one of the best. Here’s 5 things I’ve learned from Broc so far: 1. Write like you speak. I’m human. You’re…
  • May 25

    Revenue Recognition: Watch Out for Material Weaknesses!

    Revenue Recognition: Watch Out for Material Weaknesses!
    Last month, John blogged about disclosing material changes to ICFR that result from the new revenue recognition standard – which takes effect at the start of next year. It’s also worth noting that revenue recognition is one of the…
  • May 24

    Cap’n Cashbags: The SEC Loves Teamwork

    Cap’n Cashbags: The SEC Loves Teamwork
    I recommend that you watch my quasi-parody below before you watch the SEC’s video. When I fed my buddies their lines before we taped, I didn’t inform them that this was a spoof. They thought I had written the lines as a joke.…
Rank this Week: 293

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/
  • May 26

    Did A Non-Existent Committee Move To Update Corporations Code?

    Did A Non-Existent Committee Move To Update Corporations Code?
    In April, I kvetched about numerous outdated references in the California Corporations Code.  For example, several provisions of the Code continue to refer to the “Internal Revenue Code of 1954” more than three decades after…
  • May 25

    Can Pseudo-Foreign Corporations Exonerate Their Directors?

    Can Pseudo-Foreign Corporations Exonerate Their Directors?
    Corporations Code Section 2115 is not an easy read.  Fortunately, California Supreme Court Chief Justice Tani Cantil-Sakauye has provided a more digestible overview of the statute: Section 2115 was enacted as part of a comprehensive…
  • May 24

    California Judge Troubled By Trulia Refuses To Approve Settlement

    California Judge Troubled By Trulia Refuses To Approve Settlement
    Kevin LaCroix recently tackled the question Is Deal Litigation in Delaware Done?  According to Kevin, “deal litigation has been shifting from Delaware Chancery Court to courts in other states and to federal…
Rank this Week: 369

Stock Attorneys Blog

Stock Attorneys Blog

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

http://www.stockattorneysblog.com/
  • May 25

    Maczko Barred from FINRA for Taking Advantage of Elderly Customer

    Maczko Barred from FINRA for Taking Advantage of Elderly Customer
    (FINRA Case #2016050430201) Matthew Christopher Maczko (CRD #1888519, Downers Grove, Illinois) submitted an Accept, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Without admitting or denying…
  • May 24

    Adam Fritzsche Suspended by FINRA for one Year

    Adam Fritzsche Suspended by FINRA for one Year
    FINRA Case #2016049383801 Adam Stuart Fritzsche (CRD #2821218, Canterbury, Connecticut) submitted an Accept, Wavier and Consent in which he was suspended from association with any FINRA member in any capacity for one year. In light of…
  • May 23

    Kelly Clayton Althar submitted an Offer of Settlement, and Barred by FINRA.

    Kelly Clayton Althar submitted an Offer of Settlement, and Barred by FINRA.
    (FINRA Case #2014041137501) Kelly Clayton Althar (CRD #2666723, San Pablo, California) submitted an Offer of Settlement in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the…
Rank this Week: 2501

DealLawyers.com Blog

DealLawyers.com Blog

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

http://www.deallawyers.com/Blog/
  • May 25

    Antitrust: Will DOJ “Dawn Raids” Become More Common?

    Antitrust: Will DOJ “Dawn Raids” Become More Common?
    The DOJ’s Antitrust Division has traditionally used civil processes (subpoenas & CIDs) to gather evidence. However, this Clifford Chance memo says that 2 recent “dawn raids” may signal a change in tactics: On May 2,…
  • May 24

    National Security: CFIUS Overview

    National Security: CFIUS Overview
    Potential national security issues that might be raised by a cross-border transaction are becoming matters of increasing concern to dealmakers. This Latham memo provides an overview of CFIUS, the interagency group charged with conducting…
  • May 23

    More Fake News: Fitbit’s “Unreal” Tender Offer

    More Fake News: Fitbit’s “Unreal” Tender Offer
    If you’re a regular reader of “TheCorporateCounsel.net Blog,” you know that nothing excites me more than when someone fools the SEC’s Edgar & makes a fake filing! A little drool perhaps. Plug the term…
Rank this Week: 585

Securities Law Prof Blog

Securities Law Prof Blog

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

http://lawprofessors.typepad.com/securities/
  • May 24

    Chaffee on the Extraterritorial Application of Private Rights of Action

    Chaffee on the Extraterritorial Application of Private Rights of Action
    I have posted A Call for Legislative Reform: Expanding the Extraterritorial Application of the Private Rights of Action Under Federal Securities Law While Limiting the Scope of Relief Available on SSRN with the following abstract: When the…
  • May 24

    Schulzke & Berger-Walliser on Materiality

    Schulzke & Berger-Walliser on Materiality
    Kurt S. Schulzke and Gerlinde Berger-Walliser have posted Toward a Unified Theory of Materiality in Securities Law on SSRN with the following abstract: In the face of rapidly advancing globalization of capital markets, data, and information…
  • May 24

    Koehler on the FCPA

    Koehler on the FCPA
    Mike Koehler has posted The FCPA's Record-Breaking Year on SSRN with the following abstract: On a number of levels, 2016 was a record-breaking year for Foreign Corrupt Practices Act enforcement. This article, part of annual series, highlights…
Rank this Week: 98

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/
Rank this Week: 4653

Institutional Investor Securities…

Institutional Investor Securities Blog

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

http://www.institutionalinvestorsecuritiesblog.com/
  • May 24

    Thousands of Madoff’s Ponzi Scam Victims Have Yet to Get Any of Their Money Back

    Thousands of Madoff’s Ponzi Scam Victims Have Yet to Get Any of Their Money Back
    Eight years after Bernard Madoff was sentenced to 150 years in prison for defrauding investors in a $65 billion Ponzi scam, thousands of his victims have still not seen any of the money that they lost. These investors’ claims are being…
  • May 20

    Ex-Deutsche Bank Executives Reportedly to Pay for Misconduct

    Ex-Deutsche Bank Executives Reportedly to Pay for Misconduct
    At the yearly general meeting in Germany, Deutsche Bank AG (DB) told shareholders that the German lender is nearing an agreement with ex-executives in which they would have to help pay for the fines that the financial institution paid for…
  • May 17

    Ex-Nomura Head Traders Charged With Securities Fraud

    Ex-Nomura Head Traders Charged With Securities Fraud
    The US Securities and Exchange Commission is charging two-ex Nomura (NMR) head traders with fraud. Kee Chan and James Im ran Nomura Securities International Inc.’s commercial mortgage-backed securities desk. The regulator claims that…
Rank this Week: 1009

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: 336

Strictly Business

Strictly Business

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

http://www.strictlybusinesslawblog.com/
  • May 24

    Managing Conflicts of Interest in Private Equity and Venture Capital Fund

    Managing Conflicts of Interest in Private Equity and Venture Capital Fund
    Since the Securities and Exchange Commission has recently taken an increasingly closer look at the activities of private equity and venture capital fund managers, it is more important than ever for fund managers to understand when conflicts…
  • May 16

    Pre-Money Valuation vs. Post-Money Valuation

    Pre-Money Valuation vs. Post-Money Valuation
    The concept of pre-money valuation vs. post-money valuation can be a confusing one at first for many startup founders. Pre-money valuation refers to the valuation of the company prior to the investment whereas post-money valuation refers to…
  • Apr 18

    Negotiating a Convertible Note Financing

    Negotiating a Convertible Note Financing
    A convertible note is a hybrid of debt and equity, and it’s a popular form of financing for two main reasons. First, convertible notes are generally easy and cost-effective, because they require little negotiation and paperwork. Second,…
Rank this Week: 1933

McEldrew Young Blog

McEldrew Young Blog

Covers whistleblower law and wage theft for employees.

http://www.mceldrewyoung.com/blog/
  • May 24

    Remove Medical Malpractice Reform from Trump Budget

    Remove Medical Malpractice Reform from Trump Budget
    The Trump Administration’s budget proposal for 2018 includes another attempt to pass tort reform for medical malpractice lawsuits. We strongly oppose this effort to weaken compensation for injury victims and urge you to inform your…
  • May 23

    CFTC Completes Whistleblower Program Rule Change

    CFTC Completes Whistleblower Program Rule Change
    The CFTC has issued final rules based on its previously proposed changes to the CFTC whistleblower program. The changes have left the core of the program intact while strengthening the whistleblower retaliation protections, harmonizing the…
  • May 16

    One Third of Drugs Have Safety Issue After FDA Approval

    One Third of Drugs Have Safety Issue After FDA Approval
    A new study in the Journal of the American Medical Association has found that almost one-third of new drugs in the United States have a significant safety issue in the first decade after FDA approval.  This is a very concerning but not…
Rank this Week: 5122

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • May 23

    Guest Post: SEC Enforcement Data: Midyear Review

    Guest Post: SEC Enforcement Data: Midyear Review
    In the following guest post, Tammy Yuen and Ted Carleton of the Skarzynski Black law firm review and analyze the May 9, 2017 Cornerstone Research report entitled “SEC Enforcement Activity: Public Companies and Subsidiaries, Midyear FY…
  • May 22

    Is Deal Litigation in Delaware Done?

    Is Deal Litigation in Delaware Done?
    As documented on this site (for example, here and here) and elsewhere, deal litigation has been shifting from Delaware Chancery Court to courts in other states and to federal courts. This shift is largely the result of two Delaware court…
  • May 21

    Why Are There Fewer Public Companies and How Worried Should We Be About it?

    Why Are There Fewer Public Companies and How Worried Should We Be About it?
    There are fewer public companies in the U.S. than there were in the nineties. Understanding the reason for the decline in the number of public companies is important to understanding whether or not the decline is a cause for concern, as well…
Rank this Week: 146

Tim O'Connor's Blog

Tim O'Connor's Blog

Covers stockbroker fraud.

http://stockbrokerlaw.com/tim-oconnors-blog
  • May 23

    FINRA Issues Guidance on SEC Approved Rules to Prevent Exploitation of Senior Citizen

    FINRA Issues Guidance on SEC Approved Rules to Prevent Exploitation of Senior Citizen
    The Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 17-11 offering guidance on new SEC guidelines and approvals, including the adoption of FINRA Rule 2165 (Financial Exploitation of Specified Adults). This new…
  • May 16

    FINRA Warns Brokers on Social Media and Digital Communication

    FINRA Warns Brokers on Social Media and Digital Communication
    In Regulatory Notice 17-18, the Financial Industry Regulatory Authority (FINRA) issued addressed the obligations of FINRA member firms and persons when utilizing social media and digital communications. The Regulatory Notice contains…
  • May 4

    Trends in Supervisory and Clearing Firm Liability

    Trends in Supervisory and Clearing Firm Liability
    On April 6, 2017, Tim O’Connor presented at the 2017 Securities Arbitration and Mediation Continuing Legal Education Presentation of the New York State Bar Association at the New York Society of Security Analysts (NYSSA), 1540 Broadway,…
Rank this Week: 2932

InvestorLawyers.net

InvestorLawyers.net

Covers the right to recover money from dishonest stockbrokers and investment advisers.

http://www.investorlawyers.net/blog/
  • May 23

    Non-Traded REITs – Investors Should Proceed with Caution!

    Non-Traded REITs – Investors Should Proceed with Caution!
    With increasing frequency, given the current low interest rate environment, retail investors are steered into investing in products appearing to offer more advantageous yields than are available in traditional interest-bearing investments…
  • May 22

    State of Illinois Charges Thrivent Over Variable Annuity Switching

    State of Illinois Charges Thrivent Over Variable Annuity Switching
    The State of Illinois Securities Department (“Department”) recently initiated enforcement proceedings against Thrivent Investment Management, Inc. (“Thrivent”) (CRD #18387) for allegedly violating the Illinois…
  • Oct 13

    Former NEXT Financial Broker Douglas P. Simanski Barred for Alleged Theft

    Former NEXT Financial Broker Douglas P. Simanski Barred for Alleged Theft
      Financial Industry Regulatory Authority (FINRA) records indicate that Douglas P. Simanski (Simanski), a former stockbroker who was associated with NEXT Financial Group, has been permanently barred from the brokerage…
Rank this Week: 1708

Securities Law Blog

Securities Law Blog

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

http://seclaw.blogspot.com/
  • May 23

    What Is Obstruction of Justice? An Often Murky Crime, Explained - The New York Time

    What Is Obstruction of Justice? An Often Murky Crime, Explained - The New York Time
    I am not technically a criminal defense attorney, although sometimes criminal law invades my securities defense practice. That doesn't explain why I keep getting asked: "What is Obstruction of Justice."Of course, the explanation for the…
  • May 22

    ETFs Vs. Index Funds: Quantifying The Difference

    ETFs Vs. Index Funds: Quantifying The Difference
    ETFs Vs. Index Funds: Quantifying The Differences:Exchange-traded funds (ETFs) have become increasingly popular since its inception in 1993. But despite investor's love affair with ETFs, a closer look shows that index funds are still the top…
  • May 22

    The Hits Keep Coming - Scammer Makes Fake Filing and Sells His Call

    The Hits Keep Coming - Scammer Makes Fake Filing and Sells His Call
    The SEC filed fraud charges against a Virginia-based mechanical engineer accused of scheming to manipulate the price of Fitbit stock by making a phony regulatory filing.According to the SEC’s complaint, Robert W. Murray purchased Fitbit…
Rank this Week: 498

Stock Broker Fraud Blog

Stock Broker Fraud Blog

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

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

    Investors Continue to Pursue Puerto Rico Bond Fraud Recovery From Santander Securitie

    Investors Continue to Pursue Puerto Rico Bond Fraud Recovery From Santander Securitie
    Although many of the thousands of cases investors in Puerto Rico bonds and closed-end funds have brought over the last three years have focused on UBS Financial Services Incorporated of Puerto Rico (“UBS-PR”), other brokerage…
  • May 20

    SEC Stops $22M Texas-Based Securities Scam

    SEC Stops $22M Texas-Based Securities Scam
    In federal court in Sherman, TX, the US Securities and Exchange Commission has filed an emergency action to halt a $22.7M mortgage investment scam involving Thurman P. Bryant, III and his Bryant United Capital Funding, Inc. According to the…
  • May 17

    Hedge Funds and Pensioners Scramble For Debt Payment Owed To Them By Puerto Rico

    Hedge Funds and Pensioners Scramble For Debt Payment Owed To Them By Puerto Rico
    In the wake of Puerto Rico’s bankruptcy filing, hedge funds are competing with the U.S. territory’s workers to get paid. The island has guaranteed retirees and workers $49 Billion in benefits. However, the federally appointed…
Rank this Week: 151

Broke and Broker

Broke and Broker

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

http://brokeandbroker.com/index.php
  • May 22

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
    FBI Agent Josh And Where's Waldo? Where's OWB? This is agent Josh, we were sent by the Acting Director of Federal Bureau of Investigation (Andrew G. McCabe), we are currently in Africa as an FBI/ United States delegate that have been…
  • May 20

    FBI Agent Josh and Where's Waldo? Where's OWB?

    FBI Agent Josh and Where's Waldo? Where's OWB?
    Just a couple of fun items for those of you unfortunate to find yourself in the office on the Friday before the Memorial Day weekend.This morning, the following email appeared in my Inbox:NOTICE OF ONGOING INVESTIGATION FBI OFFICE…
  • May 18

    FINRA's Willy Nilly Tax Lien Settlement

    FINRA's Willy Nilly Tax Lien Settlement
    Many taxpayers lack the funds to pay their taxes when the time is due. In response to such a shortfall, individuals are faced with many choices: some legal, some not; some sensible, some foolish. Consequently, the April filing deadline often…
Rank this Week: 1339

Securities Fraud Lawyer Blog

Securities Fraud Lawyer Blog

Covers securities law. By The Law Office of David Liebrader, Inc.

https://www.securitiesfraudlawyerblog.net/
  • May 20

    Dan Levin Hit With $241,000 Arbitration Award

    Dan Levin Hit With $241,000 Arbitration Award
    CPR Radio Show Host Dan Levin Hit With FINRA Arbitration Award On May 19, 2017,  a FINRA Dispute Resolution, Inc. arbitration panel issued a binding arbitration award against Dallas based financial planner Dan Levin, host of the CPR…
  • May 14

    FINRA Bars Charles DeNormandie

    FINRA Bars Charles DeNormandie
    Charles DeNormandie, a registered representative from Alpharetta, Georgia formerly with Commonwealth Financial Network and Ameriprise Financial Services was barred from FINRA membership as a result of refusing to cooperate with a FINRA…
  • May 14

    Sandra Canaba Barred by FINRA

    Sandra Canaba Barred by FINRA
    Sandra Canaba, a registered representative from Santa Teresa, New Mexico formerly with LPL Financial and Chase Investment Services was barred from FINRA membership as a result of refusing to cooperate with a FINRA investigation. FINRA Rule…
Rank this Week: 5066

White Collar Wire

White Collar Wire

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

http://jacksharman.com/
  • May 19

    Needful of a Negroni Cocktail?

    Needful of a Negroni Cocktail?
    I have been drinking Negroni cocktails recently.  The Negroni presents three virtues: it contains gin, it is bitter and it is simple to make (equal parts gin, Campari and sweet vermouth).  Its simplicity makes it superior for quiet…
  • May 15

    Electronic Medical Records and Federal Criminal Prosecution

    Electronic Medical Records and Federal Criminal Prosecution
    Electronic medical records (or “EMR”) were supposed to be a boon to the provision of healthcare. As two Boston-area physicians point out, EMR are anything but a benefit: Electronic medical records, or EMRs, were supposed to…
  • May 10

    Mute Oracle: The Controlled Substances Act and Physicians’ Criminal Conduct

    Mute Oracle: The Controlled Substances Act and Physicians’ Criminal Conduct
    Criminal laws are supposed to give persons regulated by the law sufficient notice of what conduct, exactly, is prohibited.  Criminal laws, as interpreted by courts, are also supposed to provide clear standards for mens rea (that is, the…
Rank this Week: 4464

Stock Market Loss

Stock Market Loss

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

http://www.stockmarketloss.com/news/
  • May 19

    Customers of Winston Wade Turner Claim Securities Fraud

    Customers of Winston Wade Turner Claim Securities Fraud
    Stock Market Loss securities attorneys are investigating allegations against Winston Wade Turner, a previously registered broker who has been barred by the Financial Industry Regulatory Authority. Turner is prohibited from serving as a broker…
  • May 19

    Customer Disputes Against Merrill Lynch Broker Sylvester Knox

    Customer Disputes Against Merrill Lynch Broker Sylvester Knox
    Sylvester Knox, a broker and investment adviser with eight different firms over 27 years, is under investigation for a variety of alleged violations . The attorneys at Stock Market Loss are investigating claims against Knox. Since January…
  • May 19

    Customers of Andrew Todd Yocum Allege Unsuitable Investment

    Customers of Andrew Todd Yocum Allege Unsuitable Investment
    Securities attorneys Jay H. Salamon and Hugh D. Berkson of McCarthy, Lebit, Crystal & Liffman represent clients who lost money as the result of Ponzi schemes, investment fraud, and other broker misconduct. They are investigating the…
Rank this Week: 3112

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • May 18

    Cyber Attacks Merit SEC Risk Assessment Intervention

    Cyber Attacks Merit SEC Risk Assessment Intervention
    The recent cyberattacks across the globe have caused the  SEC’s Office of Compliance Inspections and Examinations (“OCIE”) to issue an alert and highlight certain best practices for firms to handle…
  • May 11

    So You Want To Change Firms — Part II

    So You Want To Change Firms — Part II
    So you really want to change firms.  Do you have a restrictive covenant or a non-compete?  If so, your transition may be a little more complicated.  To learn what restrictions may apply to you, check out our 50-state…
  • May 4

    So You Want To Change Firm

    So You Want To Change Firm
      One certainty in the brokerage world is that registered representatives often switch from one member firm to another. There is nothing wrong with the switch, but there is a word of caution to be shared. Before you leave, make sure you…
Rank this Week: 1292

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: 4815

New York Securities Lawyer Blog

New York Securities Lawyer Blog

Covers securities law. By Lax & Neville LLP.

http://www.newyorksecuritieslawyerblog.com/
Rank this Week: 4138

Special Situations Law

Special Situations Law

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

http://www.specialsituationslaw.com/
Rank this Week: 5167

Federal Securities Law Blog

Federal Securities Law Blog

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

http://www.fedseclaw.com/
  • May 15

    Will the DOL continue to make ESOPs a compliance priority?

    Will the DOL continue to make ESOPs a compliance priority?
    Greg Daugherty, our colleague at Employee Benefits Law Report shared a post exploring whether or not the Department of Labor (DOL) under President Trump will continue to make employee stock ownership plans (ESOPs) a compliance…
  • 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…
Rank this Week: 975

Footnoted

Footnoted

Reports on actionable information in SEC filings.

http://www.footnoted.com/
Rank this Week: 4321

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • May 9

    Not Just For Section 11 Claim

    Not Just For Section 11 Claim
    In its Omnicare decision, the U.S. Supreme Court held that opinions presented in registration statements can be subject to liability under Section 11 of the Securities Act of 1933 if either (a) the opinion was not…
  • Apr 14

    Frivolity

    Frivolity
    Among other reforms, the Private Securities Litigation Reform Act of 1995 (“PSLRA”) requires that upon final adjudication of a federal securities action, the court shall include in the record “specific findings regarding…
  • Feb 24

    Somebody Else Said It

    Somebody Else Said It
    Is paying someone else to make a misstatement to investors the same as making the misstatement yourself for purposes of securities fraud liability?  Two recent appellate decisions address this question and come to different conclusions…
Rank this Week: 931

Securities Law Blog

Securities Law Blog

Covers securities law. By Fitapelli | Kurta.

https://www.securities-law-attorney.com/
  • May 9

    Sean McElduff Recommended Unsuitable Municipal Debt Bond

    Sean McElduff Recommended Unsuitable Municipal Debt Bond
    Public records provided by the Financial Industry Regulatory Authority (FINRA) on May 5, 2017 indicate that New Jersey-based Hennion & Walsh broker Sean McElduff has received resolved or pending customer disputes. Fitapelli Kurta is…
  • May 8

    Robert Hudson Has Been Sanctioned Twice

    Robert Hudson Has Been Sanctioned Twice
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 5, 2017 indicate that Vermont-based Summit Brokerage Services broker/adviser Robert Hudson has been the subject of resolved or pending customer…
  • May 8

    Gary Deardorff Has Received Three Customer Complaint

    Gary Deardorff Has Received Three Customer Complaint
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 4, 2017 indicate that Arizona-based National Planning Corporation broker/adviser Gary Deardorff has been the subject of resolved or pending…
Rank this Week: 5084

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
  • May 3

    Former PNC Investments Advisor Obtains $1.8 Million Award Against the Firm

    Former PNC Investments Advisor Obtains $1.8 Million Award Against the Firm
    As reported in Investment News, a FINRA arbitration panel recently ruled against PNC Investments LLC, the broker-dealer subsidiary of PNC Bank, and in favor of a former financial advisor, awarding her $1.8 million.  The Award is notable…
  • 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…
Rank this Week: 3725

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/
  • May 3

    SEC Awards Whistleblower a Bounty of Over $500,000

    SEC Awards Whistleblower a Bounty of Over $500,000
    The SEC announced it was awarding a company insider a whistleblower award of more than $500,000 for reporting information that prompted an SEC investigation into well-hidden misconduct that resulted in an SEC enforcement action. The…
  • Apr 26

    SEC Awards Nearly $4 Million to Whistleblower

    SEC Awards Nearly $4 Million to Whistleblower
    The SEC announced an award of almost $4 million to a whistleblower who provided detailed, specific information about serious securities misconduct and provided ongoing assistance throughout the ensuing investigation. According to the SEC…
  • Apr 26

    Rule 21F-17: SEC Rule Bar Companies From Attempting to Hinder Whistleblower from Coming Forward

    Rule 21F-17: SEC Rule Bar Companies From Attempting to Hinder Whistleblower from Coming Forward
    When the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”) was enacted in July 2010, the act implemented numerous protections for investors and consumers.  One of the indirect benefits was the…
Rank this Week: 4825

Subject to Inquiry

Subject to Inquiry

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

http://www.subjecttoinquiry.com/
  • Apr 19

    The CFPB’s Alternative Data RFI: Making Your Response Count

    The CFPB’s Alternative Data RFI: Making Your Response Count
    The Consumer Financial Protection Bureau (CFPB) recently issued a Request for Information (RFI) Regarding Use of Alternative Data and Modeling Techniques in the Credit Process, available here.  The deadline for response is May 19. …
  • Apr 18

    H-1B Employers Face Increased Site Visit

    H-1B Employers Face Increased Site Visit
    Employers using the H-1B visa program should take note as additional site visits may be on the horizon.  U.S. Citizenship and Immigration Services (“USCIS”), part of the Department of Homeland Security, recently announced a…
  • Mar 27

    CFPB Fails to State Case Against Payment Processor

    CFPB Fails to State Case Against Payment Processor
    The United States District Court for the District of North Dakota recently dismissed the Consumer Financial Protection Bureau’s (CFPB) complaint against a payment processor, Intercept, in a case McGuireWoods has been monitoring. …
Rank this Week: 4197

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • Apr 17

    REPRESENTING ELDERS AND ATHLETES

    REPRESENTING ELDERS AND ATHLETES
    It wouldn’t seem likely that elders and athletes would have much, if anything, in common.  But they do.  They are frequently blessed with substantial semi-liquid assets, and are therefore the targets of fraudulent or reckless…
  • Mar 24

    Kokesh v. SEC: Implications for the Statute of Limitations for Missouri Securities Enforcement Action

    Kokesh v. SEC: Implications for the Statute of Limitations for Missouri Securities Enforcement Action
     Kokesh v. SEC, Docket No. 16-529 (oral argument date April 18, 2017) – Implications for the Statute of Limitations for Missouri State Securities Enforcement Actions.By John R. Phillips, Counsel for Cosgrove Law Group, LLC and…
  • Feb 24

    Get Your Own Lawyer, Darn It!

    Get Your Own Lawyer, Darn It!
    Financial advisors facing an arbitration claim or regulatory inquiry often count on their broker-dealer or registered investment advisor for legal counsel. These “employers” will frequently provide them with an ostensibly…
Rank this Week: 1248

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: 535

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/
  • Apr 7

    It Doesn't Take Magic Words To Revoke An Offer

    It Doesn't Take Magic Words To Revoke An Offer
    The lawyers in Baker v. Bowden, 2017 NCBC 30, decided this week by Judge Robinson, were negotiating a settlement agreement by email.  The Plaintiff thought that it had a deal.  When the Defendant balked, the Plaintiff moved the…
  • Mar 28

    First Published Opinion From New Business Court Judge Conrad

    First Published Opinion From New Business Court Judge Conrad
    Business Court Judges don't have to issue written Opinions in cases granting Preliminary Injunctions.  (G.S. § 7A-45.3 limits the obligation to issue a written Opinion to rulings rendered per NCRCP 12, 56, 59, and 60).  But…
  • Mar 15

    NC Business Court On Conflicting Rules Of Civil Procedure: Do You Need Leave Of Court To Amend Your Answer To Add A Counterclaim?

    NC Business Court On Conflicting Rules Of Civil Procedure: Do You Need Leave Of Court To Amend Your Answer To Add A Counterclaim?
    If I asked you if you were familiar with Rule 13(f) of the NC Rules of Civil Procedure, I'm betting that you would respond with a glassy stare and a slack jaw.  That Rule deals with a counterclaim that you should have made in your…
Rank this Week: 514