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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…
  • Jun 27

    SEC Charges Asher Z. Zwebner for Conducting a Phony IPO

    SEC Charges Asher Z. Zwebner for Conducting a Phony IPO
    Going Public LawyerThe Securities and Exchange Commission (SEC) on April 26th, 2016 announced fraud charges against Israeli Asher Z. Zwebner for engaging in a scheme to create a publicly-traded shell company, Crown Dynamics Corp., through a…
Rank this Week: 481

Institutional Investor Securities…

Institutional Investor Securities Blog

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

http://www.institutionalinvestorsecuritiesblog.com/
Rank this Week: 1035

Stock Broker Fraud Blog

Stock Broker Fraud Blog

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

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

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Jun 28

    Tax condition lets oil company out of unfavorable merger

    Tax condition lets oil company out of unfavorable merger
    By Anne Sherry, J.D.The inability to procure a legal opinion allowed Energy Transfer Equity, L.P. (ETE) to back out of an unfavorable merger with The Williams Companies, Inc. The energy market tanked after the parties agreed to the merger,…
  • Jun 27

    House Agriculture leaders warn proposed CFTC energy order would cause inconsistency

    House Agriculture leaders warn proposed CFTC energy order would cause inconsistency
    By Lene Powell, J.D.The leaders of the House Agriculture Committee wrote to CFTC Chairman Timothy Massad to express concern about a proposed CFTC order that would recognize a private right of action for market manipulation involving certain…
  • Jun 24

    IDC warns against fund proposals pushing managerial tasks onto board

    IDC warns against fund proposals pushing managerial tasks onto board
    By Amy Leisinger, J.D.The Independent Directors Council filed a supplement to its comment letters on the SEC’s proposals regarding liquidity risk management and funds’ derivatives use. According to the IDC, both proposals raise…
Rank this Week: 148

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/
  • Jun 28

    Corp Fin: 7 New “Rule 701” CDI

    Corp Fin: 7 New “Rule 701” CDI
    As noted in this Cooley blog, Corp Fin issued 7 new CDIs last week on Rule 701 issues – primarily in the M&A context…
  • Jun 27

    DGCL Amendments: Appraisal Actions & “Intermediate-Form” Merger

    DGCL Amendments: Appraisal Actions & “Intermediate-Form” Merger
    Here’s a summary of this memo from Ropes & Gray: On June 16, 2016, Delaware Governor Jack Markell signed into law House Bill 371, which amends the Delaware General Corporation Law (DGCL) with respect to, among other things,…
  • Jun 20

    How Not to Run a Proxy Contest: Voce Capital Management Demonstrate

    How Not to Run a Proxy Contest: Voce Capital Management Demonstrate
    Here’s news from this Wachtell Lipton memo: Yesterday, the entire board of directors of FBR & Co. was overwhelmingly re-elected in the face of a bitter proxy fight waged by Voce Capital Management, an activist hedge fund. Voce…
Rank this Week: 578

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Jun 28

    SEC Proposes Changes to “Smaller Reporting Company” Definition

    SEC Proposes Changes to “Smaller Reporting Company” Definition
    Yesterday, the SEC proposed changes to the “smaller reporting company” definition, which would increase the number of companies falling into that reporting category. Here’s the 83-page proposing release. The proposed rules…
  • Jun 27

    Corp Fin: 7 New “Rule 701” CDI

    Corp Fin: 7 New “Rule 701” CDI
    As noted in this Cooley blog, Corp Fin issued 7 new CDIs last week on Rule 701 issues – primarily in the M&A context… Social Media: Deal Announced By Blog Post! As noted in this blog by Steve Quinlivan: Tesla, in an offer to…
  • Jun 24

    Brexit: The Risk Factors Cometh!

    Brexit: The Risk Factors Cometh!
    I’m out West for the Society of Corporate Secretaries Conference. So I was up when the ‘leave’ vote stunned the world. I just did a quick Edgar search and ‘Brexit’ has been scarcely mentioned in recent 10-Ks…
Rank this Week: 291

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/
  • Jun 28

    Is Counterfeit Currency A Bank Note?

    Is Counterfeit Currency A Bank Note?
    Counterfeiting was once considered to be tantamount to treason.  It is still a serious, but not capital, crime.  In fact, it is one of only four crimes specifically mentioned in the Constitution.  Notably, however, the…
  • Jun 27

    Are A Breach Of Fiduciary Duty And A Breach Of Governing Documents “Non Bis In Idem”?

    Are A Breach Of Fiduciary Duty And A Breach Of Governing Documents “Non Bis In Idem”?
    Last week, I discussed the Court of Appeal’s consideration of whether the business judgment rule protects a director from claims based on breach of the corporation’s governing documents.  See Does The Business Judgment…
  • Jun 24

    Does The Business Judgment Rule Protect Directors Who Violate Governing Documents?

    Does The Business Judgment Rule Protect Directors Who Violate Governing Documents?
    Under the business judgment rule, a director will not be liable for a mistake in business judgment provided that certain conditions are met.  In the case of a California nonprofit mutual benefit corporation, a director who performs her…
Rank this Week: 375

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • Jun 27

    Russian Trade Sanctions-Related Securities Lawsuit Dismissed

    Russian Trade Sanctions-Related Securities Lawsuit Dismissed
    In a prior post, I noted that among the implications of the international trade sanctions is the possibility that companies affected by sanctions could face D&O claims. Among the risks the sanctions program presents is the possibility…
  • Jun 26

    What Does the Brexit Vote Mean for the Insurance Industry?

    What Does the Brexit Vote Mean for the Insurance Industry?
    The historic June 23, 2016 vote by a majority of voters for the United Kingdom to leave the European Union has dominated the headlines and roiled financial markets around the world – and for good reason. The U.K.’s withdrawal from…
  • Jun 23

    Guest Post: Deeper Trends in Securities Class Actions 2006-2015

    Guest Post: Deeper Trends in Securities Class Actions 2006-2015
    There have been a number of important developments in class action securities litigation case filings in the recent years. In the following guest post, Michael Klausner, Professor of Law, Stanford Law School, and Jason Hegland, Executive…
Rank this Week: 147

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/
  • Jun 27

    SEC Adopts Rules for Resource Extraction Issuers Under Dodd-Frank Act

    SEC Adopts Rules for Resource Extraction Issuers Under Dodd-Frank Act
    The Securities and Exchange Commission today announced it adopted rules to require resource extraction issuers to disclose payments made to governments for the commercial development of oil, natural gas or minerals.  The rules, mandated…
  • Jun 27

    SEC Proposes Amendments to Smaller Reporting Company Definition

    SEC Proposes Amendments to Smaller Reporting Company Definition
    The Securities and Exchange Commission voted today to propose amendments that would increase the financial thresholds in the “smaller reporting company” definition.  The proposal to update the definition would expand the…
  • Jun 27

    Broker Pays the Price for Passing on Arbitration

    Broker Pays the Price for Passing on Arbitration
    Lessons Learned: You cannot ignore an arbitration complaint. You will lose, and the award will become a judgment. Plus - FINRA's two year jurisdiction retention does not limit your arbitration agreement.From the Securities Arbitration…
Rank this Week: 498

New York Securities Lawyers Blog

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

http://www.newyorksecuritieslawyersblog.com/
  • Jun 27

    BROKER REPORT: Clark Gardner Barred by the SEC and FINRA

    BROKER REPORT: Clark Gardner Barred by the SEC and FINRA
    The securities fraud attorneys at Malecki Law are interested in hearing from investors who have complaints regarding former stockbroker Clark Gardner.  According to his BrokerCheck report maintained by the Financial Industry Regulatory…
  • Jun 27

    Risky Investments Begin to Show Losses in Wake of Brexit

    Risky Investments Begin to Show Losses in Wake of Brexit
    The Bexit vote in Britain appears to be exposing fault lines across various investments.  The Wall Street Journal reported today that emerging market currencies are taking on steep losses a day after Britain voted to leave the European…
  • Jun 24

    Post-Brexit Drop In The Market: Should It Raise Concerns For Investors?

    Post-Brexit Drop In The Market: Should It Raise Concerns For Investors?
    The Dow Jones dropped more than 600 points today in response to the Brexit vote.  This was reportedly the its eighth-largest point loss ever.  Meanwhile, the S&P 500 dropped more than 70 points today.  Certain financial…
Rank this Week: 2355

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
  • Jun 27

    The Reality of Investment Risk

    The Reality of Investment Risk
    From the Desk of Jim Eccleston at Eccleston Law LLC:Risk is the possibility that a negative financial outcome that matters to you might occur. Unfortunately, there always will be risks involved when making investments in stocks, bonds and…
  • Jun 23

    DiCaprio To Testify In ‘Wolf Of Wall Street’ Suit

    DiCaprio To Testify In ‘Wolf Of Wall Street’ Suit
    From the Desk of Jim Eccleston at Eccleston Law LLC:A federal judge ordered actor Leonardo DiCaprio to be deposed because of his role in the Academy Award nominated film “The Wolf of Wall Street.” Andrew Greene, the plaintiff in…
  • Jun 20

    FINRA Cracks Down on Oppenheimer’s Unsuitable Sale of Non-Traditional ETF

    FINRA Cracks Down on Oppenheimer’s Unsuitable Sale of Non-Traditional ETF
    From the Desk of Jim Eccleston at Eccleston Law LLC:Without admitting or denying allegations, Oppenheimer & Co. agreed to pay $2.25 million to FINRA for the unsuitable sales of non-traditional ETFs and the consequential supervisory…
Rank this Week: 144

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/
  • Jun 27

    BCSC issues guidance on trade reporting and product determination rule

    BCSC issues guidance on trade reporting and product determination rule
    The British Columbia Securities Commission (BCSC) has advised market participants that Multilateral Instrument 91-101 Derivatives: Product Determination and Multilateral Instrument 96-101 Trade Repositories and Derivatives Data Reporting (MI…
  • Jun 27

    Cybersecurity solutions highlighted by MFDA

    Cybersecurity solutions highlighted by MFDA
    The Mutual Fund Dealers Association of Canada (MFDA) recently published guidance (the Bulletin) on contending with cybersecurity threats.  The Bulletin suggests a comprehensive suite of cybersecurity considerations that are widely used…
  • Jun 27

    IIROC membership disclosure rules finalized

    IIROC membership disclosure rules finalized
    The Investment Industry Regulatory Organization of Canada (IIROC) has published final amendments to the Dealer Member Rules which require dealer members to disclose that they are regulated by IIROC.  Under the new rules, a dealer member…
Rank this Week: 482

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/
  • Jun 27

    Oppenheimer fined over leveraged ETFs.

    Oppenheimer fined over leveraged ETFs.
    The Financial Industry Regulatory Authority recently announced that it has fined Oppenheimer & Co. Inc. $2.25 million and ordered the firm to pay restitution of more than $716,000 to affected customers for selling leveraged, inverse…
  • Jun 23

    Merrill Lynch fined over structured notes sales.

    Merrill Lynch fined over structured notes sales.
    The Securities and Exchange Commission recently announced that Merrill Lynch has agreed to pay a $10 million penalty to settle charges that it was responsible for misleading statements in offering materials provided to retail investors…
  • Jun 22

    Ameriprise fined over closed-end fund sale

    Ameriprise fined over closed-end fund sale
    According to reports, Ameriprise Financial Services Inc. has agreed to pay a $100,000 fine to settle charges by the Financial Industry Regulatory Authority that the firm failed to supervise closed-end fund sales. Finra alleged that from…
Rank this Week: 348

Securities Compliance Sentinel

Securities Compliance Sentinel

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

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

    So what’s your firm’s culture

    So what’s your firm’s culture
    If you cannot answer this question, you may have an issue when you have your next FINRA exam. After all, firm culture is a FINRA exam priority. Does your firm have a culture of compliance? This question only leads to another; what is a…
  • Jun 26

    Huge Customer Protection Rule Fine Brings Back Memorie

    Huge Customer Protection Rule Fine Brings Back Memorie
    My friend and a legend in the securities regulatory field, Edwin Nordlinger, who served as Deputy Regional Director in the SEC’s New York office for years, was one of the nation’s premier experts on the SEC’s net capital and…
  • Jun 20

    What to do about a stupid client

    What to do about a stupid client
    Anyone in a professional service business, like being a stock broker, have been faced with a client who decides to make a stupid decision. But the issue we all face is when that decision results in the client losing money; who is to be held…
Rank this Week: 1280

The Securities Edge

The Securities Edge

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

http://www.thesecuritiesedge.com/
  • Jun 25

    The SEC’s summer menu

    The SEC’s summer menu
    Posted By: Robert B. Lamm In recent weeks, the SEC has given public companies some new menu items, including the following: On June 1, the SEC adopted an “interim final rule” that permits companies to inclue a summary of business…
  • Jun 22

    New federal law provides additional protection for trade secret

    New federal law provides additional protection for trade secret
    Posted By: Robert C. White Jr. President Barack Obama signed into law Wednesday, May 11th, a bill that will provide protection for trade secrets on the federal level. This new legislation, called the Defend Trade Secrets Act of 2016, or DTSA,…
  • Jun 15

    Senator Warren strikes again

    Senator Warren strikes again
    Posted By: Robert B. Lamm It’s almost exactly one year to the day since I took Senator Elizabeth Warren to task for what I believed was an unwarranted and particularly vicious attack on the SEC – or, rather, Chair White’s…
Rank this Week: 3164

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Jun 24

    Chad Karl Has Customer Complaint

    Chad Karl Has Customer Complaint
    Public records published by the Financial Industry Regulatory Authority (FINRA) on June 24, 2016 indicate that Wisconsin-based Sterne Agee Financial Services broker/adviser Chad Karl has received resolved or pending customer complaints. The…
  • Jun 24

    Clark Gardner Permanently Barred from Securities Industry

    Clark Gardner Permanently Barred from Securities Industry
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 24, 2016 indicate that former Utah-based Cetera Advisors broker Clark Gardner has been permanently barred from acting as a broker or an…
  • Jun 24

    Ross Barish Facing Regulatory Sanction

    Ross Barish Facing Regulatory Sanction
    Public records provided by the Financial Industry Regulatory Authority (FINRA) on June 24, 2016 indicate that New York-based Joseph Stone Capital broker Ross Barish has been named in a pending regulatory complaint. The securities and…
Rank this Week: 1565

Securities Law Attorneys Blog

Securities Law Attorneys Blog

Covers securities law. By Fitapelli | Kurta.

http://www.securitieslawattorneys.net/
  • Jun 24

    Broker Spotlight: Sandy Jukel (Morgan Stanley)

    Broker Spotlight: Sandy Jukel (Morgan Stanley)
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 24, 2016 indicate that Florida-based Morgan Stanley broker/adviser Sandy Jukel has been the subject of resolved or pending customer complaints.…
  • Jun 24

    James Pardy (Joseph Stone Capital) Facing Regulatory Complaint

    James Pardy (Joseph Stone Capital) Facing Regulatory Complaint
    Public records provided by the Financial Industry Regulatory Authority (FINRA) on June 24th, 2016 indicate that New York-based Joseph Stone Capital broker James Pardy has been named in a pending regulatory complaint. The securities and…
  • Jun 24

    Edward Bosch Permanently Barred from Securities Industry

    Edward Bosch Permanently Barred from Securities Industry
    Public records provided by the Financial Industry Regulatory Authority (FINRA) on June 23, 2016 indicate that former Kentucky-based LPL Financial broker Edward Bosch, Sr. has been permanently barred from acting as a broker or otherwise…
Rank this Week: 3898

New York Securities Lawyer Blog

New York Securities Lawyer Blog

Covers securities law. By Lax & Neville LLP.

http://www.newyorksecuritieslawyerblog.com/
Rank this Week: 4270

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
Rank this Week: 4305

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/
  • Jun 23

    FINRA Takes a Closer Look at Variable Annuity Sale

    FINRA Takes a Closer Look at Variable Annuity Sale
    The things we spend our money on tend to change as we get older. There’s a good chance you have a lot more money in your pocket…
  • Jun 2

    Who is May Law?

    Who is May Law?
    Press play on the video below for an inside look into what sets May Law apart from other firms and why Andrew May feels so passionately about…
  • May 20

    The Evolution of Insider Trading

    The Evolution of Insider Trading
    In the world of finance, one of the most malleable legal terms is “insider trading.” It may seem obvious to financial experts, but many don’t fully appreciate…
Rank this Week: 4618

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: 453

Subject to Inquiry

Subject to Inquiry

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

http://www.subjecttoinquiry.com/
  • Jun 23

    Supreme Court Hands Down Opinion in Universal Health Services v. Escobar

    Supreme Court Hands Down Opinion in Universal Health Services v. Escobar
    Recently, the Supreme Court handed down its much-anticipated opinion in Universal Health Services, Inc. v. United States ex rel. Escobar et al.—a case addressing the viability of the implied certification theory in FCA litigation. …
  • Jun 17

    SEC Highlights Model Response to Evidence of FCPA Violations, Announces Non-Prosecution Agreement

    SEC Highlights Model Response to Evidence of FCPA Violations, Announces Non-Prosecution Agreement
    On June 7, the Securities and Exchange Commission (SEC) announced two non-prosecution agreements (NPAs) following a pair of investigations into alleged violations of the Foreign Corrupt Practices Act (FCPA).  Both companies were ensnared…
  • Jun 16

    Department of Education Proposes Rules Increasing Student Loan Risk to School

    Department of Education Proposes Rules Increasing Student Loan Risk to School
    On June 13, the Department of Education (DOE) proposed new rules relating to effective discharges of student loans. The proposed rules should be of note and concern to all schools, nonprofit and for-profit alike, because of significant new…
Rank this Week: 4275

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/
  • Jun 23

    How to Make Sense of Your Monthly Account Statement

    How to Make Sense of Your Monthly Account Statement
    Brokerage account statements can be lengthy and complicated.  Having a basic idea of what you are looking at, however, can help you spot mistakes, unauthorized activity, and even fraud. Here are the key types of information generally…
  • Jun 13

    Financial Fraud: Don’t Be an Easy Target

    Financial Fraud: Don’t Be an Easy Target
    The headlines are full of stories of identity theft and investment fraud.  There are steps you can take to keep from being an easy target. Guard your Social Security number! Memorize the number and don’t carry your Social…
  • Jun 7

    Should I Stay or Should I Go?  What to know before following your broker to a new firm.

    Should I Stay or Should I Go?  What to know before following your broker to a new firm.
    If you have been with your broker for a while, chances are you have developed a good relationship with him or her. If he or she decides to change brokerage firms one day, you will most likely be asked to follow him or her to the new brokerage…
Rank this Week: 768

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: 2980

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • Jun 22

    Ignore At Your Own Peril: “Training Fees” Provisions in Financial Industry Employment Contract

    Ignore At Your Own Peril: “Training Fees” Provisions in Financial Industry Employment Contract
                It has long been the practice of many broker-dealers, wire houses, and other financial firms to put provisions in employee contracts allowing them to recover so-called “training fees”…
  • May 23

    DOL Fiduciary Rule P II: The SEC Story

    DOL Fiduciary Rule P II: The SEC Story
    While the previous post discussed the Department of Labor’s (DOL) fiduciary rule, it is not the only government agency tackling the issue. In 2010, President Obama signed into law the Dodd-Frank Act, which authorized the Securities and…
  • Apr 18

    “Lumpiness” insufficient When the Ship is Going Down

    “Lumpiness” insufficient When the Ship is Going Down
    Class action investors recently won a partial victory against Dolan Company in the 8th Circuit Court of Appeals.  I stress partial because, while the trial court’s dismissal was reversed, its severe limitation of the…
Rank this Week: 1251

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
  • Jun 22

    SEC Places Merrill Lynch in its Crosshairs over Sales of Structured Note

    SEC Places Merrill Lynch in its Crosshairs over Sales of Structured Note
    A recent article in The Wall Street Journal (“SEC Readies Case Against Merrill Lynch Over Notes That Lost 95%”) stated that the Securities and Exchange Commission is preparing a civil enforcement case against Merrill Lynch over a…
  • Jun 9

    Oppenheimer & Co. – Widespread Culture of Corruption?

    Oppenheimer & Co. – Widespread Culture of Corruption?
    Oppenheimer & Co., one of the most sanctioned and criticized brokerage firms on Wall Street, has been once again the subject of a massive regulatory fine (“FINRA Sanctions Oppenheimer & Co. $2.9 Million for Unsuitable Sales of…
  • Apr 27

    MADDOX: Let’s better protect our retirement account

    MADDOX: Let’s better protect our retirement account
    Attorney Mark Maddox wrote an article for the Indianapolis Business Journal this past week on the topic of protecting our retirement accounts. Here is a link to the article:…
Rank this Week: 539

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: 329

Tim O'Connor's Blog

Tim O'Connor's Blog

Covers stockbroker fraud.

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

    SEC Awards a Total of $8.5 Million Dollars in Two Separate Whistleblower Case

    SEC Awards a Total of $8.5 Million Dollars in Two Separate Whistleblower Case
    In two separate press releases dated May 16, 2016 (link to press release 2016-89) and May 17, 2016 (number 2016-91) the Securities and Exchange Commission announced awards of over $5,000,000 and $3.5 Million Dollars, respectively, to…
  • Jun 14

    FINRA Whistleblower Tip-Line

    FINRA Whistleblower Tip-Line
    The Financial Industry Regulatory Authority maintains a whistleblower tip-line for individuals having information about potentially illegal or unethical activity involving the securities markets FINRA’s Office of Fraud Detection and…
  • Jun 7

    SEC Issues Investor Bulletin Regarding Stop Orders and Stop Limit Order

    SEC Issues Investor Bulletin Regarding Stop Orders and Stop Limit Order
    On May 2, 2016 the SEC’s Office of Investor Education and Advocacy issued an investor bulletin designed to educate investors of the difference between using “stop” and “stop limit” orders to buy and sell stocks. …
Rank this Week: 2984

Business Blog

Business Blog

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

http://www.businesslawnews.com/
  • Jun 21

    Green v. Brennan: When is a Constructive Discharge Claim Applicable?

    Green v. Brennan: When is a Constructive Discharge Claim Applicable?
    The U.S. Supreme Court recently held that the statute of limitations begins to run in a constructive discharge lawsuit when the employee provides notice of his resignation. The Court’s 7-1 decision in Green v. Brennan resolves a circuit…
  • May 30

    Mickelson Case Reflects Insider Trading in the Wake of Newman

    Mickelson Case Reflects Insider Trading in the Wake of Newman
    What does the Mickelson case reveal about insider trading? Professional golfer Phil Mickelson was recently named in an insider trading case involving sports gambler William Walters. Although Phil is not facing any charges in the…
  • May 11

    Cyber Threats on Small Businesses Come from All Angle

    Cyber Threats on Small Businesses Come from All Angle
    Cyber Threats on Small Businesses Come from All Angles The Federal Bureau of Investigation (FBI) recently issued several “cyber alerts” that may impact small businesses in Monmouth County and throughout New Jersey. As with all…
Rank this Week: 786

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
  • Jun 20

    Wedbush Ordered to Pay Attorneys Fees After Untimely Payment of Attorneys Fee

    Wedbush Ordered to Pay Attorneys Fees After Untimely Payment of Attorneys Fee
    If you read through today's FINRA arbitration commentary by Bill Singer, you will come across what seems a fairly mundane employment dispute between former employee Bell and his former employer Wedbush, with Bell seeking at least $1.25…
  • Jun 20

    Homer Simpson, Killer Tomatoes, and SEC v. McDuff

    Homer Simpson, Killer Tomatoes, and SEC v. McDuff
    Today's BrokeAndBroker.com Blog continues our unique and exhaustive coverage of the epic battle between the United States Securities and Exchange Commission ("SEC") and Gary L. McDuff. Readers unfamiliar with SEC v. McDuff should reference…
  • Jun 20

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
    Led Zeppelin, Brexit, And Manny The SongbirdThis morning, we all awoke to the surprise news about a British institution. An American jury found that the rock group Led Zeppelin was not guilty of copyright infringement when they published…
Rank this Week: 1374

Stock Market Loss

Stock Market Loss

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

http://www.stockmarketloss.com/news/
  • Jun 20

    Leveraged and Inverse ETFs Too Complicated and Risky for Most Investor

    Leveraged and Inverse ETFs Too Complicated and Risky for Most Investor
    This article was originally posted on Stock Market Loss Many investors buy exchange-traded funds, more commonly called ETFs.  ETFs are usually registered investment companies whose shares represent an interest in a portfolio of…
  • Jun 16

    Buying Variable Life Insurance or Annuities? Make Sure to Check Out the Agent.

    Buying Variable Life Insurance or Annuities? Make Sure to Check Out the Agent.
    This article was originally posted on Stock Market Loss When stockbrokers who commit fraud or other sales abuses are barred from working in the securities industry, they often keep their insurance licenses. This occurs because state…
  • Apr 12

    New Rule Explicitly Makes Stockbrokers Fiduciaries When Dealing with Retirement Fund

    New Rule Explicitly Makes Stockbrokers Fiduciaries When Dealing with Retirement Fund
    This article was originally posted on Stock Market Loss You may have seen articles lately referring to “the DOL” and “Fiduciaries.” If you didn’t have time to read more than the headlines, you might wonder what…
Rank this Week: 3179

Cady Bar the Door

Cady Bar the Door

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

http://www.secmiscellany.com
  • Jun 15

    Supreme Court Says Prosecutors Can’t Judge the Cases They Prosecute

    Supreme Court Says Prosecutors Can’t Judge the Cases They Prosecute
    Not all of the justices would put it that way.  To be fair to the dissenters, and because his version is shorter, we’ll use Justice Thomas’s description of the underlying facts from his dissent in Williams v. Pennsylvania,…
  • Jun 13

    Don’t even think about violating that penny stock bar.

    Don’t even think about violating that penny stock bar.
    The penny stock world can be rough. So rough that breaking the rules in that corner of the securities markets ban bring its own kind of injunction, one that’s much more specific than the typical don’t-break-the-law-anymore kind of…
  • May 25

    The Insider Trading Cartoon Series, Vol. IX — Tender Offer

    The Insider Trading Cartoon Series, Vol. IX — Tender Offer
    I want to talk about Rule 14e-3, because it has significant implications for insider trading liability.  But to do that, we first have to talk about tender offers, and what they are.     The post The Insider Trading Cartoon…
Rank this Week: 2410

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Jun 15

    Broker Investigation: Churning Complaints Against Cory Bataan

    Broker Investigation: Churning Complaints Against Cory Bataan
    The securities lawyers of Gana LLP are investigating customer complaints against broker Cory Bataan (Bataan).  There are at least four customer complaints against Bataan and one employment termination for cause.  The customer…
  • Jun 15

    Customer Complaints Against Andrew Topka Involving Non-Traded REITs and Alternative Investment

    Customer Complaints Against Andrew Topka Involving Non-Traded REITs and Alternative Investment
    The securities lawyers of Gana LLP are investigating a customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Andrew Topka (Topka).  According to BrokerCheck records Foote has been subject to at…
  • Jun 13

    FINRA Bars Brian Smit Over Private Securities Transaction

    FINRA Bars Brian Smit Over Private Securities Transaction
    The investment lawyers of Gana LLP are investigating the regulatory action brought by the Financial Industry Regulatory Authority (FINRA) against Brian Smit (Smit) formerly working out of the Sioux Falls, South Dakota office of LPL Financial…
Rank this Week: 1857

Strictly Business

Strictly Business

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

http://www.strictlybusinesslawblog.com/
  • Jun 14

    5 Questions to Answer As You Prepare Your Startup for a Seed or Angel Round

    5 Questions to Answer As You Prepare Your Startup for a Seed or Angel Round
    Last month I wrote about the four stages of startup capital – (1) seed rounds, (2) angel rounds, (3) venture rounds, and (4) bridge/pre-ipo stage rounds. This month we’ll take a look at what startups need to do to prepare…
  • May 16

    Title III Crowdfunding Is Here

    Title III Crowdfunding Is Here
    Title III crowdfunding is here! The first funding portals can begin operations today, May 16, 2016. On Friday, I was a guest on the “This Week in Law” Podcast, where I talked about the impact this will have on startups, technology…
  • May 5

    The Founders’ Intro to Raising Startup Capital

    The Founders’ Intro to Raising Startup Capital
    For many startup founders, what led them into the risky but thrilling world of starting their own company was technology, innovation, the ability to affect the world, and the freedom of being their own boss. Learning the ins and outs of…
Rank this Week: 1954

Securities Mining Law

Securities Mining Law

Covers securities law affecting the mining industry in Canada.

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

    Compliance alert: Mine Financial Security, Reclamation and Closure Policy by Yukon Government

    Compliance alert: Mine Financial Security, Reclamation and Closure Policy by Yukon Government
    The Yukon Territorial Government has published a “Yukon Quartz Mine Financial Security, Reclamation and Closure Policy,” dated February 2016 (Policy). The Policy is intended to cover all lands in Yukon, whether Category…
  • May 20

    Insolvency and energy insights: The Redwater decision

    Insolvency and energy insights: The Redwater decision
    An Alberta court has held that provisions of the Bankruptcy and Insolvency Act allowing a trustee or receiver to disclaim real property without assuming environmental  liabilities in relation thereto renders inoperable provincial…
  • Apr 14

    Canadian Securities Administrators amend take-over bid rule

    Canadian Securities Administrators amend take-over bid rule
    Effective May 9, 2016, the Canadian Securities Administrators will implement new take-over bid rules that will introduce significant changes to bid mechanics, including lengthier minimum deposit periods.  For a description of the…
Rank this Week: 2814

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

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

    Shaky Ground

    Shaky Ground
    In Halliburton II, the U.S. Supreme Court held that defendants can rebut the fraud-on-the-market presumption of reliance at the class certification stage with evidence of a lack of stock price impact.  In a typical case, where the…
  • Apr 25

    Tell Me Something New

    Tell Me Something New
    Plaintiffs often establish the existence of loss causation by pointing to a “corrective disclosure” that allegedly revealed the fraud and led to a stock price decline. What a disclosure must contain to be deemed…
  • Mar 16

    Don’t Tout

    Don’t Tout
    A number of years ago, the U. S. Court of Appeals for the Fourth Circuit addressed whether a company’s false statement about its CEO’s educational background was material.  The court found that the statement was…
Rank this Week: 921

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 20

    SEC forces Mickelson to return $1 million from insider trading

    SEC forces Mickelson to return $1 million from insider trading
    PGA golfer Phil Mickelson agreed to forfeit almost $1 million that the Securities and Exchange Commission (SEC) said was obtained through insider trading. Mickelson was named as a “relief defendant” in a criminal case, filed in…
  • Jan 28

    Delaware Courts continue scrutiny of “disclosure only” settlements in M&A litigation

    Delaware Courts continue scrutiny of “disclosure only” settlements in M&A litigation
    On Jan. 22, 2016, the Delaware Court of Chancery released its opinion in In re Trulia Stockholder Litigation in which it rejected a “disclosure only” settlement of a shareholders’ suit challenging an M&A transaction.…
  • Jan 22

    Supreme Court to review insider trading case

    Supreme Court to review insider trading case
    The Supreme Court has agreed to consider something that lies at the center of nearly every insider trading case: what prosecutors need to prove an insider trading conviction. This case aims to determine exactly what benefits corporate…
Rank this Week: 989

Andrew Abramowitz, PLLC

Andrew Abramowitz, PLLC

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

http://aalegalnyc.com/blog/
  • May 18

    Title III Crowdfunding is Now Live

    Title III Crowdfunding is Now Live
    The effectiveness of Title III crowdfunding got the high-profile Sunday New York Times treatment this past weekend. I think it will take some time for the flow of these deals to come, as portals apply for and receive approval from the SEC and…
  • May 6

    Prince and the Consequences of Reflexive Distrust of Advisor

    Prince and the Consequences of Reflexive Distrust of Advisor
    As part of the extensive media coverage of Prince’s recent death, it’s been reported that Prince died without a will as a result of his distrust of lawyers. If true, it’s a pretty disastrous result from an estate…
  • Apr 27

    The SEC’s Discussion of Risk Factor

    The SEC’s Discussion of Risk Factor
    The SEC recently issued a long concept release seeking public comment on ways to modernize Regulation S-K, the set of disclosure requirements used both for Securities Act registration statements like Form S-1 and Exchange Act reports like…
Rank this Week: 4465

Footnoted

Footnoted

Reports on actionable information in SEC filings.

http://www.footnoted.com/
  • May 17

    LendingClub tries to buck up its troops!

    LendingClub tries to buck up its troops!
    LendingClub, which has been struggling, managed to give its top executives and directors hefty raises this week.
  • May 2

    Yahoo gets defensive on compensation

    Yahoo gets defensive on compensation
    A late Friday filing by Yahoo attempts to explain -- over and over -- why compensation was so high in 2015.
  • Apr 5

    On tax inversions and relocation allowance

    On tax inversions and relocation allowance
    The current crop of proxies show how so-called tax inversion companies are not only avoiding taxes -- they're paying hefty amounts for their executives to live here in the U.S.
Rank this Week: 4318

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 16

    Credit Suisse Deferred Compensation Claim

    Credit Suisse Deferred Compensation Claim
    Amato Law Firm, LLC is investigating claims against Credit Suisse (CS) on behalf of its former U.S.-based advisers who have transitioned to firms other than Wells Fargo Advisors.  As recently reported in On Wall Street, more than…
  • Feb 24

    United Development Funding Investment Losse

    United Development Funding Investment Losse
    The securities law firm of Amato Law Firm, LLC is investigating potential securities law claims involving United Development Funding (UDF) and its real estate investment trusts (REITs) including United Development Funding IV (UDF IV), a…
  • Feb 24

    Oil and Gas Investments Rack Up Large Losse

    Oil and Gas Investments Rack Up Large Losse
    The securities law firm of Amato Law Firm, LLC is investigating large losses in oil and gas related investments, such as publicly-traded master limited partnerships (MLPs) and private placements (limited partnerships that do not trade on a…
Rank this Week: 3785

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/
  • May 10

    Attention Former Customers of Leavitt Freeman Sanders: You May Be Able To Recover Your Investment Losse

    Attention Former Customers of Leavitt Freeman Sanders: You May Be Able To Recover Your Investment Losse
    Our firm has already filed many individual lawsuits alleging, among other things, investment fraud against Leavitt Sanders and the firms that he traded through.  Those firms include Invest Financial, Triad Advisors, Capital Asset…
  • May 4

    Record Oil Industry Bankruptcies Take a Toll on Investor

    Record Oil Industry Bankruptcies Take a Toll on Investor
    Reuters reports that bankruptcies in the U.S. oil industry have reached record levels.  The number of bankrupt oil and gas companies is 59 and counting, and we are not even half-way through the wave of bankruptcy filings, according to a…
  • Mar 10

    Greenville Broker Claus Foerster Indicted in $2.8 Million Ponzi Scheme

    Greenville Broker Claus Foerster Indicted in $2.8 Million Ponzi Scheme
    A South Carolina grand jury has indicted a Greenville broker named Claus Foerster for defrauding his clients out of $2.8 million.  According to news reports, the indictments states that Foerster persuaded clients to invest in a…
Rank this Week: 1038

Alixe Cormick: Small Cap Lawyer

Alixe Cormick: Small Cap Lawyer

Focuses on Canadian and United States securities law matters of interest to micro and small cap companies.

http://www.alixecormick.com
  • May 4

    Equity Crowdfunding for Your Residential Construction Busine

    Equity Crowdfunding for Your Residential Construction Busine
    By Alixe Cormick Canada currently has four real estate specific crowdfunding portals : Brix RCR, Open Avenue , R2Crowd, and NexusCrowd.  All of them are located in Ontario.  Canadians can expect other new equity and debt…
  • May 4

    Equity Crowdfunding for Your Residential Construction Busine

    Equity Crowdfunding for Your Residential Construction Busine
    By Alixe Cormick Canada currently has four real estate specific crowdfunding portals : Brix RCR, Open Avenue , R2Crowd, and NexusCrowd.  All of them are located in Ontario.  Canadians can expect other new equity and debt…
  • Mar 23

    Equity Crowdfunding Portal Update and Latest Presentation Slide Deck

    Equity Crowdfunding Portal Update and Latest Presentation Slide Deck
    By Alixe Cormick As of today’s date there are seventeen (17) equity crowdfunding portals active in Canada. There are also five (5) marketplace lending platforms aimed at small business. Canadians can expect other new equity and debt…
Rank this Week: 4445

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/
  • Apr 28

    Call for Papers AALS Section on Securities Regulation - 2017 AALS Annual Meeting

    Call for Papers AALS Section on Securities Regulation - 2017 AALS Annual Meeting
    The AALS Section on Securities Regulation invites papers for its program on “Securities Regulation and Technological Change” at the 2017 AALS annual meeting. TOPIC DESCRIPTION: This panel discussion will explore the intersection of…
  • Apr 28

    Save the Date: Central States Law Schools Scholarship Conference

    Save the Date: Central States Law Schools Scholarship Conference
    The Central States Law Schools Association 2016 Scholarship Conference will be held on Friday, September 23 and Saturday, September 24 at the University of North Dakota School of Law in Grand Forks, ND. CSLSA is an organization of law…
  • Apr 28

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: Ivet A. Bell, Note, The Constitutionality of the SEC Pay to Play Rule: Why 206(4)-5 Survives the Deregulatory Trend in Campaign Finance, 49…
Rank this Week: 99

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/
  • Apr 22

    Handwriting On The Wall (And In The FBI’s Notes)

    Handwriting On The Wall (And In The FBI’s Notes)
    As the father of a college-bound high school senior and an eventually college-bound high school sophomore, I pass along to them helpful articles.  Whether, in the ancient words of Archbishop Cramner in the Anglican liturgy, they actually…
  • Mar 17

    “Fantastic Lies” and Corporate Criminal Prosecution

    “Fantastic Lies” and Corporate Criminal Prosecution
    When the past is dug up in documentaries (or docudramas), events are often sensationalized.  This practice is of long pedigree: Shakespeare was not above amping up an old story when it suited his needs.  Unfortunately, few…
  • Feb 12

    Where Did You Go, Batman? Martin Shkreli, Congress, the Fifth Amendment and You

    Where Did You Go, Batman? Martin Shkreli, Congress, the Fifth Amendment and You
    It does not help that the most recent symbol of the Fifth Amendment is The Joker:   There has been plenty of news coverage about Martin Shkreli, “pharma bro” and alleged securities fraudster, and his appearance before…
Rank this Week: 4479

William Carleton, Counselor @ Law

William Carleton, Counselor @ Law

Covers legal and investment issues facing emerging tech companies.

http://www.wac6.com/wac6/
  • Mar 16

    Secondary Sales and An Investor Covenant You Don’t Want To Mi

    Secondary Sales and An Investor Covenant You Don’t Want To Mi
    Dear Readers: This is a post I co-wrote with Joe Wallin, who has published the almost identical post here. If you are investing in early stage companies, there are certain deal terms you want. Most you probably know already: if...
  • Mar 11

    A Gift from Congress to Angel

    A Gift from Congress to Angel
    The picture here was taken by Joe Wallin, who was on a panel with me, Gary Kocher of K&L Gates, Tom Alberg of Madrona Ventures, and Dan Rosen of the Alliance of Angels, talking to the Angel Capital Association's NW...
  • Mar 3

    Looking for Mr. 506(c)

    Looking for Mr. 506(c)
    "On a relative basis, issuances claiming the new Rule 506(c) exemption have accounted for only 2.1% of the reported capital raised pursuant to Rule 506 since becoming effective in September 2014." So reads a key finding of a report,…
Rank this Week: 132