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Securities Law Prof Blog

Covers securities arbitration, state securities law, court decisions and law review articles. By Professor Barbara Black.

http://lawprofessors.typepad.com/securities/

Jun 18
Deloitte Agrees to One-Year Suspension from Consulting Work at New York Financial Institution

Deloitte Agrees to One-Year Suspension from Consulting Work at New York Financial Institution

Deloitte Financial Advisory Services agreed to a one-year suspension from consulting work at financial institutions regulated by the New York State Dept. of Financial Services because of alleged misconduct during its consulting work at…
Jun 18
Schwartz on Crowdfunding

Schwartz on Crowdfunding

Crowdfunding Securities, by Andrew A. Schwartz, University of Colorado Law School, was recently posted on SSRN. Here is the abstract: A new federal statute authorizes the online "crowdfunding" of securities, a new idea based on the…
Jun 18
Rock on the New Shareholder-Centric Reality

Rock on the New Shareholder-Centric Reality

Adapting to the New Shareholder-Centric Reality, by Edward B. Rock, University of Pennsylvania Law School, was recently posted on SSRN. Here is the abstract: After more than eighty years of sustained attention, the master problem of U.S.…

Rank this Week: 90

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 18
OSC calls for improved disclosure of forward-looking information

OSC calls for improved disclosure of forward-looking information

The Ontario Securities Commission recently released the results of a review of the forward-looking information disclosure of 60 reporting issuers. In its review, the OSC notes that forward-looking information (FLI) is a key area of interest…
Jun 14
IIROC adopts new rule to clarify prohibition on personal financial dealings with clients and conduct of outside business activitie

IIROC adopts new rule to clarify prohibition on personal financial dealings with clients and conduct of outside business activitie

IIROC announced yesterday that it is adopting a new rule to clarify that approved persons and dealers are generally prohibited from engaging in personal financial dealings with clients. IIROC is also codifying its previous position…
Jun 13
Client reporting requirements receive Ministerial approval

Client reporting requirements receive Ministerial approval

The OSC announced last week that amendments to NI 31-103 that would set out requirements for, among other things, client reporting with respect to cost disclosure, investment performance reporting and client…

Rank this Week: 446

Representing Investors

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

http://www.investorprotection.com/blog

Jun 18
Risky Business: Alternative Mutual Fund

Risky Business: Alternative Mutual Fund

Alternative mutual funds have exploded in popularity in recent years. But there is a dark side to alternative mutual funds. Last week, the Financial Industry Regulator (FINRA) warned investors about this very issue, cautioning them in an…
Jun 18
Massachusetts Regulators Settle With B-Ds Over Improper REIT Sale

Massachusetts Regulators Settle With B-Ds Over Improper REIT Sale

Sales of non-traded real estate investment trusts (REITs) have once again come under the radar of securities regulators, with Massachusetts Secretary of the Commonwealth William Galvin announcing settlements with five leading independent…
Jun 11
Municipal Bonds: What Investors Need to Know

Municipal Bonds: What Investors Need to Know

Investors who are planning to invest in municipal bonds need to do their homework; if not, they may unknowingly give their first year’s worth of income to their broker. A June 7 article by the Wall Street Journal sheds a spotlight on…

Rank this Week: 611

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com

Jun 18
Do You Want To Know What Keeps The Regulator Up At Night

Do You Want To Know What Keeps The Regulator Up At Night

At a regulator's round table during a recent National Society of Compliance Professionals meeting, the regulators framed out those issues that are keeping them up at night. The issues include: The increasing complexity of investment…
Jun 17
Who Wants To Know What FINRA Has Planned For Your CRD

Who Wants To Know What FINRA Has Planned For Your CRD

The Financial Industry Regulatory Authority (FINRA) recently announced that it expects to send a proposal to the SEC to make it easier for registered representatives to clear their record of black marks. Up until now, the process for…
May 22
What Broker-Dealers Need To Know About FINRA

What Broker-Dealers Need To Know About FINRA

Recently, FINRA publicized penalties against three companies and associated individuals for failing to implement adequate anti-money laundering procedures. These fines should serve as a warning to the industry as a whole that FINRA is…

Rank this Week: 1478

The Law Planet Blog

Discusses investment, labor, and employment law, as well as securities arbitration, stockbroker issues, and legal technology. By LaBovick Law Group.

http://www.thelawplanetblog.com/

Jun 18
Social Security Disability Benefits Available for Mental Illne

Social Security Disability Benefits Available for Mental Illne

When people first think of Social Security disability they think of the injured factory worker or coal miner who is reaching retirement age and can no longer perform his/her physically demanding occupation. But there is a whole other group…
Jun 14
Is Palm Beach County's Growth Plan Too Conservative?

Is Palm Beach County's Growth Plan Too Conservative?

If you live in South Florida, you have noticed the expansion of residential communities extending westward past the Florida Turnpike. Palm Beach County has grown exponentially since the 80’s, and highly concentrated populations now live…
Jun 12
The Importance of Finding a Local Social Security Attorney

The Importance of Finding a Local Social Security Attorney

In my niche practice, I often run into other attorneys in the community that have never met a Social Security attorney before. I hear the same story over and over again: They tell me that someone walked into their office looking for a…

Rank this Week: 819

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 18
U.S. Supreme Court Upholds Narrow Grounds for Vacating an Arbitration Award in Sutter v. Oxford Health Plan

U.S. Supreme Court Upholds Narrow Grounds for Vacating an Arbitration Award in Sutter v. Oxford Health Plan

In today’s world, parties are often encouraged to settle legal disputes through means of alternative dispute resolution such as arbitration. However, in order to prevent the losing party to an arbitration dispute from essentially…
Jun 14
In The News: Swaps and Naked Short

In The News: Swaps and Naked Short

A flurry of recent events suggest that many of the provisions of the Dodd-Frank Act are finally being implemented by rule or coming of age. The June 11, 2013 edition of the Wall Street Journal lays out some perfect examples of the regulatory…
Jun 10
Hey Brokers--Think Before You Sign the State Consent Order

Hey Brokers--Think Before You Sign the State Consent Order

A state regulator has threatened to bring an enforcement action against you for unsuitability relative to the sale of an annuity and barely exceeding the expected churn ratio in an elderly client's brokerage account. Your sister's younger…

Rank this Week: 1388

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/

Jun 18
Fannie and Freddie Shareholders to US: 2008 Government Takeover of Mortgage Giants Good For the Country; Not So Much For U

Fannie and Freddie Shareholders to US: 2008 Government Takeover of Mortgage Giants Good For the Country; Not So Much For U

Can shareholders of a government-sponsored enterprise successfully challenge the constitutionality of a government takeover of the entity? Shareholders of Fannie Mae and Freddie Mac will try to do so in a $41 billion class action…
Jun 14
Do Trades Made Pursuant to 10b5-1 Plans Still Offer A Defense to Insider Trading?

Do Trades Made Pursuant to 10b5-1 Plans Still Offer A Defense to Insider Trading?

Rule 10b5-1, enacted in August 2000, codified the SEC’s position that trading while in possession of material non-public information is sufficient to establish liability for insider trading. The rule also provided an affirmative defense…
Jun 13
Recent Study Finds Cybersecurity Disclosures May Fail to Meet SEC Guideline

Recent Study Finds Cybersecurity Disclosures May Fail to Meet SEC Guideline

Hackers aren’t the only ones after company information. Earlier this week, Wills Fortune 500, a unit of Wills Group Holdings, a global insurance broker providing insurance and risk management services, made available its own report…

Rank this Week: 335

Securities Law Blog

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

http://seclaw.blogspot.com/

Jun 18
SEC Charges Whittier Trust and Fund Manager in Insider Trading Investigation Into Expert Network

SEC Charges Whittier Trust and Fund Manager in Insider Trading Investigation Into Expert Network

The SECcharged a South Pasadena, Calif.-based wealth management company and a former fund manager with insider trading on non-public information about technology companies. The charges are the agency’s latest in its ongoing…
Jun 17
Good Markets, More Broker Transition

Good Markets, More Broker Transition

We have seen an uptick in financial advisors changing firms as the markets continue to improve. Wells Fargo Advisors just announced that it has hired nine financial advisors from Morgan Stanley, Merrill Lynch and RBC Capital Markets with…
Jun 17
You Need Permission to Send Commercial Text Messages - 16.5 Million Dollar Settlement

You Need Permission to Send Commercial Text Messages - 16.5 Million Dollar Settlement

Just like the rules for emails, you need to have permission to send commercial text messages or a prior business relationship. Papa John's learned that when a customer calls on the phone to order a pizza, that is not permission to spam…

Rank this Week: 511

DealLawyers.com Blog

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

http://www.deallawyers.com/Blog/

Jun 18
IRS Permits Elective Basis Step-Up in Taxable Spin-Offs & Other Taxable Disposition

IRS Permits Elective Basis Step-Up in Taxable Spin-Offs & Other Taxable Disposition

IRS Permits Elective Basis Step-Up in Taxable Spin-Offs & Other Taxable Dispositions Here's news culled from this Wachtell Lipton memo (here are related memos): The IRS recently finalized regulations under Internal Revenue Code Section…
Jun 14
SEC Settles with Revlon Over Misleading Shareholders in Going Private Deal

SEC Settles with Revlon Over Misleading Shareholders in Going Private Deal

SEC Settles with Revlon Over Misleading Shareholders in Going Private Deal Yesterday, as noted in this press release, the SEC settled charges with Revlon that it misled shareholders during a "going private transaction." The company…
Jun 6
Webcast: "Conflicts of Interest: How to Handle in Deals"

Webcast: "Conflicts of Interest: How to Handle in Deals"

Webcast: "Conflicts of Interest: How to Handle in Deals" Tune in today for the webcast - "Conflicts of Interest: How to Handle in Deals" - to hear Steven Haas of Hunton & Williams, Mike Reilly of Potter Anderson and…

Rank this Week: 596

The Race to the Bottom

A faculty-student collaboration on corporate governance. By Professor J. Robert Brown, Jr.

http://www.theracetothebottom.org/home/

Jun 18
The Management Friendly Nature of Delaware Decisions: In re MFW Shareholders Litigation (Part 1)

The Management Friendly Nature of Delaware Decisions: In re MFW Shareholders Litigation (Part 1)

Back in the 1980s, Delaware courts occasionally pushed the law in a direction that was at least arguably favorable to shareholders. Van Gorkom placed renewed emphasis on the duty of care and the need for directors to be informed. …
Jun 17
Investors’ Powers to Challenge Board Composition Goes to Court

Investors’ Powers to Challenge Board Composition Goes to Court

Starboard Value LP recently took an interesting step in its battle to get its slate of directors on the board of Office Depot Inc. On June 13th Starboard Value sued Office Depot for not holding an annual shareholder meeting to elect…
Jun 15
Heins on the Priests of Our Democracy

Heins on the Priests of Our Democracy

I apologize in advance if this post is a bit too off-topic for some, but I thought the content would be of interest to enough of our readers to justify it. I used to work in the mental health field, and I frequently heard it said that:…

Rank this Week: 114

Business Blog

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

http://www.businesslawnews.com/

Jun 18
NY and NJ Employment Law: Use of Temporary Workers Has Legal Risk

NY and NJ Employment Law: Use of Temporary Workers Has Legal Risk

U.S. companies are found to increasingly rely upon “temporary” workers to fill out their workforces. In fact, there are 2.86 million temporary and “contract” workers likely hard at work right now in companies across…
Jun 17
DOL Provides Updated Guidance on Notice of Exchange Required by PPACA

DOL Provides Updated Guidance on Notice of Exchange Required by PPACA

The Patient Protection and Affordable Care Act (PPACA) imposes a number of new obligations on New York and New Jersey employers. One of the most significant notification requirements involves the health insurance marketplaces that will be…
Jun 14
Affordable Care Act Lawsuit Alleges Discrimination Against Pregnant Dependent

Affordable Care Act Lawsuit Alleges Discrimination Against Pregnant Dependent

The Affordable Care Act continues to cause confusion for employers. The latest concern is whether a healthcare plan that fails to provide maternity coverage for an employee’s dependent daughter runs afoul of the law. Under the Pregnancy…

Rank this Week: 850

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/

Jun 18
More on "Survey Results: Rule 10b5-1 Plan Practices"

More on "Survey Results: Rule 10b5-1 Plan Practices"

More on "Survey Results: Rule 10b5-1 Plan Practices" Last week, I ran this blog providing survey results on Rule 10b5-1 plans and received many emails in response. David Smyth of Brooks Pierce even blogged this analysis about them:…
Jun 17
Juicy Lawsuit Pays Off for Reinstated SEC Assistant Inspector General: $580k!

Juicy Lawsuit Pays Off for Reinstated SEC Assistant Inspector General: $580k!

Juicy Lawsuit Pays Off for Reinstated SEC Assistant Inspector General: $580k! As I blogged six months ago, SEC Assistant Inspector General David Weber filed a $20 million lawsuit alleging he was fired for being a whistleblower (you may recall…
Jun 14
Sights of the NIRI Conference

Sights of the NIRI Conference

Sights of the NIRI Conference Here are a few pics from the NIRI conference. This first one is a pic of a monitor set up in the hallway, which displayed graphics created by Marketwired of how many folks were tweeting...

Rank this Week: 284

California Corporate & Securities…

California Corporate & Securities Law

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

http://www.calcorporatelaw.com/

Jun 18
Does An SEC Attorney Commit An Ethical Violation By Encouraging Whistleblowing Lawyers?

Does An SEC Attorney Commit An Ethical Violation By Encouraging Whistleblowing Lawyers?

The Harvard Law School Forum on Corporate Governance and Financial Regulation included a comprehensive post by Lawrence A. West which tackles the question of whether attorneys can be award seeking whistleblowers. I want…
Jun 17
FTB Fights Underground Regulation Determination – Why Won’t It Simply Do What’s Right?

FTB Fights Underground Regulation Determination – Why Won’t It Simply Do What’s Right?

Just last week, the California Taxpayers Association reported: For at least several months, the Franchise Tax Board has been sending filing enforcement notices to nonresidents of California, including many foreign nonregistered…
Jun 14
If You Pay More, Do You Actually Get More?

If You Pay More, Do You Actually Get More?

The typical private fund is organized as a limited partnership or limited liability company that is managed by a general partner or manager. The fund manager is usually compensated in three ways – an annual management fee (often…

Rank this Week: 593

The D & O Diary

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

http://www.dandodiary.com/

Jun 18
A Critical Question Directors Should Be Asking Company Management About Cyber Risk

A Critical Question Directors Should Be Asking Company Management About Cyber Risk

Cyber security and related privacy issues increasingly dominate the headlines. And for good reason: according to statistics cited in a recent Wall Street Journal article, cyber attacks --ranging from malicious software to denial of…
Jun 17
Guest Post: J.P. Morgan Decision Curtails the Phantom "Restitution Defense" to D&O Coverage

Guest Post: J.P. Morgan Decision Curtails the Phantom "Restitution Defense" to D&O Coverage

As I discussed in a recent post (here), in a June 11, 2013 opinion, the New York Court of Appeals held that J.P Morgan (which had acquired Bear Stearns) is not barred from seeking insurance coverage for a $160 million portion of an SEC…
Jun 14
Insurer Breaching Duty to Defend Cannot Rely on Policy Exclusions to Disclaim Duty to Indemnify

Insurer Breaching Duty to Defend Cannot Rely on Policy Exclusions to Disclaim Duty to Indemnify

An insurer that breached its duty to defend may not later rely on policy exclusions to escape its duty to indemnify the insured for a judgment against him, according to a June 11, 2013 decision from the New York Court of Appeals. The Court of…

Rank this Week: 126

ComplianceAsia News

Provides information for compliance professionals dealing with issues in financial regulation with a focus on the Asian region.

http://www.compliance.asia/

Jun 18
SFC bans rep for life

SFC bans rep for life

The SFC has banned a representative for life after her defalcation of client assets. Theft of client assets remains the most serious of issues and the SFC has taken action accordingly. Full details below: SFC bans Michelle Ng Man…
Jun 13
CS in HK fined for position limit breache

CS in HK fined for position limit breache

The HK SFC has fined Credit Suisse in Hong Kong HK$1.6m for breaches of options position limits. This is not the first time that an institution has been fined for this issue. Buy side firms should ensure that they only use one PB…
May 28
US AML authorities launch global action against Liberty money transfer system

US AML authorities launch global action against Liberty money transfer system

In what could turn out to be the internet's equivalent of BCCI from the early 90's, the US Treasury, various arms of US law enforcement and several other jurisdictions launched co-ordinated action against the owners of Liberty Reserve SA. The…

Rank this Week: 2041

FinancialCounsel

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

http://financialcounsel.typepad.com/financialcounsel/

Jun 17
Allied Beacon’s Financial Health in Question

Allied Beacon’s Financial Health in Question

Allied Beacon Partners Inc. (“Allied Beacon”) has informed its financial advisers that the firm is in violation of industry rules requiring that sufficient capital be kept on hand to remain open for business. Reps no longer can…
Jun 4
Eccleston Law Offices, P.C. Investigates Mark Morrow, Angelo Alleca and Landmark Investment Group

Eccleston Law Offices, P.C. Investigates Mark Morrow, Angelo Alleca and Landmark Investment Group

The attorneys at Eccleston Law Offices, P.C. have launched an investigation of claims involving Mark Morrow, Angelo Alleca and Landmark Investment Group. Recently, the Securities and Exchange Commission has alleged that Morrow issued…
May 23
Structured Products Raise Concern

Structured Products Raise Concern

The SEC is pressing large investment banks to provide more disclosure on structured notes. Surging sales of structured notes, which are often complex and hard to understand, have caused concerns about how banks are valuing the products and…

Rank this Week: 148

Strictly Business

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

http://blog.alexanderdavie.com/

Jun 17
The JOBS Act, a Year Later – Part 7: Titles V and VI and Concluding Thought

The JOBS Act, a Year Later – Part 7: Titles V and VI and Concluding Thought

This post is the seventh and final in a series examining the impact of the Jumpstart Our Business Startups Act (or JOBS Act) one year after its passage and focuses on Titles V and VI of the law and provides some final concluding thoughts.…
Jun 9
The JOBS Act, a Year Later – Part 6: Regulation A+

The JOBS Act, a Year Later – Part 6: Regulation A+

This post is the sixth in a series examining the impact of the Jumpstart Our Business Startups Act (or JOBS Act) one year after its passage and focuses on the provision instructing the SEC to create a new securities registration exemption…
May 30
The JOBS Act, a Year Later – Part 5: Crowdfunding

The JOBS Act, a Year Later – Part 5: Crowdfunding

This post is the fifth in a series examining the impact of the Jumpstart Our Business Startups Act (or JOBS Act) one year after its passage and focuses on the provisions related to crowdfunding. Previously in this series, I discussed the…

Rank this Week: 2201

Broke and Broker

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

http://brokeandbroker.com/index.php

Jun 17
Real Estate Short Sale Short Circuits Stockbroker

Real Estate Short Sale Short Circuits Stockbroker

For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of…
Jun 17
Wells Fargo Broker Took Regulatory Bank Shot

Wells Fargo Broker Took Regulatory Bank Shot

Maybe they gotta rethink the whole idea about having one person working at both a brokerage firm and its banking affiliate. If you go by some recent cases, it seems like having all that cash around is just too much a temptation for some…
Jun 17
EMPLOYMENT TUESDAY at BrokeAndBroker.com

EMPLOYMENT TUESDAY at BrokeAndBroker.com

EMPLOYMENT TUESDAY AT BROKEANDBROKER.COMStockbroker, Compliance, Legal, and Regulatory JobsVisit the BrokeAndBroker Employment Page ...

Rank this Week: 1894

Corporate Securities Law Blog

Focuses on complliance, corporate governance, disclosure, mergers and tax issues. By Sheppard Mullin.

http://www.corporatesecuritieslawblog.com/

Jun 17
Final Section 336(e) Regulations Allow Step-Up in Asset Tax Basis in Certain Stock Acquisition

Final Section 336(e) Regulations Allow Step-Up in Asset Tax Basis in Certain Stock Acquisition

By Matthew Richardson and Paul Metzger Final regulations were issued last month under IRC Section 336(e). These regulations present beneficial planning opportunities in certain circumstances. For qualifying transactions occurring on or after…
Jun 12
Sixth Circuit Splits with Second and Ninth Circuits Regarding Need to Allege Defendants' State of Mind for Claims Challenging Soft Information Under Section 11 of the Securities Act of 1933

Sixth Circuit Splits with Second and Ninth Circuits Regarding Need to Allege Defendants' State of Mind for Claims Challenging Soft Information Under Section 11 of the Securities Act of 1933

In Indiana State District Council of Laborers & Hod Carriers Pension & Welfare Fund v. Omnicare, Inc., 2013 WL 2248970 (6th Cir. May 23, 2013), the United States Court of Appeals for the Sixth Circuit held that a claim alleging a…
May 31
California State Senate Passes Measure Providing Partial Relief From Cutler Decision (re: QSBS)

California State Senate Passes Measure Providing Partial Relief From Cutler Decision (re: QSBS)

By Matthew Richardson The California State Senate yesterday approved a measure providing relief (albeit only partial relief) to those taxpayers facing retroactive tax assessments by reason of the Cutler decision. In Cutler v. Franchise…

Rank this Week: 527

William Carleton, Counselor @ Law

Covers legal and investment issues facing emerging tech companies.

http://www.wac6.com/wac6/

Jun 17
Non-accredited investment crowdfunding in North Carolina this summer?

Non-accredited investment crowdfunding in North Carolina this summer?

Promoters of investment crowdfunding legislation report progress on Crowdsourcing.org.
Jun 16
Shoved allegiance

Shoved allegiance

Trying to make sense of a verse from Britten's War Requiem about an elevated form of love.
Jun 15
Employees pulling to refresh patent policy?

Employees pulling to refresh patent policy?

The innovative Twitter patent agreement is now in play.

Rank this Week: 110

Cady Bar the Door

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

http://www.secmiscellany.com

Jun 17
SEC Considers Returning to Its Root

SEC Considers Returning to Its Root

The SEC has recently taken a well-deserved beating for its lack of attention to financial fraud at publicly traded companies. The numbers speak for themselves. In 2012, the SEC brought 79 financial fraud cases, when in years past…
Jun 13
Companies Finding Little Use for Quick, Efficient Way to Avoid Liability

Companies Finding Little Use for Quick, Efficient Way to Avoid Liability

When I was on the SEC’s enforcement staff, I had a case once where we were pretty sure our prospective defendant had engaged in insider trading. Our conversation with his lawyer went something like this:¹…
Jun 6
SEC Sues Rungruangnavarat for Insider Trading in Smithfield Foods Acquisition

SEC Sues Rungruangnavarat for Insider Trading in Smithfield Foods Acquisition

The May 29th announcement that China-based Shuanghui International Holdings had agreed to acquire Virginia-based Smithfield Foods came with a lot of news value. First, the $4.7 billion price tag for Smithfield is large by any…

Rank this Week: 3054

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/

Jun 16
House Passes Legislation Codifying Dodd-Frank Deruvatives End User Exemption and Ending Indemnification

House Passes Legislation Codifying Dodd-Frank Deruvatives End User Exemption and Ending Indemnification

The House of Representatives has passed by an overwhelming bipartisan vote of 411-12 H.R. 634, the Business Risk Mitigation and Price Stabilization Act, which codifies an exemption for non-financial end users that use derivatives in their…
Jun 16
Senator Tom Udall Named to Appropriations Post Overseeing SEC and CFTC Funding

Senator Tom Udall Named to Appropriations Post Overseeing SEC and CFTC Funding

Senator Tom Udall (D-NM) has been named the Chairman of the Senate Appropriations Financial Services and General Government Subcommittee, which has jurisdiction over the annual funding for financial-related agencies including the Department…
Jun 16
House Passes Bi-Partisan Legislation Requiring Congruent SEC-CFTC Regulations on Cross-Border Derivatives Transaction

House Passes Bi-Partisan Legislation Requiring Congruent SEC-CFTC Regulations on Cross-Border Derivatives Transaction

The House of Representatives passed the Swap Jurisdiction Certainty Act (HR 1256) by a bi-partisan vote of 301-124, which would direct the SEC and CFTC to adopt joint regulations on the oversight of cross-border derivatives transactions. The…

Rank this Week: 153

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/

Jun 15
SEC Risk Fin Director Wants Public Input About Investor Protection-Related Costs and Benefit

SEC Risk Fin Director Wants Public Input About Investor Protection-Related Costs and Benefit

The Securities and Exchange Commission's Division of Risk, Strategy and Financial Innovation’s director Craig Lewis wants members of the public to be more proactive about offering information regarding investor-protection related…
Jun 12
CBOE Will Pay $6M Penalty Over SEC Charges Alleging Failure to Enforce Trading Rule

CBOE Will Pay $6M Penalty Over SEC Charges Alleging Failure to Enforce Trading Rule

The Chicago Board Options Exchange, which is the largest options exchange in the United States, has consented to pay $6 million penalty to settle Securities and Exchange Commission charges accusing it of not fulfilling its obligation to…
Jun 10
As Their Prices Hit a 2-Year Low, Gold ETFs Liquidate En Masse

As Their Prices Hit a 2-Year Low, Gold ETFs Liquidate En Masse

Gold, once a hot commodity in the markets, is, at least for now, considered incredibly passé. ETF Trends editor Tom Lydon says that over 600,000 pounds of gold have been disposed of this year. He says that gold is out of favor for at…

Rank this Week: 1525

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/

Jun 14
Fire The Torpedoe

Fire The Torpedoe

The class certification decision in In Diamond Foods, Inc. Sec. Litig., 2013 WL 1891382 (N.D. Cal. May 6, 2013) contains a number of interesting holdings. (1) Market efficiency is an issue for the finder of fact - A rebuttable presumption...
May 31
Something Systemic

Something Systemic

In Massachusetts Retirement Systems v. CVS Caremark Corp., 2013 WL 2278599 (1st Cir. May 24, 2013), the plaintiffs asserted that the company had failed to disclose integration problems following a merger. The district court dismissed on loss…
May 24
Reading the Tea Leave

Reading the Tea Leave

Section 11 of the '33 Act creates liability for material misrepresentations in a registration statement. According to the Second Circuit (Fait) and Ninth Circuit (Rubke), however, if the alleged misrepresentation is an opinion, the plaintiff…

Rank this Week: 919

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

Jun 14
FINRA Issues Investor Alert Regarding Alternative (or “Alt”) Mutual Fund

FINRA Issues Investor Alert Regarding Alternative (or “Alt”) Mutual Fund

A recently-issued Investor Alert cautions retail customers regarding the danger of investing in some alternative, or “alt”, mutual funds. FINRA’s alert should serve as a reminder to investors (as well as financial…
Jun 11
Former Merrill Lynch Broker Prevails in Arbitration, Defeats Promissory Note Claim

Former Merrill Lynch Broker Prevails in Arbitration, Defeats Promissory Note Claim

In what has become more and more of a rarity, a Chicago FINRA arbitration panel recently denied brokerage wirehouse Merrill Lynch’s claim to recover approximately $437,430 purportedly due under a promissory note, and awarded a former…
May 22
Amato Law Firm Successfully Defends Broker-Dealer Client in Alabama Arbitration

Amato Law Firm Successfully Defends Broker-Dealer Client in Alabama Arbitration

Amato Law Firm, LLC is pleased to announce that its independent broker-dealer client has been vindicated following a FINRA arbitration hearing before a three member Alabama panel. The industry dispute involved allegations of breach of…

Rank this Week: 5190

Chicago Securities Lawyer Blog

Covers FINRA and securities fraud. By Thomas F. Burke, P.C.

http://www.chicagosecuritieslawyerblog.com/

Jun 14
Commodity Futures Trading Commission Chairman to Meet With European Regulator

Commodity Futures Trading Commission Chairman to Meet With European Regulator

Gary Gensler, the Commodity Futures Trading Commission ("CFTC") Chairman is scheduled to meet with European regulators in Montreal on June 20 to disucss his plan to impose U.S. derivatives rules on foreign-based bank. The meeting comes as a…
Jun 13
SEC Charges Chicago Board Options Exchange for Regulatory Failure

SEC Charges Chicago Board Options Exchange for Regulatory Failure

The Securities and Exchange Commission charged the Chicago Board Options Exchange (CBOE) and an affiliate for various systemic breakdowns in their regulatory and compliance functions as a self-regulatory organization, including a failure to…
May 14
Investors Watch as Federal Reserve's Mood May Be Changing

Investors Watch as Federal Reserve's Mood May Be Changing

The Federal Reserve's QE Infinity program may be finite rather than "infinite" after all. QE Infinity has been the tongue-in-cheek term given the Fed's Quantitative Easing program, which has expanded into their purchasing $85 billion per…

Rank this Week: 4863

Ponzitracker

Covers Ponzi schemes. By Jordan Maglich.

http://www.ponzitracker.com/

Jun 13
Six Years Later, Boy Band Founder's Ponzi Scheme Victims Set For 4% Payout

Six Years Later, Boy Band Founder's Ponzi Scheme Victims Set For 4% Payout

Photo: AP Photo/ John RaouxMore than six years after his $300 million Ponzi scheme collapsed, victims of former boy band mogul Lou Pearlman's scheme are set to receive an initial payout of just four cents on the dollar. In a…
Jun 13
New Zealand's 'Madoff' Charged With Country's Largest Ponzi Scheme

New Zealand's 'Madoff' Charged With Country's Largest Ponzi Scheme

A New Zealand fund manager was charged with masterminding a $320 million Ponzi scheme which, if true, would rank as the largest Ponzi scheme in New Zealand's history. David Ross, 63, was charged with four counts of false accounting and…
Jun 12
Thailand Ponzi Schemer Allegedly Murdered By Associate

Thailand Ponzi Schemer Allegedly Murdered By Associate

In a bizarre developing story out of Thailand, the murder of a man accused of a decades-old Ponzi scheme has been linked to a pre-meditated murder plot by several of his associates. Akeyuth Anchanbutr, 54, had been reported missing for…

Rank this Week: 980

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

http://www.seclawyersblog.com/

Jun 13
FINRA Fines, Censures vFinance Investments, Inc., Regarding Private Placement, Failure to Supervise Registered Representative

FINRA Fines, Censures vFinance Investments, Inc., Regarding Private Placement, Failure to Supervise Registered Representative

vFinance Investments, Inc. (CRD #44962, Boca Raton, Florida) submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $65,000. See FINRA Case #2009016160002. Without admitting or denying the findings,…
Jun 12
Sonn|Erez Investigating Claims Regarding the Late S. Mark Powell of Atlantic Trust Private Wealth Management (Austin, Texas)

Sonn|Erez Investigating Claims Regarding the Late S. Mark Powell of Atlantic Trust Private Wealth Management (Austin, Texas)

Sonn|Erez is investigating claims involving financial transactions and investments made through former Atlantic Trust Private Wealth Management ("Atlantic Trust") Managing Partner, S. Mark Powell ("Powell"), who died earlier this month.…
Jun 11
FINRA Fines, Censures Raymond James & Associates, Inc., and Order Restitution of More Than $25,000 for Improper Pricing and Supervisory Failures Regarding Municipal Securitie

FINRA Fines, Censures Raymond James & Associates, Inc., and Order Restitution of More Than $25,000 for Improper Pricing and Supervisory Failures Regarding Municipal Securitie

Raymond James & Associates, Inc. (CRD #705, St. Petersburg, Florida) submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured, fined $75,000, required to pay $25,603.28, plus interest, in restitution to…

Rank this Week: 1816

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 13
Recovery of Noble Royalties Investment Losse

Recovery of Noble Royalties Investment Losse

Have you suffered substantial losses in your investment with Noble Royalties? If so, the securities fraud attorneys at The White Law Group may be able to help you recover your losses. According to Noble Royalties website, the company…
Jun 13
Will the bond bubble burst?

Will the bond bubble burst?

When disclosing the risk of a particular bond offering, a financial advisor must make the investor fully aware of the following risks associated with all bonds: (1) Inflationary risk – i.e., the risk that fixed-income investments…
Jun 13
More Bad News for Thompson National Propertie

More Bad News for Thompson National Propertie

According to reports, a former chief financial officer of Thompson National Properties was recently suspended for five months from the securities industry for failing to conduct adequate and independent due diligence into an array of…

Rank this Week: 492

FedSecLaw.com is devoted to highlighting current issues in securities laws, discussing the ramifications of those issues for todayâ€™s businesses, and providing bottom-line takeaways for busy owners, managers, and executives. Published by Porter, Wright,

http://www.fedseclaw.com/

Jun 13
SEC Charges Revlon with Misleading Shareholders in Going Private Transaction

SEC Charges Revlon with Misleading Shareholders in Going Private Transaction

On June 13, 2013, the Securities and Exchange Commission (“SEC”) charged Revlon with violating federal securities laws when the company misled shareholders during a going private transaction. Specifically, the SEC found that…
Jun 13
Introduction of H.R. 2274 - The Small Business Mergers, Acquisitions, Sales and Brokerage Simplification Act of 2013

Introduction of H.R. 2274 - The Small Business Mergers, Acquisitions, Sales and Brokerage Simplification Act of 2013

H.R. 2274, the Small Business Mergers, Acquisitions, Sales and Brokerage Simplification Act of 2013, was introduced in the U.S. House of Representatives by Rep. Bill Huizenga on June 6, 2013. The bill is intended to reduce the…
Jun 5
SEC Issues Investor Alert for Private Oil & Gas Offering

SEC Issues Investor Alert for Private Oil & Gas Offering

We previously blogged about securities regulation of interests in oil and gas exploration and development. Industry participants, state and federal securities regulators have recently cautioned investors regarding investing in oil and gas…

Rank this Week: 1224

Securities Attorneys Law Blog

Covers securities class action litigation and FINRA arbitrations, SEC regulatory developments and FINRA disciplinary decisions. By Jay Eng.

http://securitiesattorneys.us/

Jun 13
SEC Issues Pump & Dump Stock Scam Warning

SEC Issues Pump & Dump Stock Scam Warning

The SEC issued an interesting alert concerning pump and dump stock emails today: Pump-and-dump promoters frequently claim to have “inside” information about an impending development. Others may say they use an…
Jun 9
Investment News Reports That Arbitration Awards In Favor of Customers in Tenant-in-Common Exchange Sales Hold Steady

Investment News Reports That Arbitration Awards In Favor of Customers in Tenant-in-Common Exchange Sales Hold Steady

The Investment News is reporting that arbitration awards in favor of brokerage firm customers concerning sales of tenant-in-common investments are holding steady. According to the article: The number of arbitration awards won by…
Jun 9
Special Risks with Trading on Margin

Special Risks with Trading on Margin

FINRA has issued an investor alert concerning investments purchased “on margin.” A “margin” account allows an investor to borrow money from a brokerage account to purchase additional securities. This loan…

Rank this Week: 2028

Securities Attorney Law Blog

Reviews Federal Securities Fraud Litigation, Arbitration, Whistleblower Claims & Derivative Lawsuits. By Jay Eng.

http://securitiesattorneylaw.com/

Jun 13
SEC Issues Pump & Dump Stock Scam Warning

SEC Issues Pump & Dump Stock Scam Warning

The SEC issued an interesting alert concerning pump and dump stock emails today: Pump-and-dump promoters frequently claim to have “inside” information about an impending development. Others may say they use an…
Jun 9
Investment News Reports That Arbitration Awards In Favor of Customers in Tenant-in-Common Exchange Sales Hold Steady

Investment News Reports That Arbitration Awards In Favor of Customers in Tenant-in-Common Exchange Sales Hold Steady

The Investment News is reporting that arbitration awards in favor of brokerage firm customers concerning sales of tenant-in-common investments are holding steady. According to the article: The number of arbitration awards won by…
Jun 9
Special Risks with Trading on Margin

Special Risks with Trading on Margin

FINRA has issued an investor alert concerning investments purchased “on margin.” A “margin” account allows an investor to borrow money from a brokerage account to purchase additional securities. This loan…

Rank this Week: 2242

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

http://www.newyorksecuritieslawyersblog.com/

Jun 12
Maxwell B. Smith Sentenced for Running a New Jersey Ponzi Scheme: Investors Should Look to His Brokerage Firm for Relief

Maxwell B. Smith Sentenced for Running a New Jersey Ponzi Scheme: Investors Should Look to His Brokerage Firm for Relief

Maxwell B. Smith was sentenced to serve the next seven years in federal prison for operating a $9 million Ponzi scheme. Maxwell sold investments as a fund that made loans to nursing homes. Smith had previously plead guilty to several counts…
Apr 1
LPL Reportedly Under Fire From State Regulator

LPL Reportedly Under Fire From State Regulator

The broker-dealer LPL, Linsco Private Ledger, has been in the news a lot recently - for all the wrong reasons. LPL was even recently featured in The New York Times for its frequent "tangles" with state and federal regulators. LPL is the…
Mar 26
Jenice Malecki to Appear Tonight on The Willis Report on Fox Busine

Jenice Malecki to Appear Tonight on The Willis Report on Fox Busine

Jenice Malecki of Malecki Law will be appearing on Fox Business News tonight, March 26, 2013 between 6pm and 7pm. Ms. Malecki will be appearing on The Willis Report to discuss the recent Rasmussen Reports that indicate 50 percent of…

Rank this Week: 2988

Stock Broker Fraud Blog

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

http://www.stockbrokerfraudblog.com/

Jun 11
Muni Bonds Draw Investors But Come With Serious Risk

Muni Bonds Draw Investors But Come With Serious Risk

With many municipalities exhibiting better financial health and tax-free bonds touting pretty good returns, municipal bonds are attracting investors. However, this doesn’t mean that you, as a prospective investor, shouldn’t…
Jun 8
Texas Federal Agents Pursue Largest Forfeiture Cases To Date

Texas Federal Agents Pursue Largest Forfeiture Cases To Date

Federal agents in Texas are playing part in a number of the biggest forfeiture cases in the history of US law enforcement. However, the details of cases, which have involved the seizure Caribbean bank accounts, luxury condominiums, and stud…
Jun 7
Securities Criminal Roundup: Mail Fraud Charges Against Investment Company Owner, Ex-Bank of the Commonwealth Execs Convicted, Broker’s Elder Financial Fraud Sentence is Affirmed, and Ex-Fund President Goes to Prison for Ponzi Scam

Securities Criminal Roundup: Mail Fraud Charges Against Investment Company Owner, Ex-Bank of the Commonwealth Execs Convicted, Broker’s Elder Financial Fraud Sentence is Affirmed, and Ex-Fund President Goes to Prison for Ponzi Scam

Flatiron Systems LLC Owner Pleads Guilty to Mail Fraud In United States v. Howard, investment company owner David Eugene Howard has pleaded guilty to mail fraud charges. He is accused of engaging in a financial scam that obtained about $1.8…

Rank this Week: 134

The Securities Edge

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

http://www.thesecuritiesedge.com/

Jun 11
Social media and brokers: FINRA wants broker-dealers to be “friends” with their employee

Social media and brokers: FINRA wants broker-dealers to be “friends” with their employee

Posted By: Gustav L. Schmidt With newer methods to communicate and interact with the so-called social network popping up on almost a daily basis, securities regulators have been giving more and more attention to social media and how…
Jun 5
The SEC gets tough – Nasdaq to pay record $10 million fine to settle Facebook IPO allegation

The SEC gets tough – Nasdaq to pay record $10 million fine to settle Facebook IPO allegation

Posted By: Robert C. White Jr. May 29, 2013 was a bad day at the office for The Nasdaq Stock Market, LLC as it agreed to pay a $10 million fine to settle allegations arising from the troubled May 18, 2012 Facebook IPO. This payment was…
May 30
New SEC Chair: Mary Jo White

New SEC Chair: Mary Jo White

Posted By: Gregory K. Bader The mission of the U.S. Securities and Exchange Commission (“SEC”) is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. This sounds great, but how…

Rank this Week: 3791

Startup Law Blog

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

http://startuplawblog.com

Jun 10
Incorporating an LLC

Incorporating an LLC

By Joe Wallin and Scott Usher of Bader Martin, P.S. It is not uncommon for founders to start their companies as LLCs and then want to or need to incorporate or convert to a corporation later. Incorporating an LLC does not have to be a…
Jun 10
A Story

A Story

A Story I am in the middle of a Rule 506 all accredited investor offering. One of the folks who wants to invest in my company was stumped at my accredited investor questionnaire. He earns $175,000 a year. He doesn’t have a $1M net…
Jun 10
A Legal Primer on Website

A Legal Primer on Website

By Sanjay M. Nangia A Legal Primer on Websites After spending months – maybe longer – crafting your company’s website, you may begin to wonder whether (1) your site is “legal”; and (2) you are sufficiently…

Rank this Week: 1511

BD Law Blog

Features news, updates and thoughts regarding broker-dealer and investment adviser regulation and legal and compliance issues. By the Beck Law Firm, LLC.

http://www.bdlawblog.com/

Jun 10
Stockbroker & Investment Advisor Form U4 Disclosure Issues for Non-Securities Lawyer

Stockbroker & Investment Advisor Form U4 Disclosure Issues for Non-Securities Lawyer

Individuals involved in the financial industry can run afoul of regulations pertaining to disclosure in a variety of ways, even when they are dealing with matters that seem unrelated to the securities world and do not involve industry sales…
Jun 6
Does this get reported on my Form U4? Get a U4Review.

Does this get reported on my Form U4? Get a U4Review.

I regularly get questions from brokers all across the country asking about whether or not an incident or two in their background has to be reported on their Form U4. For some folks, they've been in the industry for some...
May 21
Florida Supreme Court Rules Statute of Limitations Applies to Arbitration

Florida Supreme Court Rules Statute of Limitations Applies to Arbitration

This month, the Florida Supreme Court held that Florida's statutes of limitations apply in arbitration proceedings. In the case of Raymond James Financial Services, Inc. v. Barbara J. Phillips, etc. et. al., (No. SC11-2513), the Court held…

Rank this Week: 1228

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

http://www.hedgefundlawblog.com

Jun 9
FATCA Hedge Fund Compliance Event

FATCA Hedge Fund Compliance Event

June 19, 2013 – Sponsored by SS&C GlobeOp We have previously discussed the Foreign Account Tax Compliance Act (“FATCA”) and the legal and compliance implications for hedge fund managers. As the date draws near…
Jun 1
Hedge Fund Events June 2013

Hedge Fund Events June 2013

The following are various hedge fund events happening this month. Please email us if you would like us to add your event to this list. **** June 2-4 Sponsor: Marcus Evans Event: Private Wealth Management Location: Atlanta, GA June 3 Sponsor:…
May 17
Regulation A+ Deadline Passed by Congre

Regulation A+ Deadline Passed by Congre

Part of JOBS Act Regulations to be Finalized by October 31, 2013 On Wednesday May 15, the House of Representatives passed H.R. 701 which requires the SEC to finalize regulations with respect to “Regulation A+” of the JOBS Act.…

Rank this Week: 820

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/

Jun 8
Do You Need Those Stinkin' Signatures? Maybe Not.

Do You Need Those Stinkin' Signatures? Maybe Not.

Let's say you are a corporate lawyer. You spend your pitiful and lonely life surrounded by marked up papers and red pens, drafting or revising agreements. You send your final versions out to your clients to sign, with…
Jun 4
Usurpation Of Corporate Opportunity Yields Preliminary Injunction

Usurpation Of Corporate Opportunity Yields Preliminary Injunction

A breach of fiduciary duty by the Defendants resulted in a sweeping preliminary injunction in an Order entered by the Business Court last Friday, in Esposito v. Esposito. The parties were co-shareholders of Anthem Leather, Inc., a Delaware…
Jun 3
There's No Attorney-Client Privilege For The Communication Of Fact

There's No Attorney-Client Privilege For The Communication Of Fact

It's been nearly ten years since the North Carolina Supreme Court decided a case involving the attorney-client privilege. That case was In re Miller, 357 N.C. 316, 584 S.E.2d 772 (2003), which raised the question whether the privilege…

Rank this Week: 487

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 6
SEC charges the City of Victorville, CA and Others with Defrauding Municipal Bond Investor

SEC charges the City of Victorville, CA and Others with Defrauding Municipal Bond Investor

The Securities and Exchange Commission (SEC) has charged the City of Victorville in California, City Manager Keith Metzler, the Southern California Logistics Airport Authority, and Kinsell, Newcomb & DeDios (KND) - the Airport Authority's…
Jun 6
Stanford Ponzi Scheme Receiver and Liquidators agree to distribute $300 Million to Defrauded Investor

Stanford Ponzi Scheme Receiver and Liquidators agree to distribute $300 Million to Defrauded Investor

Attorney Ralph Janvey, the U.S. receiver of Stanford Financial Group, and accountants Marcus Wide and Hugh Dickinson, international liquidators of Stanford International Bank Ltd. (the "Bank"), have agreed to distribute up to $300 million of…
May 22
FINRA Hits LPL With $7.5 Million Fine in E-mail Failure Case

FINRA Hits LPL With $7.5 Million Fine in E-mail Failure Case

LPL Financial LLC has signed a Letter of Acceptance, Waiver and Consent ("AWC") to resolve allegations by FINRA that it made material misrepresentations to the regulator during its investigation of significant and repeated e-mail failures by…

Rank this Week: 1073

Smaller Reporting Company's…

Smaller Reporting Company's Securities Blog

Covers securities law issues for entrepreneurs, emerging companies, investors and shareholders. By Stoecklein Law Group, LLP.

http://slgsecurities.com/

Jun 6
When can a founder be a good CEO?

When can a founder be a good CEO?

Reblogged from The American CEO: People often say that entrepreneurs who start out as CEO will need to be replaced at some point with a “professional” CEO. The thought is that the entrepreneur won’t be able to scale as the…
May 27
Corporate Social Responsibility or just a Marketing Tool?!

Corporate Social Responsibility or just a Marketing Tool?!

Reblogged from Ca$hewTree: In today's society it seems that one of the ugliest and most despicable things one can be called by one's opponents is a "capitalist". Probably since Karl Marx's "The Capital" capitalism and "the…
May 7
General Solicitation, Where Are You?

General Solicitation, Where Are You?

The Jumpstart our Business Startups Act (JOBS Act) was signed into law on April 5, 2012 and was to (among other things) allow businesses to generally solicit investors for certain securities offerings as well as create…

Rank this Week: 4527

The Lebrecht Group, APLC Blog

Discusses corporate securities law .

http://www.thelebrechtgroup.com/blog/

Jun 6
When Is It a Good Strategy To Lie to the SEC?

When Is It a Good Strategy To Lie to the SEC?

This, of course, is a misleading question. The answer is never. In case you need some law to back up that conclusion, take a look at the recent case of Robert J. Vitale. Mr. Vitale was the subject of an SEC enforcement…
May 16
TLG Attorney to Speak on Ethics at “Accounting 101 for Attorneys” Presentation

TLG Attorney to Speak on Ethics at “Accounting 101 for Attorneys” Presentation

Brian A. Lebrecht, founder and President of The Lebrecht Group, APLC, will be among the presenters at a seminar on May 16, 2013 by the National Business Institute entitled Accounting 101 for Attorneys. Specific topic will be Complying…
May 9
Listing a Reverse Merger Company on NASDAQ

Listing a Reverse Merger Company on NASDAQ

NASDAQ has special rules for companies that went public via a reverse merger. By: Brian A. Lebrecht, Esq. NASDAQ Markets Overview NASDAQ has three different U.S. markets, the NASDAQ Global Select Market, the NASDAQ Global Market, and…

Rank this Week: 4215

Corporate Finance & Securities Law…

Corporate Finance & Securities Law Blog

Covers mergers and acquisitions, private to public transactions, public company disclosure, regulatory defense, and other financial issues. By The Lebrecht Group.