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Securities Lawyer 101

Securities Lawyer 101

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

http://www.securitieslawyer101.com/blog/
  • Sep 10

    Corporate Hijackings 101 l Securities Lawyer 101 Blog

    Corporate Hijackings 101 l Securities Lawyer 101 Blog
    Securities Lawyer 101 Blog Corporate hijackings, also known as corporate identity theft, of public shell companies has been around for more than a decade.  It  is a growing method used by fraudsters to acquire…
  • Jan 1

    Going Public Blog l Securities Lawyer 101

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

    Going Public Blog l Securities Lawyer 101

    Going Public Blog l Securities Lawyer 101
    Going Public Lawyer  Securities Lawyer 101 Blog Going public is a big step for any company.  The process of “going public” is complex and at times precarious.  While going public offers many benefits it also comes…
Rank this Week: 546

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/
  • Jul 2

    Professor Bainbridge Takes On S.B. 75 And The Delaware Bar

    Professor Bainbridge Takes On S.B. 75 And The Delaware Bar
    UCLA Law Professor Stephen Bainbridge recently posted an article calling Delaware’s recently enacted S.B. 75 a “self-inflicted wound”.   SB 75, which was signed into law late last month, limits the ability of…
  • Jul 1

    Why Foreign Corporations Might Not Care Where You Live

    Why Foreign Corporations Might Not Care Where You Live
    I noticed the following description of California’s principal “pseudo-foreign” corporation statute in a recently filed registration statement: Section 2115(b) of the California Corporations Code imposes certain requirements…
  • Jun 30

    Unwaivable Statutes May Doom Forum Selection Provision

    Unwaivable Statutes May Doom Forum Selection Provision
    Nearly four years ago, I wrote this post asking whether California’s anti-waiver statute voids choice of forum agreements.  The statute in question was California Corporations Code Section 25701 which provides: Any condition,…
Rank this Week: 384

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
  • Jul 2

    Adviser Wins Care Brought by SEC

    Adviser Wins Care Brought by SEC
    From the Desk of Jim Eccleston at Eccleston Law LLC:A houston-based firm has won a rare victory against the SEC in a case focused on advisers, accepting payments from brokerage firms.The SEC judge dismissed the allegations that the firm…
  • Jul 1

    Morgan Stanley Restructures Number of Management Role

    Morgan Stanley Restructures Number of Management Role
    From the Desk of Jim Eccleston at Eccleston Law LLC:In its latest round of restructuring, Morgan Stanley has altered the number of management roles at their branch, complex and regional levels. The top positions affected are Associate Complex…
  • Jun 26

    Small B-Ds Can Travel 2 Road

    Small B-Ds Can Travel 2 Road
    From the Desk of Jim Eccleston at Eccleston Law LLC:Small broker-dealers face increasing regulatory costs, and that is forcing them to decide their business path. While some older owners are looking to close shop, others are taking advantage…
Rank this Week: 148

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • Jul 2

    Of Time and Summer (A Reprise)

    Of Time and Summer (A Reprise)
    In recognition of the Independence Day holiday in the U.S., and in what is now something of an annual tradition, I am reprising here my 2012 essay about Time and Summer, which can be found here. Have a great Fourth of July holiday. Thank you…
  • Jun 30

    An Active First Half for Securities Class Action Litigation

    An Active First Half for Securities Class Action Litigation
    The first half of 2015 was an active period for new securities class action lawsuit filings. The filings through the year’s first six months suggest we are on pace for the highest annual number of new filings since 2011. The heightened…
  • Jun 29

    D&O Insurance: A Question of “Capacity”

    D&O Insurance: A Question of “Capacity”
    In  a recent post in which I discussed the “basic value proposition” of D&O insurance, I noted that among the five indispensable elements required in order for coverage under a D&O insurance policy to exist is the…
Rank this Week: 143

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Jul 2

    Gana LLP Investigates Investor Losses in Patriot Coal Corp (PCX)

    Gana LLP Investigates Investor Losses in Patriot Coal Corp (PCX)
    The law offices of Gana LLP are currently investigating investors who have suffered losses in in now bankrupt coal company, Patriot Coal Corp (Stock Symbols: PCX) (Patriot Coal). Patriot Coal is the third largest coal producer in the eastern…
  • Jul 1

    Broker Investigation: Advisor Mark Gardner

    Broker Investigation: Advisor Mark Gardner
    According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Mark Gardner (Gardner) has been the subject of at least nine customer complaints, one firm termination, and one regulatory action. Customers…
  • Jun 30

    Gana LLP Investigates Investor Losses in American Eagle Energy Corp. (AMZG)

    Gana LLP Investigates Investor Losses in American Eagle Energy Corp. (AMZG)
    The law offices of Gana LLP are currently investigating investors who have suffered losses in in now bankrupt oil and gas company, American Eagle Energy Corp. (Stock Symbols: AMZG) (American Eagle Energy). American Eagle Energy is a Colorado,…
Rank this Week: 2453

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Jul 2

    District Court Lacks Jurisdiction Over Constitutional Claims Against SEC ALJ

    District Court Lacks Jurisdiction Over Constitutional Claims Against SEC ALJ
    By Amanda Maine, J.D. A district court dismissed a complaint because it did not have subject matter jurisdiction to address the plaintiffs’ constitutional claims that SEC administrative law judges do not have lawful authority to preside…
  • Jul 1

    Commissioners Piwowar, Stein United on Move to T+2 Settlement

    Commissioners Piwowar, Stein United on Move to T+2 Settlement
    By Mark S. Nelson, J.D.Commissioners Michael S. Piwowar and Kara M. Stein demonstrated solidarity in backing a proposal by the securities industry to shorten the settlement cycle from T+3 to T+2 days. The commissioners said the proposal, and…
  • Jun 30

    KKR to Pay $30 Million to Settle ‘Broken Deal’ Misallocation Charge

    KKR to Pay $30 Million to Settle ‘Broken Deal’ Misallocation Charge
    By Amanda Maine, J.D.Private equity firm Kohlberg Kravis Roberts & Co. (KKR) has agreed to settle SEC charges that it breached its fiduciary duty by misallocating diligence expenses related to unsuccessful deals and by not disclosing how…
Rank this Week: 140

Business Blog

Business Blog

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

http://www.businesslawnews.com/
  • Jul 2

    Uber Highlights Employee Misclassification Issues in a High-Tech World

    Uber Highlights Employee Misclassification Issues in a High-Tech World
    Uber’s recent legal setback in California over employee misclassification issues highlights the dilemma faced by many employers across the country. As many other employers confront similar legal controversies, this as well as other…
  • Jul 1

    SEC Cracking Down on Adviser’s Retirement Advice

    SEC Cracking Down on Adviser’s Retirement Advice
    The Securities and Exchange Commission (SEC) recently announced a new compliance initiative that will target the retirement advice doled out by brokers and other financial advisers. Dubbed the “Retirement-Targeted Industry Reviews and…
  • Jun 30

    Could Your Cyber Insurance Policy Unexpectedly Let You Down?

    Could Your Cyber Insurance Policy Unexpectedly Let You Down?
    Cyber insurance policies are currently being heavily marketed amid highly publicized data breaches involving millions of records. But is having a cyber insurance policy a wise choice to protect your company in the wake of a costly data…
Rank this Week: 796

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Jul 2

    The SEC’s Clawback Proposing Release: 198 Page

    The SEC’s Clawback Proposing Release: 198 Page
    Yesterday, the SEC voted to approve – by the now-norm 3-2 vote – this 198-page proposing release to direct the stock exchanges to adopt clawback listing standards, as required by Section 954 of Dodd-Frank. Comments are due 60 days…
  • Jul 1

    PCAOB’s New Concept Release on Audit Quality Indicator

    PCAOB’s New Concept Release on Audit Quality Indicator
    Yesterday, the PCAOB agreed to issue a concept release about the content and possible uses of audit quality indicators, measures that may provide new insights into audit quality (the actual concept release isn’t posted yet –…
  • Jun 30

    Conflicting Shareholder Proposals: Are Companies Asking for a Trump Card?

    Conflicting Shareholder Proposals: Are Companies Asking for a Trump Card?
    Here’s a blog from Adam Kanzer of Domini Social Investments based on his recent comment letter sent to the SEC: According to a series of letters submitted on behalf of the issuer community, including a joint letter submitted by five…
Rank this Week: 289

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/
  • Jul 1

    Investigation into ProsShares Ultrashort S&P 500

    Investigation into ProsShares Ultrashort S&P 500
    Have you suffered losses investing in ProsShares Ultrashort S&P 500? If so, the securities attorneys of The White Law Group may be able to help you recover your losses in a FINRA arbitration claim against the brokerage firm that…
  • Jul 1

    Recovery of NNN Wesley Paces TIC losse

    Recovery of NNN Wesley Paces TIC losse
    Have you suffered losses in NNN Wesley Paces? If so, the White Law Group may be able to help recoup some of your loses. The White Law Group is investigating potential securities fraud claims involving broker-dealers’ improper…
  • Jul 1

    Investigation into Direxion ETF Bearish Fund

    Investigation into Direxion ETF Bearish Fund
    Have you suffered losses investing in Direxion ETF Bearish Fund ? If so, the securities attorneys of The White Law Group may be able to help you recover your losses in a FINRA arbitration claim against the brokerage firm that recommended the…
Rank this Week: 371

New York Securities Lawyers Blog

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

http://www.newyorksecuritieslawyersblog.com/
  • Jul 1

    SEC Charges Malcolm Segal Of Running Ponzi Scheme From His Pennsylvania Office

    SEC Charges Malcolm Segal Of Running Ponzi Scheme From His Pennsylvania Office
    The Securities and Exchange Commission (SEC) announced today that is has formally charged Malcolm Segal with running a Ponzi scheme and stealing investor money from his office in Pennsylvania.  According to his BrokerCheck Report, Mr.…
  • Jun 24

    Broker Keith M. Rogers Indicted on Securities Fraud Charges in Alabama

    Broker Keith M. Rogers Indicted on Securities Fraud Charges in Alabama
    It was recently reported that Keith M. Rogers, formerly employed by GLS & Associates, Inc., a FINRA broker-dealer, has been indicted and held on $2 million bond on securities fraud charges, where it was reported that he took…
  • Jun 17

    What is Elder Abuse?

    What is Elder Abuse?
    As the U.S. baby boomers look toward retirement, a larger percentage of the population will become senior-aged individuals who will have a substantial amount of savings that may be used to fund investments.  It is more important than…
Rank this Week: 2534

New York Securities Lawyer Blog

New York Securities Lawyer Blog

Covers securities law. By Lax & Neville LLP.

http://www.newyorksecuritieslawyerblog.com/
Rank this Week: 4848

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/
  • Jul 1

    Are You a Fiduciary And Why Does It Matter?

    Are You a Fiduciary And Why Does It Matter?
    What is a Fiduciary? To put it in the simplest terms, it’s a requirement that you, as a financial adviser, put the interests of your client first…
  • Jun 12

    The FINRA Attorney Guide Guide to Ensuring SEC & FINRA Compliance At Your Firm

    The FINRA Attorney Guide Guide to Ensuring SEC & FINRA Compliance At Your Firm
    If you’re part of the financial services industry the fact that regulations have tightened over the past few years won’t surprise you. The public has increased pressure…
  • Mar 2

    The SEC’s Examination Priorities for 2015

    The SEC’s Examination Priorities for 2015
    The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (“OCIE”) announced the National Examination Program (“NEP”).  Below are the top 6 things to take away…
Rank this Week: 4633

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: 151

Cady Bar the Door

Cady Bar the Door

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

http://www.secmiscellany.com
  • Jul 1

    Vivek Ranadivé and Wisconsin IA Both Big into Cherrypicking, According to Source

    Vivek Ranadivé and Wisconsin IA Both Big into Cherrypicking, According to Source
    Here’s a thing I think I know about billionaires:  They’ve made piles and piles of money doing something someone somewhere surely advised them not to do because it was a dumb idea.  Then later, actually dumb ideas come…
  • Jun 28

    Do Investment Advisers Automatically Have Fiduciary Duties to Their Clients?

    Do Investment Advisers Automatically Have Fiduciary Duties to Their Clients?
    I always thought they did.  But on Friday I read this sentence: “An investment advisor-client relationship is not a de jure fiduciary relationship.”  It sort of jumped out at me, because for a long time I’ve…
  • Jun 25

    FIN4 May Have Embarked on a Risky Hacking/Insider Trading Strategy

    FIN4 May Have Embarked on a Risky Hacking/Insider Trading Strategy
    I haven’t yet turned to a life of crime, so far be it from me to criticize actual criminals’ profit-maximizing strategies.  It’s easy for me to nitpick, but I’m not the one strapping on my mask and trying to earn…
Rank this Week: 2457

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • Jul 1

    Wells Fargo Takes One on the Chin

    Wells Fargo Takes One on the Chin
    A St. Louis County jury recently awarded over $70 million to the beneficiary of two trusts against Wells Fargo (WF).WF and its predecessors had served as the corporate trustee of one trust, and the custodian of the other. This firm…
  • Mar 11

    The Arbitration System

    The Arbitration System
    The premise that underlies the justification for the loss of rights in arbitration is simple:  both parties knowingly agreed to binding arbitration.  This presumption is based upon the presumptions that 1) signators read contracts…
  • Feb 10

    Did the Eastern District Just Void Financial Adviser Independent Contractor Arbitration Clauses?

    Did the Eastern District Just Void Financial Adviser Independent Contractor Arbitration Clauses?
    I think they may have done just that, at least in Missouri.  Us kids who work with or in the financial services industry know that brokers like Edward Jones frequently run to court when a broker leaves them.  They seek a TRO,…
Rank this Week: 1288

Subject to Inquiry

Subject to Inquiry

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

http://www.subjecttoinquiry.com/
  • Jul 1

    CFPB Expands Access to Consumer Complaint

    CFPB Expands Access to Consumer Complaint
    On June 25, 2015, the Consumer Financial Protection Bureau’s (CFPB’s) Consumer Complaint Database went live to provide the general public with enhanced access to consumer complaints. Since March 2015, complainants have been able…
  • Jul 1

    CFPB Drives Action Against Auto-Finance Company

    CFPB Drives Action Against Auto-Finance Company
    Putting the brakes on what it viewed as aggressive debt-collection tactics, the Consumer Financial Protection Bureau (CFPB) filed suit in Ohio federal court on June 17, 2015, against Security National Automotive Acceptance Company LLC (SNAAC)…
  • Jun 29

    CFPB’s TRID Rule Delayed Again – Uncertainty Persists for Good-Faith Grace Period

    CFPB’s TRID Rule Delayed Again – Uncertainty Persists for Good-Faith Grace Period
    The CFPB announced on June 17 that it would delay the effective date of the “Know Before You Owe” rule until October 1, 2015. However, the proposed rule issued by the Bureau on June 25 now delays the effective date to Saturday,…
Rank this Week: 4413

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

http://www.hedgefundlawblog.com
  • Jul 1

    Hedge Fund Events July 2015

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

    Hedge Fund Events June 2015

    Hedge Fund Events June 2015
    The following are various hedge fund events happening this month.  Please email us if you would like us to add your event to this list. **** Date: May 31-June 2, 2015 Sponsor: WITI Event: The Women in Technology International (WITI)…
  • May 26

    Cole-Frieman & Mallon LLP 2015 First Quarter Update

    Cole-Frieman & Mallon LLP 2015 First Quarter Update
     www.colefrieman.com May 13, 2015 Clients and Friends: The first quarter of 2015 was a busy period for investment managers and service providers alike and we find ourselves sending out this update very late.  As a variety of filing…
Rank this Week: 816

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
  • Jun 30

    Former Ovation CFO Alfred Talens Charged with Stealing About $600,000

    Former Ovation CFO Alfred Talens Charged with Stealing About $600,000
    As a result of, Alfred Talens being charged with stealing about $600,000 from Ovation where he was the CFO, along with other charges. We are looking into cases against Talens and LPL where he was employed as a stockbroker. For more on this…
  • Jun 25

    JP Morgan, SEC Talk Settlement over Investment-Recommendation Concern

    JP Morgan, SEC Talk Settlement over Investment-Recommendation Concern
    The SEC is examining J.P. Morgan for guiding clients to their own proprietary products and away from offerings by other firms. Generally leading to higher fees for the bank, the practice, while not banned, is closely watched by regulators.…
  • Jun 23

    FINRA Suspends City Securities Broker John Cody Miller

    FINRA Suspends City Securities Broker John Cody Miller
    Our firm will be looking into investor complaints against John Cody Miller, a City Securities broker and investment adviser in Indiana, as a result of his suspension for executing trades without written consent, going against his…
Rank this Week: 555

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 30

    FINRA Reports $1 Billion in Revenue, Shares Profit with Firm

    FINRA Reports $1 Billion in Revenue, Shares Profit with Firm
    The Financial Industry Regulatory Authority (FINRA) brought in $997 million in net revenues, up from $901 million in 2013. FINRA also lowered its expenses to $965 million, from $999 million in 2013. Revenues and other factors combined to…
  • Jun 29

    SEC News - Suspicious Activity, Unregistered Brokers, Defrauding Investor

    SEC News - Suspicious Activity, Unregistered Brokers, Defrauding Investor
    Microcap Promoter Charged With Illegally Selling Penny Stock SharesA microcap promoter has been charged with illegally selling more than 83 million penny stock shares that he secretly obtained through at least 10 different offshore front…
  • Jun 16

    SEC News - Insider Trading, Hedge Fund Theft, and Fraud

    SEC News - Insider Trading, Hedge Fund Theft, and Fraud
    Swiss Trader to Pay $2.8 Million to Settle Insider Trading ChargesA Swiss trader has agreed to pay more than $2.8 million to settle charges that he traded on nonpublic information ahead of a Florida-based biometrics company’s…
Rank this Week: 510

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 30

    Frequently Asked Questions about Regulation A+

    Frequently Asked Questions about Regulation A+
    Back in March, I wrote about proposed revisions to Regulation A, commonly known as “Regulation A+”, which were designed to implement Section 401 of the Jumpstart Our Business Startups Act (JOBS Act). Since then, the SEC issued its…
  • May 27

    Should Founders Subject Themselves to a Vesting Schedule?

    Should Founders Subject Themselves to a Vesting Schedule?
    When advising startup clients, I frequently recommend that they subject the shares issued to their founders (as well as those issued to any equity-compensated employees and contractors) to a vesting schedule. This conversation often leads the…
  • Apr 29

    Venture Capital Term Sheet Negotiation — Part 21: No-Shop and Confidentiality Provision

    Venture Capital Term Sheet Negotiation — Part 21: No-Shop and Confidentiality Provision
    This post is the twenty-first and final in a series giving practical advice to startups with respect to understanding and negotiating a venture capital term sheet. In the prior twenty posts, we provided an introduction to…
Rank this Week: 1992

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Jun 30

    Tweed Financial Services’ Robert “Rusty” Tweed: TIC Complaint

    Tweed Financial Services’ Robert “Rusty” Tweed: TIC Complaint
    President and founder of Tweed Financial Services, Robert “Rusty” Tweed, has seven customer complaints disclosed on his BrokerCheck Report. The post Tweed Financial Services’ Robert “Rusty” Tweed: TIC Complaints…
  • Jun 23

    Sacramento based LPL Financial broker, Dean M. Yurica, fined and suspended

    Sacramento based LPL Financial broker, Dean M. Yurica, fined and suspended
    LPL Financial broker, Dean M. Yurica, was fined $25,000 and suspended from the financial industry for nine months on June 22, 2015. The post Sacramento based LPL Financial broker, Dean M. Yurica, fined and suspended appeared first on Stock…
  • Jun 23

    Investor Complaints: Merrill Lynch / Morgan Stanley broker, Marc Demello

    Investor Complaints: Merrill Lynch / Morgan Stanley broker, Marc Demello
    The securities and investment fraud law firm, Fitapelli Kurta is interested in hearing from investors who have complaints regarding New York City based stockbroker, Marc Demello. Mr. Demello is currently registered with Merrill Lynch in…
Rank this Week: 2481

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 30

    Delaware Bans “Loser Pays” Bylaws & Authorizes Exclusive Forum Bylaw

    Delaware Bans “Loser Pays” Bylaws & Authorizes Exclusive Forum Bylaw
    The Delaware Governor has signed the latest Delaware amendments into law, taking effect on August 1st. We’re posting memos in our “Exclusive Forum Bylaws” Practice Area (also see this blog about whether the new law impacts…
  • Jun 26

    SEC Chair Speaks: Universal Proxy Ballots Coming?

    SEC Chair Speaks: Universal Proxy Ballots Coming?
    As reported by this WSJ article, SEC Chair White delivered this speech yesterday at the Society’s National Conference. In her speech – which focused on proxy-related matters – Chair White advised that she “asked the…
  • Jun 23

    Proxy Contests: Activist Influence Rising Despite Higher Company Win Rate

    Proxy Contests: Activist Influence Rising Despite Higher Company Win Rate
    According to this analysis by FactSet, proxy fight statistics so far for 2015 reveals an ongoing increase in activist influence. While the company win rate for proxy contests is up, so are settlements and non-proxy fight campaigns resulting…
Rank this Week: 578

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

http://www.seclawyersblog.com/
  • Jun 29

    Puerto Rico Headed for Default

    Puerto Rico Headed for Default
    Puerto Rico's governor, Alejandro García Padilla, says he must pull the island out of a "death spiral," in which the commonwealth cannot pay its debts of approximately $72 billion, reports The New York Times. Governor Padilla and…
  • Jun 25

    Sonn|Erez Investigating Claims Involving Former LPL Broker Raymond Schmidt

    Sonn|Erez Investigating Claims Involving Former LPL Broker Raymond Schmidt
    Sonn|Erez is investigating claims regarding Raymond Daniel Schmidt (CRD #3258497, Oceanside, California). Schmidt recently submitted an AWC in which he was barred from association with any FINRA member in any capacity. See FINRA Case…
  • Jun 22

    Sonn|Erez Investigating Claims Involving Former Merrill Lynch Broker Joel Blum

    Sonn|Erez Investigating Claims Involving Former Merrill Lynch Broker Joel Blum
    Sonn|Erez is investigating claims regarding Joel Eziekel Blum (CRD #4905379, Goshen, New York). Blum recently submitted an AWC in which he was fined $10,000 and suspended from association with any FINRA member in any capacity for 20 days.…
Rank this Week: 1113

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 29

    OSC concludes continuous disclosure review of mutual fund practices relating to portfolio liquidity

    OSC concludes continuous disclosure review of mutual fund practices relating to portfolio liquidity
    Last week, OSC staff concluded a review focusing on mutual fund practices related to liquidity assessments of fund holdings, liquidity stress testing and liquidity valuation considerations.  OSC staff’s review disclosed its…
  • Jun 29

    Marketplace operation and trading rules amended by the CSA

    Marketplace operation and trading rules amended by the CSA
    The Canadian Securities Administrators recently approved amendments to National Instrument 21-101 – Marketplace Operation and National Instrument 23-101 Trading Rules.  The amendments, which were first published for comment on…
  • Jun 29

    OSC approves proposed MFDA Rule amendments related to CRM2

    OSC approves proposed MFDA Rule amendments related to CRM2
    The OSC recently approved amendments to Mutual Fund Dealers Association of Canada (MFDA) Rule 5.3 – Client Reporting and MFDA Policy No. 7 – Performance Reporting.  The amendments codify the relief orders issued by the…
Rank this Week: 481

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/
  • Jun 29

    What types of companies might use Regulation A+ to raise capital?

    What types of companies might use Regulation A+ to raise capital?
    Recently finalized Regulation A+ allows most private companies to raise up to $50 million by selling securities to the public. Companies using Regulation A+ can advertise the offering and solicit investors, and anyone can invest (subject…
  • May 22

    World’s top banks plead guilty to gaming foreign-currency market

    World’s top banks plead guilty to gaming foreign-currency market
    Scandal roiled the banking industry Wednesday as four of the world’s largest banks — Citigroup, JPMorgan Chase, Barclays and Royal Bank of Scotland — pleaded guilty to federal antitrust violations for conspiring to…
  • Apr 30

    SEC votes to propose executive compensation rule

    SEC votes to propose executive compensation rule
    On April 29, 2015, pursuant to the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, the Securities and Exchange Commission (SEC) voted 3 to 2 to approve a proposed amendment to executive compensation rules in Item 402…
Rank this Week: 1012

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 29

    The Goose And Gander Of Forex Fraud Hypocrisy

    The Goose And Gander Of Forex Fraud Hypocrisy
    Offered for your consideration today in the BrokeAndBroker.com Blog is a thought piece. On one side, we have the goose: An individual human being convicted of FOREX-related fraud. On the other side, we have ganders: Five of the world's…
  • Jun 29

    Third Party Wires Clothesline Scottrade In FINRA Settlement

    Third Party Wires Clothesline Scottrade In FINRA Settlement
    If you're going to promise a Wall Street regulator that you will fix a problem, you better make certain -- in fact, you better make damn certain --  that you fix whatever the problem is. Few things are more certain in life…
  • Jun 29

    SEC Commissioner Aguilar Says Commissioner Gallagher Wrong About Chief Compliance Officer Regulation

    SEC Commissioner Aguilar Says Commissioner Gallagher Wrong About Chief Compliance Officer Regulation
    In "SEC Commissioner Gallagher Rages Against The Dying Light In Two Dissents" (BrokeAndBroker.com, June 18, 2015), I noted that:After four years of service, Republican Securities and Exchange Commission ("SEC") Commissioner Daniel M.…
Rank this Week: 1439

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: 1107

Recover Investment Losses Blog

Recover Investment Losses Blog

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

http://blog.rexsecuritieslaw.com
  • Jun 26

    Former Thrivent Investment Management Broker Sanctioned for Falsifying Annuity Document

    Former Thrivent Investment Management Broker Sanctioned for Falsifying Annuity Document
    June 24, 2015 Bruce R. Geiger entered into an Order Accepting Offer of Settlement with the Financial Industry Regulatory Authority (FINRA) to resolve allegations by FINRA that he had violated various FINRA rules altering annuity forms by…
  • Jun 26

    South Carolina Regulators Seek to Take Securities License of Mark Hotton

    South Carolina Regulators Seek to Take Securities License of Mark Hotton
    June 23, 2015- Columbia, South Carolina The Securities Commissioner for South Carolina filed a Rule to Show Cause seeking to permanently ban Mark Christopher Hotton from the securities industry. In 2013 Hotton was permanently barred from…
  • Jun 25

    San Antonio Oil & Gas Promoter Shut Down by Texas State Securities Board

    San Antonio Oil & Gas Promoter Shut Down by Texas State Securities Board
    June 23, 2015-Austin, Texas John Morgan, Texas Securities Commissioner, entered a Cease and Desist Order against Petro-San Resources LLC and Sean Patrick Riley of San Antonio, Texas, alleging that they are offering to sell unregistered…
Rank this Week: 4063

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 26

    More Positive Regulation A New

    More Positive Regulation A New
    Posted By: Gustav L. Schmidt This week, the SEC published a series of new Compliance and Disclosure Interpretations (“CDIs”) related to the newly revised Regulation A, which became effective on June 19, 2015. While many of the new…
  • Jun 19

    “A-Day” has finally arrived – Reg A+ goes into effect

    “A-Day” has finally arrived – Reg A+ goes into effect
    Posted By: David C. Scileppi Today is June 19th.  It is an exciting day for companies that need to raise capital because Reg A+ finally goes into effect. As a reminder, Reg A+ is a nickname for SEC Regulation A, as amended by the…
  • Jun 16

    First crowdfunding fraud enforcement action

    First crowdfunding fraud enforcement action
    Posted By: Robert C. White Jr. The first enforcement action involving a crowdfunding project was recently brought by the Federal Trade Commission. It involved the development of a board game which did not go well despite a successful…
Rank this Week: 3243

Securities Compliance Sentinel

Securities Compliance Sentinel

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

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

    So why is that you want to be a CCO

    So why is that you want to be a CCO
    Recent SEC enforcement actions suggest that being a CCO is not all that it’s cracked up to be; the SEC recently sanctioned two CCOs. SEC Commissioner Gallagher’s dissents and his recent comments regarding those dissents have…
  • Jun 25

    So who really thinks the SEC is not focused on elder investor

    So who really thinks the SEC is not focused on elder investor
    If there is any question that the SEC is focused on elder investor issues, look no further than its recent program announcement. The SEC initiated a program designed to examine retirement planning guidance. Under this program, the SEC intends…
  • Jun 18

    Twitter: More than just Social Media

    Twitter: More than just Social Media
    Since Al Gore invented the internet, we have had an unprecedented amount of information and data right at our fingertips.  However, given the immeasurable quantity of this information, it has always been a challenge to quickly and…
Rank this Week: 1297

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
  • Jun 25

    Don’t Text with an Informant and iPads are Not Phone

    Don’t Text with an Informant and iPads are Not Phone
    While Dora the Explorer’s cousin, Diego, may proudly proclaim that “helping out each other is good for everyone,” apparently defendant Curtis Diego’s “friend,” Gary Still, had no such interest. Mr. Still,…
  • Jun 4

    Elonis v. United States: The Supreme Court Weighs In On Rap Lyrics, True Threats, and Criminal Intent

    Elonis v. United States: The Supreme Court Weighs In On Rap Lyrics, True Threats, and Criminal Intent
    Shortly after his wife decided to leave him, 28-year-old Anthony Elonis, under the pseudonym “Tone Dougie,” began posting “self-styled ‘rap’ lyrics” on Facebook that contained “graphically violent…
  • May 29

    Former Speaker Hastert Indicted: Structuring a Costly Cover-Up

    Former Speaker Hastert Indicted: Structuring a Costly Cover-Up
    Yesterday, the Department of Justice charged former House Speaker Dennis Hastert in an indictment stemming from his alleged agreement to pay an unknown individual $3.5 million “to compensate for and conceal his prior misconduct”…
Rank this Week: 4465

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/
  • Jun 24

    Flipboard Spotlight | White Collar | Nice Tie.

    Flipboard Spotlight | White Collar | Nice Tie.
    You may use Flipboard as a nifty way to organize news and media in which you have an interest.  (If you don’t use Flipboard, try it). For mysterious reasons, Flipboard decided to do a “spotlight” on me as a…
  • Jun 18

    Lessons From An Ex-Congressional Lawyer

    Lessons From An Ex-Congressional Lawyer
    Almost two decades ago, I learned several lessons as a Congressional lawyer, some more useful than others.  Here is a 59-second summary of the better lessons. Let’s go over a few more lessons that might be useful, should you or…
  • May 28

    FIFA Indictments and the Notion of Global Compliance

    FIFA Indictments and the Notion of Global Compliance
    In an article by Joel Schectman for the Wall Street Journal and its “Morning Risk Report,” Jack Sharman is interviewed about the idea of a global compliance regime in light of the recent indictments of FIFA officials: Jackson…
Rank this Week: 4560

Footnoted

Footnoted

Reports on actionable information in SEC filings.

http://www.footnoted.com/
Rank this Week: 4416

Investment Fraud Attorney Blog

Investment Fraud Attorney Blog

Covers securities law. By Pratt Davis.

http://www.investmentfraudattorneyblog.com/
Rank this Week: 5013

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 24

    There's A Difference Between "Confidential And Proprietary Information" And A Trade Secret

    There's A Difference Between "Confidential And Proprietary Information" And A Trade Secret
    I can't remember the last time that the Business Court granted a motion opposing the designation of a case as a mandatory complex business case.  And since the Business Court Modernization Act went into effect in October 2014?  I…
  • Jun 17

    Something That You Might Not Have Known About Injunction

    Something That You Might Not Have Known About Injunction
    I had always thought that you need to post a bond in order to obtain an injunction, both in federal and state court.  It turns out that I was wrong. The federal rule seems to require a bond.  It says: (c) Security. The court may…
  • Jun 15

    Business Court: High To Low Posting of ATM Debit Card Transactions Properly Disclosed By Bank

    Business Court: High To Low Posting of ATM Debit Card Transactions Properly Disclosed By Bank
    The meaning of the word "item" was the definitive factor in the Business Court's decision last week in Gay v. People's Bank, 2015 NCBC 59. The case was an attempted class action involving claims against the Bank for allegedly improperly…
Rank this Week: 508

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: 326

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/
  • Jun 23

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: J.H. Dalhuisen, Globalization and the Transnationalization of Commercial and Financial Law, 67 Rutgers U. L. Rev. 19 (2015). Martin Gelter…
  • Jun 9

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: Norah C. Avellan, Note, The Securities and Exchange Commission and the Growing Need for Cybersecurity in Modern Corporate America, 54…
  • Jun 9

    Cheffins, Bank & Wells on Shareholder Protection

    Cheffins, Bank & Wells on Shareholder Protection
    Brian R. Cheffins, Steven A. Bank, and Harwell Wells have posted Shareholder Protection Across Time on SSRN with the following abstract: This Article offers the first systematic attempt to measure the development of shareholder protection in…
Rank this Week: 99

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Jun 19

    Big Verdicts and Big Appeal

    Big Verdicts and Big Appeal
    Securities class actions rarely go to trial.  When they do, as in the Household International case where the plaintiffs won a $2.46 billion verdict, they make the news.  But it is axiomatic that big verdicts lead to big…
  • May 22

    Adverse Interest

    Adverse Interest
    Is it possible for a securities class action based on alleged misrepresentations in a company’s public filings to proceed against an individual officer, but not the company (presuming the company is not otherwise immune from…
  • May 1

    Not Congress’s Concern

    Not Congress’s Concern
    The Securities Litigation Uniform Standards Act (“SLUSA”) is designed to limit the ability of plaintiffs to avoid the heightened pleading standards (and other procedural and substantive protections) applicable to federal…
Rank this Week: 913

Securities Fraud Attorney Blog

Securities Fraud Attorney Blog

Covers securities fraud, and other areas of securities law and banking and finance law. By Rich, Intelisano & Katz, LLP.

http://www.securitiesfraudattorneyblog.com/
Rank this Week: 2106

Business Law Post

Business Law Post

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

http://www.businesslawpost.com
  • Jun 19

    New Regulation A: Will It Get an A+ From the StartUp Community?

    New Regulation A: Will It Get an A+ From the StartUp Community?
    On March 25, 2015, the Securities and Exchange Commission (the “SEC”) announced that it was adopting final rules amending and updating Regulation A.  These new rules, which become effective on June 19, 2015, have been…
  • Jun 16

    All You Ever Wanted To Know About Form D: When, Why and How to File

    All You Ever Wanted To Know About Form D: When, Why and How to File
    Why File Form D?When raising money in a private placement, the most common path for companies to take is to make use of one of the Regulation D exemptions from registration, utilizing either Rule 504, 505 or, most commonly, Rule 506. Once the…
  • Jun 5

    What Should Start-up Founders Know About Rule 701?

    What Should Start-up Founders Know About Rule 701?
    In my opinion, all startup founders should be familiar with and actually understand Rule 701 under the Securities Act because this is precisely how they get to issue equity (restricted stock or options) in their startup to their employees,…
Rank this Week: 2162

Andrew Abramowitz, PLLC

Andrew Abramowitz, PLLC

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

http://aalegalnyc.com/blog/
  • Jun 17

    Interesting Legal Reads of the Week

    Interesting Legal Reads of the Week
    Some interesting legal reads for the week of June 15, 2015: DealBook on how late-stage venture capital investors will invest at high valuations but with very favorable provisions like anti-dilution protection that can ultimately come at the…
  • Jun 12

    The Distinction Between Entity Name and Trademark

    The Distinction Between Entity Name and Trademark
    When I assist clients in setting up entities, one of the threshold matters, of course, is the selection of a name for the entity.  Once that is settled, and the entity is set up, many clients assume the job is complete as far as…
  • Jun 1

    Interesting Reads of the Week

    Interesting Reads of the Week
    Some interesting legal reads for the week of June 1, 2015: The Legal Intelligencer on how faulty compensation structures and reliance on the billable hour are hampering law firms. The New York Times reports that attorneys with jobs considered…
Rank this Week: 4556

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
  • Jun 16

    Ronald Amato Quoted in IA Watch Article Regarding Broker U5 Issue

    Ronald Amato Quoted in IA Watch Article Regarding Broker U5 Issue
    Attorney Ron Amato recently was quoted in an article appearing in IA Watch entitled “Vindicated Rep Offers Warning that U5 System Can Punish Whistleblowers.”   The article relates to a Form U5 defamation case, brought in…
  • Jun 8

    FINRA Re-examines Need for Broker Recruiting Bonus Disclosure

    FINRA Re-examines Need for Broker Recruiting Bonus Disclosure
    Months after shelving a financial advisor “bonus” disclosure rule that it previously had filed with the SEC, FINRA has proposed a revised bonus disclosure rule that emphasizes educating investors about questions potentially to ask…
  • Jul 17

    FINRA Seeks to Delay Implementation of REIT Pricing Rule

    FINRA Seeks to Delay Implementation of REIT Pricing Rule
    According to recent reports, FINRA has sought to delay the implementation of a new rule that would provide greater clarity for investors in non-traded REITs as to the value of their shares.  The proposed rule filing would require firms…
Rank this Week: 3914

InvestorLawyers.net

InvestorLawyers.net

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

http://www.investorlawyers.net/blog/
Rank this Week: 1877

Corporate Securities Law Blog

Corporate Securities Law Blog

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

http://www.corporatesecuritieslawblog.com/
Rank this Week: 465

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/
  • May 28

    FIFA Officials Indicted for Racketeering and Fraud

    FIFA Officials Indicted for Racketeering and Fraud
    The Department of Justice announced that high-ranking officials of the governing body for soccer worldwide – referred to as “football” outside of the United States – the Fédération Internationale de…
  • May 12

    SEC Sues Retirement Planners who Sold Life Settlement

    SEC Sues Retirement Planners who Sold Life Settlement
    According to the Securities and Exchange Commission (“SEC”), it has filed suit against a Texas retirement planning firm and its principals in connection with their practices in the sales of life settlement investments.  The…
  • May 6

    LPL Financial Sanctioned for Supervisory Failure

    LPL Financial Sanctioned for Supervisory Failure
    According to the Financial Industry Regulatory Authority (“FINRA”), it has entered into a Letter of Acceptance, Waiver and Consent (“AWC”) with brokerage firm LPL Financial LLC for supervisory failures in a number of…
Rank this Week: 814