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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/
Rank this Week: 1141

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: 1172

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: 147

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
Rank this Week: 3957

The Securities Edge

The Securities Edge

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

http://www.thesecuritiesedge.com/
  • Sep 19

    The JOBS Act – Any results yet?

    The JOBS Act – Any results yet?
    Posted By: Robert C. White Jr. President Obama signed the JOBS Act into law on April 5, 2012 amid much fanfare and optimism. Small and medium sized fast-growing technology companies and their executives were especially sanguine about this…
  • Sep 12

    Nasdaq annual listing fees are going up, up (but not away)

    Nasdaq annual listing fees are going up, up (but not away)
    Posted By: David C. Scileppi In late August, Nasdaq announced changes to their annual listing fees.  Generally, the fees will increase effective January 1, 2015, but Nasdaq is also adopting an all-inclusive annual fee and eliminating…
  • Sep 3

    Despite First Amendment concerns, the conflict minerals rule is here to stay

    Despite First Amendment concerns, the conflict minerals rule is here to stay
    Posted By: Gregory K. Bader A few months ago, the U.S. Court of Appeals for the D.C. Circuit upheld portions of Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act, known as the “conflicts mineral rule.”…
Rank this Week: 3260

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/
Rank this Week: 503

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/
  • Sep 19

    Ontario court interprets proviso in advance notice policy to permit late nomination

    Ontario court interprets proviso in advance notice policy to permit late nomination
    Sean Vanderpol and Ramandeep K. Grewal - While advance notice policies have been utilized by issuers in the U.S. for quite some time, they are still relatively new to the Canadian market. As a result, the Canadian jurisprudence on…
  • Sep 19

    Adoption of new Alberta OTC derivatives order to reflect pending legislative change

    Adoption of new Alberta OTC derivatives order to reflect pending legislative change
    Keith Chatwin - Earlier this week, Alberta Securities Commission staff proposed replacing ASC Blanket Order 91-505 Over-the-Counter Derivatives Transactions, with a new blanket order aimed at conforming the prospectus and dealer…
  • Sep 19

    OSC proposes changes to participation fee calculation

    OSC proposes changes to participation fee calculation
    The OSC yesterday published for comment proposed amendments to its rules that set out the fees to be paid by market participants. The proposed amendments involve changes to the calculation of participation fees, which apply to reporting…
Rank this Week: 456

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
  • Sep 19

    Nation’s Biggest Pension Fund makes Big Decision

    Nation’s Biggest Pension Fund makes Big Decision
    Concerns that investments are too complicated and expensive, the nation’s largest pension fund, the California Public Employees’ Retirement System, will eliminate all of its hedge fund investments over the next year. Overseeing…
  • Aug 29

    FINRA has Citigroup Global Markets Inc. in Hot Water

    FINRA has Citigroup Global Markets Inc. in Hot Water
    Citigroup Global Markets Inc. is being fined $1.85 million for best execution and supervisory violations in non-convertible preferred securities transactions. They also ordered Citigroup to pay more than $638,000 in compensation, plus…
  • Aug 29

    FINRA has Citigroup Global Markets Inc. in Hot Water

    FINRA has Citigroup Global Markets Inc. in Hot Water
    Citigroup Global Markets Inc. is being fined $1.85 million for best execution and supervisory violations in non-convertible preferred securities transactions. They also ordered Citigroup to pay more than $638,000 in compensation, plus…
Rank this Week: 571

Securities Law Blog

Securities Law Blog

News and comments on securities law. By The Frankowski Firm, LLC

http://www.securitieslaw-blog.com/
  • Sep 19

    Four Charged In Penny Stock Fraud Scheme Plead Not Guilty

    Four Charged In Penny Stock Fraud Scheme Plead Not Guilty
    The Frankowski Firm is investigating a penny stock fraud scheme that allegedly defrauded $290 million from thousands of investors, involving eight people who are facing criminal charges. Four of the eight charged in the pump-and-dump scheme…
  • Sep 18

    Alabama Supreme Court Affirms Class-Action Status In $3.2 Billion Lawsuit

    Alabama Supreme Court Affirms Class-Action Status In $3.2 Billion Lawsuit
    Last week, the Alabama Supreme Court upheld a Jefferson County judge’s ruling that a lawsuit against CVS Caremark Corp. can proceed as a class-action to represent roughly 70,000 investors who assert that they lost $3.2 billion in a…
  • Sep 16

    7th Circuit Upholds Ponzi Scheme Conviction

    7th Circuit Upholds Ponzi Scheme Conviction
    The Frankowski Firm is investigating a Ponzi scheme involving the owners of Fair Finance, which was once a legitimate company that had provided financial services since the Great Depression. The United States Court of Appeals for the Seventh…
Rank this Week: 3887

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Sep 19

    Commissioner Gallagher Questions Opaque Fixed Income Markets, Outdated Equity Market Structure

    Commissioner Gallagher Questions Opaque Fixed Income Markets, Outdated Equity Market Structure
    [This story previously appeared in Securities Regulation Daily.]By Matthew Garza, J.D.In two speeches delivered on Tuesday, Commissioner Daniel Gallagher asserted that the equity market structure is out of date, and expressed alarm over…
  • Sep 17

    U.K. Parliamentary Committee Questions Conventional Premises on High Frequency Trading

    U.K. Parliamentary Committee Questions Conventional Premises on High Frequency Trading
    The U.K. Parliamentary Committee on Economics fired off a letter to the Financial Conduct Authority on high frequency trading questioning the premise that such trading increases liquidity. In a letter to FRC Chief Executive Martin Wheatley,…
  • Sep 17

    SEC and SBA Join Forces to Teach Entrepreneurs About JOBS Act

    SEC and SBA Join Forces to Teach Entrepreneurs About JOBS Act
    [This story previously appeared in Securities Regulation Daily.]By Matthew Garza, J.D.The SEC and the U.S. Small Business Administration announced that they will jointly host events to teach small business owners and entrepreneurs about…
Rank this Week: 140

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Sep 19

    Broker Spotlight – Joseph Biondolillo of Woodstock Financial Group

    Broker Spotlight – Joseph Biondolillo of Woodstock Financial Group
    According to The Financial Industry Regulatory Authority’s (FINRA) BrokerCheck system financial advisor Joseph Biondolillo (Biondolillo) has been subject to numerous regulatory complaints, customer complaints, and terminated by one…
  • Sep 18

    Gana LLP Investigation – Former RBC Capital Markets Broker Michael Zukowski

    Gana LLP Investigation – Former RBC Capital Markets Broker Michael Zukowski
    The Financial Industry Regulatory Authority (FINRA) sanctioned broker Michael Zukowski (Zukowski) concerning allegations that Zukowski recommended unsuitable transactions in inverse and inverse-leveraged Exchange Traded Funds (Non-Traditional…
  • Sep 17

    Adam Gana is Quoted in OnWallStreet.com

    Adam Gana is Quoted in OnWallStreet.com
    Adam Gana, managing partner of Gana LLP was quoted in an article by Suleman Din entitled “Hammered by FINRA in Dispute with Morgan Stanely, Advisor Pays $200k.” The article discusses an advisor who took on Morgan Stanley in a…
Rank this Week: 3152

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • Sep 19

    JOBS Act Provisions Fuel IPO Surge, Raise Concern

    JOBS Act Provisions Fuel IPO Surge, Raise Concern
    All eyes may be on the record-setting IPO of Chinese Internet firm, Alibaba, but the real IPO story for 2014 may be the significant number of IPOs this year involving smaller companies. The number of companies completing IPOs this year …
  • Sep 18

    Guest Post: Activist Shareholder: The New Kid on the German D&O-Block

    Guest Post: Activist Shareholder: The New Kid on the German D&O-Block
    Although I try to include on this blog topics involving issues from outside the United States, because of my background and experience, U.S-related topics tend to predominate. That is why I am always grateful to have the opportunity to…
  • Sep 17

    Who is an “Officer”? A Critical Inquiry for Indemnification and Insurance

    Who is an “Officer”? A Critical Inquiry for Indemnification and Insurance
    Many companies provide advancement, indemnification and insurance benefits and protection for their officers and directors. However, it is not always clear who is an “officer” for purposes of claiming the benefits and protection.…
Rank this Week: 137

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Sep 19

    Corp Fin Comment Letters: Insiders Selling Ahead of Their Public Availability?

    Corp Fin Comment Letters: Insiders Selling Ahead of Their Public Availability?
    Geez, I don’t know what to make of this Forbes article – which describes this study that found an abnormal level of selling by insiders in the days before Corp Fin comment letters that contained revenue recognition comments were…
  • Sep 18

    Corp Fin’s Comment Letters: WSJ Peeks Under the Hood

    Corp Fin’s Comment Letters: WSJ Peeks Under the Hood
    It was bound to happen. I just thought it would happen much sooner. It’s been just over a decade since Corp Fin began posting its comment letters (and the related responses) – but yet there has been scant mass media attention paid…
  • Sep 17

    PCAOB Staff Practice Alert: Revenue Auditing

    PCAOB Staff Practice Alert: Revenue Auditing
    Recently, the PCAOB issued “Staff Audit Practice Alert No. 12” about auditing revenue, including revenue recognition, presentation and disclosure. The Alert cited “frequently observed significant audit deficiencies”…
Rank this Week: 286

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/
  • Sep 19

    Nevada Supreme Court Upholds Fraud Verdict Against The California Franchise Tax Board

    Nevada Supreme Court Upholds Fraud Verdict Against The California Franchise Tax Board
    The Franchise Tax Board’s Shande This is case that has been more than two decades in the making.  It began in the 1990s when inventor Gilbert Hyatt filed a California tax return showing that he relocated from California to Nevada.…
  • Sep 18

    Oxfam America Sues The SEC (Again) For Dilatory Rule Making

    Oxfam America Sues The SEC (Again) For Dilatory Rule Making
    Recently, I wrote of the shamelessness of the Securities and Exchange Commission targeting late filers even while it continues to miss many legal deadlines itself.  In that post, I mentioned that the SEC adopted resource extraction rules…
  • Sep 18

    In Judicial Opinions, These Words Are Truly Zeltn

    In Judicial Opinions, These Words Are Truly Zeltn
    Readers of this blog know that it isn’t just about the law, it is about the language of the law.  As I’ve mentioned, many of our legal terms are derived from Norman French courtesy of William the Conqueror.  Recently, I…
Rank this Week: 388

Stock Broker Attorney Blog

Stock Broker Attorney Blog

Covers current investigations, opinions and industry news relating to securities arbitration, investment fraud, stockbroker or brokerage firm misconduct. By Levin Papantonio Thomas Mitchell Rafferty & Proctor, P.A.

http://www.stockbrokerattorney.com/blog
  • Sep 18

    Former UBS Broker Charged for Defrauding Elderly with Ponzi Scheme

    Former UBS Broker Charged for Defrauding Elderly with Ponzi Scheme
    The Securities and Exchange Commission (SEC) recently charged former UBS Wealth Management America broker Donna Tucker with misappropriating over $730,000 from clients between January 2008 and April 2013. 
  • Sep 15

    Broker Deposits Thousands of Dollars of Misdirected Check

    Broker Deposits Thousands of Dollars of Misdirected Check
    FINRA recently fined securities broker Richard Harvey Peress $5,000 for misconduct and suspended him for 90 days. Peress pocketed 37 quarterly dividend client checks between 2002 and 2011 totaling $11,460.
  • Sep 5

    Increased Complex Investment and Insurance Sales Put State Regulators on High Alert

    Increased Complex Investment and Insurance Sales Put State Regulators on High Alert
    State securities regulators at the Insured Retirement Institute's Government, Legal and Regulatory conference this summer expressed concern over the amount of unlicensed products being sold by agents. Products of particular concern…
Rank this Week: 4062

Startup Law Blog

Startup Law Blog

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

http://www.startuplawblog.com/
  • Sep 18

    Intellectual Property and Crowdfunding: Practice Safe Crowdfunding®

    Intellectual Property and Crowdfunding: Practice Safe Crowdfunding®
    By Mary Juetten, Founder and CEO of Traklight Crowdfunding, despite its popularity, is still misunderstood. Many people are familiar with rewards crowdfunding sites like Kickstarter and Indiegogo based on widely publicized campaigns such as…
  • Sep 3

    Revenue Based Financing

    Revenue Based Financing
    Why It Works For Growing Technology Companies There are multiple options to funding to fuel your growing technology business, but what if you need to: A) get funded fast, B) keep you in control of your company and, C) not risk ……
  • Aug 27

    Startup Public Policy with Congressman Adam Smith

    Startup Public Policy with Congressman Adam Smith
    Congressman Adam Smith (D-WA) will be joining us to discuss some of the very exciting state and federal public policy issues being bandied about both in Olympia and on Capital Hill in Washington D.C. A skilled lawyer and a…
Rank this Week: 1337

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/
  • Sep 18

    Investigation into NNN Oak Park Office

    Investigation into NNN Oak Park Office
    Did you invest in NNN Oak Park Office and suffer losses? If so, The White Law Group may be able to help. The firm is investigating the potential recovery of investment losses through FINRA arbitration claims against the brokerage firms that…
  • Sep 18

    Recovery of Geneva Exchange Fund XXII Investment Losse

    Recovery of Geneva Exchange Fund XXII Investment Losse
    Have you suffered losses investing in the tenant-in-common (TIC), Geneva Exchange Fund XXII? The White Law Group is investigating potential FINRA arbitration claims to recover investment losses. According to files with the Securities and…
  • Sep 17

    Investigation into NNN 2002 Value Fund and NNN 2003 Value Fund

    Investigation into NNN 2002 Value Fund and NNN 2003 Value Fund
    Have you suffered investment losses as a result of your purchase of NNN 2002 Value Fund LLC or NNN 2003 Value Fund LLC? If so, the White Law Group may be able to help you recover your losses. According to files with the Securities and…
Rank this Week: 382

TRACE Blog

TRACE Blog

Covers anti-bribery compliance.

http://traceblog.org/
  • Sep 18

    TRACE’s List of Top 5 Most Colorful Projects to Raise Anti-Bribery Awarene

    TRACE’s List of Top 5 Most Colorful Projects to Raise Anti-Bribery Awarene
    Raising awareness about bribery doesn’t always have to be serious business.  In fact, sometimes it can even be fun.  That’s why here at TRACE, we are interested in learning about unique campaigns designed to raise…
  • Aug 28

    What was this month’s biggest anti-bribery story?

    What was this month’s biggest anti-bribery story?
    Take a moment to read our poll and vote for which headline you think was most newsworthy this month: China announces Investigation into Volkswagen AG’s China Joint Venture: China’s anti-corruption authority — the…
  • Aug 19

    The Role of Academia in Anti-Corruption Collective Action

    The Role of Academia in Anti-Corruption Collective Action
    Last week TRACE joined leading anti-corruption experts and academics from all over the world in Vienna, Austria to discuss effective teaching and pedagogy in anti-corruption studies within institutions of higher learning. The workshop, which…
Rank this Week: 4757

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
  • Sep 18

    DOJ Hopes to Prosecute More Criminal Cases Arising Out of False Claims Act

    DOJ Hopes to Prosecute More Criminal Cases Arising Out of False Claims Act
    On Wednesday, Assistant Attorney General for the Criminal Division Leslie R. Caldwell spoke at the Taxpayers Against Fraud Education Fund annual conference in Washington D.C., and announced that the DOJ is closely examining civil False Claims…
  • Sep 10

    Goldman Sachs Case: Know and Understand Your Corporate By-Laws Concerning Legal Fee

    Goldman Sachs Case: Know and Understand Your Corporate By-Laws Concerning Legal Fee
    Goldman Sachs Group Inc. has recently garnered a lot of press on the ongoing litigation on former Goldman programmer and vice president Sergey Aleynikov’s demands for indemnification and advancement of attorneys’ fees. These fees…
  • Sep 8

    Criminal Plea, Civil Liability: Aftermath of the BP Deepwater Horizon Catastrophe

    Criminal Plea, Civil Liability: Aftermath of the BP Deepwater Horizon Catastrophe
    Perhaps the most infamous environmental litigation case in history, the 2010 Deepwater Horizon catastrophe has resulted in approximately 3,000 lawsuits (both criminal and civil) and over 100,000 named claimants in federal and state courts…
Rank this Week: 4561

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/
  • Sep 18

    Whistleblowers wanted; Holder seeks increased compensation for financial crime informant

    Whistleblowers wanted; Holder seeks increased compensation for financial crime informant
    By W. Kelly Johnson In the first major public comment about white collar crime in more than a year, the Department of Justice (DOJ) called for an increase in compensation for whistleblowers under the Financial Institutions Reform, Recovery…
  • Sep 18

    Sixth Circuit case specifies additional language required in indemnification survival clauses in M&A agreement

    Sixth Circuit case specifies additional language required in indemnification survival clauses in M&A agreement
    By Daniel M. Bauer A recent Sixth Circuit case, interpreting Ohio law, found that a merger agreement stating that the representations and warranties “shall survive…the Closing until… the second anniversary date of the…
  • Sep 11

    Late Form 4s aren’t just embarrassing anymore

    Late Form 4s aren’t just embarrassing anymore
    By Jack J. Gravelle Yesterday, the SEC announced penalties totaling approximately $2.6 million against directors, officers, beneficial owners and issuers for failure to promptly report information about holdings and transactions in company…
Rank this Week: 1057

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

http://www.seclawyersblog.com/
Rank this Week: 1202

Footnoted

Footnoted

Reports on actionable information in SEC filings.

http://www.footnoted.com/
Rank this Week: 4478

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/
  • Sep 18

    Delaware: Outside Directors’ Motion to Dismiss in Entire Fairness Transaction Denied

    Delaware: Outside Directors’ Motion to Dismiss in Entire Fairness Transaction Denied
    Here’s news from Steven Haas of Hunton & Williams: In In re Cornerstone Therapeutics Inc. S’holders Litig., Consol. C.A. No. 8922-VCG (Del. Ch. Sept. 10, 2014), Vice Chancellor Glasscock denied a motion to dismiss filed by…
  • Sep 17

    House Judiciary Committee Acts to Harmonize Antitrust Review Standards & Processe

    House Judiciary Committee Acts to Harmonize Antitrust Review Standards & Processe
    As noted in this Akin Gump memo, on September 10, the House Judiciary Committee passed, by voice vote, legislation to eliminate certain disparities to antitrust review by the DOJ and FTC. The Standard Merger and Acquisition Reviews Through…
  • Sep 16

    Private Company Freeze-Out Merger Litigation Dismissed at Pleading Stage

    Private Company Freeze-Out Merger Litigation Dismissed at Pleading Stage
    Here’s news from Steven Haas of Hunton & Williams: In a recent bench ruling in Swomley v. Schlecht, C.A. No. 9355-VCL (Del. Ch. Aug. 27, 2014), the Court of Chancery reached two key holdings applicable to freeze-out mergers. First,…
Rank this Week: 582

BD Law Blog

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/
  • Sep 16

    Restrictive Covenants in Retail Lease Affirmed by Georgia Court of Appeal

    Restrictive Covenants in Retail Lease Affirmed by Georgia Court of Appeal
    Last week, the Court of Appeals of Georgia affirmed a trial court decision finding that a restrictive covenant in a retail lease was not overly ambiguous and was not therefore unenforceable, and thereafter affirmed the trial court ruling in…
  • Sep 8

    Statutory Disqualification: An Overview of the MC400 Application

    Statutory Disqualification: An Overview of the MC400 Application
    In this second installment on understanding statutory disqualifications, I'll provide an overview of the MC400 application. In a nutshell, if a person is statutorily disqualified, then he or she must find a broker-dealer firm wanting the…
  • Sep 5

    Statutory Disqualification: An Overview

    Statutory Disqualification: An Overview
    What does it mean when it is said that a person is subject to a statutory disqualification and cannot be associated with a broker-dealer, or an RIA? In a nutshell, it means that the person is not eligible to work...
Rank this Week: 1143

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/
  • Sep 16

    Is Your Bank Stressed Out? OCC Follows Fed on Proposed Stress-Test Change

    Is Your Bank Stressed Out? OCC Follows Fed on Proposed Stress-Test Change
    On September 10, the Office of the Comptroller of the Currency (“OCC”) published proposed revisions to its information collecting regulations related to the Dodd-Frank Act’s “stress test” for large national banks…
  • Sep 9

    The MCDC Initiative: Round One Is Underway

    The MCDC Initiative: Round One Is Underway
    The clock will strike on the first self-report deadline under the SEC’s Municipalities Continuing Disclosure Cooperation Initiative (the “MCDC Initiative”) at 12:00 a.m. EST on September 10, 2014.  Under the MCDC…
  • Sep 3

    Does Being an ‘Expert’ Make You an Expert?

    Does Being an ‘Expert’ Make You an Expert?
    Earlier this month, Judge Victor Marrero of the Southern District of New York issued his opinion certifying a class of buyers of the common stock of a company created by a Chinese reverse merger.  McIntire v. China MediaExpress Holdings,…
Rank this Week: 312

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
  • Sep 16

    FINRA Issues New Investor Alert Regarding “Frontier Fund” Investment

    FINRA Issues New Investor Alert Regarding “Frontier Fund” Investment
    From the Desk of Jim Eccleston at Eccleston Law Offices:  FINRA has issued a new investor alert called, “Frontier Funds-Travel With Care”.  The alert cautions investors who are seeking potentially…
  • Sep 12

    SEC Examines Fund Payments to Brokerage Firm

    SEC Examines Fund Payments to Brokerage Firm
    From the Desk of Jim Eccleston at Eccleston Law Offices:  The SEC has begun a review of fees paid by mutual funds to brokerages and their financial advisors to encourage fund sales. Unfortunately, the SEC has…
  • Sep 5

    PennsylvaniaBroker Found to Have Sold Unsuitable Investment

    PennsylvaniaBroker Found to Have Sold Unsuitable Investment
    From the Desk of Jim Eccleston at Eccleston Law Offices:  Anthony Diaz, a broker from Pennsylvania has agreed to charges by the FINRA that he made unsuitable investments. Since 2000, Diaz worked for 11…
Rank this Week: 149

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/
  • Sep 16

    Trade Secrets Claims Can Be Tough To Succeed On In The Business Court

    Trade Secrets Claims Can Be Tough To Succeed On In The Business Court
    If you want to pursue a trade secrets claim in the Business Court, you've got to disclose the details of your trade secret.  The Opinion last week in Unimin Corp. v. Gallo, 2014 NCBC 43 illustrates that point in detail.  It seems at…
  • Sep 12

    The Delaware Court Of Chancery Can See Forever On A Clear Day (Even To North Carolina)

    The Delaware Court Of Chancery Can See Forever On A Clear Day (Even To North Carolina)
    I don't usually write about decisions from the Delaware Court of Chancery because it's rare for that Court to even mention North Carolina.  But a decision by that Court this week -- in City of Providence v. First Citizens Bancshares,…
  • Sep 10

    Receiver Appointed To Oversee Sell-Off Of Corporation's Intellectual Property

    Receiver Appointed To Oversee Sell-Off Of Corporation's Intellectual Property
    When I wrote last week about Americana Development, Inc. v. Ebius Trading & Distributing Co., the Business Court had entered a TRO against the Defendants prohibiting them from disposing of the intellectual property of Defendant Ebius…
Rank this Week: 495

New York Securities Lawyers Blog

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

http://www.newyorksecuritieslawyersblog.com/
  • Sep 15

    Malecki Law is Investigating Possible Claims Against Craig Scott Capital

    Malecki Law is Investigating Possible Claims Against Craig Scott Capital
    Malecki Law is investigating possible claims against Craig Scott Capital, based in Long Island, NY. According to FINRA BrokerCheck, some customers of the firm have recently filed arbitrations related to the conduct of the firm's brokers…
  • Sep 12

    SEC Charges Robare Group with Fraud For Failing to Disclose Fee Arrangement with Broker-Dealer

    SEC Charges Robare Group with Fraud For Failing to Disclose Fee Arrangement with Broker-Dealer
    How do you know your investment adviser is solely acting in your best interest? Sadly, even when it comes to picking mutual funds, your investment adviser may still only be thinking of himself or herself. Take for example the allegations in…
  • Aug 15

    Are Some Customers Paying Too Much In Fees? The SEC Cracks Down on Linkbroker

    Are Some Customers Paying Too Much In Fees? The SEC Cracks Down on Linkbroker
    "Is my stockbroker charging me too much in commissions and fees?" This is a common question many investors frequently have. Unfortunately, all too often, the answer to this question is "Yes." In fact, just yesterday, the SEC announced…
Rank this Week: 2564

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/
  • Sep 15

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: Naseem Faqihi, Note, Choosing Which Rule to Break First: An In-House Attorney Whistleblower's Choices after Discovering a Possible Federal…
  • Sep 12

    IOSCO Updates Survey on Commodity Derivatives Markets Supervisory Principle

    IOSCO Updates Survey on Commodity Derivatives Markets Supervisory Principle
    The press release is available here, and the Update is available here.
  • Sep 12

    NASAA Working Group Formed to Develop Improved Fee Disclosure

    NASAA Working Group Formed to Develop Improved Fee Disclosure
    The North American Securities Administrators Association (NASAA) has announced the creation of a working group to focus on improved broker-dealer fee disclosure. The press release is available here.
Rank this Week: 94

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
  • Sep 15

    Citigroup Stockbroker Mauled In Strip Mall Deal

    Citigroup Stockbroker Mauled In Strip Mall Deal
    Action -- it's an interesting concept in both gambling and investing. Some folks love it. Crave it. Need it. Others are looking for a way to get better odds and make a quicker, bigger buck. Sometimes you find the action you're looking forward…
  • Sep 15

    UPDATE: USA To Gibralter To Cayman Islands Software Scam

    UPDATE: USA To Gibralter To Cayman Islands Software Scam
    This is an update of "USA To Gibralter To Cayman Islands Software Scam" (BrokeAndBroker.com Blog, March 17, 2014).It's the stuff of Hollywood meets Silicon Valley meets Ponzi. We got music and movies. We got Internet and software. We got…
  • Sep 11

    Whatcha Ghana Do With Email Scam?

    Whatcha Ghana Do With Email Scam?
    You know, I really get some dumb crap via spam emails, as I'm sure you all do.  Most of the time, it's some idiot trying to get me to buy Canadian pharmaceuticals promising to enlarge various parts of the human anatomy. Then there are…
Rank this Week: 1478

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Sep 12

    Fervent Belief

    Fervent Belief
    Next term, the U.S. Supreme Court will hear argument in the Omnicare case.  The issue is the pleading standard for an allegedly false or misleading opinion under Section 11 of the Securities Act.  While the Second, Third, and Ninth…
  • Sep 10

    Freshening Up

    Freshening Up
    Regular visitors to The 10b-5 Daily will notice that the look and format of the blog has undergone a change.  A few items of note: (1) To receive e-mail notifications of new posts (even if you have previously…
  • Sep 9

    The 10b-5 Daily Gets A Makeover

    The 10b-5 Daily Gets A Makeover
    After eleven years (has it really been that long?), The 10b-5 Daily is moving to a new platform, updating its look, clearing out dead links, and generally becoming a more user-friendly blog. For most visitors, the transition will be…
Rank this Week: 889

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/
  • Sep 9

    NASDAQ Proposes The Adoption Of A New All-Inclusive Annual Listing Fee

    NASDAQ Proposes The Adoption Of A New All-Inclusive Annual Listing Fee
    On August 26, 2014, The NASDAQ Stock Market LLC (“NASDAQ”) filed with the Securities and Exchange Commission (the “SEC”) certain proposed amendments to the NASDAQ Stock Market Rules (the “Amendments”) to…
  • Sep 4

    Second Circuit Defines “Customer” for Mandatory FINRA Arbitration

    Second Circuit Defines “Customer” for Mandatory FINRA Arbitration
    In a case of first impression, the United States Court of Appeals for the Second Circuit in Citigroup Global Markets, Inc. v. Abbar, No. 13-2172, 2014 WL 3765867 (2d Cir. Aug. 1, 2014), established a bright-line definition of…
  • Sep 2

    Fiduciary Duties in the Context of Dent v. Ramtron Int’l Corp.

    Fiduciary Duties in the Context of Dent v. Ramtron Int’l Corp.
    The Delaware Court of Chancery recently addressed a number of claims commonly made in the “ubiquitous” stockholder litigation that follows announcement of a public merger or acquisition transaction.  In Dent v. Ramtron…
Rank this Week: 468

Subject to Inquiry

Subject to Inquiry

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

http://www.subjecttoinquiry.com/
  • Sep 9

    Don’t Turn a Blind Eye – Individual Liability for Failure to Comply with BSA Reporting Requirement

    Don’t Turn a Blind Eye – Individual Liability for Failure to Comply with BSA Reporting Requirement
    The Financial Crimes Enforcement Network (FinCEN) announced on August 20, 2014, that it had reached an agreement with a casino official permanently barring him from working in financial institutions as a result of his willful violations of…
  • Aug 26

    The SEC Waives Eligibility Requirement and Awards Whistleblower $400,000

    The SEC Waives Eligibility Requirement and Awards Whistleblower $400,000
    Waiving one of the whistleblower award eligibility requirements, the Securities and Exchange Commission recently awarded more than $400,000 to a whistleblower who reported a fraud to the SEC after the company failed to address the issue…
  • Aug 21

    Unpacking OFAC’s Revised Guidance Regarding its “50 Percent Rule”

    Unpacking OFAC’s Revised Guidance Regarding its “50 Percent Rule”
    On August 14, 2014, the Department of the Treasury’s Office of Foreign Assets Control (OFAC) published revised guidance regarding entities owned by persons whose property and interests in property are blocked pursuant to an…
Rank this Week: 4613

Business Blog

Business Blog

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

http://www.businesslawnews.com/
  • Sep 9

    Who Is a Whistleblower Under the Dodd-Frank Act?

    Who Is a Whistleblower Under the Dodd-Frank Act?
    When read together, Dodd-Frank is ambiguous as to whether a whistleblower must complain directly to the SEC in order to qualify as a whistleblower and benefit from the law’s anti-retaliation protections. The SEC’s implementing…
  • Sep 8

    Obama Administration Proposes New ACA Rules in Light of Hobby Lobby Decision

    Obama Administration Proposes New ACA Rules in Light of Hobby Lobby Decision
    The Obama Administration recently proposed new rules that strive to keep the Affordable Care Act’s (ACA) birth control mandate in place while seeking to comply with the rationale of the Supreme Court’s recent decision in Burwell…
  • Sep 5

    Protecting Intellectual Property on the Global Stage

    Protecting Intellectual Property on the Global Stage
    In today’s global economy, it is imperative for businesses of all sizes to have an international intellectual property (IP) strategy. Failing to safeguard your valuable patents, trademarks and copyrights when contracting with partners…
Rank this Week: 774

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • Sep 8

    Cyber-Security – What Do Enforcement Actions Tell You

    Cyber-Security – What Do Enforcement Actions Tell You
    In a recent NSCP Currents article, Giselle Casella addressed what every compliance office must know about cyber-security.  One of the more compelling lessons was what can be learned from enforcement actions dealing with…
  • Sep 2

    Guess Who Did Not Take A Summer Vacation

    Guess Who Did Not Take A Summer Vacation
    Now that summer has come to its unofficial end, it seems as though the SEC forgot to check its calendar back I May because it has been conducting exams at a breakneck pace as reported in the Investment News.  These exams have focused, in…
  • Aug 25

    INDIVIDUAL MAY ACT AS SOLICITOR DESPITE SEC ADMINISTRATIVE ORDER

    INDIVIDUAL MAY ACT AS SOLICITOR DESPITE SEC ADMINISTRATIVE ORDER
    The SEC Division of Investment Management determined that a solictor may receive a fee for the soliciation of clients for registered investment advisers notwithstanding a Commission administrative order against her.  See Matter of…
Rank this Week: 1300

White Collar Fraud

White Collar Fraud

Covers white collar crime, securities fraud, the accounting profession, internal controls and Sarbanes-Oxley. By Sam E. Antar.

http://whitecollarfraud.blogspot.com/
  • Sep 8

    Nu Skin Inventory Red Flags Remain Even After $50 Million Impairment Charge

    Nu Skin Inventory Red Flags Remain Even After $50 Million Impairment Charge
    On July 22, 2014, I warned investors that Utah-based multi-level marketing company Nu Skin Enterprises' (NYSE: NUS) surging inventory levels might lead it "to recognize a material impairment charge against inventory in a future period." On…
  • Aug 4

    Why Nu Skin Must Come Clean on Troubling Inventory Red Flag

    Why Nu Skin Must Come Clean on Troubling Inventory Red Flag
    Co-authored by Sam E. Antar and Zachary PrenskyThis coming Wednesday morning, Utah based multi-level marketing company Nu Skin Enterprises (NYSE: NUS) is scheduled to report its second quarter earnings. In its Q1 2014 10-Q report issued in…
  • Jul 22

    Do Nu Skin Inventory Red Flags Spell Trouble Ahead?

    Do Nu Skin Inventory Red Flags Spell Trouble Ahead?
    Last Friday morning, a comment posted on Twitter by Marc Cohodes about Nu Skin Enterprises (NYSE: NUS), a Utah based multi-level marketing company, caught my curiosity. Cohodes is a legendary short-seller with an excellent track record and…
Rank this Week: 857

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • Sep 6

    New FINRA Rule Limits usage of Expungement Requests in Arbitration

    New FINRA Rule Limits usage of Expungement Requests in Arbitration
    The SEC has approved FINRA Rule 2081 that would disallow brokers from conditioning settlement of a customer dispute on a customer’s consent to the broker’s request for expungment from the Central Registration Depository…
  • Aug 12

    Does your Investment Adviser Firm Have a Social Media Policy?

    Does your Investment Adviser Firm Have a Social Media Policy?
    Social media such as Facebook, Twitter, LinkedIn, or blogs have become popular mechanisms for companies to communicate with the public. Social media allows companies to communicate with clients and prospective clients, market their services,…
  • Aug 1

    Who has the Right to Enforce Your Promissory Note?

    Who has the Right to Enforce Your Promissory Note?
    A customary practice in the securities industry is for financial advisors to receive a transition bonus above and beyond an advisor’s standard commission compensation upon joining to a new firm. The bonus amount is usually determined…
Rank this Week: 1285

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

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

    Hedge Fund Events September 2014

    Hedge Fund Events September 2014
    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: September 8, 2014 Sponsor: NYSSA Event: Russian and Central & Eastern European Capital…
  • Aug 6

    NFA Action Against Firm for Inadequate 1101 Investigation

    NFA Action Against Firm for Inadequate 1101 Investigation
    Doing Business with Non-Members – NFA Action Raises Compliance Questions Under NFA Bylaw 1101, NFA members are restricted from doing business with individuals or entities that should be, but are not, registered with the CFTC and members…
  • Aug 1

    Hedge Fund Events August 2014

    Hedge Fund Events August 2014
    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. **** August 4-5, 2014 Sponsor: InVida Events Event: Ship Energy Management in Practice Location:…
Rank this Week: 800

Andrew Abramowitz, PLLC

Andrew Abramowitz, PLLC

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

http://aalegalnyc.com/blog/
  • Sep 5

    The SEC’s Guide to Avoiding Investor Scam

    The SEC’s Guide to Avoiding Investor Scam
    Last month, the SEC issued a user-friendly guide for potential investors in avoiding fraudulent unregistered offerings.  I highly recommend the advice given here, but I have a few specific clarifications: In point 1, the SEC identifies…
  • Aug 25

    Some Interesting Legal Reads for the Week of August 25, 2014

    Some Interesting Legal Reads for the Week of August 25, 2014
    Morrison & Foerster on the continuing delay in the SEC’s finalization of the crowdfunding rules.  And Joe Wallin on the issues with relying on intrastate exemptions in the absence of action from the SEC. An investor alert from…
  • Jul 28

    Some Interesting Legal Reads for the Week of July 28 2014

    Some Interesting Legal Reads for the Week of July 28 2014
    From Keith Higgins, the SEC’s Director of the Division of Corporation Finance, some testimony to a Congressional subcommittee on the state of the various rule-making initiatives.  And here is Jim Hamilton’s summary of the…
Rank this Week: 4784

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/
  • Sep 4

    Of Snitches and Privilege

    Of Snitches and Privilege
    White-collar writer Walt Pavlo of @Forbes and 500 Pearl Street quotes us this morning in his insightful @Forbes article about the attorney-client privilege.  In particular: Federal prosecutors want to know who knew what, and when…
  • Sep 2

    Privilege, Corporate Silence and Saul Goodman

    Privilege, Corporate Silence and Saul Goodman
    We are past Labor Day, and just as well.  Marked by the GM internal-investigation report’s criticism of some of the company’s internal lawyers, the summer was not kind to internal lawyers generally and to the attorney-client…
  • Aug 29

    Weekend: cocktails, World War I, Alexandr Solzhenitsyn and Marvin Gaye

    Weekend: cocktails, World War I, Alexandr Solzhenitsyn and Marvin Gaye
    For this weekend: cocktails, World War I, Alexandr Solzhenitsyn and Marvin Gaye. From Saveur, warm-weather whiskey cocktails.  Some of the drinks sound good.  All of the photos are cool: From the folks at Garden & Gun…
Rank this Week: 4666

Cady Bar the Door

Cady Bar the Door

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

http://www.secmiscellany.com
  • Sep 3

    One More Thing about Liu v. Siemens, the Foreign Whistleblower Case

    One More Thing about Liu v. Siemens, the Foreign Whistleblower Case
    Last week I wrote about the Second Circuit’s recent decision in Liu v. Siemens AG, in which the court held that the Dodd-Frank Act’s anti-retaliation provisions do not apply to whistleblowers overseas.  As I think about it,…
  • Aug 26

    Freedom to Retaliate against Foreign Whistleblowers May Not Be as Much Fun as It First Appear

    Freedom to Retaliate against Foreign Whistleblowers May Not Be as Much Fun as It First Appear
    What I’m about to say is grossly oversimplified, but here goes: The Dodd-Frank Act’s whistleblower provisions have two primary prongs.  The first says that an individual who voluntarily provides the SEC with original…
  • Aug 20

    Unregistered Brokers: Watch out for Shortcut

    Unregistered Brokers: Watch out for Shortcut
    One of the things I’ve learned since returning to private practice three years ago is that people like to raise money for profitable enterprises when they can.  And why not?  It can be lucrative.  And if the people…
Rank this Week: 2538

The Race to the Bottom

The Race to the Bottom

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

http://www.theracetothebottom.org/
  • Aug 28

    The SEC and Administrative Proceedings (Part 2)

    The SEC and Administrative Proceedings (Part 2)
    We are discussing some of the issues raised by Peter Henning in his DealBook column, The S.E.C.’s Use of the ‘Rocket Docket’ Is Challenged.   In any event, the limits on discovery, the fact that ALJ decisions are…
  • Aug 26

    The SEC and Administrative Proceedings (Part 1)

    The SEC and Administrative Proceedings (Part 1)
    Peter Henning wrote an interesting piece over at DealBook on the SEC's use of administrative proceedings in place of actions in federal district court.  See The S.E.C.’s Use of the ‘Rocket Docket’ Is Challenged.…
  • Aug 26

    Morrison, the Second Circuit, and the Reverse Effects Test: ParkCentral Global Hub Limited v. Porsche Automobile Holdings (Part 2)

    Morrison, the Second Circuit, and the Reverse Effects Test: ParkCentral Global Hub Limited v. Porsche Automobile Holdings (Part 2)
    We are discussing the Second Circuit's decision in ParkCentral Global Hub Limited v. Porsche Automobile Holdings, a case that effectively created a "reverse effects test" that was contrary to the Supreme Court's analysis…
Rank this Week: 103

Securities Mining Law

Securities Mining Law

Covers securities law affecting the mining industry in Canada.

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

    Mining & Investment Latin America Summit in Peru

    Mining & Investment Latin America Summit in Peru
    Dentons is proud to be a Silver Sponsor of the largest Mining & Investment event in Latin America at the Mining & Investment Latin America Summit October 27-28 2014 in Lima, Peru. Mining & Investment Latin America Summit is the…
  • Jun 2

    Case Bulletin: R v Karigar, 2014 ONSC 3093

    Case Bulletin: R v Karigar, 2014 ONSC 3093
    For the first time in Canada, an individual has been sentenced to jail time for bribing a foreign public official. The three-year penitentiary sentence was handed down by the Ontario Court of Justice under the Corruption of Foreign Public…
  • May 28

    Current permitting processes and challenges for new mine

    Current permitting processes and challenges for new mine
    Current permitting processes and challenges for new mines from Dentons …
Rank this Week: 2854

May Law, PC Blog

May Law, PC Blog

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

http://www.maylawpc.net/category/blog/
Rank this Week: 4755

Business Law Post

Business Law Post

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

http://www.businesslawpost.com
  • Aug 22

    New Seed Financing Documents (500 Startups and Y Combinator)

    New Seed Financing Documents (500 Startups and Y Combinator)
    The startup industry keeps on coming up with new innovative solutions to seed financing.  The latest trend is convertible equity.  Two startup venture funds and incubators, 500 Startups and Y Combinator, recently released their…
  • Aug 22

    Unregistered IPOs of Bitcoin Companies Do Not Go Unnoticed By the SEC

    Unregistered IPOs of Bitcoin Companies Do Not Go Unnoticed By the SEC
    As I previously discussed in my blog here, the SEC does not have a mandate to regulate Bitcoin. Not unless it is used in a securities offering, especially in an unregistered initial public offering conducted over the Internet in violation of…
  • Aug 6

    Crowdfunding Right Now (Fund Model, Broker-Dealer Model, Lending Platforms and Intrastate Offerings)

    Crowdfunding Right Now (Fund Model, Broker-Dealer Model, Lending Platforms and Intrastate Offerings)
    We are still waiting for the SEC to issue final rules with respect to the Title III crowdfunding that will allow the U.S. companies to issue up to $1 million in securities to non-accredited investors through the online funding portals. So,…
Rank this Week: 2179