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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…
  • Oct 21

    By: SEC Releases Regulation A Proposal

    By: SEC Releases Regulation A Proposal
    […] 416-8956, by email at info@securitieslawyer101.com or visit www.jobact101.com.   This securities law blog post is provided as a general informational service to clients and friends…
  • Oct 14

    By: Transparency in Direct Public Offerings | Ghotala Bank

    By: Transparency in Direct Public Offerings | Ghotala Bank
    […] as a general informational service to clients and friends of Hamilton & Associates Law Group Securities Law Blog and should not be construed as, and does not constitute, legal and compliance advice on any […]
Rank this Week: 926

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/
  • Dec 29

    Wells Fargo Reaches $591 Million Mortgage Deal with Fannie Mae

    Wells Fargo Reaches $591 Million Mortgage Deal with Fannie Mae
    Wells Fargo & Co. (WFC) has arrived at a $591 million mortgage settlement with Fannie Mae (FNMA). The arrangement resolves claims that the banking institution sold faulty mortgages to the government run-home loan financier and covers…
  • Oct 16

    DOJ Charges Another Two Ex-Rabobank Traders Over Libor Manipulation

    DOJ Charges Another Two Ex-Rabobank Traders Over Libor Manipulation
    The U.S. Department of Justice has indicted another two ex-Rabobank (RABO) traders over their alleged involvement in a London interbank offered rate manipulation scam. The charges widen the Federal Bureau of Investigation’s probe into…
  • Oct 14

    Barclays to Pay $20M To Settle Libor Manipulation

    Barclays to Pay $20M To Settle Libor Manipulation
    Barclays PLC (BARC) has consented to pay $20 million to settle complaints over the manipulation of the London interbank offered rate benchmark. As part of the accord, the bank will cooperate with a group of Eurodollar-futures traders that…
Rank this Week: 1153

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/
  • Oct 22

    Trade Secrets Cases In The NC Business Court: You Show Me Yours Before I'll Show You Mine

    Trade Secrets Cases In The NC Business Court: You Show Me Yours Before I'll Show You Mine
    There's a new roadblock for plaintiffs in the Business Court suing over trade secrets.  It was imposed last week by Judge Bledsoe in DSM Dyneema, LLC v. Thagard, 2014 NCBC 50, and it bars the plaintiff from proceeding with discovery…
  • Oct 15

    The Interrogatory That Does Not Warrant An Objection Based On Privilege

    The Interrogatory That Does Not Warrant An Objection Based On Privilege
    There was enough worth talking about in Judge Bledsoe's opinion in National Financial Partners Corp. v. Ray, 2014 NCBC 49, which I posted about yesterday, to warrant a second post. What I didn't discuss yesterday was the question answered in…
  • Oct 14

    Don't Throw The Kitchen Sink Of Defenses Into Your Answer

    Don't Throw The Kitchen Sink Of Defenses Into Your Answer
    Say you are filing an Answer to a Complaint.  NC Rule of Civil Procedure 8(c)  lists a host of affirmative defenses you might raise.  They are: accord and satisfaction, arbitration and award, assumption of risk, contributory…
Rank this Week: 500

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Oct 22

    Quixote Xploration, LLC ordered to stop selling unregistered oil and gas investment

    Quixote Xploration, LLC ordered to stop selling unregistered oil and gas investment
    On October 20, 2014, the Securities Commissioner of Texas issued an emergency cease and desist order against oil and gas investment company, Quixote Xploration, LLC and its CEO, James Bona. The post Quixote Xploration, LLC ordered to stop…
  • Oct 22

    H. Beck’s George Hoffman barred for converting customer’s fund

    H. Beck’s George Hoffman barred for converting customer’s fund
    On October 6, 2014, Maryland stockbroker, George Wayne Hoffman was barred from associating with any member firm in any capacity for converting $17,000 of customer funds into his own personal bank account. The post H. Beck’s George…
  • Oct 17

    Wells Fargo’s Nancy Eckler and Kevin Wolf face FINRA arbitration

    Wells Fargo’s Nancy Eckler and Kevin Wolf face FINRA arbitration
    According to a recent article on MarketWatch.com, customers have asserted causes of action for unsuitability and failure to supervise. While the damages sought against Wells Fargo are not specified in the article, both Nancy Eckler and Kevin…
Rank this Week: 3772

Securities Law Blog

Securities Law Blog

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

http://www.securitieslaw-blog.com/
  • Oct 22

    Should The SEC Update Its Definition Of Accredited Investors?

    Should The SEC Update Its Definition Of Accredited Investors?
    Currently, the SEC defines an accredited investor a someone who either has an income of at least $200,000 ($300,000 for couples) or a net worth of at least $1 million, without including the individual or couple’s primary residence. Some…
  • Oct 21

    SCOTUS Rejects Duane Reade Executives’ Appeal

    SCOTUS Rejects Duane Reade Executives’ Appeal
    The U.S. Supreme Court decided yesterday that it would not hear appeals from two former senior executives of Duane Reade Inc. The appeals follow the executives’ 2010 securities fraud convictions for inflating earnings at the New…
  • Oct 20

    Florida Investment Company VP Sentenced To 14 Years Imprisonment

    Florida Investment Company VP Sentenced To 14 Years Imprisonment
    Louis Gallo, former vice president of Commodities Online LLC, a Florida-based investment company, was sentenced last week to fourteen years imprisonment and ordered to pay nearly $20 million in restitution for his participation in a $21…
Rank this Week: 3799

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Oct 22

    FINRA Fines Feltl & Company $1 Million Conerning the Firm’s Penny Stock Busine

    FINRA Fines Feltl & Company $1 Million Conerning the Firm’s Penny Stock Busine
    The Financial Industry Regulatory Authority (FINRA) has sanctioned brokerage firm Feltl & Company (Feltl) and fined the firm $1,000,000 concerning allegations that the firm, between January 2008, and February 2012. failed to comply with…
  • Oct 21

    Non-Traded REITs Sales Grow As Shown in Second Quarter 2014 Ranking

    Non-Traded REITs Sales Grow As Shown in Second Quarter 2014 Ranking
    Since the financial crisis the non-traded real estate investment trust (REIT) market has been a financial boon for the brokerage industry. A REIT is a security that invests typically in real estate related assets. Generally, REITs can be…
  • Oct 20

    Top 10 Signs of Investment Fraud

    Top 10 Signs of Investment Fraud
    Every year dozens of investors contact our firm seeking to recover losses due to sham or bogus investments. Only a fraction of those defrauded people were fortunate enough to working with a licensed broker who wasn’t being properly…
Rank this Week: 2983

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/
  • Oct 22

    Is Dodd-Frank Responsible For Market Volatility?

    Is Dodd-Frank Responsible For Market Volatility?
    Last week’s market gyrations sparked questions about whether bank regulations implemented after the 2008 financial crisis exacerbated price declines by limiting the ability of Wall Street banks to make markets.Read More - Did Bank Rules…
  • Oct 17

    Customer Hit with $80,000 in Respondents' Attorney's Fee

    Customer Hit with $80,000 in Respondents' Attorney's Fee
    It is not often that a public customer is forced to pay a respondent's attorneys fees, but in a recent FINRA arbitration, that is exactly what happened.According to the description in the FINRA arbitration award it appears that a public…
  • Oct 16

    Third Party Bene is Not a Customer for Arbitration Purpose

    Third Party Bene is Not a Customer for Arbitration Purpose
    A FINRA arbitration panel has dismissed a $32 million claim because the claimant was not a customer of the brokerage firms, and did not have an account with the Respondents.The Claimant had alleged that he was an undisclosed third-party…
Rank this Week: 508

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Oct 22

    Posted: Archive Video from the “Usable Proxy Workshop”

    Posted: Archive Video from the “Usable Proxy Workshop”
    Last month, I co-hosted a “Usable Proxy Workshop” with Addison in NYC for a group of in-house folks. The panels were video-taped (thanks to the host of our location, Simpson Thacher!) – and I have now posted those video…
  • Oct 21

    Clawbacks & The New Revenue Recognition Rules: On a Collision Course?

    Clawbacks & The New Revenue Recognition Rules: On a Collision Course?
    Here’s something I just blogged on CompensationStandards.com’s “The Advisors Blog“: As companies are staffing & gearing up for the FASB/IASB’s new revenue recognition rules, it dawned on me that folks in the…
  • Oct 20

    When Will the SEC’s EDGAR Get Hacked? (Or Has It Already?)

    When Will the SEC’s EDGAR Get Hacked? (Or Has It Already?)
    About a decade ago, I blogged: “Personally, I am always amazed that there have not been any reported hacks of the EDGAR system – as that has to be one of the most popular targets of the hacking community, even for the youngsters…
Rank this Week: 287

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • Oct 22

    Barclays Libor-Scandal Securities Suit Survives Renewed Dismissal Motion

    Barclays Libor-Scandal Securities Suit Survives Renewed Dismissal Motion
    The Libor-scandal based securities suit filed against Barclays and certain of its directors and offices will now be going forward. The case was initially dismissed, but on appeal the Second Circuit vacated a part of the dismissal ruling and…
  • Oct 21

    Dismissal Granted in Cyber Breach-Related Derivative Suit Filed Against Wyndham Official

    Dismissal Granted in Cyber Breach-Related Derivative Suit Filed Against Wyndham Official
     Along with the separate derivative lawsuit filed against Target Corporation’s board, the cyber breach-related derivate action filed against Wyndham Worldwide Corporation’s board has been closely watched as representative of…
  • Oct 20

    A Whole Bunch of Interesting Litigation and Enforcement Statistics and Analyse

    A Whole Bunch of Interesting Litigation and Enforcement Statistics and Analyse
    A single case may involve a host of interesting issues but sometimes the important lessons can only be discerned when many cases are considered collectively. This past week saw the release of some interesting analyses of aggregate litigation…
Rank this Week: 138

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/
  • Oct 22

    Heightened Sensitivity Over Change-in-Control Payout

    Heightened Sensitivity Over Change-in-Control Payout
    Here’s news from Carol Bowie, Head of ISS Americas Research: Some key developments this proxy season suggest that investor sensitivity is growing in regard to perceived windfalls accruing to executives in connection with change in…
  • Oct 21

    Webcast: “Anatomy of a Proxy Contest: Process, Tactics & Strategies”

    Webcast: “Anatomy of a Proxy Contest: Process, Tactics & Strategies”
    Tune in tomorrow for the webcast – “Anatomy of a Proxy Contest: Process, Tactics & Strategies” – during which experts with different perspectives on proxy contests will catch us up on all the latest: ISS’…
  • Oct 20

    SEC Commissioner: 13D Reform Unlikely Next Year

    SEC Commissioner: 13D Reform Unlikely Next Year
    Since the SEC Chair typically sets the agenda for the agency, I was a little surprised to see this WSJ blog stating that SEC Commissioner Gallagher said that we shouldn’t expect changes to the 13D window “this year or next.”…
Rank this Week: 582

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/
  • Oct 22

    Can An Employment Agreement Be A Wee Bit Too Integrated?

    Can An Employment Agreement Be A Wee Bit Too Integrated?
    The Bylaws of many public companies provide for mandatory indemnification of directors and officers (and sometimes other agents as well).  Often, Bylaws describe these indemnity obligations as contract rights.  For example the…
  • Oct 21

    Forum Selection Clauses Were Here Before They Were In Bylaw

    Forum Selection Clauses Were Here Before They Were In Bylaw
    Recent rulings by judges in Delaware and other states have given impetus to the adoption of exclusive forum bylaws.  To the casual observer, the idea might seem entirely novel.  But as Koheleth (the Gatherer) wrote “What has…
  • Oct 20

    This Hobby Lobby Proposal Is Much Mistaken

    This Hobby Lobby Proposal Is Much Mistaken
    Suzanne Weakley, editor-in-chief of the CEB Business Law Practitioner, recently called my attention to this letter from six professors at U.C. Berkeley (Robert P. Bartlett III, Richard Buxbaum, Stavros Gadinis, Justin McCrary, Steven…
Rank this Week: 386

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: 312

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Oct 21

    CFTC Global Roundtable Examines Clearing for Non-Deliverable Forward

    CFTC Global Roundtable Examines Clearing for Non-Deliverable Forward
    As the CFTC readies a proposal on the clearing of non-deliverable  forwards, the Commission convened a global meeting to discuss whether mandatory clearing should be required of NDF swaps contracts. The meeting was under the…
  • Oct 21

    E.U. Set to Resume Work on Money Market Fund Legislation

    E.U. Set to Resume Work on Money Market Fund Legislation
    The new E.U. Parliament and the new Financial Services Commissioner signaled their  intent to resume work on legislation enhancing the regulation of money market funds, an effort that stalled in the last Parliament and Commission. In a…
  • Oct 21

    Parliamentary Panel Approves Lord Hill as E.U. Financial Services Commissioner

    Parliamentary Panel Approves Lord Hill as E.U. Financial Services Commissioner
    After two contentious hearings, the E.U. Parliamentary Committee on Economic and Monetary Affairs favorably reported out the nomination of Lord Jonathan Hill of the U.K. as Commissioner for Financial Services and Financial Stability by a vote…
Rank this Week: 140

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/
  • Oct 21

    Recovery of Rainer Preferred Income Partners IV

    Recovery of Rainer Preferred Income Partners IV
    Have you suffered losses as a result of your purchase of Prefered Income Partners IV, LLC? If so, The White Law Group may be able to help you recover your investment losses. According to marketing material, Prefered Income Partners IV was the…
  • Oct 17

    Recovery of United Mortgage Trust Investment Losse

    Recovery of United Mortgage Trust Investment Losse
    Did you suffer losses investing in United Mortgage Trust? If so, The White Law Group may be able to help recover your investment loss through a FINRA dispute resolution claim against the broker dealer that sold you the investment.…
  • Oct 17

    Recovery of TIER REIT Investment Losse

    Recovery of TIER REIT Investment Losse
    Did you suffer losses investing in TIER REIT? If so, The White Law Group may be able to help recover your investment loss through a FINRA dispute resolution claim against the broker dealer that sold you the investment. According to…
Rank this Week: 378

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
  • Oct 21

    LPL Terminated Broker for Allegedly Selling Away

    LPL Terminated Broker for Allegedly Selling Away
    According to the report filed with the central registration depository, former LPL Financial branch manager James "Jeb" Bashaw was terminated last month for allegations of selling away - engaging in securities transactions without the…
  • Oct 5

    Longer Prison Sentences for Brokers Charged by State Securities Official

    Longer Prison Sentences for Brokers Charged by State Securities Official
    In 2013, according to the North American Securities Administrators Association (NASAA), brokers who were charged with investment fraud by state securities regulators received a jail sentence 33 percent lengthier than convicted brokers had in…
  • Oct 2

    Traditional Municipal Bond Investors Avoid Puerto Rico Bond

    Traditional Municipal Bond Investors Avoid Puerto Rico Bond
    Puerto Rico's municipal bonds came in dead last for generating returns in the $3.7 trillion municipal bond market so far this year. At first glance, the muni bonds generated a 12.1 percent return through September 15 after a horrific previous…
Rank this Week: 4051

Cady Bar the Door

Cady Bar the Door

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

http://www.secmiscellany.com
  • Oct 21

    DOJ’s Marshall Miller: You’re All FCPA Lawyers Now

    DOJ’s Marshall Miller: You’re All FCPA Lawyers Now
    Marshall Miller, the Justice Department’s  principal Deputy Assistant Attorney General for the Criminal Division, has been heating up the compliance conference circuit in recent weeks.  On September 17th, it was the Global…
  • Oct 15

    Wrapping up Securities Enforcement Forum 2014

    Wrapping up Securities Enforcement Forum 2014
    I was lucky enough to spend Tuesday at Bruce Carton’s Securities Enforcement Forum 2014.  In three years, it has gone from zero to the preeminent securities enforcement law conference anywhere.  I blogged it hurriedly…
  • Oct 14

    Securities Enforcement Forum 2014 — Current Developments in Trials, Testimony, Wells, APs and Settlement

    Securities Enforcement Forum 2014 — Current Developments in Trials, Testimony, Wells, APs and Settlement
    This is a rough and not verbatim transcript. Phil Khinda at Steptoe & Johnson moderating. Brad Karp at Paul Weiss:  We represented Citi in its case with the SEC.  The model had worked just fine for JPMorgan, but our case landed…
Rank this Week: 2515

Subject to Inquiry

Subject to Inquiry

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

http://www.subjecttoinquiry.com/
  • Oct 21

    A Question of Ethics: Are Members Permitted to Help Companies in Which They Own Stock?

    A Question of Ethics: Are Members Permitted to Help Companies in Which They Own Stock?
    Roll Call October 14, 2014 Q. I heard that Rep. Tom Petri, R-Wis., may face ethics discipline because he assisted companies in which he owned stock. I know that Members are not supposed to use their position for their own personal gain, but I…
  • Oct 20

    Taking Aim – the SEC’s Continued Focus on Hedge Fund

    Taking Aim – the SEC’s Continued Focus on Hedge Fund
    “It is difficult to overstate how much the regulatory landscape for hedge fund managers has changed over the past four years.” So said Norm Champ, director of the Securities and Exchange Commission’s Division of Investment…
  • Oct 17

    Update: Supreme Court Declines to Define Instrumentality under FCPA

    Update: Supreme Court Declines to Define Instrumentality under FCPA
    On October 6, 2014, the U.S. Supreme Court denied an August 14, 2014, petition for writ of certiorari by Joel Esquenazi and Carlos Rodriquez, former owners of Terra Communications (Terra). The petition asked the court to define who counts as…
Rank this Week: 4607

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

http://www.seclawyersblog.com/
Rank this Week: 1185

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/
  • Oct 21

    Restrictive Covenants in Georgia: A Tale of the Calendar

    Restrictive Covenants in Georgia: A Tale of the Calendar
    Prior to May 11, 2011, the law in Georgia tended to favor former employees of a business when a dispute arose about the enforceability of restrictive covenants such as covenants not to compete, covenants for non-solicitation, etc. If one…
  • Oct 15

    A Milestone, I suppose. 500 posts.

    A Milestone, I suppose. 500 posts.
    I didn't notice it, but when I hit the publish button on the post immediately before this one today, I published the 500th post here on BDLawBlog.com. 500 posts in a little over seven years. I doubt that most of...
  • Oct 15

    FINRA Cautions Firms on Confidentiality Provisions In Settlement Agreements and Arbitration Discovery Stipulation

    FINRA Cautions Firms on Confidentiality Provisions In Settlement Agreements and Arbitration Discovery Stipulation
    FINRA recently issued Regulatory Notice 14-40, cautioning broker-dealer firms (and associated persons) against including overly restrictive confidentiality language in both settlement agreements and in arbitration discovery stipulations.…
Rank this Week: 1142

Business Blog

Business Blog

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

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

    NJ Supreme Court Rules Hospital’s Internal Error Report Is Privileged Under Patient Safety Act

    NJ Supreme Court Rules Hospital’s Internal Error Report Is Privileged Under Patient Safety Act
    The Supreme Court of New Jersey recently held that an internal memorandum prepared by a hospital in the course of a medical error investigation was not discoverable pursuant to the Patient Safety Act. The ruling should be good news for both…
  • Oct 20

    U.S. Supreme Court Adds to Growing Business Docket

    U.S. Supreme Court Adds to Growing Business Docket
    The U.S. Supreme Court may not consider same-sex marriage this term, but it will address a number of important cases impacting the business community. Reuters reports that, at last tally, more than half the 48 cases on the Court’s…
  • Oct 17

    Does the Accredited Investor Definition Need a Makeover?

    Does the Accredited Investor Definition Need a Makeover?
    Does the Accredited Investor Definition Need a Makeover? The definition of “accredited investor” may be headed for some significant changes. The Securities and Exchange Commission’s (SEC) Investor Advisory Committee is the…
Rank this Week: 774

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/
Rank this Week: 94

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
  • Oct 20

    Of Dropbox and Data Breaches: Highlighting the need for increased cyber-security at home and in the workplace

    Of Dropbox and Data Breaches: Highlighting the need for increased cyber-security at home and in the workplace
    This guest post is authored by Michael B. Hayes. Hayes’ practice concentrates on commercial litigation, government and corporate investigations. Hayes is frequently called upon by clients and colleagues to provide legal expertise and…
  • Oct 15

    DOJ Policy Shift: No Waiver for Ineffective Assistance of Counsel Claim

    DOJ Policy Shift: No Waiver for Ineffective Assistance of Counsel Claim
    Back in January, we wrote about the challenge facing counsel when the United States Attorney’s Office requires a defendant to waive his or her Sixth Amendment claims of ineffective assistance of counsel as part of any plea deal. Today,…
  • Oct 14

    Supreme Court Denies Review of “Acquitted Conduct” Sentence

    Supreme Court Denies Review of “Acquitted Conduct” Sentence
    A defendant exercises his constitutional right to a jury trial and is proven guilty by a jury of his peers. The jury, confronted with multiple charges against the defendant, weighs the evidence and acquits on all counts, save one for ……
Rank this Week: 4545

The Securities Edge

The Securities Edge

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

http://www.thesecuritiesedge.com/
  • Oct 20

    My inaugural Uptick: How about never? Does never work for you?

    My inaugural Uptick: How about never? Does never work for you?
    Posted By: Robert B. Lamm I have read several reports quoting Mary Jo White, Chair of the SEC, as saying that the remaining Dodd-Frank corporate governance rulemakings will be out by year-end.  Admittedly, the reports aren’t clear…
  • Oct 17

    No more secret identities: Broker-dealers may soon be required to identify beneficial owners of legal entity customer

    No more secret identities: Broker-dealers may soon be required to identify beneficial owners of legal entity customer
    Posted By: Stephanie Quiñones As we blogged about in May, the Bank Secrecy Act (“BSA”), which requires financial institutions in the United States to assist U.S. government agencies to detect and prevent money laundering,…
  • Oct 9

    10 nuggets on corporate governance hot topic

    10 nuggets on corporate governance hot topic
    Posted By: Robert B. Lamm On September 30, Bob Lamm moderated a panel at a “Say-on-Pay Workshop” held during the 11th Annual Executive Compensation Conference in Las Vegas, Nevada.  The Conference is an annual event…
Rank this Week: 3256

InvestorLawyers.net

InvestorLawyers.net

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

http://www.investorlawyers.net/blog/
Rank this Week: 2007

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/
Rank this Week: 458

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: 145

Securities Mining Law

Securities Mining Law

Covers securities law affecting the mining industry in Canada.

http://www.securitiesmininglaw.com/
  • Oct 17

    Relaunching the Northern Plan

    Relaunching the Northern Plan
    The Northern Plan will focus on the integrated and coherent development of the area covered by the Northern Plan which includes all of Québec located north of the 49th degree of north latitude and north of the St. Lawrence River and…
  • 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…
Rank this Week: 2861

Startup Law Blog

Startup Law Blog

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

http://www.startuplawblog.com/
  • Oct 17

    SEC Advisory Committee Makes Accredited Investor Recommendation

    SEC Advisory Committee Makes Accredited Investor Recommendation
    Summary SEC Investor Advisory Committee makes recommendations to the SEC regarding “accredited investor” definition and related considerations No specific changes to financial thresholds recommended New “financial…
  • Oct 8

    Crowdfunding! @ Seattle Startup Week

    Crowdfunding! @ Seattle Startup Week
    My team at Davis Wright Tremaine and I are excited and honored to be able to help kick off the first day of Seattle Startup Week 2014 with an intensive meetup about the legal ins-and-outs surrounding Washington State Equity Crowdfunding.…
  • Sep 29

    FAA Grants Limited Exemptions Allowing Hollywood to Film With Drone

    FAA Grants Limited Exemptions Allowing Hollywood to Film With Drone
    By Diana Marina Cooper In a surprising move last week, the Federal Aviation Administration (FAA) granted permission to six Hollywood companies to film using unmanned aerial vehicles (UAVs). The FAA is currently developing rules to integrate…
Rank this Week: 1346

William Carleton, Counselor @ Law

William Carleton, Counselor @ Law

Covers legal and investment issues facing emerging tech companies.

http://www.wac6.com/wac6/
  • Oct 16

    Changing the rules for who is allowed to invest in startup

    Changing the rules for who is allowed to invest in startup
    By now, you've probably heard that the SEC is considering making changes to the accredited investor definition. The definition is important to entrepreneurs, angel investors, and the startups they work on together, because it defines the…
  • Jun 25

    Where I've been

    Where I've been
    Friends, I want to thank you for all the support you've given this blog over the past three or four years. It's been a good run. Two or three years ago, I started blogging every day, and that was the...
  • Jun 18

    The world is not totally fucked up: Exhibit A

    The world is not totally fucked up: Exhibit A
    Here is Exhibit A for the proposition that the world is not, in fact, totally and completely fucked up: sculpture being readied, as we speak, at Jefferson Park in Seattle. What's more, this public art is to be "skateable." I...
Rank this Week: 118

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/
Rank this Week: 838

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
  • Oct 15

    Bill Singer Criticizes FINRA Outside Business Activity Case

    Bill Singer Criticizes FINRA Outside Business Activity Case
    FINRA has this thing about registered representatives engaging in so-called "Outside Business Activities" ("OBA"). Frankly, I don't agree with certain aspects of the FINRA's OBA Rule. None of which is to suggest -- even remotely -- that the…
  • Oct 15

    EMPLOYMENT TUESDAY at BrokeAndBroker

    EMPLOYMENT TUESDAY at BrokeAndBroker
    Stockbroker, Compliance, Legal, and Regulatory JobsEmployment Page BrokeAndBroker.com Jobs...
  • Oct 15

    FINRA Alarm Bells Awaken Sleepwalking Supervisor

    FINRA Alarm Bells Awaken Sleepwalking Supervisor
    Once upon a time, Wall Street's regulators seemed to view so-called "Failure To Supervise" matters as a last resort -- the final arrow in a quiver.  Whether benign neglect or a considered policy, those supervising the industry's…
Rank this Week: 1471

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Oct 10

    Confirmatory Information

    Confirmatory Information
    In its Halliburton II decision, the Supreme Court held that a securities fraud defendant can overcome the fraud-on-the-market presumption of reliance at the class certification stage of a case “through evidence that the…
  • Oct 3

    Duties to Disclose

    Duties to Disclose
    Item 303 of Regulation S-K requires issuers to disclose known trends or uncertainties “reasonably likely” to have a material effect on operations, capital, and liquidity.  Plaintiffs often contend that if the disclosure…
  • Sep 26

    Standing Alone

    Standing Alone
    Can the announcement of an investigation act as a “corrective disclosure” sufficient to support the existence of loss causation?  Last year, the Eleventh Circuit concluded that investigations do not “in and of…
Rank this Week: 897

Footnoted

Footnoted

Reports on actionable information in SEC filings.

http://www.footnoted.com/
Rank this Week: 4458

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/
  • Oct 10

    “The Bandits’ Club” gets its due

    “The Bandits’ Club” gets its due
    Our colleagues at Antitrust Law Source posted an interesting update about probable charges alleging that traders at approximately a dozen global banks – including Deutsche Bank, JPMorgan Chase, Barclays, and USB – fixed the…
  • Oct 7

    Supreme Court refuses to review FCPA challenge

    Supreme Court refuses to review FCPA challenge
    By W. Kelly Johnson The U.S. Supreme Court on Monday refused to review the first Foreign Corrupt Practices Act (FCPA) case appealed to the highest Court. The appeal sought to limit the scope of the FCPA by narrowing the law’s definition…
  • 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…
Rank this Week: 1054

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/
  • Oct 8

    Sixth Circuit Narrows Scope of Liability Under ICA Sections 36(a) and (b)

    Sixth Circuit Narrows Scope of Liability Under ICA Sections 36(a) and (b)
    In Laborers’ Local 265 Pension Fund v. iShares Trust, No. 13-6486, 2014 U.S. App. LEXIS 18627 (6th Cir. Sept. 30, 2014), the United States Court of Appeals for the Sixth Circuit affirmed the dismissal of claims alleging violations of…
  • Sep 22

    Second Circuit Holds Forum Selection Clause Supersedes FINRA’s Mandatory Arbitration Rule

    Second Circuit Holds Forum Selection Clause Supersedes FINRA’s Mandatory Arbitration Rule
    In Goldman, Sachs & Co. v. Golden Empire Schools Financing Authority, No. 13-797-cv, 2014 WL 4099289 (2d Cir. Aug. 21, 2014), the United States Court of Appeals for the Second Circuit held that a forum selection clause in a broker-dealer…
  • 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…
Rank this Week: 463

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
  • Oct 8

    SEC Warns Investors of The Risks of Private Placement

    SEC Warns Investors of The Risks of Private Placement
    From the Desk of Jim Eccleston at Eccleston Law Offices: In a recent Investor Bulletin as well as an Investor Alert, the Securities and Exchange Commission (SEC) has issued warnings to investors as to the risks…
  • Oct 7

    Former Merrill Lynch Brokers Fired for Promoting Outside Hedge Fund

    Former Merrill Lynch Brokers Fired for Promoting Outside Hedge Fund
    From the Desk of Jim Eccleston at Eccleston Law Offices: Two former Merrill Lynch brokers, Stephen S. Brown and James P. Goetz, were fired for selling away hedge funds outside of the brokerage firm. “Selling…
  • Oct 2

    Former VSR Broker Made Unsuitable Recommendations on Non-Traded REIT

    Former VSR Broker Made Unsuitable Recommendations on Non-Traded REIT
    From the Desk of Jim Eccleston at Eccleston Law Offices: Since the real estate crisis of 2008, non-traded real estate investment trusts have been in the regulators’ sights because of questions about their fees,…
Rank this Week: 149

Sharesleuth.com

Sharesleuth.com

Offers investigative reporting aimed at exposing securities fraud. By Chris Carey.

http://sharesleuth.com/
  • Oct 7

    Kandi Technologies Group Inc.: The return of the cyber shill

    Kandi Technologies Group Inc.: The return of the cyber shill
    Last June, shares of Kandi Technologies Group Inc. (Nasdaq: KNDI) doubled in the space of a week, spurred on by a mysterious network of social-media touters who later deleted their posts or shut down their accounts…
  • Jun 17

    Telestone Technologies revisited: SEC letters reveal doubts about revenues and receivable

    Telestone Technologies revisited: SEC letters reveal doubts about revenues and receivable
    Recently released letters between the Securities and Exchange Commission and Telestone Technologies Corp. (Pink Sheets: TSTC) show that regulators have significant concerns about the Chinese wireless communication company’s reported…
  • Jun 3

    Guanwei Recycling Corp. and Kandi Technologies Group Inc.: The Rui Wang Connection

    Guanwei Recycling Corp. and Kandi Technologies Group Inc.: The Rui Wang Connection
    A Chinese businessman who figures into a fraud case involving Guanwei Recycling Corp. (Nasdaq: GPRC) also has an intriguing connection to Kandi Technologies Group Inc. (Nasdaq: KNDI), whose shares were allegedly manipulated by the same group.…
Rank this Week: 1440

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • Oct 7

    The Uniform Fiduciary Duty Standard – It Seems Like Déjà vu All Over Again

    The Uniform Fiduciary Duty Standard – It Seems Like Déjà vu All Over Again
    Although it has been many years since Yogi Berra uttered this famous line, it seems like he must have been thinking about the debate regarding the adoption of a uniform fiduciary duty standard.  All kidding aside, one SEC commissioner…
  • Sep 23

    So Who Wants To Hire A Registered Representative

    So Who Wants To Hire A Registered Representative
    If you answered in the affirmative, then you need to be aware of a recent FINRA proposal submitted to the SEC.  The proposal would require member firms to take a harder look when they vet new hires.  About the rule, FINRA said that…
  • 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…
Rank this Week: 1310

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

http://www.hedgefundlawblog.com
  • Oct 6

    Hedge Fund Events October 2014

    Hedge Fund Events October 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: October 1, 2014 Sponsor: iGlobal Forum Event: Global REIT Summit 2014 Location: New York, NY…
  • 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…
Rank this Week: 801

Business Law Post

Business Law Post

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

http://www.businesslawpost.com
  • Oct 6

    CPOs Can Now Engage in General Solicitation

    CPOs Can Now Engage in General Solicitation
    The big legal news in September was that the staff at the Commodity Futures Trading Commission (CFTC) published an exemptive letter No. 14-116 (available here) that allows certain commodity pool operators (CPOs) to engage in general…
  • 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…
Rank this Week: 2177

TRACE Blog

TRACE Blog

Covers anti-bribery compliance.

http://traceblog.org/
  • Sep 30

    What was September’s biggest compliance story?

    What was September’s biggest compliance story?
    SEC announces record-breaking $30 million whistleblower award. The award, which is the largest in the Commission’s history, was for key information related to an ongoing fraud investigation.  It also marks the fourth time that…
  • 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…
Rank this Week: 4757

Stock Market Loss

Stock Market Loss

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

http://www.stockmarketloss.com/news/
  • Sep 26

    Not Quite Investments: Binary Options Are Purely A Gamble

    Not Quite Investments: Binary Options Are Purely A Gamble
    This article was originally posted on Stock Market Loss The Ohio Division of Securities recently initiated an administrative action against an online binary options platform operating from the United Kingdom. The Division alleges that Vault…
  • Jul 28

    VARIABLE LIFE INSURANCE ALERT!

    VARIABLE LIFE INSURANCE ALERT!
    This article was originally posted on Stock Market Loss The lawyers of stockmarketloss.com, a practice group of Cleveland, OH law firm Hermann, Cahn & Schneider LLC, are receiving a growing number of inquiries from victims of variable…
  • Jul 24

    Why Do Variable Life Insurance Policies Fail?

    Why Do Variable Life Insurance Policies Fail?
    This article was originally posted on Stock Market Loss Purchasers of Variable Life and Variable Universal Life Insurance Policies often don’t understand that the values of the sub-account investments determine the sustainability of the…
Rank this Week: 3312

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
  • Sep 26

    Artificial Inflation in Question for an ETF at Bill Gross’s Firm

    Artificial Inflation in Question for an ETF at Bill Gross’s Firm
    Pacific Investment Management Company is under SEC investigation for possibly artificially boosting the returns of a popular fund aimed at small investors. The heady performance of the ETF raised questions among some of Pimco’s clients…
  • 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…
Rank this Week: 571

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/
  • Sep 25

    When Brokers Should Call a FINRA Defense Attorney

    When Brokers Should Call a FINRA Defense Attorney
    According to the results of a recent Gallup poll, stockbrokers rank along with members of Congress, car salesmen, and marketing executives as the least-trusted professionals in America.…
  • Sep 24

    The Arbitration Process, Start to Finish

    The Arbitration Process, Start to Finish
    Because nearly all brokerage customer agreements contain an arbitration clause, it is often the only option open to aggrieved investors. But what actually occurs in these proceedings…
  • Aug 25

    Why Mediation May Be the Best Option in Securities Industry Dispute

    Why Mediation May Be the Best Option in Securities Industry Dispute
    When an investor suffers losses because of the miscounduct or mistakes of his or her stock broker, they can attempt to recover money through arbitration. More expeditious…
Rank this Week: 4728

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: 2561