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Securities Lawyer 101

Securities Lawyer 101

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

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

    Corporate Hijackings 101 l Securities Lawyer 101 Blog

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

    Going Public Blog l Securities Lawyer 101

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

    Going Public Blog l Securities Lawyer 101

    Going Public Blog l Securities Lawyer 101
    Going Public Lawyer  Securities Lawyer 101 Blog Going public is a big step for any company.  The process of “going public” is complex and at times precarious.  While going public offers many benefits it also comes…
Rank this Week: 545

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Jul 29

    New Hampshire Adopts Uniform Securities Act

    New Hampshire Adopts Uniform Securities Act
    By Jay Fishman, J.D.New Hampshire’s Governor, Maggie Hassan, signed Senate Bill 266, comprising a new uniform securities act. The bill was spurred by the Governor’s Live Free and Start Initiative and has had bipartisan legislative…
  • Jul 28

    Latest Turn in Duka Administrative Proceeding: New Presiding Judge

    Latest Turn in Duka Administrative Proceeding: New Presiding Judge
    By Jacquelyn LumbAdministrative law judge (ALJ) James E. Grimes has been named to replace Cameron Elliott as the presiding judge in the SEC’s proceeding against Barbara Duka, a former managing director at Standard & Poor’s…
  • Jul 27

    Appeals Court Hits ‘Like’ on Dismissal of Facebook IPO Suit

    Appeals Court Hits ‘Like’ on Dismissal of Facebook IPO Suit
    By Anne Sherry, J.D.Derivative actions alleging that Facebook directors breached their fiduciary duties in connection with the company’s IPO were properly dismissed for failure to plead contemporaneous share ownership, the Second…
Rank this Week: 140

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
Rank this Week: 556

Subject to Inquiry

Subject to Inquiry

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

http://www.subjecttoinquiry.com/
  • Jul 29

    Possible Life Sentence in Salmonella Case Raises Stakes for Food and Beverage Industry Compliance

    Possible Life Sentence in Salmonella Case Raises Stakes for Food and Beverage Industry Compliance
    Last week, federal prosecutors in Georgia filed papers supporting the local probation office’s U.S. Sentencing Guidelines calculation calling for a sentence of life in prison for Stewart Parnell, the one-time CEO of Peanut Corporation…
  • Jul 29

    FFIEC Assessment Helps Financial Institutions Prevent Cyber Attack

    FFIEC Assessment Helps Financial Institutions Prevent Cyber Attack
    The Federal Financial Institutions Examination Council (FFIEC) recently issued an assessment tool meant to assist financial institutions in the detection of cybersecurity vulnerabilities and the prevention of cyber attacks. The FFIEC is an…
  • Jul 28

    White House Hostage Policy Leaves Risk on Table for Third Partie

    White House Hostage Policy Leaves Risk on Table for Third Partie
    Last month, the White House announced a change in its policy toward overseas hostage-takings of U.S. citizens. The new policy, accompanied by an Executive Order, aims to effect policy changes at home and overseas, including a focus on…
Rank this Week: 4416

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • Jul 29

    A Look Ahead: SEC to Adopt CEO-Pay Ratio Rule?

    A Look Ahead: SEC to Adopt CEO-Pay Ratio Rule?
    According to Andrew Ackerman and Joann Lublin of the Wall Street Journal, the Securities and Exchange Commission is “poised to complete a rule requiring companies to disclose the pay gap between chief executives and…
  • Jul 23

    How can a phone call save your career

    How can a phone call save your career
    A 17-year veteran advisor recently agreed to a lifetime ban for falsifying the signatures of a client on 10 documents transferring money out of the client’s accounts over a period of two months. Part of this transfer also involved 17…
  • Jul 21

    Who wants to know some pre and post data breach consideration

    Who wants to know some pre and post data breach consideration
    In a recent blog by Chris Pogue (a digital forensic expert), he highlighted a handful of considerations for firms both pre and post data breach. After all, the issue is not really whether you will suffer a breach, but when and how bad will it…
Rank this Week: 1296

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Jul 29

    Broker Spotlight: Alexander Capital Broker Anthony Pace

    Broker Spotlight: Alexander Capital Broker Anthony Pace
    According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Anthony Pace (Pace) has been the subject of at least six customer complaints and one employment seperation. The customer complaint against…
  • Jul 29

    JP Turner Broker Homer Vining Suspended for Failing to Comply with an Arbitration Award

    JP Turner Broker Homer Vining Suspended for Failing to Comply with an Arbitration Award
    According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Homer Vining (Vining) has been the subject of at least one customer complaint and three regulatory actions. The customer complaint against…
  • Jul 28

    Thomas Buck Barred From the Securities Industry Over Unfair Commission Practice

    Thomas Buck Barred From the Securities Industry Over Unfair Commission Practice
    Our firm has been tracking the developments related to Thomas Buck’s termination from Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch), now known as Bank of America, NA (Bank of America) under highly unusual…
Rank this Week: 2425

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/
  • Jul 29

    SEC News - Whistleblower Award, Insider Trading, Microcap Market Manipulation

    SEC News - Whistleblower Award, Insider Trading, Microcap Market Manipulation
    Three Penny Stock Promoters Behind Pump-and-Dump SchemesThree alleged microcap stock scammers have been charged with defrauding investors by disseminating promotional e-mails exhorting readers to immediately buy purportedly hot stocks so they…
  • Jul 27

    SEC News - Ponzi Schemes, Rule Violations, Fraudulent Fund

    SEC News - Ponzi Schemes, Rule Violations, Fraudulent Fund
    Oil Company and CEO Charged in Scheme Targeting Chinese-Americans and EB-5 InvestorsA Bay Area oil and gas company and its CEO have been charged with running a $68 million Ponzi-like scheme and affinity fraud that targeted the…
  • Jul 11

    Making Decisions on Elder Housing May Take a Team Effort http://ift.tt/1HpQHvr

    Making Decisions on Elder Housing May Take a Team Effort http://ift.tt/1HpQHvr
    Making Decisions on Elder Housing May Take a Team EffortMaking Decisions on Elder Housing May Take a Team Effort Choosing living arrangements for an older person can take a lawyer, financial planner and physician — and perhaps a…
Rank this Week: 509

Financial Counsel

Financial Counsel

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

http://financialcounselblog.com
  • Jul 29

    Cabot Investment Properties Under Investigation

    Cabot Investment Properties Under Investigation
    From the Desk of Jim Eccleston at Eccleston Law LLC:Timothy J. Kroll and business partner Carlton P. Cabot were arrested for allegedly defrauding investors in various Cabot Investment Properties LLC-sponsored real estate investments.The men…
  • Jul 28

    SEC Announces Cherry-Picking Charges Against Mark Welhouse

    SEC Announces Cherry-Picking Charges Against Mark Welhouse
    From the Desk of Jim Eccleston at Eccleston Law LLC:The SEC announced charges against Mark P. Welhouse. Welhouse is accused of “cherry-picking,” allocating appreciated in value options trades to personal accounts, while allocating…
  • Jul 24

    FINRA Fines Morgan Stanley And Scottrade For Failing to Detect Fraudulent Wire Transfer

    FINRA Fines Morgan Stanley And Scottrade For Failing to Detect Fraudulent Wire Transfer
    From the Desk of Jim Eccleston at Eccleston Law LLC:Morgan Stanley and Scottrade Inc. agreed to pay $950,000 to FINRA after the regulatory authority deemed that the two firms failed to monitor wire transfers of customer funds to third-party…
Rank this Week: 149

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/
  • Jul 29

    Reverse Mortgages: What You Need to Know

    Reverse Mortgages: What You Need to Know
    The TV is full of upbeat ads pitching reverse mortgages as an easy, cost–free way to generate income.  What many ads don’t say, is that reverse mortgages come with risk, including the risk of foreclosure. A reverse mortgage…
  • May 28

    FIFA Officials Indicted for Racketeering and Fraud

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

    SEC Sues Retirement Planners who Sold Life Settlement

    SEC Sues Retirement Planners who Sold Life Settlement
    According to the Securities and Exchange Commission (“SEC”), it has filed suit against a Texas retirement planning firm and its principals in connection with their practices in the sales of life settlement investments.  The…
Rank this Week: 811

Business Blog

Business Blog

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

http://www.businesslawnews.com/
  • Jul 29

    DOL Warns “Most” Independent Contractors Are Misclassified Worker

    DOL Warns “Most” Independent Contractors Are Misclassified Worker
    On July 15, 2015, the Department of Labor (DOL) published guidance on the increasing number of misclassified workers. The agency’s broad interpretation of “employee” under the Fair Labor Standards Act (FLSA) suggests that…
  • Jul 28

    New York Cracking Down on Payroll Debit Card

    New York Cracking Down on Payroll Debit Card
    The New York State Department of Labor (NYSDOL) recently proposed regulations that would restrict an employer’s use of payroll debit cards for the payment of wages. The proposed employment regulations would impact approximately 13,000…
  • Jul 27

    Crowdfunding Crash Course for Small Business Owner

    Crowdfunding Crash Course for Small Business Owner
    Crowdfunding Crash Course for Small Business Owners Many small business owners and entrepreneurs are still finding that it is difficult to secure funding for their businesses or ventures. Yet, very few ever explore crowdfunding. According to…
Rank this Week: 797

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/
  • Jul 29

    Rural/Metro: Appellees’ Answering Brief & Cross-Appellant’s Opening Brief

    Rural/Metro: Appellees’ Answering Brief & Cross-Appellant’s Opening Brief
    We have posted the Appellees’ Answering Brief & Cross-Appellant’s Opening Brief in the Rural/Metro appeal (here’s a prior blog with other documents)…
  • Jul 22

    July-August Issue: Deal Lawyers Print Newsletter

    July-August Issue: Deal Lawyers Print Newsletter
    This July-August issue of the Deal Lawyers print newsletter was posted a few weeks ago – & also sent to the printers – and includes articles on: – Reflections on the DuPont Proxy Contest: What Happens Next? –…
  • Jul 21

    Why ISS Couldn’t Win It for Peltz

    Why ISS Couldn’t Win It for Peltz
    Here’s an interesting piece (pg. 6) from “Proxy Insight” about the DuPont battle – and how much influence proxy advisors really have…
Rank this Week: 580

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Jul 29

    Proxy Disclosure Awards: The Winners!

    Proxy Disclosure Awards: The Winners!
    We have the winners in the 12 categories for our “Proxy Disclosure Awards”! Congrats to them & all the nominees! As promised, the voting was transparent as here are the results of the final tallies. Thanks to the 500+ of you…
  • Jul 28

    Once a Crowdfunder, Always a CrowdFunder

    Once a Crowdfunder, Always a CrowdFunder
    A lot of ink has been spilled about crowdfunding in the press, such as this Huffington Post piece that gives a plain vanilla take on crowdfunding (and here’s another piece). In addition, there are some misunderstandings in the press…
  • Jul 27

    Transcript: “Clawbacks – What Now After the SEC’s Proposal”

    Transcript: “Clawbacks – What Now After the SEC’s Proposal”
    We have posted the transcript for our popular CompensationStandards.com webcast: “Clawbacks – What Now After the SEC’s Proposal.” Proxy Access: Comments on the SEC’s Review of (i)(9) Given the high level of…
Rank this Week: 290

California Corporate & Securities…

California Corporate & Securities Law

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

http://calcorporatelaw.com/
  • Jul 29

    California Crowdfunding Bill In Suspense

    California Crowdfunding Bill In Suspense
    Yesterday, Broc Romanek published several posts regarding crowdfunding.  Meanwhile here in California, crowd funding has stalled in the legislature.  AB 722 (Perea) passed unanimously out the Assembly Committee on Judiciary…
  • Jul 28

    CalPERS Claims Success; Proxy Monitor Says CalPERS Success Leads To Lower Stock Price

    CalPERS Claims Success; Proxy Monitor Says CalPERS Success Leads To Lower Stock Price
    “Fair is Foul, and Foul is Fair” In this press release issued last week, CalPERS congratulated itself on the “success” of its proxy voting initiatives: The California Public Employees’ Retirement System…
  • Jul 27

    Court Declines To Declare “S” Corporation Shareholders’ Agreement Unenforceable

    Court Declines To Declare “S” Corporation Shareholders’ Agreement Unenforceable
    In general, shareholders of a corporation that has elected to be taxed under Subchapter S of the Internal Revenue Code are taxed on corporate profits regardless of whether the corporation makes any distribution of those profits to its…
Rank this Week: 384

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • Jul 28

    Meanwhile, Back at the FDIC Failed Bank Litigation Ranch

    Meanwhile, Back at the FDIC Failed Bank Litigation Ranch
    As the global financial crisis has receded further into the past and as other issues have crowded to the top of the agenda, the remaining vestiges from the credit crisis have faded into the background. But though the peak of the crisis is now…
  • Jul 27

    Guest Post: Cyber & Privacy Policy Exclusions: Analyzing Differences, Negotiating Modification

    Guest Post: Cyber & Privacy Policy Exclusions: Analyzing Differences, Negotiating Modification
    The exclusions are an important part of any liability insurance policy, but this is particularly true of cyber liability insurance polices. In the following guest post, Robert Bregman, CPCU, MLIS, RPLU, Senior Research Analyst, International…
  • Jul 26

    Guest Post: Five Tips for Success in Cyber Insurance Litigation

    Guest Post: Five Tips for Success in Cyber Insurance Litigation
    Cyber liability insurance is a relatively new product and case law interpreting the policies is only now just developing. However, even at this relatively early stage, there have been some important coverage decisions, and more are coming, as…
Rank this Week: 142

The White Law Group's Securities…

The White Law Group's Securities Fraud Blog

Covers securities fraud cases, investment fraud practices and securities industry regulations.

http://www.whitesecuritieslaw.com/securities-fraud/blog/
  • Jul 28

    Investigation into Oak Park Office Center

    Investigation into Oak Park Office Center
    Have you suffered investment losses in a Oak Park Office Center tenant-in-common (TIC)? If so, The White Law Group may be able to help you recover your losses through a FINRA arbitration claim against the brokerage firm that recommended the…
  • Jul 28

    Recovery of 1600 Barberry Lane Investment Losse

    Recovery of 1600 Barberry Lane Investment Losse
    Have you suffered investment losses in a 1600 Barberry Lane – TIC investment? If so, The White Law Group may be able to help you recover your losses through FINRA arbitration. The White Law Group is investigating potential securities…
  • Jul 28

    Recovery of Gulf Coast Rig & Equipment Investment losse

    Recovery of Gulf Coast Rig & Equipment Investment losse
    Have you suffered investment losses in  LLC? The White Law Group may be able to help. The White Law Group is investigating potential securities fraud claims on behalf of investors involving various broker-dealers’ recommendation…
Rank this Week: 371

Stock Market Loss

Stock Market Loss

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

http://www.stockmarketloss.com/news/
  • Jul 28

    FINRA Permanently Bars Former Merrill Lynch Heavyweight Thomas Buck

    FINRA Permanently Bars Former Merrill Lynch Heavyweight Thomas Buck
    This article was originally posted on Stock Market Loss On April 3, 2015, we mentioned that Thomas J. Buck, who was Merrill Lynch’s top financial adviser in Indiana by assets under management –reportedly $1.3 billion – had…
  • May 26

    Investors Receive Biased Advice From Stockbrokers New Study Confirm

    Investors Receive Biased Advice From Stockbrokers New Study Confirm
    This article was originally posted on Stock Market Loss In our May 18th post, we discussed stockbrokers (sales persons who purportedly dispense advice only in conjunction with selling investment products) and investment advisors (who give…
  • May 19

    Non-Traded REITs are Unsuitable for Retail Investor

    Non-Traded REITs are Unsuitable for Retail Investor
    This article was originally posted on Stock Market Loss We continue to see lots of activity involving unsuitable sales of non-traded Real Estate Investment Trusts (“non-traded REITs”). If you’re a retail customer who was…
Rank this Week: 3283

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/
  • Jul 28

    SEC Awards Third Highest Whistleblower Award to Date

    SEC Awards Third Highest Whistleblower Award to Date
    On July 17, 2015, the SEC announced a whistleblower award of over $3 million to a company insider who provided information that “helped the SEC crack a complex fraud.”  This payout represents the third highest award under the…
  • Jul 22

    Don’t touch that remote (tippee)? Salman reflects Ninth Circuit’s view on Newman

    Don’t touch that remote (tippee)? Salman reflects Ninth Circuit’s view on Newman
    In United States v. Salman, the Ninth Circuit recently held that a remote tippee could be liable for insider trading in the absence of any “personal benefit” to the insider/tipper where the insider had a close personal…
  • Jul 14

    You Can’t Cover Up Fraud with TARP Funds: US Government Sues Bank President’s Estate

    You Can’t Cover Up Fraud with TARP Funds: US Government Sues Bank President’s Estate
    On July 1, 2015, the United States for the District of Columbia sued the estate and trusts of the late Layton P. Stuart – the former owner of One Financial Corporation and its subsidiary One Bank & Trust– and the Read More
Rank this Week: 329

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Jul 27

    $2 mil. complaint pending against Morgan Stanley broker Craig Patrick Cunningham

    $2 mil. complaint pending against Morgan Stanley broker Craig Patrick Cunningham
    A $2.8 million dollar customer complaint is currently pending arbitration against Morgan Stanley broker Craig Patrick Cunningham of Orland Park, Illinois. The post $2 mil. complaint pending against Morgan Stanley broker Craig Patrick…
  • Jul 27

    Roric Eugene Griffith: REIT Complaint

    Roric Eugene Griffith: REIT Complaint
    The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Milwaukee-based Princor broker/adviser Roric Eugene Griffith. Roric Eugene Griffith has spent seventeen years in…
  • Jul 27

    ETF Complaint: Robert James Batchen (Uhlmann Price)

    ETF Complaint: Robert James Batchen (Uhlmann Price)
    The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Illinois-based Uhlmann Price broker/adviser Robert James Batchen. Robert James Batchen has spent twenty-four…
Rank this Week: 2392

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: 482

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: 4643

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/
  • Jul 27

    Civil Lesson From Criminal Trial

    Civil Lesson From Criminal Trial
    Civil lawyers can learn something from criminal trials. Here is a 20-minute talk . . .   . . . and, if you are ambitious, here is the slide deck: Civil Lessons from Criminal Trial
  • Jul 17

    New! Improved! Resources on White-Collar Crime and Cocktail

    New! Improved! Resources on White-Collar Crime and Cocktail
    We’ve recently expanded our blogs, links and sources page.  Good resources for white-collar crime, cocktails, crime fiction and theology.  Sometimes all at once. Have at it.  
  • Jun 24

    Flipboard Spotlight | White Collar | Nice Tie.

    Flipboard Spotlight | White Collar | Nice Tie.
    You may use Flipboard as a nifty way to organize news and media in which you have an interest.  (If you don’t use Flipboard, try it). For mysterious reasons, Flipboard decided to do a “spotlight” on me as a…
Rank this Week: 4559

New York Securities Lawyer Blog

New York Securities Lawyer Blog

Covers securities law. By Lax & Neville LLP.

http://www.newyorksecuritieslawyerblog.com/
Rank this Week: 4771

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/
  • Jul 24

    SEC Awards Over $3M to Whistleblower

    SEC Awards Over $3M to Whistleblower
    In the third highest award that the Securities and Exchange Commission has issued under its whistleblower program, the regulator is giving one individual $3 million for providing information that helped expose a complex fraud. The tip…
  • Jul 23

    U.S. Chamber of Commerce Wants the SEC to Reform Its In-house Trial

    U.S. Chamber of Commerce Wants the SEC to Reform Its In-house Trial
    The US Chamber of Commerce is calling on the U.S. Securities and Exchange Commission make reforms to the way it conducts in-house trials. The Chamber wants the regulator to put into place a uniform policy of when such trials should take…
  • Jul 22

    Wells Fargo Must Pay Woman Over $8M For Alleged Fraud Involving Childhood Trust

    Wells Fargo Must Pay Woman Over $8M For Alleged Fraud Involving Childhood Trust
    Wells Fargo Bank (WFC) must pay a Dallas woman over $8 million. Texas State Judge Emily Tobolowsky said that the bank defrauded Angela Militello in its role as trustee for a trust that family members set up for her when she became an orphan…
Rank this Week: 1104

New York Securities Lawyers Blog

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

http://www.newyorksecuritieslawyersblog.com/
Rank this Week: 2520

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/
  • Jul 24

    SEC Probes Whether Mutual Fund Managers Are Charging Investors Undisclosed Fee

    SEC Probes Whether Mutual Fund Managers Are Charging Investors Undisclosed Fee
    The Securities and Exchange Commission is looking into whether Franklin Templeton, Oppenheimer Funds (OPY), J.P. Morgan Chase & Co. (JPM), and other mutual fund managers are charging investors for fund fees that have not been fully…
  • Jul 23

    Puerto Rico Owes $5.4B of Bond Payment

    Puerto Rico Owes $5.4B of Bond Payment
    Puerto Rico owes investors $5.4 billion of bond payments in the next 12 months. A lot of this debt is for COFINA, which is sales tax debt, and securities that were sold by the Government Development Bank. As a result of the upcoming…
  • Jul 21

    Royal Alliance Must Pay $1.4M To Retirees for Nontraded REIT, Variable Annuities Sale

    Royal Alliance Must Pay $1.4M To Retirees for Nontraded REIT, Variable Annuities Sale
    A Financial Industry Regulatory Authority Inc. panel says that AIG Advisor Group (AIG) subsidiary Royal Alliance Associates Inc. must pay $1.4 million to three retirees who claim that the brokerage firm was negligent when supervising the…
Rank this Week: 151

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

http://www.seclawyersblog.com/
  • Jul 24

    Sonn|Erez Investigating Claims Involving James Madden

    Sonn|Erez Investigating Claims Involving James Madden
    Sonn|Erez is investigating claims regarding James Michael Madden (CRD #1086380, Indianapolis, Indiana). Madden recently submitted a Letter of Acceptance, Waiver and Consent ("AWC") in which he was fined $5,000 and suspended from association…
  • Jul 22

    Sonn|Erez Investigating Claims Involving Former Wells Fargo Broker Randall Girton

    Sonn|Erez Investigating Claims Involving Former Wells Fargo Broker Randall Girton
    Sonn|Erez is investigating claims regarding Randall Layne Girton (CRD #5807758, Orland Park, Illinois). Girton recently submitted a Letter of Acceptance, Waiver and Consent ("AWC") in which he was assessed a deferred fine of $12,500, which…
  • Jul 20

    Sonn|Erez Investigating Claims Involving City Securities Broker Leonard Tanner

    Sonn|Erez Investigating Claims Involving City Securities Broker Leonard Tanner
    Sonn|Erez is investigating claims regarding Leonard Eugene Tanner (CRD #442470, Indianapolis, Indiana). Tanner recently submitted a Letter of Acceptance, Waiver and Consent ("AWC") in which he was fined $15,000 and suspended from association…
Rank this Week: 1115

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/
  • Jul 24

    SEC proposed rules for compensation clawback policie

    SEC proposed rules for compensation clawback policie
    The SEC has proposed rules that require the securities exchanges to adopt rules that in turn require listed companies to adopt, disclose and comply with a clawback policy for executive compensation based on erroneous financial statements. The…
  • Jun 29

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

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

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

    World’s top banks plead guilty to gaming foreign-currency market
    Scandal roiled the banking industry Wednesday as four of the world’s largest banks — Citigroup, JPMorgan Chase, Barclays and Royal Bank of Scotland — pleaded guilty to federal antitrust violations for conspiring to…
Rank this Week: 1011

Cady Bar the Door

Cady Bar the Door

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

http://www.secmiscellany.com
Rank this Week: 2461

Corporate Securities Law Blog

Corporate Securities Law Blog

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

http://www.corporatesecuritieslawblog.com/
Rank this Week: 466

Business Law Post

Business Law Post

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

http://www.businesslawpost.com
Rank this Week: 2162

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/
Rank this Week: 510

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
  • Jul 20

    Morgan Stanley Sex Discrimination Arbitration Ends In Federal Court

    Morgan Stanley Sex Discrimination Arbitration Ends In Federal Court
    Take a deep breath. Okay . . . ready? . . . now, start reading this sentence: First there was a dispute between a brokerage firm and an employee that was settled pursuant to a Settlement Agreement, which itself was subsequently…
  • Jul 20

    EMPLOYMENT TUESDAY at BrokeAndBroker.com

    EMPLOYMENT TUESDAY at BrokeAndBroker.com
    Stockbroker, Compliance, Legal, and Regulatory Jobssearchable by title, skills, job, city, state, zip, and companyThe BrokeAndBroker.com Employment Page@brokeandbroker...
  • Jul 20

    Stockbroker Discharged, Suspended, and Fined Over $100,000 Customer Loan

    Stockbroker Discharged, Suspended, and Fined Over $100,000 Customer Loan
    Here's a short BrokeAndBroker.com Blog about a stockbroker who was juggling a brokerage business, an insurance business, and the obligation to repay a customer for a six-figure loan. Sometimes ya just can't keep all the balls in the…
Rank this Week: 1442

Footnoted

Footnoted

Reports on actionable information in SEC filings.

http://www.footnoted.com/
Rank this Week: 4428

Recover Investment Losses Blog

Recover Investment Losses Blog

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

http://blog.rexsecuritieslaw.com
Rank this Week: 4031

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/
  • Jul 14

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: Carlos Gomez-Jara Diez, Honest Services Fraud as a Criminal Breach of Fiduciary Duties: A Comparative Law Approach for Reform, 18 New Crim.…
  • Jul 10

    This Week in Securities Litigation

    This Week in Securities Litigation
    The SEC Actions Blog has compiled This Week In Securities Litigation (Two weeks ending July 10, 2015).
  • Jul 10

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: Kabir Ahmed & Dezso Farkas, A Proposal to Encourage Up-the-Ladder Reporting by Insulating In-House Corporate Attorneys from Managerial…
Rank this Week: 99

White Collar Alert

White Collar Alert

Provides news and insight to counsel and legal observers concerning white collar criminal defense, internal investigations, government litigation and regulatory compliance. By Montgomery McCracken.

http://whitecollarblog.mmwr.com
Rank this Week: 4462

The Securities Edge

The Securities Edge

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

http://www.thesecuritiesedge.com/
  • Jul 10

    Why I hate “best practices”

    Why I hate “best practices”
    Posted By: Robert B. Lamm Governance wonks can rest easy. In fact, we can all go home and think about another career. The reason? CalSTRS – California State Teachers’ Retirement System – has issued a “fact sheet”…
  • Jul 5

     Summer doldrums in DC? Not so much!

     Summer doldrums in DC? Not so much!
    Posted By: Robert B. Lamm For those who think nothing ever gets done in Washington, last week must have been a challenge. From outward appearances, both the SEC and the PCAOB seem to be working overtime, possibly in order to ruin our holiday…
  • Jul 3

    A dispatch from the front lines (with SEC Chair White telling us to wave the white flag)…

    A dispatch from the front lines (with SEC Chair White telling us to wave the white flag)…
    Posted By: Robert B. Lamm Last week I attended the National Conference of the Society of Corporate Secretaries and Governance Professionals in Chicago. It was a great conference – wonderful, substantive programs and a chance to catch up…
Rank this Week: 3245

Securities Mining Law

Securities Mining Law

Covers securities law affecting the mining industry in Canada.

http://www.securitiesmininglaw.com/
Rank this Week: 2860

Tim O'Connor's Blog

Tim O'Connor's Blog

Covers stockbroker fraud.

http://stockbrokerlaw.com/tim-oconnors-blog
Rank this Week: 3098

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • Jul 8

    Feds Take Aim at Investment Adviser

    Feds Take Aim at Investment Adviser
    The SEC and DOJ brought a slew of cases against IAR's and RIA's in the first half of 2015. At least six cases were filed just last month alone. Here is a brief summary of a sampling of those cases. On January 21, 2015, the SEC filed fraud…
  • Jul 1

    Wells Fargo Takes One on the Chin

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

    The Arbitration System

    The Arbitration System
    The premise that underlies the justification for the loss of rights in arbitration is simple:  both parties knowingly agreed to binding arbitration.  This presumption is based upon the presumptions that 1) signators read contracts…
Rank this Week: 1287

Andrew Abramowitz, PLLC

Andrew Abramowitz, PLLC

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

http://aalegalnyc.com/blog/
  • Jul 8

    Interesting Legal Reads of the Week

    Interesting Legal Reads of the Week
    Some interesting legal reads for the week of July 6, 2015: The New York Times on the pitfalls of having too many angel investors. The SEC proposed new rules on “clawbacks” of executive compensation following the issuance of…
  • Jun 17

    Interesting Legal Reads of the Week

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

    The Distinction Between Entity Name and Trademark

    The Distinction Between Entity Name and Trademark
    When I assist clients in setting up entities, one of the threshold matters, of course, is the selection of a name for the entity.  Once that is settled, and the entity is set up, many clients assume the job is complete as far as…
Rank this Week: 4562

Investment Fraud Attorney Blog

Investment Fraud Attorney Blog

Covers securities law. By Pratt Davis.

http://www.investmentfraudattorneyblog.com/
Rank this Week: 5012

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Jul 6

    How Strong is “Very Strong”?

    How Strong is “Very Strong”?
    The U.S. Court of Appeals for the District of Columbia only hears a small number of securities cases, which means that it is often playing catch-up on the relevant legal standards.  In In re Harman Int’l Industries, Inc. Sec.…
  • Jun 19

    Big Verdicts and Big Appeal

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

    Adverse Interest

    Adverse Interest
    Is it possible for a securities class action based on alleged misrepresentations in a company’s public filings to proceed against an individual officer, but not the company (presuming the company is not otherwise immune from…
Rank this Week: 917

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

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

    Hedge Fund Events July 2015

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

    Hedge Fund Events June 2015

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

    Cole-Frieman & Mallon LLP 2015 First Quarter Update

    Cole-Frieman & Mallon LLP 2015 First Quarter Update
     www.colefrieman.com May 13, 2015 Clients and Friends: The first quarter of 2015 was a busy period for investment managers and service providers alike and we find ourselves sending out this update very late.  As a variety of filing…
Rank this Week: 813

Strictly Business

Strictly Business

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

http://www.strictlybusinesslawblog.com/
  • Jun 30

    Frequently Asked Questions about Regulation A+

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

    Should Founders Subject Themselves to a Vesting Schedule?

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

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

    Venture Capital Term Sheet Negotiation — Part 21: No-Shop and Confidentiality Provision
    This post is the twenty-first and final in a series giving practical advice to startups with respect to understanding and negotiating a venture capital term sheet. In the prior twenty posts, we provided an introduction to…
Rank this Week: 1995