Most Popular Securities Law Blawgs Expanded View List View

Blogs 1 - 45 of 82
Sort by Popularity | Sort by Name | Sorted by Last Post Date

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…
  • Feb 26

    George Theodule Sentenced to 150 Month

    George Theodule Sentenced to 150 Month
    On February 26, 2014, the FBI announced George Louis Theodule, 52, a former resident of Wellington, Florida was sentenced to 150 months in prison, to be followed by three years of supervised release. Theodule previously pled guilty to wire…
  • Feb 26

    SEC Charges Arizona-Based Equity Fund l Securities Lawyer 101

    SEC Charges Arizona-Based Equity Fund l Securities Lawyer 101
    Securities Lawyer 101 Blog On February 26, 2014, the Securities and Exchange Commission (the “SEC”) announced charges against an Arizona-based private equity fund manager and his investment advisory firm for…
Rank this Week: 2630

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…
  • Jul 30

    JPMorgan Expands Disclosures for Private-Banking Client

    JPMorgan Expands Disclosures for Private-Banking Client
    According to The Wall Street Journal, J.P. Morgan Chase (JPM) is now articulating more clearly the difference between outside products and its own offerings to private-banking clients, as well as letting them know how much of their monies…
  • Jul 29

    Lloyds Banking Group to Pay $370M Fine Over Libor Manipulation

    Lloyds Banking Group to Pay $370M Fine Over Libor Manipulation
    The Commodity Futures Trading Commission, the U.S. Department of Justice, and U.K.’s Financial Conduct Authority are ordering Lloyds Banking Group PLC (LLOY) to pay $370 million in fines for trying to rig benchmark interest rates,…
Rank this Week: 1196

Stock Attorneys Blog

Stock Attorneys Blog

Covers FINRA arbitration, securities litigation, and stockbroker misconduct. By Blum Law Group.

http://www.stockattorneysblog.com/
  • Jul 30

    Florida Transfer Agent Charged by SEC with Defrauding Investor

    Florida Transfer Agent Charged by SEC with Defrauding Investor
    Criminal Charges Also Filed Although being an investment broker usually requires a strong sales technique, various regulatory agencies and stringent laws are in place to ensure fairness within the market. When an advisor goes awry and…
  • Jul 25

    Goldman Sachs Group, Inc. to Face Judge in September

    Goldman Sachs Group, Inc. to Face Judge in September
    Major Influence in Mortgage-Backed Securities Failures In 2007-2008, the United States experienced what was unquestionably the most devastating housing crisis in its history. Regrettably, this housing market crash wrought financial…
  • Jul 15

    Oppenheimer Advisor Targets Elderly Widow

    Oppenheimer Advisor Targets Elderly Widow
    With trillions of dollars being manipulated by investment advisors and brokerage firms on a daily or even hourly basis, the magnitude of the influence of financial markets on world economies is nearly incomprehensible. Every developed country…
Rank this Week: 2710

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 30

    Delaware vs Florida: Where should you incorporate?

    Delaware vs Florida: Where should you incorporate?
    Posted By: Gustav L. Schmidt There is an attraction for companies to incorporate in Delaware, likely due to the abundance of well-known publicly traded corporations that have chosen to incorporate there. However, it is not necessarily true…
  • Jul 22

    Accredited investors – potential changes and some helpful guidance

    Accredited investors – potential changes and some helpful guidance
    Posted By: Robert C. White Jr.   Potential changes. Accredited investors have long been critical participants in private financing transactions, and the success of most private financings is largely determined by the participation of…
  • Jun 26

    Congress to the rescue?: Congressman hints at legislation to reign in proxy advisory firm

    Congress to the rescue?: Congressman hints at legislation to reign in proxy advisory firm
    Posted By: David C. Scileppi Who says Congress isn’t popular?  Well, Congress may become much more popular with public company executives if Congressman Patrick McHenry (R-NC) can make good on his recent promise to challenge the…
Rank this Week: 3262

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 30

    SEC Charges Florida-Based Transfer Agent and Owner with Defrauding Investor

    SEC Charges Florida-Based Transfer Agent and Owner with Defrauding Investor
    The SEC announced it has charged a Florida-based transfer agent and its owner with defrauding investors by using aggressive boiler room tactics to peddle worthless securities with promises of high returns or discounted prices. Transfer…
  • Jul 30

    SEC Announces Additional Charges in Football-Related Boiler Room Scheme

    SEC Announces Additional Charges in Football-Related Boiler Room Scheme
    The SEC announced a second round of charges against individuals behind a boiler room scheme that hyped a company whose new technology was purportedly Super Bowl-bound.The SEC previously charged the operators of the scheme based in…
  • Jul 29

    SEC Adopts Money Market Fund Reform Rule

    SEC Adopts Money Market Fund Reform Rule
    The SEC adopted amendments to the rules that govern money market mutual funds.  The amendments make structural and operational reforms to address risks of investor runs in money market funds, while preserving the benefits of the…
Rank this Week: 499

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/
  • Jul 30

    FINRA Targeted Exams on Order Routing and Execution Quality

    FINRA Targeted Exams on Order Routing and Execution Quality
    FINRA's Market Regulation Department is conducting a targeted examination of broker-dealers relating to "order routing and execution quality of customer orders in exchange listed stocks" Their sample information and document request…
  • Jul 28

    Sanctions in FINRA Enforcement Matters: Bars and Suspension

    Sanctions in FINRA Enforcement Matters: Bars and Suspension
    Without question, whenever a broker is facing a regulatory enforcement action that could lead to a bar or suspension, they have a lot of questions. What is a bar? What is a suspension? How does it work, and what does...
  • Jul 24

    Sanctions in FINRA Enforcement Matters: An Overview

    Sanctions in FINRA Enforcement Matters: An Overview
    A question I get from time to time from clients and others is along the lines of, "What exactly can happen to me if FINRA thinks I did something wrong?" The follow-up questions concern the different types of sanctions that...
Rank this Week: 1134

Securities Law Blog

Securities Law Blog

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

http://www.securitieslaw-blog.com/
  • Jul 30

    FINRA Charges NY Broker-Dealer With Churning

    FINRA Charges NY Broker-Dealer With Churning
    On Monday, FINRA charged a New York broker-dealer, as well as a number of current and past registered representatives, with churning customer accounts and other illicit actions the resulted in significant losses to retirees and other…
  • Jul 29

    UBS Ordered To Post €1.1B Bail Amidst Money Laundering Investigation

    UBS Ordered To Post €1.1B Bail Amidst Money Laundering Investigation
    UBS AG is being formally investigated for money laundering by French officials, who ordered the bank to post €1.1 billion ($1.49 billion) bail amidst a growing investigation into claims that it assisted high-profile clients evade French…
  • Jul 25

    Staten Island Broker To Pay $1.3M For Scam

    Staten Island Broker To Pay $1.3M For Scam
    Wayne Burmaster, a broker from Staten Island, New York, will pay $1.3 million in disgorgement to the SEC for selling unregistered penny stock. Burmaster, together with his partner Edward Hayter, sold unregistered shares to investors. Further,…
Rank this Week: 3974

InvestorLawyers.net

InvestorLawyers.net

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

http://www.investorlawyers.net/blog/
  • Jul 30

    New York Brokerage Firm Newport Coast Securities, Representatives Charged with $1 Million Churning Violation

    New York Brokerage Firm Newport Coast Securities, Representatives Charged with $1 Million Churning Violation
    FINRA has filed charges against five stockbrokers formerly employed by Newport Coast Securities Inc., as well as the firm itself and two supervisors, alleging that the firm excessively traded customer accounts for the purpose of generating…
  • Jun 23

    Investor Files FINRA Arbitration Claim Against First Allied Regarding Private Equitie

    Investor Files FINRA Arbitration Claim Against First Allied Regarding Private Equitie
    Stockbroker arbitration lawyers are looking into accusations made against First Allied Securities, Inc. and broker Rami Yahalom regarding risky investments in AE Luxtera Investments II, LLC, a private technology start-up company. According to…
  • Jun 18

    FINRA Bars Wade James Lawrence from Financial Industry

    FINRA Bars Wade James Lawrence from Financial Industry
    Recently, Wade James Lawrence was barred from the financial industry by the Financial Industry Regulatory Authority (FINRA). Investors’ rights lawyers are exploring accusations made against Lawrence regarding misappropriation of funds…
Rank this Week: 2098

Footnoted

Footnoted

Reports on actionable information in SEC filings.

http://www.footnoted.com/
  • Jul 30

    Family Dollar: There’s no penny-pinching when it comes to CEO payout

    Family Dollar: There’s no penny-pinching when it comes to CEO payout
    In a recovering economy, Dollar Tree Inc.’s decision to acquire Family Dollar Stores Inc. may have been aimed at keeping competition at bay, as other discount retailers view for the same market of penny-pinching consumers. But there…
  • Jul 17

    Irony alert: A One-Time Benefit That’s Actually Three Time

    Irony alert: A One-Time Benefit That’s Actually Three Time
    The irony that we often see in SEC filings may go largely unnoticed by most. But here at footnoted, we try to keep a close eye on that. Much of this we point out via our twitter feed (see here and here and here for a few recent examples). But…
  • Jul 16

    A downgrade to first class for ex-Ford CEO

    A downgrade to first class for ex-Ford CEO
    During his tenure at Ford Motors, Alan Mulally often flew the corporate jet. Now, as a Google director it's first-class.
Rank this Week: 4485

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • Jul 30

    Supervisory Liability For Broker-Dealer Compliance and Legal Personnel

    Supervisory Liability For Broker-Dealer Compliance and Legal Personnel
    The SEC’s Division of Trading and Markets issued guidance regarding supervisory liability that may arise under the Securities Exchange Act of 1934, concerning the role and duties of chief compliance officers and other legal and…
  • Jul 29

    SEC Enforcement Division Shifts Focus to Dormant and Emerging Issue

    SEC Enforcement Division Shifts Focus to Dormant and Emerging Issue
    The SEC’s Enforcement Division will shift resources to some dormant and some new areas of possible noncompliance. “Old reliables” will include activities surrounding investment advisers, such as the perpetration of fraud and…
  • Jul 28

    Are SEC Defense Lawyers the Problem?

    Are SEC Defense Lawyers the Problem?
    The SEC’s Enforcement Division has expressed concerns to the SEC’s General Counsel about defense lawyers possibly obstructing agency investigations – a practice that could lead to disciplinary proceedings. The Sarbanes-Oxley…
Rank this Week: 1296

Business Blog

Business Blog

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

http://www.businesslawnews.com/
  • Jul 30

    New York Passes Intern Legislation: Is New Jersey Next?

    New York Passes Intern Legislation: Is New Jersey Next?
    While interns were once considered “free” labor, they now increasingly come to the workplace with a host of legal obligations. In New York, Gov. Andrew Cuomo recently signed legislation that amends the New York Human Rights Law to…
  • Jul 29

    Succession to Family Owned Businesse

    Succession to Family Owned Businesse
    We have seen a number of instances where some of the children of business owners are involved in the running of the family business, while other children have either chosen to work elsewhere or were not given the opportunity to participate in…
  • Jul 28

    LGBT Workers Gain Rights Under Presidential Executive Order

    LGBT Workers Gain Rights Under Presidential Executive Order
    Studies show that more than 40 percent of lesbian, gay, and bisexual workers have suffered employment discrimination due to their sexual orientation. Moreover, 90 percent of transgender employees have experienced harassment, mistreatment, or…
Rank this Week: 761

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Jul 30

    Chamber Releases Disclosure Effectiveness Recommendation

    Chamber Releases Disclosure Effectiveness Recommendation
    Yesterday, the U.S, Chamber of Commerce’s Center for Capital Markets Competitiveness released a set of recommendations for the SEC as the agency considers how to make disclosure more effective.  The report contains both near-term…
  • Jul 29

    Is the JOBS Act’s IPO On-Ramp Working?

    Is the JOBS Act’s IPO On-Ramp Working?
    As we rapidly approach the August doldrums for capital markets activity, the good news is that 2014 has been a very strong year for the IPO market.  As noted in this Morrison & Foerster blog by Nilene Evans, we experienced the…
  • Jul 28

    Document-Comparison Etiquette: A Lively “Redlining” Dialogue

    Document-Comparison Etiquette: A Lively “Redlining” Dialogue
    The numerous comments after this short “Adams Drafting” blog about high-stakes redlining practices is a dialogue that only a lawyer could love. Check it out. You can tell I’ve been “banking” this particular blog…
Rank this Week: 284

The Race to the Bottom

The Race to the Bottom

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

http://www.theracetothebottom.org/
  • Jul 30

    Staff Guidance, Accredited Investors, and "Reasonable Steps": Rewriting the Safe Harbor for Income Verification

    Staff Guidance, Accredited Investors, and "Reasonable Steps": Rewriting the Safe Harbor for Income Verification
    Rule 506(c) allows issuers to market private placements through general solicitations. They must, however, take "reasonable steps" to make certain that they sell only to accredited investors. The rule provides some non-exclusive safe harbors…
  • Jul 29

    Staff Guidance, Accredited Investors, and Civil Union

    Staff Guidance, Accredited Investors, and Civil Union
    CorpFin put out some staff interpretations of the standards for accredited investors. They are dated July 3, 2014 and can be found here.   The definition of accredited investor in Rule 501 of Regulation D (17 C.F.R. 230.501) provides a…
  • Jul 28

    Market Structure Reform and the SEC (Part 2)

    Market Structure Reform and the SEC (Part 2)
    Professor Coffee, in his piece in the Columbia CLS Blue Sky Blog, High Frequency Trading Reform: The Short Term and the Longer Term, raises structural concerns with the market and asserts that the SEC has been slow to implement…
Rank this Week: 105

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
Rank this Week: 135

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 30

    I Find More Confusion On Tallying Vote

    I Find More Confusion On Tallying Vote
    I recently came across the following vote tally in Item 5.07 of Form 8-K: 73,197,209 votes for (28.9% of the voted shares) 177,776,280 votes against (70.2% of the voted shares) 2,113,797 abstentions (0.8% of the voted shares) 26,725,569…
  • Jul 29

    The Franchise Tax Board’s Doing Business Legal Ruling – Ex Nihilo, Aliquid Fit

    The Franchise Tax Board’s Doing Business Legal Ruling – Ex Nihilo, Aliquid Fit
    Today’s post will try to put the Franchise Tax Board’s recent Legal Ruling 2014-01 in perspective by imagining the following inquisition by the Franchise Tax Board: FTB: We suspect that you are doing business in…
  • Jul 28

    SB 1272 (NKA Proposition 49) – The Secretary of State’s Pretend Invitation

    SB 1272 (NKA Proposition 49) – The Secretary of State’s Pretend Invitation
    Last week, I wrote that Governor Brown had allowed SB 1272 to become law without his signature.  To say that SB 1272 became law is an hyperbole because, as Governor Brown observed, the bill “has no legal effect…
Rank this Week: 392

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
Rank this Week: 3357

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 29

    Calculating Breach of Fiduciary Duty Damage

    Calculating Breach of Fiduciary Duty Damage
    According to a variety of authorities including the SEC, the much-debated fiduciary duty for registered investment advisers and their representatives includes a subset of responsibilities[1].  Common sense would, or should tell you that…
  • Mar 28

    Defamation v. Tortious Interference

    Defamation v. Tortious Interference
    Most of us have at least a “street-level” understanding of defamation. Individuals that hear or read damaging false statements about themselves or their business typically think: “I need to find a defamation lawyer.”…
  • Mar 19

    Defamation Reputation Damage Management

    Defamation Reputation Damage Management
    In 1378, the Statute of Scandalum Magnatum granted judges and church officials in England a legal right to compensation if they had been insulted or defamed. The first Common Law defamation action on record was filed in England in 1507. …
Rank this Week: 1286

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 29

    Turk on the Convergence of Insurance, Banking, and Securities Law

    Turk on the Convergence of Insurance, Banking, and Securities Law
    Matthew C. Turk has posted The Convergence of Insurance with Banking and Securities Industries, and the Limits of Regulatory Arbitrage in Finance on SSRN with the following abtract: This Article explores recent overlooked innovations in…
  • Jul 29

    Lowell Milken Institute Law Teaching Fellowship

    Lowell Milken Institute Law Teaching Fellowship
    A reader submitted the following fellowship announcement: The Lowell Milken Institute for Business Law and Policy at UCLA School of Law is now accepting applications for the Lowell Milken Institute Law Teaching Fellowship. This fellowship is…
  • Jul 29

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: Nicholas D. Horner, Note, If You Rate It, He Will Come: Why Uncle Sam's Recent Intervention with the Credit Rating Agencies Was Inevitable…
Rank this Week: 94

Chicago Securities Lawyer Blog

Chicago Securities Lawyer Blog

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

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

    Steven Stahler Under FINRA Investigation

    Steven Stahler Under FINRA Investigation
    On March 25, 2014 the Financial Industry Regulatory Authority ("FINRA"), through a Wells Notice, made a preliminary determination to recommend that disciplinary action be brought against Steven Stahler for potential violations of NASD Rule…
  • Jul 16

    Regulators Concerned About High Frequency Trading and Timestamp

    Regulators Concerned About High Frequency Trading and Timestamp
    The United States securities regulators, the Securities Exchange Commission ("SEC"), and the Financial Industry Regulatory Authority ("FINRA") and the United Kingdom's Financial Conduct Authority ("FCA") are tightening rules to impose…
  • Jul 9

    SEC Trying to Even the Field for Bond Market

    SEC Trying to Even the Field for Bond Market
    The Wall Street Journal reported that the Securities Exchange Commission ("SEC") wants to even the field in the bond market between small investors and Wall Street's biggest banks. The SEC unveiled plans to make real time pricing information…
Rank this Week: 4149

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 29

    Recovery of Sonoma Ridge Capital Investment Losse

    Recovery of Sonoma Ridge Capital Investment Losse
    Have you suffered investment losses in Sonoma Ridge Capital, LLC? If so, The White Law Group may be able to help you recover your losses by filing a FINRA Dispute Resolution claim against the brokerage firm that sold you the investment.…
  • Jul 24

    Raymond James Lawsuit Against Former Employee

    Raymond James Lawsuit Against Former Employee
    According to FA Magazine, Raymond James Financial Services (RJFS) has filed a lawsuit against former broker, Jo Ellen Fisher, for allegedly diverting nearly $1.5 million away from an elderly client’s brokerage account. RJFS accused…
  • Jul 23

    Broker Runs $6 million Hedge Fund

    Broker Runs $6 million Hedge Fund
    Have you suffered investment losses as a result of your dealings with former Sterne Agee Financial Services broker, Dean Mustaphalli? If so, The White Law Group may be able to help recovery some of your losses. According to Investment News,…
Rank this Week: 384

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: 4770

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Jul 29

    Sale of Blue Ridge Investments and Argyle Securities by Vincent Christopher or Thomas Gilleland

    Sale of Blue Ridge Investments and Argyle Securities by Vincent Christopher or Thomas Gilleland
    Fitapelli Kurta is investigating customer complaints related to the sale of interests in Blue Ridge Securities and Argyle Energy by Source Capital Group brokers, Vincent Christopher and Thomas Gilleland.   Vincent Christopher and…
  • Jul 28

    Churning Complaints Against Former Newport Coast Broker

    Churning Complaints Against Former Newport Coast Broker
    Fitapelli Kurta is investigating customer complaints of churning against Newport Coast Securities, Inc. as well as brokers Douglas Leone, Marc Arena, Tyler Luckey, Andre LaBarbera, David Levy, Antonio Costanzo and Donald Bartelt. …
  • Jul 28

    Recover Losses in Motricity, Inc.

    Recover Losses in Motricity, Inc.
    Fitapelli Kurta is investigating claims against First Allied Securities Inc. related to its solicitation of an investment in a company named Motricity, Inc. (“Motricity”).  Motricity was founded in 2004 and its headquarters…
Rank this Week: 4214

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

    Pennsylvania Broker Charged In Ponzi Scheme

    Pennsylvania Broker Charged In Ponzi Scheme
    From the Desk of Jim Eccleston at Eccleston Law Offices: Patricia S. Miller, a Pennsylvania broker, was charged with conducting a massive Ponzi scheme. Miller allegedly used her position as a trusted financial adviser, as…
  • Jul 28

    Seattle Broker Pleads Guilty to Ponzi Scheme

    Seattle Broker Pleads Guilty to Ponzi Scheme
    From the Desk of Jim Eccleston at Eccleston Law Offices: Dennis Daugs Jr., who was the managing director of a Seattle advisory firm, Lakeside Capital Management, used assets from the portfolio of a senior citizen client to…
  • Jul 23

    Former Broker Barred from Security Industry Due to Sale of Alternative Investment

    Former Broker Barred from Security Industry Due to Sale of Alternative Investment
    From the Desk of Jim Eccleston at Eccleston Law Offices: Robert Christian Acri, a broker formerly with World Equity Group Inc., was barred from the securities industry. Acri allegedly was involved in the sale of…
Rank this Week: 150

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 29

    Sharknado 2: The Second One.An Epic Cinematic Event. A People Bringing Together Spectacle

    Sharknado 2: The Second One.An Epic Cinematic Event. A People Bringing Together Spectacle
    Tonight there’s going to be a BIG dispute in the Singer family household. Sometime around 9 p.m. there is a world premiere of what I consider a cutting-edge bit of film noir, or, if you prefer, cinema verite. My wife, a purportedly…
  • Jul 24

    UPDATE: FINRA Arbitrators Award Punitive Damages For Fraud, Malice, And Bad Faith

    UPDATE: FINRA Arbitrators Award Punitive Damages For Fraud, Malice, And Bad Faith
    This is an UPDATE of "FINRA Arbitrators Award Punitive Damages For Fraud, Malice, And Bad Faith" (BrokeAndBroker Blog, February 13, 2014)In his Second Inaugural Address, President Abraham Lincoln famously said "With malice toward none, with…
  • Jul 24

    Chase Settles Termination Dispute With Revised U5 And Cash

    Chase Settles Termination Dispute With Revised U5 And Cash
    Wall Street terminations often turn into bloody messes. Not only is there the anger over the causes prompting the end of the employee-employer relationship, but litigation may subsequently develop over whether someone voluntarily resigned,…
Rank this Week: 1501

Cady Bar the Door

Cady Bar the Door

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

http://www.secmiscellany.com
  • Jul 28

    Guns and More Guns: SEC Hits Smith & Wesson for FCPA Violation

    Guns and More Guns: SEC Hits Smith & Wesson for FCPA Violation
    One thing the SEC likes to do is bring cases with a lot of deterrent value.  That is, cases that it hopes will scare other people and companies into complying with the law.  Often that means cases with large price tags…
  • Jul 20

    Foreign Pink Sheets Companies and the FCPA

    Foreign Pink Sheets Companies and the FCPA
    Penny stock companies have been much in the news recently.  They can be tough entities for law enforcement to look into given that their officers and directors are often not inclined to cooperate with government investigations. …
  • Jul 14

    Three Thoughts about FINRA’s Weird Japanese Insider Trading Case

    Three Thoughts about FINRA’s Weird Japanese Insider Trading Case
    One of the things you’re not supposed to do if you’re in the securities business – or any business, really – is buy and sell securities on the basis of material, nonpublic information in breach of a duty not to do…
Rank this Week: 2570

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Jul 28

    Rep. Sherman Pressing to End FASB Lease Accounting Initiative

    Rep. Sherman Pressing to End FASB Lease Accounting Initiative
    At a recent hearing of the House Financial Services Committee, Rep. Brad Sherman (D-CA) pressed Fed Chair Janet Yellen to help him kill the FASB  initiative to change the lease accounting standard, which he said is an effort to fix…
  • Jul 28

    President Issues Veto Message on SEC Spending Bill

    President Issues Veto Message on SEC Spending Bill
    The President issued a veto message on the FY 2015 Financial Services and General Government Appropriations Act (H.R. 5016), which the House approved on a vote of 228-195 to provide annual funding for the SEC, the Treasury Department, the…
  • Jul 28

    Levin Senate Panel Finds Basket Options Abused by Banks and Hedge Fund

    Levin Senate Panel Finds Basket Options Abused by Banks and Hedge Fund
    Two global banks and more than a dozen hedge funds misused a complex financial structure to claim billions of dollars in unjustified tax savings and to avoid leverage limits that protect the financial system from risky debt, a Senate panel…
Rank this Week: 137

Startup Law Blog

Startup Law Blog

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

http://www.startuplawblog.com/
  • Jul 28

    The Ins and Outs of Crowdfunding Your Startup

    The Ins and Outs of Crowdfunding Your Startup
    A new state law signed earlier this year opens crowdfunding to ordinary investors, making it easier for startups to sell shares to raise money. Now you have the opportunity to get the latest updates from the state legislator, regulators,…
  • Jun 29

    Is Title III Equity Crowdfunding Going to Work?

    Is Title III Equity Crowdfunding Going to Work?
    I was invited to appear on HuffPost TV the other day, to talk about crowdfunding. The conversation quickly turned into a discussion of the potential negatives of crowdfunding, and the risks. Then there was this article in Salon, with the…
  • Jun 27

    How to Design for Human

    How to Design for Human
    by Bryce Merrill, SVP Fast Pitch Marketing Team The first SVP Fast Pitch Jumpstart Workshop, “How to Design for Humans” took place at Impact Hub Seattle on Wednesday, June 11. The Jumpstart Workshop series is…
Rank this Week: 1320

Subject to Inquiry

Subject to Inquiry

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

http://www.subjecttoinquiry.com/
Rank this Week: 4642

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

    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…
  • Jul 23

    How Do Brokers and Insurance Agents Mislead You Into Buying VL and VUL Insurance Policies?

    How Do Brokers and Insurance Agents Mislead You Into Buying VL and VUL Insurance Policies?
    This article was originally posted on Stock Market Loss Brokers and agents who sell variable insurance products are supposed to comply both with state securities or insurance regulations and with regulations issued by the Securities and…
Rank this Week: 3351

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 28

    Internal Investigations, the KBR Decision and International Investigation

    Internal Investigations, the KBR Decision and International Investigation
    In a recent post, we touched on the importance of the D.C. Circuit’s decision in KBR concerning privilege and internal investigations: Post-recession, we are living through an era of regulators’ grimaces and…
  • Jul 28

    “Compensation” | Paul Laurence Dunbar

    “Compensation” | Paul Laurence Dunbar
    Compensation is a matter dear to lawyers’ hearts, white-collar and otherwise.  Here’s a poem (via www.poets.org) by Paul Laurence Dunbar: Compensation Because I had loved so deeply, Because I had loved so long, God in His…
  • Jul 25

    “Appellate Jurisdiction” | Marianne Moore (1887-1972)

    “Appellate Jurisdiction” | Marianne Moore (1887-1972)
    For pondering our appeals of all sorts.   Appellate Jurisdiction by Marianne Moore Fragments of sin are a part of me. New brooms shall sweep clean the heart of me.       Shall they? Shall they? When this light life shall…
Rank this Week: 4736

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

http://www.seclawyersblog.com/
Rank this Week: 1228

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Jul 25

    Too Tangential

    Too Tangential
    In its recent Chadbourne decision, the U.S. Supreme Court held that to be "in connection with" the purchase or sale of a security, an alleged securities fraud must involve "victims who took, who tried to take, who divested…
  • Jul 18

    Doubling Down

    Doubling Down
    In Spitzberg v. Houston American Energy Corp., 2014 WL 3442515 (5th Cir. July 15, 2014), the Fifth Circuit reversed the dismissal of a securities class action based on alleged false statements concerning oil and gas reserves. The decision…
  • Jul 11

    Comparing Lychee

    Comparing Lychee
    Securities class actions brought against China-based companies often allege discrepancies between the company's Chinese regulatory filings and SEC filings. In that type of case, the plaintiff must allege at least some facts to support that…
Rank this Week: 883

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
  • Jul 25

    Leveraged and Inverse Exchange-Traded Funds are a Ticking Bomb!

    Leveraged and Inverse Exchange-Traded Funds are a Ticking Bomb!
    Leveraged ETFs are designed to provide investors with a certain percentage return over the movement of a market over the span of a day. Inverse funds are supposed to move in the opposite direction of a specific index, to provide protection…
  • Jul 23

    Nontraded Real-Estate Investments mean Risky Busine

    Nontraded Real-Estate Investments mean Risky Busine
    Nontraded REITs have been growing in popularity lately. Through June of this year, nontraded REITs have raised $8.8 billion. These real-estate investment trusts are similar to their public counterparts, which trade like stocks and allow…
  • Jul 18

    Attorney Mark Maddox named to FINRA’s Arbitrartion Task Force

    Attorney Mark Maddox named to FINRA’s Arbitrartion Task Force
    We are proud to share that Attorney Mark Maddox will be part of FINRA’s new arbitration task force. Click this link for details: http://www.finra.org/Newsroom/NewsReleases/2014/P554192The post Attorney Mark Maddox named to FINRA’s…
Rank this Week: 573

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 25

    Sample Reps & Warranties: Conflict Mineral

    Sample Reps & Warranties: Conflict Mineral
    Recently, we got the question from a member who was marking up a definitive agreement for the purchase of target company – a manufacturer of metal products – whom they believed to be utilizing conflict minerals. The member asked…
  • Jul 24

    Examples of Social Media in M&A Transaction

    Examples of Social Media in M&A Transaction
    In his blog, Stinson Leonard Street’s Steve Quinlivan provides examples from 4 recent deals that used social media…
  • Jul 23

    Exclusive Forum Bylaws: California State Court Follows Delaware

    Exclusive Forum Bylaws: California State Court Follows Delaware
    Here’s news excerpted from this Ropes & Gray newsletter: State and federal courts in California have gone different directions on whether to follow Delaware’s lead in enforcing forum selection provisions in bylaws. In 2011,…
Rank this Week: 580

Ponzitracker

Ponzitracker

Covers Ponzi schemes. By Jordan Maglich.

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

    Second Florida Cop Sentenced For Rothstein Tie

    Second Florida Cop Sentenced For Rothstein Tie
    A former Broward County detective was sentenced to serve a year and a day in federal prison for his role in carrying out a wrongful arrest of a south Florida woman at the direction of convicted Ponzi schemer Scott Rothstein.  Jeff Poole,…
  • Jul 23

    TelexFree Founders Indicted On Fraud Charge

    TelexFree Founders Indicted On Fraud Charge
    A Massachusetts grand jury indicted TelexFree co-founders James Merrill and Carlos Wanzeler on multiple fraud charges in what authorities have alleged was a massive Pyramid/Ponzi scheme that may have defrauded victims out of hundreds of…
  • Jul 21

    Florida Cop Gets 5-Year Sentence For Rothstein Ties, Including Illegal Arrest

    Florida Cop Gets 5-Year Sentence For Rothstein Ties, Including Illegal Arrest
    "Mr. Benjamin, while wearing the cloak of BSO authority, engineered the arrest and incarceration of an innocent citizen.  This was done purely for financial gain. This conduct is deplorable — it is unconscionable." - U.S. District…
Rank this Week: 710

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
  • Jul 24

    If You are Subpoenaed to Appear Before a Pennsylvania Grand Jury, Learn from Graham Spanier’s Mistake: Take Your Lawyer

    If You are Subpoenaed to Appear Before a Pennsylvania Grand Jury, Learn from Graham Spanier’s Mistake: Take Your Lawyer
    We wrote about the ongoing fallout from the Jerry Sandusky scandal in January, and whether former Penn State General Counsel Cynthia Baldwin made some critical missteps by appearing at the grand jury with former President Graham Spanier, Vice…
  • Jul 22

    Managing an Environmental Enforcement Investigation

    Managing an Environmental Enforcement Investigation
    Although environmental prosecution is not a new trend, criminal enforcement of environmental laws is on the rise.  The recent expansion of tools and referral mechanisms to support a heightened level of criminal enforcement have led to…
  • Jul 18

    Debating Unlawful Command Influence in the Military

    Debating Unlawful Command Influence in the Military
    As readers of this blog know, Montgomery McCracken successfully represented Brigadier General Jeffrey Sinclair in his court-martial in March. General Sinclair was sentenced only to a reprimand and a $20,000 fine. Montgomery McCracken defense…
Rank this Week: 4659

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 adopts money market fund reform

    SEC adopts money market fund reform
    By Robert J. Tannous On July 23, 2014, the Securities and Exchange Commission announced that it adopted amendments to the rules governing money market mutual funds. Read a copy of the final rules. These amendments complete some…
  • Jul 15

    Should entrepreneurs care about crowdfunding? It depends on the crowd.

    Should entrepreneurs care about crowdfunding? It depends on the crowd.
    By Jack J. Gravelle It has been more than two years since the JOBS Act was passed and almost nine months since the SEC proposed crowdfunding rules — but still no final rules. Should entrepreneurs care? Probably not. The proposed SEC…
  • Jul 14

    Citigroup’s $7 billion settlement allows them to “focus on the future”

    Citigroup’s $7 billion settlement allows them to “focus on the future”
    By W. Kelly Johnson U.S. Attorney General Eric Holder and Citigroup announced today that Citigroup will pay $7 billion to settle a U.S. Department of Justice (DOJ) investigation into allegations that it defrauded investors by selling shoddy…
Rank this Week: 1078

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 23

    Investors Pursue UBS's Puerto Rico Brokerage Over Closed-End Bond Fund

    Investors Pursue UBS's Puerto Rico Brokerage Over Closed-End Bond Fund
    The Financial Industry Regulatory Authority is reporting that roughly 400 claims have already been filed against UBS Financial Services Inc. of Puerto Rico (UBS) and other brokerage firms over the fallout of municipal bonds and bond funds…
  • Jul 22

    Net Asset Value of Tony Thompson's Former Nontraded REIT Strategic Realty Trust Plunge

    Net Asset Value of Tony Thompson's Former Nontraded REIT Strategic Realty Trust Plunge
    Investors in Strategic Realty Trust Inc. have been notified that the NAV of the nontraded real estate investment trust has dropped almost 30% from $10/share to $7.11/share. The REIT, previously known as TNP Strategic Realty Trust Inc., has a…
  • Jul 17

    FINRA Wants To Delay Implementing Rule Impacting Nontraded REIT Customers' Statement

    FINRA Wants To Delay Implementing Rule Impacting Nontraded REIT Customers' Statement
    The Financial Industry Regulatory Authority wants the Securities and Exchange Commission to grant a delay in the implementation of proposed changes to rule 2340, which impacts customer account statements. The self-regulatory organization had…
Rank this Week: 147

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/
  • Jul 22

    MFDA publishes guidance on use of investor questionnaire

    MFDA publishes guidance on use of investor questionnaire
    Earlier this week, the MFDA released a discussion paper intended to provide guidance on the use by mutual fund dealers of investor questionnaires to assist in the know-your-client process. Among other things, the paper discusses topics such…
  • Jul 18

    CSA intend to publish national rule for clearing agencie

    CSA intend to publish national rule for clearing agencie
    Alix d'Anglejan-Chatillon - The Canadian Securities Administrators yesterday released an update on the proposed local rules designed to set out certain requirements in relation to the application process for seeking recognition as a…
  • Jul 18

    CSA adopt changes to auditor oversight rule

    CSA adopt changes to auditor oversight rule
    The Canadian Securities Administrators yesterday released changes to auditor oversight rules designed to enhance the integrity of financial reporting by reporting issuers by repealing and replacing National Instrument 52-108 Auditor…
Rank this Week: 449

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/
  • Jul 22

    Delaware Court of Chancery Rejects Indemnification Sleight of Hand

    Delaware Court of Chancery Rejects Indemnification Sleight of Hand
    In Branin v. Stein Roe Inv. Counsel, LLC, C.A. 8481-VCN, 2014 WL 2961084 (Del. Ch. June 30, 2014), the Delaware Court of Chancery held that a vested right to indemnification may not be rescinded by a subsequent amendment to the governing…
  • Jul 15

    Is Your Out-of-State LLC “Doing Business” in California?

    Is Your Out-of-State LLC “Doing Business” in California?
    Individuals and entities, including those from outside California, who invest in or do business through an out-of-state limited liability company (“LLC”) may be surprised to find out that they have filing obligations and tax…
  • Jul 7

    Second Circuit Overturns District Court’s Rejection of SEC-Citigroup Fraud Settlement

    Second Circuit Overturns District Court’s Rejection of SEC-Citigroup Fraud Settlement
    In a closely-watched decision involving judicial review of agency settlements, the Unites States Court of Appeals for the Second Circuit vacated United States District Court Judge Jed Rakoff’s 2011 order rejecting a proposed $285…
Rank this Week: 474

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: 303

Business Law Post

Business Law Post

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

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

    Should Startups Have Boards of Directors?

    Should Startups Have Boards of Directors?
    All corporations are required to have a board of directors by law. LLCs are not. However, an LLC can be structured so as to have a board of managers (some even refer to managers as directors). At formation, founders become the sole…
  • Jul 19

    The SEC Will Likely Update its Definition of “Accredited Investors” Very Soon

    The SEC Will Likely Update its Definition of “Accredited Investors” Very Soon
    Most of the startup capital comes from accredited investors through investments made in reliance upon Rule 506 of Regulation D.  According to a study by the University of New Hampshire’s Center for Venture Research, in 2013, almost…
  • Jul 11

    How to Verify That Your Investor is Accredited - The SEC Provides New Explanations Regarding Rule 506(c) Offering

    How to Verify That Your Investor is Accredited - The SEC Provides New Explanations Regarding Rule 506(c) Offering
    On July 3, 2014 (right on my birthday), the SEC issued six compliance and disclosure interpretations (“CD&Is”) regarding the use of verification methods for determining whether a prospective investor is accredited. First, a…
Rank this Week: 2175

TRACE Blog

TRACE Blog

Covers anti-bribery compliance.

http://traceblog.org/
  • Jul 22

    A Royal Mess, Pt. 2: Non-Profits, Charitable Contributions and the FCPA

    A Royal Mess, Pt. 2: Non-Profits, Charitable Contributions and the FCPA
    In our previous post, we discussed the ongoing corruption case against Princess Cristina of Spain and her husband, Duke Iñaki Urdungarin. Urdangarin, a former Olympian, is accused of using his position to skim money from government…
  • Jul 15

    A Royal Mess, Pt. 1: Spanish Princess Charged with Corruption

    A Royal Mess, Pt. 1: Spanish Princess Charged with Corruption
    If there are perks to being a member of the Spanish royal family (undoubtedly there are), immunity from corruption prosecutions is not one of them. Last month, on June 25th, Princess Cristina of Spain was charged with tax fraud and money…
  • Jul 2

    AFTER ESQUENAZI, QUESTIONS STILL REMAIN

    AFTER ESQUENAZI, QUESTIONS STILL REMAIN
    Haiti in 2001 might have seemed like an entrepreneur’s playground — the kind of place where the stakes were high, the risks were big, and if you played your cards right, you might find fabulous riches. Sure, it was one of the…
Rank this Week: 4772

White Collar Fraud

White Collar Fraud

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

http://whitecollarfraud.blogspot.com/
  • Jul 22

    Do Nu Skin Inventory Red Flags Spell Trouble Ahead?

    Do Nu Skin Inventory Red Flags Spell Trouble Ahead?
    Last Friday morning, a comment posted on Twitter by Marc Cohodes about Nu Skin Enterprises (NYSE: NUS), a Utah based multi-level marketing company, caught my curiosity. Cohodes is a legendary short-seller with an excellent track record and…
  • Jul 16

    Indicted Former Utah Attorney General Mark Shurtleff was bribed by Overstock.com too

    Indicted Former Utah Attorney General Mark Shurtleff was bribed by Overstock.com too
    My experience in dealing with former Utah Attorney General Mark Shurtleff goes way back. On October 30, 2007, Overstock.com (NASDAQ: OSTK) paid him $5,000 purportedly as a "campaign contribution." Two weeks later, Overstock.com issued a press…
  • Jul 8

    A Felon’s View of White-Collar Crime - Why Society is Very Vulnerable to Fraud

    A Felon’s View of White-Collar Crime - Why Society is Very Vulnerable to Fraud
    White-collar crime is more brutal than violent crime. The actions of one or a few corrupt public officials and corrupt businessmen can affect the livelihoods of thousands, even millions of people. Fraudsters use a combination of persuasion…
Rank this Week: 848

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
  • Jul 21

    Bond Prices Plummet for Puerto Rico Power Authority

    Bond Prices Plummet for Puerto Rico Power Authority
    Puerto Rico's power authority bonds dropped from trading at around 55 cents on the dollar to 45 cents on the dollar by the end of June as investors worry about the agency's inability to pay off its bonds and bank loans. The power authority is…
  • Jul 16

    Disciplinary Action Against BlackRock Advisors Recommended by SEC

    Disciplinary Action Against BlackRock Advisors Recommended by SEC
    The Securities and Exchange Commission (SEC) has recommend disciplinary action for possible securities violations, including the failure to disclose conflicts of interest, by BlackRock Advisors.
  • Jul 13

    FINRA seeks to narrow public arbitrator definition

    FINRA seeks to narrow public arbitrator definition
    In an effort to tighten the rules for resolving investor disputes in arbitration, the Financial Industry Regulatory Authority (FINRA) has proposed a rule to narrow the definition of public arbitrator. Currently, there are 3,555 public…
Rank this Week: 4125