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Securities Lawyer 101

Securities Lawyer 101

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

https://www.securitieslawyer101.com/blog/
  • 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…
  • Jan 1

    Going Public Blog l Securities Lawyer 101

    Going Public Blog l Securities Lawyer 101
      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 with risks and…
  • Dec 2

    Government Official Gordon Johnson Reaches Settlement for Insider Trading

    Government Official Gordon Johnson Reaches Settlement for Insider Trading
    Going Public LawyerOn November 14, 2016 the Securities and Exchange Commission (“SEC”) announced that it entered into a settlement agreement with Gordon Johnston, a former official at the U.S. Food and Drug…
Rank this Week: 471

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 31

    SEC’s Report Evaluates The Definition of An Accredited Investor

    SEC’s Report Evaluates The Definition of An Accredited Investor
    The U.S. Securities and Exchange Commission (SEC) has put out a report assessing the definition of who qualifies as an accredited investor. The 2010 Dodd-Frank Act mandates that this definition be reevaluated every four years. Accredited…
  • Dec 29

    Wells Fargo Sued by Commerz Bank in Mortgage-Backed Securities Case

    Wells Fargo Sued by Commerz Bank in Mortgage-Backed Securities Case
    Commerzbank is suing Wells Fargo (WFC) for losses sustained on failed mortgage-backed securities (MBS). The German finance firm claims the California lending giant did not properly supervise MBS during the housing bubble, which Commerzbank…
  • Nov 29

    SAC Capital Advisers Concludes Final Insider Trading Case By Agreeing to Pay $135M to Elan Corp. Investor

    SAC Capital Advisers Concludes Final Insider Trading Case By Agreeing to Pay $135M to Elan Corp. Investor
    Stephen A. Cohen and SAC Capital will pay a group of Elan Corp. investors $135M to settle their insider trading case against him and the firm. The plaintiffs had contended that sustained they financial losses because of insider trading that…
Rank this Week: 1017

Stock Broker Fraud Blog

Stock Broker Fraud Blog

Covers broker fraud, investor fraud, marketing timing, and securities fraud. By Shepherd Smith Edwards & Kantas.

http://www.stockbrokerfraudblog.com/
Rank this Week: 151

Securities Law Attorneys Blog

Securities Law Attorneys Blog

Covers securities law. By Fitapelli | Kurta.

http://www.securitieslawattorneys.net/
  • Dec 2

    Terry Xu: Subject of Two Pending Regulatory Investigation

    Terry Xu: Subject of Two Pending Regulatory Investigation
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on December 2, 2016 indicate that former California-based USA Financial Services broker Terry Xu is currently not affiliated with any broker-dealer…
  • Dec 2

    Customer Seeking $100,000 in Damages From Broker Steven Shirley

    Customer Seeking $100,000 in Damages From Broker Steven Shirley
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on December 2, 2016 indicate that Texas-based IMS Securities broker/adviser Steven Shirley is the subject of a pending customer dispute. The securities…
  • Dec 2

    Broker Phillip Cheney Has One Pending Customer Complaint

    Broker Phillip Cheney Has One Pending Customer Complaint
    Public records published by the Financial Industry Regulatory Authority (FINRA) on December 2, 2016 indicate that Massachusetts-based RBC Capital Markets broker/adviser Phillip Cheney is the subject of a pending customer complaint. The…
Rank this Week: 3473

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

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

    NASAA defends extraterritorial application of Kansas Blue Sky law

    NASAA defends extraterritorial application of Kansas Blue Sky law
    By John M. Jascob, J.D., LL.M.NASAA has urged a state appellate court to reverse a lower court ruling that Kansas lacked territorial jurisdiction over offers of securities made in California by a Kansas-based issuer. In an amicus brief filed…
  • Dec 1

    Petition asks if contracts can be false statements under the SOX anti-shredding provision

    Petition asks if contracts can be false statements under the SOX anti-shredding provision
    By Rodney F. Tonkovic, J.D.A petition for certiorari has been filed asking the Supreme Court to consider whether contracts can constitute false statements for the purposes of federal criminal law. The government charged a former governor of…
  • Nov 30

    EC unveils orderly resolution proposal for central counterpartie

    EC unveils orderly resolution proposal for central counterpartie
    By Mark S. Nelson, J.D.The European Commission proposed rules that would allow for the recovery or resolution of central counterparties. CCPs already face regulation under the European Market Infrastructure Regulation, but those rules do not…
Rank this Week: 149

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

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

    Broker Investigation: Victor Lambert

    Broker Investigation: Victor Lambert
    Our investment attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against financial advisor Victor Lambert (Lambert) currently not registered with any firm, alleging unsuitable…
  • Dec 2

    Broker Vincent Sturm Discharged Over Allegations of Soliciting Loan

    Broker Vincent Sturm Discharged Over Allegations of Soliciting Loan
    Our firm is investigating claims made by VisionPoint Advisory Group, LLC and LPL Financial LLC (LPL) against broker Vincent Sturm (Sturm).  According to the two firms Sturm was discharged in August 2016 after allegation were made that…
  • Nov 30

    Broker Raymond Harrison Has Complaints Over Non-Traded REIT

    Broker Raymond Harrison Has Complaints Over Non-Traded REIT
    Our investment attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Raymond Harrison (Harrison) currently associated with Cambridge Investment Research, Inc. (Cambridge)…
Rank this Week: 1705

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
  • Dec 2

    FINRA Discipline: FINRA Rule 9212- Complaint Issuance

    FINRA Discipline: FINRA Rule 9212- Complaint Issuance
    From the Desk of Jim Eccleston at Eccleston Law LLC:This is the second of a series of posts to discuss the rules associated with the FINRA disciplinary process. FINRA Rule 9212 provides a guideline for the appropriate form, content, notice,…
  • Dec 1

    FINRA’s Acceptance, Waiver and Consent Settlement (AWC)-Part 1

    FINRA’s Acceptance, Waiver and Consent Settlement (AWC)-Part 1
    From the Desk of Jim Eccleston at Eccleston Law LLC:This is the first of three posts to discuss FINRA Rule 9216. This post will discuss the “acceptance” portion of the rule related to regulatory (disciplinary) settlement…
  • Nov 29

    FINRA Discipline: FINRA Rule 9211- Authorization of Complaint

    FINRA Discipline: FINRA Rule 9211- Authorization of Complaint
    From the Desk of Jim Eccleston at Eccleston Law LLC:This is the first of a series of posts to discuss the rules associated with the FINRA disciplinary process. FINRA Rule 9211 provides authority to the Department of Enforcement or the…
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/
  • Dec 2

    PIMCO to Pay $20 Million

    PIMCO to Pay $20 Million
    PIMCO will pay nearly $20 million to settle charges that it misled investors concerning the performance of PIMCO’s Total Return ETF (BOND), one of its first actively managed exchange-traded funds, according to a press announcement from…
  • Dec 2

    Roger S. Zullo and LPL Financial Annuity Investigation

    Roger S. Zullo and LPL Financial Annuity Investigation
    Have you suffered losses as a result of an annuity you purchased thorough LPL and its advisor Roger S. Zullo?  If so, the securities attorneys of The White Law Group may be able to help. According to reports, the Massachusetts Securities…
  • Dec 1

    FINRA Charges Merrill Lynch $7 Million

    FINRA Charges Merrill Lynch $7 Million
    The Financial Industry Regulatory Authority said on November 30 it fined Merrill Lynch $7 million for inadequate supervision of client brokerage accounts that used leverage to buy Puerto Rican municipal bonds and other securities. Between…
Rank this Week: 337

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

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

    How Will the SEC Reach Quorum With Only Two Commissioners?

    How Will the SEC Reach Quorum With Only Two Commissioners?
    Recently, a member asked why doesn’t SEC Chair White cram in a bunch of rulemakings while she can. Putting aside how she likely would be sensitive to the optics of that, I reminded the member that Commissioner Piwowar can stop any…
  • Dec 1

    Financial Choice Act: Death to Interpretive Guidance at the Commission Level?

    Financial Choice Act: Death to Interpretive Guidance at the Commission Level?
    Recently, I blogged about how Section 631 of the Financial Choice Act would seriously damage the SEC’s ability to conduct rulemaking. If that didn’t move you, try Section 412 on for size: The notice and comment requirements of…
  • Nov 30

    Our Regulatory Framework: The Impact of a Trump Presidency

    Our Regulatory Framework: The Impact of a Trump Presidency
    In this 14-minute podcast, Aaron Cutler – a Hogan Lovells Partner & Former Senior Advisor to House Majority Leader Eric Cantor – discusses what the future holds in Washington DC for corporate & market regulation,…
Rank this Week: 293

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/
  • Dec 2

    Antitrust: Non-Solicits & Comp Diligence Under New Guideline

    Antitrust: Non-Solicits & Comp Diligence Under New Guideline
    As this Sheppard Mullin blog notes, the FTC & DOJ recently issued guidance warning companies about entering into agreements not to solicit employees and about sharing employment-related data with competitors.  This Cooley…
  • Dec 1

    Shareholder Activism: The Rise of Institutional Engagement

    Shareholder Activism: The Rise of Institutional Engagement
    This NY Times’ “Deal Professor” column notes the rise of shareholder engagement strategies & the consultants who advise on them. As institutions become more assertive about governance, companies are…
  • Nov 30

    Delaware: Recent Cases Interpreting Corwin

    Delaware: Recent Cases Interpreting Corwin
    This Skadden memo discusses several recent Delaware Chancery Court cases interpreting Corwin’s path to business judgment rule review for post-closing damage claims.  Here are some of the key takeaways: In Larkin, Vice…
Rank this Week: 584

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/
  • Dec 2

    Unregistered Sales Of Certificates Of Deposit

    Unregistered Sales Of Certificates Of Deposit
    Last spring, the California Department of Business Oversight warned consumers that two related companies have been offering unlicensed online securities broker-dealer services and “unregistered sales of certificates of deposit…
  • Dec 1

    Court Rules Fixed Income Annuity Is Not A Security Under The CSL

    Court Rules Fixed Income Annuity Is Not A Security Under The CSL
    Because annuity contracts involve the payment of money in the expectation of future payments, one might conclude that they are securities within the meaning of the California Corporate Securities Law of 1968.  Evidently, that is what Mr.…
  • Nov 30

    California’s Private Fund Adviser Exemption

    California’s Private Fund Adviser Exemption
    Before the enactment of the Dodd-Frank Act in 2010, many advisers to alternative investment vehicles, such as hedge funds, private-equity funds, and venture capital funds relied on the Section 203(b)(3) exemption from registration under the…
Rank this Week: 369

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • Dec 1

    Home Depot Data Breach Derivative Lawsuit Dismissed

    Home Depot Data Breach Derivative Lawsuit Dismissed
    For some time now, many commentators (including me) have been predicting that as a result of rising numbers of companies experiencing date breaches that there would be a resulting wave of D&O lawsuits. Indeed, there have been a small…
  • Nov 30

    Football Player’s Concussion Claims Test D&O Policy Exclusion

    Football Player’s Concussion Claims Test D&O Policy Exclusion
    As I have previously noted (for example, here), several of the standard D&O policy exclusions are designed to keep claims in the their proper lanes – that is, to make sure that the D&O policy doesn’t wind up picking up…
  • Nov 28

    U.K. Court Sends Cautionary Note to Fledgling Litigation Funder

    U.K. Court Sends Cautionary Note to Fledgling Litigation Funder
    A recent U.K. appellate court sends a strong cautionary note to litigation funders about the need for vigorous and independent pre-litigation due diligence and of the risks that can follow their support of an unmeritorious claim. In a…
Rank this Week: 147

New York Securities Lawyer Blog

New York Securities Lawyer Blog

Covers securities law. By Lax & Neville LLP.

http://www.newyorksecuritieslawyerblog.com/
Rank this Week: 4220

Recover Investment Losses Blog

Recover Investment Losses Blog

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

http://blog.rexsecuritieslaw.com
  • Nov 30

    Merrill Lynch Fined $7M Over Leveraged Management Account Inadequacie

    Merrill Lynch Fined $7M Over Leveraged Management Account Inadequacie
    November 2016- New York Merrill Lynch was fined $7 million by the Financial Industry Regulatory Authority (FINRA) for inadequately supervising the use of leverage (margin) in customer accounts. Merrill Loan Management Accounts (LMAs) permit…
  • Nov 29

    Matthew & WIlliam Griffin of Payson Petroleum-Named In SEC Action

    Matthew & WIlliam Griffin of Payson Petroleum-Named In SEC Action
    November 2016 -Dallas, Texas Matthew Carl Griffin and his brother William Daniel Griffin were named in a civil action filed by the Securities and Exchange Commission (SEC) charging them with fraudulently offering interests through their…
  • Nov 29

    Investors Capital Corp.-How to Recover Damages For Investment Losse

    Investors Capital Corp.-How to Recover Damages For Investment Losse
    November 2016- Lynnfield, MA Investors Capital Corp.  will be closing down and transferring some of its brokers and current clients to another firm within the Cetera network of broker dealers, according to a spokesman for Cetera…
Rank this Week: 2673

Tim O'Connor's Blog

Tim O'Connor's Blog

Covers stockbroker fraud.

http://stockbrokerlaw.com/tim-oconnors-blog
  • Nov 30

    Problems at the Family Office

    Problems at the Family Office
    The past decade has seen an explosion in the number of family offices set up by families seeking to coordinate and organize family wealth and assets, as well as issues involving the intergenerational transfer of family legacies. This growth…
  • Nov 4

    Fraud Victims Allowed to Proceed with Theft, Embezzlement and Fraudulent Diversion of Investment Fund

    Fraud Victims Allowed to Proceed with Theft, Embezzlement and Fraudulent Diversion of Investment Fund
    In a Decision dated November 3, 2016, in the case of Taylor v. Casolo, the New York State Supreme Court, Appellate Division, Third Judicial Department affirmed Supreme Court’s ruling disqualifying counsel for several defendants in a…
  • Oct 18

    O’Connor Law Offices Successful in Dismissing Civil Rights Claims in Whistleblower Case

    O’Connor Law Offices Successful in Dismissing Civil Rights Claims in Whistleblower Case
    In a decision dated October 14, 2016, in the case of Collins v. Roe the United States District Court for the Northern District of New York dismissed the claims of the plaintiff against two individual defendants claimed to have been involved…
Rank this Week: 2971

The Securities Edge

The Securities Edge

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

http://www.thesecuritiesedge.com/
  • Nov 30

    Bob Lamm receives Lifetime Achievement award for his dedication to governance

    Bob Lamm receives Lifetime Achievement award for his dedication to governance
    Posted By: David C. Scileppi Congratulations to our esteemed colleague, Bob Lamm, for winning this prestigious award! While we all know that Bob is the guru in the governance space, it’s great that he was recognized for all of his…
  • Nov 29

    SEC Staff’s Thanksgiving Gift: No Turkey

    SEC Staff’s Thanksgiving Gift: No Turkey
    Posted By: Robert B. Lamm As noted in a recent post, the future of SEC regulation – and perhaps even of the SEC itself – is uncertain in the wake of Donald Trump’s election.  (Incidentally, I recently learned that the…
  • Nov 22

    A modest proposal about more modest proposal

    A modest proposal about more modest proposal
    Posted By: Robert B. Lamm It remains to be seen whether the new administration will actually drain the swamp or do away with political correctness, but one hope that some of us have – regardless of our views on the election – is…
Rank this Week: 3154

Footnoted

Footnoted

Reports on actionable information in SEC filings.

http://www.footnoted.com/
  • Nov 30

    Post-election disclosure

    Post-election disclosure
    It’s now been three weeks since Americans elected Donald Trump as the nation’s next President. While Trump doesn’t take office until Jan. 20, 2017, we’ve seen a number of interesting disclosures in SEC filings related…
  • Oct 27

    Apple grows its real estate holding

    Apple grows its real estate holding
    A disclosure in Apple's 10-K shows that the company has increased its land holdings by about 50% in the past year.
  • Sep 30

    One CFO’s revolving door

    One CFO’s revolving door
    Ralph Lauren's former CFO ends employment at the company today, collecting $2.5m in severance. Next month, he starts at American Eagle.
Rank this Week: 4325

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/
  • Nov 30

    Don't Overstate Your Book!

    Don't Overstate Your Book!
    Today's lesson - do not overstate your book when changing firms.While that seems to make sense, apparently it escapes some folks that if you tell your prospective employer that you have $700,000 in annual revenue, and you have zero, they are…
  • Nov 29

    Finra fines Lincoln Financial broker-dealer $650,000 for failing to protect client data

    Finra fines Lincoln Financial broker-dealer $650,000 for failing to protect client data
    Didn't we do this already?FINRA fined Lincoln Financial last week for failing to secure client data. But 5 years ago, FINRA fined Lincoln Financial for failing to secure client…
  • Nov 28

    SEC Creates National Database of Individual Trades - CARDS Rising from the Dead?

    SEC Creates National Database of Individual Trades - CARDS Rising from the Dead?
    We all remember CARDS - FINRA's ill conceived plan to store and maintain information regarding every trade made by every person in our national markets. The plan was a disaster from the start, for many reasons, but one of the main reasons…
Rank this Week: 497

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/
  • Nov 29

    Board diversity series: Results of Canadian initiatives for gender diversity on board

    Board diversity series: Results of Canadian initiatives for gender diversity on board
    Laura Levine and Anne Weintrop -  In September 2016, certain members of the CSA released CSA Multilateral Staff Notice 58-308[i], a comprehensive survey of 677 issuers listed on the TSX that reviewed the impact of the mandatory…
  • Nov 29

    ISS and Glass Lewis publish updates to voting policies for 2017 proxy season

    ISS and Glass Lewis publish updates to voting policies for 2017 proxy season
     Katy Pitch and Martin Langlois -  Institutional Shareholder Services (ISS) and Glass Lewis have updated their respective proxy voting guidelines for the upcoming 2017 shareholder meeting season. While Glass Lewis has published…
  • Nov 22

    CSA announces cyber security roundtable

    CSA announces cyber security roundtable
    The Canadian Securities Administrators (CSA) will hold a roundtable on February 27, 2017 to discuss issues related to cyber security and opportunities for greater collaboration, communication and coordination in the event of a cyber security…
Rank this Week: 489

Oil & Gas Investment Fraud Lawyer…

Oil & Gas Investment Fraud Lawyer Blog

Covers securities issues with a focus on oil & gas investment fraud. By Silver Law Group, The Law Firm of David R. Chase, P.A., and Ciklin Lubitz & O'Connell.

http://www.oilgasinvestmentfraudlawyer.com/
Rank this Week: 4849

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: 332

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/
  • Nov 29

    Can a FINRA Securities Arbitration Award be Appealed?

    Can a FINRA Securities Arbitration Award be Appealed?
    Yes, technically, but in reality, no.  Under the law, a FINRA securities arbitration award can be appealed, but practically speaking, arbitration awards are rarely changed when appealed.   Indeed, under the Federal Arbitration…
  • Nov 28

    What Are the Key Differences Between Arbitrating an Investor Case Before FINRA and Suing in Court?

    What Are the Key Differences Between Arbitrating an Investor Case Before FINRA and Suing in Court?
    An investor who is abused by his or her securities broker cannot sue in court.  Instead, the investor must sue the broker or the brokerage firm in arbitration before the Financial Industry Regulatory Authority, otherwise known as…
  • Nov 3

    Managing Finances After the Death of a Loved One

    Managing Finances After the Death of a Loved One
    In September 2016, the Florida Office of Financial Regulation issued a Consumer Alert titled “Managing Finances After the Death of a Loved One.”   The alert makes a number of helpful recommendations to take following the…
Rank this Week: 759

Strictly Business

Strictly Business

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

http://www.strictlybusinesslawblog.com/
Rank this Week: 1944

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/
  • Nov 28

    Rule 504 Becomes Useful Tool for Smaller Capital Raising and M&A Transaction

    Rule 504 Becomes Useful Tool for Smaller Capital Raising and M&A Transaction
    On October 26, 2016, the SEC amended Rule 504 of Regulation D under the Securities Act of 1933 (the “Securities Act”) to increase the maximum amount of securities that may be sold thereunder in any 12-month period from $1 million…
  • Oct 31

    What Are ‘Commercially Reasonable Efforts’ in M&A Transactions?

    What Are ‘Commercially Reasonable Efforts’ in M&A Transactions?
    Two recent rulings out of the Delaware Court of Chancery have highlighted the importance of clearly defining the terms of pre-closing obligations. In an M&A transaction, it takes significant time to get from a signed letter of…
  • Oct 18

    What You Need to Know About Mergers and Acquisitions Involving Government Contractors and Their Supplier

    What You Need to Know About Mergers and Acquisitions Involving Government Contractors and Their Supplier
    Volume X – Accounting for the Cost of Business Combinations Under Government Contracts Mergers and acquisitions create additional costs and complex accounting issues for government contractors.  There are fees for accounting,…
Rank this Week: 451

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Nov 28

    Donald Leary Terminated From new Albion Partner

    Donald Leary Terminated From new Albion Partner
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on November 25, 2016 indicate that former New York-based New Albion Partners broker Donald Leary is currently not affiliated with any broker-dealer…
  • Nov 22

    Ryan Faley Received One Pending Customer Complaint

    Ryan Faley Received One Pending Customer Complaint
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on November 21, 2016 indicate that former New York-based TD Ameritrade broker Ryan Faley is currently not affiliated with any broker-dealer firm. The…
  • Nov 22

    Customer Seeking $150,000 in Damages From Broker John Leonard

    Customer Seeking $150,000 in Damages From Broker John Leonard
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on November 21, 2016 indicate that Ohio-based Wells Fargo broker/adviser John Leonard has been the subject of resolved or pending customer complaints.…
Rank this Week: 1377

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
  • Nov 28

    First Circuit Confronts Perils of Non-Custodial Interrogation in Fraud Prosecution

    First Circuit Confronts Perils of Non-Custodial Interrogation in Fraud Prosecution
    Miranda warnings are one of those things most lawyers and non-lawyers alike know something about. Most know we enjoy a right under the Fifth Amendment and Miranda v. Arizona, 384 U.S. 436 (1966), to be told before being taken into custody…
  • Jul 18

    Prosecutorial Discretion under the CFAA Gets More Discretionary: US v. Nosal

    Prosecutorial Discretion under the CFAA Gets More Discretionary: US v. Nosal
    This guest post was authored by our colleague Jeremy D. Mishkin, partner and co-chair of the Litigation Department of Montgomery McCracken.  The Computer Fraud and Abuse Act, 18 U.S.C. § 1030 (“CFAA”), has become…
  • Jun 29

    VW Clears the Air with $14.7B Emissions Settlement

    VW Clears the Air with $14.7B Emissions Settlement
    This guest post was authored by Mara Smith, a summer associate with Montgomery McCracken. This Tuesday, Volkswagen agreed to pay the largest auto-related class action settlement in U.S. history, totaling $14.7 billion. The settlement was…
Rank this Week: 4298

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/
  • Nov 28

    SEC Announces Agenda for Nov. 29 Meeting of the Equity Market Structure Advisory Committee

    SEC Announces Agenda for Nov. 29 Meeting of the Equity Market Structure Advisory Committee
    Details available here.
  • Nov 28

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: Eric C. Chaffee, Book review, Confounding Ockham's Razor: Minilateralism and International Economic Regulation (reviewing Chris Brummer,…
  • Nov 23

    Wang on Short Selling

    Wang on Short Selling
    Ye Wang has posted (Naked) Short Selling Around Earnings Announcement on SSRN with the following abstract: Since short sellers are considered sophisticated traders and respond to corporate news and public information in a timely manner,…
Rank this Week: 99

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
  • Nov 28

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
    Stockbroker Goes Aground On FINRA Day Trading Endeavor BarIf you don't watch where you're sailing, you could find yourself aground on a sandbar. It's much the same for Wall Street's stockbrokers, as demonstrated in a recent Financial Industry…
  • Nov 23

    Stockbroker Goes Aground on FINRA Day Trading Endeavor Bar

    Stockbroker Goes Aground on FINRA Day Trading Endeavor Bar
    If you don't watch where you're sailing, you could find yourself aground on a sandbar. It's much the same for Wall Street's stockbrokers, as demonstrated in a recent Financial Industry Regulatory Authority settlement where a broker had…
  • Nov 22

    SEC Amicus Brief Raises Uncomfortable Questions About SRO Immunity

    SEC Amicus Brief Raises Uncomfortable Questions About SRO Immunity
    After Michael Lewis published "Flash Boys," the world awoke to a very dire picture of high frequency trading ("HFT") and its corrosive and corrupting influences on the so-called level playing field that Wall Street so dearly wants to market…
Rank this Week: 1360

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/
  • Nov 27

    Christmas Movies and Serial Killer

    Christmas Movies and Serial Killer
    Today is the first Sunday in the season of Advent, a time in which Christians traditionally prepare themselves by reflection and prayer for the Incarnation, the birth of Jesus, God made flesh.  Ultimately, of course, Jesus was sacrificed…
  • Apr 22

    Handwriting On The Wall (And In The FBI’s Notes)

    Handwriting On The Wall (And In The FBI’s Notes)
    As the father of a college-bound high school senior and an eventually college-bound high school sophomore, I pass along to them helpful articles.  Whether, in the ancient words of Archbishop Cramner in the Anglican liturgy, they actually…
  • Mar 17

    “Fantastic Lies” and Corporate Criminal Prosecution

    “Fantastic Lies” and Corporate Criminal Prosecution
    When the past is dug up in documentaries (or docudramas), events are often sensationalized.  This practice is of long pedigree: Shakespeare was not above amping up an old story when it suited his needs.  Unfortunately, few…
Rank this Week: 4498

Subject to Inquiry

Subject to Inquiry

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

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

    CFPB Report Highlights Continued Focus on Mortgage Redlining

    CFPB Report Highlights Continued Focus on Mortgage Redlining
    In its Fall 2016 Supervisory Highlights report, issued October 31, the Consumer Financial Protection Bureau (CFPB) identified mortgage redlining as an ongoing “priority area” in the Bureau’s supervisory work.  In the…
  • Nov 17

    The Yates Memo and Individual Representation

    The Yates Memo and Individual Representation
    At the November 2, 2016 Securities Industry and Financial Markets Association (“SIFMA”) Compliance and Legal Society Regional Seminar in New York, a SIFMA panel discussed the “Yates Memo,” its effect on internal…
  • Nov 14

    Big Changes Come With The New Form I-9 Published by USCIS

    Big Changes Come With The New Form I-9 Published by USCIS
    United States Citizenship and Immigration Services (USCIS) has officially published the long awaited revised Form I-9.  The new Form I-9 and instructions can be found at https://www.uscis.gov/i-9. The clock is now ticking— While…
Rank this Week: 4234

Stock Market Loss

Stock Market Loss

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

http://www.stockmarketloss.com/news/
Rank this Week: 3176

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • Nov 14

    SEC Chair to Step Down: Path Cleared for Deregulation

    SEC Chair to Step Down: Path Cleared for Deregulation
    The latest post-election domino has fallen.  Mary Jo White, the chair of the Securities and Exchange Commission, will step down at the end of the Obama administration.  White announced her departure on Monday, paving the way for…
  • Nov 9

    Dodd What

    Dodd What
    Now that the election is over, it remains to be seen whether a Trump administration will do away with Dodd-Frank and dump the Department of Labor fiduciary duty rule as promised.  Come inauguration, all bets are off.  The one thing…
  • Nov 1

    So Who Wants Senior Client

    So Who Wants Senior Client
    In its never-ending effort to thwart senior investor fraud, FINRA recently proposed a new rule to the SEC. This proposal would require member firms to obtain the name of a trusted contact person for the customer’s account. The new rule…
Rank this Week: 1286

New York Securities Lawyers Blog

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

http://www.newyorksecuritieslawyersblog.com/
  • Nov 11

    How Will These Election Results Effect the DOL Fiduciary Rule?

    How Will These Election Results Effect the DOL Fiduciary Rule?
    Last year, the Obama administration introduced the Fiduciary rule that requires financial advisers to always act in the best interest of their clients when handling their retirement savings. It was expected to be a big industry shakeup,…
  • Nov 4

    FINRA Files 8 Broker-Dealers For Failures of Supervision Over Variable Annuitie

    FINRA Files 8 Broker-Dealers For Failures of Supervision Over Variable Annuitie
    The Financial Industry Regulatory Authority Inc. (FINRA) announced in a News Release on November 2, 2016 that it fined eight broker-dealer firms regarding failures to supervise the sale of variable annuities.  FINRA announced that…
  • Nov 1

    SEC Charges Broidy Wealth Advisors for Stealing From Client Account

    SEC Charges Broidy Wealth Advisors for Stealing From Client Account
    Securities & Exchange Commission (SEC) charged broker Marc Broidy and his firm, Broidy Wealth Advisors, for $1.4 million worth of ill-gotten gains, as per reports. It is believed that the firm profited off their client’s trusts by…
Rank this Week: 2296

Business Law Post

Business Law Post

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

http://www.businesslawpost.com
  • Nov 9

    FundersClub book: Understanding Startup Investment

    FundersClub book: Understanding Startup Investment
    Just recently, FundersClub, an online venture capital portal open to accredited investors, published a guide on startup investments. The guide is available online at their education center.  It's a great quick read for first time…
  • Nov 5

    Innovation among crowdfunding portals: a PBC that accepts Bitcoin

    Innovation among crowdfunding portals: a PBC that accepts Bitcoin
    Innovation in crowdfunding space continues, and I would like to report on two interesting developments.  Both have to do with the crowdfunding portal WeFunder, currently the largest Regulation Crowdfunding portal in the U.S. First,…
  • Nov 2

    Intrastate Offerings Made Easy

    Intrastate Offerings Made Easy
    Last week, the Securities and Exchange Commission (the "SEC") made an important step towards facilitating intrastate securities offerings.  Up until now, the intrastate securities offerings had to rely on Section 3(a)(11) and Rule 147…
Rank this Week: 2104

Wall Street Investment Fraud…

Wall Street Investment Fraud Lawyer Blog

Covers Ponzi schemes, investment fraud, and other scams. By The Doss Firm.

http://www.wallstreetinvestmentfraudlawyer.com/
Rank this Week: 1042

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Nov 7

    On This Record

    On This Record
    On the same day that it issued its “Model V” decision, the Second Circuit issued another opinion in the Vivendi securities litigation addressing whether “value investors” can invoke the fraud-on-the-market…
  • Oct 1

    Don’t Buy a “Model V”

    Don’t Buy a “Model V”
    In a typical securities fraud case, where the plaintiff alleges that a misrepresentation artificially inflated the company’s stock price, the defendant may be able to rebut reliance by providing evidence that there was no stock price…
  • Sep 12

    The Gold Standard

    The Gold Standard
    In securities class actions, plaintiffs sometimes struggle to establish loss causation where the market does not react consistently to the “revelations of the truth.” An interesting recent example can be found in a decision from…
Rank this Week: 927

Classified: The Class Action Blog

Classified: The Class Action Blog

A blog focused on the latest class action developments and trends by the attorneys of Carlton Fields Jorden Burt.

http://classifiedclassaction.com/
  • Nov 4

    Spokeo Gets Lyft Off

    Spokeo Gets Lyft Off
    The Northern District of California dismissed a Fair Credit Reporting Act case against Lyft upon finding that plaintiff lacked Article III standing based on the Supreme Court’s decision in Spokeo, Inc. v. Robins, 136 S.…
  • Oct 3

    Third Circuit Applies Presumption of Timeliness to Pre-Certification Motion to Intervene as Class Representative

    Third Circuit Applies Presumption of Timeliness to Pre-Certification Motion to Intervene as Class Representative
    This case concerned a federal antitrust class action involving a proposed class of Class 8 truck purchasers who alleged a conspiracy by several truck transmission suppliers and manufacturers to raise prices by eliminating competition among…
  • Sep 29

    Third Circuit Creates Framework for Analyzing Numerosity

    Third Circuit Creates Framework for Analyzing Numerosity
    The Third Circuit recently vacated class certification, granted by the Eastern District of Pennsylvania after nearly a decade of litigation, in an antitrust case alleging that a pharmaceutical company entered into agreements with four generic…
Rank this Week: 5006

Securities Fraud Attorney Blog

Securities Fraud Attorney Blog

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

http://www.securitiesfraudattorneyblog.com/
  • Oct 27

    Private Share Litigation Cases are Challenging

    Private Share Litigation Cases are Challenging
    In a very high profile private share litigation, Theranos, a privately held health-technology and medical-laboratory-services company worth $9 billion as of 2014, has been sued this Monday by one of its largest and trusted financial backers,…
  • Jun 19

    Split Decision on Arbitration in Bank of America Case

    Split Decision on Arbitration in Bank of America Case
    This week, a Florida appeals court partially reversed a ruling denying Bank of America’s efforts to arbitrate various claims related to the Scott Rothstein Ponzi scheme. Bank of America, N.A. v. Beverly, Nos. 4D14-3167, 4D14-3168 (Fla.…
  • Jun 19

    Split Decision on Arbitration in Bank of America Case

    Split Decision on Arbitration in Bank of America Case
    This week, a Florida appeals court partially reversed a ruling denying Bank of America’s efforts to arbitrate various claims related to the Scott Rothstein Ponzi scheme. Bank of America, N.A. v. Beverly, Nos. 4D14-3167, 4D14-3168 (Fla.…
Rank this Week: 2046

Securities Mining Law

Securities Mining Law

Covers securities law affecting the mining industry in Canada.

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

    Mining M&A and Consolidation: Are We There Yet?

    Mining M&A and Consolidation: Are We There Yet?
    For a third consecutive year, Dentons is proud to support the Mining & Investment Latin America Summit (MILA), the largest mining and investment event in Latin America, which was incepted in 2014. This year’s summit will host an…
  • Jun 9

    Compliance alert: Mine Financial Security, Reclamation and Closure Policy by Yukon Government

    Compliance alert: Mine Financial Security, Reclamation and Closure Policy by Yukon Government
    The Yukon Territorial Government has published a “Yukon Quartz Mine Financial Security, Reclamation and Closure Policy,” dated February 2016 (Policy). The Policy is intended to cover all lands in Yukon, whether Category…
  • May 20

    Insolvency and energy insights: The Redwater decision

    Insolvency and energy insights: The Redwater decision
    An Alberta court has held that provisions of the Bankruptcy and Insolvency Act allowing a trustee or receiver to disclaim real property without assuming environmental  liabilities in relation thereto renders inoperable provincial…
Rank this Week: 2808

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
  • Oct 18

    Attorney Mark Maddox quoted in IBJ article in Veros Case

    Attorney Mark Maddox quoted in IBJ article in Veros Case
    Click the link to view the article http://www.ibj.com/articles/60826-victims-to-collect-money-soon-in-veros-case The post Attorney Mark Maddox quoted in IBJ article in Veros Case appeared first on Maddox Hargett & Caruso.
  • Oct 11

    Morgan Stanley – Dishonest & Unethical Conduct Harms its Customer

    Morgan Stanley – Dishonest & Unethical Conduct Harms its Customer
    As reported this week in The Wall Street Journal (“Massachusetts Charges Morgan Stanley Over High-Pressure Sales Contest”), Massachusetts officials have charged Morgan Stanley with dishonest and unethical conduct for running…
  • Sep 30

    Breitburn Energy Partners LP Filed for Chapter 11 Bankruptcy Protection

    Breitburn Energy Partners LP Filed for Chapter 11 Bankruptcy Protection
    This past May, 2016, Breitburn Energy Partners LP filed for chapter 11 bankruptcy protection, another casualty of plunging oil prices. Many investors were sold this investment by their brokerage firms and financial advisors who failed to…
Rank this Week: 536

InvestorLawyers.net

InvestorLawyers.net

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

http://www.investorlawyers.net/blog/
  • Oct 13

    Former NEXT Financial Broker Douglas P. Simanski Barred for Alleged Theft

    Former NEXT Financial Broker Douglas P. Simanski Barred for Alleged Theft
      Financial Industry Regulatory Authority (FINRA) records indicate that Douglas P. Simanski (Simanski), a former stockbroker who was associated with NEXT Financial Group, has been permanently barred from the brokerage…
  • Oct 13

    Platinum Partners Hedge Funds Under Scrutiny

    Platinum Partners Hedge Funds Under Scrutiny
    Platinum Partners LP Funds are under scrutiny after federal agents reportedly raided the funds’ New York offices in July 2016.  Hedge fund entities sponsored by Platinum Partners include the Platinum Partners Value Arbitrage Funds,…
  • Oct 13

    FINRA Fines Investors Capital Over Unit Investment Trust Sale

    FINRA Fines Investors Capital Over Unit Investment Trust Sale
    The Financial Industry Regulatory Authority (FINRA) recently fined Investors Capital Corporation $250,000 over the sale of unit investment trusts (UITs).  Investors Capital did not admit or deny the allegations leading to the fine, but…
Rank this Week: 1730

Andrew Abramowitz, PLLC

Andrew Abramowitz, PLLC

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

http://aalegalnyc.com/blog/
  • Oct 6

    Recent Trends in Financing Startup

    Recent Trends in Financing Startup
    The Wall Street Journal recently detailed trends in how startups are financing themselves. If you don’t have a Journal subscription, this article will likely be behind a paywall, but to sum it up, young businesses are using bank loans…
  • Sep 28

    Should You Start Your Legal Career at a Big Firm?

    Should You Start Your Legal Career at a Big Firm?
    John Balestriere, writing in Above the Law, argues that young attorneys should not feel bound to follow the standard advice to start one’s career at a large firm to get “training.” As someone who spent 12 years at large…
  • Sep 16

    Increased Scrutiny of Non-Competes in New York

    Increased Scrutiny of Non-Competes in New York
    Although it has historically been relatively easy for companies to enforce non-competition agreements against employees in New York State, compared to, say, California, where such provisions are unenforceable, the New York Attorney…
Rank this Week: 4470

SEC Whistleblower Lawyer Blog

SEC Whistleblower Lawyer Blog

Covers securities law. By Silver Law Group & The Law Firm of David R. Chase, P.A.

http://www.secwhistleblowerlawyers.net/
Rank this Week: 4979

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • Sep 28

    NASAA Releases Its 2016 Enforcement Report

    NASAA Releases Its 2016 Enforcement Report
    The North American Securities Administrators Association (NASAA) recently released its Enforcement Report for 2016, an annual publication providing a general overview of the activities of the state securities agencies responsible for the…
  • Sep 21

    Financial Advisors Expunging Baseless Customer Complaints in State Court

    Financial Advisors Expunging Baseless Customer Complaints in State Court
    The Internet is awash with articles about “bad brokers” with clean U-4s, and “rouge brokers” obtaining expungements of valid customer complaints.  Indeed, studies have been published ostensibly demonstrating that…
  • Jul 29

    A SHOT ACROSS THE BOW OF ROBO-ADVISERS

    A SHOT ACROSS THE BOW OF ROBO-ADVISERS
    The Massachusetts Securities Division – one of the most active and sophisticated in the nation – recently issued a Policy Statement “to provide its state-registered investment advisers who establish concurrent or…
Rank this Week: 1248

Business Blog

Business Blog

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

http://www.businesslawnews.com/
  • Sep 27

    Business Cases to Watch on U.S. Supreme Court’s Docket

    Business Cases to Watch on U.S. Supreme Court’s Docket
    September also means the end of summer break for the U.S. Supreme Court. When the justices return to the bench for the October 2016 Term, they will consider a number of key commercial law issues. This post offers a brief summary of several…
  • Aug 17

    Are Employee Breaks Mandated by New Jersey Law?

    Are Employee Breaks Mandated by New Jersey Law?
    Are you required to provide employee breaks? Both employers and employees alike are often surprised to learn that federal employment laws do not require employers to set specific intervals or even make time for employees to take work breaks…
  • Aug 2

    SEC Adopts New Rules for Administrative Proceeding

    SEC Adopts New Rules for Administrative Proceeding
    What You Need to Know about the SEC’s New Rules for Administrative Proceedings The Securities and Exchange Commission (SEC) recently adopted several amendments to its rules of practice governing administrative proceedings. According to…
Rank this Week: 784