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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…
  • Sep 24

    SEC Charges Tycoon Energy Inc and Its President with Running a $5.6 Million Fraud

    SEC Charges Tycoon Energy Inc and Its President with Running a $5.6 Million Fraud
    Going Public LawyerThe Securities and Exchange Commission  (“SEC”) charged Tycoon Energy, Inc. and its president, Matthew Dee Nerbonne, with orchestrating an oil and gas fraud. The SEC’s complaint, filed on September 9,…
Rank this Week: 477

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…
  • Sep 21

    Hedge Fund Manager Faces SEC Charges For Insider Trading

    Hedge Fund Manager Faces SEC Charges For Insider Trading
    The SEC has filed insider trading civil charges against Leon G. Cooperman and his Omega Advisors. According to the regulator, the hedge fund manager made illicit profits when he bought Atlas Pipeline Partners  securities right before it…
Rank this Week: 1023

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/
  • Dec 31

    Puerto Rico Will Make $330M in Bond Payments, Defaults on About $37M

    Puerto Rico Will Make $330M in Bond Payments, Defaults on About $37M
    The U.S. Commonwealth of Puerto Rico will pay about $330 million of what it owes on general obligation bonds, while defaulting on bonds of approximately $37 million that are mostly owed to the Puerto Rico Infrastructure Financing Authority…
  • Dec 26

    Man Released from Prison Faces New Fraud Charges in $11M Investor Stock Scam

    Man Released from Prison Faces New Fraud Charges in $11M Investor Stock Scam
    The Securities and Exchange Commission is charging Edward Durante with bilking investors once again. Durante, who already served a 10-year sentence for a previous securities fraud conviction, is accused of using different aliases to defraud…
  • Sep 22

    FINRA Sanctions Avenir Financial Group For Fraud

    FINRA Sanctions Avenir Financial Group For Fraud
    The Financial Industry Regulatory Authority has ordered Avenir Financial Group to pay a $229K fine over allegations that the latter engaged in the fraudulent sale of promissory notes and equity interests in the firm. Avenir is suspended from…
Rank this Week: 151

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • Sep 25

    D&O Insurance: Consent Judgment Including Covenant Not to Execute Constitutes “Loss”

    D&O Insurance: Consent Judgment Including Covenant Not to Execute Constitutes “Loss”
    In order to try to resolve litigation pending against them, policyholders sometimes enter a settlement in which they agree to the entry of a consent judgment against them and to the assignment to the claimants of their rights under their…
  • Sep 22

    Guest Post: Ninth Circuit Clarifies What Might Trigger SOX 304 Disgorgement

    Guest Post: Ninth Circuit Clarifies What Might Trigger SOX 304 Disgorgement
    Among the many issues arising under the Sarbanes-Oxley Act are questions surrounding disgorgement under Section 304, particularly questions concerning what actions and whose actions might trigger disgorgement. In the following guest post,…
  • Sep 21

    Cybersecurity Disclosure Practices: What’s Up With That?

    Cybersecurity Disclosure Practices: What’s Up With That?
    Cybersecurity has been and remains one of the hot topics in corporate governance. Several federal regulatory agencies, including the SEC, have made it clear that cybersecurity is a high priority item and at the top of their agenda. The…
Rank this Week: 147

Securities Law Prof Blog

Securities Law Prof Blog

Covers securities arbitration, state securities law, court decisions and law review articles. By Eric C. Chaffee.

http://lawprofessors.typepad.com/securities/
  • Sep 25

    Nagy on Insider Trading

    Nagy on Insider Trading
    Donna M. Nagy has posted Beyond Dirks: Gratuitous Tipping and Insider Trading on SSRN with the following abstract: Does a corporate insider who gratuitously shares material nonpublic information with a friend or relative — with no…
  • Sep 25

    Majumdar & Varottil on Crowdfunding in India

    Majumdar & Varottil on Crowdfunding in India
    Arjya B. Majumdar and Umakanth Varottil have posted Regulating Equity Crowdfunding in India: Walking a Tightrope on SSRN with the following abstract: Start-up companies face difficulties in raising finances, and the situation has intensified…
  • Sep 25

    Caytas on Clearing and Settlement

    Caytas on Clearing and Settlement
    Joanna Diane Caytas has posted Developing Blockchain Real-Time Clearing and Settlement in the EU, U.S., and Globally on SSRN with the following abstract: Clearing and settlement of international securities transactions for indirectly held…
Rank this Week: 99

Securities Law Attorneys Blog

Securities Law Attorneys Blog

Covers securities law. By Fitapelli | Kurta.

http://www.securitieslawattorneys.net/
  • Sep 23

    Eric Ott is Subject of Pending State Investigation

    Eric Ott is Subject of Pending State Investigation
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 29, 2016 indicate that former Ohio-based MML Investors Services broker Eric Ott is the subject of a pending regulatory investigation. The…
  • Sep 23

    Ralph Savoie Permanently Barred from Securities Industry

    Ralph Savoie Permanently Barred from Securities Industry
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 29, 2016 indicate that former Louisiana-based Cambridge Investment Research broker Ralph Savoie has been permanently barred from acting as a…
  • Sep 23

    Jerald Halverson Resigned from UBS After Investigation

    Jerald Halverson Resigned from UBS After Investigation
    Public records published by the Financial Industry Regulatory Authority (FINRA) on August 29, 2016 indicate that Oregon-based First Republic Securities Company broker/adviser Jerald Halverson, also known as Jay Halverson, is the subject of a…
Rank this Week: 3675

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Sep 23

    James Jurczak Sanctioned by FINRA for Alleged Outside Business Activity

    James Jurczak Sanctioned by FINRA for Alleged Outside Business Activity
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on August 29, 2016 indicate that former Maine-based H Beck broker James Jurczak is currently not licensed to act as a broker or an investment adviser.…
  • Sep 23

    Christopher Wacker Sanctioned by FINRA, Terminated from Firm

    Christopher Wacker Sanctioned by FINRA, Terminated from Firm
    Public records provided by the Financial Industry Regulatory Authority (FINRA) on August 29, 2016 indicate that former Wisconsin-based Park Avenue Securities broker Christopher Wacker is currently not licensed to act as a broker or an…
  • Sep 23

    Geri Delfino Sanctioned by FINRA

    Geri Delfino Sanctioned by FINRA
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 29, 2016 indicate that former New Jersey-based Ameriprise Financial Services broker Geri Delfino is currently not licensed to act as a broker…
Rank this Week: 1437

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/
  • Sep 23

    ''Movie Studio'' Executives Charged With Microcap Fraud

    ''Movie Studio'' Executives Charged With Microcap Fraud
    The Securities and Exchange Commission today charged three company executives with defrauding investors in a purported project to construct the largest movie studio in North America at a suburban location outside Savannah, Georgia. The…
  • Sep 22

    PNC Employee Wins U-5 Expungement and Damage

    PNC Employee Wins U-5 Expungement and Damage
    A former broker at PNC sued PNC for a dirty U-5, alleging defamation, libel, misconduct, wrongful termination, and wrongdoing in connection with the termination of his employment. A FINRA arbitration panel awarded him over $100,000, plus…
  • Sep 21

    Blank Check Company Manufacturer Charged With Fraud

    Blank Check Company Manufacturer Charged With Fraud
    The Securities and Exchange Commission today announced fraud charges against a Florida man who was part of a scheme to register and sell stock in blank check companies masked as promising startups to illicitly profit off the investing…
Rank this Week: 498

The White Law Group's Securities…

The White Law Group's Securities Fraud Blog

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

http://www.whitesecuritieslaw.com/securities-fraud/blog/
  • Sep 23

    What is Failure to Supervise? FINRA RULE 3110 (SUPERVISION)

    What is Failure to Supervise? FINRA RULE 3110 (SUPERVISION)
    According to the Financial Industry Regulatory authority (FINRA) FINRA Rule 3110 requires a firm to establish and maintain a system to supervise the activities of its associated persons that is reasonably designed to achieve compliance…
  • Sep 23

    Investor Red Flag

    Investor Red Flag
    Investor Alert: Investor Red Flags – From the U.S. Securities & Exchange Commission Investment  offers may promise to pay sky-high returns for what are at best extremely risky propositions — and at worst are pure frauds.…
  • Sep 23

    FINRA Fines San Antonio Brokerage Firm

    FINRA Fines San Antonio Brokerage Firm
    Texas-based broker-dealer Investment Professionals Inc. (IPI) has been censured and fined $170,000 by the Financial Industry Regulatory Authority (FINRA). IPI is headquartered in San Antonio, TX since it was established in 1992, with over…
Rank this Week: 344

Financial Counsel

Financial Counsel

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

http://financialcounselblog.com
  • Sep 23

    13 Firms Fined for Communicating F-Squared’s False Performance Claim

    13 Firms Fined for Communicating F-Squared’s False Performance Claim
    From the Desk of Jim Eccleston at Eccleston Law LLC:The Securities and Exchange Commission has issued penalties against 13 investment advisory firms found to have violated securities laws by spreading false claims.The SEC found that the 13…
  • Sep 22

    FINRA Fines Ameriprise $850K For Supervisory Failure

    FINRA Fines Ameriprise $850K For Supervisory Failure
    From the Desk of Jim Eccleston at Eccleston Law LLC:Ameriprise was fined $850,000 by FINRA because it failed to superviseone of its registered representatives.  The Ameriprise representative served as a sales assistant and office manager…
  • Sep 20

    The SEC Bars Logos Wealth Advisors Founder & Fund Manager

    The SEC Bars Logos Wealth Advisors Founder & Fund Manager
    From the Desk of Jim Eccleston at Eccleston Law LLC:The Securities and Exchange Commission has barred Logos Wealth Advisors founder Paul Mata and his fund manager David Kayatta forfraudulently raising more than $14 million from investors.…
Rank this Week: 142

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Sep 23

    Governance pros testify on shareholder proposals, disclosure

    Governance pros testify on shareholder proposals, disclosure
    By Anne Sherry, J.D.A House Financial Services subcommittee hearing with the broad title of “Corporate Governance: Fostering a System that Promotes Capital Formation and Maximizes Shareholder Value” ended up focusing somewhat…
  • Sep 22

    Office of the Chief Accountant personnel offer updates at AICPA banking conference

    Office of the Chief Accountant personnel offer updates at AICPA banking conference
    By Jacquelyn LumbStaff from the SEC’s Office of the Chief Accountant provided updates at the AICPA’s annual conference on banking and savings institutions, which included the areas of internal control over financial reporting,…
  • Sep 21

    MSRB touts core Dodd-Frank adviser reforms in letter to Congre

    MSRB touts core Dodd-Frank adviser reforms in letter to Congre
    By Mark S. Nelson, J.D.The Municipal Securities Rulemaking Board told members of Congress that it has implemented a suite of core rules dealing with oversight of municipal advisers within the $3.7 trillion municipal securities market. The…
Rank this Week: 149

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Sep 23

    Corp Fin: New CDI on 401(k) Broker Window

    Corp Fin: New CDI on 401(k) Broker Window
    Yesterday, Corp Fin issued this new “CDI 139.33/126.41” under the Securities Act Section 5/Form S-8 areas – while withdrawing “CDI 239.16/226.15.” The new CDI deals with whether a company-sponsored 401(k) plan…
  • Sep 22

    Broc & John: “Blues Brothers Don’t Have Nothing on Us”

    Broc & John: “Blues Brothers Don’t Have Nothing on Us”
    John & I had a lot of fun taping our first “news-like” podcast. This 9-minute podcast is about director compensation & Smithsonian museums – the new African-American museum is opening this weekend (it’s already…
  • Sep 21

    Auditor Independence: SEC Settles 1st Violation Caused By Personal Relationship

    Auditor Independence: SEC Settles 1st Violation Caused By Personal Relationship
    Here’s the intro from this Cooley blog: In two orders made public today, the SEC announced settled charges against EY and individual EY auditors with regard to alleged violations of the auditor independence rules as a result of…
Rank this Week: 292

California Corporate & Securities…

California Corporate & Securities Law

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

http://calcorporatelaw.com/
  • Sep 23

    SEC Overlooks Nevada’s Transfer Agent Licensing Law

    SEC Overlooks Nevada’s Transfer Agent Licensing Law
    Transfer agents provide a number of crucial services, primarily for publicly traded companies.  Among other responsibilities, they maintain ownership records, record security transfers, issue and cancel certificates and distribute…
  • Sep 22

    Does California Corporate Law Really Govern 20% of All Public Companies?

    Does California Corporate Law Really Govern 20% of All Public Companies?
    On Tuesday, the Deal Professor (aka Berkeley Law School Professor Steven Davidoff Solomon) wrote an interesting column for The New York Times’ Dealb%k.  According to the Professor, California is the headquarters state for 20%…
  • Sep 21

    Can Limited Partnerships Have Officers?

    Can Limited Partnerships Have Officers?
    Can limited partnerships have officers?  In many cases, individuals with officer titles will actually be officers of the general partner.  My question is whether a limited partnership itself may have officers. Two provisions of…
Rank this Week: 373

New York Securities Lawyer Blog

New York Securities Lawyer Blog

Covers securities law. By Lax & Neville LLP.

http://www.newyorksecuritieslawyerblog.com/
Rank this Week: 4250

Corporate Securities Law Blog

Corporate Securities Law Blog

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

http://www.corporatesecuritieslawblog.com/
Rank this Week: 451

May Law, PC Blog

May Law, PC Blog

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

http://www.maylawpc.net/category/blog/
  • Sep 22

    Is There “Gold” In Your Old Daily Or Monthly Statements?

    Is There “Gold” In Your Old Daily Or Monthly Statements?
    Class Action Settlement on Alleged Manipulation Offers to turn old paper or electronic statements into cold, hard cash! WHO: People who traded futures and/or options on futures…
  • Jun 23

    FINRA Takes a Closer Look at Variable Annuity Sale

    FINRA Takes a Closer Look at Variable Annuity Sale
    The things we spend our money on tend to change as we get older. There’s a good chance you have a lot more money in your pocket…
  • Jun 2

    Who is May Law?

    Who is May Law?
    Press play on the video below for an inside look into what sets May Law apart from other firms and why Andrew May feels so passionately about…
Rank this Week: 4620

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

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

    Woodbury Financial Terminates Broker David Ross Over Private Securities Transaction

    Woodbury Financial Terminates Broker David Ross Over Private Securities Transaction
    The investment fraud lawyers of Gana LLP are investigating the employment termination filed with The Financial Industry Regulatory Authority (FINRA) by Woodbury Financial Services, Inc. (Woodbury Financial) involving broker David Ross (Ross).…
  • Sep 21

    Morgan Stanley Terminates Broker Brian Sak Over Outside Business Activitie

    Morgan Stanley Terminates Broker Brian Sak Over Outside Business Activitie
    The investment fraud lawyers of Gana LLP are investigating the employment termination filed with The Financial Industry Regulatory Authority (FINRA) by Morgan Stanley involving broker Brian Sak (Sak). According to BrokerCheck records Sak is…
  • Sep 21

    Broker Investigation: Advisor Bassam Salem

    Broker Investigation: Advisor Bassam Salem
    The securities lawyers of Gana LLP are investigating a customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Bassam Salem (Salem).  According to BrokerCheck records Salem has been subject to at…
Rank this Week: 1770

DealLawyers.com Blog

DealLawyers.com Blog

Covers mergers & acquisitions. From editor Broc Romanek, who is also editor of TheCorporateCounsel.net.

http://www.deallawyers.com/Blog/
  • Sep 22

    Disclosure-Only Settlements After Trulia

    Disclosure-Only Settlements After Trulia
    This blog from Anthony Rickey of Margrave Law reports on his survey of post-Trulia disclosure-only settlements in Delaware and other jurisdictions – and the results may come as a bit of a surprise: The Walgreen decision has…
  • Sep 21

    Due Diligence: Don’t Overlook FCC Licenses!

    Due Diligence: Don’t Overlook FCC Licenses!
    This Davis Wright memo reminds buyers not to overlook FCC licenses in their due diligence investigations – even in deals that don’t involve telecom companies: All sorts of non-telecommunications companies – energy…
  • Sep 20

    Director Interlocks: DOJ Enforcement Activity

    Director Interlocks: DOJ Enforcement Activity
    In this memo, Goodwin Procter reviews recent FTC & DOJ enforcement activity dealing with the Clayton Act’s prohibition on director interlocks – and offers some practical compliance advice: – Be…
Rank this Week: 579

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 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…
  • 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

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: 4902

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/
  • Sep 21

    SEC Issues $4 Million Whistleblower Award; Program Surpasses $111 Million Total Award

    SEC Issues $4 Million Whistleblower Award; Program Surpasses $111 Million Total Award
    The Securities and Exchange Commission announced on September 20, 2016 an award of over $4 million to a whistleblower.  The whistleblower’s original information alerted the SEC to a fraud. The SEC whistleblower program was…
  • Sep 14

    Insider Whistleblowers in the Financial Advice Sector Set to Increase

    Insider Whistleblowers in the Financial Advice Sector Set to Increase
    Insiders in the investment advice sector are starting to grow bolder and start a trend of notifying the SEC of bad-acting firms and principals. On August 30, 2016, the Securities and Exchange Commission announced another whistleblower award…
  • Sep 14

    How Contingency Fees Work for Whistleblower

    How Contingency Fees Work for Whistleblower
    Litigating a case can take a long time and accrues many costs and fees.  Among those fees include filing costs, the cost of hiring an expert to testify, the cost of various office tasks such as printing and mailing, and many…
Rank this Week: 4967

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: 4259

Securities Litigation and…

Securities Litigation and Regulatory Enforcement Blog

Covers SEC investigations, insider trading, derivative actions, white collar defense, and whistleblowers. By Orrick, Herrington & Sutcliffe LLP.

http://blogs.orrick.com/securities-litigation/
  • Sep 21

    Too Good to Be True: Fraudulent Self-Promotion Lands “Prodigy” in Hot Water with SEC

    Too Good to Be True: Fraudulent Self-Promotion Lands “Prodigy” in Hot Water with SEC
    In June 2014, the Office of Investor Education and Advocacy at the Securities and Exchange Commission issued an alert cautioning that investment newsletters are often “used to carry out schemes designed to deceive investors.” In…
  • Sep 16

    The SEC Wins First Jury Trial in a Muni Case: SEC v. City of Miami and Michael Boudreaux

    The SEC Wins First Jury Trial in a Muni Case: SEC v. City of Miami and Michael Boudreaux
    In what the SEC called “the first federal jury trial by the SEC against a municipality or one of its officers for violations of the federal securities laws,” a jury in the U.S. District Court for the Southern District of Florida…
  • Sep 13

    SEC Granted Reversal, Remand and Jury Trial from the Ninth Circuit

    SEC Granted Reversal, Remand and Jury Trial from the Ninth Circuit
    On August 31, 2016, the SEC caught a break when a Ninth Circuit panel reversed Judge Manuel L. Real’s bench trial verdict for defendants, former corporate officers of the now-defunct Basin Water, Inc., finding that the SEC was…
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/
  • Sep 21

    Read This Before You Cash That Check

    Read This Before You Cash That Check
    One scam still making the rounds is the fake check scam.  The way it generally works is this.  You receive an authentic-looking check in the mail that appears to be from a real company. Along with the check, you receive instructions…
  • Sep 19

    Wells Fargo to Pay $185 Million to Settle Allegations of Fraudulent Sales Practice

    Wells Fargo to Pay $185 Million to Settle Allegations of Fraudulent Sales Practice
    Wells Fargo & Co. has agreed to pay $185 million to settle federal regulators’ investigation for illegal sales practices.  The bank acknowledged that it pushed employees to open as many as 2 million accounts without…
  • Sep 7

    Options 101: The Basics of Trading Stock Option

    Options 101: The Basics of Trading Stock Option
    Options are complex investments and can carry substantial risk. Before you decide to trade options, you should understand the basics. Options can be used with a wide range of financial products.  This blog will focus on the most vanilla…
Rank this Week: 763

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: 1946

Tim O'Connor's Blog

Tim O'Connor's Blog

Covers stockbroker fraud.

http://stockbrokerlaw.com/tim-oconnors-blog
  • Sep 20

    Morgan Stanley Pays Million Dollar Fine in Hacked Customer Data Case

    Morgan Stanley Pays Million Dollar Fine in Hacked Customer Data Case
    The SEC announced in a press release dated June 8, 2016 that Morgan Stanley Smith Barney, LLC has agreed to pay a $1 million penalty to settle charges relating to alleged failures to protect confidential customer information. The SEC also…
  • Sep 13

    FINRA Issues Investor Alert on Non-Traded REIT’

    FINRA Issues Investor Alert on Non-Traded REIT’
    In a recent investor alert, the Financial Industry Regulatory Authority (FINRA) issued an Investor Alert warning investors of the problems associated with non-traded Real Estate Investment Trusts (REIT’s). The investor alert noted…
  • Sep 6

    Whistleblower and Qui Tam Recoverie

    Whistleblower and Qui Tam Recoverie
    A number of civil recovery provisions under Federal and State Law, as well as the rules and procedures of the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission afford workers significant rights and the…
Rank this Week: 2972

New York Securities Lawyers Blog

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

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

    The SEC Has Brought Charges Against Two Executives for Accounting Fraud in Nicholas Schorch’s flagship REIT Company

    The SEC Has Brought Charges Against Two Executives for Accounting Fraud in Nicholas Schorch’s flagship REIT Company
    According to published materials, two years ago the SEC started investigating, American Realty Capital Properties Inc (ARCP) and its executives, for allegedly overstating financial results and deliberate concealment of financial mistakes,…
  • Sep 7

    BROKER REPORT: Anthony Librizzi Suspended By FINRA

    BROKER REPORT: Anthony Librizzi Suspended By FINRA
    The investment and securities fraud attorneys at Malecki Law are interested in hearing from investors who have complaints regarding L.O. Thomas & Co , Inc. financial advisor Anthony Librizzi. According to his BrokerCheck report maintained…
  • Sep 6

    BROKER REPORT: Financial Advisor Megan Resch

    BROKER REPORT: Financial Advisor Megan Resch
    The securities fraud attorneys at Malecki Law are interested in hearing from investors who have complaints against stockbroker Megan Resch.  Ms. Resch is currently registered to sell securities with LPL Financial LLC in…
Rank this Week: 2320

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
  • Sep 15

    Federal Prosecutors Target Wells Fargo

    Federal Prosecutors Target Wells Fargo
    An article this week in The Wall Street Journal (“Federal Prosecutors Investigating Wells Fargo Over Sales Tactics”) stated that federal prosecutors are in the early stages of an investigation into sales practices at Wells Fargo…
  • Aug 11

    FINRA Targets Business Development Companies (BDCs)

    FINRA Targets Business Development Companies (BDCs)
    The Financial Industry Regulatory Authority (“FINRA”) has launched an examination sweep of non-traded business development companies (“BDCs”), the latest alternative investment product to receive increased scrutiny…
  • Jun 28

    Merrill Lynch Market-Linked Notes: Investor Beware?

    Merrill Lynch Market-Linked Notes: Investor Beware?
    Merrill Lynch underwrites, manages and markets the sale of Market-Linked Notes issued by its parent company, Bank of America Corporation, and numerous other unaffiliated banks. Market-Linked Notes were purportedly recommended by Merrill Lynch…
Rank this Week: 537

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • Sep 15

    Do you really want to hire that broker with a checkered past

    Do you really want to hire that broker with a checkered past
    That is the question that the SEC has essentially posed for registered investment advisers in a National Exam Program Risk Alert. In doing so, the SEC has stated that it will be “examining compliance oversight and controls of registered…
  • Sep 13

    The More Things Change the More They the Same….

    The More Things Change the More They the Same….
    Given the start of the NFL season and the post-Labor Day last leg of the presidential campaign season, it reminded me of a blog entry that I posted in August 2012, regarding picking a winner for the then presidential race based upon the…
  • Sep 6

    Is this the first shot in the SEC’s war against social media?

    Is this the first shot in the SEC’s war against social media?
      The SEC has repeatedly included issues around social media in its annual exam priorities for investment advisers. With the SEC’s recent release of a final rule on the subject, the SEC has taken that “exam priority” to…
Rank this Week: 1287

Recover Investment Losses Blog

Recover Investment Losses Blog

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

http://blog.rexsecuritieslaw.com
Rank this Week: 2774

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • 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…
  • Aug 19

    A More Sober Approach

    A More Sober Approach
    The author of The 10b-5 Daily has a guest post on Forbes concerning the use of confidential witnesses in securities class actions.  Please give it a read.
  • Jul 6

    Scienter Samba

    Scienter Samba
    The Sixth Circuit continues to be a source of interesting opinions regarding corporate scienter.  In 2014, the court held in its Omnicare decision that only a limited set of corporate officers (including officers who had either…
Rank this Week: 922

Canadian Securities Law Online

Canadian Securities Law Online

Covers Canadian securities law topics, including disclosures, corporate governance, mergers, registration and compliance. By Stikeman Elliott.

http://www.canadiansecuritieslaw.com/
  • Sep 12

    New TSX dividend reinvestment plan rules adopted

    New TSX dividend reinvestment plan rules adopted
    The Toronto Stock Exchange (TSX) has adopted amendments to the TSX Company Manual (the Manual) intended to provide a complete set of standards and practices (the DRIP Rules) for dividend reinvestment plans (DRIPs). The amendments follow the…
  • Aug 19

    Rights offering amendments for TSXV issuer

    Rights offering amendments for TSXV issuer
    Amendments to TSX Venture Exchange (TSXV) Policy 4.5 – Rights Offerings are now in effect reflecting guidance released by the TSXV earlier this year following the adoption by the Canadian Securities Administrators (the CSA) of…
  • Aug 19

    T+2 settlement prompts proposed amendments to NI 24-101 and publication of consultation paper

    T+2 settlement prompts proposed amendments to NI 24-101 and publication of consultation paper
    The migration to a standard T+2 settlement cycle on September 5, 2017 is part of the impetus for amendments proposed by the Canadian Securities Administrators (CSA) to National Instrument 24-101 Institutional Trade Matching and Settlement (NI…
Rank this Week: 486

Business Law Post

Business Law Post

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

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

    Title III Crowdfunding Update

    Title III Crowdfunding Update
    I recently listened to a webinar regarding equity crowdfunding by the Angel Capital Association.  It was very informative, and I decided to share with you some insights.  You can listen to the full webinar here.  Here are their…
  • Aug 25

    Regulation Crowdfunding: Are You the Right Candidate for It?

    Regulation Crowdfunding: Are You the Right Candidate for It?
    As you all probably already know, in 2015 the Securities and Exchange Commission (or the SEC) adopted Regulation Crowdfunding to implement Title III of the Jumpstart Our Business Startups (JOBS) Act.  The Regulation Crowdfunding (or…
  • Mar 8

    Electronic Signatures: OK to Use?

    Electronic Signatures: OK to Use?
    This blog post focuses on the use and validity of electronic signatures. We will first investigate what constitutes an "electronic signature", we will then discuss the validity and enforceability of electronic signatures, and finally, we will…
Rank this Week: 2105

Broke and Broker

Broke and Broker

Covers the Wall Street docket of criminal, civil, regulatory, and arbitration cases. By Bill Singer.

http://brokeandbroker.com/index.php
  • Sep 9

    BrokeAndBroker.com by Bill Singer WEEK IN REVIEW

    BrokeAndBroker.com by Bill Singer WEEK IN REVIEW
    SEC Says Independence Compromised By Auditor And Client FriendshipWhen does a relationship between an auditor and the audit client become too close so as to cross over the line from merely a "close personal relationship" and wind up in the…
  • Sep 9

    SEC Says Independence Compromised By Auditor And Client Friendship

    SEC Says Independence Compromised By Auditor And Client Friendship
    When does a relationship between an auditor and the audit client become too close so as to cross over the line from merely a "close personal relationship" and wind up in the land of "compromising?" A recent Securities and Exchange Commission…
  • Sep 9

    Stockbroker Slips Off Plymouth Rock Movie Studio Deal

    Stockbroker Slips Off Plymouth Rock Movie Studio Deal
    In today's BrokeAndBroker.com Blog, publisher Bill Singer, Esq. makes it clear that FINRA got its man dead to rights. FINRA's Private Securities Transaction Rule requires prior written notice, and that notice did not seem to have been…
Rank this Week: 1362

Footnoted

Footnoted

Reports on actionable information in SEC filings.

http://www.footnoted.com/
  • Sep 6

    Two favorites from the Friday Night Dump

    Two favorites from the Friday Night Dump
    Here's two filings that caught our attention from the pre-Labor Day Friday Night Dump.
  • Aug 25

    More guessing at Barnes & Noble

    More guessing at Barnes & Noble
    Barnes & Noble is at it again: leaving investors to guess what kind of severance its most recent CEO will wind up getting.
  • Aug 2

    A year too late for Barnes & Noble

    A year too late for Barnes & Noble
    In its proxy, Barnes & Noble disclosed for the first time that former CEO Michael Huseby received $15.7 million in severance.
Rank this Week: 4332

Andrew Abramowitz, PLLC

Andrew Abramowitz, PLLC

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

http://aalegalnyc.com/blog/
  • Sep 6

    Startup Valuations and Plain English

    Startup Valuations and Plain English
    Writing his usual daily roundup in Bloomberg View, Matt Levine, a former corporate attorney and investment banker who is perhaps the only person in the world who writes in a laugh-out-loud manner about securities law, raises interesting…
  • Aug 26

    Elements of a Client Pitch

    Elements of a Client Pitch
    Gary J. Ross, like me a former BigLaw corporate and securities attorney who launched his own practice, writes in Above the Law about different types of client pitches, and which are the most effective. After detailing some lame and/or…
  • Aug 13

    Uber-ing Legal Staffing

    Uber-ing Legal Staffing
    Gaston Kroub, writing in Above the Law, features Per Diem Attorney NOW, an on-demand service for court appearance coverage needs. This particular service isn’t relevant to my corporate transactional law practice (I’ve spent more…
Rank this Week: 4484

The Securities Edge

The Securities Edge

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

http://www.thesecuritiesedge.com/
  • Aug 26

    SEC Attacks Standard Severance Agreements–Companies Would be Well Advised to Take Notice and Adjust Accordingly

    SEC Attacks Standard Severance Agreements–Companies Would be Well Advised to Take Notice and Adjust Accordingly
    Posted By: Contributing Author We are pleased to provide a posting from our colleague, Holly L. Griffin, an attorney in Gunster’s Labor and Employment practice group. Within the course of one week, the SEC took administrative action…
  • Aug 2

    Moving Rapidly into the 90

    Moving Rapidly into the 90
    Posted By: Robert B. Lamm If you’ve been reading our posts (and probably even if you haven’t), you should know by now that the SEC has launched a “disclosure effectiveness” initiative and has already taken actions to…
  • Jul 25

    Top Five Considerations in a Challenging IPO Market

    Top Five Considerations in a Challenging IPO Market
    Posted By: Robert B. Lamm This posting is a reprint of an article, co-authored by Bob Lamm and David Scileppi, that appeared in the Daily Business Review on July 15, 2016.     Recent months have been difficult for the initial…
Rank this Week: 3157

Business Blog

Business Blog

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

http://www.businesslawnews.com/
  • 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…
  • Jul 26

    OSHA Fines Will Soon Become Very Costly

    OSHA Fines Will Soon Become Very Costly
    Fines assessed by Occupational Safety and Health Administration (OSHA) will increase significantly next month. OSHA is one of several government agencies that must increase its civil monetary penalties pursuant to the Federal Civil Penalties…
Rank this Week: 786

Amato Law Firm, LLC Blog

Amato Law Firm, LLC Blog

Overview of current developments in the area of securities law with a focus on securities arbitration and broker-dealer regulation.

http://www.ramatolaw.com/blog1
  • Aug 4

    FINRA Recently Reminds Firms of Clients’, Associated Persons’ Right to Arbitrate

    FINRA Recently Reminds Firms of Clients’, Associated Persons’ Right to Arbitrate
    In a recently published Regulatory Notice (FINRA Regulatory Notice 16-25), FINRA sought to remind customers, as well as associated persons, of their right to arbitrate within the FINRA forum “at any time.”  In short, FINRA…
  • May 16

    Credit Suisse Deferred Compensation Claim

    Credit Suisse Deferred Compensation Claim
    Amato Law Firm, LLC is investigating claims against Credit Suisse (CS) on behalf of its former U.S.-based advisers who have transitioned to firms other than Wells Fargo Advisors.  As recently reported in On Wall Street, more than…
  • Feb 24

    United Development Funding Investment Losse

    United Development Funding Investment Losse
    The securities law firm of Amato Law Firm, LLC is investigating potential securities law claims involving United Development Funding (UDF) and its real estate investment trusts (REITs) including United Development Funding IV (UDF IV), a…
Rank this Week: 3757

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 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…
  • Jun 24

    Yuengling to Settle Up on Expensive Tab after Feds Discover Excessive Suds Byproducts in Water

    Yuengling to Settle Up on Expensive Tab after Feds Discover Excessive Suds Byproducts in Water
    Someone at local D.G. Yuengling and Son, Inc. could probably go for a cold one right now, as settlement negotiations with the U.S. Environmental Protection Agency (“USEPA”) have finally come to a head.   In a consent…
Rank this Week: 4314

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 14

    Using Common Sense Can Keep You Safe From a Ponzi Scheme

    Using Common Sense Can Keep You Safe From a Ponzi Scheme
    This article was originally posted on Stock Market Loss Put as simply as possible, a Ponzi scheme is an investment fraud in which funds contributed by new investors are used to pay purported “returns” or “profits” to…
  • Jun 29

    FINRA’s New Changes Don’t Address Transparency Issue

    FINRA’s New Changes Don’t Address Transparency Issue
    This article was originally posted on Stock Market Loss Although FINFA received 51 recommendations from a task force designed to improve the arbitration process, it recently announced only a few modest changes to the system. The number of…
  • Jun 29

    Hugh Berkson Calls for More Rules on Nontraded REIT

    Hugh Berkson Calls for More Rules on Nontraded REIT
    This article was originally posted on Stock Market Loss New FINRA rules regarding nontraded REITs have some advisors crying off this investment. The rule requires advisers to report the actual value of those investments – less…
Rank this Week: 3177

Cady Bar the Door

Cady Bar the Door

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

http://www.secmiscellany.com
  • Jun 15

    Supreme Court Says Prosecutors Can’t Judge the Cases They Prosecute

    Supreme Court Says Prosecutors Can’t Judge the Cases They Prosecute
    Not all of the justices would put it that way.  To be fair to the dissenters, and because his version is shorter, we’ll use Justice Thomas’s description of the underlying facts from his dissent in Williams v. Pennsylvania,…
  • Jun 13

    Don’t even think about violating that penny stock bar.

    Don’t even think about violating that penny stock bar.
    The penny stock world can be rough. So rough that breaking the rules in that corner of the securities markets ban bring its own kind of injunction, one that’s much more specific than the typical don’t-break-the-law-anymore kind of…
  • May 25

    The Insider Trading Cartoon Series, Vol. IX — Tender Offer

    The Insider Trading Cartoon Series, Vol. IX — Tender Offer
    I want to talk about Rule 14e-3, because it has significant implications for insider trading liability.  But to do that, we first have to talk about tender offers, and what they are.     The post The Insider Trading Cartoon…
Rank this Week: 2404

Securities Mining Law

Securities Mining Law

Covers securities law affecting the mining industry in Canada.

http://www.securitiesmininglaw.com/
  • 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…
  • Apr 14

    Canadian Securities Administrators amend take-over bid rule

    Canadian Securities Administrators amend take-over bid rule
    Effective May 9, 2016, the Canadian Securities Administrators will implement new take-over bid rules that will introduce significant changes to bid mechanics, including lengthier minimum deposit periods.  For a description of the…
Rank this Week: 2815

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/
  • May 20

    SEC forces Mickelson to return $1 million from insider trading

    SEC forces Mickelson to return $1 million from insider trading
    PGA golfer Phil Mickelson agreed to forfeit almost $1 million that the Securities and Exchange Commission (SEC) said was obtained through insider trading. Mickelson was named as a “relief defendant” in a criminal case, filed in…
  • Jan 28

    Delaware Courts continue scrutiny of “disclosure only” settlements in M&A litigation

    Delaware Courts continue scrutiny of “disclosure only” settlements in M&A litigation
    On Jan. 22, 2016, the Delaware Court of Chancery released its opinion in In re Trulia Stockholder Litigation in which it rejected a “disclosure only” settlement of a shareholders’ suit challenging an M&A transaction.…
  • Jan 22

    Supreme Court to review insider trading case

    Supreme Court to review insider trading case
    The Supreme Court has agreed to consider something that lies at the center of nearly every insider trading case: what prosecutors need to prove an insider trading conviction. This case aims to determine exactly what benefits corporate…
Rank this Week: 985

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/
  • May 10

    Attention Former Customers of Leavitt Freeman Sanders: You May Be Able To Recover Your Investment Losse

    Attention Former Customers of Leavitt Freeman Sanders: You May Be Able To Recover Your Investment Losse
    Our firm has already filed many individual lawsuits alleging, among other things, investment fraud against Leavitt Sanders and the firms that he traded through.  Those firms include Invest Financial, Triad Advisors, Capital Asset…
  • May 4

    Record Oil Industry Bankruptcies Take a Toll on Investor

    Record Oil Industry Bankruptcies Take a Toll on Investor
    Reuters reports that bankruptcies in the U.S. oil industry have reached record levels.  The number of bankrupt oil and gas companies is 59 and counting, and we are not even half-way through the wave of bankruptcy filings, according to a…
  • Mar 10

    Greenville Broker Claus Foerster Indicted in $2.8 Million Ponzi Scheme

    Greenville Broker Claus Foerster Indicted in $2.8 Million Ponzi Scheme
    A South Carolina grand jury has indicted a Greenville broker named Claus Foerster for defrauding his clients out of $2.8 million.  According to news reports, the indictments states that Foerster persuaded clients to invest in a…
Rank this Week: 1040