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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…
  • Jan 8

    Traders Charged With Trading on Hacked From Lawyers – Posted by Brenda Hamilton

    Traders Charged With Trading on Hacked From Lawyers – Posted by Brenda Hamilton
    Going Public Lawyer  On December 27, 2016, the Securities and Exchange Commission charged three Chinese traders with fraudulently trading on hacked nonpublic market-moving information stolen from two prominent New York-based law firms,…
Rank this Week: 473

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
  • Jan 19

    Large Raiding Award Against Robert W. Baird & Co. Underscores Issues with Team Transition

    Large Raiding Award Against Robert W. Baird & Co. Underscores Issues with Team Transition
    A notable (due to its size) $23.5 million FINRA arbitration award against broker-dealer Robert W. Baird & Co. (Baird) and some of its representatives, issued by a three-member FINRA panel in Kansas last week, underscores the issues that…
  • Jan 12

    JPMorgan Found to Have Retaliated Against Adviser, Filed Defamatory U5

    JPMorgan Found to Have Retaliated Against Adviser, Filed Defamatory U5
    A recent investigation by the U.S. Occupational Safety and Health Administration (OSHA) has resulted in an award of more than $160,000 for back pay and “reputational damage” to a former JPMorgan Chase & Co. financial adviser.…
  • 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…
Rank this Week: 3741

Securities Law Attorneys Blog

Securities Law Attorneys Blog

Covers securities law. By Fitapelli | Kurta.

http://www.securitieslawattorneys.net/
  • Jan 19

    Thomas Vilord Has Been Sanctioned by FINRA

    Thomas Vilord Has Been Sanctioned by FINRA
    Public records published by the Financial Industry Regulatory Authority (FINRA) on January 16, 2016 indicate that former New Jersey-based Summit Brokerage Services broker/adviser Thomas Vilord has been permanently barred from acting as a…
  • Jan 19

    Customer Seeking $3 Million in Damages From Broker Jackie Wadsworth

    Customer Seeking $3 Million in Damages From Broker Jackie Wadsworth
    Public records published by the Financial Industry Regulatory Authority (FINRA) on January 16, 2017 indicate that Texas-based IMS Securities broker/adviser Jackie Wadsworth has been the subject of numerous resolved or pending customer…
  • Jan 19

    Edward Barger Has Three Regulatory Sanction

    Edward Barger Has Three Regulatory Sanction
    Public records provided by the Financial Industry Regulatory Authority (FINRA) on January 16, 2017 indicate that former Florida-based Morgan Stanley broker/adviser Edward Barger has received resolved or pending customer complaints as well as…
Rank this Week: 3378

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
  • Jan 19

    SEC Bars California Advisor For Defrauding Pro Athlete

    SEC Bars California Advisor For Defrauding Pro Athlete
    From the Desk of Jim Eccleston at Eccleston Law LLC:Former financial advisor Ash Narayan, who was the managing director of the Irvine, California, office of RGT Wealth Advisors, has agreed to accept an industry bar.  According to the SEC…
  • Jan 18

    FINRA Discipline: FINRA Rule 9252

    FINRA Discipline: FINRA Rule 9252
    From the Desk of Jim Eccleston at Eccleston Law LLC:This is the sixteenth in a series of posts to discuss the rules associated with the FINRA disciplinary process. FINRA Rule 9252 states that a respondent in a disciplinary proceeding has a…
  • Jan 17

    Wells Fargo Eliminates Bonuses For Selling Banking Product

    Wells Fargo Eliminates Bonuses For Selling Banking Product
    From the Desk of Jim Eccleston at Eccleston Law LLC:Wells Fargo Advisors has eliminated bonus compensation for advisors’ sale of banking and lending products. The reason for the elimination of this bonus compensation for advisors stems…
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/
  • Jan 19

    Court OK’s end-run around Trust Indenture Act protection

    Court OK’s end-run around Trust Indenture Act protection
    By Anne Sherry, J.D.A restructuring maneuver that forced bondholders to accept reduced payment or get nothing at all did not violate the Trust Indenture Act, the Second Circuit held. The decision vacates the Southern District’s holding…
  • Jan 18

    Petition urges ‘look through’ of motions to vacate arbitration awards for jurisdiction

    Petition urges ‘look through’ of motions to vacate arbitration awards for jurisdiction
    By Amy Leisinger, J.D.Two investors have asked the Supreme Court to determine that a party seeking to vacate an arbitration award under Section 10 of the Federal Arbitration Act is entitled to the same “look through” analysis…
  • Jan 17

    CFTC swap data proposals align with Congress’s FAST Act

    CFTC swap data proposals align with Congress’s FAST Act
    By Jay Fishman, J.D.CFTC Chairman Timothy Massad has announced the proposal, by a unanimous vote, of Commodity Exchange Act (CEA) rule amendments making it easier for domestic and foreign regulators to access swap data repository (SDR)…
Rank this Week: 150

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: 1941

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • Jan 19

    What’s the deal with data breach insurance

    What’s the deal with data breach insurance
    A recent Investment News article highlighted a burgeoning market for financial advisors looking to protect their practices; namely, data breach insurance. Although such insurance seems like a great idea, you need to exercise due care when…
  • Dec 13

    SEC Chair White Refuses To Delay New Rule

    SEC Chair White Refuses To Delay New Rule
    According to Fortune, outgoing Securities and Exchange Commission Chair Mary Jo White is refusing to delay adoption of new rules and regulations.  Senate Republicans–in particular the Senate Banking Committee’s top two…
  • Dec 12

    What are you doing to prevent a data breach

    What are you doing to prevent a data breach
    A broker-dealer recently agreed to pay a $650,000 fine after an OSJ’s cloud vendor failed to adequately protect customer information. Apparently, an outside hacker was able to gain access to non-public personal information about the…
Rank this Week: 1293

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/
  • Jan 19

    A Feature, Not A Bug: Appraisal Conditions Deter Appraisal Claim

    A Feature, Not A Bug: Appraisal Conditions Deter Appraisal Claim
    This blog from Lowenstein’s Steve Hecht suggests that a buyer’s insistence on an appraisal condition – or a “blow provision” – might chill the exercise of appraisal rights. Here’s an excerpt…
  • Jan 18

    Tomorrow’s Webcast: “Privilege Issues in M&A”

    Tomorrow’s Webcast: “Privilege Issues in M&A”
    Tune in tomorrow for the webcast – “Privilege Issues in M&A” – to hear Alston & Bird’s Lisa Bugni, Bass Berry’s Joe Crace & Akin Gump’s Trey Muldrow discuss how to deal with the…
  • Jan 17

    2016 ABA Strategic Buyer/Public Target Deal Points Study

    2016 ABA Strategic Buyer/Public Target Deal Points Study
    The ABA’s Mergers & Acquisitions Committee recently released its “2016 Strategic Buyer/Public Target Deal Points Study.”  Here are just some interesting findings: – While 100% of Merger Agreements called…
Rank this Week: 584

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Jan 19

    The (Not Quite) First Non-GAAP Enforcement Case! (& a Perk Case to Boot)

    The (Not Quite) First Non-GAAP Enforcement Case! (& a Perk Case to Boot)
    Yesterday, the SEC sanctioned MDC Partners for violating Reg G & Item 10(e) of Reg S-K in connection with its use of non-GAAP financial measures. Some people are calling this the first non-GAAP enforcement case – but…
  • Jan 18

    Transcript: “Non-GAAP Disclosures – Analyzing the Comment Letters”

    Transcript: “Non-GAAP Disclosures – Analyzing the Comment Letters”
    We have posted the transcript for our popular webcast: “Non-GAAP Disclosures: Analyzing the Comment Letters.” Whistleblowers: BlackRock Nailed in Separation Agreement Enforcement Action As Yogi Berra might put it,…
  • Jan 17

    Pulling in the “REINS”: Congress Wants More Rulemaking Control

    Pulling in the “REINS”: Congress Wants More Rulemaking Control
    This Davis Polk blog discusses an abundance of legislative initiatives designed to enhance Congressional control over the agency rulemaking process. In early January, the House passed two separate statutes that would make it easier for…
Rank this Week: 294

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • Jan 19

    Guest Post: Supreme Court to Review Whether Statute of Limitations Applies to SEC Disgorgement Claim

    Guest Post: Supreme Court to Review Whether Statute of Limitations Applies to SEC Disgorgement Claim
    Last Friday, the U.S. Supreme Court granted cert in two cases involving the limitations periods under the federal securities laws. One case, as I noted in a post earlier this week, will address the question of whether or not the filing of a…
  • Jan 17

    Guest Post: The Nuts & Bolts of SEC Investigations & Enforcement

    Guest Post: The Nuts & Bolts of SEC Investigations & Enforcement
    The SEC is the primary regulatory body charged with the enforcement of the U.S. securities laws. Most insurance and legal professionals are well-aware of the agency and familiar with its regulatory role. But in an era that has been (at least…
  • Jan 16

    Guest Post: A Focus on Directors’ and Officers’ Risks in India

    Guest Post: A Focus on Directors’ and Officers’ Risks in India
      As readers of this blog know well, liability claims against corporate directors and officers is an increasingly global phenomenon. A number of different factors are contributing to the globalization of D&O liability, including…
Rank this Week: 147

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/
  • Jan 19

    I Deliver Some Round Observations About California’s Rounding Rule

    I Deliver Some Round Observations About California’s Rounding Rule
    Yesterday’s post concerned various actions that a California corporation may pursue in lieu of issuing fractional shares.  I left for today the subject of rounding.  Section 407 of the Corporations Code expressly permits…
  • Jan 18

    Breaking Up Is Not Hard To Do – Fractions, Scrip And Scrippage

    Breaking Up Is Not Hard To Do – Fractions, Scrip And Scrippage
    The California General Corporation Law explicitly authorizes a corporation to issue fractional shares.  Cal. Corp. Code § 407.  A corporation, however, is not required to do so.  Id.  In lieu of issuing fractions, a…
  • Jan 17

    Calling All Stock Certificate

    Calling All Stock Certificate
    Last week, Broc Romanek’s Mentor Blog addressed the question of what to do about outstanding stock certificates following a reverse stock split.  Today, I’ll weigh in with a California perspective. Section 422 of the…
Rank this Week: 369

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: 452

New York Securities Lawyers Blog

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

http://www.newyorksecuritieslawyersblog.com/
  • Jan 18

    BlackRock Charged By SEC For Removing Whistleblower Incentives In Employee Separation Agreement

    BlackRock Charged By SEC For Removing Whistleblower Incentives In Employee Separation Agreement
    BlackRock has been charged by the SEC with removing whistleblower incentives in their separation agreements with employees, per the SEC. According to the Commission, BlackRock’s charges stemmed from allegations that the company forced…
  • Jan 12

    Elder Financial Exploitation by Guardian

    Elder Financial Exploitation by Guardian
    Recently the Government Accountability Office (GAO) published a report about the extent of elder abuse by guardians and measures that exist to protect older adults. This has become an issue of utmost importance as the number of older adults,…
  • 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,…
Rank this Week: 2280

New York Securities Lawyer Blog

New York Securities Lawyer Blog

Covers securities law. By Lax & Neville LLP.

http://www.newyorksecuritieslawyerblog.com/
Rank this Week: 4201

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: 2610

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/
  • Jan 18

    Henry Dean Watson Barred from Securities Industry

    Henry Dean Watson Barred from Securities Industry
    According to FINRA, Henry Dean Watson (CRD#: 1326969) has been permanently barred from the securities industry. On December 14, 2016, FINRA staff sent a request to Watson for on-the-record testimony in connection with an inquiry into an…
  • Jan 18

    What is a Mini-Tender Offer?

    What is a Mini-Tender Offer?
    A mini–tender offer is an offer to acquire a company’s shares directly from current investors in an amount less than 5% of issued stock. Investors who surrender their shares in a mini-tender offer without fully…
  • Jan 17

    Memorial Production Partners LP Files for Chapter 11

    Memorial Production Partners LP Files for Chapter 11
    Are you concerned about losses investing in Memorial Production Partners LP?   If so, the securities attorneys of The White Law Group may be able to help you recover your losses in a FINRA arbitration claim against the brokerage…
Rank this Week: 335

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Jan 18

    Customer Seeking $1 Million in Damages From Broker Norman Sicard

    Customer Seeking $1 Million in Damages From Broker Norman Sicard
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on January 13, 2017 indicate that former Iowa-based Broker Dealer Financial Services broker Norman Sicard is currently not affiliated with any…
  • Jan 17

    Daniel Pikula Received a Regulatory Sanction

    Daniel Pikula Received a Regulatory Sanction
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on January 11, 2017 indicate that former Florida-based Newbridge Securities broker Daniel Pikula has been sanctioned by FINRA and is currently not…
  • Jan 17

    Brian Perry Suspended From Acting as a Broker

    Brian Perry Suspended From Acting as a Broker
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on January 11, 2017 indicate that former Florida-based Ameriprise Financial Services broker/adviser Brian Perry has been sanctioned by FINRA and…
Rank this Week: 1330

Subject to Inquiry

Subject to Inquiry

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

http://www.subjecttoinquiry.com/
  • Jan 17

    The Forgotten Face of Student Lending

    The Forgotten Face of Student Lending
    Mention student loans and the face that comes immediately to mind is probably someone in their early twenties. A recent report from the CFPB sheds light on an overlooked segment of the student loan population – consumers 60 years old…
  • Jan 10

    CFPB’s 2017 Fair Lending Prioritie

    CFPB’s 2017 Fair Lending Prioritie
    At the end of last year, the CFPB issued its Fair Lending Priorities for 2017.  According to its December blog post, the CFPB plans to increase its focus on the following three areas, which it describes as “presenting a substantial…
  • Jan 10

    GOP Takes Aim at Dodd-Frank

    GOP Takes Aim at Dodd-Frank
    On Friday, January 20, 2017, Donald J. Trump will become the President of the United States, and for the first time in nearly a decade, a single party will control the Presidency, the House, and the Senate. After years of deadlock,…
Rank this Week: 4224

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: 334

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/
Rank this Week: 5016

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/
  • Jan 17

    Anderson on Insider Trading

    Anderson on Insider Trading
    John P. Anderson has posted When Does Corporate Criminal Liability for Insider Trading Make Sense? on SSRN with the following abstract: Corporations are subject to broad criminal liability for the insider trading of their employees. Critics…
  • Jan 4

    President-Elect Nominates Jay Clayton as SEC Chair

    President-Elect Nominates Jay Clayton as SEC Chair
    Details available here.
  • Jan 3

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: John Armour & Brian Cheffins, Stock Market Prices and the Market for Corporate Control, 2016 U. Ill. L. Rev. 761. Rutheford B. Campbell…
Rank this Week: 98

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/
  • Jan 17

    FINRA Releases 2017 Regulatory and Examination Priorities Letter

    FINRA Releases 2017 Regulatory and Examination Priorities Letter
    FINRA has released its Regulatory and Examination Priorities Letter  for 2017. The letter provides information about areas FINRA plans to review in its 2017 exams based on observations from its regulatory programs as well as input member…
  • Jan 13

    SEC News - Fraudulent EB-5 Offerings, Hackers, and FCPA Charge

    SEC News - Fraudulent EB-5 Offerings, Hackers, and FCPA Charge
    Businessman Settles Charges of Fraudulent EB-5 OfferingA Florida-based businessman has agreed to settle charges that he misused investor funds intended to create U.S. jobs through the EB-5 Immigrant Investor Program.SEC Charges Lawyer With…
  • Jan 4

    Jay Clayton said to be top contender for Trump’s SEC chief - MarketWatch

    Jay Clayton said to be top contender for Trump’s SEC chief - MarketWatch
    Jay Clayton said to be top contender for Trump’s SEC chief - MarketWatch:"Wall Street lawyer Jay Clayton has emerged as the leading candidate to be chairman of the Securities and Exchange Commission and could be announced as the nominee…
Rank this Week: 498

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
  • Jan 16

    Time to Drain the Swamp at the U.S. Securities & Exchange Commission?

    Time to Drain the Swamp at the U.S. Securities & Exchange Commission?
    As reported by Gretchen Morgenson in The New York Times on January 13, 2017 (“S.E.C. Inertia on Paybacks Adds to Investor Harm”), when securities laws are broken and investors get hurt, the U.S. Securities & Exchange…
  • Jan 12

    Why Am I Losing Money in an Up Stock Market?

    Why Am I Losing Money in an Up Stock Market?
    The S&P 500,which is widely considered one of the best measures of the U.S. stock market, finished the year up over 11%. After some significant ups and downs over the past few years, the price of oil stabilized and posted some nice gains…
  • Jan 3

    Former Ameriprise Broker Radcliffe (Cliffe) Daly Suspended by FINRA

    Former Ameriprise Broker Radcliffe (Cliffe) Daly Suspended by FINRA
    According to FINRA’s Brokercheck public database, former Granger, IN Ameriprise broker Radcliffe (Cliffe) Daly was suspended by FINRA for the improper sales of the common stock of Sloud, Inc. Daly allegedly sold this Sloud penny-stock…
Rank this Week: 535

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Jan 16

    Ken Balser Barred by FINRA Over Allegations of Private Securities Transaction

    Ken Balser Barred by FINRA Over Allegations of Private Securities Transaction
    Our firm is investigating claims made by The Financial Industry Regulatory Authority (FINRA) when the regulator barred broker Ken Balser (Balser).  According to FINRA settlement, Balser consented to sanctions that he refused to appear…
  • Jan 16

    Tye Williams Barred by FINRA Over Allegations of Converting Customer Fund

    Tye Williams Barred by FINRA Over Allegations of Converting Customer Fund
    Our firm is investigating claims made by The Financial Industry Regulatory Authority (FINRA) when the regulator barred broker Tye Williams (Williams).  According to FINRA settlement, Williams consented to sanctions that he failed to…
  • Jan 14

    Gana LLP Files Complaint on behalf of Client Defrauded by Dean Mustaphalli

    Gana LLP Files Complaint on behalf of Client Defrauded by Dean Mustaphalli
    The securities fraud attorneys at Gana LLP have recently filed a complaint on behalf of a client alleging that Dean Mustaphalli (Mustaphalli) engaged in securities fraud.  The claim was brought against brokerage firms Sterne Agee…
Rank this Week: 1682

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
  • Jan 16

    FULL TEXT Complaint Paul McCartney v. SONY

    FULL TEXT Complaint Paul McCartney v. SONY
    It's just not everyday that you come across a lawsuit with this title: James Paul McCartney, Plaintiff, v. SONY/ATV Music Publishing LLC, a Delaware Limited Liability Company, and SONY/ATV Tunes LLC, a Delaware Limited Liability Company,…
  • Jan 13

    FINRA NAC Member Brummer Files Amended Defamation Complaint

    FINRA NAC Member Brummer Files Amended Defamation Complaint
    I've been around Wall Street for some 35 years and have been admitted to the Bar since 1985. During that time, I've worked with and represented some not-so-nice folks and some truly wonderful human beings -- it all sort of comes with the…
  • Jan 13

    SEC Collateral Bars Set Aside In Dramatic Bartko Victory

    SEC Collateral Bars Set Aside In Dramatic Bartko Victory
    In 2010, Gregory Bartko was convicted in federal court of conspiracy, mail fraud, and unregistered securities sales. Following on that convicttion, in 2012, the United States Securities and Exchange Commission ("SEC") instituted…
Rank this Week: 1355

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/
Rank this Week: 1015

Footnoted

Footnoted

Reports on actionable information in SEC filings.

http://www.footnoted.com/
  • Jan 12

    2016: The year in filing

    2016: The year in filing
    There were 670,00 filings made to the SEC in 2016, with the largest filing over 3,330 pages!
  • 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.
Rank this Week: 4330

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

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/
  • Jan 10

    Board Diversity Series: Voices of proxy advisers and other influencer

    Board Diversity Series: Voices of proxy advisers and other influencer
    Amanda Linett and Cheryl De Los Santos -  Proxy advisers such as Institutional Shareholders Services (ISS) and Glass Lewis have started to respond to the changes in corporate governance relating to gender diversity, and to encourage…
  • Dec 9

    Keep Calm and Carry On - InterOil and Smoothwater

    Keep Calm and Carry On - InterOil and Smoothwater
    Sean Vanderpol - There are, generally speaking, relatively few judicial decisions touching on the practical aspects of M&A law in Canada, particularly when compared to the output of the Delaware courts.  In November, however, we saw…
  • Dec 9

    Board Diversity Series: Developments in gender diversity on Canadian board

    Board Diversity Series: Developments in gender diversity on Canadian board
     Alethea Au and Cara Cornacchia -  Catalyst’s recommendations for accelerating progress The Government of Ontario engaged Catalyst, a non-profit organization aimed at expanding opportunities for women in business, to…
Rank this Week: 490

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

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

    Halliburton Settled (Again)

    Halliburton Settled (Again)
    When the district court rejected a $6 million settlement in the Halliburton securities class action back in 2004, the judge probably expected the parties to renegotiate.  Many years later, after a change in plaintiffs’ counsel,…
  • Dec 5

    Not Exactly Meritle

    Not Exactly Meritle
    Can a company face securities fraud liability for describing a lawsuit brought against it as “meritless” if the plaintiff goes on to win a big verdict?  In Grobler v. Neovasc, Inc., 2016 WL 6897760 (D. Mass. Nov.…
  • 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…
Rank this Week: 930

Tim O'Connor's Blog

Tim O'Connor's Blog

Covers stockbroker fraud.

http://stockbrokerlaw.com/tim-oconnors-blog
  • Jan 5

    Looking for Your Lost Retirement Account?

    Looking for Your Lost Retirement Account?
    In our mobile society, millions of Americans have lost track of former pension accounts over the past half century. Where did they go? There are a number of resources at your fingertips which could help locate your lost plan. These…
  • 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…
Rank this Week: 2952

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

http://www.hedgefundlawblog.com
  • Jan 5

    Anecdotal Evidence of Strong Investor Appetite in 2017

    Anecdotal Evidence of Strong Investor Appetite in 2017
    Hedge funds to be attractive investments in new year? By: Bart Mallon Over the past couple of years hedge funds have seemingly taken a back seat to private equity, which has seen a significant amount of attention and inflows from…
  • Jan 4

    Cole-Frieman & Mallon EOY Update

    Cole-Frieman & Mallon EOY Update
    www.colefrieman.com January 4, 2016 Clients, Friends, Associates:While the holiday season is a cause for celebration and reflection, it is also the busiest time of the year for most investment managers.  Year-end administrative upkeep…
  • Jul 22

    Cole-Frieman & Mallon 2016 Second Quarter Update

    Cole-Frieman & Mallon 2016 Second Quarter Update
     www.colefrieman.com July 22, 2016 Clients and Friends: We hope that this message finds you well and that you are enjoying the first months of summer. As we move into the third quarter, we would like to provide you with a brief overview…
Rank this Week: 793

The Securities Edge

The Securities Edge

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

http://www.thesecuritiesedge.com/
  • Jan 2

    My 10 Best Books of 2016

    My 10 Best Books of 2016
    Posted By: Robert B. Lamm Those of you who’ve been reading my posts for a while know that I depart from securities and governance topics only once each year, to report on my 10 favorite books of the year just gone by.  I will point…
  • Dec 12

    Insider trading: there still ought to be a law

    Insider trading: there still ought to be a law
    Posted By: Robert B. Lamm In the few days since the Supreme Court handed down its decision in Salman v. United States, many commentators have said, in effect, that criminal prosecutions for insider trading are alive and well.  Alive,…
  • 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…
Rank this Week: 3155

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/
  • Dec 23

    Proposed CFTC Rules Might Make It Easier for Whistleblowers to Inform the Government About Commodities Fraud

    Proposed CFTC Rules Might Make It Easier for Whistleblowers to Inform the Government About Commodities Fraud
    The regulatory agency has requested public comment on proposed amendments The Commodity Futures Trading Commission (CFTC), the independent US government agency that regulates futures and options markets, has requested public comment on…
  • Dec 10

    SEC Awards Approximately $1 Million to Whistleblower

    SEC Awards Approximately $1 Million to Whistleblower
    The Securities and Exchange Commission (the “SEC’) announced on December 9, 2016 that it had awarded more than $900,000 to a whistleblower whose tip enabled the SEC to bring multiple enforcement actions against bad actors. The…
  • Dec 5

    SEC Awards $3.5 Million to Whistleblower

    SEC Awards $3.5 Million to Whistleblower
    The Securities and Exchange Commission (the “SEC’) announced on December 5, 2016 that it had awarded a whistleblower approximately $3.5 million for coming forward with information that led to an SEC enforcement action. The $3.5…
Rank this Week: 4996

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • Dec 22

    FINRA Statutory Disqualifications and the MC-400 Proce

    FINRA Statutory Disqualifications and the MC-400 Proce
    Under the Securities Exchange Commission’s authority FINRA promulgates rules of its own as a self regulatory organization (“SRO”). Pursuant to FINRA’s By-Laws (and the By-Laws of the NASD and the NYSE before it) a…
  • 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…
Rank this Week: 1251

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/
  • Dec 21

    The Financial Industry Regulatory…

    The Financial Industry Regulatory Authority (“FINRA”) permanently barred former Moloney Securities Co., Inc. (CRD# 38535) broker John R. McKinstry (CRD# 1012658) after he failed to continue to provide information and documents…
  • Dec 21

    The Risks of Investing in Master Limited Partnerships in the Energy Industry

    The Risks of Investing in Master Limited Partnerships in the Energy Industry
    Higher volatility and lack of transparency could make these unsuitable vehicles for many investors If your broker or financial advisor has recommended that you invest in Master Limited Partnerships (MLPs) in the energy industry, consider your…
  • Nov 29

    Raymond James Senior Vice President Under Investigation for Unsuitable Recommendations in Oil and Gas Securitie

    Raymond James Senior Vice President Under Investigation for Unsuitable Recommendations in Oil and Gas Securitie
    Our lawyers are investigating Boca Raton, Florida-based Raymond James & Associates, Inc. (CRD# 705) senior vice president Martin L. Waldman (CRD# 4566228), also known as “Skip,” for unsuitable recommendations in oil and gas…
Rank this Week: 4855

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: 3156

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/
  • Dec 9

    Supreme Court affirms family insider trading conviction

    Supreme Court affirms family insider trading conviction
    On Tuesday, The United States Supreme Court unanimously affirmed an insider trading conviction by finding that inside information exchanged between relatives violates federal security laws. The case is Salman v. United States. The decision…
  • 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.…
Rank this Week: 978

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
  • Dec 7

    Insider Trading and Brotherly Love at the Supreme Court

    Insider Trading and Brotherly Love at the Supreme Court
    Yesterday, the Supreme Court of the United States decided Salman v. United States, wading into the “personal benefit” requirement necessary to establish criminal insider trading liability.  Justice Alito, writing for a…
  • 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…
Rank this Week: 4286

Sharesleuth.com

Sharesleuth.com

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

http://sharesleuth.com/
Rank this Week: 1043

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: 754

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: 4488

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: 2101

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: 1045

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: 2044