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Securities Lawyer 101

Securities Lawyer 101

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

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

    Going Public Blog l Securities Lawyer 101

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

    Going Public Blog l Securities Lawyer 101

    Going Public Blog l Securities Lawyer 101
      Securities Lawyer 101 Blog Going public is a big step for any company.  The process of “going public” is complex and at times precarious.  While going public offers many benefits it also comes with risks and…
  • Dec 4

    Beware of Lawyers Bearing Gifts – Custodianship Shells and Reverse Merger

    Beware of Lawyers Bearing Gifts – Custodianship Shells and Reverse Merger
    Going Public LawyerThe Securities and Exchange Commission (“SEC”) says it doesn’t like over-the-counter shell companies especially when reverse mergers are involved, and would like to see them gone from the…
Rank this Week: 2624

Institutional Investor Securities…

Institutional Investor Securities Blog

Covers investment fraud involving auction-rate securities, credit rating agencies, hedge funds and mortgage-backed securities. By Shepherd Smith Edwards & Kantas.

http://www.institutionalinvestorsecuritiesblog.com/
  • Dec 31

    SEC’s Report Evaluates The Definition of An Accredited Investor

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

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

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

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

    SAC Capital Advisers Concludes Final Insider Trading Case By Agreeing to Pay $135M to Elan Corp. Investor
    Stephen A. Cohen and SAC Capital will pay a group of Elan Corp. investors $135M to settle their insider trading case against him and the firm. The plaintiffs had contended that sustained they financial losses because of insider trading that…
Rank this Week: 409

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…
  • Dec 6

    UBS Ordered To Pay More Than $18 million in Puerto Rico Closed-End Bond Fraud Arbitration Award

    UBS Ordered To Pay More Than $18 million in Puerto Rico Closed-End Bond Fraud Arbitration Award
    A Financial Industry Regulatory Authority (FINRA) arbitration panel says that UBS Financial Services (UBS) must pay $18.6 million to customers Rafael Vizcarrondo and Mercedes Imbert De Jesus for their losses from investing in Puerto Rico…
Rank this Week: 636

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/
  • Dec 7

    Eleventh Circuit Clarifies CAFA Jurisdiction Continues After Dismissal of Class Claim

    Eleventh Circuit Clarifies CAFA Jurisdiction Continues After Dismissal of Class Claim
    On November 22, the Eleventh Circuit clarified that Class Action Fairness Act (CAFA) jurisdiction is not eliminated when the class claims are dismissed before the class is certified. The plaintiff, an Alabama trucking company that had a…
  • Nov 4

    Spokeo Gets Lyft Off

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

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

    Third Circuit Applies Presumption of Timeliness to Pre-Certification Motion to Intervene as Class Representative
    This case concerned a federal antitrust class action involving a proposed class of Class 8 truck purchasers who alleged a conspiracy by several truck transmission suppliers and manufacturers to raise prices by eliminating competition among…
Rank this Week: 2062

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • Dec 7

    More Departures Announced by Top SEC Official

    More Departures Announced by Top SEC Official
    Following up on our earlier report that Mary Jo White, the chair of the Securities and Exchange Commission, will step down at the end of the Obama administration, news of other departures within the SEC has begun to spread.  The…
  • Dec 7

    SEC Taking a Closer Look at Non-GAAP Financial Reporting

    SEC Taking a Closer Look at Non-GAAP Financial Reporting
    According to Tatyana Shumsky at the Wall Street Journal, the Securities and Exchange Commission has increased efforts to regulate the use of accounting metrics that do not conform to the U.S. Generally Accepted Accounting Principles,…
  • Nov 14

    SEC Chair to Step Down: Path Cleared for Deregulation

    SEC Chair to Step Down: Path Cleared for Deregulation
    The latest post-election domino has fallen.  Mary Jo White, the chair of the Securities and Exchange Commission, will step down at the end of the Obama administration.  White announced her departure on Monday, paving the way for…
Rank this Week: 3880

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: 1944

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Dec 7

    House passes package of capital formation bill

    House passes package of capital formation bill
    By Mark S. Nelson, J.D.The House passed a package of capital formation bills, some of which have previously passed the chamber as stand-alone bills. The collection of bills would put the onus on the SEC to address issues critical to smaller…
  • Dec 6

    United Airlines pays $2.4 million for easing a public official’s travel woe

    United Airlines pays $2.4 million for easing a public official’s travel woe
    By R. Jason Howard, J.D.United Airlines parent company, United Continental Holdings, Inc., has agreed to settle charges brought by the SEC concerning its reinstatement of an unprofitable route at the behest of a former chairman of the Port…
  • Dec 5

    Plaintiff with axe to grind not suitable to be lead

    Plaintiff with axe to grind not suitable to be lead
    By Rodney F. Tonkovic, J.D.A district court denied a plaintiff's motion to be appointed lead plaintiff in a fraud class action. According to the court, the plaintiff who, among other actions, emailed company executives promising to "take all…
Rank this Week: 2394

Financial Counsel

Financial Counsel

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

http://financialcounselblog.com
  • Dec 7

    FINRA’s Acceptance, Waiver and Consent Settlement (AWC)-Part 3

    FINRA’s Acceptance, Waiver and Consent Settlement (AWC)-Part 3
    From the Desk of Jim Eccleston at Eccleston Law LLC:This is the third of three posts to discuss FINRA Rule 9216. This post will discuss the “consent” portion of the rule related to regulatory (disciplinary) settlement…
  • Dec 6

    FINRA Discipline: FINRA Rule 9213

    FINRA Discipline: FINRA Rule 9213
    From the Desk of Jim Eccleston at Eccleston Law LLC:This is the third of a series of posts to discuss the rules associated with the FINRA disciplinary process. FINRA Rule 9213 gives authority to the Office of Hearing Officers to assign a…
  • Dec 5

    FINRA’s Acceptance, Waiver and Consent Settlement (AWC)-Part 2

    FINRA’s Acceptance, Waiver and Consent Settlement (AWC)-Part 2
    From the Desk of Jim Eccleston at Eccleston Law LLC: This is the second of three posts to discuss FINRA Rule 9216. This post will discuss the “waiver” portion of the rule related to regulatory (disciplinary) settlement…
Rank this Week: 133

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Dec 7

    New York Times Investigates Broker Walter Marino’s Annuity Sale

    New York Times Investigates Broker Walter Marino’s Annuity Sale
    Our firm’s investment attorneys are investigating reports in a New York Times article and customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Walter Marino (Marino) currently associated with…
  • Dec 7

    Broker Ralph Fetrow Discharged Over Allegations of Outside Business Activitie

    Broker Ralph Fetrow Discharged Over Allegations of Outside Business Activitie
    Our firm is investigating claims made by Castleview Partners, LLC (Castleview Partners) when the firm terminated broker Ralph Fetrow (Fetrow).  According to the firm, Fetrow was discharged in September 2016 after allegation were made…
  • Dec 6

    Financial Advisor Wayde Walker Subject to Multiple Customer Complaint

    Financial Advisor Wayde Walker Subject to Multiple Customer Complaint
    Our investment attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against financial advisor Wayde Walker (Walker) currently registered with National Securities Corporation (National…
Rank this Week: 370

DealLawyers.com Blog

DealLawyers.com Blog

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

http://www.deallawyers.com/Blog/
  • Dec 7

    Our New “John Tales” Blog!

    Our New “John Tales” Blog!
    We have launched a new members-only blog for DealLawyers.com: “John Tales.” John is telling stories on this new “long-form” blog – education by entertainment! Place your email address in the box when you click…
  • Dec 6

    Why Are M&A Docs Getting Longer? It’s Complicated. . .

    Why Are M&A Docs Getting Longer? It’s Complicated. . .
    This Norton Rose Fulbright blog discusses the findings of a recent study by Harvard Law professor – & former Wachtell partner – John Coates about the ever growing length of merger agreements. Coates’…
  • Dec 5

    Drag-Along Rights: Best Practices & Key Issue

    Drag-Along Rights: Best Practices & Key Issue
    This Gibson Dunn memo takes a deep dive into issues surrounding the negotiation & drafting of drag-along rights.  Here’s an excerpt from the intro: Drag-along rights, or drag rights, which give the majority owner of a company…
Rank this Week: 2405

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Dec 7

    Corp Fin Director Keith Higgins to Leave!

    Corp Fin Director Keith Higgins to Leave!
    Yesterday, the SEC announced that Corp Fin Director Keith Higgins is leaving in early January. I am happy for Keith – sad for the rest of us. Keith did an amazing job under tough circumstances. For example, getting the “disclosure…
  • Dec 6

    IPOs: No Action Blessing for “Conditional Offers to Buy”

    IPOs: No Action Blessing for “Conditional Offers to Buy”
    Corp Fin recently issued a no-action letter to Morgan Stanley regarding the use of “conditional offers to buy” – or “COBs” – in connection with IPOs. COBs are intended to facilitate sales to retail…
  • Dec 5

    SEC Enforcement: Violate Your Policies – Get a Books & Records Sanction

    SEC Enforcement: Violate Your Policies – Get a Books & Records Sanction
    The SEC’s settlement with United Continental on Friday shows that it’s a very short trip from a violation of corporate policy to a books & records violation. The proceeding involved United’s decision to re-institute a…
Rank this Week: 861

California Corporate & Securities…

California Corporate & Securities Law

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

http://calcorporatelaw.com/
  • Dec 7

    Who Votes As Proxy For Shares Standing In The Name Of Another Corporation?

    Who Votes As Proxy For Shares Standing In The Name Of Another Corporation?
    The Proxy Season blog yesterday discussed the following question from the Q&A Forum of TheCorporateCounsel.net: Under Delaware law, can a Board of Directors authorize a person who is not an officer of the company to act as agent and vote…
  • Dec 6

    This Company Solicited Consents To Remove A Sitting Director

    This Company Solicited Consents To Remove A Sitting Director
    It’s not often that you see a company soliciting consents to remove one of its sitting directors.  However, that is what PICO Holdings, Inc. sought to do in this consent solicitation statement filed with the SEC on…
  • Dec 5

    Court Rejects Challenge To Internal Affairs Doctrine

    Court Rejects Challenge To Internal Affairs Doctrine
    Marvell Technology Group, Ltd. is a publicly traded company that is incorporated in Bermuda.  Marvell’s U.S. operating subsidiary is based in California.  A year ago, an institutional stockholder filed a derivative suit…
Rank this Week: 206

Sharesleuth.com

Sharesleuth.com

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

http://sharesleuth.com/
Rank this Week: 129

Subject to Inquiry

Subject to Inquiry

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

http://www.subjecttoinquiry.com/
  • Dec 6

    The U.S. Department of Justice is Ramping Up its Enforcement of the Servicemembers Civil Relief Act

    The U.S. Department of Justice is Ramping Up its Enforcement of the Servicemembers Civil Relief Act
    Think you are in compliance with the Servicemembers Civil Relief Act?  Now would be a good time to make sure since the federal government is increasing its enforcement efforts as part of its Servicemembers and Veterans Initiative. The…
  • Nov 21

    CFPB Report Highlights Continued Focus on Mortgage Redlining

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

    The Yates Memo and Individual Representation

    The Yates Memo and Individual Representation
    At the November 2, 2016 Securities Industry and Financial Markets Association (“SIFMA”) Compliance and Legal Society Regional Seminar in New York, a SIFMA panel discussed the “Yates Memo,” its effect on internal…
Rank this Week: 1053

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • Dec 6

    Supreme Court: Gift of Insider Information to Friends and Family Supports Insider Trading Conviction

    Supreme Court: Gift of Insider Information to Friends and Family Supports Insider Trading Conviction
    In one of the most watched business cases on the U.S. Supreme Court’s docket this term, the Court on December 6, 2016 unanimously affirmed the Ninth Circuit’s ruling upholding the insider trading conviction of Bassam Salman.…
  • Dec 5

    RBS Reaches $1 Billion Partial Settlement of Credit Crisis-Related Collective Investor Action

    RBS Reaches $1 Billion Partial Settlement of Credit Crisis-Related Collective Investor Action
    In the latest signal of the increasing significance of collective investor actions outside of the U.S., on December 5, 2016, Royal Bank of Scotland agreed to pay £800 million ($1 billion) in a settlement with three of the five investor…
  • Dec 4

    Enron’s Legacies, a Decade and a Half Later

    Enron’s Legacies, a Decade and a Half Later
    Fifteen years ago this month, the once high-flying energy company Enron completed its massive collapse when it filed a petition for bankruptcy protection. In his interesting December 2, 2016 post on the Harvard Law School Forum on Corporate…
Rank this Week: 362

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/
  • Dec 6

    Heminway on Salman

    Heminway on Salman
    Joan MacLeod Heminway has some nice analysis of Salman over at the Business Law Prof Blog. Her post is worth checking out.
  • Dec 6

    Salman v. United States: A Few Observation

    Salman v. United States: A Few Observation
    In Salman v. United States, the Supreme Court revisits the question of tippee liability for insider trading, a topic which the Court has not addressed since Dirks v. SEC, 463 U. S. 646 (1983). Salman was convicted of insider trading...
  • Dec 6

    SCOTUS Issues Salman

    SCOTUS Issues Salman
    The opinion is available here.
Rank this Week: 438

The White Law Group's Securities…

The White Law Group's Securities Fraud Blog

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

http://www.whitesecuritieslaw.com/securities-fraud/blog/
  • Dec 6

    UBS Loses $18.6 Million over Puerto Rico Bond

    UBS Loses $18.6 Million over Puerto Rico Bond
    UBS Financial Services Inc. lost again in another arbitration claim regarding Puerto Rico closed-end municipal bond funds, this time for $18.6 million. This marks the largest award involving Puerto Rico bond funds to date, according to FINRA.…
  • Dec 5

    Tye C. Williams Barred from Securities Industry

    Tye C. Williams Barred from Securities Industry
    According to FINRA, Tye Calvin Williams (CRD #1271046, Frisco, Texas) submitted an AWC in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Williams consented to the…
  • Dec 5

    Lucas Lichtman Suspended from the Securities Industry

    Lucas Lichtman Suspended from the Securities Industry
    According to FINRA, Lucas Dylan Lichtman (CRD #5542092, Nanuet, New York) submitted an Offer of Settlement in which he was assessed a deferred fine of $7,500 and suspended from association with any FINRA member in any capacity for nine…
Rank this Week: 368

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • 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…
  • Oct 1

    Don’t Buy a “Model V”

    Don’t Buy a “Model V”
    In a typical securities fraud case, where the plaintiff alleges that a misrepresentation artificially inflated the company’s stock price, the defendant may be able to rebut reliance by providing evidence that there was no stock price…
Rank this Week: 2393

Securities Law Attorneys Blog

Securities Law Attorneys Blog

Covers securities law. By Fitapelli | Kurta.

http://www.securitieslawattorneys.net/
  • Dec 5

    Broker Cindy Cornette Received Two Customer Complaint

    Broker Cindy Cornette Received Two Customer Complaint
    Public records published by the Financial Industry Regulatory Authority (FINRA) on December 4, 2016 indicate that Tennessee-based Wells Fargo Advisors Financial Network broker/adviser Cindy Cornette has been the subject of customer…
  • Dec 5

    Charles Elhoff: Received One Customer Complaint

    Charles Elhoff: Received One Customer Complaint
    Public records published by the Financial Industry Regulatory Authority (FINRA) on December 4, 2016 indicate that Texas-based LPL Financial broker/adviser Charles Elhoff has received resolved or pending customer disputes. The securities and…
  • Dec 2

    Terry Xu: Subject of Two Pending Regulatory Investigation

    Terry Xu: Subject of Two Pending Regulatory Investigation
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on December 2, 2016 indicate that former California-based USA Financial Services broker Terry Xu is currently not affiliated with any broker-dealer…
Rank this Week: 177

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Dec 5

    Sven Karlen: Terminated From Wells Fargo

    Sven Karlen: Terminated From Wells Fargo
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on December 4, 2016 indicate that former New Hampshire-based Wells Fargo Advisors broker Sven Karlen is currently not affiliated with any broker-dealer…
  • Dec 5

    Satya Shaw Named in Investigation by the Florida Office of Financial Regulation

    Satya Shaw Named in Investigation by the Florida Office of Financial Regulation
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on December 4, 2016 indicate that Florida-based Center Street Securities broker Satya Shaw is currently not affiliated with any broker-dealer firm. The…
  • Dec 5

    Customer Seeking $350,000 in Damages From Broker Christopher Scalese

    Customer Seeking $350,000 in Damages From Broker Christopher Scalese
    Public records published by the Financial Industry Regulatory Authority (FINRA) on December 4, 2016 indicate that former Pennsylvania-based Summit Brokerage Services broker Christopher Scalese has been the subject of resolved or pending…
Rank this Week: 243

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
  • Dec 1

    New Cars and Used Arbitration

    New Cars and Used Arbitration
    Sadly, the alternative-dispute-resolution of arbitration has become a laundromat where consumers are forced to allow powerful business interests to wash their dirty clothes in private. As I see it, the hallmarks of a truly fair arbitration…
  • Nov 28

    Supreme Court Rules on USA v. Salman Insider Trading Case

    Supreme Court Rules on USA v. Salman Insider Trading Case
    On December 6, 2016, the United States Supreme Court issued a dramatic and historic ruling in the high-profile insider trading case of United States of America v. Bassam Yacoub Salman.  The Supreme…
  • Nov 28

    The Some and Almost All Of A FINRA Unauthorized Discretion Settlement

    The Some and Almost All Of A FINRA Unauthorized Discretion Settlement
    It's one thing for a brokerage firm to have a stockbroker engaging in a few trades using unauthorized discretion. In today's BrokeAndBroker.com Blog. however, we have a FINRA settlement involving seven years of improper discretion and 21…
Rank this Week: 3743

New York Securities Lawyer Blog

New York Securities Lawyer Blog

Covers securities law. By Lax & Neville LLP.

http://www.newyorksecuritieslawyerblog.com/
Rank this Week: 2275

Recover Investment Losses Blog

Recover Investment Losses Blog

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

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

    Merrill Lynch Fined $7M Over Leveraged Management Account Inadequacie

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

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

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

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

    Investors Capital Corp.-How to Recover Damages For Investment Losse
    November 2016- Lynnfield, MA Investors Capital Corp.  will be closing down and transferring some of its brokers and current clients to another firm within the Cetera network of broker dealers, according to a spokesman for Cetera…
Rank this Week: 473

Tim O'Connor's Blog

Tim O'Connor's Blog

Covers stockbroker fraud.

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

    Problems at the Family Office

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

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

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

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

    O’Connor Law Offices Successful in Dismissing Civil Rights Claims in Whistleblower Case
    In a decision dated October 14, 2016, in the case of Collins v. Roe the United States District Court for the Northern District of New York dismissed the claims of the plaintiff against two individual defendants claimed to have been involved…
Rank this Week: 395

The Securities Edge

The Securities Edge

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

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

    Bob Lamm receives Lifetime Achievement award for his dedication to governance

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

    SEC Staff’s Thanksgiving Gift: No Turkey

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

    A modest proposal about more modest proposal

    A modest proposal about more modest proposal
    Posted By: Robert B. Lamm It remains to be seen whether the new administration will actually drain the swamp or do away with political correctness, but one hope that some of us have – regardless of our views on the election – is…
Rank this Week: 3550

Footnoted

Footnoted

Reports on actionable information in SEC filings.

http://www.footnoted.com/
  • Nov 30

    Post-election disclosure

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

    Apple grows its real estate holding

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

    One CFO’s revolving door

    One CFO’s revolving door
    Ralph Lauren's former CFO ends employment at the company today, collecting $2.5m in severance. Next month, he starts at American Eagle.
Rank this Week: 1913

Securities Law Blog

Securities Law Blog

Features news, commentary and thoughts on the law of the securities markets. By Mark Astarita.

http://seclaw.blogspot.com/
  • Nov 30

    Don't Overstate Your Book!

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

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

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

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

    SEC Creates National Database of Individual Trades - CARDS Rising from the Dead?
    We all remember CARDS - FINRA's ill conceived plan to store and maintain information regarding every trade made by every person in our national markets. The plan was a disaster from the start, for many reasons, but one of the main reasons…
Rank this Week: 2395

Canadian Securities Law Online

Canadian Securities Law Online

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

http://www.canadiansecuritieslaw.com/
  • Nov 29

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

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

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

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

    CSA announces cyber security roundtable

    CSA announces cyber security roundtable
    The Canadian Securities Administrators (CSA) will hold a roundtable on February 27, 2017 to discuss issues related to cyber security and opportunities for greater collaboration, communication and coordination in the event of a cyber security…
Rank this Week: 4168

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: 2082

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: 986

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: 451

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: 2936

Corporate Securities Law Blog

Corporate Securities Law Blog

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

http://www.corporatesecuritieslawblog.com/
  • Nov 28

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

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

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

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

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

    What You Need to Know About Mergers and Acquisitions Involving Government Contractors and Their Supplier
    Volume X – Accounting for the Cost of Business Combinations Under Government Contracts Mergers and acquisitions create additional costs and complex accounting issues for government contractors.  There are fees for accounting,…
Rank this Week: 705

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: 1805

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: 3500

New York Securities Lawyers Blog

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

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

    How Will These Election Results Effect the DOL Fiduciary Rule?

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

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

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

    SEC Charges Broidy Wealth Advisors for Stealing From Client Account

    SEC Charges Broidy Wealth Advisors for Stealing From Client Account
    Securities & Exchange Commission (SEC) charged broker Marc Broidy and his firm, Broidy Wealth Advisors, for $1.4 million worth of ill-gotten gains, as per reports. It is believed that the firm profited off their client’s trusts by…
Rank this Week: 738

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: 4630

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: 4197

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: 1515

Securities Mining Law

Securities Mining Law

Covers securities law affecting the mining industry in Canada.

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

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

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

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

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

    Insolvency and energy insights: The Redwater decision

    Insolvency and energy insights: The Redwater decision
    An Alberta court has held that provisions of the Bankruptcy and Insolvency Act allowing a trustee or receiver to disclaim real property without assuming environmental  liabilities in relation thereto renders inoperable provincial…
Rank this Week: 3604

Representing Investors

Representing Investors

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

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

    Attorney Mark Maddox quoted in IBJ article in Veros Case

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

    Morgan Stanley – Dishonest & Unethical Conduct Harms its Customer

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

    Breitburn Energy Partners LP Filed for Chapter 11 Bankruptcy Protection

    Breitburn Energy Partners LP Filed for Chapter 11 Bankruptcy Protection
    This past May, 2016, Breitburn Energy Partners LP filed for chapter 11 bankruptcy protection, another casualty of plunging oil prices. Many investors were sold this investment by their brokerage firms and financial advisors who failed to…
Rank this Week: 4086

InvestorLawyers.net

InvestorLawyers.net

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

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

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

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

    Platinum Partners Hedge Funds Under Scrutiny

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

    FINRA Fines Investors Capital Over Unit Investment Trust Sale

    FINRA Fines Investors Capital Over Unit Investment Trust Sale
    The Financial Industry Regulatory Authority (FINRA) recently fined Investors Capital Corporation $250,000 over the sale of unit investment trusts (UITs).  Investors Capital did not admit or deny the allegations leading to the fine, but…
Rank this Week: 1107

Andrew Abramowitz, PLLC

Andrew Abramowitz, PLLC

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

http://aalegalnyc.com/blog/
  • Oct 6

    Recent Trends in Financing Startup

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

    Should You Start Your Legal Career at a Big Firm?

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

    Increased Scrutiny of Non-Competes in New York

    Increased Scrutiny of Non-Competes in New York
    Although it has historically been relatively easy for companies to enforce non-competition agreements against employees in New York State, compared to, say, California, where such provisions are unenforceable, the New York Attorney…
Rank this Week: 1952

SEC Whistleblower Lawyer Blog

SEC Whistleblower Lawyer Blog

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

http://www.secwhistleblowerlawyers.net/
Rank this Week: 2088

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

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

    NASAA Releases Its 2016 Enforcement Report

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

    Financial Advisors Expunging Baseless Customer Complaints in State Court

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

    A SHOT ACROSS THE BOW OF ROBO-ADVISERS

    A SHOT ACROSS THE BOW OF ROBO-ADVISERS
    The Massachusetts Securities Division – one of the most active and sophisticated in the nation – recently issued a Policy Statement “to provide its state-registered investment advisers who establish concurrent or…
Rank this Week: 4059