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Securities Lawyer 101

Securities Lawyer 101

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

http://www.securitieslawyer101.com/blog/
  • Sep 10

    Corporate Hijackings 101 l Securities Lawyer 101 Blog

    Corporate Hijackings 101 l Securities Lawyer 101 Blog
    Securities Lawyer 101 Blog Corporate hijackings, also known as corporate identity theft, of public shell companies has been around for more than a decade.  It  is a growing method used by fraudsters to acquire…
  • 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…
  • Oct 29

    Attorney Kenneth Eade Barred from Practicing Before the SEC

    Attorney Kenneth Eade Barred from Practicing Before the SEC
    Securities Lawyers Gone Wild Series On October 28, 2014, the Securities and Exchange Commission (“SEC”) announced the settlement of an administrative proceeding brought by the agency against Kenneth G. Eade, an attorney licensed…
Rank this Week: 257

Institutional Investor Securities…

Institutional Investor Securities Blog

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

http://www.institutionalinvestorsecuritiesblog.com/
  • Dec 29

    Wells Fargo Reaches $591 Million Mortgage Deal with Fannie Mae

    Wells Fargo Reaches $591 Million Mortgage Deal with Fannie Mae
    Wells Fargo & Co. (WFC) has arrived at a $591 million mortgage settlement with Fannie Mae (FNMA). The arrangement resolves claims that the banking institution sold faulty mortgages to the government run-home loan financier and covers…
  • Oct 27

    European Commission Takes Action Against JPMorgan, UBS, RBS & Credit Swiss for Cartel Conduct

    European Commission Takes Action Against JPMorgan, UBS, RBS & Credit Swiss for Cartel Conduct
    The European Commission has found that Royal Bank of Scotland (RBS), JPMorgan (JPM), UBS AG (UBS) and Credit Suisse (CS) engaged in cartel behavior. Except for RBS, which received immunity from having to pay any fines by disclosing the cartel…
  • Oct 23

    SEC to Reject BlackRock Inc. Proposal for Nontransparent Exchange-Traded Fund

    SEC to Reject BlackRock Inc. Proposal for Nontransparent Exchange-Traded Fund
    In a preliminary ruling, The U.S. Securities and Exchange Commission said it expects to reject BlackRock Inc.’s (BLK) proposal to put out a nontransparent exchange-traded fund. BlackRock sought permission to sell the ETF from the…
Rank this Week: 965

Strictly Business

Strictly Business

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

http://www.strictlybusinesslawblog.com/
  • Oct 30

    Venture Capital Term Sheet Negotiation — Part 14: Representations and Warrantie

    Venture Capital Term Sheet Negotiation — Part 14: Representations and Warrantie
    This post is the fourteenth in a series giving practical advice to startups with respect to understanding and negotiating a venture capital term sheet. In the prior thirteen posts, we provided an introduction to…
  • Aug 19

    Venture Capital Term Sheet Negotiation — Part 13: Drag-Along Right

    Venture Capital Term Sheet Negotiation — Part 13: Drag-Along Right
    This post is the thirteenth in a series giving practical advice to startups with respect to understanding and negotiating a venture capital term sheet. In the prior twelve posts, we provided an introduction to negotiation of the…
  • Aug 19

    Venture Capital Term Sheet Negotiation — Part 13: Drag-Along Right

    Venture Capital Term Sheet Negotiation — Part 13: Drag-Along Right
    This post is the thirteenth in a series giving practical advice to startups with respect to understanding and negotiating a venture capital term sheet. In the prior twelve posts, we provided an introduction to negotiation of the…
Rank this Week: 3344

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/
  • Oct 30

    CCGG releases annual best practices for proxy circular disclosure

    CCGG releases annual best practices for proxy circular disclosure
    Kevin Smyth and Marshall Eidinger -  Recently, the Canadian Coalition for Good Governance (CCGG) released its 2014 Best Practices for Proxy Circular Disclosure. The annual publication, which is intended to provide issuers with…
  • Oct 30

    Amendments to Regulation 91-507 approved in Quebec

    Amendments to Regulation 91-507 approved in Quebec
     Quebec's Regulation to amend Regulation 91-507 respecting Repositories and Derivatives Data Reporting has now received Ministerial approval. As we wrote last week, the amended regulation comes into force tomorrow.
  • Oct 30

    Canadian rules on trade repositories and data reporting - Where we are on the eve of reporting

    Canadian rules on trade repositories and data reporting - Where we are on the eve of reporting
    Margaret Grottenthaler - The trade reporting rules of the securities regulatory authorities in Ontario, Manitoba and Quebec will require reporting beginning October 31. A number of changes to the rules have been made since they were first…
Rank this Week: 1741

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/
  • Oct 30

    A NASAA Presidential Conversation: William Beatty and Andrea Seidt

    A NASAA Presidential Conversation: William Beatty and Andrea Seidt
    The North American Securities Administrator Association has posted remarks given at NASAA’s Annual Conference on September 16, 2014 by William Beatty, NASAA President and Washington Securities Director, and Andrea Seidt, NASAA Past…
  • Oct 30

    NASAA Insight, Fall 2014

    NASAA Insight, Fall 2014
    The North American Securities Administrators Association has published its fall 2014 issue of Insight. According to the press release, this issue of the newsletter contains the information about the following: William Beatty Elected NASAA…
  • Oct 30

    NASAA Cautions Investors to Guard Against Ebola-Related Scam

    NASAA Cautions Investors to Guard Against Ebola-Related Scam
    Details available here.
Rank this Week: 129

The Securities Edge

The Securities Edge

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

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

    Just in time for Halloween: Are the latest PCAOB auditing standards a treat or a trick?

    Just in time for Halloween: Are the latest PCAOB auditing standards a treat or a trick?
    Posted By: Robert B. Lamm The SEC has approved new PCAOB auditing standards relating to related party transactions, significant unusual transactions, and financial relationships and transactions between a company and its executives,…
  • Oct 23

    The Securities Edge launches Bob’s Uptick

    The Securities Edge launches Bob’s Uptick
    Posted By: David C. Scileppi To our readers: As you may have noticed, this week we launched a new feature for The Securities Edge.  We call our new feature “Bob’s Upticks,” which will be authored by our very own Bob…
  • Oct 20

    My inaugural Uptick: How about never? Does never work for you?

    My inaugural Uptick: How about never? Does never work for you?
    Posted By: Robert B. Lamm I have read several reports quoting Mary Jo White, Chair of the SEC, as saying that the remaining Dodd-Frank corporate governance rulemakings will be out by year-end.  Admittedly, the reports aren’t clear…
Rank this Week: 3829

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
Rank this Week: 400

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
Rank this Week: 614

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
  • Oct 30

    M&A Involving Advisors Continues at Steady Pace

    M&A Involving Advisors Continues at Steady Pace
    From the Desk of Jim Eccleston at Eccleston Law Offices: Mergers and acquisitions continue to rise. Total M&A deals through the first half of 2014 total $32.6 billion in assets. That total is double the assets during…
  • Oct 29

    Former CUSO Broker Pleads Guilty to Wire Fraud

    Former CUSO Broker Pleads Guilty to Wire Fraud
    From the Desk of Jim Eccleston at Eccleston Law Offices: Ismail Elmas, a former registered financial advisor with CUSO Financial, has pleaded guilty to defrauding his clients, many of whom were seniors and widows, of more…
  • Oct 28

    Massachusetts Fines LPL Financial for Faulty Variable Annuities Switche

    Massachusetts Fines LPL Financial for Faulty Variable Annuities Switche
    From the Desk of Jim Eccleston at Eccleston Law Offices: Massachusetts securities regulators have fined LPL Financial for oversight failure associated with its sales of variable annuities. LPL agreed to…
Rank this Week: 226

North Carolina Business Litigation…

North Carolina Business Litigation Report

Reports on judicial decisions of significance to business and shareholders. By Mack Sperling of Brooks Pierce LLP.

http://www.ncbusinesslitigationreport.com/
Rank this Week: 884

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

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

    Board Leadership Debate

    Board Leadership Debate
    Stephen Bainbridge recently shared his comments opposing ISS’s proposed revised policy on independent board chair shareholder proposals. The proposal (issued in connection with draft policy changes) adds new…
  • Oct 29

    Our New “SEC Enforcement Handbook”

    Our New “SEC Enforcement Handbook”
    Spanking brand new. By popular demand, this comprehensive “SEC Enforcement Handbook” covers a topic that many have requested – what to do if your company – or someone working there – is investigated by the SEC.…
  • Oct 28

    Coming Next Year: SEC Concept Release on Audit Committee

    Coming Next Year: SEC Concept Release on Audit Committee
    For those practicing long enough, you will recall that the commencement of the SEC’s foray into modern corporate governance kicked off a few years before Sarbanes-Oxley – then-Chair Arthur Levitt focused on audit committees in the…
Rank this Week: 605

Business Blog

Business Blog

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

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

    Is America’s Favorite Pastime Wreaking Havoc on Productivity?

    Is America’s Favorite Pastime Wreaking Havoc on Productivity?
    With the growing popularity of fantasy leagues, America's favorite pastime, football, is a full-time occupation that is no longer reserved for Sundays. Managing players and tracking statistics increasingly distracts workers from the…
  • Oct 29

    Voting Leave: Are Employers Required to Grant Employees Time Off to Cast Their Ballots?

    Voting Leave: Are Employers Required to Grant Employees Time Off to Cast Their Ballots?
    Election Day is Tuesday, November 4, 2014. While most employees are able to cast their ballots outside of their working hours, some may need to take time off to vote. State law dictates whether employers need to provide employees time off to…
  • Oct 28

    Driverless Cars: Balancing the Risks vs. the Reward

    Driverless Cars: Balancing the Risks vs. the Reward
    Audi recently made headlines when its driverless car reached speeds of nearly 150 miles per hour. Google also unveiled its latest iteration of the self-driving car this past summer. Unlike prior designs, which retained steering wheels,…
Rank this Week: 1162

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • Oct 30

    Three Astonishing Thing

    Three Astonishing Thing
    Here at The D&O Diary we read everything so you don’t have to. It was in this spirit that we read the article on page C-3 of yesterday’s Wall Street Journal that in the print version was entitled “Congo Opening Its Doors…
  • Oct 28

    O.K., So Here’s the First Ebola Outbreak-Related D&O Lawsuit

    O.K., So Here’s the First Ebola Outbreak-Related D&O Lawsuit
    Like everyone else, I have been following the Ebola outbreak news with a mixture of horror and fascination. I never in a million years imagined that I would have occasion to write about the Ebola outbreak on this blog. Perhaps due to a lack…
  • Oct 28

    Perhaps This Really Is the Last Round of Mug Shots?

    Perhaps This Really Is the Last Round of Mug Shots?
    I know I have previously declared (twice now) that we have reached the end of the publication of readers’ mug shots, but the pictures just keep arriving. I have been holding some late arriving pictures on the chance that still others…
Rank this Week: 328

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/
  • Oct 30

    Political Spending Disclosures – An Idea So Good That I Think You Should Pay For It

    Political Spending Disclosures – An Idea So Good That I Think You Should Pay For It
    In July 2011, a group of ten law professors filed a rulemaking petition with the Securities and Exchange Commission seeking adoption of a rule requiring disclosure of political spending by publicly traded companies.  In a post last…
  • Oct 29

    Who Is Adolf Berle, Jr. And Why Is Vice Chancellor Laster Quoting Him?

    Who Is Adolf Berle, Jr. And Why Is Vice Chancellor Laster Quoting Him?
    Adolf A. Berle, Jr. wrote Corporate Powers as Powers in Trust more than four score years ago, but Vice Chancellor J. Travis Laster cited the article yesterday as if the Harvard Law Review had published it last…
  • Oct 28

    The Proper Purpose Of Discovery In Derivative Suit

    The Proper Purpose Of Discovery In Derivative Suit
    A plaintiff holding less than 2000 shares files a derivative suit against a corporation’s current or former directors and officers.  The trial court finds the complaint to be internally inconsistent and that regulatory filings…
Rank this Week: 137

Stock Broker Attorney Blog

Stock Broker Attorney Blog

Covers current investigations, opinions and industry news relating to securities arbitration, investment fraud, stockbroker or brokerage firm misconduct. By Levin Papantonio Thomas Mitchell Rafferty & Proctor, P.A.

http://www.stockbrokerattorney.com/blog
  • Oct 29

    Terminated Merrill Lynch Employees May File a Wrongful Termination Case

    Terminated Merrill Lynch Employees May File a Wrongful Termination Case
    Last month Merrill Lynch terminated two of its advisors, James Goetz and Stephen Brown, for "conduct related to not disclosing outside business activities and participation in private securities transactions involving clients," according to…
  • Oct 26

    A New State of Mind in Securities Cases: Sixth Circuit Redefines Corporate Mens Rea

    A New State of Mind in Securities Cases: Sixth Circuit Redefines Corporate Mens Rea
    This month, the Sixth Circuit issued a groundbreaking decision in In re Omnicare Securities Litigation. The court took a new hybrid approach to determining corporate mens rea in securities cases.
  • Oct 23

    800 FINRA Arbitrators to Hear UBS Puerto Rico Bond Case

    800 FINRA Arbitrators to Hear UBS Puerto Rico Bond Case
    After increasing its efforts earlier this year to find enough arbitrators to hear the influx of Puerto Rico bond fund cases, FINRA has announced plans to send over 800 arbitrators to Puerto Rico to hear cases from the hundreds of investors…
Rank this Week: 1894

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/
  • Oct 29

    Donald Overbey Sentenced to Prison

    Donald Overbey Sentenced to Prison
    Have you suffered losses in investments made through Donald Overbey? If so, The White Law Group may be able to help. According to the Chicago-Sun Times, former Illinois broker, Donald Overbey, was accused of defrauding more than 30 clients…
  • Oct 28

    Noah Myers Accused of “Cherry-Picking”

    Noah Myers Accused of “Cherry-Picking”
    According to the New Haven Register, a former Connecticut investment advisor pled guilty to one count of securities fraud in connection with a “cherry-picking” scheme. Noah Myers’ alleged scheme cost investors more than $2…
  • Oct 24

    Ismail Elmas Accused of Stealing from Seniors and Widow

    Ismail Elmas Accused of Stealing from Seniors and Widow
    According to the New Haven Register, Ismail Elmas plead guilty to one count of wire fraud in connection with an alleged scheme that solicited investment offerings from seniors and widows. Beginning in 2012, Ismail Elmas allegedly raised over…
Rank this Week: 230

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Oct 29

    Assistant AG Lauds Cybersecurity Planning, Cooperation

    Assistant AG Lauds Cybersecurity Planning, Cooperation
    [This story previously appeared in Securities Regulation Daily.]By Amy Leisinger, J.D.In remarks at the U.S. Chamber of Commerce’s Third Annual Cybersecurity Summit today, Assistant Attorney General John Carlin highlighted the…
  • Oct 28

    Entire Fairness Review Not Triggered Where Investment Firm Was Not Controlling Stockholder

    Entire Fairness Review Not Triggered Where Investment Firm Was Not Controlling Stockholder
    [This story previously appeared in Securities Regulation Daily.]By Lene Powell, J.D.The Delaware Chancery court dismissed a shareholder challenge to the merger of two oil and gas companies, finding that entire fairness review was not…
  • Oct 27

    Key Senators Say CFTC Must Work with FERC on Oversight of Energy Market

    Key Senators Say CFTC Must Work with FERC on Oversight of Energy Market
    Three U.S. Senators are profoundly disappointed by the CFTC’s settlement with a former hedge fund trader who sold massive volumes of futures contracts in order to manipulate the price of natural gas and make illicit profits. In a letter…
Rank this Week: 529

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • Oct 29

    Is the SEC that good? SEC Wins Every Administrative Case

    Is the SEC that good? SEC Wins Every Administrative Case
    In what is sure to add more “fuel to the fire,” it was recently reported that the SEC has won every case brought in its administrative courts over the last year.  The SEC has not been so successful with its federal…
  • Oct 28

    Forget Including A Bar Of Whistleblower Tips In Settlement Agreement

    Forget Including A Bar Of Whistleblower Tips In Settlement Agreement
    FINRA recently warned that firms could face disciplinary action if they enter into settlement agreements that bar customers or former employees from reporting wrongdoing at the firm.  Although FINRA recognized that confidentiality…
  • Oct 27

    Personal Email For Firm Business – Don’t Do That

    Personal Email For Firm Business – Don’t Do That
    As firm clients demand more and more access to their registered representatives, member firms must do more to make sure that their brokers do not run afoul of the firm communication written supervisory procedures.  One firm recently…
Rank this Week: 2173

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/
  • Oct 29

    Transcript: “The Art of Negotiation”

    Transcript: “The Art of Negotiation”
    We have posted the transcript for the recent webcast: “The Art of Negotiation.”
  • Oct 28

    Fee-Shifting Bylaws: Will The SEC Get Involved?

    Fee-Shifting Bylaws: Will The SEC Get Involved?
    In her blog, Cooley’s Cydney Posner notes how Professors John Coffee and Larry Hamermesh recently testified at the SEC’s recent Investor Advisory Committee meeting about whether the SEC should get involved in the debate over…
  • Oct 27

    KKR Financial: Preference for Business Judgment Review Whenever Possible

    KKR Financial: Preference for Business Judgment Review Whenever Possible
    In our “Minority Holders” Practice Area, we have posted a bunch of memos on the new KKR Financial opinion, including this one from Fried Frank, summarized below: In KKR Financial Holdings LLC Stockholder Litigation, the Delaware…
Rank this Week: 2027

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: 193

Securities Law Blog

Securities Law Blog

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

http://www.securitieslaw-blog.com/
  • Oct 28

    FINRA Fines Merrill Lynch $6M

    FINRA Fines Merrill Lynch $6M
    FINRA fined two Merrill Lynch units $6 million yesterday for alleged short-selling rule violations, which included letting thousands of orders through their systems that violated emergency bans on ‘naked’ short sales in 2008.…
  • Oct 27

    Tiger Woods’ Charities May Lose $500k Donated By Ponzi Schemer

    Tiger Woods’ Charities May Lose $500k Donated By Ponzi Schemer
    Tiger Woods Foundation Inc. and Tiger Woods Charity Event Corp., charities founded by golfing legend Tiger Woods, may be sued for unknowingly receiving donations acquired from a Ponzi scheme. The organizations received $500,000 in charitable…
  • Oct 24

    Ex-Rothstein Attorney Pleads Guilty To $2.4M Fraud

    Ex-Rothstein Attorney Pleads Guilty To $2.4M Fraud
    David Boden, an ex-Rothstein Rosenfeldt Adler PA attorney pleaded guilty yesterday in a Florida federal court to one count of wire fraud in connection to Scott Rothstein’s $1.2 billion Ponzi scheme. Boden admitted that he played a role…
Rank this Week: 1065

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: 2121

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

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

    Sonn|Erez Investigating Claims Involving Thomas Blair Johnson, Victoria, Minnesota

    Sonn|Erez Investigating Claims Involving Thomas Blair Johnson, Victoria, Minnesota
    Sonn|Erez is investigating claims regarding Thomas Blair Johnston (CRD #4375657, Victoria, Minnesota). Johnson recently entered into a Letter of Acceptance, Waiver, and Consent ("AWC") in which he was assessed a deferred fine of $5,000 and…
  • Oct 23

    Sonn|Erez Investigating Claims Regarding AIC Promissory Notes and Stock

    Sonn|Erez Investigating Claims Regarding AIC Promissory Notes and Stock
    Sonn|Erez is investigating claims regarding claims regarding AIC promissory notes and stock. In a 2011 complaint filed by the SEC against AIC, Inc., Community Bankers Securities, LLC, and Nicholas D. Skaltsounis, the SEC alleged that…
  • Oct 21

    Sonn|Erez Investigating Claims Involving Reginald "Reggie" Berthiaume, Orlando, Florida

    Sonn|Erez Investigating Claims Involving Reginald "Reggie" Berthiaume, Orlando, Florida
    Sonn|Erez is investigating claims regarding Reginald Maurice Berthiaume Jr. (CRD #2702903, Orlando, Florida) , also known as Reggie Berthiaume. Berthiaume recently entered into a Letter of Acceptance, Waiver, and Consent ("AWC") in which he…
Rank this Week: 454

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: 331

Cady Bar the Door

Cady Bar the Door

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

http://www.secmiscellany.com
  • Oct 26

    Rengan Rajaratnam Settlement Exposes Slightly Weak Point in SEC’s Newish Admissions Policy

    Rengan Rajaratnam Settlement Exposes Slightly Weak Point in SEC’s Newish Admissions Policy
    You remember Rengan Rajaratnam, right?  He broke the S.D.N.Y.’s long streak of insider trading victories when a jury acquitted him in July.  I wondered what the effect on his case with the SEC would be.  Would he…
  • Oct 23

    SEC Issues Risk Alert, Smacks E*Trade on Penny Stock Sale

    SEC Issues Risk Alert, Smacks E*Trade on Penny Stock Sale
    “What has been will be again / what has been done will be done again; there is nothing new under the sun.”  Ecclesiastes 1:9. On October 9th the SEC brought a settled administrative action against E*Trade Securities and G1…
  • Oct 21

    DOJ’s Marshall Miller: You’re All FCPA Lawyers Now

    DOJ’s Marshall Miller: You’re All FCPA Lawyers Now
    Marshall Miller, the Justice Department’s  principal Deputy Assistant Attorney General for the Criminal Division, has been heating up the compliance conference circuit in recent weeks.  On September 17th, it was the Global…
Rank this Week: 2184

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

http://www.hedgefundlawblog.com
  • Oct 26

    Cole-Frieman & Mallon LLP 2014 Third Quarter Update

    Cole-Frieman & Mallon LLP 2014 Third Quarter Update
    www.colefrieman.com October 23, 2014 Clients and Friends: It has already been a busy fourth quarter, but we would like to take this opportunity to provide you with a brief overview of some of the legal, business and regulatory updates from…
  • Oct 6

    Hedge Fund Events October 2014

    Hedge Fund Events October 2014
    The following are various hedge fund events happening this month. Please email us if you would like us to add your event to this list. **** Date: October 1, 2014 Sponsor: iGlobal Forum Event: Global REIT Summit 2014 Location: New York, NY…
  • Sep 5

    Hedge Fund Events September 2014

    Hedge Fund Events September 2014
    The following are various hedge fund events happening this month. Please email us if you would like us to add your event to this list. **** Date: September 8, 2014 Sponsor: NYSSA Event: Russian and Central & Eastern European Capital…
Rank this Week: 981

William Carleton, Counselor @ Law

William Carleton, Counselor @ Law

Covers legal and investment issues facing emerging tech companies.

http://www.wac6.com/wac6/
  • Oct 26

    Alan Bennett's anthology of six English poet

    Alan Bennett's anthology of six English poet
    Thanks to a London nephew, I'm reading Six Poets: Hardy to Larkin, an anthology of poems by Hardy, Housman, Betjeman, Auden, MacNeice and Larkin, chosen by the English playwright Alan Bennett, with commentary by Bennett between each presented…
  • Oct 22

    Weight as Volume as Displacement of Space

    Weight as Volume as Displacement of Space
    A brilliant, young sculptor has just arrived in Seattle. Her name is Francesca Lohmann. I saw these pieces at the Vignette gallery this evening on Yale Avenue in Capitol Hill. What a talent. The small-scale "sandbags" (I'll call…
  • Oct 16

    Changing the rules for who is allowed to invest in startup

    Changing the rules for who is allowed to invest in startup
    By now, you've probably heard that the SEC is considering making changes to the accredited investor definition. The definition is important to entrepreneurs, angel investors, and the startups they work on together, because it defines the…
Rank this Week: 740

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Oct 24

    Middle Ground

    Middle Ground
    How to evaluate corporate scienter continues to be an unresolved issue in securities litigation.  Some courts, notably the Fifth Circuit (and arguably the Eleventh Circuit), have taken the position that a court can only “look…
  • Oct 10

    Confirmatory Information

    Confirmatory Information
    In its Halliburton II decision, the Supreme Court held that a securities fraud defendant can overcome the fraud-on-the-market presumption of reliance at the class certification stage of a case “through evidence that the…
  • Oct 3

    Duties to Disclose

    Duties to Disclose
    Item 303 of Regulation S-K requires issuers to disclose known trends or uncertainties “reasonably likely” to have a material effect on operations, capital, and liquidity.  Plaintiffs often contend that if the disclosure…
Rank this Week: 1999

Footnoted

Footnoted

Reports on actionable information in SEC filings.

http://www.footnoted.com/
  • Oct 24

    What’s $8m to Google?

    What’s $8m to Google?
    What prompted Google to forgive $8m in payments made to former Chief Business Officer Nikesh Arora?
  • Oct 10

    GT Technologies warned in August

    GT Technologies warned in August
    GT Advanced Technologies most recent Q hinted at serious problems at the company.
  • Sep 30

    Comment letter ahead of BofA’s $8M Fine

    Comment letter ahead of BofA’s $8M Fine
    A comment letter between the SEC and Bank of America hinted at yesterday's $8m fine.
Rank this Week: 2435

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
  • Oct 23

    Odd History Of Stockbroker's Four Away Account

    Odd History Of Stockbroker's Four Away Account
    For one reason or another, stockbrokers may not want to maintain their personal accounts at their employer's brokerage firm. Some of the reasons are valid and often have to do with confidentiality and preventing an employer from freezing an…
  • Oct 23

    Can A Granddaughter Marry Her Uncle?

    Can A Granddaughter Marry Her Uncle?
    As with virtually every job, the practice of law often becomes mind-numbingly boring. Every so often, however, the profession presents you with a fascinating puzzle. A recent federal case may strike some as a religious question raising basic…
  • Oct 23

    EMPLOYMENT TUESDAY at BrokeAndBroker.com

    EMPLOYMENT TUESDAY at BrokeAndBroker.com
    Stockbroker, Compliance, Legal, and Regulatory JobsEmployment Page BrokeAndBroker.com Jobs...
Rank this Week: 565

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
  • Oct 22

    High-Risk and High-Fee Exposure for Public Employee

    High-Risk and High-Fee Exposure for Public Employee
    A recent New York Times article (“Behind Private Equity’s Curtain,” October 18, 2014), has exposed the all too often insidious relationship between public pension funds and the private equity firms that are entrusted with…
  • Sep 26

    Artificial Inflation in Question for an ETF at Bill Gross’s Firm

    Artificial Inflation in Question for an ETF at Bill Gross’s Firm
    Pacific Investment Management Company is under SEC investigation for possibly artificially boosting the returns of a popular fund aimed at small investors. The heady performance of the ETF raised questions among some of Pimco’s clients…
  • Sep 19

    Nation’s Biggest Pension Fund makes Big Decision

    Nation’s Biggest Pension Fund makes Big Decision
    Concerns that investments are too complicated and expensive, the nation’s largest pension fund, the California Public Employees’ Retirement System, will eliminate all of its hedge fund investments over the next year. Overseeing…
Rank this Week: 462

Andrew Abramowitz, PLLC

Andrew Abramowitz, PLLC

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

http://aalegalnyc.com/blog/
  • Oct 22

    Virtual Law Office

    Virtual Law Office
    I live in the quaint seaside town of Port Washington, Long Island (at least, it’s as quaint as is possible 20 miles from Manhattan). Local residents have, in the past year or so, been much more likely to see me around town running…
  • Oct 21

    Interesting Reads for the Week of Oct 20

    Interesting Reads for the Week of Oct 20
    Some interesting legal reads for the week of October 20, 2014: DealBook on a trend in private equity to open investments to individual investors, not just institutional investors, though there are still relatively high minimum investments and…
  • Oct 10

    Does My Company Need to Issue Stock Certificates?

    Does My Company Need to Issue Stock Certificates?
    The short answer to the above question is “no,” but there are some caveats that we need to discuss (otherwise, this would be my shortest blog post ever). Limited liability companies do not require ownership to be evidenced by…
Rank this Week: 2764

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/
  • Oct 22

    Is Dodd-Frank Responsible For Market Volatility?

    Is Dodd-Frank Responsible For Market Volatility?
    Last week’s market gyrations sparked questions about whether bank regulations implemented after the 2008 financial crisis exacerbated price declines by limiting the ability of Wall Street banks to make markets.Read More - Did Bank Rules…
  • Oct 17

    Customer Hit with $80,000 in Respondents' Attorney's Fee

    Customer Hit with $80,000 in Respondents' Attorney's Fee
    It is not often that a public customer is forced to pay a respondent's attorneys fees, but in a recent FINRA arbitration, that is exactly what happened.According to the description in the FINRA arbitration award it appears that a public…
  • Oct 16

    Third Party Bene is Not a Customer for Arbitration Purpose

    Third Party Bene is Not a Customer for Arbitration Purpose
    A FINRA arbitration panel has dismissed a $32 million claim because the claimant was not a customer of the brokerage firms, and did not have an account with the Respondents.The Claimant had alleged that he was an undisclosed third-party…
Rank this Week: 2030

Subject to Inquiry

Subject to Inquiry

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

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

    A Question of Ethics: Are Members Permitted to Help Companies in Which They Own Stock?

    A Question of Ethics: Are Members Permitted to Help Companies in Which They Own Stock?
    Roll Call October 14, 2014 Q. I heard that Rep. Tom Petri, R-Wis., may face ethics discipline because he assisted companies in which he owned stock. I know that Members are not supposed to use their position for their own personal gain, but I…
  • Oct 20

    Taking Aim – the SEC’s Continued Focus on Hedge Fund

    Taking Aim – the SEC’s Continued Focus on Hedge Fund
    “It is difficult to overstate how much the regulatory landscape for hedge fund managers has changed over the past four years.” So said Norm Champ, director of the Securities and Exchange Commission’s Division of Investment…
  • Oct 17

    Update: Supreme Court Declines to Define Instrumentality under FCPA

    Update: Supreme Court Declines to Define Instrumentality under FCPA
    On October 6, 2014, the U.S. Supreme Court denied an August 14, 2014, petition for writ of certiorari by Joel Esquenazi and Carlos Rodriquez, former owners of Terra Communications (Terra). The petition asked the court to define who counts as…
Rank this Week: 2998

BD Law Blog

BD Law Blog

Features news, updates and thoughts regarding broker-dealer and investment adviser regulation and legal and compliance issues. By the Beck Law Firm, LLC.

http://www.bdlawblog.com/
  • Oct 21

    Restrictive Covenants in Georgia: A Tale of the Calendar

    Restrictive Covenants in Georgia: A Tale of the Calendar
    Prior to May 11, 2011, the law in Georgia tended to favor former employees of a business when a dispute arose about the enforceability of restrictive covenants such as covenants not to compete, covenants for non-solicitation, etc. If one…
  • Oct 15

    A Milestone, I suppose. 500 posts.

    A Milestone, I suppose. 500 posts.
    I didn't notice it, but when I hit the publish button on the post immediately before this one today, I published the 500th post here on BDLawBlog.com. 500 posts in a little over seven years. I doubt that most of...
  • Oct 15

    FINRA Cautions Firms on Confidentiality Provisions In Settlement Agreements and Arbitration Discovery Stipulation

    FINRA Cautions Firms on Confidentiality Provisions In Settlement Agreements and Arbitration Discovery Stipulation
    FINRA recently issued Regulatory Notice 14-40, cautioning broker-dealer firms (and associated persons) against including overly restrictive confidentiality language in both settlement agreements and in arbitration discovery stipulations.…
Rank this Week: 1151

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
  • Oct 20

    Of Dropbox and Data Breaches: Highlighting the need for increased cyber-security at home and in the workplace

    Of Dropbox and Data Breaches: Highlighting the need for increased cyber-security at home and in the workplace
    This guest post is authored by Michael B. Hayes. Hayes’ practice concentrates on commercial litigation, government and corporate investigations. Hayes is frequently called upon by clients and colleagues to provide legal expertise and…
  • Oct 15

    DOJ Policy Shift: No Waiver for Ineffective Assistance of Counsel Claim

    DOJ Policy Shift: No Waiver for Ineffective Assistance of Counsel Claim
    Back in January, we wrote about the challenge facing counsel when the United States Attorney’s Office requires a defendant to waive his or her Sixth Amendment claims of ineffective assistance of counsel as part of any plea deal. Today,…
  • Oct 14

    Supreme Court Denies Review of “Acquitted Conduct” Sentence

    Supreme Court Denies Review of “Acquitted Conduct” Sentence
    A defendant exercises his constitutional right to a jury trial and is proven guilty by a jury of his peers. The jury, confronted with multiple charges against the defendant, weighs the evidence and acquits on all counts, save one for ……
Rank this Week: 2693

InvestorLawyers.net

InvestorLawyers.net

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

http://www.investorlawyers.net/blog/
Rank this Week: 1193

Securities Mining Law

Securities Mining Law

Covers securities law affecting the mining industry in Canada.

http://www.securitiesmininglaw.com/
  • Oct 17

    Relaunching the Northern Plan

    Relaunching the Northern Plan
    The Northern Plan will focus on the integrated and coherent development of the area covered by the Northern Plan which includes all of Québec located north of the 49th degree of north latitude and north of the St. Lawrence River and…
  • Aug 27

    Mining & Investment Latin America Summit in Peru

    Mining & Investment Latin America Summit in Peru
    Dentons is proud to be a Silver Sponsor of the largest Mining & Investment event in Latin America at the Mining & Investment Latin America Summit October 27-28 2014 in Lima, Peru. Mining & Investment Latin America Summit is the…
  • Jun 2

    Case Bulletin: R v Karigar, 2014 ONSC 3093

    Case Bulletin: R v Karigar, 2014 ONSC 3093
    For the first time in Canada, an individual has been sentenced to jail time for bribing a foreign public official. The three-year penitentiary sentence was handed down by the Ontario Court of Justice under the Corruption of Foreign Public…
Rank this Week: 3744

Startup Law Blog

Startup Law Blog

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

http://www.startuplawblog.com/
  • Oct 17

    SEC Advisory Committee Makes Accredited Investor Recommendation

    SEC Advisory Committee Makes Accredited Investor Recommendation
    Summary SEC Investor Advisory Committee makes recommendations to the SEC regarding “accredited investor” definition and related considerations No specific changes to financial thresholds recommended New “financial…
  • Oct 8

    Crowdfunding! @ Seattle Startup Week

    Crowdfunding! @ Seattle Startup Week
    My team at Davis Wright Tremaine and I are excited and honored to be able to help kick off the first day of Seattle Startup Week 2014 with an intensive meetup about the legal ins-and-outs surrounding Washington State Equity Crowdfunding.…
  • Sep 29

    FAA Grants Limited Exemptions Allowing Hollywood to Film With Drone

    FAA Grants Limited Exemptions Allowing Hollywood to Film With Drone
    By Diana Marina Cooper In a surprising move last week, the Federal Aviation Administration (FAA) granted permission to six Hollywood companies to film using unmanned aerial vehicles (UAVs). The FAA is currently developing rules to integrate…
Rank this Week: 3901

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/
Rank this Week: 560

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/
  • Oct 10

    “The Bandits’ Club” gets its due

    “The Bandits’ Club” gets its due
    Our colleagues at Antitrust Law Source posted an interesting update about probable charges alleging that traders at approximately a dozen global banks – including Deutsche Bank, JPMorgan Chase, Barclays, and USB – fixed the…
  • Oct 7

    Supreme Court refuses to review FCPA challenge

    Supreme Court refuses to review FCPA challenge
    By W. Kelly Johnson The U.S. Supreme Court on Monday refused to review the first Foreign Corrupt Practices Act (FCPA) case appealed to the highest Court. The appeal sought to limit the scope of the FCPA by narrowing the law’s definition…
  • Sep 18

    Whistleblowers wanted; Holder seeks increased compensation for financial crime informant

    Whistleblowers wanted; Holder seeks increased compensation for financial crime informant
    By W. Kelly Johnson In the first major public comment about white collar crime in more than a year, the Department of Justice (DOJ) called for an increase in compensation for whistleblowers under the Financial Institutions Reform, Recovery…
Rank this Week: 4347

Sharesleuth.com

Sharesleuth.com

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

http://sharesleuth.com/
  • Oct 7

    Kandi Technologies Group Inc.: The return of the cyber shill

    Kandi Technologies Group Inc.: The return of the cyber shill
    Last June, shares of Kandi Technologies Group Inc. (Nasdaq: KNDI) doubled in the space of a week, spurred on by a mysterious network of social-media touters who later deleted their posts or shut down their accounts…
  • Jun 17

    Telestone Technologies revisited: SEC letters reveal doubts about revenues and receivable

    Telestone Technologies revisited: SEC letters reveal doubts about revenues and receivable
    Recently released letters between the Securities and Exchange Commission and Telestone Technologies Corp. (Pink Sheets: TSTC) show that regulators have significant concerns about the Chinese wireless communication company’s reported…
  • Jun 3

    Guanwei Recycling Corp. and Kandi Technologies Group Inc.: The Rui Wang Connection

    Guanwei Recycling Corp. and Kandi Technologies Group Inc.: The Rui Wang Connection
    A Chinese businessman who figures into a fraud case involving Guanwei Recycling Corp. (Nasdaq: GPRC) also has an intriguing connection to Kandi Technologies Group Inc. (Nasdaq: KNDI), whose shares were allegedly manipulated by the same group.…
Rank this Week: 2028

Business Law Post

Business Law Post

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

http://www.businesslawpost.com
  • Oct 6

    CPOs Can Now Engage in General Solicitation

    CPOs Can Now Engage in General Solicitation
    The big legal news in September was that the staff at the Commodity Futures Trading Commission (CFTC) published an exemptive letter No. 14-116 (available here) that allows certain commodity pool operators (CPOs) to engage in general…
  • Aug 22

    New Seed Financing Documents (500 Startups and Y Combinator)

    New Seed Financing Documents (500 Startups and Y Combinator)
    The startup industry keeps on coming up with new innovative solutions to seed financing.  The latest trend is convertible equity.  Two startup venture funds and incubators, 500 Startups and Y Combinator, recently released their…
  • Aug 22

    Unregistered IPOs of Bitcoin Companies Do Not Go Unnoticed By the SEC

    Unregistered IPOs of Bitcoin Companies Do Not Go Unnoticed By the SEC
    As I previously discussed in my blog here, the SEC does not have a mandate to regulate Bitcoin. Not unless it is used in a securities offering, especially in an unregistered initial public offering conducted over the Internet in violation of…
Rank this Week: 4752

TRACE Blog

TRACE Blog

Covers anti-bribery compliance.

http://traceblog.org/
  • Sep 30

    What was September’s biggest compliance story?

    What was September’s biggest compliance story?
    SEC announces record-breaking $30 million whistleblower award. The award, which is the largest in the Commission’s history, was for key information related to an ongoing fraud investigation.  It also marks the fourth time that…
  • Sep 18

    TRACE’s List of Top 5 Most Colorful Projects to Raise Anti-Bribery Awarene

    TRACE’s List of Top 5 Most Colorful Projects to Raise Anti-Bribery Awarene
    Raising awareness about bribery doesn’t always have to be serious business.  In fact, sometimes it can even be fun.  That’s why here at TRACE, we are interested in learning about unique campaigns designed to raise…
  • Aug 28

    What was this month’s biggest anti-bribery story?

    What was this month’s biggest anti-bribery story?
    Take a moment to read our poll and vote for which headline you think was most newsworthy this month: China announces Investigation into Volkswagen AG’s China Joint Venture: China’s anti-corruption authority — the…
Rank this Week: 3080

Stock Market Loss

Stock Market Loss

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

http://www.stockmarketloss.com/news/
  • Sep 26

    Not Quite Investments: Binary Options Are Purely A Gamble

    Not Quite Investments: Binary Options Are Purely A Gamble
    This article was originally posted on Stock Market Loss The Ohio Division of Securities recently initiated an administrative action against an online binary options platform operating from the United Kingdom. The Division alleges that Vault…
  • Jul 28

    VARIABLE LIFE INSURANCE ALERT!

    VARIABLE LIFE INSURANCE ALERT!
    This article was originally posted on Stock Market Loss The lawyers of stockmarketloss.com, a practice group of Cleveland, OH law firm Hermann, Cahn & Schneider LLC, are receiving a growing number of inquiries from victims of variable…
  • Jul 24

    Why Do Variable Life Insurance Policies Fail?

    Why Do Variable Life Insurance Policies Fail?
    This article was originally posted on Stock Market Loss Purchasers of Variable Life and Variable Universal Life Insurance Policies often don’t understand that the values of the sub-account investments determine the sustainability of the…
Rank this Week: 2113