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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
    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…
Rank this Week: 41

Institutional Investor Securities…

Institutional Investor Securities Blog

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

http://www.institutionalinvestorsecuritiesblog.com/
Rank this Week: 432

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Dec 18

    Life Settlement Promoters’ Pre-Sale Efforts Satisfied Howey, NASAA Argue

    Life Settlement Promoters’ Pre-Sale Efforts Satisfied Howey, NASAA Argue
    [This story previously appeared in Securities Regulation Daily.]By John M. Jascob, J.D.NASAA has urged the Texas Supreme Court to uphold a lower court’s ruling that life settlements sold by Life Partners, Inc. were securities under…
  • Dec 17

    Yale Prof Defends Harvard Activist Clinic against Gallagher Paper

    Yale Prof Defends Harvard Activist Clinic against Gallagher Paper
    [This story previously appeared in Securities Regulation Daily.]By Anne Sherry, J.D.A Yale University law professor has stepped in to challenge SEC Commissioner Daniel Gallagher’s argument that the Harvard Shareholder Rights…
  • Dec 16

    Staff Grants Relief to Combat Advisers’ Reluctance to Provide Documents to CFP Board

    Staff Grants Relief to Combat Advisers’ Reluctance to Provide Documents to CFP Board
    [This story previously appeared in Securities Regulation Daily.]By John Filar AtwoodThe staff of the SEC’s Division of Trading and Markets has expanded a March 2011 no-action position to help the Certified Financial Planner Board of…
Rank this Week: 340

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: 4402

May Law, PC Blog

May Law, PC Blog

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

http://www.maylawpc.net/category/blog/
  • Dec 18

    Is Arbitration Cheaper than Litigation?

    Is Arbitration Cheaper than Litigation?
    Many think that arbitration is less expensive than litigation. As a result, many aggrieved investors begin the process with unrealistic expectations about how much it will cost.…
  • Nov 24

    The Impact FINRA’s CARDS Plan Will Have on the Financial Industry

    The Impact FINRA’s CARDS Plan Will Have on the Financial Industry
    The largest independent regulator of securities firms in the U.S., the Financial Industry Regulatory Authority (FINRA) purports to protect investors by making sure brokerage firms play by…
  • Nov 14

    The Top 5 Financial Crimes of the 21st Century

    The Top 5 Financial Crimes of the 21st Century
    At a time when violent crime rates are reaching historic lows, a different kind of criminal was getting filthy rich by fleecing others in America. Instead of…
Rank this Week: 3453

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 18

    Recovery of UBS ETRACS Monthly Pay 2xLeveraged Wells Fargo MLP Ex-Energy Exchange-Traded Notes Losse

    Recovery of UBS ETRACS Monthly Pay 2xLeveraged Wells Fargo MLP Ex-Energy Exchange-Traded Notes Losse
    Have you suffered losses investing in UBS ETRACS Monthly Pay 2xLeveraged Wells Fargo MLP Ex-Energy Exchange-Traded Notes?  If so, the securities attorneys of The White Law Group may be able to help you recover your losses in a FINRA…
  • Dec 18

    Recovery of Energy Sector Exchange-Traded Fund

    Recovery of Energy Sector Exchange-Traded Fund
    Have you suffered losses investing in Energy Sector Exchange-Traded Funds (“ETFs”)?  If so, the securities attorneys of The White Law Group may be able to help you recover your losses in a FINRA arbitration claim against the…
  • Dec 16

    Recovery of K&M Oil Investment Losse

    Recovery of K&M Oil Investment Losse
    Have you suffered investment losses in K&M Oil Company? If so, The White Law Group may be able to help by filing a claim to recover losses through FINRA arbitration. According to SEC filings, K&M Oil is a limited liability…
Rank this Week: 189

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/
  • Dec 18

    IIROC publishes academic papers assessing impact of high frequency trading

    IIROC publishes academic papers assessing impact of high frequency trading
    The Investment Industry Regulatory Organization of Canada yesterday published three academic papers assessing the impact of high frequency trading on Canadian markets. The impact analysis represents the thrdr phase of IIROC's study on high…
  • Dec 17

    IIROC releases guidance regarding definition of foreign organized regulated market

    IIROC releases guidance regarding definition of foreign organized regulated market
    The Investment Industry Regulatory Organization of Canada earlier this week published guidance reminding dealers that trades executed off-marketplace in reliance of the exemption to execute trades on a foreign…
  • Dec 12

    IIROC proposes transaction-based debt market regulation fee model

    IIROC proposes transaction-based debt market regulation fee model
    The Investment Industry Regulatory Organization of Canada yesterday proposed a new transaction-based debt market regulation fee model.  While IIROC considered a number of options, it ultimately proposed a fee model based on primary…
Rank this Week: 3696

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • Dec 18

    Reverse-Flash: SEC and FINRA Looking to Slow High-Speed Traders?

    Reverse-Flash: SEC and FINRA Looking to Slow High-Speed Traders?
    High-frequency trading is the latest craze hitting the market.  Popularized by Michael Lewis’s Flash Boys, high-frequency or high-speed trading involves the use of sophisticated technological tools and computer algorithms to…
  • Dec 11

    Who Wants To Speak With Me, Oh No

    Who Wants To Speak With Me, Oh No
    Anyone in a service industry has had that dreaded feeling.  You see your email or caller identification and realize it is “that” client trying to reach you.  The client I reference is that extremely difficult client that…
  • Dec 8

    I Just Got A Client, Now What

    I Just Got A Client, Now What
    After the obvious, make and execute on investment recommendations, some are at a loss for what to do next.  From my perspective, it is the next step that may mean the difference from having a career without customer complaints to one…
Rank this Week: 1102

Representing Investors

Representing Investors

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

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

    Merrill Lynch Fined $1.9M and Ordered to Pay $540k Restitution by FINRA

    Merrill Lynch Fined $1.9M and Ordered to Pay $540k Restitution by FINRA
    FINRA has fined Merrill Lynch, Pierce, Fenner & Smith Incorporated $1.9 million for fair pricing and supervisory violations in connection with more than 700 retail customer transactions in distressed securities over a two-year time…
  • Dec 16

    10 Wall Street Banks in Trouble for Offering Encouraging Research to Win IPO

    10 Wall Street Banks in Trouble for Offering Encouraging Research to Win IPO
    Citigroup Inc., Goldman Sachs Group Inc. and eight other securities firms were fined $43.5 million by regulators who said the companies presented favorable stock research in hopes of winning underwriting business in an initial public offering…
  • Dec 12

    Fredrick Griffin v. Rockwell Global Capital LLC FINRA Dispute Resolution Award

    Fredrick Griffin v. Rockwell Global Capital LLC FINRA Dispute Resolution Award
    Griffin requested compensatory damages of approximately $200,000.00, attorneys’ fees, interest, costs, punitive damages, and such in a claim against Rockwell Global Capital LLC in January 2013. Griffin stated that Rockwell Global…
Rank this Week: 393

TRACE Blog

TRACE Blog

Covers anti-bribery compliance.

http://traceblog.org/
  • Dec 18

    Day 9: In-Person Training

    Day 9: In-Person Training
    Supplement your training program with a customized, in-person training session conducted by one of our experienced FCPA attorneys. This half-day session will enable one lucky company to train their employees on anti-bribery regulations and…
  • Dec 17

    Day 8: Consulting Hour

    Day 8: Consulting Hour
    One randomly selected winner will receive a complimentary 3-hour consultation with one of our experienced FCPA attorneys. This consultation opportunity allows you to ask compliance questions or to simply learn more about industry best…
  • Dec 16

    Day 7: TRACE Forum Pa

    Day 7: TRACE Forum Pa
    Due to the overwhelming popularity of this giveaway in last year’s 10 Days of Giving, we are excited to bring back the TRACE Forum Pass. The Forum Pass allows one member company to send an additional representative (registration is…
Rank this Week: 3442

Business Blog

Business Blog

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

http://www.businesslawnews.com/
  • Dec 18

    Year in Review: Cybersecurity and Data Privacy

    Year in Review: Cybersecurity and Data Privacy
    The recent hack of Sony Pictures is only the latest security breach to impact the business community. Overall, 2014 saw several key developments in the arena of cybersecurity and data privacy. In case you missed some of our posts, below is a…
  • Dec 17

    New Court Rule to Protect Personal Information in Court Filing

    New Court Rule to Protect Personal Information in Court Filing
    Given the growing risk of identity theft, the New York State Office of Court Administration (OCA) is taking additional steps to protect personal information included in court filings. The OCA recently announced changes to the Uniform Civil…
  • Dec 16

    NJ Supreme Court Hold Leaflet Ban Is Unconstitutional

    NJ Supreme Court Hold Leaflet Ban Is Unconstitutional
    If you live in a New Jersey condominium complex, you may notice an increase in flyers, advertisements, and other promotional material in your common areas. In Dublirer v. 200 Linwood Avenue Owners, the state’s highest court recently…
Rank this Week: 2633

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Dec 18

    IFRS: The SEC’s Saga Continue

    IFRS: The SEC’s Saga Continue
    During the recent annual AICPA Conference, SEC Chief Accountant Jim Schnurr delivered this speech about the SEC possibly continuing to consider the use of IFRS by domestic companies. As noted in this blog by George Wilson: “While he did…
  • Dec 17

    Transcript: “Proxy Access: A New World of Private Ordering”

    Transcript: “Proxy Access: A New World of Private Ordering”
    We have posted the transcript for our recent popular webcast: “Proxy Access: A New World of Private Ordering.” I’m not a big SNL fan – but this recent bit about Hobbits in the style of “The Office” is…
  • Dec 16

    Conflict Minerals: Briefs Filed in Appeals Case

    Conflict Minerals: Briefs Filed in Appeals Case
    As noted in this Cooley blog and Davis Polk blog, the SEC, intervenor Amnesty International and amici Global Witness and Free Speech for People have filed their briefs in support of upholding the conflict minerals disclosure requirement in…
Rank this Week: 758

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 18

    9th Circuit Upholds Issue Preclusion In Subsequent Derivative Suit

    9th Circuit Upholds Issue Preclusion In Subsequent Derivative Suit
    Derivative suits rarely arrive alone.  When something goes awry, directors and officers can be expected to see multiple suits based on demand futility as well as wrongful demand refusal.  Often, suits will be filed at different…
  • Dec 17

    Ninth Circuit Requires Particularity In All Elements Of Securities Fraud Pleading

    Ninth Circuit Requires Particularity In All Elements Of Securities Fraud Pleading
    Sometimes, I find it useful to take a step back and review the legal standard applicable to securities fraud claims under Section 10(b) and Rule 10b-5.  To stay in court, and securities litigation all about surviving motions to dismiss,…
  • Dec 16

    In Texas Can Some Shares Be More Equal Than Others?

    In Texas Can Some Shares Be More Equal Than Others?
    Although Rome before Augustus is often described as a republic, it was in many respects ruled by the wealthy who jealously guarded their power.  So it was with Rome’s comitia…
Rank this Week: 205

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 17

    D&O Insurance: Eleventh Circuit Holds Insured v. Insured Exclusion’s Applicability to FDIC Failed Bank Claims Ambiguou

    D&O Insurance: Eleventh Circuit Holds Insured v. Insured Exclusion’s Applicability to FDIC Failed Bank Claims Ambiguou
    Going all the way back to the S&L crisis, a recurring insurance coverage issue that has arisen in the failed bank context has been the question of whether or not coverage for a claim brought by the FDIC in its capacity as receiver of a…
  • Dec 16

    Guest Post: Second Circuit Rules for Defendants in Landmark Insider Trading Case

    Guest Post: Second Circuit Rules for Defendants in Landmark Insider Trading Case
    In the following guest post, Susanna Buergel, Charles Davidow, Andrew Ehrlich, Brad Karp, Daniel Kramer, Richard Rosen and Audra Soloway, all of whom are litigation partners at Paul, Weiss, Rifkind, Wharton & Garrison LLP who are…
  • Dec 15

    Up Next: Cyber Insurance Requirements for Banks?

    Up Next: Cyber Insurance Requirements for Banks?
    As I noted in a post last week, in a speech earlier this month in which she outlined the steps bank boards can take to address cybersecurity issues, Sarah Raskin, the second-ranking official at the U.S. Department of Treasury, laid out the…
Rank this Week: 120

Recover Investment Losses Blog

Recover Investment Losses Blog

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

http://blog.rexsecuritieslaw.com
  • Dec 17

    James Purtle, Feltl and Company Broker, Sanctioned by FINRA

    James Purtle, Feltl and Company Broker, Sanctioned by FINRA
    October 10, 2014-Ramsey, Minnesota James Harrison Purtle entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from February…
  • Dec 17

    Ralph Pence of Hornor, Townsend & Kent Sanctioned by Securities Regulator

    Ralph Pence of Hornor, Townsend & Kent Sanctioned by Securities Regulator
    October 7, 2014-Coppell, Texas  Ralph Irwin Pence entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he engaged in two…
  • Dec 17

    Christopher Miller UBS Financial Broker Sanctioned by FINRA

    Christopher Miller UBS Financial Broker Sanctioned by FINRA
    October 1, 2014-The Woodlands, Texas  Christopher I. Miller entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that…
Rank this Week: 3018

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Dec 17

    Atlas Energy Oil and Gas Investments: Risks Investors Should Know Part II

    Atlas Energy Oil and Gas Investments: Risks Investors Should Know Part II
    This article follows up on a recent article reported in Reuters concerning Atlas Energy LP’s private placement partnerships in oil and gas. Atlas Resources LLC, a subsidiary the energy group, has filed documents with the SEC for Atlas…
  • Dec 16

    Atlas Energy Oil and Gas Investments: A Risky Proposition Part I

    Atlas Energy Oil and Gas Investments: A Risky Proposition Part I
    As recently reported in Reuters, Atlas Energy LP has marketed itself to investors as a way to get into the U.S. energy boom. By contributing at least $25,000 in a private placement partnership that will drill for oil and gas in states such as…
  • Dec 15

    LPL Financial Broker Jon Cox Under Investigation For Outside Business Activitie

    LPL Financial Broker Jon Cox Under Investigation For Outside Business Activitie
    The Financial Industry Regulatory Authority (FINRA) recently filed a complaint against LPL Financial LLC (LPL) broker Jon Cox (Cox) alleging that Cox may have engaged in unauthorized outside business activities, private securities…
Rank this Week: 288

The Securities Edge

The Securities Edge

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

http://www.thesecuritiesedge.com/
  • Dec 17

    There ought to be a law

    There ought to be a law
    Posted By: Robert B. Lamm A great deal has been written about the recent reversal of two insider trading convictions.  Specifically, the U.S. Court of Appeals for the Second Circuit threw out the convictions of Todd Newman and Anthony…
  • Dec 11

    What’s good for the goose…

    What’s good for the goose…
    Posted By: Robert B. Lamm A few weeks ago – “From the same wonderful folks who brought you conflict minerals (among other things)” – I complained about Senator Blumenthal’s attempt to tell the SEC what to…
  • Dec 8

    Directors and Officers Beware: You could be individually liable for your entity’s Bank Secrecy Act or Office of Foreign Assets Control violation

    Directors and Officers Beware: You could be individually liable for your entity’s Bank Secrecy Act or Office of Foreign Assets Control violation
    Posted By: Stephanie Quiñones In recent years, the Financial Crimes Enforcement Network (“FinCEN”) and federal regulators of the financial services industry have more aggressively enforced the Bank Secrecy Act…
Rank this Week: 3096

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 17

    The Comverge Case: Fiduciary Duties and Break-Up Fees in M&A

    The Comverge Case: Fiduciary Duties and Break-Up Fees in M&A
    Here’s a blog by Richard Renck of Duane Morris: In In re Comverge, Inc. Shareholders Litig., C.A. No. 7368-VCP, a decision on a motion to dismiss by Court of Chancery, Vice Chancellor Parsons provided practitioners and clients with a…
  • Dec 16

    M&A Communications Challenges Posed by Tax Inversion Deal

    M&A Communications Challenges Posed by Tax Inversion Deal
    Here’s a blog by Kal Goldberg & Charles Nathan of Finsbury: Tax inversion deals are clearly the most talked about M&A deal structure we have seen for many years. Unlike other hot-topic M&A deal structures (think LBOs or…
  • Dec 11

    2014 MAC Survey

    2014 MAC Survey
    Recently, Nixon Peabody posted its “2014 MAC Survey.” Here is an excerpt: Our inaugural survey, which studied 2001 to 2002, reflected the effects on dealmaking of the September 11, 2001, attacks. The following year’s study…
Rank this Week: 2303

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • Dec 16

    Are You Stuck in a REIT?

    Are You Stuck in a REIT?
    Realty Capital Securities, LLC (RCS) is a Boston-based unit of American Realty Capital (ARC).  According to its website, ARC is a “full service investment advisory firm sponsoring a series of investment programs with an emphasis on…
  • Nov 30

    What Will be on the SEC’s 2015 Exam Priorities for Investment Advisers?

    What Will be on the SEC’s 2015 Exam Priorities for Investment Advisers?
    Each January, The SEC’s National Exam Program (“NEP”) issues examination priorities for the year ahead.  The priorities are based upon the SEC’s evaluation of those areas in the financial markets that it believes…
  • Nov 30

    Business Torts in the Financial Industry Arena

    Business Torts in the Financial Industry Arena
    The attorneys at Cosgrove Law Group, LLC frequently handle business disputes on a contingent fee basis in arbitrations and the courts.  We are typically litigating in the financial industry arena where slashing, cross-checking and…
Rank this Week: 615

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Dec 16

    Investor Warning: FS Energy & Power Fund

    Investor Warning: FS Energy & Power Fund
    The nationally acclaimed stock fraud law firm, Fitapelli Kurta, is investigating potential claims against FS2 Capital Partners, LPL Financial, Ameriprise Financial, and any other broker-dealer firm who recommended FS Energy & Power…
  • Dec 16

    FINRA Complaint Report: Week Ending December 12, 2014

    FINRA Complaint Report: Week Ending December 12, 2014
    The following are complaints filed with FINRA against brokers or broker-dealer firms for the week ending December 12, 2014. The post FINRA Complaint Report: Week Ending December 12, 2014 appeared first on Stock Fraud News & Information.
  • Dec 12

    GT Advanced Technologies (GTAT) – Bankrupt – Stock fraud attorneys investigate

    GT Advanced Technologies (GTAT) – Bankrupt – Stock fraud attorneys investigate
    As millions held their breath and awaited the much anticipated release of Apple’s IPhone 6, GT Advanced Technologies (GTAT) cringed and awaited the inevitable – bankruptcy. The post GT Advanced Technologies (GTAT) – Bankrupt…
Rank this Week: 176

New York Securities Lawyers Blog

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

http://www.newyorksecuritieslawyersblog.com/
  • Dec 16

    Merrill Lynch Fined For Fair Pricing and Supervisory Violation

    Merrill Lynch Fined For Fair Pricing and Supervisory Violation
    The Financial Industry Regulatory Authority (FINRA) has announced that Merrill Lynch has been fined $1.9 million and ordered to pay restitution in the amount of $540,000 for fair pricing violations as well as supervisory violations related to…
  • Dec 15

    Citigroup Fined for ETF Prospectus Failure

    Citigroup Fined for ETF Prospectus Failure
    Citigroup, Inc. has reportedly agreed to pay a $3 million fine for failing to properly deliver prospectuses to some customers.  Specifically, according to the Financial Industry Regulatory Authority (FINRA), Citigroup failed to deliver…
  • Dec 8

    Malecki Law is Investigating Possible Claims Related to the Sale of Shares of Amarin

    Malecki Law is Investigating Possible Claims Related to the Sale of Shares of Amarin
    Malecki Law is investigating possible unsuitability claims against stock brokers and financial advisors who sold shares of Amarin to investors for whom the stock was not appropriate. Amarin is a biopharmaceutical company based out of New…
Rank this Week: 4874

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: 2361

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

http://www.seclawyersblog.com/
Rank this Week: 1947

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: 308

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 15

    Former MidAmerica Financial Broker Fined for Outside Business Activity

    Former MidAmerica Financial Broker Fined for Outside Business Activity
    From the Desk of Jim Eccleston at Eccleston Law Offices: FINRA has fined Brian G. Wolf, a former broker from MidAmerica Financial Services, Inc. (“MFS”) for being involved in an outside business…
  • Dec 12

    Ex-New York Islanders Owners Sentenced for Securities Fraud

    Ex-New York Islanders Owners Sentenced for Securities Fraud
    From the Desk of Jim Eccleston at Eccleston Law Offices: Paul Greenwood and Stephen Walsh, former executives at WG Trading Co., were sentenced to 10 years in prison for participating in a fraud valued at roughly $554…
  • Dec 11

    FINRA Fines Ameriprise for Arbitration Discovery Abuse

    FINRA Fines Ameriprise for Arbitration Discovery Abuse
    From the Desk of Jim Eccleston at Eccleston Law Offices: FINRA has sanctioned Ameriprise and one of its brokers for altering documents and refusing to produce documents in an arbitration proceeding. According…
Rank this Week: 132

Stock Market Loss

Stock Market Loss

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

http://www.stockmarketloss.com/news/
  • Dec 15

    FINRA Members Denounce Unfair Aspects of Administrative Proceeding

    FINRA Members Denounce Unfair Aspects of Administrative Proceeding
    This article was originally posted on Stock Market Loss The Financial Industry Regulatory Association (FINRA), a self-regulatory organization created and funded by the brokerage industry, wields powers ceded to it by its benevolent overseer,…
  • 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…
Rank this Week: 1024

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/
  • Dec 15

    Fallout from Landmark Insider Trading Decision Begin

    Fallout from Landmark Insider Trading Decision Begin
    A ruling that tossed out the insider trading convictions of two hedge fund managers may have opened the door for others charged with wrongful trading to get their cases or pleas dismissed.US District Court Judge, Andrew L. Carter Jr.,…
  • Dec 12

    Efforts Continue to "BankofAmericanize" Merrill Brokers - No Compensation for "Small" Account

    Efforts Continue to "BankofAmericanize" Merrill Brokers - No Compensation for "Small" Account
    I am not quite sure when a $250,000 account became a small account, but Merrill Lynch told its brokers on Wednesday that it is eliminating pay for servicing clients with less than $250,000Now, if you are a client at Merrill, with an account…
  • Dec 11

    Fraudulent Apple Trades Cost Morgan Stanley $4 Million in Fine

    Fraudulent Apple Trades Cost Morgan Stanley $4 Million in Fine
    Morgan Stanley will pay $4 million to settle charges that it failed to stop a rogue Rochdale Securities LLC trader from fraudulently buying $525 million in Apple stock in 2012.For more information, go to Morgan Stanley Fined $4 Million for…
Rank this Week: 766

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 12

    UPDATE: Second Circuit Reverses “Downstream Tippee” Conviction

    UPDATE: Second Circuit Reverses “Downstream Tippee” Conviction
    This guest post was authored by our colleague Mark B. Sheppard, a partner in the firm’s Litigation Department. Mark focuses his practice on white collar criminal defense, SEC Enforcement and complex commercial civil litigation. He can…
  • Dec 11

    Britain’s Serious Fraud Office Secures First Convictions Under Bribery Act

    Britain’s Serious Fraud Office Secures First Convictions Under Bribery Act
    Last Friday, news came from across the Atlantic that Britain’s Serious Fraud Office (“SFO”) had successfully obtained its first series of convictions under the UK’s Bribery Act of 2010 (the “Bribery Act”),…
  • Dec 4

    ABA Task Force Proposes Significant Change to Fraud Guideline

    ABA Task Force Proposes Significant Change to Fraud Guideline
    When the U.S. Sentencing Commission adopted the original Sentencing Guidelines in 1987, it sought to ensure that white collar offenders faced “short but definite period[s] of confinement.” U.S. Sentencing Commission, Fifteen Years…
Rank this Week: 2924

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Dec 12

    Interpreting Halliburton

    Interpreting Halliburton
    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…
  • Nov 24

    One Percent Responsible

    One Percent Responsible
    Longtop Financial Technologies, a Chinese financial software company, was a notorious financial fraud (see here for a NYT column on the discovery of the fraud).  Both its outside auditors, Deloitte Touche Tohmatsu, and its…
  • Nov 5

    Omnicare Argued

    Omnicare Argued
    On Monday, the U.S. Supreme Court heard oral argument in the Omnicare, Inc. v. Laborers District Council Construction Industry Pension Fund case, which addresses the pleading standard for a claim under Section 11 of the…
Rank this Week: 765

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 12

    CFPB Reaches Settlement Agreement with Debt Relief Company and Law Firm

    CFPB Reaches Settlement Agreement with Debt Relief Company and Law Firm
    Last Thursday, December 4, 2014, the Consumer Financial Protection Bureau (CFPB) reached a settlement agreement with Premier Consulting Group LLC  and the  Law Office of Michael Lupoloverrequiring the defendants to pay a fine…
  • Dec 9

    A Question of Ethics: The Year in Government Ethic

    A Question of Ethics: The Year in Government Ethic
    Roll Call | December 9, 2014 As long as there are governments, there will be government corruption. The temptations to abuse power are never going away, and neither is human frailty, which means government ethics will remain an important…
  • Dec 9

    Public Databases Increase Qui Tam Risk for Healthcare Provider

    Public Databases Increase Qui Tam Risk for Healthcare Provider
    In 2014, the Centers for Medicare and Medicaid Services (CMS) released two new sources of data that are intended to increase transparency related to federal payments to physicians. They also, however, present a risk of being used by…
Rank this Week: 3067

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 12

    Till Death And Redemptions Do Husband, Wife, And Stockbroker Part

    Till Death And Redemptions Do Husband, Wife, And Stockbroker Part
    We start this ballad with a wife. We add a husband. We toss into that scene a stockbroker. Add some redemptions from the account's under the wife's control. All of which sets the stage for a Wall Street torch song about pain, sadness, and a…
  • Dec 12

    18 Reps Fall Off Firm's Email Radar

    18 Reps Fall Off Firm's Email Radar
    In a recent FINRA regulatory settlement, 18 registered folks sort of fell off their firm's compliance radar.  It's not a case involving earth-shattering misconduct. Sometimes stuff just falls through the cracks. Every wrong on Wall…
  • Dec 11

    Email Request For A Wire Clotheslines Stockbroker

    Email Request For A Wire Clotheslines Stockbroker
    The road to Hell is paved with good intentions and a recent FINRA regulatory settlement involving a customer's email request for a wire transfer certainly proves that point. Presented for your consideration is a stockbroker who appears to…
Rank this Week: 359

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: 1164

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/
  • Dec 11

    Second Circuit Limits “Tippee” Insider Trading Liability

    Second Circuit Limits “Tippee” Insider Trading Liability
    In United States v. Newman, No. 13-1837 (2d Cir. Dec. 10, 2014), the United States Court of Appeals for the Second Circuit reversed the 2013 convictions of Anthony Chiasson and Todd Newman on charges of conspiracy to commit insider trading…
  • Dec 5

    Recent SEC Enforcement Actions Highlight Importance of Robust Insider Trading Compliance Policie

    Recent SEC Enforcement Actions Highlight Importance of Robust Insider Trading Compliance Policie
    Recently the SEC announced enforcement actions which highlight the importance of complying with the beneficial ownership reporting requirements under Sections 13(d), 13(g) and 16(a) of the Securities Exchange Act of 1934, or the Exchange Act.…
  • Nov 24

    How Will the White House Announcement on Immigration Affect Your Company?

    How Will the White House Announcement on Immigration Affect Your Company?
    Most companies will be impacted by the immigration initiatives announced by the White House this week.  It will take up to several months for the initiatives to be implemented in order to give the U.S. Department of Homeland Security…
Rank this Week: 580

Cady Bar the Door

Cady Bar the Door

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

http://www.secmiscellany.com
Rank this Week: 2415

Footnoted

Footnoted

Reports on actionable information in SEC filings.

http://www.footnoted.com/
Rank this Week: 2868

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/
  • Dec 9

    SEC Sanctions Audit Firm

    SEC Sanctions Audit Firm
    The SEC announced settled administrative proceedings against eight audit firms for alleged violations of the auditor independence rules in connection with audits of broker-dealers. According to the SEC's press release, in agreeing to settle…
  • Nov 11

    The Basics of Rule 2510 - Discretionary Account

    The Basics of Rule 2510 - Discretionary Account
    NASD Rule 2510 governs discretionary accounts. It details how discretionary accounts are to be established and also sets forth the requirements for the use of time and price discretion. In this short video, Joel Beck provides an overview of…
  • Nov 10

    The Basics of Rule 3050 - Outside Accounts for Stockbrokers & Associated Person

    The Basics of Rule 3050 - Outside Accounts for Stockbrokers & Associated Person
    NASD Rule 3050 governs transactions by or for associated persons and it requires associated persons of a FINRA-member broker-dealer to disclose their outside securities accounts to their firm, and to disclose their status as an associated…
Rank this Week: 520

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 7

    Request for Submissions: National Business Law Scholars Conference

    Request for Submissions: National Business Law Scholars Conference
    National Business Law Scholars Conference Thursday & Friday, June 4-5, 2015 Seton Hall University School of Law, Newark, NJ This is the sixth annual meeting of the NBLSC, a conference which annually draws together legal scholars from…
  • Dec 7

    Request for Submissions: Yale/Stanford/Harvard Junior Faculty Forum

    Request for Submissions: Yale/Stanford/Harvard Junior Faculty Forum
    Professor Adriaan Lani forwarded me the following announcement about the Yale/Stanford/Harvard Junior Faculty Forum, which offers an exciting venue for junior scholars to present their work: Yale, Stanford, and Harvard Law Schools announce…
  • Dec 7

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: Holly Baird, Comment, The Preculsive Effect of Disgorgement Orders in Non- Dischargeability Actions Under Section 523(a)(19), 30 Emory…
Rank this Week: 121

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/
Rank this Week: 2793

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/
  • Dec 5

    FINRA Increases Arbitrator Pay- Passes Costs to Partie

    FINRA Increases Arbitrator Pay- Passes Costs to Partie
    According to Regulatory Notice 14-49 (“RN 14-49”) issued by the Financial Industry Regulatory Authority (“FINRA”), FINRA is increasing the pay for arbitrators assigned to hear FINRA cases and passing the costs of the…
  • Nov 20

    Former Florida Broker Permanently Barred for Alleged Theft

    Former Florida Broker Permanently Barred for Alleged Theft
    According to his BrokerCheck Report, Jeffrey Brian Grove of Melbourne, Florida has been permanently barred from the financial services industry by the Financial Industry Regulatory Authority (“FINRA”).   According to…
  • Oct 16

    SEC Approves Rule to Help Non-Traded REIT Investor

    SEC Approves Rule to Help Non-Traded REIT Investor
    The Securities and Exchange Commission has approved the Financial Industry Regulatory Authority’s (“FINRA”) proposed revisions to NASD Rule 2340 regarding per share estimated valuations of unlisted REITs held by…
Rank this Week: 331

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

http://www.hedgefundlawblog.com
  • Dec 4

    Hedge Fund Events December 2014

    Hedge Fund Events December 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: December 3, 2014 Sponsor: Morgan Stanley Event: Dive into New Portfolio Strategies Location: New…
  • Nov 11

    3rd Annual Alternative Investments Summit – November 20th

    3rd Annual Alternative Investments Summit – November 20th
    Please see below information on the Seattle Investment Association event on November 20th. **** The Seattle Alternative Investment Association, together with the CFA Society of Seattle, invites you to join us on November 20th, 2014 for the…
  • 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…
Rank this Week: 904

Securities Mining Law

Securities Mining Law

Covers securities law affecting the mining industry in Canada.

http://www.securitiesmininglaw.com/
  • Dec 3

    Important Changes to Offerings to Existing Security Holders and Rights Offerings and their Impact on the Mining Sector in Canada

    Important Changes to Offerings to Existing Security Holders and Rights Offerings and their Impact on the Mining Sector in Canada
    Two important developments were announced today that affect how Canadian reporting issuers can raise capital from their existing security holders: The Ontario Securities Commission (“OSC”) announced the introduction of a new…
  • Nov 5

    Mining seminar

    Mining seminar
    Please join Dentons’ Mining Group at the Terminal City Club on Tuesday, November 18, 2014, as we discuss the following topics: “Tax pitfalls and planning for the mining sector,” presented by Anne Calverley, Partner (Dentons…
  • Oct 31

    INFONEX – MD&A for mining (2014)

    INFONEX – MD&A for mining (2014)
    INFONEX – MD&A for mining (2014) from Dentons …
Rank this Week: 3269

Federal Securities Law Blog

Federal Securities Law Blog

FedSecLaw.com is devoted to highlighting current issues in securities laws, discussing the ramifications of those issues for today’s businesses, and providing bottom-line takeaways for busy owners, managers, and executives. By Porter Wright Morris & Arthur LLP.

http://www.fedseclaw.com/
  • Dec 3

    A compliance problem truly “Made in the USA”

    A compliance problem truly “Made in the USA”
    Following the expiration of a public comment period last week, the ink is now dry on the Federal Trade Commission’s consent decree against Made in USA Brand, LLC, settling charges that the Columbus, Ohio-based company sold its…
  • Nov 25

    FCPA to increasingly target individual

    FCPA to increasingly target individual
    The head of the Department of Justice (DOJ) Criminal Division warned Friday that Foreign Criminal Practices Act (FCPA) prosecutions will increasingly target individuals wrongdoers, rather than corporations. Assistant Attorney General Leslie…
  • 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…
Rank this Week: 524

Startup Law Blog

Startup Law Blog

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

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

    Current Funding Trends and Capital Raising Tip

    Current Funding Trends and Capital Raising Tip
    How Are You Planning to Fund Your Big Idea in 2015? Due to cheaper tools, the cost of getting a startup off the ground has markedly decreased over the past dozen or so years. However, despite lower costs, it can … Continue reading…
  • Nov 4

    Crowdfunding Industry Panel

    Crowdfunding Industry Panel
    Earlier this year Governor Jay Inslee signed HB 2023 into law making equity Crowdfunding legal in Washington State and giving startups an innovative new way to raise funds. Under the bipartisan measure, a Washington business could raise up to…
  • Nov 3

    M&A from the CEO’s Perspective

    M&A from the CEO’s Perspective
    Please join us for the Pacific Rim M&A Institute’s Q4 session. The program features a panel discussion about M&A from the CEO’s perspective. The panel, moderated by Associate Professor, Anita Krug of the University of…
Rank this Week: 1996

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
  • Nov 23

    UBS Puerto Rico Enters $5.2 Million Settlement

    UBS Puerto Rico Enters $5.2 Million Settlement
    In a settlement with Puerto Rico's regulator of financial institutions, UBS has agreed to pay $5.2 million because of their practices involved in the sale of Puerto Rico closed-end municipal bonds. UBS will pay $1.7 million in…
  • Nov 12

    Private Equity Performance Probed by SEC

    Private Equity Performance Probed by SEC
    The U.S. Securities and Exchange Commission (SEC) is questioning how private equity firms report average net returns, also known as the net internal rate of return (IRR), for past funds in their marketing materials for new funds to…
  • Nov 6

    What is a Breach of Fiduciary Duty?

    What is a Breach of Fiduciary Duty?
    When you use a financial advisor or broker to invest in the stock market, you are putting your trust in that individual to act in your interest and for your benefit. When that investment professional fails to conduct themselves with integrity…
Rank this Week: 4929

William Carleton, Counselor @ Law

William Carleton, Counselor @ Law

Covers legal and investment issues facing emerging tech companies.

http://www.wac6.com/wac6/
  • Nov 16

    ACA Webinar on Accredited Investor Definition and Established Angel Group Certification

    ACA Webinar on Accredited Investor Definition and Established Angel Group Certification
    I've just listened to an archived recording of an excellent webinar presented by the Angel Capital Association last week (I had intended to listen in real time, but got pulled away): ACA Webinar on Accredited Investor Definition and…
  • Nov 4

    A Sestina About Copyright

    A Sestina About Copyright
    Sestinas are all about copyright!
  • 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…
Rank this Week: 1394