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William Carleton, Counselor @ Law

William Carleton, Counselor @ Law

Covers legal and investment issues facing emerging tech companies.

http://www.wac6.com/wac6/
  • May 25

    Bitter Seattlite

    Bitter Seattlite
    You can now find a genuine, English-style bitter in Seattle. It's made at the Machine House Brewery in Georgetown, by a bona fide Englishman named William, no less. It's got the right amount of carbonation (none), and is served in...
  • May 24

    San Francisco

    San Francisco
    Assessing the weather conditions for my walk to work this morning, I saw that it was drizzling, and cool. It's the Friday before a three-day weekend, I thought, so it shouldn't be a problem if I wear a sweatshirt in...
  • May 23

    President Stark

    President Stark
    The President's geopolitics are straight out of Marvel Comics.
Rank this Week: 47

Business Blog

Business Blog

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

http://www.businesslawnews.com/
  • May 25

    Property Owners – Be Careful What You Wish For

    Property Owners – Be Careful What You Wish For
    In these times of falling property values, many property owners are quick to file tax appeals to reduce their tax burden. Most of these appeals have merit. However, be mindful of the fact that a municipality has the right to file a…
  • May 24

    Is “Secret” Business Court Coming Back to Delaware?

    Is “Secret” Business Court Coming Back to Delaware?
    Many corporations call Delaware home because of its business friendly legal environment. It is an attractive place to incorporate a business, and it can also provide substantial court decision precedents for corporate disputes, making it more…
  • May 23

    Technology Spurs New Type of Lease Agreement

    Technology Spurs New Type of Lease Agreement
    In a digital world, even small businesses can quickly run out of storage space for their data. To ensure that customer databases, product lists and email systems are all stored securely, many companies are turning to data…
Rank this Week: 243

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

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

    Reading the Tea Leave

    Reading the Tea Leave
    Section 11 of the '33 Act creates liability for material misrepresentations in a registration statement. According to the Second Circuit (Fait) and Ninth Circuit (Rubke), however, if the alleged misrepresentation is an opinion, the plaintiff…
  • May 17

    Shrug, Concur, and Move On

    Shrug, Concur, and Move On
    In a famous market manipulation that lead to multiple criminal convictions, the A.R. Baron brokerage engaged in a pump-and-dump scheme to induce customers to purchase the securities of small companies at artificially inflated prices. Among…
  • May 10

    What Next?

    What Next?
    Based on the Supreme Court's recent decisions, a plaintiff is not required to prove the existence of loss causation (Halliburton) or materiality (Amgen) to certify an investor class. In the Halliburton case, however, the defendants pursued a…
Rank this Week: 435

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/
  • May 24

    Investigation of Blake Richards Investment Losse

    Investigation of Blake Richards Investment Losse
    Have you suffered losses as a result of investing with former LPL financial adviser and broker, Blake Richards?  If so, the securities attorneys of The White Law Group may be able to help you recover your losses through a FINRA…
  • May 24

    Recovery of ATEL Capital Equipment Fund Investment Losse

    Recovery of ATEL Capital Equipment Fund Investment Losse
    Have you suffered losses in an ATEL Capital Equipment Fund?  If so, the securities attorneys of The White Law Group may be able to help you recover your losses through a FINRA arbitration claim against the brokerage firm that…
  • May 21

    vFinance Investments Sanctioned by FINRA

    vFinance Investments Sanctioned by FINRA
    According to The Southern Florida Business Journal, a Boca Raton brokerage firm, vFinance Investments Inc., was fined $65,000 by the Financial Industry Regulatory Authority (FINRA) for “conducting a $5.95 million private…
Rank this Week: 359

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/
Rank this Week: 766

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
Rank this Week: 76

Securities Law Prof Blog

Securities Law Prof Blog

Covers securities arbitration, state securities law, court decisions and law review articles. By Professor Barbara Black.

http://lawprofessors.typepad.com/securities/
  • May 24

    SEC Charges Dallas Trader with Front-Running

    SEC Charges Dallas Trader with Front-Running
    The SEC announced fraud charges and an asset freeze against Daniel Bergin, a senior equity trader at Cushing MLP Asset Management, a Dallas-based investment advisory firm, who allegedly profited by placing his own trades before executing…
  • May 24

    Obama Nominates Piwowar and Stein to SEC

    Obama Nominates Piwowar and Stein to SEC
    The White House announced that it is nominating two individuals to seats on the SEC: Michael Sean Piwowar, of Virginia, to be a Member of the Securities and Exchange Commission for a term expiring June 5, 2018, vice Troy A....
  • May 23

    Former Goldman Banker Settles SEC "Pay-to-Play" Charge

    Former Goldman Banker Settles SEC "Pay-to-Play" Charge
    Neil M.M. Morrison, a former VP in the investment banking division of Goldman, Sachs, settled SEC charges that he engaged in a "pay-to-play" scheme. The SEC alleged that starting in July 2008 Morrison was employed by Goldman to…
Rank this Week: 209

Stock Broker Fraud Blog

Stock Broker Fraud Blog

Covers broker fraud, investor fraud, marketing timing, and securities fraud. By Shepherd Smith & Edwards.

http://www.stockbrokerfraudblog.com/
Rank this Week: 203

Securities Mining Law

Securities Mining Law

Covers securities law affecting the mining industry in Canada.

http://www.securitiesmininglaw.com/
  • May 24

    Accessing Asian Capital by Canadian Companies – the case for listing in Hong Kong

    Accessing Asian Capital by Canadian Companies – the case for listing in Hong Kong
    Why Hong Kong Michael Chan, Assistant Vice President of the Global Markets Division of the Hong Kong Stock Exchange (“HKEx”), was recently in Canada, visiting Calgary, Toronto and Vancouver and delivering a presentation entitled…
  • May 10

    Canada to Strengthen its Laws Against Bribery of Foreign Public Official

    Canada to Strengthen its Laws Against Bribery of Foreign Public Official
    Mining and exploration companies with projects in developing nations should take note that an amendment to the Foreign Corrupt Practices Act (CFPOA) has been approved by the Senate and is currently before the House of Commons. Bill S-14…
  • May 10

    New Bill Heightens Potential for More Investment Canada Reviews of SOE Acquisition

    New Bill Heightens Potential for More Investment Canada Reviews of SOE Acquisition
    Last week the Canadian Government introduced amendments to the Investment Canada Act (ICA) to implement its revised policy towards state-owned enterprises (SOEs) which it announced in December last year. At that time, while it approved the…
Rank this Week: 1369

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: 447

Securities Attorneys Law Blog

Securities Attorneys Law Blog

Covers securities class action litigation and FINRA arbitrations, SEC regulatory developments and FINRA disciplinary decisions. By Jay Eng.

http://securitiesattorneys.us/
Rank this Week: 202

Securities Attorney Law Blog

Securities Attorney Law Blog

Reviews Federal Securities Fraud Litigation, Arbitration, Whistleblower Claims & Derivative Lawsuits. By Jay Eng.

http://securitiesattorneylaw.com/
Rank this Week: 753

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
  • May 24

    Former LPL Financial Broker Charged by SEC

    Former LPL Financial Broker Charged by SEC
    A former adviser affiliated with LPL Financial LLC has been charged by the Securities and Exchange Commission (SEC) of defrauding investors and stealing $2 million from at least six clients. According to the civil complaint, former LPL…
  • May 17

    B-Ds Address Sales of Alternative Investment

    B-Ds Address Sales of Alternative Investment
    Alternative investments like non-traded REITs and private placements have levied financial havoc on many investors in recent years. Now, facing pressure from regulators, some broker/dealers are making changes to how they sell these kinds of…
  • May 16

    Report: Senior Designations Can Confuse the Elderly

    Report: Senior Designations Can Confuse the Elderly
    A May 7 story by NPR highlights some of the ways in which bogus financial advisers use the “art of confusion” to siphon money from unsuspecting elder Americans. A contributing factor to this type of elder fraud is the myriad of…
Rank this Week: 849

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • May 24

    ISS Settles with SEC Over Breach of Confidentiality

    ISS Settles with SEC Over Breach of Confidentiality
    ISS Settles with SEC Over Breach of Confidentiality Yesterday, the SEC charged ISS with failing to safeguard confidential voting information in a number of proxy contests - and ISS settled for a $300k fine for violating the '40 Act. In...
  • May 23

    12th-23rd Say-on-Pay Failures of the Year (Including One With 9% Support!)

    12th-23rd Say-on-Pay Failures of the Year (Including One With 9% Support!)
    12th-23rd Say-on-Pay Failures of the Year (Including One With 9% Support!) Here are the latest failures - including one with 9% support, the lowest level since say-on-pay became law: - Patriot Scientific - Form 8-K (46% support) - Gentiva…
  • May 22

    Status of SEC's Political Contribution Disclosure Rulemaking: Not Yet (& Maybe Never)

    Status of SEC's Political Contribution Disclosure Rulemaking: Not Yet (& Maybe Never)
    Status of SEC's Political Contribution Disclosure Rulemaking: Not Yet (& Maybe Never) Each time I see an article from the mass media indicating that an imminent proposal from the SEC on political contribution disclosure rules, I tweet…
Rank this Week: 439

The Race to the Bottom

The Race to the Bottom

A faculty-student collaboration on corporate governance. By Professor J. Robert Brown, Jr.

http://www.theracetothebottom.org/home/
  • May 24

    SEC Regulatory Accountability Act of 2013: Whose Interests are Being Served?

    SEC Regulatory Accountability Act of 2013: Whose Interests are Being Served?
    On May 17th the U.S. House of Representatives by a 235-161 vote (including 17 Democrat supporters) approved the SEC Regulatory Accountability Act of 2013 (the “Accountability Act”).  The Accountability Act directs the SEC to…
  • May 23

    Two Nominees for the SEC

    Two Nominees for the SEC
    The Administration has nominated two candidates to the SEC:  Kara Stein, an aide to Jack Reed, the Senator who until recently chaired the Senate Subcommittee on Securities, and Michael Piwowar, an aide to Sen. Mike Crapo (R., Idaho),…
  • May 23

    The Lack of Impartiality in the Proxy Proce

    The Lack of Impartiality in the Proxy Proce
    The vote is in on the contest over whether position of chair and CEO should be divided at JP Morgan Chase.  But a fundamental shift in the traditional dynamics of a proxy contest occurred during the voting process.  Shareholders…
Rank this Week: 160

California Corporate & Securities…

California Corporate & Securities Law

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

http://www.calcorporatelaw.com/
  • May 24

    Court Holds Non-Parties May Enforce Arbitration Agreement Even Though The General Rule Is That They Can’t

    Court Holds Non-Parties May Enforce Arbitration Agreement Even Though The General Rule Is That They Can’t
    The Financial Industry Regulatory Authority, more commonly known as FINRA, has adopted a Code of Arbitration for Customer Disputes (FINRA has a separate code for industry disputes).  Under FINRA’s Customer Code, a claim…
  • May 23

    Two Very Good Reasons To Visit The Department’s Website

    Two Very Good Reasons To Visit The Department’s Website
    When I joined the Department of Corporations, it had no website.  I remember reviewing possible designs for a site.  Now, it seems hard to imagine that there was a time when state agencies didn’t have websites.  Today,…
  • May 22

    Sealing A Contract May Mean Nothing Or 20 Years!

    Sealing A Contract May Mean Nothing Or 20 Years!
    The California Corporations Code endows corporations with certain rights, including the right to “adopt, use and alter” a seal.  Cal. Corp. Code § 207(a).  The Corporations Code does not define a “seal”…
Rank this Week: 294

Strictly Business

Strictly Business

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

http://blog.alexanderdavie.com/
Rank this Week: 1105

The Law Planet Blog

The Law Planet Blog

Discusses investment, labor, and employment law, as well as securities arbitration, stockbroker issues, and legal technology. By LaBovick Law Group.

http://www.thelawplanetblog.com/
  • May 23

    The Importance of Continuing Treatment While Trying to Get SSD Benefit

    The Importance of Continuing Treatment While Trying to Get SSD Benefit
    By far, the most critical part of an application for Social Security disability benefits is the medical documentation. This is important for two reasons: First, if the claimant has continued to treat for several months or years, it…
  • May 22

    What are the basics to creating a living will?

    What are the basics to creating a living will?
    Having a will to dispose of assets is only the beginning of a well-thought out estate plan. Combining the advantages of a will, a revocable trust, a durable power of attorney and a living will is the best way to achieve your post-mortem…
  • May 20

    Is Signing an Affidavit Naming Paternity a Double-Edged Sword?

    Is Signing an Affidavit Naming Paternity a Double-Edged Sword?
    There are now more children born to single parents than to parents who are married. Florida has a statute dealing with unmarried parents that lists the father on the birth certificate. A lot of unmarried couples end up breaking up and having…
Rank this Week: 262

The Securities Edge

The Securities Edge

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

http://www.thesecuritiesedge.com/
Rank this Week: 805

FinancialCounsel

FinancialCounsel

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

http://financialcounsel.typepad.com/financialcounsel/
  • May 23

    Structured Products Raise Concern

    Structured Products Raise Concern
    The SEC is pressing large investment banks to provide more disclosure on structured notes. Surging sales of structured notes, which are often complex and hard to understand, have caused concerns about how banks are valuing the products and…
  • May 23

    Non-Traded REITs Under Fire

    Non-Traded REITs Under Fire
    Massachusetts securities regulators have found significant violations and have settled with Ameriprise Financial Services, Inc., Commonwealth Financial Network, Royal Alliance Associates Inc., Securities America and Lincoln Financial Advisors…
  • May 22

    Financial Services Firms Making Changes to How They Sell Some Alternative Investment

    Financial Services Firms Making Changes to How They Sell Some Alternative Investment
    Amid increasing pressure from regulators, Berthel Fisher & Co. Financial Services Inc., VSR Financial Services Inc. and Cetera Financial Group Inc., which has four independent-contractor-broker-dealers under its umbrella, have revised…
Rank this Week: 237

Cady Bar the Door

Cady Bar the Door

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

http://www.secmiscellany.com
  • May 23

    Keeping Internal Investigations Independent and Conflict-Free

    Keeping Internal Investigations Independent and Conflict-Free
    Internal investigations can arise in a number of different ways and can concern a number of different subjects.  Allegations of financial misconduct, employment-related missteps, and breaches of fiduciary duty, among others, can all lead…
  • May 8

    The SEC Does Not Care about Your FINRA Document Request

    The SEC Does Not Care about Your FINRA Document Request
    If you are a broker-dealer or a registered representative at one, you sign on for some meddling by FINRA.  The self-regulatory organization is responsible for overseeing your securities business and even for your outside business…
  • May 2

    SEC Dings Investment Adviser for Custody Violations, Failure to Supervise

    SEC Dings Investment Adviser for Custody Violations, Failure to Supervise
    Readers of this space – and SEC observers generally – will recall a March 4 risk alert designed to warn investors about the ways U.S. investment advisers had recently been found to have violated the SEC’s asset custody…
Rank this Week: 2480

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

http://www.seclawyersblog.com/
Rank this Week: 722

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
  • May 23

    Seizure Alert Dog Business Sham

    Seizure Alert Dog Business Sham
    Rather than try and digest this disgusting bit of business, I prefer to present it to you in full-text so as to retain the depths to which this low life defendant fell.(From the May 23, 2013, NYSAG Press Release). Compliments to the NYAG for…
  • May 23

    Feds Say Pastor Stole From Peter To Pay Peter In Real Estate Scam

    Feds Say Pastor Stole From Peter To Pay Peter In Real Estate Scam
    According to a federal Indictment  in the Southern District of Texas returned one May 8, 2013 and unsealed on May 23, 2013, Samuel Ray Palasota, 52, Houston, TX , engaged in some 21 counts of mail fraud and 3 counts of wire fraud…
  • May 22

    Customers Complain That Edward Jones Didn't Stop In The Name Of Love

    Customers Complain That Edward Jones Didn't Stop In The Name Of Love
    The line in the song goes: Stop in the name of love before you break my heart. Apparently that refrain became the basis for a customer arbitration.  Did Edward Jones break the claimants' account? In a Financial Industry Regulatory…
Rank this Week: 496

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • May 22

    FDIC's Latest Failed Bank Litigation Update Reflects Increasing Lawsuit Filing

    FDIC's Latest Failed Bank Litigation Update Reflects Increasing Lawsuit Filing
    According to the latest update on the FDIC’s website, the pace of the agency’s filing of failed bank lawsuits picked up considerably in the last month. According to the agency’s website (here), which the agency updated on…
  • May 22

    Despite Setbacks, Libor-Scandal Claimants Press Ahead

    Despite Setbacks, Libor-Scandal Claimants Press Ahead
    The early returns in the Libor-scandal related litigation have not been favorable for the claimants. As noted here, on March 29, 2013, Southern District of New York Judge Naomi Reice Buchwald substantially granted the motion to dismiss in the…
  • May 21

    D&O Insurance: Separate Claims Deemed a Single Claim--What Are the Implications?

    D&O Insurance: Separate Claims Deemed a Single Claim--What Are the Implications?
    As I have previously noted (refer for example here), one of the most vexing issues in the D&O claims arena is the questions of whether or not two claims are or are not interrelated. If the two are interrelated, they are deemed a single…
Rank this Week: 97

Amato Law Firm, LLC Blog

Amato Law Firm, LLC Blog

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

http://www.ramatolaw.com/blog1
  • May 22

    Amato Law Firm Successfully Defends Broker-Dealer Client in Alabama Arbitration

    Amato Law Firm Successfully Defends Broker-Dealer Client in Alabama Arbitration
    Amato Law Firm, LLC is pleased to announce that its independent broker-dealer client has been vindicated following a FINRA arbitration hearing before a three member Alabama panel.  The industry dispute involved allegations of breach of…
  • May 22

    In Face of Regulatory Scrutiny, Some B-Ds Rein in Alternative

    In Face of Regulatory Scrutiny, Some B-Ds Rein in Alternative
    Rumor has it that some independent broker-dealers, including VSR Financial Services, Inc. and Berthel Fisher (among others) have revised guidelines relating to the sale of alternative investments such as non-traded REITs.  As recently…
  • May 20

    The Ongoing Raiding Dispute between Wells Fargo Advisors and Stifel Nicolau

    The Ongoing Raiding Dispute between Wells Fargo Advisors and Stifel Nicolau
    A noteworthy and contentious dispute (or, more accurately, series of disputes) between brokerage firm Wells Fargo Advisors, LLC (WFA) and its crosstown rival Stifel, Nicolaus & Company, Inc. (Stifel) is worth mentioning simply because of…
Rank this Week: 3675

Securities Arbitration Blog

Securities Arbitration Blog

Covers the happenings in the Securities and Investment Fraud Sector. By Guiliano Law Firm.

http://www.securitiesarbitrations.com
Rank this Week: 1397

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/
  • May 22

    NetSpend: Delaware Chancery Criticizes Single-Buyer Negotiating, Use of DADW & Revlon Process, But Denies Injunction

    NetSpend: Delaware Chancery Criticizes Single-Buyer Negotiating, Use of DADW & Revlon Process, But Denies Injunction
    NetSpend: Delaware Chancery Criticizes Single-Buyer Negotiating, Use of DADW & Revlon Process, But Denies Injunction Here's news from Greenberg Traurig's Cliff Neimeth: Vice Chancellor Glasscock's decision yesterday in Koehler v. Netspend…
  • May 20

    Safe Harbor: Del Monte in a Minor Key

    Safe Harbor: Del Monte in a Minor Key
    Safe Harbor: Del Monte in a Minor Key Here is an article from "The Deal": Corporate directors and their outside advisers would seem to have fulfilled their fiduciary duties to shareholders handsomely by agreeing to sell a company…
  • May 14

    In re Plains Exploration: A Revlon Review & the Kitchen Sink

    In re Plains Exploration: A Revlon Review & the Kitchen Sink
    In re Plains Exploration: A Revlon Review & the Kitchen Sink John Grossbauer of Potter Anderson notes: In In re Plains Exploration & Production Co. Shareholder Litigation, Delaware Vice Chancellor Noble rejected claims for breach of…
Rank this Week: 1324

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/
  • May 22

    FINRA Hits LPL With $7.5 Million Fine in E-mail Failure Case

    FINRA Hits LPL With $7.5 Million Fine in E-mail Failure Case
    LPL Financial LLC has signed a Letter of Acceptance, Waiver and Consent ("AWC") to resolve allegations by FINRA that it made material misrepresentations to the regulator during its investigation of significant and repeated e-mail failures by…
  • May 16

    Ranbaxy USA, Inc. Agrees to $500 Million Settlement

    Ranbaxy USA, Inc. Agrees to $500 Million Settlement
    Ranbaxy USA, Inc., a division of generic drug manufacturer Ranbaxy Laboratories Limited based in India, has agreed with the U.S. to settle criminal and civil charges. The charges relate to the manufacture and distribution of allegedly…
  • May 14

    C.R. Bard Agrees to Settle Qui Tam Suit

    C.R. Bard Agrees to Settle Qui Tam Suit
    New Jersey-based C.R. Bard, Inc. ("Bard"), a manufacturer and marketer of medical products, has agreed to settle a qui tam action for $48.26 million. According to the Justice Department, the suit relates to Bard's sales of brachytherapy…
Rank this Week: 1521

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • May 22

    What Broker-Dealers Need To Know About FINRA

    What Broker-Dealers Need To Know About FINRA
    Recently, FINRA publicized penalties against three companies and associated individuals for failing to implement adequate anti-money laundering procedures.  These fines should serve as a warning to the industry as a whole that FINRA is…
  • May 22

    Apply To Showcase Your Company at This Year's IMPACT Venture Summit

    Apply To Showcase Your Company at This Year's IMPACT Venture Summit
    As the host of IMPACT 2013 Venture Summit, Fox invites you or your clients in the technology, healthcare or early stage sectors to be a featured company during the Mid-Atlantic's premiere venture capital conference. Featured companies receive…
  • May 20

    What Investment Advisers Need To Know About The SEC

    What Investment Advisers Need To Know About The SEC
    The SEC recently announced that its top priority is to increase the number of investment adviser examinations it conducts on an annual basis.  Considering that the SEC only examined 8% of all investment advisers in 2012 (where 40% have…
Rank this Week: 2136

Ponzitracker

Ponzitracker

Covers Ponzi schemes. By Jordan Maglich.

http://www.ponzitracker.com/
Rank this Week: 186

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: 808

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/
  • May 21

    Business Court Sanctions Parties For Disobeying Discovery Order

    Business Court Sanctions Parties For Disobeying Discovery Order
     When you think of sanctions, your mind probably goes to Rule 11 of the Rules of Civil Procedure.  But what about Rule 37(b)(2)?  It says that:  if a party . . . fails to obey an order to provide or permit discovery, . .…
  • May 7

    Claims For Legal Malpractice Aren't Assignable In North Carolina

    Claims For Legal Malpractice Aren't Assignable In North Carolina
    Maybe you've wondered whether a claim for legal malpractice can be assigned. Maybe you haven't. But yesterday, the North Carolina Court of Appeals answered that question.  In Revolutionary Concepts, Inc. v. Clements Walker PLLC, the…
  • May 1

    Fourth Circuit Takes A Narrow View On Recovery Of E-Discovery Cost

    Fourth Circuit Takes A Narrow View On Recovery Of E-Discovery Cost
    You've undoubtedly prevailed in a federal case -- either at summary judgment or after a trial -- and you have probably struggled with what you are entitled to recover as costs under 28 U.S.C. §1920.  And recently, your client,…
Rank this Week: 1108

Business Law Post

Business Law Post

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

http://www.businesslawpost.blogspot.com/
  • May 21

    Can For-Profit Businesses Use Unpaid Interns in New York?

    Can For-Profit Businesses Use Unpaid Interns in New York?
    Even though I have previously written about it, I keep getting many questions regarding whether unpaid interns can work for a for-profit business. My conclusion is YES BUT… it can be risky for the business. In New York, interns can…
  • May 18

    Crowdfunding Update

    Crowdfunding Update
    We are still patiently waiting for the SEC to develop rules implementing the crowdfunding provisions of the JOBS Act. While we are waiting, the industry prepares for the crowdfunding transactions. Recently, two interesting articles about…
  • May 12

    Who Owns #Hashtags?

    Who Owns #Hashtags?
    Proliferation of social media continues to stretch the boundaries of the law and its definitions. It prompts us to apply the proven legal concepts to new technological and social phenomena with no clear and well-defined answers.A good…
Rank this Week: 595

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: 31

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/
  • May 21

    Florida Supreme Court Rules Statute of Limitations Applies to Arbitration

    Florida Supreme Court Rules Statute of Limitations Applies to Arbitration
    This month, the Florida Supreme Court held that Florida's statutes of limitations apply in arbitration proceedings. In the case of Raymond James Financial Services, Inc. v. Barbara J. Phillips, etc. et. al., (No. SC11-2513), the Court held…
  • May 17

    Broker-Dealer Enforcement Roundup

    Broker-Dealer Enforcement Roundup
    FINRA has published the notice of disciplinary cases for April 2013 online. A few cases I think are worthy of discussion. In one case, a firm agreed to settle an action through an AWC and was censured and fined $150,000....
  • May 17

    Broker-Dealer Enforcement Roundup

    Broker-Dealer Enforcement Roundup
    FINRA has published the notice of disciplinary cases for April 2013 online. A few cases I think are worthy of discussion. In one case, a firm agreed to settle an action through an AWC and was censured and fined $150,000....
Rank this Week: 2212

ComplianceAsia News

ComplianceAsia News

Provides information for compliance professionals dealing with issues in financial regulation with a focus on the Asian region.

http://www.compliance.asia/
  • May 20

    SFC proposes substantial changes to Professional Investor regime in Hong Kong

    SFC proposes substantial changes to Professional Investor regime in Hong Kong
    The SFC in Hong Kong has announced a 3 month consultation on major changes to the professional investor regime in Hong Kong.  The full announcement is below (our emphasis added).  We expect quite a vocal response to the consultation…
  • May 16

    Happy birthday to u

    Happy birthday to u
    Tonight in Singapore we are hosting our first of two anniversary parties.  ComplianceAsia is now 10.  Thanks to all of our clients, staff and partners who have supported us over the last decade. 10 years ago we set up the first…
  • May 16

    More from the ICAC

    More from the ICAC
    Today the HK ICAC announced a jail sentence for two insurance agents convicted of falsifying commissions.  The full ICAC is below: Ex-insurance agents jailed for accepting $563,000 bribes and deceiving commissions 16 May 2013 Two…
Rank this Week: 954

Startup Law Blog

Startup Law Blog

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

http://startuplawblog.com
  • May 20

    Washington State to Regulate Fund Manager

    Washington State to Regulate Fund Manager
    This article is appearing simultaneously on The Venture Alley and on Startup Law Blog. Readers may feel free to re-post this content elsewhere as well. The world is changing for venture funds and similar funds in Washington…
  • May 17

    SEC Fires Another Salvo in the “Finder” Debate

    SEC Fires Another Salvo in the “Finder” Debate
    The SEC recently issued orders against two individuals and a company and, in doing so, continued the debate over what conduct requires someone acting as a “finder” to be registered as a broker or dealer or associated with a…
  • May 17

    Young Entrepreneur Social Charity Auction

    Young Entrepreneur Social Charity Auction
    Do you want to make a local impact right now? Are you someone interested in encouraging young entrepreneurs and leaders here in Seattle? Or, are you a young leader yourself who is interested in building a better community locally? On June…
Rank this Week: 643

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

http://www.hedgefundlawblog.com
  • May 17

    Regulation A+ Deadline Passed by Congre

    Regulation A+ Deadline Passed by Congre
    Part of JOBS Act Regulations to be Finalized by October 31, 2013 On Wednesday May 15, the House of Representatives passed H.R. 701 which requires the SEC to finalize regulations with respect to “Regulation A+” of the JOBS Act.…
  • May 7

    SALT Conference 2013

    SALT Conference 2013
    Today the SALT conference starts in Las Vegas.  Continuing through the end of the week, the hedge fund industry will be descending upon the Bellagio for scheduled speakers, general information sessions and, of course, networking.…
  • May 5

    Hedge Fund Events May 2013

    Hedge Fund Events May 2013
    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. **** May 1-3 Sponsor: IAA Event: 2013 Annual Conference Location: New Orleans, LA May 6-7 Sponsor: Schwartz…
Rank this Week: 2336

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/
  • May 17

    FL Court Rules Statute of Limitations Apply in Arbitration

    FL Court Rules Statute of Limitations Apply in Arbitration
    We finally have a ruling on the questionable argument that is often advanced that the statute of limitations does not apply in arbitration. The argument is premised on a contorted interpretation of a Florida statute and requires one to…
  • May 14

    SEC, FINRA Issue Investor Alert On Pension or Settlement Income Stream

    SEC, FINRA Issue Investor Alert On Pension or Settlement Income Stream
    The SEC and FINRA issued an investor alert entitled Pension or Settlement Income Streams – What You Need to Know Before Buying or Selling Them. The investor alert informs investors about the risks involved when selling their rights to…
  • Apr 23

    FINRA Wants Your Facebook Account

    FINRA Wants Your Facebook Account
    You read that right, just as the SEC is embracing social media, FINRA wants access to brokers' Facebook accounts.We all know that an employer's demand for access to an employees Facebook account is illegal in many states, and probably illegal…
Rank this Week: 1055

100 F Street

100 F Street

Covers securities law for growing businesses. By Vanessa Schoenthaler.

http://100fstreet.com/
  • May 16

    SEC Announces a New Director of the Division of Corporation Finance; House Wants to Know Where the JOBS Act Rules Are

    SEC Announces a New Director of the Division of Corporation Finance; House Wants to Know Where the JOBS Act Rules Are
    TweetThe New Director of Division of Corporation Finance Yesterday the Securities and Exchange Commission announced the naming of Keith F. Higgins as director of the Commission’s Division of Corporation Finance. Higgins was a…
  • Mar 12

    Mary Jo White’s Senate Confirmation Hearing Set for Today

    Mary Jo White’s Senate Confirmation Hearing Set for Today
    TweetAt 10:00 AM the Senate Banking Committee will hold a hearing (which you can watch here) to consider the nominations of Richard Cordray as Director of the Consumer Financial Protection Bureau and Mary Jo White as Chairman of the…
  • Feb 10

    The New Nasdaq and NYSE Compensation Committee Listing Standard

    The New Nasdaq and NYSE Compensation Committee Listing Standard
    TweetOver the next week or so I’ll hopefully be catching up on a few things that I haven’t been able to get to from the last several weeks, the first being the new Nasdaq and NYSE compensation committee listing standards: By way…
Rank this Week: 4404

The Lebrecht Group, APLC Blog

The Lebrecht Group, APLC Blog

Discusses corporate securities law .

http://www.thelebrechtgroup.com/blog/
  • May 16

    TLG Attorney to Speak on Ethics at “Accounting 101 for Attorneys” Presentation

    TLG Attorney to Speak on Ethics at “Accounting 101 for Attorneys” Presentation
    Brian A. Lebrecht, founder and President of The Lebrecht Group, APLC, will be among the presenters at a seminar on May 16, 2013 by the National Business Institute entitled Accounting 101 for Attorneys.  Specific topic will be Complying…
  • May 9

    Listing a Reverse Merger Company on NASDAQ

    Listing a Reverse Merger Company on NASDAQ
    NASDAQ has special rules for companies that went public via a reverse merger.  By: Brian A. Lebrecht, Esq. NASDAQ Markets Overview NASDAQ has three different U.S. markets, the NASDAQ Global Select Market, the NASDAQ Global Market, and…
  • May 8

    SEC Asks for a 26% Raise

    SEC Asks for a 26% Raise
    The new chair of the SEC, Mary Jo White, testified before Congress this week and asked to have the SEC’s budget increased by 26%, to $1.67 billion.  A few of the highlights: - she reiterated her commitment to completing the rule…
Rank this Week: 5169

Corporate Finance & Securities Law…

Corporate Finance & Securities Law Blog

Covers mergers and acquisitions, private to public transactions, public company disclosure, regulatory defense, and other financial issues. By The Lebrecht Group.

http://www.thelebrechtgroup.com/blog/
  • May 16

    TLG Attorney to Speak on Ethics at “Accounting 101 for Attorneys” Presentation

    TLG Attorney to Speak on Ethics at “Accounting 101 for Attorneys” Presentation
    Brian A. Lebrecht, founder and President of The Lebrecht Group, APLC, will be among the presenters at a seminar on May 16, 2013 by the National Business Institute entitled Accounting 101 for Attorneys.  Specific topic will be Complying…
  • May 9

    Listing a Reverse Merger Company on NASDAQ

    Listing a Reverse Merger Company on NASDAQ
    NASDAQ has special rules for companies that went public via a reverse merger.  By: Brian A. Lebrecht, Esq. NASDAQ Markets Overview NASDAQ has three different U.S. markets, the NASDAQ Global Select Market, the NASDAQ Global Market, and…
  • May 8

    SEC Asks for a 26% Raise

    SEC Asks for a 26% Raise
    The new chair of the SEC, Mary Jo White, testified before Congress this week and asked to have the SEC’s budget increased by 26%, to $1.67 billion.  A few of the highlights: - she reiterated her commitment to completing the rule…
Rank this Week: 3936

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. Published by Porter, Wright,

http://www.fedseclaw.com/
  • May 15

    SEC and CFTC Red Flag Rules Become Effective May 20, 2013

    SEC and CFTC Red Flag Rules Become Effective May 20, 2013
    The Securities and Exchange Commission and the Commodity Futures Trading Commission have adopted rules that require most broker-dealers, mutual funds, investment advisers, and certain other regulated entities to create programs to prevent…
  • May 7

    The Timken Board: Between a Rock and a Hard Place

    The Timken Board: Between a Rock and a Hard Place
    On May 7, 2013, Timken Co. announced that its shareholders approved a nonbinding proposal from activist shareholders (Relational Investors and Calstrs—California State Teachers' Retirement System, who together own 7.28% of the…
  • Apr 25

    Zillow, Inc. To Use Twitter For Earnings Call

    Zillow, Inc. To Use Twitter For Earnings Call
    The real estate website company Zillow, Inc. announced it would use Twitter and Facebook to field questions on its first quarter earnings call.  The company claims that it is the first to take questions in this manner, but will continue…
Rank this Week: 1627

Chicago Securities Lawyer Blog

Chicago Securities Lawyer Blog

Covers FINRA and securities fraud. By Thomas F. Burke, P.C.

http://www.chicagosecuritieslawyerblog.com/
Rank this Week: 2573

Stock Market Loss

Stock Market Loss

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

http://www.stockmarketloss.com/news/
Rank this Week: 2706