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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…
  • Nov 20

    SEC Suspends Trading in Ebola Ticker

    SEC Suspends Trading in Ebola Ticker
    Going Public LawyerThe Securities and Exchange Commission (the “SEC”) suspended trading in four companies that claim to be developing products or services in response to the Ebola outbreak, citing a lack of publicly available…
Rank this Week: 59

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: 336

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Nov 23

    Massachusetts Fines LPL Financial Over Variable Annuity Sales Practices to Senior

    Massachusetts Fines LPL Financial Over Variable Annuity Sales Practices to Senior
    According to InvestmentNews, LPL Financial, LLC (LPL Financial) was recently fined by Massachusetts securities regulators fined for sales practices concerning variable annuities and agreed to reimburse senior citizens $541,000 for surrender…
  • Nov 21

    Do Increased Investor Risks Lurk Behind the SEC’s Revisiting of the Accredited Investor Definition Part II

    Do Increased Investor Risks Lurk Behind the SEC’s Revisiting of the Accredited Investor Definition Part II
    This article continues to opine on an InvestmentNews article, describing the Securities and Exchange Commission’s (SEC) revisiting the accredited investor standard that determines who is eligible to invest in private placements. It is…
  • Nov 20

    Accredited Investor Definition Revisited By SEC Part I

    Accredited Investor Definition Revisited By SEC Part I
    According to an InvestmentNews article, the Securities and Exchange Commission (SEC), for the first time in 32 years, is revisiting the idea of who should qualify as an accredited investor to be eligible to invest in private placements. The…
Rank this Week: 398

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Nov 21

    LPL Financial/ VALIC Financial Advisors broker, Jodie Linn Miller suspended and fined for selling Tri-Med Securitie

    LPL Financial/ VALIC Financial Advisors broker, Jodie Linn Miller suspended and fined for selling Tri-Med Securitie
    The securities fraud law firm, Fitapelli Kurta is investigating claims against LPL Financial and VALIC Financial Advisors, as well as former LPL Financial and VALIC Financial Advisors broker, Jodie Linn Miller in relation to offerings of…
  • Nov 19

    Stock fraud attorneys investigate ICON Leasing Fund Eleven and Twelve

    Stock fraud attorneys investigate ICON Leasing Fund Eleven and Twelve
    The securities fraud law firm, Fitapelli Kurta is investigating claims against broker-dealer firms like NFP Securities and WFG Investments, as well as any other broker-dealer firm that recommended ICON Leasing Fund Eleven and Twelve to…
  • Nov 18

    Stock Fraud attorneys investigate Virtus AlphaSector Fund

    Stock Fraud attorneys investigate Virtus AlphaSector Fund
    The securities fraud law firm, Fitapelli Kurta, is investigating claims against brokers and broker-dealer firms, such as Raymond James Financial and RBC Wealth Management, who offered or sold Virtus Alpha Sector Funds to investors The post…
Rank this Week: 206

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: 1060

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Nov 21

    Commissioner Bowen Seeks Input on New Market Risk Advisory Committee

    Commissioner Bowen Seeks Input on New Market Risk Advisory Committee
    [This story previously appeared in Securities Regulation Daily.]By Lene Powell, J.D.CFTC Commissioner Sharon Bowen put out a call for comment on the composition and priorities of a new committee looking at market risk, as well as nominations…
  • Nov 20

    Senator Blumenthal Urges SEC to Require Disclosure of Fee-Shifting Provisions in Company By-law

    Senator Blumenthal Urges SEC to Require Disclosure of Fee-Shifting Provisions in Company By-law
    Senator Richard Blumenthal (D Conn) called on the SEC to protect a key check on corporate malfeasance, namely, private citizen suits. Specifically, in a letter to SEC Chair Mary Jo White, the Senator asked the SEC to investigate Alibaba Group…
  • Nov 19

    Oregon Proposes Crowdfunding Rule

    Oregon Proposes Crowdfunding Rule
    [This story previously appeared in Securities Regulation Daily.]By Jay Fishman, J.D.The Oregon Finance and Corporate Securities Division recently proposed crowdfunding rules to help small businesses raise capital. The “Oregon…
Rank this Week: 841

The Securities Edge

The Securities Edge

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

http://www.thesecuritiesedge.com/
  • Nov 21

    From the same wonderful folks who brought you conflict minerals (among other things)

    From the same wonderful folks who brought you conflict minerals (among other things)
    Posted By: Robert B. Lamm Connecticut Senator Richard Blumenthal has written to SEC Chair White urging that the SEC label so-called “fee-shifting” bylaws major risk factors and require companies to disclose them before any…
  • Nov 10

    ISS and Glass Lewis publish 2015 voting policie

    ISS and Glass Lewis publish 2015 voting policie
    Posted By: Robert B. Lamm Institutional Shareholder Services and Glass Lewis have issued their voting policies for the 2015 annual meeting season.  For the most part, both proxy advisory firms’ 2015 policies are refinements of…
  • Nov 8

    Game on: ISS and Glass Lewis issue 2015 voting policie

    Game on: ISS and Glass Lewis issue 2015 voting policie
    Posted By: Robert B. Lamm Last week I posted an UpTick about the rollout of ISS’s voting policies for 2015.  This week saw what appears to be the completion of that rollout, and we were also blessed with the publication of Glass…
Rank this Week: 2990

Securities Law Blog

Securities Law Blog

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

http://seclaw.blogspot.com/
  • Nov 21

    Five Ways Fraudsters Trick Investor

    Five Ways Fraudsters Trick Investor
    "People fall for fraud because fraudsters are that good with special effects. It seems that real,"Michael Hendon, a representative from the Commodity Futures Trading Commission.At a recent securities law summit, government representatives…
  • Nov 20

    Let Us Know - Ebola Related Scam

    Let Us Know - Ebola Related Scam
    While there have been a significant number of deaths from Ebola, the "outbreak" seemed to be largely a news story scam, at least in the United States.It is therefore hard to believe that a serious investor would even consider an investment in…
  • Nov 20

    SEC Press Release

    SEC Press Release
    India-Based Operators Charged for High-Yield Investment Scheme Using Social MediaCharges have been announced against two India-based operators of an alleged high-yield investment scheme seeking to exploit investors through pervasive social…
Rank this Week: 781

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

http://www.seclawyersblog.com/
Rank this Week: 632

Subject to Inquiry

Subject to Inquiry

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

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

    DOJ Wields Financial Institutions Reform, Recovery, and Enforcement Act Against Financial Institution

    DOJ Wields Financial Institutions Reform, Recovery, and Enforcement Act Against Financial Institution
    In 2012 and 2013, the Department of Justice brought a slew of actions against several financial institutions under a rarely used and little-known statute from the late 1980s for conduct related to the mortgage crisis. Outcomes in these cases…
  • Nov 7

    Update on Brazil: Embraer SA and Anti-Corruption Progre

    Update on Brazil: Embraer SA and Anti-Corruption Progre
    Imagine you are a compliance officer for a multinational company with securities listed on a U.S. stock market. The Foreign Corrupt Practices Act (FCPA) falls squarely within your purview, but other anti-corruption regimes seem less relevant…
  • 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…
Rank this Week: 2668

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Nov 21

    Studies: Bridging Company/Investor Sustainability Gap

    Studies: Bridging Company/Investor Sustainability Gap
    The largest studies of CEOs and investors to date on sustainability reveal consensus on the value of sustainability generally, but a huge disconnect in CEOs’ and investors’ views on certain fundamental aspects…
  • Nov 20

    Proxy Access: Will the Whole Foods No-Action Request Maim Private Ordering?

    Proxy Access: Will the Whole Foods No-Action Request Maim Private Ordering?
    Proxy access is back to being red hot. So hot that I just calendared this webcast in a few weeks: “Proxy Access: A New World of Private Ordering.” Why is it hot? Some pension funds are frustrated because it’s been three…
  • Nov 19

    Conflict Minerals: Panel Rehearing Granted on 1st Amendment Issues!

    Conflict Minerals: Panel Rehearing Granted on 1st Amendment Issues!
    As noted by Cooley’s Cydney Posner in this blog, the DC Circuit court of Appeals has granted the petitions of the SEC and Amnesty International for a panel rehearing (and the motion of Amnesty to file a supplemental brief) in connection…
Rank this Week: 1647

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • Nov 21

    SEC: Number of Whistleblower Reports Continues to Increase

    SEC: Number of Whistleblower Reports Continues to Increase
    The number of whistleblower reports to the SEC increased again in the latest fiscal year, according to the annual report of the SEC whistleblower office. The report, which the SEC is required by the Dodd-Frank Act to provide to Congress…
  • Nov 21

    Notes from the Advisen European D&O Insights Conference in London

    Notes from the Advisen European D&O Insights Conference in London
    The D&O Diary was in London this week to attend and participate in the Advisen European Insights Conference, which took place on Wednesday at the Willis Building, located conveniently across Lime Street from the Lloyd’s Building.…
  • Nov 18

    Paris Note

    Paris Note
    The D&O Diary is on assignment in Europe this week, with the first stop this past weekend in Paris for a field inspection of our junior-year study-abroad student’s scholarly and living arrangements. Our short weekend visit in the…
Rank this Week: 747

Business Blog

Business Blog

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

http://www.businesslawnews.com/
  • Nov 21

    Does Your Company Need Key Person Insurance?

    Does Your Company Need Key Person Insurance?
    Would your business be able to survive if one of its partners or top executives died suddenly? If you are unsure, you may want to look into “key person” insurance. While the idea may seem morbid, taking out life insurance and/or…
  • Nov 20

    FINRA Warns Firms Against Using Settlement Agreements to Muzzle Whistleblower

    FINRA Warns Firms Against Using Settlement Agreements to Muzzle Whistleblower
    The Financial Industry Regulatory Authority (FINRA) recently issued a regulatory notice regarding the use of confidentiality provisions in settlement agreements. It specifically reminds firms that FINRA Rule 2010 prohibits provisions that…
  • Nov 19

    Home Court Advantage: SEC’s Reliance on Administrative Procedures Drawing Criticism

    Home Court Advantage: SEC’s Reliance on Administrative Procedures Drawing Criticism
    Under the Dodd-Frank Wall Street Reform and Consumer Protection Act, the Securities and Exchange Commission (SEC) has gained greater authority to bring enforcement actions via administrative proceedings. However, the SEC’s increased use…
Rank this Week: 689

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/
  • Nov 21

    DOJ Clarifies Successor Liability for Foreign Acquisition

    DOJ Clarifies Successor Liability for Foreign Acquisition
    Here’s news from this blog by Akin Gump’s Nicole Sprinzen & Jennifer Hildebrand (there’s memos posted on this development in our “FCPA” Practice Area): Earlier this week, the U.S. Department of Justice (DOJ)…
  • Nov 20

    Study on Deal Litigation: Size Matter

    Study on Deal Litigation: Size Matter
    As noted in this Akin Gump blog: The AG Deal Diary team found that “The Structure of Stockholder Litigation: When Do the Merits Matter?” authored by Minor Myers (Assistant Professor at Brooklyn Law School) and Charles Korsmo…
  • Nov 19

    SEC & FASB Issue Guidance on Pushdown Accounting

    SEC & FASB Issue Guidance on Pushdown Accounting
    Yesterday, the SEC’s Office of the Chief Accountant & Corp Fin jointly released Staff Accounting Bulletin #15 to rescind portions of the interpretive guidance included in its SAB Series for what’s known as pushdown accounting.…
Rank this Week: 767

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/
  • Nov 21

    Do Some Companies Already Have Fee-Shifting Provisions (And Not Know It)?

    Do Some Companies Already Have Fee-Shifting Provisions (And Not Know It)?
    A lot of folks these days are arguing and writing about fee-shifting bylaws as if they were some kind of novel and sudden irruption, like Athena bursting from Zeus’ skull.  This overlooks the existence of…
  • Nov 20

    Will The Courts Stop Deferring To SEC Interpretations?

    Will The Courts Stop Deferring To SEC Interpretations?
    In 1984, the U.S. Supreme Court announced a foundational principle of administrative law.  When a court reviews an agency’s construction of a statute that it administers, the court should: Ascertain whether the statute is…
  • Nov 19

    When California Copied Rule 10b-5 Did It Shut The State Courthouse Door To Securities Fraud Suits?

    When California Copied Rule 10b-5 Did It Shut The State Courthouse Door To Securities Fraud Suits?
    Section 27 of the Securities Exchange Act of 1934 provides: “The district courts of the United States . . . shall have exclusive jurisdiction of violations of [the Exchange Act] or the rules and regulations thereunder, and of all…
Rank this Week: 281

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: 2166

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: 476

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
  • Nov 20

    UBS Pays $1.68 Million to Settle Some Puerto Rico Bonds Loss Claim

    UBS Pays $1.68 Million to Settle Some Puerto Rico Bonds Loss Claim
    From the Desk of Jim Eccleston at Eccleston Law Offices: UBS has agreed to compensate $1.681 million to 34 Puerto Rico-based investors for their losses in investments in their municipal bond closed ended…
  • Nov 20

    In Downturn, Brokerage Recruitments Remain Firm

    In Downturn, Brokerage Recruitments Remain Firm
    From the Desk of Jim Eccleston at Eccleston Law Offices: According to a report from Mark Elzweig Company, Ltd., even though the stock market has caught a cold recently, the recruitment of big producers still remains…
  • Nov 18

    Indianapolis Financial Advisor Pleads Guilty to Investment Fraud

    Indianapolis Financial Advisor Pleads Guilty to Investment Fraud
    From the Desk of Jim Eccleston at Eccleston Law Offices: Kevin James, an independent financial advisor in Indianapolis, has been sentenced to 10 years in prison for orchestrating an investment fraud.  Kevin…
Rank this Week: 216

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
  • Nov 20

    Military Pensions Target of Lending Scheme

    Military Pensions Target of Lending Scheme
    Concern about a new lending practice targeting the military is worrying federal auditors and veterans. Military pensioners are offered money up front in exchange for signing over monthly benefits for a period of time, with few strings…
  • Nov 17

    Emerging Investor Threats for 2015

    Emerging Investor Threats for 2015
    New products in classic schemes such as, binary options, marijuana-related businesses, stream-of-income investments, and digital currency sure to face investors this coming year. William Beatty, NASAA President and Washington Securities…
  • Nov 17

    Are you in a “Hot Spot” for Troubled-Brokers?

    Are you in a “Hot Spot” for Troubled-Brokers?
    Last week we posted a blog titled Elderly Primary Target for Troubled Brokers. Within that blog it discussed parts of the United States that are “Hot Spots”, where these brokers with troubled regulatory records tend to cluster,…
Rank this Week: 1719

Cady Bar the Door

Cady Bar the Door

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

http://www.secmiscellany.com
  • Nov 19

    Michael Garcia Now Just Taunting FIFA

    Michael Garcia Now Just Taunting FIFA
    And I say that in the most complimentary way.  If you haven’t been following this story, here’s a quick recap:  FIFA awarded the 2018 and 2022 World Cups to Russia and Qatar, respectively.  This raised eyebrows, as…
  • Nov 12

    Proposed “Fair Fund” for CR Intrinsic Case Stirs Dustup among SEC’s Commissioner

    Proposed “Fair Fund” for CR Intrinsic Case Stirs Dustup among SEC’s Commissioner
    In the right kind of enforcement action, the SEC can take the money it’s generated and set up what’s called a Fair Fund to redistribute that money to harmed investors.  But what is the right kind of case?  This procedure…
  • Nov 10

    SEC and FINRA Issue Risk Alert on Penny Stock Companie

    SEC and FINRA Issue Risk Alert on Penny Stock Companie
    I’m not your legal advisor.  And I’m definitely not your investment adviser.  But the first rule of penny stock companies should be: do not invest in penny stock companies.  I mean, does that seem like a smart thing…
Rank this Week: 1519

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/
  • Nov 19

    Travis Wetzel Pleads Guilty to Wire Fraud

    Travis Wetzel Pleads Guilty to Wire Fraud
    According to the States Attorney for the District of Maryland, a former LPL broker, Travis Wetzel, pled guilty to wire fraud and money laundering in a scheme that defrauded an elderly client. According to the plea agreement, between July…
  • Nov 12

    Massachusetts Regulator Investigates Realty Capital Securities’ REIT Sale

    Massachusetts Regulator Investigates Realty Capital Securities’ REIT Sale
    According to InvestmentNews, Massachusetts secretary, William Galvin, is investigating how Realty Capital Securities sold nontraded REITs. Mr. Galvin’s office includes the Massachusetts securities division and is specifically looking at…
  • Nov 11

    Investigation involving City Capital Corporation

    Investigation involving City Capital Corporation
    Have you suffered investment losses in City Capital Corporation? If so, The White Law Group may be able to help by filing a claim against the broker dealer that sold you the investment. The SEC recently filed a complaint against the CEO of…
Rank this Week: 434

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
Rank this Week: 3113

Securities Compliance Sentinel

Securities Compliance Sentinel

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

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

    Who Has Had A Problem With One Of Your Arbitrator

    Who Has Had A Problem With One Of Your Arbitrator
    Anyone who has handled FINRA arbitrations, from the compliance officer to in-house counsel, you have probably had to deal with a problem arbitrator.  How many of you have had arbitrators sleep through the proceedings?  How many have…
  • Nov 17

    So Who Really Thinks They Know Their Customer

    So Who Really Thinks They Know Their Customer
    As the year winds down to an end, financial advisors should be mindful of next year and the years to come.  Now is as good a time as any to make sure that you know your customer.  The year-end gives you a unique opportunity to get…
  • Nov 12

    So What Can Be Done To Avoid The Quandary Of Clients With Dementia

    So What Can Be Done To Avoid The Quandary Of Clients With Dementia
    As our population ages, more and more financial advisors will have to deal with clients who have dementia or get dementia.  If a client gets dementia, your options may be limited; it may be too late.  The question all firms should…
Rank this Week: 2878

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/
  • Nov 18

    Puerto Rico’s Prepa Sees 219% Rise in Overdue Accounts With At Least $1.75 Billion Owed

    Puerto Rico’s Prepa Sees 219% Rise in Overdue Accounts With At Least $1.75 Billion Owed
    Puerto Rico’s Electrical Power Authority, also known as PREPA, is experiencing a surge in overdue accounts. According to a report from an FTI Consulting subsidiary, since 2012, the U.S. territory’s electrical authority has seen a…
  • Nov 17

    SEC Wants $602M Fund Set Up for Victims of SAC Capital’s Insider Trading

    SEC Wants $602M Fund Set Up for Victims of SAC Capital’s Insider Trading
    The U.S. Securities and Exchange Commission is asking a district judge to authorize a fair fund to pay back people shareholders who didn't participate in an insider trading scam involving shares of Wyeth LLC and Elan Corp. PLC. The regulator…
  • Nov 13

    Citigroup, Bank of America Are Selling Soured Home Loans, Sources tell Bloomberg

    Citigroup, Bank of America Are Selling Soured Home Loans, Sources tell Bloomberg
    According to Bloomberg.com, sources are telling them that Citigroup (C) and Bank of America (BAC) are selling soured U.S. mortgages to satisfy the demand from investment firms that are raising the prices. For example, say the individuals who…
Rank this Week: 166

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
  • Nov 18

    BrokeAndBroker.com by Bill Singer WEEKLY REVIEW

    BrokeAndBroker.com by Bill Singer WEEKLY REVIEW
    Walking And Chewing Gum At the SECYeah, I know . . . I’m getting older and grouchier and if I were nominated for Curmudgeon of the Year, I would probably complain about that accolade and then refuse to attend the award ceremony. In…
  • Nov 18

    BrokeAndBroker.com by Bill Singer WEEKLY REVIEW

    BrokeAndBroker.com by Bill Singer WEEKLY REVIEW
    Registered Rep Sues Over Commission And Deferred CompFew battles on Wall Street become more pitched than those involving disputes over a registered person's commissions, fees, or bonuses.  Typically, the stockbroker or trader feels…
  • Nov 18

    Registered Rep Sues Over Commission And Deferred Comp

    Registered Rep Sues Over Commission And Deferred Comp
    Few battles on Wall Street become more pitched than those involving disputes over a registered person's commissions, fees, or bonuses.  Typically, the stockbroker or trader feels short-changed. The numbers don't add up. You didn't give…
Rank this Week: 2356

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/
Rank this Week: 149

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: 2461

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: 929

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/
  • 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…
  • Sep 25

    When Brokers Should Call a FINRA Defense Attorney

    When Brokers Should Call a FINRA Defense Attorney
    According to the results of a recent Gallup poll, stockbrokers rank along with members of Congress, car salesmen, and marketing executives as the least-trusted professionals in America.…
  • Sep 24

    The Arbitration Process, Start to Finish

    The Arbitration Process, Start to Finish
    Because nearly all brokerage customer agreements contain an arbitration clause, it is often the only option open to aggrieved investors. But what actually occurs in these proceedings…
Rank this Week: 2073

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: 697

White Collar Wire

White Collar Wire

Covers news, cases, judicial opinions, practical tips and scholarly work regarding white-collar criminal and civil enforcement, grand jury investigations and regulatory compliance. By Jackson R. Sharman, III.

http://jacksharman.com/
  • Nov 14

    Get Out of Jail Free? Not Without The Attorney-Client Privilege

    Get Out of Jail Free? Not Without The Attorney-Client Privilege
    We have talked about attorney-client privilege, internal investigations and the GM ignition recall: Privilege, Corporate Silence and Saul Goodman,  How To Avoid Being GM’ed: The Wrongs and Rights of Clients and Lawyers and…
  • Sep 4

    Of Snitches and Privilege

    Of Snitches and Privilege
    White-collar writer Walt Pavlo of @Forbes and 500 Pearl Street quotes us this morning in his insightful @Forbes article about the attorney-client privilege.  In particular: Federal prosecutors want to know who knew what, and when…
  • Sep 2

    Privilege, Corporate Silence and Saul Goodman

    Privilege, Corporate Silence and Saul Goodman
    We are past Labor Day, and just as well.  Marked by the GM internal-investigation report’s criticism of some of the company’s internal lawyers, the summer was not kind to internal lawyers generally and to the attorney-client…
Rank this Week: 2794

New York Securities Lawyers Blog

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

http://www.newyorksecuritieslawyersblog.com/
Rank this Week: 2388

Footnoted

Footnoted

Reports on actionable information in SEC filings.

http://www.footnoted.com/
Rank this Week: 3325

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 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…
  • 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…
Rank this Week: 2427

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: 413

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/
  • 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…
  • 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…
Rank this Week: 1449

TRACE Blog

TRACE Blog

Covers anti-bribery compliance.

http://traceblog.org/
  • Nov 11

    TRACE Introduces Global Business Bribery Risk Index

    TRACE Introduces Global Business Bribery Risk Index
    The TRACE Matrix, developed with RAND Corporation, is the first global business bribery risk index for the compliance industry. November 11, 2014, Annapolis, M.D. – TRACE International today announced the launch of the TRACE Matrix, the…
  • Nov 3

    What was October’s biggest compliance story?

    What was October’s biggest compliance story?
    Ebola health epidemic highlights corruption problems in West African countries – As health officials struggle to contain the spread of the recent outbreak in West Africa’s Sierra Leone, Guinea and Liberia, some are pointing to…
  • 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…
Rank this Week: 3225

Andrew Abramowitz, PLLC

Andrew Abramowitz, PLLC

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

http://aalegalnyc.com/blog/
  • Nov 7

    SEC Crackdown on Undisclosed Unregistered Offering

    SEC Crackdown on Undisclosed Unregistered Offering
    I blogged recently about an SEC crackdown on failure to make required filings under Sections 13 and 16 of the Exchange Act, and continuing with that theme, the SEC recently announced a enforcement program against several public companies for…
  • 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…
Rank this Week: 1234

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • 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…
  • 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…
Rank this Week: 3518

Securities Mining Law

Securities Mining Law

Covers securities law affecting the mining industry in Canada.

http://www.securitiesmininglaw.com/
  • 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 …
  • 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…
Rank this Week: 2124

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 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…
  • 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…
Rank this Week: 3201

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: 995

InvestorLawyers.net

InvestorLawyers.net

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

http://www.investorlawyers.net/blog/
Rank this Week: 414

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: 1052

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: 301