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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…
  • Feb 26

    George Theodule Sentenced to 150 Month

    George Theodule Sentenced to 150 Month
    On February 26, 2014, the FBI announced George Louis Theodule, 52, a former resident of Wellington, Florida was sentenced to 150 months in prison, to be followed by three years of supervised release. Theodule previously pled guilty to wire…
  • Feb 26

    SEC Charges Arizona-Based Equity Fund l Securities Lawyer 101

    SEC Charges Arizona-Based Equity Fund l Securities Lawyer 101
    Securities Lawyer 101 Blog On February 26, 2014, the Securities and Exchange Commission (the “SEC”) announced charges against an Arizona-based private equity fund manager and his investment advisory firm for…
Rank this Week: 704

Institutional Investor Securities…

Institutional Investor Securities Blog

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

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

    Wells Fargo Reaches $591 Million Mortgage Deal with Fannie Mae

    Wells Fargo Reaches $591 Million Mortgage Deal with Fannie Mae
    Wells Fargo & Co. (WFC) has arrived at a $591 million mortgage settlement with Fannie Mae (FNMA). The arrangement resolves claims that the banking institution sold faulty mortgages to the government run-home loan financier and covers…
  • Apr 19

    The Brokerage Industry Responds to FINRA’s Broker Compensation Proposal

    The Brokerage Industry Responds to FINRA’s Broker Compensation Proposal
    A number brokerage firms, including Morgan Stanley Wealth Management, LPL Financial (LPLA), and Stifel Nicolaus (SF) have responded to the Securities and Exchange Commission’s request for comments about FINRA-proposed rule about broker…
  • Apr 16

    Barclays Settles Two Libor-Related Securities Case

    Barclays Settles Two Libor-Related Securities Case
    Barclays (BARC) has just settled two Libor-related securities cases alleging mis-selling related to Libor. In the first lawsuit, filed by Guardian Care Homes over interest swaps worth £70M that were linked to the benchmark interest…
Rank this Week: 791

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/
  • Apr 24

    Ex-Sentinel CEO is Convicted of $500M Fraud

    Ex-Sentinel CEO is Convicted of $500M Fraud
    Eric Bloom, the CEO of Sentinel Management Group, Inc., the now bankrupt hedge fund, has been convicted of bilking over 70 customers of more than $500 million prior to the firm’s collapse. According to the U.S. Department of Justice,…
  • Apr 21

    Texas Man Gets 25 years in Prison Over $11M Ponzi Scam

    Texas Man Gets 25 years in Prison Over $11M Ponzi Scam
    After a federal jury convicted Gary Lynn McDuff of conspiring to defraud investors, a U.S. District Court for the Eastern District of Texas judge sentenced the 58-year-old to 25 years behind bar for the $11 million investment scam.…
  • Apr 18

    SEC Charges Total Wealth Management With Securities Fraud, Receiving Undisclosed Kickback

    SEC Charges Total Wealth Management With Securities Fraud, Receiving Undisclosed Kickback
    The Securities and Exchange Commission has filed a financial fraud case against Total Wealth Management Inc., an investment advisory firm based in Southern California. The regulator is accusing the firm of getting undisclosed kickbacks over…
Rank this Week: 626

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/
  • Apr 24

    BREAKING: New FDA approved product!

    BREAKING: New FDA approved product!
    USA Today - Breaking News Having trouble viewing this email? | View it in your browser Obesity does too many terrible things. It ruins lives, cripples and kills men and women. People weighing 120+ kilograms seldom live longer than 55...
  • Apr 22

    How prepared are you?

    How prepared are you?
    This follows the Keyhole route to the Boulder Field, then ascends the North Face of the peak. The player is entitled to know who is his King called before be declares for the vole. He is internationally renowned for the...
  • Apr 22

    怎样奖惩让业务员心服口服

    怎样奖惩让业务员心服口服
Rank this Week: 115

Startup Law Blog

Startup Law Blog

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

http://www.startuplawblog.com/
  • Apr 24

    Meet Erik Benson of Voyager Capital

    Meet Erik Benson of Voyager Capital
    Erik is one of the Northwest’s most prolific early stage tech investors and a great connector of people in our city. Erik’s last ten, million dollar venture investments have gone on to create over $750 million in enterprise value…
  • Apr 23

    Spain Tech Week

    Spain Tech Week
    As part of the “Spain Tech Week 2014”, the Spanish startup community is converging on Seattle to explore business and investment opportunities. Come to this event and: Meet more than 30 Spanish startups. Network with twenty…
  • Apr 16

    How is corporate M&A strategy developed?

    How is corporate M&A strategy developed?
    How do strategic M&A events germinate? When does the corporate development process for major companies begin? How is corporate strategy developed? Pacific Rim M&A Institute’s inaugural session answers these questions and more.…
Rank this Week: 1087

Securities Law Blog

Securities Law Blog

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

http://www.securitieslaw-blog.com/
  • Apr 24

    New York To Welcome Regulated Bitcoin Exchange

    New York To Welcome Regulated Bitcoin Exchange
    Bitcoin exchanges may soon be coming to the Empire State, but such exchanges will be subject to strict regulation. The New York State Department of Financial Services (NYSDFS) stated that it will weigh proposals for a regulated virtual…
  • Apr 21

    SEC Charges San Diego Investment Adviser

    SEC Charges San Diego Investment Adviser
    Last week, the SEC filed charges against a San Diego investment advisory firm called Total Wealth Management, its Chief Executive Officer, Chief Compliance Officer, and an investment adviser representative for misleading investors and…
  • Apr 18

    Agent Sentenced To Five Years In Southern California For Ponzi Scheme

    Agent Sentenced To Five Years In Southern California For Ponzi Scheme
    Michael Zuno Zuniga of Fullerton, California was sentenced to five years in Los Angeles County jail and ordered to pay $1.2 million in restitution for his part in a Ponzi scheme that preyed on senior citizens in the Los Angeles area. The…
Rank this Week: 2049

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/
  • Apr 24

    CSA propose proxy advisory firm guidance in respect of conflicts and transparency

    CSA propose proxy advisory firm guidance in respect of conflicts and transparency
    The Canadian Securities Administrators today published for comment a proposed national policy intended to provide guidance to proxy advisory firms on recommended practices in respect of conflicts of interest, transparency and accuracy. The…
  • Apr 24

    CSA propose amendments to marketplace operation and trading rule

    CSA propose amendments to marketplace operation and trading rule
    The CSA today published for comment proposed amendments to marketplace operations and trading rules intended to update the rules in light of various developments that have occurred. Specifically, the proposed amendments to NI 21-101…
  • Apr 24

    Ontario's proposed prospectus exemptions: family, friends and business associates exemption

    Ontario's proposed prospectus exemptions: family, friends and business associates exemption
    Kristina Vranjkovic - The Ontario Securities Commission’s (OSC) proposed family, friends and business associates exemption (the Ontario Exemption), if adopted, would allow small to medium-sized enterprises (SMEs) to raise capital…
Rank this Week: 4876

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/
  • Apr 24

    Pinto on Securitization

    Pinto on Securitization
    João Pinto has posted The Economics of Securitization: Evidence from the European Markets on SSRN with the following abstract: Securitization is the process whereby financial assets are pooled together, with their cash flows, and sold to a…
  • Apr 24

    Torres-Spelliscy, Fogel & El-Khatib on the SEC and the D.C. Circuit

    Torres-Spelliscy, Fogel & El-Khatib on the SEC and the D.C. Circuit
    Ciara Torres-Spelliscy, Kathy Fogel, and Rwan El-Khatib have posted Running the D.C. Circuit Gauntlet on Cost Benefit Analysis after Citizens United: Empirical Evidence from SOX and the JOBS Act on SSRN with the following abstract: To require…
  • Apr 24

    Couture on Materiality

    Couture on Materiality
    Wendy Gerwick Couture has posted Materiality and a Theory of Legal Circularity on SSRN with the following abstract: This Article argues that the materiality doctrine, which lies at the heart of securities fraud, has the potential to operate…
Rank this Week: 381

Ponzitracker

Ponzitracker

Covers Ponzi schemes. By Jordan Maglich.

http://www.ponzitracker.com/
  • Apr 24

    Claim Deadline Set For Victims In TelexFree Bankruptcy

    Claim Deadline Set For Victims In TelexFree Bankruptcy
    Victims of the alleged TelexFree pyramid and Ponzi scheme, including over 700,000 so-called "promoters" promised annual returns exceeding 200%, must file a Proof of Claim in TelexFree's bankruptcy proceeding on or before August 20,…
  • Apr 23

    SEC Seeks To Move TelexFree Bankruptcy To Massachusett

    SEC Seeks To Move TelexFree Bankruptcy To Massachusett
    Citing a "coordinated effort to avoid the Massachusetts courts," the Securities and Exchange Commission filed a motion in a Nevada bankruptcy court seeking to transfer venue of the TelexFree bankruptcy to a Massachusetts bankruptcy court.…
  • Apr 23

    TelexFree Trustee Says "Compelling Evidence of Fraud," Seeks Appointment Of Independent Trustee

    TelexFree Trustee Says "Compelling Evidence of Fraud," Seeks Appointment Of Independent Trustee
     Given the facts alleged in the SEC Case, TelexFree appears to be engaged in a classic Ponzi scheme. - Tracy Hope Davis, U.S. Trustee  The United States trustee overseeing the bankruptcy cases of TelexFree, LLC, TelexFree,…
Rank this Week: 797

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
  • Apr 24

    Government Swimming Upstream at Second Circuit Oral Argument on Downstream Insider Trading Liability

    Government Swimming Upstream at Second Circuit Oral Argument on Downstream Insider Trading Liability
    The Justice Department has been bullish over its rigorous enforcement of insider training over the past year, but on Tuesday a Second Circuit panel raised questions regarding the government’s theory of liability that led to the…
  • Apr 21

    Bharara’s Fire Dies Out: Cohen Remains Uncharged And Turns His Losses Into Gain

    Bharara’s Fire Dies Out: Cohen Remains Uncharged And Turns His Losses Into Gain
    As the chapter closes on the decade-long insider trading investigation of SAC Capital Advisors, our question has finally been answered—at least for now: billionaire hedge fund guru Steven A. Cohen has dodged criminal charges for his…
  • Apr 14

    The Quagmire of “Unauthorized Access” Remain

    The Quagmire of “Unauthorized Access” Remain
    This guest post was authored by our colleague Jeremy D. Mishkin, partner and chair of the firm’s Litigation practice. His practice emphasizes complex commercial matters, technology, the Internet and First Amendment/Media Law issues. He…
Rank this Week: 3322

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/
  • Apr 24

    Reminder: Parking Stock is Illegal

    Reminder: Parking Stock is Illegal
    It seems that every once in a while securities professionals need to be reminded that conduct that they think is done in the "ordinary course of business" is actually a securities law violation, with significant consequences.Today's reminder…
  • Apr 23

    Honolulu Woman Charged with Fraud Through Social Media

    Honolulu Woman Charged with Fraud Through Social Media
    According to the SEC, its investigation found that Keiko Kawamura engaged in two separate fraudulent schemes to raise money from investors while casting herself as an investment and hedge fund expert when in fact she had virtually no prior…
  • Apr 21

    SEC Charges Brokerage Firm Executives in Kickback Scheme to Secure Business of Venezuelan Bank

    SEC Charges Brokerage Firm Executives in Kickback Scheme to Secure Business of Venezuelan Bank
    The Securities and Exchange Commission announced another round of charges in its ongoing case against several individuals involved in a massive kickback scheme to secure the bond trading business of a state-owned Venezuelan bank.The SEC…
Rank this Week: 1541

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/
Rank this Week: 1067

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
Rank this Week: 314

Representing Investors

Representing Investors

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

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

    A “Small” Claims Avenue of Redress for Investor

    A “Small” Claims Avenue of Redress for Investor
    When investors have been mistreated by their stock broker, they often wonder about their options for recourse.  Among other options, investors can file an arbitration case with the Financial Industry Regulatory Authority (FINRA). …
  • Apr 11

    Variable Universal & Indexed Universal Life Insurance Policie

    Variable Universal & Indexed Universal Life Insurance Policie
    In an April 4, 2014 article in The Wall Street Journal (“The Great Life-Insurance Temptation”), customers are warned that they “could be in for a shock” as a result of the correlation between specific life insurance…
  • Apr 10

    SEC Is Probing Dealings by Banks and Companies in Loan Securitie

    SEC Is Probing Dealings by Banks and Companies in Loan Securitie
    The Securities and Exchange Commission is investigating a Wall Street boom in complicated bond deals. SEC investigators are looking at whether banks and companies are using the bond deals to hide certain risks illegally, said the people close…
Rank this Week: 450

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/
Rank this Week: 69

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • Apr 24

    Bankruptcy Court Lifts Stay to Allow D&O Insurer to Pay Individuals’ Defense Expense

    Bankruptcy Court Lifts Stay to Allow D&O Insurer to Pay Individuals’ Defense Expense
    As those involved in D&O Insurance claims well know, a recurring D&O insurance problem is the question of whether or not the D&O insurer for a bankrupt company can pay the costs of the bankrupt company’s former directors and…
  • Apr 23

    Advisen Releases First Quarter 2014 Corporate and Securities Litigation Report

    Advisen Releases First Quarter 2014 Corporate and Securities Litigation Report
    Overall Filings of corporate and securities lawsuits during the first quarter of 2014 were at their lowest levels since before the financial crisis, according to the latest report from Advisen, the insurance information firm. The April 2014…
  • Apr 22

    D&O Policy Excluding “Receiver” Claims Bars Coverage for FDIC Failed Bank Lawsuit

    D&O Policy Excluding “Receiver” Claims Bars Coverage for FDIC Failed Bank Lawsuit
    In an interesting April 7, 2014 opinion (here), Magistrate Judge Stanley A. Boone of the Eastern District of California, applying California law, held that a D&O insurance policy’s insured vs. insured exclusion precludes coverage…
Rank this Week: 362

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/
  • Apr 24

    Proposed Changes to DGCL: Section 251(h) Mergers; SOL for Breaches; Etc.

    Proposed Changes to DGCL: Section 251(h) Mergers; SOL for Breaches; Etc.
    Last week, the annual amendments to the Delaware General Corporation Law were proposed and there are a number of significant amendments that could impact deals – here are memos on those proposals. These include amendments that would: -…
  • Apr 23

    Another New Paradigm: Corporate & Hedgie Team Up for Hostile Bid

    Another New Paradigm: Corporate & Hedgie Team Up for Hostile Bid
    As noted in the DealBook piece, William Ackman, the well-known hedge fund manager, has teamed up with Valeant, a big health care company, to make a hostile bid for Allergan. Here’s an excerpt from that article: If successful, the joint…
  • Apr 22

    Corp Fin Issues New “Legend for Twitter” & “Retweeting” Guidance

    Corp Fin Issues New “Legend for Twitter” & “Retweeting” Guidance
    Yesterday, Corp Fin issued 2 new Compliance & Disclosure Interpretations dealing with social media. The first CDI deals with how to affix legends to tweets & other social media communications. The second CDI deals with retweeting or…
Rank this Week: 983

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

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

    Cybersecurity: “Heartbleed” as a Risk Factor?

    Cybersecurity: “Heartbleed” as a Risk Factor?
    As noted by this WSJ blog by James DeGraw and Lisa Rachlin of Ropes & Gray, companies have been pounded by the latest widespread cybersecurity threat – “Heartbleed,” which is a fundamental flaw of OpenSSL – a…
  • Apr 23

    Glossy Annual Reports: Corp Fin Will No Longer Scan Them, So Why…

    Glossy Annual Reports: Corp Fin Will No Longer Scan Them, So Why…
    Last week, Corp Fin announced that it will no longer scan glossy annual reports into Edgar – thus, meaning they will no longer be available online through the SEC’s website. However, companies are still required to post glossy…
  • Apr 22

    Why I Don’t Like Corp Fin’s New “Legend for Twitter” Guidance

    Why I Don’t Like Corp Fin’s New “Legend for Twitter” Guidance
    Yesterday, Corp Fin issued 2 new Compliance & Disclosure Interpretations dealing with social media. The first CDI deals with how to affix legends to tweets & other social media communications. The second CDI deals with retweeting or…
Rank this Week: 438

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/
Rank this Week: 376

Business Blog

Business Blog

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

http://www.businesslawnews.com/
  • Apr 24

    Sole-Owner LLCs: Are you really protected?

    Sole-Owner LLCs: Are you really protected?
    Many limited liability companies (“LLCs”) are created in an effort to decrease personal liability. However, if you are a sole owner of an LLC, it is important to do more than just create the LLC. There are many actions that must…
  • Apr 23

    False Claims Act Statistics Reveal Robust Enforcement

    False Claims Act Statistics Reveal Robust Enforcement
    The Department of Justice recently released its enforcement statistics under the False Claim Act (FCA), the federal government’s primary civil enforcement tool to recover losses due to false claims for government funds and property…
  • Apr 22

    5 Key Tips for Encouraging Internal Whistleblower

    5 Key Tips for Encouraging Internal Whistleblower
    In the wake of the U.S. Supreme Court’s ruling in Lawson v. FMR, LLC, whistleblower claims against U.S. companies are likely to rise. As previously discussed, the Court ruled that the whistleblower protections of the Sarbanes-Oxley Act…
Rank this Week: 702

InvestorLawyers.net

InvestorLawyers.net

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

http://www.investorlawyers.net/blog/
  • Apr 23

    Customers Could Recover Losses for Unsuitable MetLife Variable Annuity Recommendation

    Customers Could Recover Losses for Unsuitable MetLife Variable Annuity Recommendation
    Securities attorneys are currently investigating claims on behalf of the customers of Christopher B. Birli and Patrick W. Chapin, who suffered significant losses as a result of misrepresentations and unsuitable recommendations of variable…
  • Apr 21

    ETF, ETN Investors Could Recover Losse

    ETF, ETN Investors Could Recover Losse
    Lawyers are investigating claims on behalf of investors who suffered significant losses in exchange-traded notes (ETNs) and exchange-traded funds (ETFs) issued by Credit Suisse and other full-service brokerage firms. According to Bloomberg,…
  • Apr 16

    Morgan Stanley Customers Could Recover Losses for Unsuitable Puerto Rico Bond Sale

    Morgan Stanley Customers Could Recover Losses for Unsuitable Puerto Rico Bond Sale
    Securities fraud attorneys are currently investigating claims on behalf of Morgan Stanley customers who suffered significant losses in Puerto Rico Bonds. The investigation concerns Morgan Stanley sales practices of Puerto Rico bonds and bond…
Rank this Week: 429

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Apr 23

    All The CLE You Could Possibly Want

    All The CLE You Could Possibly Want
    It is not too late to sign up for PLI's Handling a Securities Case 2014: From Investigation to Trial and Everything in Between. The program takes place on Thursday, April 24 in New York and via webcast (and, shortly thereafter,...
  • Apr 11

    Cornerstone Releases Report On Settlement

    Cornerstone Releases Report On Settlement
    Cornerstone Research has released its annual report on securities class action settlements. The notable findings include: (1) There were 67 settlements last year, a 17.5% increase from 2012. The report concludes that the increase is likely…
  • Mar 28

    Shielding From Suspicion

    Shielding From Suspicion
    The U.S. Court of Appeals for the Fourth Circuit has issued an opinion - Yates v. Municipal Mortgage & Equity, LLC, 2014 WL 890018 (4th Cir. March 7, 2014) - that clarifies the court's position on several securities fraud issues....
Rank this Week: 2448

Cady Bar the Door

Cady Bar the Door

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

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

    Texas Court of Appeals Has Put Some FCPA Internal Investigations in an Awkward Spot

    Texas Court of Appeals Has Put Some FCPA Internal Investigations in an Awkward Spot
    Given that this case was decided last summer, I can’t quite put the headline in the present tense.  I’m slow to the draw on it, but I think it’s important.  Last July, in Writt v. Shell Oil Co., 409 S.W.3d 59 (Tex.…
  • Apr 17

    SEC Says the Cyber Police Are Coming

    SEC Says the Cyber Police Are Coming
    Pretty soon we’ll all be data privacy lawyers.  The SEC is certainly doing its part to ensure that comes to pass.  Earlier this year the SEC’s Office of Compliance, Inspections, and Examinations announced that its 2014…
  • Apr 10

    Give Me That Old-Time Insider Trading

    Give Me That Old-Time Insider Trading
    Recently I had a question that required me to review Don Langevoort’s comprehensive insider trading treatise.  It got me thinking about the roots of insider trading law.  Specifically, the pre-SEC, pre-10b-5 insider trading…
Rank this Week: 2233

TRACE Blog

TRACE Blog

Covers anti-bribery compliance.

http://traceblog.org/
Rank this Week: 2726

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/
  • Apr 22

    Illinois Forms Securities Fraud Section

    Illinois Forms Securities Fraud Section
    According to a recent report in Crain’s, the US Attorney for the Northern District of Illinois recently created a new section to prosecute securities and commodities fraud. The new fraud section was formed as part of the criminal…
  • Apr 22

    NJ Broker Pleads Guilty to Fraud

    NJ Broker Pleads Guilty to Fraud
    According to FA-mag.com a former New Jersey borker, Randy Schneider recently plead quilty to theft by unlawful taking. Schneider allegedly stole nearly one million dollars from two elderly clients. According to the report, Schneider worked…
  • Apr 17

    DBSI Executives Found Guilty

    DBSI Executives Found Guilty
    According to reports, CEO and president of DBSI, Douglas L. Swenson, was convicted of thirty-four counts of wire fraud and forty-four counts of securities fraud. Three other top DBSI executives were also convicted on multiple fraud charges.…
Rank this Week: 159

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: 3864

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

http://www.hedgefundlawblog.com
  • Apr 22

    San Francisco Hedge Fund Events – April 22 and April 23

    San Francisco Hedge Fund Events – April 22 and April 23
    There are two big events in San Francisco this week. SF Hedge Fund Networking Group Meeting April 22 at 4pm at Blanc et Rouge in San Francisco.  For more information, please see the LinkedIn page. Hedge Funds Care 13th Annual Benefit The…
  • Apr 21

    CFTC Issues No-Action Letters for CPO Registration Relief

    CFTC Issues No-Action Letters for CPO Registration Relief
    Hedge Fund General Partner CPO Registration Relief  In a series of no-action letters issued in March, the CFTC has granted no-action relief from registration as a commodity pool operator (“CPO”) for a general partner of a…
  • Apr 5

    California Finance Lenders License

    California Finance Lenders License
    California Requirements for Hedge Funds and Private Equity Funds Engaged in Lending Businesses Investment advisers, private equity managers, private fund managers, and other businesses that are engaged in making loans should be aware of…
Rank this Week: 2347

Alixe Cormick: Small Cap Lawyer

Alixe Cormick: Small Cap Lawyer

Focuses on Canadian and United States securities law matters of interest to micro and small cap companies.

http://www.alixecormick.com
  • Apr 21

    How Much Does an Offering Memorandum Cost?

    How Much Does an Offering Memorandum Cost?
    By Alixe Cormick Asking what the “all-in-costs” are for preparing an offering memorandum (an OM) is like asking how much it costs to build a house. A new 4,000 square foot custom-built house in West Vancouver, BC will cost more…
  • Apr 17

    Where You Can Find the Proposed Canadian Equity Crowdfunding Rules and Form

    Where You Can Find the Proposed Canadian Equity Crowdfunding Rules and Form
      By Alixe Cormick In Canada, two crowdfunding specific exemption proposals are out for public comment: a start-up crowdfunding exemption and an integrated crowdfunding exemption. Six provinces (including Saskatchewan) are…
  • Apr 15

    The Northwestern Exemption: How Unregistered Selling Agents (Finders) Sell Securities out West

    The Northwestern Exemption: How Unregistered Selling Agents (Finders) Sell Securities out West
      By Alixe Cormick Issuers need two exemptions when selling exempt market securities.  ONE exemption, which provides relief from the obligation to file a prospectus and register the securities to be sold,[1] and a SECOND…
Rank this Week: 3233

Stock Attorneys Blog

Stock Attorneys Blog

Covers FINRA arbitration, securities litigation, and stockbroker misconduct. By Blum Law Group.

http://www.stockattorneysblog.com/
Rank this Week: 1628

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • Apr 21

    You Knew It Was Coming… SEC Cybersecurity Exam

    You Knew It Was Coming… SEC Cybersecurity Exam
    We have repeatedly warned broker-dealers and registered investment advisers that they needed to be prepared as it related to cybersecurity.  Now, the SEC’s Office of Compliance Inspections and Examinations has announced that it…
  • Apr 21

    Data breaches and third-party vendors; what do you need to know.

    Data breaches and third-party vendors; what do you need to know.
    I recently blogged about the pervasive nature of data breaches and the particular risks presented to this industry.  Many firms may think that they are secure because they used a vendor to build a secure environment, but history tells us…
  • Apr 14

    Why Should You Care About Cyber-Security

    Why Should You Care About Cyber-Security
    The short answer to this question is that the SEC and FINRA care.  Both regulators have made this issue an exam priority for the year, and it was recently a focus of an SEC roundtable.  We hear of data breaches on nearly a daily…
Rank this Week: 4020

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
  • Apr 21

    2nd Circuit Gives Second Bite Out Of Apple REIT Class Action

    2nd Circuit Gives Second Bite Out Of Apple REIT Class Action
    Few financial products have proven as controversial as Real Estate Investment Trusts, and few REITS have grabbed their share of negative headlines as much as those bearing the "Apple" name.  Last year, it appeared that the contentious…
  • Apr 18

    The Virtual Reality Of Virtual Currency

    The Virtual Reality Of Virtual Currency
    Virtual currency, electronic money, cryptocurrency: Whatever the name, it's in the news but not necessarily in a good way. When I start getting an increasing number of queries from industry participants and public customers about electronic…
  • Apr 17

    Customer Loan Earns Stockbroker A Fine And Suspension

    Customer Loan Earns Stockbroker A Fine And Suspension
    Wall Street may be the place where trillions of dollars exchange hands, but it's not the place where a registered person should simply ask a customer for the loan of a few bucks. Which is not to say that a stockbroker can't borrow money from…
Rank this Week: 573

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: 3392

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
Rank this Week: 1540

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

http://www.seclawyersblog.com/
  • Apr 19

    Sample Practices that Create Firm Liability for Customer Investment Losse

    Sample Practices that Create Firm Liability for Customer Investment Losse
    Securities firms and brokers can't always "blame it on the market" when it comes to investor losses. In addition to state and federal securities laws, FINRA rules impose obligations upon securities firms and brokers. In particular, FINRA…
  • Apr 17

    Sonn|Erez Investigating Claims Involving William Bradford Coolidge (Cordova, Tennessee)

    Sonn|Erez Investigating Claims Involving William Bradford Coolidge (Cordova, Tennessee)
    Sonn|Erez is investigating claims regarding William Bradford Coolidge (CRD #1636957, Cordova, Tennessee), also known as Brad Coolidge and William B. Coolidge. Coolidge recently submitted a Letter of Acceptance, Waiver and Consent in which he…
  • Apr 15

    Sonn|Erez Investigating Claims Involving Stefani Ann Bennett (Salmon, Idaho)

    Sonn|Erez Investigating Claims Involving Stefani Ann Bennett (Salmon, Idaho)
    Sonn|Erez is investigating claims regarding Stefani Ann Bennett (CRD #5890347, Salmon, Idaho). Bennett recently submitted a Letter of Acceptance, Waiver and Consent in which she was barred from association with any FINRA member in any…
Rank this Week: 1095

The Securities Edge

The Securities Edge

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

http://www.thesecuritiesedge.com/
  • Apr 18

    Don’t cross the border!: Intrastate offering exemption still not useful despite new interpretation

    Don’t cross the border!: Intrastate offering exemption still not useful despite new interpretation
    Posted By: David C. Scileppi Last week, the SEC issued three new interpretations related to the so-called “intrastate offering exemption,” which is a registration exemption that facilitates the financing of local business…
  • Mar 21

    Proposed relief for companies going public is insufficient

    Proposed relief for companies going public is insufficient
    Posted By: David C. Scileppi In recent weeks, a bill has been reported out of the House Committee on Financial Services promising relief to companies going public.  While I applaud their intentions, this bill will not have much impact,…
  • Mar 4

    Uniform Fiduciary Standard for Broker-Dealers: An Update

    Uniform Fiduciary Standard for Broker-Dealers: An Update
    Posted By: Stephanie Quiñones As we blogged about last August, Section 913 of the Dodd-Frank Act directed the SEC to study the need for establishing a new, uniform, federal fiduciary standard of care for brokers and investment…
Rank this Week: 3910

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: 327

Securities Arbitration Blog

Securities Arbitration Blog

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

http://www.securitiesarbitrations.com
  • Apr 18

    Lawyers Tempt Fate Before Second Circuit and No One Likes What They May Get

    Lawyers Tempt Fate Before Second Circuit and No One Likes What They May Get
    Last year, a Connecticut based hedge fund, Turnberry Capital Management LP, filed a FINRA arbitration securities claim against SunTrust Banks, Inc. to recover $13 million it lost in 2007 by investing in mortgage backed securities. However,…
  • Mar 13

    Investment Fraudsters: You have a friend in Pennsylvania

    Investment Fraudsters: You have a friend in Pennsylvania
    What does a big firm commercial defense lawyer, a banker, a healthcare lobbyist, a parking authority commissioner and an Allegheny parks commissioner all have in common? andnbsp; Apparently, they are all friends of Pennsylvania Governor Tom…
  • Mar 13

    Investment Fraudsters: You have a friend in Pennsylvania

    Investment Fraudsters: You have a friend in Pennsylvania
    What does a big firm commercial defense lawyer, a banker, a healthcare lobbyist, a parking authority commissioner and an Allegheny parks commissioner all have in common? andnbsp; Apparently, they are all friends of Governor Tom Corbett…
Rank this Week: 1701

Chicago Securities Lawyer Blog

Chicago Securities Lawyer Blog

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

http://www.chicagosecuritieslawyerblog.com/
  • Apr 17

    You Might Think Twice About Using A Broker Who Failed The Exam To Get His License

    You Might Think Twice About Using A Broker Who Failed The Exam To Get His License
    The Wall Street Journal reported that there are more than 51,500 stockbrokers that have failed, at least once, an exam to obtain a license to sell securities. Additionally, those brokers that failed the exam have worse disciplinary records…
  • Jan 20

    Justice Department Weak on Charging Individuals for White Collar Crime

    Justice Department Weak on Charging Individuals for White Collar Crime
    On Friday, January 17, 2014, the Wall Street Journal reported that a University of Virginia law professor's analysis revealed that the Justice Department hadn't charged employees at nearly two thirds of nearly 400 companies that have settled…
  • Jan 20

    The Wolf of Wall Street

    The Wolf of Wall Street
    I have attached an article by Jonathan Weil that everyone shoulld find interesting. 'Wolf of Wall Street' Offspring Never Quite Die Normally it wouldn't be news that a small-fry stock hustler like Christopher F. Veale got busted for…
Rank this Week: 1854

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/
  • Apr 17

    Form U4 Basics Video Series #4- OBAs, Regulatory Actions and Terminations Disclosure Issue

    Form U4 Basics Video Series #4- OBAs, Regulatory Actions and Terminations Disclosure Issue
    In this fourth and final video installment of the Form U4 Basics video series, attorney Joel Beck discusses U4 disclosure issues involving outside business activities, regulatory actions, and terminations, applicable to registered…
  • Apr 16

    Understanding the Selling Away Rule (Prohibition Against Private Securities Transactions)

    Understanding the Selling Away Rule (Prohibition Against Private Securities Transactions)
    Each month when you review the Regulatory Notice announcing the disciplinary actions taken by FINRA Enforcement against brokers, you'll generally see cases involving violations of the selling away rule (private securities transactions) as…
  • Apr 14

    Understanding the Outside Business Activity Rule

    Understanding the Outside Business Activity Rule
    Each month when you review the Regulatory Notice announcing the disciplinary actions taken by FINRA Enforcement against brokers, you'll generally see cases involving violations of the outside business activity rule and the selling away rule…
Rank this Week: 2143

Securities Mining Law

Securities Mining Law

Covers securities law affecting the mining industry in Canada.

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

    BC Environmental Assessment Office Fee

    BC Environmental Assessment Office Fee
    The Province of British Columbia approved an Order in Council dated April 11, 2014 to establish environmental assessment fees in British Columbia for the review of environmental assessment applications, orders and enforcement fees. The fee…
  • Apr 16

    Mandatory reporting standards for payments by extractive industry companie

    Mandatory reporting standards for payments by extractive industry companie
    The Government of Canada recently issued a Consultation Paper regarding proposed mandatory reporting standards (the proposed standards) for payments by extractive industry companies to governments, both domestic and foreign, and including…
  • Mar 28

    British Columbia Aboriginal Mentoring and Training Association (“BCAMTA”)

    British Columbia Aboriginal Mentoring and Training Association (“BCAMTA”)
    On February 7, 2014, BCAMTA opened its office in Terrace to guide and support aboriginal people towards gaining employment in the mining and exploration industry. There are a number of mines planned in the Terrace area and the need for…
Rank this Week: 3829

Business Law Post

Business Law Post

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

http://www.businesslawpost.com
  • Apr 17

    Elusive Bitcoin: Regulation of Bitcoin in the U.S. Part II

    Elusive Bitcoin: Regulation of Bitcoin in the U.S. Part II
    Today, I am going to summarize FinCEN’s regulations relating to Bitcoin.The Financial Crimes Enforcement Network (FinCEN) is an agency within the US Treasure Department. Its mission is to safeguard the financial system from illicit…
  • Apr 16

    Elusive Bitcoin: Regulation of Bitcoin in the U.S. Part I

    Elusive Bitcoin: Regulation of Bitcoin in the U.S. Part I
    The phenomenon of Bitcoin (and virtual currency in general) presents an interesting legal conundrum. It is still not clear for many where does Bitcoin fit within our legal system, and whether and how to regulate it. Today, I would like to…
  • Feb 1

    Could Your Update on LinkedIn Violate a Non-Compete Agreement?

    Could Your Update on LinkedIn Violate a Non-Compete Agreement?
    Today, I am re-posting a blog post of a colleague of mine (with his permission) that I found to be particularly interesting and relevant for those of you who are looking to leave your present employers to start your own businesses or to just…
Rank this Week: 1271

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: 332

William Carleton, Counselor @ Law

William Carleton, Counselor @ Law

Covers legal and investment issues facing emerging tech companies.

http://www.wac6.com/wac6/
  • Apr 14

    A Simple Act of Congress to Make Things Better for Startup

    A Simple Act of Congress to Make Things Better for Startup
    My friend Joe Wallin had an idea earlier today, which was, “how can Congress pass a single, simple law, to tell federal agencies to back off the rulemaking?” His idea is borne of the frustration we all feel when Congress...
  • Apr 9

    Another Car2Go story

    Another Car2Go story
    I love this service. A lot of people in Seattle are talking about the politics of ride sharing services. But Car2Go is more like a self-service. Or the loan of hardware, I guess you could say. Because you find a...
  • Apr 2

    Non-accredited crowdfunding: a license to pillage the vulnerable, or democracy in action?

    Non-accredited crowdfunding: a license to pillage the vulnerable, or democracy in action?
    The essential problem with Title III of the JOBS Act is that it doesn't pick sides.
Rank this Week: 1084

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
  • Apr 14

    UBS Puerto Rico Investment Loss Claims Rise as Island Debt Downgraded to Junk Statu

    UBS Puerto Rico Investment Loss Claims Rise as Island Debt Downgraded to Junk Statu
    The nationally recognized investment fraud attorneys at Levin Papantonio are actively filing claims on behalf of investors who suffered unwarranted losses. UBS Financial Services of Puerto Rico routinely advised clients to take concentrated…
  • Apr 14

    What’s Wrong with Public Non-Traded REITs?

    What’s Wrong with Public Non-Traded REITs?
    A Real Estate Investment Trust (REIT) allows investors to own and operate income-producing real estate through a corporation. The real estate in a REIT can range from offices and apartment buildings to warehouses or timberlands. The benefit…
  • Sep 9

    He's Not Above The Law - But It's Still a Slap On The Wrist

    He's Not Above The Law - But It's Still a Slap On The Wrist
    According to Forbes, Philip Falcone is No. 377 on the list of the 1%, worth $1.2 billion as of March 2013 as well as one of the Top 40 hedge fund managers in the U.S. Except that he won't be doing that anymore - for awhile, anyway.  read…
Rank this Week: 2014

White Collar Fraud

White Collar Fraud

Covers white collar crime, securities fraud, the accounting profession, internal controls and Sarbanes-Oxley. By Sam E. Antar.

http://whitecollarfraud.blogspot.com/
Rank this Week: 1369