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Securities Lawyer 101

Securities Lawyer 101

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

https://www.securitieslawyer101.com/blog/
  • Jan 1

    Going Public Blog l Securities Lawyer 101

    Going Public Blog l Securities Lawyer 101
    Going Public LawyerGoing 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 quantities of…
  • Jan 1

    Going Public Blog l Securities Lawyer 101

    Going Public Blog l Securities Lawyer 101
    Going Public Lawyer  Securities Lawyer 101 Blog Going public is a big step for any company.  The process of “going public” is complex and at times precarious.  While going public offers many benefits it also comes…
  • Jan 1

    Going Public Blog l Securities Lawyer 101

    Going Public Blog l Securities Lawyer 101
      Securities Lawyer 101 Blog Going public is a big step for any company.  The process of “going public” is complex and at times precarious.  While going public offers many benefits it also comes with risks and…
Rank this Week: 496

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: 613

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/
  • Dec 31

    Puerto Rico Will Make $330M in Bond Payments, Defaults on About $37M

    Puerto Rico Will Make $330M in Bond Payments, Defaults on About $37M
    The U.S. Commonwealth of Puerto Rico will pay about $330 million of what it owes on general obligation bonds, while defaulting on bonds of approximately $37 million that are mostly owed to the Puerto Rico Infrastructure Financing Authority…
  • Dec 26

    Man Released from Prison Faces New Fraud Charges in $11M Investor Stock Scam

    Man Released from Prison Faces New Fraud Charges in $11M Investor Stock Scam
    The Securities and Exchange Commission is charging Edward Durante with bilking investors once again. Durante, who already served a 10-year sentence for a previous securities fraud conviction, is accused of using different aliases to defraud…
  • Feb 5

    SEC Files Fraud Charges Against American Growth Funding II

    SEC Files Fraud Charges Against American Growth Funding II
    The Securities and Exchange Commission is pursuing a securities fraud case against American Growth Funding II, LLC. The regulator contends that the company, which raises money for business loans, lied to investors that bought high-yield…
Rank this Week: 163

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

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

    Escaping Liability

    Escaping Liability
    An announcement that a company is the target of a government investigation is likely to lead to a stock price decline. The mere fact of an investigation, however, does not tell the market anything about the existence of prior corporate…
  • Jan 25

    Not Enough Studying

    Not Enough Studying
    Yelp is an online networking platform that hosts user-generated reviews of local businesses.  In a recent securities class action (Curry v. Yelp, Inc., 2015 WL 7454137 (N.D. Cal. Nov. 24, 2015)), the court considered claims that Yelp…
  • Dec 4

    Omnicare’s Scope

    Omnicare’s Scope
    In its Omnicare decision issued earlier this year, the U.S. Supreme Court held that opinions presented in registration statements can be subject to liability under Section 11 of the Securities Act of 1933 if either (a) the…
Rank this Week: 1676

Securities Law Attorneys Blog

Securities Law Attorneys Blog

Covers securities law. By Fitapelli | Kurta.

http://www.securitieslawattorneys.net/
  • Feb 12

    Andrew Yocum Faces Stock Complaint

    Andrew Yocum Faces Stock Complaint
    The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Florida-based Summit Brokerage Services broker Andrew Yocum (CRD# 4590723). Andrew Yocum has spent thirteen…
  • Feb 12

    Philip Lefton Discharged From JP Hanauer & Co.

    Philip Lefton Discharged From JP Hanauer & Co.
    The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Florida-based Shearson Financial Services broker Philip Lefton (CRD# 2945659). Philip Lefton has spent seventeen…
  • Feb 12

    Gary Helbling Discharged from Wells Fargo

    Gary Helbling Discharged from Wells Fargo
    The securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against Connecticut-based Oppenheimer & Company broker Gary Helbling (CRD# 2655105). Gary Helbling has spent eighteen years in the…
Rank this Week: 1709

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Feb 12

    William Baumner IV Faces Pending Complaint

    William Baumner IV Faces Pending Complaint
    The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Florida-based Buckman Buckman & Reid broker William Baumner IV (CRD# 2298690). Stockbroker William Baumner…
  • Feb 12

    Michael Squellati Discharged from UBS Financial

    Michael Squellati Discharged from UBS Financial
    The securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against California-based Oppenheimer & Company broker/advisor Michael Squellati (CRD# 2720722). Michael Squellati has spent eighteen…
  • Feb 12

    Donna Hines (Cetera Advisors): REIT Complaint

    Donna Hines (Cetera Advisors): REIT Complaint
    The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding West Virginia-based Cetera Advisors broker Donna Hines (CRD# 4275524). Donna Hines has spent fifteen years in…
Rank this Week: 227

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
  • Feb 12

    Second Circuit Accepts Rajat Gupta’s Insider Trading Appeal

    Second Circuit Accepts Rajat Gupta’s Insider Trading Appeal
    This week I spoke with Fox Business reporter Serena Elavia about the Second Circuit’s decision to grant a certificate of appealability in the Rajat Gupta insider trading prosecution.  Gupta is the high-profile former McKinsey &…
  • Jan 25

    Supreme Court Holds General Statute of Limitations is Not Jurisdictional Defense

    Supreme Court Holds General Statute of Limitations is Not Jurisdictional Defense
    It appears that not even this weekend’s colossal winter snowstorm could deter the Supreme Court from its business, today deciding several criminal cases on its docket.  In addition to the landmark Montgomery v. Louisiana decision,…
  • Jan 19

    Supreme Court Takes on Insider Trading “Personal Benefit” After All

    Supreme Court Takes on Insider Trading “Personal Benefit” After All
    Just when the Supreme Court appeared to be turning its collective attention away from the standard for insider trading convictions by denying the writ for certiorari in United States v. Newman, the Court today granted cert. in Salman v.…
Rank this Week: 2783

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/
  • Feb 12

    Where Did You Go, Batman? Martin Shkreli, Congress, the Fifth Amendment and You

    Where Did You Go, Batman? Martin Shkreli, Congress, the Fifth Amendment and You
    It does not help that the most recent symbol of the Fifth Amendment is The Joker:   There has been plenty of news coverage about Martin Shkreli, “pharma bro” and alleged securities fraudster, and his appearance before…
  • Feb 3

    The Freedom of Little Joe Cartwright: Tax Crime, Edgar Allan Poe, Noir Film and Lacrosse

    The Freedom of Little Joe Cartwright: Tax Crime, Edgar Allan Poe, Noir Film and Lacrosse
    Notes for the week. Prosecuting Individuals Federal criminal tax lawyer Jack Townsend blogs at Federal Tax Crimes.  Here is his note on Prosecuting Corporate Employees, particularly in the tax context: I have previously blogged on…
  • Dec 24

    White (Collar) Christmas: Gin, Crime, Theology and the Rat Pack

    White (Collar) Christmas: Gin, Crime, Theology and the Rat Pack
      The hour is upon us, so herewith a few Christmas items. Cocktails Here from the archives is a recipe (via Garden & Gun magazine) for Milk Punch for Christmas Morning and a new recipe for An Old Old-Fashioned   . From…
Rank this Week: 1890

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/
  • Feb 12

    TSX removes security certificate requirements for exempt companie

    TSX removes security certificate requirements for exempt companie
    The Toronto Stock Exchange (TSX) will be eliminating the costly security certificate requirements that apply to Exempt Industrial Companies. The amendments to the TSX Company Manual, which are effective as of February 11, 2016, were first…
  • Feb 10

    Derivatives product determination rule to be adopted by remaining provinces on May 1, 2016

    Derivatives product determination rule to be adopted by remaining provinces on May 1, 2016
    Margaret Grottenthaler and William Scott - Members of the Canadian Securities Administrators (CSA) from the provinces and territories of Canada other than Ontario, Manitoba and Quebec recently published their product determination rule,…
  • Feb 4

    Canada's governance landscape - key issues for the 2016 proxy season

    Canada's governance landscape - key issues for the 2016 proxy season
    In this article, we highlight some key issues that we believe will be the focus of attention for Canadian boards and shareholders as the 2016 proxy season unfolds. While many of the issues are familiar from past years, some return with…
Rank this Week: 4124

New York Securities Lawyer Blog

New York Securities Lawyer Blog

Covers securities law. By Lax & Neville LLP.

http://www.newyorksecuritieslawyerblog.com/
  • Feb 12

    SEC Charges Harman International Industries, Inc. Vice President with Insider Trading

    SEC Charges Harman International Industries, Inc. Vice President with Insider Trading
    On February 5, 2016, the Securities and Exchange Commission (“SEC”) filed a Complaint in the United States District Court for the District of Connecticut (the “Complaint”) charging Dennis Wayne Hamilton, the Vice…
  • Dec 23

    SEC Files Fraud Charges Against Atlantic Asset Management LLC

    SEC Files Fraud Charges Against Atlantic Asset Management LLC
    On December 15, 2015, the Securities and Exchange Commission (“SEC”) filed a Complaint and Jury Demand (the “Complaint”), alleging fraud charges against Atlantic Asset Management LLC (“AAM”), an investment…
  • Dec 18

    SEC Alleges Pump-and-Dump Scheme Against Jammin’ Java Corp. d/b/a Marley Coffee

    SEC Alleges Pump-and-Dump Scheme Against Jammin’ Java Corp. d/b/a Marley Coffee
    On November 17, 2015, the Securities and Exchange Commission (“SEC”) filed a Complaint against Jammin’ Java Corp. d/b/a Marley Coffee, Shane G. Whittle, Wayne S. P. Weaver, Michael K. Sun, Rene Berlinger, Stephen B.…
Rank this Week: 578

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Feb 12

    FINRA Investigates Customer Complaints Against Broker Eric Kuchel

    FINRA Investigates Customer Complaints Against Broker Eric Kuchel
    The securities fraud lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) and the agency’s complaint against broker Eric Kuchel (Kuchel). According to…
  • Feb 12

    Broker Investigation: Customer Complaints Against Broker Deeann Griebel

    Broker Investigation: Customer Complaints Against Broker Deeann Griebel
    The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Deeann Griebel (Griebel). According to BrokerCheck records Griebel is subject to at least 7…
  • Feb 12

    Mutual Fund Clearbridge Energy Fund (CEM) Investor Recovery Option

    Mutual Fund Clearbridge Energy Fund (CEM) Investor Recovery Option
    The investment attorneys with Gana LLP continue to report on investor related losses in oil and gas and commodities related investments. Investors may have potential legal remedies due to unsuitable recommendations by their broker to invest…
Rank this Week: 109

Recover Investment Losses Blog

Recover Investment Losses Blog

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

http://blog.rexsecuritieslaw.com
Rank this Week: 1542

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Feb 12

    Corporate Governance Panelists Discuss Directors’ Responsibilitie

    Corporate Governance Panelists Discuss Directors’ Responsibilitie
    By Jacquelyn LumbThe Practising Law Institute’s corporate governance conference featured panel discussions on the responsibilities of directors serving on compensation, audit, nominating, and governance committees. Panelists also…
  • Feb 11

    Raymond Lucia Fires Opening Salvo in ALJ Court Challenge, Aided by Mark Cuban

    Raymond Lucia Fires Opening Salvo in ALJ Court Challenge, Aided by Mark Cuban
    By John M. Jascob, J.D., LL.M.Raymond J. Lucia, Sr. and his eponymous investment advisory firm have fired the first shot in their court challenge to the SEC’s use of administrative law judges. In their suit opposing the SEC’s…
  • Feb 10

    GAO: SEC’s Priorities Have Changed Since Climate Change Disclosure Guidance

    GAO: SEC’s Priorities Have Changed Since Climate Change Disclosure Guidance
    By Amanda Maine, J.D. The Government Accountability Office issued a report on how companies disclose climate-related supply chain risks in SEC filings and through other channels. The report determined that the SEC has taken some action to…
Rank this Week: 1669

Business Blog

Business Blog

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

http://www.businesslawnews.com/
  • Feb 12

    Selecting an Arbitrator for Your Business Dispute

    Selecting an Arbitrator for Your Business Dispute
    Selecting an Arbitrator for Your Business Dispute Many contracts now require the arbitration of disputes instead of allowing for court hearings of claims. Just as important as selecting jurors, lawyers will take care in selecting the…
  • Feb 11

    Computer Hacking Defendant Loses in U.S. Supreme Court, Violates CFAA

    Computer Hacking Defendant Loses in U.S. Supreme Court, Violates CFAA
    Computer Hacking Defendant Loses at U.S. Supreme Court In a unanimous decision, the U.S. Supreme Court held recently that the former executive of a logistics company was properly found guilty of violating the Computer Fraud and Abuse Act…
  • Feb 10

    FINRA & the Culture of Compliance

    FINRA & the Culture of Compliance
    FINRA examiners are looking for “Culture of Compliance” The Financial Industry Regulatory Authority (FINRA) recently published its 2016 Regulatory and Examination Priorities Letter. For firms under FINRA’s purview, the…
Rank this Week: 1551

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Feb 12

    How Animal Rescue Bears on Board Diversity

    How Animal Rescue Bears on Board Diversity
    Here’s something from Abby Jones, who recently retired from QEP Resources as corporate secretary: As I write this, my canine companion – who just a few months ago begged for scraps and dodged auto rickshaws on the bustling roads…
  • Feb 11

    This Survey Doesn’t Bode Well for Pay Ratio Disclosure

    This Survey Doesn’t Bode Well for Pay Ratio Disclosure
    Here’s the teaser for this new set of survey results from Stanford: Recently, the Rock Center for Corporate Governance at Stanford University conducted a nationwide survey of 1,202 individuals — representative by gender, race,…
  • Feb 10

    SEC Chair White on Activism & Board Diversity

    SEC Chair White on Activism & Board Diversity
    This Q&A interview with SEC Chair White conducted by Wilson Sonsini’s Steve Bochner is more useful than the typical speech (here’s a summary from Ning Chiu). Here’s an excerpt from near the end: STEVEN BOCHNER: We have a…
Rank this Week: 353

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: 283

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
Rank this Week: 488

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/
  • Feb 11

    Resource Real Estate Investors 7 Tender Offer

    Resource Real Estate Investors 7 Tender Offer
    Have you suffered investment losses in Resource Real Estate Investors 7, L.P.? If so, The White Law Group may be able to help you recover your losses through a FINRA arbitration against the brokerage firm that sold you the investment. The…
  • Feb 11

    Sentio Healthcare Properties $5.00 Tender Offer

    Sentio Healthcare Properties $5.00 Tender Offer
    Have you suffered investment losses in Sentio Healthcare Properties, formerly Cornerstone Healthcare Plus REIT? If so, the securities attorneys of The White Law Group may be able to help you recover your losses by filing a FINRA Dispute…
  • Feb 11

    Investigation Alert: Bluerock Real Estate’s The Charle

    Investigation Alert: Bluerock Real Estate’s The Charle
    Did you invest in The Charles, a condo development by Bluerock Real Estate located at 1355 1st Avenue in New York? If so, The White Law Group may be able to help recoup some of your investment losses. Investors appear to have had the…
Rank this Week: 188

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
  • Feb 11

    Recent Regulatory Developments in Equity Crowdfunding in Canada

    Recent Regulatory Developments in Equity Crowdfunding in Canada
     By Alixe Cormick Canada now has two crowdfunding specific exemptions: the Start-Up Crowdfunding Exemption (May 14, 2015 – BC, SK, MB, QU, NB, and NS), and the Integrated Crowdfunding Exemption (Jan. 25, 2016 -MB, ON, QU, NB, and…
  • Dec 10

    Raising Capital: Angel Investors, Venture Capital and Crowdfunding

    Raising Capital: Angel Investors, Venture Capital and Crowdfunding
    By Alixe Cormick On October 29, 2015, I participated on a panel at the annual Vancouver Island Economic Alliance Summit titled “Show Me the Money? Access Capital Workshop”.  The session was sponsored by the Nanaimo Daily…
  • Nov 30

    Raising Capital: Tips from a Serial Angel & Deal Junkie

    Raising Capital: Tips from a Serial Angel & Deal Junkie
     By Alixe Cormick Tribe of Zero is an organization that puts together events aimed at entrepreneurs and small business owners.  On October 22, 2015, I was a speaker and a mentor at their Capital Advantage event held in Vancouver,…
Rank this Week: 1846

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/
  • Feb 11

    SEC: California Man Sold Investors Phony Stock to Pay Gambling Debt

    SEC: California Man Sold Investors Phony Stock to Pay Gambling Debt
    The Securities and Exchange Commission today charged an unregistered broker in Oceanside, Calif., with fraudulently selling purported stock in a medical device company and pocketing investors’ money.The SEC alleges that Gregory Ruehle…
  • Feb 10

    SEC Adopts Cross-Border Security-Based Swap Rules Regarding Activity in the U.S.

    SEC Adopts Cross-Border Security-Based Swap Rules Regarding Activity in the U.S.
    The Securities and Exchange Commission today voted to adopt rules that require a non-U.S. company that uses personnel located in a U.S. branch or office to arrange, negotiate, or execute a security-based swap transaction in connection with…
  • Feb 9

    Electronic Storage Failure Results in $2.6 Million Fine

    Electronic Storage Failure Results in $2.6 Million Fine
    If your firm has not reviewed its electronic storage systems and programs recently, now may be the time. While this is a guess, it seems to me that oversights at one firm cost it $2.6 million in fines.As we all know, the…
Rank this Week: 466

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: 816

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • Feb 11

    Even General Counsels Get Defamed

    Even General Counsels Get Defamed
    What happens when the media re-states bluntly what you tried to say cleverly? A jury might find you liable for defamation, even if your statement was made in a legal document. This observation is one of many take-aways from the litigation…
  • Jan 27

    FINRA's BrokerCheck Posting Terminations More Quickly, but Firms Still have 30 days to Report

    FINRA's BrokerCheck Posting Terminations More Quickly, but Firms Still have 30 days to Report
    FINRA's RegulatoryNotice 15-39 is getting a little blog time, but sadly some law firms writing about it seem to misunderstand not only the Notice itself, but also the implications of the changes that have been implemented.  FINRA Rule…
  • Jan 7

    SEC Continues to Crack Down on EB-5 Fraud

    SEC Continues to Crack Down on EB-5 Fraud
    Late last year, investors who claimed the $8.5 million frozen by the Securities and Exchange Commission (SEC) was rightfully theirs were denied access to the money by a federal judge. U.S. District Judge Joan Lenard ruled that management of…
Rank this Week: 1356

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • Feb 11

    The bait and switch is alive and well.

    The bait and switch is alive and well.
    FINRA has issued an investor alert involving high-yield CD offers that are really bait for the sale of a high commission investment. Apparently, FINRA has received calls on its senior hotline making it aware of a sales practice that involves…
  • Feb 3

    Are regulations regarding elder investors inevitable

    Are regulations regarding elder investors inevitable
    With the exception of those of you who have literally been asleep for the last few years, you are well-versed in the attention FINRA and the SEC are giving to issues surrounding elder investors. Among other things, there is a real focus on…
  • Feb 2

    Why system passwords are not as easy as 123

    Why system passwords are not as easy as 123
    As we all know, cybersecurity remains a top priority for the SEC and FINRA. Unfortunately, a recent Investment News article would suggest that firms do not take it as seriously, or, at least, firm employees do not. A recent study of passwords…
Rank this Week: 3785

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/
  • Feb 11

    Transcript: “Best Efforts Offerings – Nuts & Bolts”

    Transcript: “Best Efforts Offerings – Nuts & Bolts”
    We have posted the transcript for our recent webcast: “Best Efforts Offerings – Nuts & Bolts.”
  • Feb 10

    Director Pay: Nasdaq Proposes Golden Leash Disclosure Requirement

    Director Pay: Nasdaq Proposes Golden Leash Disclosure Requirement
    A few weeks ago, Nasdaq proposed a rule change that would require listed companies to disclose “golden leash” arrangements. As noted in this Dorsey memo, the proposed rule would require listed companies to disclose on their…
  • Feb 9

    Joseph Slights Tapped as Next Delaware VC

    Joseph Slights Tapped as Next Delaware VC
    Here’s news from this DelawareOnline article: Gov. Jack Markell has nominated former Superior Court judge Joseph R. Slights III to be the next vice chancellor of the Delaware Court of Chancery. If confirmed, Slights will replace Vice…
Rank this Week: 935

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
  • Feb 10

    Texas Securities Commissioner Bans the Sale of Pension Stream

    Texas Securities Commissioner Bans the Sale of Pension Stream
    From the Desk of Jim Eccleston at Eccleston Law LLC:Andrew Gamber, through his Jackson, Mississippi-based Sobell Corp. offered a product to retail investors called “Pension Income Stream Program.” The program made agreements with…
  • Feb 7

    What to Expect In 2016 Examination

    What to Expect In 2016 Examination
    From the Desk of Jim Eccleston at Eccleston Law LLC:In considering the priorities for the upcoming year, The Office of Compliance Inspections and Examination (OCIE) of the SEC seeks to prevent potentially heightened risk for investors and the…
  • Feb 5

    Former Advisors Indicted in $35 Million Fraud Scheme

    Former Advisors Indicted in $35 Million Fraud Scheme
    From the Desk of Jim Eccleston at Eccleston Law LLC:Angelo Alleca and Mark Morrow were indicted for their alleged involvement in a scheme that defrauded more than 300 investors of $35 million. During the time of the scheme, Alleca was…
Rank this Week: 106

Footnoted

Footnoted

Reports on actionable information in SEC filings.

http://www.footnoted.com/
  • Feb 9

    The red pen comes out for Apollo Education

    The red pen comes out for Apollo Education
    Apollo Education's deal, announced yesterday, will result in nice payoffs for senior executives.
  • Jan 21

    Is Warren Buffett trying to prop up oil?

    Is Warren Buffett trying to prop up oil?
    So far this year, Berkshire Hathaway has filed eight Form 4s on Phillips 66, compared with 3 Form 4s for all of 2015.
  • Jan 6

    SEC filings in 2015: a look back

    SEC filings in 2015: a look back
    More than 662,000 filings were made to the SEC in 2015, which is actually a slight decline from 2014.
Rank this Week: 2699

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: 1476

Tim O'Connor's Blog

Tim O'Connor's Blog

Covers stockbroker fraud.

http://stockbrokerlaw.com/tim-oconnors-blog
  • Feb 9

    SEC Issues Investor Bulliten on Variable Annuitie

    SEC Issues Investor Bulliten on Variable Annuitie
    On November 5, 2015 the Securities and Exchange Commission issued an Investor Bulletin entitled “Variable Annuities – An Introduction.” This publication of the SEC Office of Investor Education Advocacy follows on the heels…
  • Feb 2

    Best Execution Failure by Two Brokers Results in SEC Bar

    Best Execution Failure by Two Brokers Results in SEC Bar
    Their press release dated October 28, 2015 the SEC disclosed the bar of two brokers involved with favoring certain customers in certain securities purchase transactions while also garnering extra commissions for their firm in the process. As…
  • Jan 26

    FINRA Registered Stockbrokers and Representatives, Investment Advisor Representatives, or Both?

    FINRA Registered Stockbrokers and Representatives, Investment Advisor Representatives, or Both?
    Recent statistics of the Financial Industry Regulatory Authority (FINRA) indicates that there are over 637,000 individual registered representative associated person stockbrokers in the United States employed by over 4,000 FINRA broker dealer…
Rank this Week: 3171

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
  • Feb 8

    Energy Related Bonds & Structured Notes – A Potential Wolf in Sheep’s Clothing?

    Energy Related Bonds & Structured Notes – A Potential Wolf in Sheep’s Clothing?
    As noted in a February 5, 2016 article in The Wall Street Journal (“The Oil Rout’s Surprise Victims”), the epic collapse in the price of oil, from more than $100 per barrel less than two years ago to below $30 last week, has…
  • Jan 28

    Breaking Bad, the Junk Bond Edition

    Breaking Bad, the Junk Bond Edition
    Junk bonds, better known as high-yeild debt have seen much better days and strategists say that investors may be focusing too much on the role energy has played in the decline while underestimating other risks. According to Matthew Mish,…
  • Jan 24

    SEC Releases Examination Priorities for 2016

    SEC Releases Examination Priorities for 2016
    Released by the Office of Compliance Inspections and Examinations of the Securities and Exchange Commission, Examination Priorities for 2016. The post SEC Releases Examination Priorities for 2016 appeared first on Maddox Hargett & Caruso.
Rank this Week: 159

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/
Rank this Week: 2840

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/
  • Feb 8

    How to Find the Right Financial Advisor for You

    How to Find the Right Financial Advisor for You
    Are you just starting to invest and ready to open your first brokerage account? Are unhappy with your current broker?  Here are some tips from the Financial Industry Regulatory Authority (FINRA) on how to find the right financial advisor…
  • Feb 4

    When Money Buys Stress, not Happine

    When Money Buys Stress, not Happine
    Many people work their entire lives to accumulate a nest egg of savings for retirement.   Others find financial success mid-career.  Either way, accumulating money can be surprising in one respect:  wealth often leads to…
  • Feb 1

    The Big Short: What is Short Selling Anyway?

    The Big Short: What is Short Selling Anyway?
     The recent release of the movie-version of the best-selling book, The Big Short, reminds us of the risky bets that some investors take when they anticipate the stock market, a particular industry, or a certain stock will decline in…
Rank this Week: 1322

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
  • Feb 8

    UPDATE: SEC Inspector General Exonerates ALJ System

    UPDATE: SEC Inspector General Exonerates ALJ System
    This is an UPDATE of "SEC Under Siege!  Dramatic Inspector General Report Shakes ALJ System" (BrokeAndBroker.com Blog, August 10, 2015) On August 7, 2015, the Securities and Exchange Commission's ("SEC's") Office of the Inspector…
  • Feb 8

    Texas Investor Guide: Strategies for Investing Wisely and Avoiding Financial Fraud

    Texas Investor Guide: Strategies for Investing Wisely and Avoiding Financial Fraud
    A personal message from Bill Singer, Esq., publisher of the BrokeAndBroker.com Blog:There is no question about it, and, no, I am not at all apologetic: I am not a fan of most securities-industry regulatory organizations. When I gaze out…
  • Feb 8

    BREAKING STORY:Morgan Stanley $3.2 Billion RMBS Settlement. READ FULL TEXT AGREEMENTS

    BREAKING STORY:Morgan Stanley $3.2 Billion RMBS Settlement. READ FULL TEXT AGREEMENTS
    On February 11, 2016, the United States Department of Justice ("DOJ") published a Press Release: "Morgan Stanley Agrees to Pay $2.6 Billion Penalty in Connection with Its Sale of Residential Mortgage Backed Securities" In addition to the DOJ…
Rank this Week: 525

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

http://www.seclawyersblog.com/
  • Feb 7

    Linn Energy Investors Brace for Bankruptcy

    Linn Energy Investors Brace for Bankruptcy
    The deep and extended drop in oil prices continues to negatively impact Linn Energy, LLC (NASDAQ:LINE). Shares of Linn Energy (NASDAQ:LINE) / LinnCo (NASDAQ:LNCO) dropped more than 50% on February 5 after Linn announced that it was going to…
  • Feb 6

    Sonn|Erez Investigating Claims Related to Credit Suisse X-Links Cushing MLP Infrastructure ETN

    Sonn|Erez Investigating Claims Related to Credit Suisse X-Links Cushing MLP Infrastructure ETN
    Sonn|Erez is investigating investment losses related to Credit Suisse X-Links Cushing MLP Infrastructure ETN (NYSE: MLPN). The X-Links Cushing MLP Infrastructure ETNs are senior, unsecured debt securities issued by Credit Suisse AG that are…
  • Feb 5

    Sonn|Erez Investigating Claims Related to Babson Capital Global Short Duration High Yield Fund (NYSE: BGH)

    Sonn|Erez Investigating Claims Related to Babson Capital Global Short Duration High Yield Fund (NYSE: BGH)
    Sonn|Erez is investigating investment losses related to Babson Capital Global Short Duration High Yield Fund (NYSE: BGH), a closed end short duration high yield bond fund managed by Babson Capital Management, LLC. The Fund “seeks to…
Rank this Week: 938

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/
  • Feb 3

    A Couple Of Things Not To Do In The NC Business Court

    A Couple Of Things Not To Do In The NC Business Court
    The NC Business Court's decision last month in Krawiec v. Manly, 2016 NCBC 7, illustrates a couple of things not to do in the Court. Don't Make "Aiding and Abetting" Claims The Plaintiff made a claim against some of the Defendants for aiding…
  • Jan 18

    Arbitration Provision Which Completely Prohibited Any Discovery Enforced By NC Business court.

    Arbitration Provision Which Completely Prohibited Any Discovery Enforced By NC Business court.
    I don't draft arbitration provisions in agreements, but if I did I would not draft one like the one in Taggart v. Physicians Pharmacy Alliance, Inc.  Not because it turned out to be unenforceable, but because it was found to be…
  • Jan 12

    NC Business Court Revokes Pro Hac Vice Admission Of Out Of State Lawyer

    NC Business Court Revokes Pro Hac Vice Admission Of Out Of State Lawyer
    Judge McGuire came down pretty hard on a Florida attorney admitted pro hac vice (meaning "for this one particular occasion") by another Superior Court Judge, in McCarthy v. Hampton, 2016NCBC 4.  He revoked the lawyer's admission and…
Rank this Week: 774

The Securities Edge

The Securities Edge

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

http://www.thesecuritiesedge.com/
  • Feb 2

    Corporate venture capital investments – Good for startups?

    Corporate venture capital investments – Good for startups?
    Posted By: Robert C. White Jr. Corporate venture capital has quickly developed into a major funding source for startup companies. This type of startup funding is available to some innovative startups and early stage companies, and the dollars…
  • Jan 4

    My top 10 for 2015

    My top 10 for 2015
    Posted By: Robert B. Lamm This time I’m not writing about disclosure or governance. Rather, I’m posting my annual list of my 10 favorite books. For those of you who haven’t seen these lists before, (1) I apologize if this…
  • Jan 4

    They’re back…

    They’re back…
    Posted By: Robert B. Lamm Those of you who’ve been following my postings know that I’m not a fan of Congressional interference in the workings of the SEC. Well, those same wonderful folks who’ve garnered the lowest opinion…
Rank this Week: 3654

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/
  • Jan 29

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: Weiling Chou, Note, Restoring Integrity in American Businesses: A Broad Interpretation of the Foreign Corrupt Practices Act, 60 Wayne L.…
  • Jan 29

    Candadian Crowdfunding Exemption

    Candadian Crowdfunding Exemption
    The securities regulatory authorities in Manitoba, Ontario, Québec, New Brunswick and Nova Scotia have adopted in final form Multilateral Instrument 45-108, which governs crowdfunding in those jurisdictions. The Canadian Securities…
  • Jan 29

    This Week in Securities Litigation

    This Week in Securities Litigation
    The SEC Actions Blog has compiled This Week In Securities Litigation (Week ending January 29, 2016).
Rank this Week: 94

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
  • Jan 29

    New Pricing Rule for Non-Traded REITs Will Impact Independent Broker-Dealers and Their Customer

    New Pricing Rule for Non-Traded REITs Will Impact Independent Broker-Dealers and Their Customer
    At long last, FINRA’s revisions to Rules 2340 and 2310 (originally proposed in 2014) have been approved by the SEC and will go into effect on April 11, 2016.  In short, the purpose of the new rules is to provide increased…
  • Jun 16

    Ronald Amato Quoted in IA Watch Article Regarding Broker U5 Issue

    Ronald Amato Quoted in IA Watch Article Regarding Broker U5 Issue
    Attorney Ron Amato recently was quoted in an article appearing in IA Watch entitled “Vindicated Rep Offers Warning that U5 System Can Punish Whistleblowers.”   The article relates to a Form U5 defamation case, brought in…
  • Jun 8

    FINRA Re-examines Need for Broker Recruiting Bonus Disclosure

    FINRA Re-examines Need for Broker Recruiting Bonus Disclosure
    Months after shelving a financial advisor “bonus” disclosure rule that it previously had filed with the SEC, FINRA has proposed a revised bonus disclosure rule that emphasizes educating investors about questions potentially to ask…
Rank this Week: 2434

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/
  • Jan 28

    Delaware Courts continue scrutiny of “disclosure only” settlements in M&A litigation

    Delaware Courts continue scrutiny of “disclosure only” settlements in M&A litigation
    On Jan. 22, 2016, the Delaware Court of Chancery released its opinion in In re Trulia Stockholder Litigation in which it rejected a “disclosure only” settlement of a shareholders’ suit challenging an M&A transaction.…
  • Jan 22

    Supreme Court to review insider trading case

    Supreme Court to review insider trading case
    The Supreme Court has agreed to consider something that lies at the center of nearly every insider trading case: what prosecutors need to prove an insider trading conviction. This case aims to determine exactly what benefits corporate…
  • Jan 6

    Article sheds light on practice of private equity

    Article sheds light on practice of private equity
    Andrew Ross Sorkin wrote an interesting article in Tuesday’s New York Times regarding the practice of private equity firms designating the legal counsel to be used by its lenders in a leveraged buyout financing. In other words, the…
Rank this Week: 479

Subject to Inquiry

Subject to Inquiry

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

http://www.subjecttoinquiry.com/
Rank this Week: 1470

Stock Market Loss

Stock Market Loss

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

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

    Coin Flipping Beats Wall Street Strategist

    Coin Flipping Beats Wall Street Strategist
    This article was originally posted on Stock Market Loss Economists have suggested for years that while stockbrokers and brokerage firms will occasionally outperform the market, those instances are pretty much a product of random chance. Over…
  • Jan 25

    Thomas Buck Wrongdoing Exceeds Settlement

    Thomas Buck Wrongdoing Exceeds Settlement
    This article was originally posted on Stock Market Loss Former Merrill Lynch broker Thomas J. Buck has been named in several complaints, already costing the company over $4.1 million in settlements. Many of the complaints allege that Mr. Buck…
  • Jan 25

    FINRA’s Arbitration and Expungement Changes Not Enough

    FINRA’s Arbitration and Expungement Changes Not Enough
    This article was originally posted on Stock Market Loss A report from a FINRA task force recommends 51 changes to the arbitration process. Among these changes is increasing the stipend for arbitrators, explanation of arbitration decisions…
Rank this Week: 3561

Cady Bar the Door

Cady Bar the Door

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

http://www.secmiscellany.com
  • Jan 25

    The Insider Trading Cartoon Series, Vol. V — Misappropriation Theory

    The Insider Trading Cartoon Series, Vol. V — Misappropriation Theory
    We’ve spent a few episodes talking about insider trading when the trader owes a fiduciary duty to the company whose securities are being traded.  But what if the trader isn’t connected to the company? Enter the…
  • Dec 18

    Martin Shkreli, Criminal Forfeiture, and the Wu-Tang Clan

    Martin Shkreli, Criminal Forfeiture, and the Wu-Tang Clan
    The S&P Schadenfreude Index hit an all-time high yesterday when Martin Shkreli was arrested and indicted for securities fraud related to a hedge fund he used to run.  The SEC sued him, too.  Here’s how the Justice…
  • Dec 9

    The Insider Trading Cartoon Series, Vol. IV — Rank-and-File Employee

    The Insider Trading Cartoon Series, Vol. IV — Rank-and-File Employee
    Having covered corporate officers and temporary insiders, we now turn briefly to regular employees, still under the classical theory of insider trading liability. The post The Insider Trading Cartoon Series, Vol. IV — Rank-and-File…
Rank this Week: 3946

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/
  • Jan 21

    Higher Filing Thresholds for HSR Act Premerger Notifications and Interlocking Directorates Announced

    Higher Filing Thresholds for HSR Act Premerger Notifications and Interlocking Directorates Announced
    1. Higher Thresholds For HSR Filings On January 21, 2016, the Federal Trade Commission announced revised, higher thresholds for premerger filings under the Hart-Scott-Rodino Antitrust Improvements Act of 1976. The filing thresholds are…
  • Jan 14

    What You Need to Know About Mergers and Acquisitions Involving Government Contractors and Their Supplier

    What You Need to Know About Mergers and Acquisitions Involving Government Contractors and Their Supplier
    Volume 1 – The Structure of the Deal and Government Consent With today’s posting, we begin a ten-part series on unique issues that arise in connection with the acquisition or disposition of a company that performs government…
  • Dec 21

    FAST Act Speeds-Up Raising Capital

    FAST Act Speeds-Up Raising Capital
    On December 4, 2015, President Obama signed into law the Fixing America’s Surface Transportation Act, or FAST Act. Although primarily a transportation bill, the FAST Act also made changes to the federal securities laws as described…
Rank this Week: 277

Business Law Post

Business Law Post

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

http://www.businesslawpost.com
Rank this Week: 4629

Strictly Business

Strictly Business

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

http://www.strictlybusinesslawblog.com/
  • Jan 18

    The Pitfalls of Moonlighting in a Day Job for Startup Founder

    The Pitfalls of Moonlighting in a Day Job for Startup Founder
    This post first appeared in Southern Alpha on November 2, 2016. Many, if not most, founders have difficulty being able to afford to work full-time for their startup right from the start. But working in a day job while moonlighting at…
  • Jan 18

    The Pitfalls of Moonlighting in a Day Job for Startup Founder

    The Pitfalls of Moonlighting in a Day Job for Startup Founder
    This post first appeared in Southern Alpha on November 2, 2016. Many, if not most, founders have difficulty being able to afford to work full-time for their startup right from the start. But working in a day job while moonlighting at…
  • Jan 11

    Thoughts on the Final Crowdfunding Regulation

    Thoughts on the Final Crowdfunding Regulation
    In October, the SEC finally completed its implementing regulations to Title III of the JOBS Act, more commonly known as the “crowdfunding” exemption. The 600-page release can be found here. I’m not going to bother…
Rank this Week: 3094

Kueser Law Firm Blog

Kueser Law Firm Blog

Covers securities and investment fraud, as well as other consumer and investor-related issues.

http://blog.jmkesquire.com
  • Jan 14

    When is “Rate of Return” not the Real Rate of Return?

    When is “Rate of Return” not the Real Rate of Return?
    Investors need to be careful when they review and rely on performance reports provided by their stockbroker or financial advisor.  I recently reviewed a performance report that was provided to an investor by a major warehouse brokerage…
  • Apr 8

    FINRA BrokerCheck: Beware the … Blue … Flags?

    FINRA BrokerCheck: Beware the … Blue … Flags?
    FINRA recently underwent some changes to its BrokerCheck website.  For those that do not know, BrokerCheck is the online repository in which the Financial Industry Regulatory Authority (FINRA) discloses certain information about stock…
  • Mar 27

    FINRA Securities Arbitration Statistics – February 2011

    FINRA Securities Arbitration Statistics – February 2011
    FINRA recently reported its February 2011 arbitration statistics. For the two-month period ended February 28, 2011, 837 claims were filed. This represents a decrease of 9% as compared to the number of cases filed in February 2010 (918). The…
Rank this Week: 4786