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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…
  • Aug 15

    By: EAkHCuax

    By: EAkHCuax
    <strong>EAkHCuax</strong>Securities Law and Going Public Blog
  • Aug 5

    By: lexutilispl - bookmarks.blogme24.com

    By: lexutilispl - bookmarks.blogme24.com
    […] is gonna kill meDrum Building Secrets!Make Your Mark Online With These Design Tips : BACKLINKSSecurities Lawyer101 l Securities Law Blog l Hamilton & AssociatesPennySaverUSA.com Blog - The Best Resource for Online Classifieds,…
Rank this Week: 27

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…
  • Aug 26

    FINRA Claims Wedbush Securities Engaged in Supervisory and Anti-Money Laundering Violation

    FINRA Claims Wedbush Securities Engaged in Supervisory and Anti-Money Laundering Violation
    The Financial Industry Regulatory Authority has filed a disciplinary complaint against Wedbush Securities Inc. that accuses the firm of violations related to anti-money laundering and systemic supervision. The self-regulatory organization…
  • Aug 23

    Bank of America to Pay $16.65 Billion to Settle DOJ Mortgage Probe

    Bank of America to Pay $16.65 Billion to Settle DOJ Mortgage Probe
    Bank of America (BAC) and the U.S. Department of Justice have arrived at a $16.65 billion mortgage settlement. Under the agreement, the lender will pay $9.65 billion to the DOJ, the SEC, other government agencies, and six states. The…
Rank this Week: 315

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Sep 1

    Legacy of Commissioner Barnier Will Be Historic and Harmonized Financial Regulatory Reform

    Legacy of Commissioner Barnier Will Be Historic and Harmonized Financial Regulatory Reform
    As the new European Commission begins to take shape this month, there will be a new European Commissioner for the Internal Market, essentially the Commissioner for Banking and Securities. It is thus appropriate to reflect on the…
  • Aug 29

    Big Four Supports Proposed Going Concern and New Future Viability Statements Based on Sharman Panel

    Big Four Supports Proposed Going Concern and New Future Viability Statements Based on Sharman Panel
    The Big Four generally support the U.K. Financial Reporting Council’s proposed changes to the Corporate Governance Code implementing the recommendations of the Sharman Panel on going concern statements and a new statement on the…
  • Aug 28

    SEC Proposes 12-Month Pilot Program on Wider Tick Size

    SEC Proposes 12-Month Pilot Program on Wider Tick Size
    [This story previously appeared in Securities Regulation Daily.]By Amanda Maine, J.D.The SEC announced that the Financial Industry Regulatory Authority (FINRA) and the national securities exchanges have filed a proposal to implement a pilot…
Rank this Week: 364

Business Blog

Business Blog

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

http://www.businesslawnews.com/
  • Sep 1

    Back to School: Could You Pass a Commercial Lease Pop Quiz?

    Back to School: Could You Pass a Commercial Lease Pop Quiz?
    In the spirit of heading back to school, we want to test our readers’ knowledge of the essential terms of a commercial lease. After all, most businesses will be a lessor or lessee at some point during their life cycle. Moreover, out of…
  • Aug 29

    NJ Supreme Court Rules Fitness Centers Can’t Disclaim All Personal Injury Liability

    NJ Supreme Court Rules Fitness Centers Can’t Disclaim All Personal Injury Liability
    In a precedential ruling, the Supreme Court of New Jersey recently held that a fitness center could not insulate itself through an exculpatory clause from the ordinary common law duty of care owed by all businesses to its invitees. The case…
  • Aug 28

    U.S. Supreme Court to Address Pregnancy Discrimination

    U.S. Supreme Court to Address Pregnancy Discrimination
    The U.S. Supreme Court will consider yet another high-profile women’s health issue next term. In Young v. United Parcel Service, Inc., the justices will determine what types of accommodations employers must make for pregnant workers. As…
Rank this Week: 2789

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/
  • Aug 31

    This Week in Securities Litigation

    This Week in Securities Litigation
    The SEC Actions Blog has compiled This Week In Securities Litigation (Week ending August 28, 2014).
  • Aug 31

    SEC Adopts Asset-Backed Securities Reform Rule

    SEC Adopts Asset-Backed Securities Reform Rule
    The SEC has adopted asset-backed securities reform rules. The press release in part states the following: The Securities and Exchange Commission today adopted revisions to rules governing the disclosure, reporting, and offering process for…
  • Aug 31

    SEC Announces Pilot Plan to Assess Stock Market Tick Size Impact for Smaller Companie

    SEC Announces Pilot Plan to Assess Stock Market Tick Size Impact for Smaller Companie
    The SEC has announced a pilot plan to assess stock market tick size impact for smaller companies. The press release in part states the following: The Securities and Exchange Commission today announced that the national securities exchanges…
Rank this Week: 159

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/
  • Aug 29

    Weekend: cocktails, World War I, Alexandr Solzhenitsyn and Marvin Gaye

    Weekend: cocktails, World War I, Alexandr Solzhenitsyn and Marvin Gaye
    For this weekend: cocktails, World War I, Alexandr Solzhenitsyn and Marvin Gaye. From Saveur, warm-weather whiskey cocktails.  Some of the drinks sound good.  All of the photos are cool: From the folks at Garden & Gun…
  • Aug 15

    Lauren Bacall and The Big Sleep: Noir Film, White Collar, Cocktail

    Lauren Bacall and The Big Sleep: Noir Film, White Collar, Cocktail
    The recent outpouring of remembrances of and praise for the late comedian and actor Robin Williams is understandable and commendable, but the deluge seems to have somewhat submerged most thoughtful notice of the passing of Lauren Bacall this…
  • Aug 14

    Liz and Literacy

    Liz and Literacy
    This note is not about white-collar crime.  It’s something much better.  The story of my colleague, Liz Huntley:  
Rank this Week: 2871

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
  • Aug 29

    Wells Fargo Dominates Recruiting Game

    Wells Fargo Dominates Recruiting Game
    From the Desk of Jim Eccleston at Eccleston Law Offices: Wells Fargo leads the 2014 recruiting game over Merrill Lynch, Morgan Stanley and UBS. The reasons are several. Wells Fargo Management emphasizes the firm’s…
  • Aug 28

    Former MIT Professor, Son Plead Guilty In Hedge Fund Fraud

    Former MIT Professor, Son Plead Guilty In Hedge Fund Fraud
    From the Desk of Jim Eccleston at Eccleston Law Offices: Gabriel Bitran, a former professor at the Massachusetts Institute of Technology and associate dean at its business school, and his son Marco Bitran,…
  • Aug 26

    Financial Planner Charged In $10 Million Ponzi Scheme

    Financial Planner Charged In $10 Million Ponzi Scheme
    From the Desk of Jim Eccleston at Eccleston Law Offices: Sean Meadows, an unregistered Minneapolis financial planner, has been charged with orchestrating a $10 million Ponzi scheme. From 2007 to 2014, Meadows raised at…
Rank this Week: 154

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Aug 29

    August 27, 2014 FINRA Disciplinary Action

    August 27, 2014 FINRA Disciplinary Action
    On August 27, 2014, the Financial Industry Regulatory Authority, or FINRA, sanctioned Ronald Willard Vaught, Michael Mannasse and Laura McSparren.  Ronald Willard Vaught (CRD 2605545):  Ronald Willard Vaught was barred by FINRA on…
  • Aug 28

    Investigation: Sale of GWG Renewable Secured Debentures by David Escarcega

    Investigation: Sale of GWG Renewable Secured Debentures by David Escarcega
    As part of its ongoing investigation into the sale of GWG Renewable Secured Debentures, Fitapelli Kurta is investigating the sale of those products by broker David Escarcega.  In August 2014, the Financial Industry Regulatory Authority,…
  • Aug 27

    Investigation: Scotrun, PA Broker Anthony Diaz

    Investigation: Scotrun, PA Broker Anthony Diaz
    Fitapelli Kurta, is investigating customer complaints against Scotrun, PA broker Anthony Diaz.  On August 6, 2014, the Financial Industry Regulatory Authority, or FINRA, filed a complaint against Anthony Diaz, who is currently registered…
Rank this Week: 567

Securities Law Blog

Securities Law Blog

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

http://www.securitieslaw-blog.com/
  • Aug 29

    Wylys Unable To Pay $728 Million Sought By SEC

    Wylys Unable To Pay $728 Million Sought By SEC
    Attorneys for Samuel Wyly and the estate of Charles Wyly, who were found liable for using a network of offshore trusts to conceal stock holdings in illegal trading, claim that they cannot pay the $728 million demanded by the SEC, stating that…
  • Aug 28

    ALJ Rules Atlanta Company And Principals Committed Fraud

    ALJ Rules Atlanta Company And Principals Committed Fraud
    Administrative Law Judge Cameron Elliot found that Timbervest LLC and its four principals committed fraud and ordered the group to disgorge nearly $2 million in illegal gains. Timbervest is an Atlanta company that manages over $1.2 billion in…
  • Aug 26

    Ponzi Schemes Year In Review: Volume II

    Ponzi Schemes Year In Review: Volume II
    Throughout the year, the Frankowski Firm has investigated a number of Ponzi schemes. Thousands of investors have lost millions of dollars by unwittingly putting their money into Ponzi schemes all across the country. This second installment of…
Rank this Week: 1683

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
  • Aug 29

    FINRA has Citigroup Global Markets Inc. in Hot Water

    FINRA has Citigroup Global Markets Inc. in Hot Water
    Citigroup Global Markets Inc. is being fined $1.85 million for best execution and supervisory violations in non-convertible preferred securities transactions. They also ordered Citigroup to pay more than $638,000 in compensation, plus…
  • Aug 24

    Expectations v. Reality of Unconstrained Bond

    Expectations v. Reality of Unconstrained Bond
    Investors’ fears of rising interest rates of traditional bonds, have shown an influx in these “go anywhere” funds. With a focus on returns, many investors don’t understand the risk. In the category of a nontraditional…
  • Aug 24

    The Complications of Structured Note

    The Complications of Structured Note
    A complicated investment to begin with, structured notes have grown more complex the last few years and are best to be avoided. They commonly claim to limit instability in a down market. A debt instrument whose return hinges on the price…
Rank this Week: 235

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Aug 29

    SEC: New Disclosure Rules for Asset-Backed Securitie

    SEC: New Disclosure Rules for Asset-Backed Securitie
    A few days ago, the SEC adopted new rules for asset-backed issuers governing the disclosure, reporting, and offering process. This is the 1st part of the new rules relating to Regulation AB II. The adopting release is sorta not out yet…
  • Aug 28

    Outsourcing the Board Isn’t Warranted or Remedial

    Outsourcing the Board Isn’t Warranted or Remedial
    Based on a proposal discussed in a recent issue of the Stanford Law Review, this recent Economist article promotes outsourcing corporate boards as a solution to corporate governance failures of the type we have experienced historically. As…
  • Aug 27

    Bank Directors: Beware of Expanded Fiduciary Dutie

    Bank Directors: Beware of Expanded Fiduciary Dutie
    In this American Banker article, Luse Gorman’s John Gorman discusses his concerns about – and opposition to – suggestions made by academics and others that bank directors’ fiduciary duties be broadened in the risk…
Rank this Week: 228

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/
  • Aug 29

    I Just Don’t Understand Labor Day

    I Just Don’t Understand Labor Day
    I just don’t understand Labor Day.  To be more specific, I don’t understand the holiday’s name.  “Labor” is derived from the Latin word meaning work or toil.  Etymologically speaking, therefore,…
  • Aug 28

    Why Keeping Corporate Lawyers Quiet Is Good For Us All

    Why Keeping Corporate Lawyers Quiet Is Good For Us All
    In a recent post in The New York Times DealBook, Berkeley Law School Professor Steven Davidoff Solomon argues that keeping corporate lawyers silent “can shelter wrongdoing”.  I completely agree that the…
  • Aug 27

    Judge Rules Choice Of Law Waives CSL Claim

    Judge Rules Choice Of Law Waives CSL Claim
    I was quite surprised to read Judge Gregory M. Sleet’s ruling in OpenGate Capital Group LLC v. Thermo Fisher Scientific Inc., 2014 U.S. Dist. LEXIS 92256 (D. Del. July 8, 2014).  The lawsuit was brought by the purchaser…
Rank this Week: 185

Stock Broker Fraud Blog

Stock Broker Fraud Blog

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

http://www.stockbrokerfraudblog.com/
Rank this Week: 158

Footnoted

Footnoted

Reports on actionable information in SEC filings.

http://www.footnoted.com/
Rank this Week: 3264

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
  • Aug 28

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  • Aug 28

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  • Aug 18

    BrokeAndBroker.com Blog by Bill Singer Labor Day Holiday Review

    BrokeAndBroker.com Blog by Bill Singer Labor Day Holiday Review
    Stockbroker Wins Expungement of 1990 Customer ComplaintAugust 29, 2014You know how you figure something's foolproof? For example, I recently left for vacation and set a week's worth of articles on the BrokeAndBroker.com ...Read OnChase Banker…
Rank this Week: 1525

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/
  • Aug 28

    A closer look at Orange Capital's unconventional tender offer for units of Partners REIT

    A closer look at Orange Capital's unconventional tender offer for units of Partners REIT
    Adam Kline and Alex Colangelo -  On May 28, Orange Capital announced that it was launching a tender offer at a premium to market to purchase up to 10% of the outstanding units of Partners REIT. While it did not constitute a takeover…
  • Aug 22

    OSC publishes The Investment Funds Practitioner for July 2014

    OSC publishes The Investment Funds Practitioner for July 2014
    Darin Renton - The Investment Funds and Structured Products Branch of the Ontario Securities Commission recently released the July 2014 issue of The Investments Funds Practitioner, which provides an overview of recent issues…
  • Aug 22

    Delaware Chancery provides important guidance to boards of directors and financial advisor

    Delaware Chancery provides important guidance to boards of directors and financial advisor
    Stéphane Rousseau and Benoît Dubord - The recent Rural Metro decision in the Delaware Court of Chancery provides important guidance to boards of directors and financial advisors in change of control situations. Specifically, the…
Rank this Week: 1410

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Aug 28

    Blackbook Capital Sanctioned For Overcharging Client

    Blackbook Capital Sanctioned For Overcharging Client
    The Financial Industry Regulatory Authority (FINRA) sanctioned brokerage firm Blackbook Capital LLC (Blackbook) concerning allegations that: 1) between April 2010 and June 2011, Blackbook charged customers $60.50 on each purchase or sale…
  • Aug 27

    Broker Spotlight – Mark Lisser Accused of Churning by at Least Three Customer

    Broker Spotlight – Mark Lisser Accused of Churning by at Least Three Customer
    The law office of Gana LLP is investigating a string of securities arbitration cases involving broker Mark Lisser (Lisser) which generally allege securities violations including churning, excessive use of margin, churning, unsuitable…
  • Aug 26

    Financial Advisor Sanctioned Over Allegations of Unsuitable Overconcentrations of Private Placement

    Financial Advisor Sanctioned Over Allegations of Unsuitable Overconcentrations of Private Placement
    The Financial Industry Regulatory Authority (FINRA) sanctioned and barred financial advisor Stephen Lard (Lard) concerning allegations that Lard recommended and sold various private-placement securities, that were speculative, high risk, and…
Rank this Week: 428

TRACE Blog

TRACE Blog

Covers anti-bribery compliance.

http://traceblog.org/
  • Aug 28

    What was this month’s biggest anti-bribery story?

    What was this month’s biggest anti-bribery story?
    Take a moment to read our poll and vote for which headline you think was most newsworthy this month: China announces Investigation into Volkswagen AG’s China Joint Venture: China’s anti-corruption authority — the…
  • Aug 19

    The Role of Academia in Anti-Corruption Collective Action

    The Role of Academia in Anti-Corruption Collective Action
    Last week TRACE joined leading anti-corruption experts and academics from all over the world in Vienna, Austria to discuss effective teaching and pedagogy in anti-corruption studies within institutions of higher learning. The workshop, which…
  • Aug 11

    Demystifying Anti-Bribery Certification

    Demystifying Anti-Bribery Certification
    Over the past few weeks, we here at TRACEblog have noticed a few interesting critiques of anti-bribery certifications. Harvard Law Professor Matthew Stephenson writes on his blog that he holds “a fair amount of skepticism”…
Rank this Week: 3211

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/
  • Aug 28

    The SEC and Administrative Proceedings (Part 2)

    The SEC and Administrative Proceedings (Part 2)
    We are discussing some of the issues raised by Peter Henning in his DealBook column, The S.E.C.’s Use of the ‘Rocket Docket’ Is Challenged.   In any event, the limits on discovery, the fact that ALJ decisions are…
  • Aug 26

    The SEC and Administrative Proceedings (Part 1)

    The SEC and Administrative Proceedings (Part 1)
    Peter Henning wrote an interesting piece over at DealBook on the SEC's use of administrative proceedings in place of actions in federal district court.  See The S.E.C.’s Use of the ‘Rocket Docket’ Is Challenged.…
  • Aug 26

    Morrison, the Second Circuit, and the Reverse Effects Test: ParkCentral Global Hub Limited v. Porsche Automobile Holdings (Part 2)

    Morrison, the Second Circuit, and the Reverse Effects Test: ParkCentral Global Hub Limited v. Porsche Automobile Holdings (Part 2)
    We are discussing the Second Circuit's decision in ParkCentral Global Hub Limited v. Porsche Automobile Holdings, a case that effectively created a "reverse effects test" that was contrary to the Supreme Court's analysis…
Rank this Week: 60

Securities Mining Law

Securities Mining Law

Covers securities law affecting the mining industry in Canada.

http://www.securitiesmininglaw.com/
  • Aug 27

    Mining & Investment Latin America Summit in Peru

    Mining &amp; Investment Latin America Summit in Peru
    Dentons is proud to be a Silver Sponsor of the largest Mining & Investment event in Latin America at the Mining & Investment Latin America Summit October 27-28 2014 in Lima, Peru. Mining & Investment Latin America Summit is the…
  • Jun 2

    Case Bulletin: R v Karigar, 2014 ONSC 3093

    Case Bulletin: R v Karigar, 2014 ONSC 3093
    For the first time in Canada, an individual has been sentenced to jail time for bribing a foreign public official. The three-year penitentiary sentence was handed down by the Ontario Court of Justice under the Corruption of Foreign Public…
  • May 28

    Current permitting processes and challenges for new mine

    Current permitting processes and challenges for new mine
    Current permitting processes and challenges for new mines from Dentons …
Rank this Week: 3552

Startup Law Blog

Startup Law Blog

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

http://www.startuplawblog.com/
  • Aug 27

    Startup Public Policy with Congressman Adam Smith

    Startup Public Policy with Congressman Adam Smith
    Congressman Adam Smith (D-WA) will be joining us to discuss some of the very exciting state and federal public policy issues being bandied about both in Olympia and on Capital Hill in Washington D.C. A skilled lawyer and a…
  • Aug 22

    Crowdlending for Businesse

    Crowdlending for Businesse
    By Tabitha Creighton Finding capital for a startup can be as tough as any other part business and sometimes emotionally draining, since everyone seems to have an opinion on your concept. Borrowing money from a bank can be just as ……
  • Aug 16

    Intrastate Crowdfunding and the 499 Shareholder Problem

    Intrastate Crowdfunding and the 499 Shareholder Problem
    In prior posts I have lamented the problems with the federal crowdfunding law.  The SEC is still behind on finalizing rules implementing the crowdfunding provisions of the JOBS Act. In the meantime, Washington State and a handful of…
Rank this Week: 1456

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
  • Aug 27

    Third Circuit Issues Cautionary Tale for Appellate Waiver

    Third Circuit Issues Cautionary Tale for Appellate Waiver
    As we’ve written about before, federal prosecutors generally require a waiver of certain appellate rights in connection with a plea deal.  Yesterday, the Third Circuit issued an opinion that explores what happens when a criminal…
  • Aug 18

    The Gov. Rick Perry Indictment: Another Weak Case that Shouldn’t Have Been Charged

    The Gov. Rick Perry Indictment: Another Weak Case that Shouldn’t Have Been Charged
    The news outlets exploded this weekend with commentary on the Gov. Rick Perry indictment, and the criticism was fast and swift to deem it a very weak case. On Friday, Perry was indicted on two felony counts that arose from … Continue…
  • Aug 14

    Federal Lawsuit Highlights Powerful Civil Forfeiture Tool

    Federal Lawsuit Highlights Powerful Civil Forfeiture Tool
    This post was co-authored by White Collar Alert contributor, Erin Dougherty. In a federal complaint filed on Monday, three Philadelphia homeowners whose homes have been targeted for state civil forfeiture have sued the city of Philadelphia,…
Rank this Week: 2208

The Securities Edge

The Securities Edge

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

http://www.thesecuritiesedge.com/
  • Aug 27

    The Shape of Things to Come in Corporate Governance

    The Shape of Things to Come in Corporate Governance
    Posted By: Robert B. Lamm Interest in corporate governance has increased exponentially over the last several years, as has shareholder and governmental pressure – often successful – for companies to change how they are…
  • Aug 18

    Bob Lamm joins The Securities Edge (and returns to Gunster)

    Bob Lamm joins The Securities Edge (and returns to Gunster)
    Posted By: David C. Scileppi The Securities Edge is excited to announce a new blogger to the fold: Bob Lamm!  After a 12-year “hiatus”, Bob has rejoined Gunster.   Bob is widely considered a national…
  • Aug 17

    Trying to save its own neck? ISS works to assure “data integrity”

    Trying to save its own neck? ISS works to assure “data integrity”
    Posted By: David C. Scileppi On Thursday, Institutional Shareholder Services Inc. (ISS) announced the launch of a new data verification portal to be used for equity-based compensation plans that U.S. companies submit for approval by their…
Rank this Week: 3281

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
  • Aug 26

    92-Year-Old Widow Lost Life Savings to UBS Puerto Rico

    92-Year-Old Widow Lost Life Savings to UBS Puerto Rico
    The UBS Puerto Rico bond fund crisis robbed many investors of their hard earned life savings. One of those victims was a 92-year-old widow who had entrusted her life savings to UBS. According to the claim recently filed against UBS for her…
  • Aug 25

    Puerto Rico Bonds Downgraded

    Puerto Rico Bonds Downgraded
    Moody's Investors Service recently cut its Puerto Rican bonds grade by three notches from B2 to Ba2. This leaves the bonds five notches below investment grade.
  • Aug 12

    How to file a UBS Puerto Rico fund lawsuit?

    How to file a UBS Puerto Rico fund lawsuit?
    Losing your life savings because of unsuitable investment advice by your financial advisor can leave you feeling helpless and wondering where to turn. You want answers and justice. A UBS Puerto Rico fund lawsuit may be able to give you both.…
Rank this Week: 1488

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/
  • Aug 26

    Indiana Broker, Lynn Simon, Pleads Guilty to Securities Fraud

    Indiana Broker, Lynn Simon, Pleads Guilty to Securities Fraud
    According to www.theindychannel.com, Indiana broker, Lynn A. Simon plead guilty to charges stemming from allegations that he defrauded investors of more than $1 million. The report said that law enforcement agents began investigating Simon…
  • Aug 25

    DBSI President Sentenced to Federal Prison

    DBSI President Sentenced to Federal Prison
    According to the Associated press, the president of DBSI, David Swenson, was sentence to 20 years in federal prison by District Judge B. Lynn Winmill. The company’s former legal counsel, Mark Ellison, was sentenced to five years.…
  • Aug 22

    TNP Attempts to Restructure Debt

    TNP Attempts to Restructure Debt
    Have you purchased investments with Thompson National Properties (TNP)? If so, the following information may be of value to you. According to InvestmentNews,Tony Thompson and his company are offering to exchange TNP notes for a new stock…
Rank this Week: 169

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: 952

Cady Bar the Door

Cady Bar the Door

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

http://www.secmiscellany.com
  • Aug 26

    Freedom to Retaliate against Foreign Whistleblowers May Not Be as Much Fun as It First Appear

    Freedom to Retaliate against Foreign Whistleblowers May Not Be as Much Fun as It First Appear
    What I’m about to say is grossly oversimplified, but here goes: The Dodd-Frank Act’s whistleblower provisions have two primary prongs.  The first says that an individual who voluntarily provides the SEC with original…
  • Aug 20

    Unregistered Brokers: Watch out for Shortcut

    Unregistered Brokers: Watch out for Shortcut
    One of the things I’ve learned since returning to private practice three years ago is that people like to raise money for profitable enterprises when they can.  And why not?  It can be lucrative.  And if the people…
  • Jul 28

    Guns and More Guns: SEC Hits Smith & Wesson for FCPA Violation

    Guns and More Guns: SEC Hits Smith &amp; Wesson for FCPA Violation
    One thing the SEC likes to do is bring cases with a lot of deterrent value.  That is, cases that it hopes will scare other people and companies into complying with the law.  Often that means cases with large price tags…
Rank this Week: 1504

North Carolina Business Litigation…

North Carolina Business Litigation Report

Reports on judicial decisions of significance to business and shareholders. By Mack Sperling of Brooks Pierce LLP.

http://www.ncbusinesslitigationreport.com/
Rank this Week: 1302

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: 2160

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/
  • Aug 26

    Record Number of FINRA Enforcement Cases Expected

    Record Number of FINRA Enforcement Cases Expected
    Last month we learned that FINRA Enforcement fines were up, and set to surpass last year's fines. If you need any more convincing that now is the time to insure that your policies and procedures are compliant, FINRA is saying that it is on…
  • Aug 25

    California-Based Telecommunications Equipment Firm and Two Former Executives Charged in Revenue Recognition Scheme

    California-Based Telecommunications Equipment Firm and Two Former Executives Charged in Revenue Recognition Scheme
    The SEC announced charges against a Newport Beach, Calif.-based telecommunications equipment company and two former executives accused of improperly recognizing as revenue more than a million dollars’ worth of inventory that was shipped…
  • Aug 25

    Bank of America Admits Disclosure Failures to Settle SEC Charge

    Bank of America Admits Disclosure Failures to Settle SEC Charge
    The SEC announced a settlement in which Bank of America admits that it failed to inform investors during the financial crisis about known uncertainties to future income from its exposure to repurchase claims on mortgage loans.Bank of America…
Rank this Week: 1172

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/
  • Aug 26

    HSR: FTC Levies $900k Fine for File Failure Over Incremental Note Conversion

    HSR: FTC Levies $900k Fine for File Failure Over Incremental Note Conversion
    Last week, the FTC fined Berkshire Hathaway in the amount of $896,000 to settle allegations for HSR file failures in connection with acquisitions of USG Corporation shares when it converted notes over time. The FTC alleged that Berkshire…
  • Aug 20

    M&A: Bankruptcy-Proofing a License

    M&amp;A: Bankruptcy-Proofing a License
    In this video, Jeff Bell of Morrison & Foerster uses an IP portfolio as an example when explaining how to make that acquisition more valuable by insuring financial stability and lowering the risk of insolvency.
  • Aug 19

    U.S. Mid Year Activism Review: Slow Start, Big Finish

    U.S. Mid Year Activism Review: Slow Start, Big Finish
    From ISS: The resurgence in proxy contest activism that began in 2012 appeared to have stalled by Q1 of 2014 when only two contested situations went to a shareholder vote, compared to eight in the first quarter of 2013. Both of these…
Rank this Week: 477

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/
  • Aug 25

    Merging? Making an acquisition? Be careful out there.

    Merging? Making an acquisition? Be careful out there.
    By Jetta Sandin and Jay Levine Almost 40 years ago, Congress passed the Hart-Scott-Rodino Antitrust Improvements Act of 1976 (the “HSR Act”). The HSR Act provided a mechanism pursuant to which partied to an acquisition of assets…
  • Jul 24

    SEC adopts money market fund reform

    SEC adopts money market fund reform
    By Robert J. Tannous On July 23, 2014, the Securities and Exchange Commission announced that it adopted amendments to the rules governing money market mutual funds. Read a copy of the final rules. These amendments complete some…
  • Jul 15

    Should entrepreneurs care about crowdfunding? It depends on the crowd.

    Should entrepreneurs care about crowdfunding? It depends on the crowd.
    By Jack J. Gravelle It has been more than two years since the JOBS Act was passed and almost nine months since the SEC proposed crowdfunding rules — but still no final rules. Should entrepreneurs care? Probably not. The proposed SEC…
Rank this Week: 569

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • Aug 25

    INDIVIDUAL MAY ACT AS SOLICITOR DESPITE SEC ADMINISTRATIVE ORDER

    INDIVIDUAL MAY ACT AS SOLICITOR DESPITE SEC ADMINISTRATIVE ORDER
    The SEC Division of Investment Management determined that a solictor may receive a fee for the soliciation of clients for registered investment advisers notwithstanding a Commission administrative order against her.  See Matter of…
  • Aug 22

    What are Knowledgeable Employees?

    What are Knowledgeable Employees?
    The SEC’s Division of Investment Management issued updated guidance regarding the definition of “knowledgeable employees” under Rule 3c-5 of the Investment Company Act of 1940.  See Managed Funds Ass’n, SEC…
  • Aug 21

    Cash Solicitations Allowed Despite Court Bar

    Cash Solicitations Allowed Despite Court Bar
    The SEC’s Division of Investment Management said it will not object if an investment adviser pays a cash fee for the solicitation of advisory clients, although a federal district court injunctive order precluded it.  RBS Sec. Inc.,…
Rank this Week: 1944

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: 3182

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • Aug 24

    The Travel Issue: Singapore (Second Edition)

    The Travel Issue: Singapore (Second Edition)
    The D&O Diary is on assignment in Asia this week, with the first stop in Singapore. I was very happy to be in Singapore this past week and not just because the Professional Liability Underwriting Society (PLUS) Regional Professional…
  • Aug 24

    The Travel Issue: Singapore (Second Edition)

    The Travel Issue: Singapore (Second Edition)
    The D&O Diary is on assignment in Asia this week, with the first stop in Singapore. I was very happy to be in Singapore this past week and not just because the Professional Liability Underwriting Society (PLUS) Regional Professional…
  • Aug 22

    Guest Post: The Director Risks Posed by a UK Subsidiary

    Guest Post: The Director Risks Posed by a UK Subsidiary
    Because I am based in the United States and because my experience has been concentrated in the U.S., my focus in this blog has primarily been on issues and developments in the U.S. — although I do enjoy the occasional opportunity to…
Rank this Week: 345

Business Law Post

Business Law Post

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

http://www.businesslawpost.com
  • Aug 22

    New Seed Financing Documents (500 Startups and Y Combinator)

    New Seed Financing Documents (500 Startups and Y Combinator)
    The startup industry keeps on coming up with new innovative solutions to seed financing.  The latest trend is convertible equity.  Two startup venture funds and incubators, 500 Startups and Y Combinator, recently released their…
  • Aug 22

    Unregistered IPOs of Bitcoin Companies Do Not Go Unnoticed By the SEC

    Unregistered IPOs of Bitcoin Companies Do Not Go Unnoticed By the SEC
    As I previously discussed in my blog here, the SEC does not have a mandate to regulate Bitcoin. Not unless it is used in a securities offering, especially in an unregistered initial public offering conducted over the Internet in violation of…
  • Aug 6

    Crowdfunding Right Now (Fund Model, Broker-Dealer Model, Lending Platforms and Intrastate Offerings)

    Crowdfunding Right Now (Fund Model, Broker-Dealer Model, Lending Platforms and Intrastate Offerings)
    We are still waiting for the SEC to issue final rules with respect to the Title III crowdfunding that will allow the U.S. companies to issue up to $1 million in securities to non-accredited investors through the online funding portals. So,…
Rank this Week: 2202

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Aug 21

    No Bright Line

    No Bright Line
    In its Morrison decision, the U.S. Supreme Court addressed the extraterritorial application of Section 10(b) and held that the statute only applies to "transactions in securities listed on our domestic exchanges, and domestic…
  • Aug 15

    Cornerstone Releases Midyear Report

    Cornerstone Releases Midyear Report
    Cornerstone Research (in conjunction with the Stanford Securities Class Action Clearinghouse) has released its 2014 midyear report on federal securities class action filings. The findings for the first half of 2014 include: (1) There were 78…
  • Jul 25

    Too Tangential

    Too Tangential
    In its recent Chadbourne decision, the U.S. Supreme Court held that to be "in connection with" the purchase or sale of a security, an alleged securities fraud must involve "victims who took, who tried to take, who divested…
Rank this Week: 1192

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/
  • Aug 21

    The #ALSIceBucketChallenge

    The #ALSIceBucketChallenge
    I was challenged to the ALS Ice Bucket Challenge last night by some family members, who I thought loved me. It's all good - and it's all for a good cause, to raise awareness, and funds, to help fight ALS....
  • Aug 21

    Investor Alert Roundup

    Investor Alert Roundup
    Some investor alerts have been in the news lately, including those recently issued, and those re-issued to warn folks of continuing threats or issues as seen by the regulators. Here's a few: FINRA Investor Alert: Viral Disease Stock Scams.…
  • Aug 8

    The Power of Connections: Finding Good Advisors for your Busine

    The Power of Connections: Finding Good Advisors for your Busine
    I had lunch today with a new friend who has recently left a career in the corporate world and started his own business. Though quite an experienced and knowledgeable guy, he's new to running his own business, and, while looking...
Rank this Week: 1095

Ponzitracker

Ponzitracker

Covers Ponzi schemes. By Jordan Maglich.

http://www.ponzitracker.com/
  • Aug 21

    Ponzi Schemes Remain Prevalent In 2014; Over $1 Billion In New Schemes Uncovered

    Ponzi Schemes Remain Prevalent In 2014; Over $1 Billion In New Schemes Uncovered
    Nearly six years after the word "Ponzi scheme" became a household name thanks to Bernard Madoff, Ponzi schemes continue to proliferate and leave a trail of financial destruction in their wake as demonstrated by newly-compiled data showing…
  • Aug 20

    Former Attorney Gets 10-Year Sentence For $4 Million Ponzi Scheme

    Former Attorney Gets 10-Year Sentence For $4 Million Ponzi Scheme
    A now-disbarred Minnesota attorney who swindled victims out of more than $4 million in an elaborate Ponzi scheme was sentenced to serve 10 years in federal prison.  Mark Holt, 45, received the sentence from U.S. District Judge Susan…
  • Aug 20

    California Men Sentenced For $5 Million Real Estate Ponzi Scheme

    California Men Sentenced For $5 Million Real Estate Ponzi Scheme
    Two California men will each serve at least a decade in prison for operating a real estate Ponzi scheme that duped victims out of nearly $5 million.  Terrance Brown, of San Jose, California, and Antranik Kabajouzian, of Morgan City,…
Rank this Week: 406

Strictly Business

Strictly Business

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

http://www.strictlybusinesslawblog.com/
  • Aug 19

    Venture Capital Term Sheet Negotiation — Part 13: Drag-Along Right

    Venture Capital Term Sheet Negotiation — Part 13: Drag-Along Right
    This post is the thirteenth in a series giving practical advice to startups with respect to understanding and negotiating a venture capital term sheet. In the prior twelve posts, we provided an introduction to negotiation of the…
  • Jul 7

    Venture Capital Term Sheet Negotiation — Part 12: Preemptive Right

    Venture Capital Term Sheet Negotiation — Part 12: Preemptive Right
    This post is the twelfth in a series giving practical advice to startups with respect to understanding and negotiating a venture capital term sheet. In the prior eleven posts, we provided an introduction to negotiation of…
  • Jun 30

    Is it time for the JOBS Act, Part Two?

    Is it time for the JOBS Act, Part Two?
    When the JOBS Act was passed, a lot of people hoped that it would de-regulate startup finance, resulting in a boom of new startups being funded.  Through repealing the ban on general solicitation, allowing online angel investment…
Rank this Week: 4741

Stock Attorneys Blog

Stock Attorneys Blog

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

http://www.stockattorneysblog.com/
  • Aug 18

    LPL Financial Fraught with Allegations of Supervisory Failure

    LPL Financial Fraught with Allegations of Supervisory Failure
    Advisor Independence Achilles Heel for Gigantic Investment Organization LPL Financial is one of the nation’s largest broker/dealer investment firms, yet it is not an investment firm in the traditional sense. Whereas most investment…
  • Aug 12

    Total Wealth Management Sanctions Kickback

    Total Wealth Management Sanctions Kickback
    Top Executives Foster Flagrant Fraud Practices It goes without saying that there is a lot of money to be made in the investment industry. Even when investment firms and advisors follow the rules that govern the industry, they stand to earn…
  • Aug 4

    U.S. Attorney’s Office Files Parallel Action in Response to Previous CFTC Fraud Charge

    U.S. Attorney’s Office Files Parallel Action in Response to Previous CFTC Fraud Charge
    The types of investments that one can invest in are nearly as diverse as the brokers who trade them and the investors who invest in them. One such investment practice is commodity futures pools. This type of investment is a private…
Rank this Week: 1233

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

http://www.seclawyersblog.com/
  • Aug 18

    FINRA Cautions Investors on Viral Disease Stock Scam

    FINRA Cautions Investors on Viral Disease Stock Scam
    FINRA recently issued an Investor Alert, "Viral Disease Stock Scams: Don't Let Them Infect Your Portfolio." In the Alert, FINRA warns that dramatic news stories viral outbreaks, such as Ebola and Middle Eastern Respiratory Syndrome ("MERS"),…
  • Aug 15

    Sonn|Erez Investigating Claims Involving Paul Gerard Chiampa

    Sonn|Erez Investigating Claims Involving Paul Gerard Chiampa
    Sonn|Erez is investigating claims regarding Paul Gerard Chiampa (CRD #1133609, East Longmeadow, Massachusetts). Chiampa recently entered into a Letter of Acceptance, Waiver, and Consent ("AWC") in which he was fined $7,500 and suspended from…
  • Jul 27

    SEC Approves FINRA Rule to Prohibit Conditioning Settlements on Expungement

    SEC Approves FINRA Rule to Prohibit Conditioning Settlements on Expungement
    The Securities and Exchange Commission recently approved the implementation of FINRa Rule 2081, which prohibits brokers from making settlements of customer disputes contingent on the claimant's agreement not to oppose expungement of the…
Rank this Week: 565

New York Securities Lawyers Blog

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

http://www.newyorksecuritieslawyersblog.com/
  • Aug 15

    Are Some Customers Paying Too Much In Fees? The SEC Cracks Down on Linkbroker

    Are Some Customers Paying Too Much In Fees? The SEC Cracks Down on Linkbroker
    "Is my stockbroker charging me too much in commissions and fees?" This is a common question many investors frequently have. Unfortunately, all too often, the answer to this question is "Yes." In fact, just yesterday, the SEC announced…
  • Aug 1

    Are We Coming Up On A "Sweet Spot" for SEC Whistleblowers?

    Are We Coming Up On A "Sweet Spot" for SEC Whistleblowers?
    In only three years, the Dodd-Frank whistleblower program, which promises cash rewards for those whose tips lead to a successful investigation by the SEC, has yielded more than 6,500 tips according to a recent article in the Wall Street…
  • May 9

    Bitcoin Update: Alerts and Guidance Issued by the SEC, FINRA and IRS

    Bitcoin Update: Alerts and Guidance Issued by the SEC, FINRA and IRS
    It's Buyer Beware, according to guidance and alerts issued recently by the SEC, FINRA and IRS concerning risks inherent in Bitcoin. Bitcoin is described by all three offices as a decentralized, peer-to-peer virtual currency that can be used…
Rank this Week: 1701

Tim O'Connor's Blog

Tim O'Connor's Blog

Covers stockbroker fraud.

http://stockbrokerlaw.com/tim-oconnors-blog
  • Aug 12

    ERISA Plan Trustees Subject to Offsets for Prohibited Transactions as Functional Fiduciarie

    ERISA Plan Trustees Subject to Offsets for Prohibited Transactions as Functional Fiduciarie
    ERISA-Qualified Pension Plans The past decade has seen an explosion of new investment products being purchased in ERISA-qualified pension plans. These products, including structured products, auction rate notes, private placements, managed…
  • Jul 31

    Tenants-in-Common Investments: An Accident Waiting to Happen

    Tenants-in-Common Investments: An Accident Waiting to Happen
    The most common form of tenancy-in-common interests involves ownership interests in real property, with two or more persons possessing undivided interests in the property. Section 1031 of the Internal Revenue Code codified permissible…
  • Jul 21

    New York State Deferred Compensation Plan Beneficiary Designation

    New York State Deferred Compensation Plan Beneficiary Designation
    The New York State Deferred Compensation Plan is presently administered through Nationwide, and curiously, beneficiary designation forms must be mailed to an address in Ohio, not New York State. The New York State Deferred Compensation Plan…
Rank this Week: 4428

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • Aug 12

    Does your Investment Adviser Firm Have a Social Media Policy?

    Does your Investment Adviser Firm Have a Social Media Policy?
    Social media such as Facebook, Twitter, LinkedIn, or blogs have become popular mechanisms for companies to communicate with the public. Social media allows companies to communicate with clients and prospective clients, market their services,…
  • Aug 1

    Who has the Right to Enforce Your Promissory Note?

    Who has the Right to Enforce Your Promissory Note?
    A customary practice in the securities industry is for financial advisors to receive a transition bonus above and beyond an advisor’s standard commission compensation upon joining to a new firm. The bonus amount is usually determined…
  • Jul 29

    Calculating Breach of Fiduciary Duty Damage

    Calculating Breach of Fiduciary Duty Damage
    According to a variety of authorities including the SEC, the much-debated fiduciary duty for registered investment advisers and their representatives includes a subset of responsibilities[1].  Common sense would, or should tell you that…
Rank this Week: 1794