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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 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…
  • Aug 29

    Michael Andre Jones Charged for Fraudulent Offering and Sales of Unregistered Securitie

    Michael Andre Jones Charged for Fraudulent Offering and Sales of Unregistered Securitie
    Going Public LawyerOn August 22, 2016 the Securities and Exchange Commission (“SEC”) announced that, on August 19, 2016, the SEC filed a settled civil action in U.S. District Court for the District of Columbia against…
Rank this Week: 107

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 31

    SEC’s Report Evaluates The Definition of An Accredited Investor

    SEC’s Report Evaluates The Definition of An Accredited Investor
    The U.S. Securities and Exchange Commission (SEC) has put out a report assessing the definition of who qualifies as an accredited investor. The 2010 Dodd-Frank Act mandates that this definition be reevaluated every four years. Accredited…
  • Dec 29

    Wells Fargo Sued by Commerz Bank in Mortgage-Backed Securities Case

    Wells Fargo Sued by Commerz Bank in Mortgage-Backed Securities Case
    Commerzbank is suing Wells Fargo (WFC) for losses sustained on failed mortgage-backed securities (MBS). The German finance firm claims the California lending giant did not properly supervise MBS during the housing bubble, which Commerzbank…
  • Aug 19

    Tax Whistleblowers Are Entitled to Award When There Are Civil Forfeitures and Criminal Fines, Rules Court

    Tax Whistleblowers Are Entitled to Award When There Are Civil Forfeitures and Criminal Fines, Rules Court
    The U.S. Tax Court has ruled that tax whistleblowers are entitled to a reward when criminal fines and penalties are collected. The ruling in this particular case found that two whistleblowers had a right to receive a $17.7M reward in the…
Rank this Week: 779

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…
  • Aug 22

    Two Investors File Securities Arbitration Claim Against Santander Securities Over Puerto Rico Municipal Bond

    Two Investors File Securities Arbitration Claim Against Santander Securities Over Puerto Rico Municipal Bond
    Two investors, seeking to recover the investment losses they sustained in Puerto Rico municipal bonds, are pursuing a FINRA arbitration claim against Santander Securities LLC. According to the case, the Puerto Rican investors are claiming…
Rank this Week: 379

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Aug 30

    No SOX shield for ex-CEO complaining about disclosures he certified

    No SOX shield for ex-CEO complaining about disclosures he certified
    By Anne Sherry, J.D.The ousted founder and CEO of Orion Energy failed to persuade the Eastern District of Wisconsin that he was fired for blowing the whistle on disclosure shortcomings. The plaintiff unsuccessfully attempted to characterize…
  • Aug 29

    GAO examines conflict minerals reports, cites Commerce’s failure to fulfill Dodd-Frank responsibilitie

    GAO examines conflict minerals reports, cites Commerce’s failure to fulfill Dodd-Frank responsibilitie
    By Jacquelyn LumbThe Government Accountability Office, in its annual report to Congress on the effectiveness of the SEC’s conflict minerals rules, found that companies continue to experience difficulties in fulfilling their disclosure…
  • Aug 26

    California leads: Public pension funds must disclose private equity fee

    California leads: Public pension funds must disclose private equity fee
    By Jay Fishman, J.D. California, by passing a bill, has taken the lead on requiring all public pension funds to publicly disclose the various fees paid to private equity managers on Wall Street. Assemblyman Ken Cooley’s AB 2833,…
Rank this Week: 208

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 30

    Vesting Your Way Into HSR Violation

    Vesting Your Way Into HSR Violation
    Here’s a memo from Schulte Roth that provides a reminder that you don’t actually have to purchase stock to run afoul of HSR’s notification and waiting period requirements: On Aug. 10, 2016, Caledonia…
  • Aug 29

    Transcript: “How to Apply Legal Project Management to Deals”

    Transcript: “How to Apply Legal Project Management to Deals”
    We have posted the transcript for our recent webcast: “How to Apply Legal Project Management to Deals.” – John Jenkin
  • Aug 25

    Disclosure-Only Settlements: Mootness Fee

    Disclosure-Only Settlements: Mootness Fee
    Here’s news from this alert from Cleary Gottlieb: As a result of courts’ continued disfavor of disclosure-only settlements, more defendants have decided to issue supplemental disclosures that would unilaterally moot any disclosure…
Rank this Week: 264

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Aug 30

    Books & Records: “Chutzpah Strategy” a Winner in Delaware

    Books & Records: “Chutzpah Strategy” a Winner in Delaware
    This comes from Delaware Vice Chancellor Glasscock’s opinion in Pogue v. Hybrid Energy, a books & records case.  Here’s the setting: The Plaintiff was an employee of the Defendant Hybrid Energy. He alleges…
  • Aug 29

    BRT’s Updated Governance Principles: What’s Good for the Goose…

    BRT’s Updated Governance Principles: What’s Good for the Goose…
    The Business Roundtable recently updated its “Corporate Governance Principles” for the first time since 2012.  The updates focus on encouraging more shareholder engagement, boardroom diversity, and…
  • Aug 26

    Disclosure Effectiveness: Item 400 Series “Proposal”

    Disclosure Effectiveness: Item 400 Series “Proposal”
    Yesterday, as the latest in Corp Fin’s disclosure effectiveness project, the SEC posted an 8-page “request for comment” on the disclosure requirements in Subpart 400 of Regulation S-K. The scant press release named three…
Rank this Week: 364

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 30

    Nevada Corporations And Virtual Stockholder Meeting

    Nevada Corporations And Virtual Stockholder Meeting
    Companies typically cite cost savings and ease of access as the motivation for holding virtual stockholder meetings.  Andy D. Bryant, Chairman of the Board of Intel Corporation, for example, provided the following rationale in the…
  • Aug 29

    Agreement To Arbitrate “Any Disputes” Doesn’t Reach Derivative Claim

    Agreement To Arbitrate “Any Disputes” Doesn’t Reach Derivative Claim
    Corn v. Superior Court, 2016 Cal. App. Unpub. LEXIS 6182 (Cal. App. 2d Dist. Aug. 22, 2016) is a case about the meaning of one sentence in a settlement agreement consisting of just seven words – “The Parties…
  • Aug 26

    Three Considerations For Drafting A Code of Business Conduct

    Three Considerations For Drafting A Code of Business Conduct
    Although the Securities and Exchange Commission does not require that a company adopt a code of business conduct and ethics, I would be very surprised to hear of an SEC reporting company that has not adopted such a code.  Item 406…
Rank this Week: 570

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

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

    Featured Broker: David Capin (Raymond James)

    Featured Broker: David Capin (Raymond James)
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on August 16, 2016 indicate that Pennsylvania-based Raymond James broker/adviser David Capin has been the subject of customer complaints. The…
  • Aug 29

    Nigel James Has Settled Complaint

    Nigel James Has Settled Complaint
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 16, 2016 indicate that New York-based Joseph Stone Capital broker Nigel James has been the subject of customer complaints. The securities and…
  • Aug 29

    Evan Fishman (UBS) Has Regulatory Sanction

    Evan Fishman (UBS) Has Regulatory Sanction
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on August 16, 2016 indicate that Georgia-based UBS Financial Services broker/adviser Evan Fishman has received customer complaints. The securities and…
Rank this Week: 145

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 29

    SEC Adopts Amendments Providing Authorities Access to Data Obtained by Security-Based Swap Data Repositorie

    SEC Adopts Amendments Providing Authorities Access to Data Obtained by Security-Based Swap Data Repositorie
    The Securities and Exchange Commission today adopted amendments to a rule that would require security-based swap data repositories to make data available to regulators and other authorities, allowing them to share information and more…
  • Aug 29

    Next Insider Trading Case? Bresch Dumped Mylan Shares Before EpiPen Scandal

    Next Insider Trading Case? Bresch Dumped Mylan Shares Before EpiPen Scandal
    Rawstory (let's keep the source in mind) is reporting that Heather Bresch, the CEO of Mylan and next Pharma Bro (Pharma Sis?) dumped more than 10 percent of her shares of the pharmaceutical company’s stock as analysts warned of…
  • Aug 29

    Candidates for FINRA Board Want Greater Focus on Regulatory Pain

    Candidates for FINRA Board Want Greater Focus on Regulatory Pain
    Four candidates for the small-firm seat on the board of governors of the Financial Industry Regulatory Authority Inc. want to make the broker-dealer regulator responsive to the compliance pain their sector is feeling.Candidates for Finra…
Rank this Week: 899

Securities Law Attorneys Blog

Securities Law Attorneys Blog

Covers securities law. By Fitapelli | Kurta.

http://www.securitieslawattorneys.net/
  • Aug 29

    Mark Farwell Terminated from LPL Financial

    Mark Farwell Terminated from LPL Financial
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 16, 2016 indicate that Illinois-based Independent Financial Group broker/adviser Mark Farwell has received customer complaints. The…
  • Aug 29

    James Lewis Has Five Customer Complaint

    James Lewis Has Five Customer Complaint
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 16, 2016 indicate that DC-based Merrill Lynch broker/adviser James Lewis has been the subject of several customer complaints. The securities…
  • Aug 29

    Edward Mirabella Has Pending Complaint of Unauthorized Trading

    Edward Mirabella Has Pending Complaint of Unauthorized Trading
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 16, 2016 indicate that former New Jersey-based National Securities broker Edward Mirabella is currently not licensed to act as a broker or an…
Rank this Week: 628

New York Securities Lawyers Blog

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

http://www.newyorksecuritieslawyersblog.com/
  • Aug 29

    BROKER REPORT: Financial Advisor Christopher B. Ariola

    BROKER REPORT: Financial Advisor Christopher B. Ariola
    The securities fraud attorneys at Malecki Law are interested in hearing from investors who have complaints against stockbroker Christopher B Ariola.  Mr. Ariola was last employed and registered with Financial Telesis, Inc., an Aliso…
  • Aug 26

    BROKER REPORT: Anthony Joslin

    BROKER REPORT: Anthony Joslin
    The investment and securities fraud attorneys at Malecki Law are interested in hearing from investors who have complaints regarding Garden State Securities financial advisor Anthony Joslin. According to his BrokerCheck report maintained by…
  • Aug 24

    Top Wealth Managers with Questionable Record

    Top Wealth Managers with Questionable Record
    Forbes recently published a list of America’s Top Wealth Advisors. This list is published annually and rates thousands of advisors based on asset under their management, revenue, experience, and compliance. The Malecki Law team noticed…
Rank this Week: 670

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

    CFP Board Opens Up New Mandatory Arbitration

    CFP Board Opens Up New Mandatory Arbitration
    From the Desk of Jim Eccleston at Eccleston Law LLC:In the beginning of this year, the CFP Board took away any CFPs’ rights to sue the Board in court and imposed a new mandatory arbitration policy. The new arbitration policy has caused…
  • Aug 26

    Adviser Barred from Industry and Ordered to Pay $4 million in Fine

    Adviser Barred from Industry and Ordered to Pay $4 million in Fine
    From the Desk of Jim Eccleston at Eccleston Law LLC:The Securities and Exchange Commission recently announced that it barred investment adviser Dawn J. Bennett of the Bennett Group from the securities industry for exaggerating her…
  • Aug 25

    Morgan Stanley to Pay Adviser $2.5M in a Defamation Claim

    Morgan Stanley to Pay Adviser $2.5M in a Defamation Claim
    From the Desk of Jim Eccleston at Eccleston Law LLC:An independent adviser named Dale Cerbert of The Villages, Florida was awarded $2.5 million by FINRA relating to a defamation claim he made against Morgan Stanley after his dismissal from…
Rank this Week: 123

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 29

    Investor Alert: IMS Securitie

    Investor Alert: IMS Securitie
    Have you suffered losses investing with IMS Securities? If so, the attorneys at The White Law Group may be able to help. According to FINRA,  IMS Securities Inc.,  is a small broker-dealer and is the target of…
  • Aug 26

    Investor Alert: Christopher Ariola

    Investor Alert: Christopher Ariola
    Have you suffered losses investing with Christopher Ariola, and Bay Mutual Financial? If so, the attorneys at The White Law Group may be able to help. According to FINRA, a complaint was recently filed…
  • Aug 25

    Investor Alert: JP Morgan Chase Pays $950,000

    Investor Alert: JP Morgan Chase Pays $950,000
    On July 27th, 2016, JP Morgan Securities (JPMS) and JP Morgan Chase Bank (JPMCB) entered into a Consent Agreement with the Indiana Securities Commission. JPMCP consented to the entry of the agreement that alleged they had engaged…
Rank this Week: 708

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • Aug 29

    Who wants to chair a FINRA arbitration

    Who wants to chair a FINRA arbitration
    Every time that I start a FINRA arbitration, I find myself having the same internal debate; did we pick the right person to serve as the arbitration chair. Unfortunately, you will not know the answer to that question until after your…
  • Aug 16

    Don’t argue; the client is always right even when they are not

    Don’t argue; the client is always right even when they are not
    Over the years that I have defended broker-dealers and investment advisors on customer-initiated claims, I have seen many things that would make any compliance officer cringe. One spine tingling (not in the good way) type of conduct is when…
  • Aug 16

    Don’t argue; the client is always right even when they are not

    Don’t argue; the client is always right even when they are not
    Over the years that I have defended broker-dealers and investment advisors on customer-initiated claims, I have seen many things that would make any compliance officer cringe. One spine tingling (not in the good way) type of conduct is when…
Rank this Week: 3780

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: 572

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 26

    SEC Attacks Standard Severance Agreements–Companies Would be Well Advised to Take Notice and Adjust Accordingly

    SEC Attacks Standard Severance Agreements–Companies Would be Well Advised to Take Notice and Adjust Accordingly
    Posted By: Contributing Author We are pleased to provide a posting from our colleague, Holly L. Griffin, an attorney in Gunster’s Labor and Employment practice group. Within the course of one week, the SEC took administrative action…
  • Aug 2

    Moving Rapidly into the 90

    Moving Rapidly into the 90
    Posted By: Robert B. Lamm If you’ve been reading our posts (and probably even if you haven’t), you should know by now that the SEC has launched a “disclosure effectiveness” initiative and has already taken actions to…
  • Jul 25

    Top Five Considerations in a Challenging IPO Market

    Top Five Considerations in a Challenging IPO Market
    Posted By: Robert B. Lamm This posting is a reprint of an article, co-authored by Bob Lamm and David Scileppi, that appeared in the Daily Business Review on July 15, 2016.     Recent months have been difficult for the initial…
Rank this Week: 3679

Subject to Inquiry

Subject to Inquiry

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

http://www.subjecttoinquiry.com/
  • Aug 25

    SEC Takes Aim at Settlement Agreements that Waive Whistleblower Award

    SEC Takes Aim at Settlement Agreements that Waive Whistleblower Award
    Over the past two weeks, the Securities and Exchange Commission (SEC) further elevated its already robust whistleblower protection efforts. Its most recent enforcement activity takes aim at employee severance agreements that purport to limit…
  • Aug 23

    CFPB’s Proposed Arbitration Rule Prompts Thousands of Comment

    CFPB’s Proposed Arbitration Rule Prompts Thousands of Comment
    The comment period for the Consumer Financial Protection Bureau (CFPB)’s proposed arbitration rulemaking ended on Monday, and the Bureau received nearly 11,000 comments both strongly supporting and opposing the proposed rule.  As…
  • Aug 9

    CFPB Proposes Multiple Changes to TRID “Know Before You Owe” Rule

    CFPB Proposes Multiple Changes to TRID “Know Before You Owe” Rule
    The Consumer Financial Protection Bureau (“CFPB”) recently issued 293 pages of proposed changes (the “Amendments”) to the federal mortgage disclosure requirements it propounded in October 2015 commonly known as the…
Rank this Week: 1579

Business Law Post

Business Law Post

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

http://www.businesslawpost.com
  • Aug 25

    Regulation Crowdfunding: Are You the Right Candidate for It?

    Regulation Crowdfunding: Are You the Right Candidate for It?
    As you all probably already know, in 2015 the Securities and Exchange Commission (or the SEC) adopted Regulation Crowdfunding to implement Title III of the Jumpstart Our Business Startups (JOBS) Act.  The Regulation Crowdfunding (or…
  • Mar 8

    Electronic Signatures: OK to Use?

    Electronic Signatures: OK to Use?
    This blog post focuses on the use and validity of electronic signatures. We will first investigate what constitutes an "electronic signature", we will then discuss the validity and enforceability of electronic signatures, and finally, we will…
  • Feb 24

    Winter 2016: raising funds may become more difficult for some startup

    Winter 2016: raising funds may become more difficult for some startup
    I attended several VC events in New York City recently, including Ask a VC forum on February 4, organized by DLA Piper, and the VC Summit on January 26, organized by Gotham Media.  I learned some interesting insights, which may be useful…
Rank this Week: 4722

Footnoted

Footnoted

Reports on actionable information in SEC filings.

http://www.footnoted.com/
  • Aug 25

    More guessing at Barnes & Noble

    More guessing at Barnes & Noble
    Barnes & Noble is at it again: leaving investors to guess what kind of severance its most recent CEO will wind up getting.
  • Aug 2

    A year too late for Barnes & Noble

    A year too late for Barnes & Noble
    In its proxy, Barnes & Noble disclosed for the first time that former CEO Michael Huseby received $15.7 million in severance.
  • May 17

    LendingClub tries to buck up its troops!

    LendingClub tries to buck up its troops!
    LendingClub, which has been struggling, managed to give its top executives and directors hefty raises this week.
Rank this Week: 1948

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: 311

Tim O'Connor's Blog

Tim O'Connor's Blog

Covers stockbroker fraud.

http://stockbrokerlaw.com/tim-oconnors-blog
  • Aug 23

    The SEC Announces Operation Invest Wisely to Educate Military Personnel and Their Familie

    The SEC Announces Operation Invest Wisely to Educate Military Personnel and Their Familie
    The SEC has announced in its Investing Basics series, the U.S. Securities and Exchange Commission has announced Operation Invest Wisely to promote investing education and resources for military service members and their families. Too often,…
  • Aug 15

    Prudential Annuities Distributors, Inc. Fined by FINRA for Failing to Detect Variable Annuity Scheme

    Prudential Annuities Distributors, Inc. Fined by FINRA for Failing to Detect Variable Annuity Scheme
    In a Press Release dated Tuesday, July 19, 2016, the Financial Industry Regulatory Authority (FINRA) announced a finding against Prudential Annuities Distributors, Inc. for failing to detect forged variable annuity withdrawal requests from a…
  • Aug 11

    Merrill Lynch Fined for Disclosure Failures on Note

    Merrill Lynch Fined for Disclosure Failures on Note
    The SEC and Financial Industry Regulatory Authority (FINRA) announced an assessment of a $5,000,000 fine against Merrill Lynch for misleading information relating to its strategic return notes. Merrill Lynch sold over $168,000,000 worth of…
Rank this Week: 1556

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: 1361

SEC Whistleblower Lawyer Blog

SEC Whistleblower Lawyer Blog

Covers securities law. By Silver Law Group & The Law Firm of David R. Chase, P.A.

http://www.secwhistleblowerlawyers.net/
Rank this Week: 2209

Oil & Gas Investment Fraud Lawyer…

Oil & Gas Investment Fraud Lawyer Blog

Covers securities issues with a focus on oil & gas investment fraud. By Silver Law Group, The Law Firm of David R. Chase, P.A., and Ciklin Lubitz & O'Connell.

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

    Securities Arbitration Claims on the Rise After a Jump in Default in Oil and Gas Bond

    Securities Arbitration Claims on the Rise After a Jump in Default in Oil and Gas Bond
    Recent articles and reports reveal 90 companies with over $66.5 billion in total debt have defaulted on bonds issued to investors just like you. Some of these companies include well-known companies such as Linn Energy, Linn Co., Alpha Natural…
  • Aug 17

    Leveraged Oil and Gas ETFs: Conservative Investors Beware!

    Leveraged Oil and Gas ETFs: Conservative Investors Beware!
    As most individual investors now understand, oil and gas securities, including common stock, bonds and master limited partnerships (MLPs), can be extremely volatile, high-risk and lead to substantial losses.  Over the last few…
  • Aug 16

    In the Past 20 Months, 90 Bankruptcies for North American Oil and Gas Companie

    In the Past 20 Months, 90 Bankruptcies for North American Oil and Gas Companie
    A report published by the law firm Haynes and Boone on August 1, 2016 found that 90 gas and oil producers in the United States and Canada have filed bankruptcy from January 3, 2015 to August 1, 2016.  Over half of the bankruptcies have…
Rank this Week: 2078

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Aug 19

    A More Sober Approach

    A More Sober Approach
    The author of The 10b-5 Daily has a guest post on Forbes concerning the use of confidential witnesses in securities class actions.  Please give it a read.
  • Jul 6

    Scienter Samba

    Scienter Samba
    The Sixth Circuit continues to be a source of interesting opinions regarding corporate scienter.  In 2014, the court held in its Omnicare decision that only a limited set of corporate officers (including officers who had either…
  • May 25

    Shaky Ground

    Shaky Ground
    In Halliburton II, the U.S. Supreme Court held that defendants can rebut the fraud-on-the-market presumption of reliance at the class certification stage with evidence of a lack of stock price impact.  In a typical case, where the…
Rank this Week: 1601

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 19

    Rights offering amendments for TSXV issuer

    Rights offering amendments for TSXV issuer
    Amendments to TSX Venture Exchange (TSXV) Policy 4.5 – Rights Offerings are now in effect reflecting guidance released by the TSXV earlier this year following the adoption by the Canadian Securities Administrators (the CSA) of…
  • Aug 19

    T+2 settlement prompts proposed amendments to NI 24-101 and publication of consultation paper

    T+2 settlement prompts proposed amendments to NI 24-101 and publication of consultation paper
    The migration to a standard T+2 settlement cycle on September 5, 2017 is part of the impetus for amendments proposed by the Canadian Securities Administrators (CSA) to National Instrument 24-101 Institutional Trade Matching and Settlement (NI…
  • Aug 16

    Common Reporting Standard legislative proposals published in Canada

    Common Reporting Standard legislative proposals published in Canada
    Roanne C. Bratz - On July 29, 2016, the Department of Finance Canada released for public comment a package of draft legislative proposals and explanatory notes relating to a number of measures announced in the 2016 federal budget, which…
Rank this Week: 1363

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 18

    The Gilligan's Island Iliad Odyssey of a FINRA Customer Arbitration

    The Gilligan's Island Iliad Odyssey of a FINRA Customer Arbitration
    Sit down next to me on the bench. Grab that oar. Pull. Pull again. Keep pulling as we join the forces leaving Greece for Troy. I'm thinking that we should be back by the end of the week. No way this is going to take much longer than that to…
  • Aug 18

    Feds Charge Alt-Fuel, All Electric Company Simply Old Fashioned Hot Air Stock Scam

    Feds Charge Alt-Fuel, All Electric Company Simply Old Fashioned Hot Air Stock Scam
    Consider this bit of recent history "StarPoint USA and Niyato Industries Enter Into Exclusive Vehicle Distribution Agreement" (Nasdaq Globe Newswire, June 6, 2012), where we learn, in pertinent part: StarPoint USA, Inc. announced today that…
  • Aug 18

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
    Compliance Is a Sentence, Not a WordBy Elisabeth Miller, Managing Partner, Milava ConsultingFor many the word "compliance" represents the practice of following rules. These rules are generated externally and come as edicts from a monolithic…
Rank this Week: 1023

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 17

    Legal Considerations for Selling an Emerging Growth Company Part 1: The M&A Proce

    Legal Considerations for Selling an Emerging Growth Company Part 1: The M&A Proce
    Everyone knows that a primary goal for many, if not most, startups and tech companies is to eventually sell the company, even if the founders intend to remain with the company. It goes without saying that selling your company can result in an…
  • Jul 12

    The Pros and Cons of Taking Venture Capital Money

    The Pros and Cons of Taking Venture Capital Money
    In many ways, the dilemma of deciding whether to take venture capital money from an interested VC firm can be filed under “Good Problems to Have.” The majority of startups never get to this point, either failing outright, or, even…
  • Jun 14

    5 Questions to Answer As You Prepare Your Startup for a Seed or Angel Round

    5 Questions to Answer As You Prepare Your Startup for a Seed or Angel Round
    Last month I wrote about the four stages of startup capital – (1) seed rounds, (2) angel rounds, (3) venture rounds, and (4) bridge/pre-ipo stage rounds. This month we’ll take a look at what startups need to do to prepare…
Rank this Week: 3099

Business Blog

Business Blog

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

http://www.businesslawnews.com/
  • Aug 17

    Are Employee Breaks Mandated by New Jersey Law?

    Are Employee Breaks Mandated by New Jersey Law?
    Are you required to provide employee breaks? Both employers and employees alike are often surprised to learn that federal employment laws do not require employers to set specific intervals or even make time for employees to take work breaks…
  • Aug 2

    SEC Adopts New Rules for Administrative Proceeding

    SEC Adopts New Rules for Administrative Proceeding
    What You Need to Know about the SEC’s New Rules for Administrative Proceedings The Securities and Exchange Commission (SEC) recently adopted several amendments to its rules of practice governing administrative proceedings. According to…
  • Jul 26

    OSHA Fines Will Soon Become Very Costly

    OSHA Fines Will Soon Become Very Costly
    Fines assessed by Occupational Safety and Health Administration (OSHA) will increase significantly next month. OSHA is one of several government agencies that must increase its civil monetary penalties pursuant to the Federal Civil Penalties…
Rank this Week: 3920

Corporate Securities Law Blog

Corporate Securities Law Blog

Focuses on complliance, corporate governance, disclosure, mergers and tax issues. By Sheppard Mullin.

http://www.corporatesecuritieslawblog.com/
Rank this Week: 377

New York Securities Lawyer Blog

New York Securities Lawyer Blog

Covers securities law. By Lax & Neville LLP.

http://www.newyorksecuritieslawyerblog.com/
Rank this Week: 2008

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
  • Aug 11

    FINRA Targets Business Development Companies (BDCs)

    FINRA Targets Business Development Companies (BDCs)
    The Financial Industry Regulatory Authority (“FINRA”) has launched an examination sweep of non-traded business development companies (“BDCs”), the latest alternative investment product to receive increased scrutiny…
  • Jun 28

    Merrill Lynch Market-Linked Notes: Investor Beware?

    Merrill Lynch Market-Linked Notes: Investor Beware?
    Merrill Lynch underwrites, manages and markets the sale of Market-Linked Notes issued by its parent company, Bank of America Corporation, and numerous other unaffiliated banks. Market-Linked Notes were purportedly recommended by Merrill Lynch…
  • Jun 22

    SEC Places Merrill Lynch in its Crosshairs over Sales of Structured Note

    SEC Places Merrill Lynch in its Crosshairs over Sales of Structured Note
    A recent article in The Wall Street Journal (“SEC Readies Case Against Merrill Lynch Over Notes That Lost 95%”) stated that the Securities and Exchange Commission is preparing a civil enforcement case against Merrill Lynch over a…
Rank this Week: 1378

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
  • Aug 4

    FINRA Recently Reminds Firms of Clients’, Associated Persons’ Right to Arbitrate

    FINRA Recently Reminds Firms of Clients’, Associated Persons’ Right to Arbitrate
    In a recently published Regulatory Notice (FINRA Regulatory Notice 16-25), FINRA sought to remind customers, as well as associated persons, of their right to arbitrate within the FINRA forum “at any time.”  In short, FINRA…
  • May 16

    Credit Suisse Deferred Compensation Claim

    Credit Suisse Deferred Compensation Claim
    Amato Law Firm, LLC is investigating claims against Credit Suisse (CS) on behalf of its former U.S.-based advisers who have transitioned to firms other than Wells Fargo Advisors.  As recently reported in On Wall Street, more than…
  • Feb 24

    United Development Funding Investment Losse

    United Development Funding Investment Losse
    The securities law firm of Amato Law Firm, LLC is investigating potential securities law claims involving United Development Funding (UDF) and its real estate investment trusts (REITs) including United Development Funding IV (UDF IV), a…
Rank this Week: 1090

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Aug 2

    The Difference Between Arbitration and Mediation in a Divorce

    The Difference Between Arbitration and Mediation in a Divorce
    GUEST POST By Steven Madel As you already know, it can get ugly fast during a divorce. Or, on occasion, the married couple holds no animosity toward one another and is ready to split amicably. Depending on your particular situation, you may…
  • Jul 30

    Customers File Complaints Against Meyers Associates Broker Matthew Silato

    Customers File Complaints Against Meyers Associates Broker Matthew Silato
    The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Matthew Silato (Silato).  According to BrokerCheck records there are at least…
  • Jul 26

    Broker Investigation: Meyers Associates Advisor Craig Langweiler

    Broker Investigation: Meyers Associates Advisor Craig Langweiler
    The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Craig Langweiler (Langweiler).  According to BrokerCheck records there are at…
Rank this Week: 429

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • Jul 29

    A SHOT ACROSS THE BOW OF ROBO-ADVISERS

    A SHOT ACROSS THE BOW OF ROBO-ADVISERS
    The Massachusetts Securities Division – one of the most active and sophisticated in the nation – recently issued a Policy Statement “to provide its state-registered investment advisers who establish concurrent or…
  • Jul 29

    A SHOT ACROSS THE BOW OF ROBO-ADVISERS

    A SHOT ACROSS THE BOW OF ROBO-ADVISERS
    The Massachusetts Securities Division – one of the most active and sophisticated in the nation – recently issued a Policy Statement “to provide its state-registered investment advisers who establish concurrent or…
  • Jul 19

    84 Year Old Takes on Edward Jones for Unauthorized Trading

    84 Year Old Takes on Edward Jones for Unauthorized Trading
    An elderly St. Louis man has filed a FINRA arbitration claim against Edward Jones and one of its financial advisers. The elderly client alleges that the financial adviser over-rode his objections to liquidating over a thousand shares of…
Rank this Week: 1123

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/
  • Jul 27

    Equity Compensation: Not Just for CEOs Anymore

    Equity Compensation: Not Just for CEOs Anymore
    Equity compensation, also known as a stock award, is a form of non-cash compensation that represents ownership in a company.  If the company does well and the value of its stock goes up, the future value of the stock award could be…
  • Jul 27

    Equity Compensation: Not Just for CEOs Anymore

    Equity Compensation: Not Just for CEOs Anymore
    Equity compensation, also known as a stock award, is a form of non-cash compensation that represents ownership in a company.  If the company does well and the value of its stock goes up, the future value of the stock award could be…
  • Jul 8

    Broker Obligations When Selling Municipal Bond

    Broker Obligations When Selling Municipal Bond
    Many brokers and customers mistakenly believe that municipal bonds are always a “safe” place to be.  The recent debacle in Puerto Rico proves this is not the case. The law imposes special obligations upon brokers who sell…
Rank this Week: 383

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
  • Jul 18

    Prosecutorial Discretion under the CFAA Gets More Discretionary: US v. Nosal

    Prosecutorial Discretion under the CFAA Gets More Discretionary: US v. Nosal
    This guest post was authored by our colleague Jeremy D. Mishkin, partner and co-chair of the Litigation Department of Montgomery McCracken.  The Computer Fraud and Abuse Act, 18 U.S.C. § 1030 (“CFAA”), has become…
  • Jun 29

    VW Clears the Air with $14.7B Emissions Settlement

    VW Clears the Air with $14.7B Emissions Settlement
    This guest post was authored by Mara Smith, a summer associate with Montgomery McCracken. This Tuesday, Volkswagen agreed to pay the largest auto-related class action settlement in U.S. history, totaling $14.7 billion. The settlement was…
  • Jun 24

    Yuengling to Settle Up on Expensive Tab after Feds Discover Excessive Suds Byproducts in Water

    Yuengling to Settle Up on Expensive Tab after Feds Discover Excessive Suds Byproducts in Water
    Someone at local D.G. Yuengling and Son, Inc. could probably go for a cold one right now, as settlement negotiations with the U.S. Environmental Protection Agency (“USEPA”) have finally come to a head.   In a consent…
Rank this Week: 2260

Stock Market Loss

Stock Market Loss

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

http://www.stockmarketloss.com/news/
  • Jul 14

    Using Common Sense Can Keep You Safe From a Ponzi Scheme

    Using Common Sense Can Keep You Safe From a Ponzi Scheme
    This article was originally posted on Stock Market Loss Put as simply as possible, a Ponzi scheme is an investment fraud in which funds contributed by new investors are used to pay purported “returns” or “profits” to…
  • Jun 29

    FINRA’s New Changes Don’t Address Transparency Issue

    FINRA’s New Changes Don’t Address Transparency Issue
    This article was originally posted on Stock Market Loss Although FINFA received 51 recommendations from a task force designed to improve the arbitration process, it recently announced only a few modest changes to the system. The number of…
  • Jun 29

    Hugh Berkson Calls for More Rules on Nontraded REIT

    Hugh Berkson Calls for More Rules on Nontraded REIT
    This article was originally posted on Stock Market Loss New FINRA rules regarding nontraded REITs have some advisors crying off this investment. The rule requires advisers to report the actual value of those investments – less…
Rank this Week: 3614

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/
  • Jun 23

    FINRA Takes a Closer Look at Variable Annuity Sale

    FINRA Takes a Closer Look at Variable Annuity Sale
    The things we spend our money on tend to change as we get older. There’s a good chance you have a lot more money in your pocket…
  • Jun 2

    Who is May Law?

    Who is May Law?
    Press play on the video below for an inside look into what sets May Law apart from other firms and why Andrew May feels so passionately about…
  • May 20

    The Evolution of Insider Trading

    The Evolution of Insider Trading
    In the world of finance, one of the most malleable legal terms is “insider trading.” It may seem obvious to financial experts, but many don’t fully appreciate…
Rank this Week: 2711

Cady Bar the Door

Cady Bar the Door

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

http://www.secmiscellany.com
  • Jun 15

    Supreme Court Says Prosecutors Can’t Judge the Cases They Prosecute

    Supreme Court Says Prosecutors Can’t Judge the Cases They Prosecute
    Not all of the justices would put it that way.  To be fair to the dissenters, and because his version is shorter, we’ll use Justice Thomas’s description of the underlying facts from his dissent in Williams v. Pennsylvania,…
  • Jun 13

    Don’t even think about violating that penny stock bar.

    Don’t even think about violating that penny stock bar.
    The penny stock world can be rough. So rough that breaking the rules in that corner of the securities markets ban bring its own kind of injunction, one that’s much more specific than the typical don’t-break-the-law-anymore kind of…
  • May 25

    The Insider Trading Cartoon Series, Vol. IX — Tender Offer

    The Insider Trading Cartoon Series, Vol. IX — Tender Offer
    I want to talk about Rule 14e-3, because it has significant implications for insider trading liability.  But to do that, we first have to talk about tender offers, and what they are.     The post The Insider Trading Cartoon…
Rank this Week: 3827

Securities Mining Law

Securities Mining Law

Covers securities law affecting the mining industry in Canada.

http://www.securitiesmininglaw.com/
  • Jun 9

    Compliance alert: Mine Financial Security, Reclamation and Closure Policy by Yukon Government

    Compliance alert: Mine Financial Security, Reclamation and Closure Policy by Yukon Government
    The Yukon Territorial Government has published a “Yukon Quartz Mine Financial Security, Reclamation and Closure Policy,” dated February 2016 (Policy). The Policy is intended to cover all lands in Yukon, whether Category…
  • May 20

    Insolvency and energy insights: The Redwater decision

    Insolvency and energy insights: The Redwater decision
    An Alberta court has held that provisions of the Bankruptcy and Insolvency Act allowing a trustee or receiver to disclaim real property without assuming environmental  liabilities in relation thereto renders inoperable provincial…
  • Apr 14

    Canadian Securities Administrators amend take-over bid rule

    Canadian Securities Administrators amend take-over bid rule
    Effective May 9, 2016, the Canadian Securities Administrators will implement new take-over bid rules that will introduce significant changes to bid mechanics, including lengthier minimum deposit periods.  For a description of the…
Rank this Week: 1158

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/
  • May 20

    SEC forces Mickelson to return $1 million from insider trading

    SEC forces Mickelson to return $1 million from insider trading
    PGA golfer Phil Mickelson agreed to forfeit almost $1 million that the Securities and Exchange Commission (SEC) said was obtained through insider trading. Mickelson was named as a “relief defendant” in a criminal case, filed in…
  • 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…
Rank this Week: 1226

Andrew Abramowitz, PLLC

Andrew Abramowitz, PLLC

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

http://aalegalnyc.com/blog/
  • May 18

    Title III Crowdfunding is Now Live

    Title III Crowdfunding is Now Live
    The effectiveness of Title III crowdfunding got the high-profile Sunday New York Times treatment this past weekend. I think it will take some time for the flow of these deals to come, as portals apply for and receive approval from the SEC and…
  • May 6

    Prince and the Consequences of Reflexive Distrust of Advisor

    Prince and the Consequences of Reflexive Distrust of Advisor
    As part of the extensive media coverage of Prince’s recent death, it’s been reported that Prince died without a will as a result of his distrust of lawyers. If true, it’s a pretty disastrous result from an estate…
  • Apr 27

    The SEC’s Discussion of Risk Factor

    The SEC’s Discussion of Risk Factor
    The SEC recently issued a long concept release seeking public comment on ways to modernize Regulation S-K, the set of disclosure requirements used both for Securities Act registration statements like Form S-1 and Exchange Act reports like…
Rank this Week: 2354

Wall Street Investment Fraud…

Wall Street Investment Fraud Lawyer Blog

Covers Ponzi schemes, investment fraud, and other scams. By The Doss Firm.

http://www.wallstreetinvestmentfraudlawyer.com/
  • May 10

    Attention Former Customers of Leavitt Freeman Sanders: You May Be Able To Recover Your Investment Losse

    Attention Former Customers of Leavitt Freeman Sanders: You May Be Able To Recover Your Investment Losse
    Our firm has already filed many individual lawsuits alleging, among other things, investment fraud against Leavitt Sanders and the firms that he traded through.  Those firms include Invest Financial, Triad Advisors, Capital Asset…
  • May 4

    Record Oil Industry Bankruptcies Take a Toll on Investor

    Record Oil Industry Bankruptcies Take a Toll on Investor
    Reuters reports that bankruptcies in the U.S. oil industry have reached record levels.  The number of bankrupt oil and gas companies is 59 and counting, and we are not even half-way through the wave of bankruptcy filings, according to a…
  • Mar 10

    Greenville Broker Claus Foerster Indicted in $2.8 Million Ponzi Scheme

    Greenville Broker Claus Foerster Indicted in $2.8 Million Ponzi Scheme
    A South Carolina grand jury has indicted a Greenville broker named Claus Foerster for defrauding his clients out of $2.8 million.  According to news reports, the indictments states that Foerster persuaded clients to invest in a…
Rank this Week: 1521

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
  • May 4

    Equity Crowdfunding for Your Residential Construction Busine

    Equity Crowdfunding for Your Residential Construction Busine
    By Alixe Cormick Canada currently has four real estate specific crowdfunding portals : Brix RCR, Open Avenue , R2Crowd, and NexusCrowd.  All of them are located in Ontario.  Canadians can expect other new equity and debt…
  • May 4

    Equity Crowdfunding for Your Residential Construction Busine

    Equity Crowdfunding for Your Residential Construction Busine
    By Alixe Cormick Canada currently has four real estate specific crowdfunding portals : Brix RCR, Open Avenue , R2Crowd, and NexusCrowd.  All of them are located in Ontario.  Canadians can expect other new equity and debt…
  • Mar 23

    Equity Crowdfunding Portal Update and Latest Presentation Slide Deck

    Equity Crowdfunding Portal Update and Latest Presentation Slide Deck
    By Alixe Cormick As of today’s date there are seventeen (17) equity crowdfunding portals active in Canada. There are also five (5) marketplace lending platforms aimed at small business. Canadians can expect other new equity and debt…
Rank this Week: 2235