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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…
  • Jan 23

    SEC Final Judgment Entered Against Graduate Leverage

    SEC Final Judgment Entered Against Graduate Leverage
    Going Public LawyerOn December 23, 2016, the United States District Court for the District of Massachusetts entered final judgments against Graduate Leverage, LLC, GL Capital Partners, LLC, GL Investment Services, LLC, Taft Financial…
Rank this Week: 751

Regulation tomorrow

Regulation tomorrow

By Norton Rose Fulbright. Offers resources on the global financial services regulatory environment. It reports on financial services regulatory developments and provides insights and commentary across Africa, Asia, Australia, Canada, Europe and the United States.

http://www.regulationtomorrow.com/
  • Apr 25

    More Presidential action on potential deregulation

    More Presidential action on potential deregulation
    On April 21, 2017, the White House issued an Executive Order and two Presidential Memoranda to the U.S. Secretary of the Treasury as part of the Trump Administration’s continuing efforts on deregulation: The Presidential Executive Order…
  • Apr 25

    Regulatory Compliance Consulting webinar and video serie

    Regulatory Compliance Consulting webinar and video serie
    Continued scrutiny by authorities, enforcement actions and complex regulatory developments are at the forefront of the challenges facing all financial services providers today. A robust, sustainable and risk based framework of controls is a…
  • Apr 25

    New MiFID II video

    New MiFID II video
    The following MiFID II videos have been published which look at different angles on investor protection: MiFID II – Buy-side topics; MiFID II – Institutional topics; and MiFID II – Sell-side topics.… Continue Reading
Rank this Week: 1531

Recover Investment Losses Blog

Recover Investment Losses Blog

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

http://blog.rexsecuritieslaw.com
  • Apr 25

    German Mora-Former Merrill Lynch Broker-Discloses Terminations From Employment-San Antonio, TX

    German Mora-Former Merrill Lynch Broker-Discloses Terminations From Employment-San Antonio, TX
    April 2017- San Antonio, Texas The FINRA records of  German Ricardo Mora ,  a  former Merrill Lynch stockbroker who is currently not registered discloses two recent terminations from employment. The…
  • Apr 25

    Three Arrested in Investment Scheme-San Antonio, TX

    Three Arrested in Investment Scheme-San Antonio, TX
    April 2017- San Antonio, TX The U.S. Attorney’s Office for the Western District of Texas announced the arrest of three men who face federal charges for their alleged  roles in an advanced fee investment scheme. Named in the…
  • Apr 24

    Willbanks Securities Ordered to Pay Customer Over $1M on Annuity Purchase

    Willbanks Securities Ordered to Pay Customer Over $1M on Annuity Purchase
    April 2017-Salt Lake City, UT An all public, three member FINRA arbitration panel ordered Wilbanks Securities to pay  a former customer compensatory damages of $536,720 together with a like amount of punitive damages, for a total award…
Rank this Week: 112

The White Law Group's Securities…

The White Law Group's Securities Fraud Blog

Covers securities fraud cases, investment fraud practices and securities industry regulations.

http://www.whitesecuritieslaw.com/securities-fraud/blog/
  • Apr 25

    FINRA Revises its Sanction Guidelines on Churning

    FINRA Revises its Sanction Guidelines on Churning
    FINRA Tightens Sanctions on Churning In April 2017, the Financial Industry Regulatory Authority announced that it had revised its sanction guidelines for violations of its rules. The revisions include changes relating to rule violations that…
  • Apr 25

    Corporate Property Associates 17 Global Inc. Investment Losse

    Corporate Property Associates 17 Global Inc. Investment Losse
    Recovery of Corporate Property Associates 17 Global Inc. Investment Losses Have you suffered investment losses in Corporate Property Associates 17 Global Inc.? If so, The White Law Group may be able to help you recover your losses through…
  • Apr 25

    Corporate Capital Trust Update

    Corporate Capital Trust Update
    Recovery of Investment Losses in Corporate Capital Trust Concerned about investment losses in Corporate Capital Trust? If so, The White Law Group may be able to help you recover your losses by filing a FINRA Arbitration claim…
Rank this Week: 229

Investment Fraud Information

Investment Fraud Information

By Andrew Stoltmann.

http://www.investmentfraudtimes.com/securities-fraud-attorneys/
  • Apr 25

    Update For Investors: Kevin Arnell Charged By SEC

    Update For Investors: Kevin Arnell Charged By SEC
    The Securities and Exchange Commission (SEC) charged Kevin Arnell with fraud yesterday. He was accused of diverting at least $1.95 million to his personal brokerage account from a fund over which he had trading authority. The complaint…
  • Apr 25

    US Bank Broker Takes $10K From Customer: What Investors Can Do to Sue

    US Bank Broker Takes $10K From Customer: What Investors Can Do to Sue
    The Financial Industry Regulatory Authority (FINRA) has suspended U.S. Bank broker Katherine Ann White for six months and fined her $10,000. White allegedly borrowed $10,000 from a 69 year-old customer. Loans from customers are prohibited at…
  • Apr 25

    How Do I Recover Losses With Walter Marino?

    How Do I Recover Losses With Walter Marino?
      According to a recent Disciplinary Proceeding with the Financial Industry Regulatory Authority (FINRA), Walter Marino was accused of recommending unsuitable replacements of non-qualified variable annuities to two customers without…
Rank this Week: 2631

Securities Law Attorneys Blog

Securities Law Attorneys Blog

Covers securities law. By Fitapelli | Kurta.

http://www.securitieslawattorneys.net/
  • Apr 25

    Bernard McGee Was Barred From Acting as a Broker

    Bernard McGee Was Barred From Acting as a Broker
    Public records published by the Financial Industry Regulatory Authority (FINRA) on April 18, 2017 indicate that former New York-based Independent Financial Group broker Bernard McGee has been sanctioned by FINRA and barred from acting as a…
  • Apr 25

    John Wheeler Was Issued a Six Month Suspension and a $20,000 Fine

    John Wheeler Was Issued a Six Month Suspension and a $20,000 Fine
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on April 20, 2017 indicate that former Florida-based Raymond James Financial Services broker/adviser John Wheeler has been sanctioned by FINRA and…
  • Apr 25

    Jeffrey Kluge Was Suspended From Acting as a Broker

    Jeffrey Kluge Was Suspended From Acting as a Broker
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on April 20, 2017 indicate that former Minnesota-based Merrill Lynch broker/adviser Jeffrey Kluge has been sanctioned by FINRA and suspended from…
Rank this Week: 258

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Apr 25

    Corrine Mittag: Discharged From a Former Employer

    Corrine Mittag: Discharged From a Former Employer
    Public records published by the Financial Industry Regulatory Authority (FINRA) on April 19, 2017 indicate that Nebraska-based Cor Clearing broker Corrine Mittag has been named in a pending FINRA complaint. Fitapelli Kurta is interested in…
  • Apr 25

    Aileen Eppig Was Barred From Acting as a Broker

    Aileen Eppig Was Barred From Acting as a Broker
    Public records published by the Financial Industry Regulatory Authority (FINRA) on April 19, 2017 indicate that former Florida-based International Assets Advisory broker Aileen Eppig has been sanctioned by FINRA and barred from acting as a…
  • Apr 25

    Christopher Wingader Has Received One FINRA Sanction

    Christopher Wingader Has Received One FINRA Sanction
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on April 18, 2017 indicate that former New York-based Merrill Lynch broker/adviser Christopher Wingader has been sanctioned by FINRA and barred from…
Rank this Week: 39

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Apr 25

    High court declines petition on jurisdiction to hear challenges to FINRA disciplinary action

    High court declines petition on jurisdiction to hear challenges to FINRA disciplinary action
    By Rodney F. Tonkovic, J.D.The Supreme Court has denied certiorari for a petition on the issue of a court’s jurisdiction over challenges to the statutory authority of a regulatory body. The petition, filed by a FINRA-registered…
  • Apr 24

    DOJ remains interested in prosecuting white collar crime

    DOJ remains interested in prosecuting white collar crime
    By Joanne Cursinella, J.D.Seeking to dispel the myth that the DOJ is no longer is interested in prosecuting white collar crime, Acting Principal Deputy Assistant Attorney General Trevor N. McFadden, speaking at the recent 19th Annual…
  • Apr 21

    Theranos shareholders’ blue sky claims partially pass the test

    Theranos shareholders’ blue sky claims partially pass the test
    By John M. Jascob, J.D., LL.M.Indirect purchasers of shares of troubled life sciences company Theranos, Inc. may proceed with certain of their fraud claims against the company and two executives under the California Corporations Code.…
Rank this Week: 2285

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Apr 25

    Survey Results: Rule 10b5-1 Plan Practice

    Survey Results: Rule 10b5-1 Plan Practice
    We have posted these survey results on Rule 10b5-1 plan practices: 1. Does your company require insiders to sell shares only pursuant to a Rule 10b5-1 trading plan? – Yes, insiders are required to use Rule 10b5-1 plans in order to sell…
  • Apr 24

    Shareholder Proposals: No-Action Letter Stat

    Shareholder Proposals: No-Action Letter Stat
    Here are stats about this year’s no-action letters for shareholder proposals, courtesy of this Bloomberg blog: – An increase in number of no-action letter requests: Over 220 requests were submitted – almost a 10% increase…
  • Apr 21

    Financial Choice Act 2.0: Discussion Draft & Hearing

    Financial Choice Act 2.0: Discussion Draft & Hearing
    We now have a 593-page discussion draft of the revised version of the “Financial Choice Act,” which Broc previewed a few days ago. Check out Steve Quinlivan’s summary of a couple key sections (also see this Cydney Posner…
Rank this Week: 287

DealLawyers.com Blog

DealLawyers.com Blog

Covers mergers & acquisitions. From editor Broc Romanek, who is also editor of TheCorporateCounsel.net.

http://www.deallawyers.com/Blog/
  • Apr 25

    Earnouts: Be Ambiguous, Get Sued. Be Explicit, Get Sued.

    Earnouts: Be Ambiguous, Get Sued. Be Explicit, Get Sued.
    Earnouts always seem like such a good idea at the time.  This K&E memo is a reminder of just what a post-closing mess they frequently turn out to be.  The memo looks at two recent Delaware cases – Chancellor…
  • Apr 24

    M&A Activity: 1st Quarter Report

    M&A Activity: 1st Quarter Report
    Mergermarket recently issued its Global and Regional M&A Report for the 1st quarter of 2017.  Here’s an excerpt with some of the highlights: – Global dealmaking so far has remained resilient in the face of an…
  • Apr 19

    Golden Parachutes: Voting Trend

    Golden Parachutes: Voting Trend
    Here’s an excerpt from this “Proxy Insights” article (pg. 6): Using data from Proxy Insight, it is possible to compare the policies of investors with their actual voting record. While investors typically oppose the priciple…
Rank this Week: 2286

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/
  • Apr 25

    Court Rules Indirect Purchaser Claims Against Theranos May Proceed

    Court Rules Indirect Purchaser Claims Against Theranos May Proceed
    Theranos’ anni horribilium began in October 2015 with the publication of a story by investigative reporter John Carreyrou at The Wall Street Journal.  Lawsuits and government investigations ensued.  Although the…
  • Apr 24

    Court of Appeal Defines Good Faith Defense Under The UFTA

    Court of Appeal Defines Good Faith Defense Under The UFTA
    In 2015, the California legislature refurbished the Uniform Fraudulent Transfer Act and rechristened it as the Uniform Voidable Transactions Act.  2015 Cal. Stats. Ch. 44 (SB 161 (Vidak)).  The UFTA has not left the stage entirely…
  • Apr 21

    Looking For A Deceased Celebrity’s Successor-In-Interest? The Secretary Of State Has An Answer

    Looking For A Deceased Celebrity’s Successor-In-Interest? The Secretary Of State Has An Answer
    The California Secretary of State’s office is the repository for a vast a disparate number of filings.  Few people, for example, may be aware that they may register with the Secretary of State’s office as a…
Rank this Week: 725

Securities Law Prof Blog

Securities Law Prof Blog

Covers securities arbitration, state securities law, court decisions and law review articles. By Eric C. Chaffee.

http://lawprofessors.typepad.com/securities/
  • Apr 24

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: Evelyn S. Anderson, Note, Wealth and Knowledge: Strengthening the Economy by Expanding the Qualified Purchaser "Sophisticated"…
  • Apr 24

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: Craig Boyd, Comment, Appraisal Arbitrage: Closing the Floodgates on Hedge Funds and Activist Shareholders, 65 U. Kan. L. Rev. 497 (2016).…
  • Apr 11

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: Ilya Beylin, A Reassessment of the Clearing Mandate: How the Clearing Mandate Affects Swap Trading Behavior and the Consequences for…
Rank this Week: 236

Classified: The Class Action Blog

Classified: The Class Action Blog

A blog focused on the latest class action developments and trends by the attorneys of Carlton Fields Jorden Burt.

http://classifiedclassaction.com/
  • Apr 24

    Saved By The Bellwether Trial in the Ninth Circuit

    Saved By The Bellwether Trial in the Ninth Circuit
    Removal under the “mass action” provision of the Class Action Fairness Act (CAFA) is appropriate when 100 or more plaintiffs take the affirmative step of proposing to try their claims jointly and the claims involve common issues…
  • Apr 18

    2017 Carlton Fields Class Action Survey Highlight

    2017 Carlton Fields Class Action Survey Highlight
    Carlton Fields recently released its sixth annual Class Action Survey, which is based on detailed interviews with general counsel and senior legal officers at 373 companies operating in more than 25 industries. Those individuals shared their…
  • Apr 14

    Class Representatives Do Not Hold Veto Power Over Class Settlement

    Class Representatives Do Not Hold Veto Power Over Class Settlement
    In In re FedEx Ground Package Sys., Inc. Employment Practices Litig., No. 3:05-CV-595 RLM, 2017 WL 632119 (N.D. Ind. Feb. 14, 2017), only one of a total of seven class representatives signed off on accepting a proposed class settlement with…
Rank this Week: 2107

Securities Fraud Lawyer Blog

Securities Fraud Lawyer Blog

Covers securities law. By The Law Office of David Liebrader, Inc.

https://www.securitiesfraudlawyerblog.net/
  • Apr 24

    Robert Turpin Barred by FINRA

    Robert Turpin Barred by FINRA
    Robert Turpin, a registered representative from Arizona, formerly with Source Capital Group was barred from FINRA membership as a result of refusing to cooperate with a FINRA investigation into claims that he engaged in outside business…
  • Apr 24

    Kyle Kurtz Suspended, Barred by FINRA

    Kyle Kurtz Suspended, Barred by FINRA
    Kyle Kurtz, a registered representative from Bay City, Michigan, formerly with Thrivent Investment Management was suspended from FINRA membership for violations of Rule 9552 FINRA Rule 9552. Failure to Provide Information or Keep Information…
  • Apr 24

    Robert Wodicker Suspended by FINRA

    Robert Wodicker Suspended by FINRA
    Robert Wodicker, a registered representative from St. Louis, Missouri, formerly with LPL Financial and Wells Fargo Advisors was suspended from FINRA membership for violations of Rule 9552 FINRA Rule 9552. Failure to Provide Information or…
Rank this Week: 1777

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • Apr 24

    April in Pari

    April in Pari
    The D&O Diary is on assignment in Europe this week, with a first stop in Paris, for meetings. I have been to Paris many times before, but almost always in the fall or winter. Before this trip, I hadn’t really had the pleasure…
  • Apr 20

    PwC Annual Study Reports Record Number of Securities Suit

    PwC Annual Study Reports Record Number of Securities Suit
    Largely driven by a “dramatic” increase in the number of federal court merger objection lawsuits, securities class action litigation filings rose to the highest level ever in 2016, according to PwC’s most recent annual…
  • Apr 18

    The Steep Rise of Collective Actions in Europe

    The Steep Rise of Collective Actions in Europe
    In prior posts (for example, here), I have described the rise of collective investor actions outside of the U.S. as one of the most important current developments in the world of directors and officers liability. The rise of these collective…
Rank this Week: 262

McEldrew Young Blog

McEldrew Young Blog

Covers whistleblower law and wage theft for employees.

http://www.mceldrewyoung.com/blog/
  • Apr 21

    How 700 Bank Whistleblowers Get Ignored

    How 700 Bank Whistleblowers Get Ignored
    Like much of America, we have been following the story of Wells Fargo’s sales tactics and the government response to it. We haven’t discussed this matter in depth yet here on our blog (just a brief comment about its implications…
  • Apr 19

    Tax Day Debate at Supreme Court Over Time for SEC Disgorgement

    Tax Day Debate at Supreme Court Over Time for SEC Disgorgement
    The Securities and Exchange Commission defended its ability to disgorge illegal profits from wrongdoers before the Supreme Court yesterday in Kokesh v. SEC. It was Justice Neil Gorsuch’s second day of oral arguments.  An opinion is…
  • Apr 18

    Buy American and Hire American for Whistleblower

    Buy American and Hire American for Whistleblower
    President Trump is signing an executive order today to implement a more muscular Buy American Act. This measure likely signals strengthened enforcement of the Buy American Act under the False Claims Act. The Buy American Act is a domestic…
Rank this Week: 1651

Institutional Investor Securities…

Institutional Investor Securities Blog

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

http://www.institutionalinvestorsecuritiesblog.com/
Rank this Week: 767

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Apr 20

    Advisor James Vernon Regier Receives Customer Complaints Over Unsuitable Trade

    Advisor James Vernon Regier Receives Customer Complaints Over Unsuitable Trade
    Our law firm, Gana LLP, is investigating claims made by Financial Industry Regulatory Authority (FINRA) against broker James Vernon Regier (Regier), formerly associated with Summit Brokerage Services, Inc. The customer complaints allege that…
  • Apr 18

    Broker Charles Wiggle Jr Receives Multiple Customer Complaint

    Broker Charles Wiggle Jr Receives Multiple Customer Complaint
    The investment and securities fraud attorneys of Gana LLP are investigating potential recovery options for investors with broker Glenn Charles Wiggle Jr (Wiggle). According to BrokerCheck records Charles Wiggle has been subject to four…
  • Apr 18

    Broker Gerald O’Halloran Customer Complaints Alleging Securities Law Violation

    Broker Gerald O’Halloran Customer Complaints Alleging Securities Law Violation
    Gana LLP’s securities fraud investigation has uncovered a complaint filed by the Financial Industry Regulatory Authority (FINRA) against broker Gerald O’Halloran (O’Halloran). O’Halloran was  formerly associated…
Rank this Week: 373

Canadian Securities Law Online

Canadian Securities Law Online

Covers Canadian securities law topics, including disclosures, corporate governance, mergers, registration and compliance. By Stikeman Elliott.

http://www.canadiansecuritieslaw.com/
Rank this Week: 5047

Stock Attorneys Blog

Stock Attorneys Blog

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

http://www.stockattorneysblog.com/
  • Apr 20

    New Sanction Guidelines for NAC

    New Sanction Guidelines for NAC
    FINRA (Financial Industry Regulatory Authority) announced that the National Adjudicatory Council (NAC) revised guidelines regarding financial exploitation of vulnerable individuals or individuals with diminished capacity. In addition, the new…
  • Apr 6

    Investor Alert issued by FINRA regarding Binary Options Follow-up Scheme

    Investor Alert issued by FINRA regarding Binary Options Follow-up Scheme
    FINRA (Financial Industry Regulatory Authority) issued an Investor Alert warning anyone involved in binary options trading through unregistered non-U.S. companies. Binary options are inherently risky all-or-nothing propositions.…
  • Mar 30

    Will Allen (Former Dolphins, Giants, and Patriots NFL Player) was Charged with 23 Federal Felonies in Alleged Ponzi Scheme

    Will Allen (Former Dolphins, Giants, and Patriots NFL Player) was Charged with 23 Federal Felonies in Alleged Ponzi Scheme
    The SEC charged Allen with fraud for allegedly operating a $31 million Ponzi Scheme.  Allen, with his accomplice Susan Daub, formed a company that made high-interest, short-term loans to athletes.  The loans were funded by money…
Rank this Week: 4593

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: 1036

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: 1017

Securities Compliance Sentinel

Securities Compliance Sentinel

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

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

    Fox’s Mark Silow, Joshua Horn and Cannabis Practice Profiled

    Fox’s Mark Silow, Joshua Horn and Cannabis Practice Profiled
    We strongly encourage you to read the article profiling our firm and partners, Mark Silow (also our firm Chairman) and Joshua Horn, on Fox’s  Cannabis Practice Group.  See…
  • Apr 18

    When Independent Commentary Isn’t

    When Independent Commentary Isn’t
      The SEC has recently issued an Investor Alert regarding commentary provided about investors from what appear to be independent sources. It turns out, many of those independent sources are not independent at all. Instead, they are paid…
  • Apr 13

    FINRA Is Sanctioning What

    FINRA Is Sanctioning What
      In Notice to Members 17-13, FINRA announced changes to its sanction guidelines. In other words, FINRA has listed its new top hits that it is pursuing. Two items bear particular attention. First, FINRA has introduced a “new…
Rank this Week: 819

Subject to Inquiry

Subject to Inquiry

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

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

    The CFPB’s Alternative Data RFI: Making Your Response Count

    The CFPB’s Alternative Data RFI: Making Your Response Count
    The Consumer Financial Protection Bureau (CFPB) recently issued a Request for Information (RFI) Regarding Use of Alternative Data and Modeling Techniques in the Credit Process, available here.  The deadline for response is May 19. …
  • Apr 18

    H-1B Employers Face Increased Site Visit

    H-1B Employers Face Increased Site Visit
    Employers using the H-1B visa program should take note as additional site visits may be on the horizon.  U.S. Citizenship and Immigration Services (“USCIS”), part of the Department of Homeland Security, recently announced a…
  • Mar 27

    CFPB Fails to State Case Against Payment Processor

    CFPB Fails to State Case Against Payment Processor
    The United States District Court for the District of North Dakota recently dismissed the Consumer Financial Protection Bureau’s (CFPB) complaint against a payment processor, Intercept, in a case McGuireWoods has been monitoring. …
Rank this Week: 1599

Broke and Broker

Broke and Broker

Covers the Wall Street docket of criminal, civil, regulatory, and arbitration cases. By Bill Singer.

http://brokeandbroker.com/index.php
  • Apr 18

    FINRA's Three Handed Monster of a Settlement

    FINRA's Three Handed Monster of a Settlement
    FINRA has a few thousand employees, millions of dollars in funding, and a mandate to protect the investing public and police the securities industry. Sometimes the excuse for a regulator coming up short is found in the organization being…
  • Apr 17

    FINRA Arbitrator Says Compliance Not A Call To Sainthood

    FINRA Arbitrator Says Compliance Not A Call To Sainthood
    BrokeandBroker.com Blog's Bill Singer at a loss for words? Is that even possible? Yes, dear readers, Bill has virtually nothing to add to today's featured FINRA Arbitration decision. Indeed, Hell has frozen over, pigs are flying, and our…
  • Apr 13

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
    Merrill Lynch Employee Flies First Class After Mystery Man Misuses Corporate Card You hear about the FINRA regulatory settlement involving the employee who submitted personal charges for reimbursement except he claimed that some mystery…
Rank this Week: 3936

Strictly Business

Strictly Business

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

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

    Negotiating a Convertible Note Financing

    Negotiating a Convertible Note Financing
    A convertible note is a hybrid of debt and equity, and it’s a popular form of financing for two main reasons. First, convertible notes are generally easy and cost-effective, because they require little negotiation and paperwork. Second,…
  • Mar 28

    Guide to Starting a Hedge Fund

    Guide to Starting a Hedge Fund
    As an investment manager looking into starting a hedge fund, you know that a successful launch is critical to standing out in the increasingly competitive investment management business. If you want to attract capital from the right…
  • Mar 15

    Understanding the Common Investment Structures for a Seed or Angel Round

    Understanding the Common Investment Structures for a Seed or Angel Round
    I’ve previously written about the steps that startups and emerging companies need to take to prepare for an angel or seed round, one of which is becoming familiar with the popular investment structures that are available. With the…
Rank this Week: 1176

The Securities Edge

The Securities Edge

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

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

    It’s a good time to be a VC fund

    It’s a good time to be a VC fund
    Things are looking pretty good for the venture capital industry. Potential VC investors have a lot of money available, and industry and geographical trends show a positive outlook for VC investing in the near term. There are numerous factors…
  • Mar 29

    Shore patrol

    Shore patrol
    Posted By: Robert B. Lamm Even as we speculate about the likelihood and potential impact of massive deregulation here in the US, the EU is going in the opposite direction.  Earlier this month, the European Parliament passed a…
  • Mar 19

    Beware when the legislature is in session

    Beware when the legislature is in session
    Posted By: Robert B. Lamm New York Surrogate Gideon Tucker (1826-1899) is credited with originating the maxim that “no man’s life, liberty or property are safe while the legislature is in session.”  Were Surrogate…
Rank this Week: 556

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • Apr 17

    REPRESENTING ELDERS AND ATHLETES

    REPRESENTING ELDERS AND ATHLETES
    It wouldn’t seem likely that elders and athletes would have much, if anything, in common.  But they do.  They are frequently blessed with substantial semi-liquid assets, and are therefore the targets of fraudulent or reckless…
  • Mar 24

    Kokesh v. SEC: Implications for the Statute of Limitations for Missouri Securities Enforcement Action

    Kokesh v. SEC: Implications for the Statute of Limitations for Missouri Securities Enforcement Action
     Kokesh v. SEC, Docket No. 16-529 (oral argument date April 18, 2017) – Implications for the Statute of Limitations for Missouri State Securities Enforcement Actions.By John R. Phillips, Counsel for Cosgrove Law Group, LLC and…
  • Feb 24

    Get Your Own Lawyer, Darn It!

    Get Your Own Lawyer, Darn It!
    Financial advisors facing an arbitration claim or regulatory inquiry often count on their broker-dealer or registered investment advisor for legal counsel. These “employers” will frequently provide them with an ostensibly…
Rank this Week: 281

Stock Market Loss

Stock Market Loss

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

http://www.stockmarketloss.com/news/
Rank this Week: 3652

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

http://www.hedgefundlawblog.com
  • Apr 14

    Hedge Fund Bits and Pieces for April 14, 2017

    Hedge Fund Bits and Pieces for April 14, 2017
    Happy Friday.  Markets are closed today for the holiday and it is tax day this Tuesday.  Enjoy the weekend! **** SEC Brings Actions Against Authors on Investment Article Platforms – platforms like Seeking Alpha and SumZero…
  • Apr 13

    Greyline Solutions Continues Expansion

    Greyline Solutions Continues Expansion
    Regulatory Compliance Consulting Company Adds Significant Broker-Dealer Practice Below is a press release from Greyline Solutions, one of the premier regulatory consulting groups (editors note: I have an ownership interest in this company and…
  • Apr 7

    Hedge Fund Bits and Pieces for April 7, 2017

    Hedge Fund Bits and Pieces for April 7, 2017
    Happy Masters Friday! **** End Game of Mini-Prime Consolidation? – earlier this week Cowen announced the acquisition of Convergex.  For Cowen, this is the second introducing prime (mini-prime) acquisition in the last two…
Rank this Week: 898

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/
Rank this Week: 2003

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Apr 14

    Frivolity

    Frivolity
    Among other reforms, the Private Securities Litigation Reform Act of 1995 (“PSLRA”) requires that upon final adjudication of a federal securities action, the court shall include in the record “specific findings regarding…
  • Feb 24

    Somebody Else Said It

    Somebody Else Said It
    Is paying someone else to make a misstatement to investors the same as making the misstatement yourself for purposes of securities fraud liability?  Two recent appellate decisions address this question and come to different conclusions…
  • Feb 10

    Compare and Contrast

    Compare and Contrast
    NERA Economic Consulting and Cornerstone Research have released their respective 2016 annual reports on federal securities class action filings.  As usual, the different methodologies employed by the two organizations have led to…
Rank this Week: 2294

New York Securities Lawyer Blog

New York Securities Lawyer Blog

Covers securities law. By Lax & Neville LLP.

http://www.newyorksecuritieslawyerblog.com/
Rank this Week: 1495

Securities Law Blog

Securities Law Blog

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

http://seclaw.blogspot.com/
  • Apr 13

    SEC News - Fraud and Boiler Room Scheme

    SEC News - Fraud and Boiler Room Scheme
    SEC Charges Pastor With Defrauding RetireesThe SEC announced fraud charges and an emergency asset freeze obtained against a Michigan-based pastor accused of exploiting church members, retirees, and laid-off auto workers who were misled to…
  • Apr 12

    FINRA Requests Comment on FINRA Rules Impacting Capital Formation

    FINRA Requests Comment on FINRA Rules Impacting Capital Formation
    The ability of small and large businesses to raise capital efficiently is critical to job creation and economic growth. Broker-dealers play a vital role in helping businesses raise capital through the securities markets, and as a…
  • Apr 12

    Wells Fargo Wins Bank Arbitrations? Maybe not

    Wells Fargo Wins Bank Arbitrations? Maybe not
    The LA Times published this article, based on a study that we can't find.Admittedly I haven't seen the study, and am only commenting on the article. If anyone has a link to the actual study, I would love to review it.One more caveat - I don't…
Rank this Week: 793

Footnoted

Footnoted

Reports on actionable information in SEC filings.

http://www.footnoted.com/
Rank this Week: 1258

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
Rank this Week: 288

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/
  • Apr 7

    U.S. Supreme Court Refuses to Review Would-be Whistleblower’s Petition

    U.S. Supreme Court Refuses to Review Would-be Whistleblower’s Petition
    The U.S. Supreme Court declined to review a former Morgan Stanly employee’s claims that he is entitled to whistleblower protections after reporting to the FBI instead of the SEC. According to a Law360 report, John S. Verble (CRD#…
  • Feb 27

    SEC Awards $7 million to Whistleblower

    SEC Awards $7 million to Whistleblower
    The SEC announced an award of over $7 million split among three (3) whistleblower who helped the SEC litigate an investment scheme. The SEC began their investigation when one of the whistleblowers provided a tip to the SEC.  The initial…
  • Feb 27

    SEC Awards $7 million to Whistleblower

    SEC Awards $7 million to Whistleblower
    The SEC announced an award of over $7 million split among three (3) whistleblower who helped the SEC litigate an investment scheme. The SEC began their investigation when one of the whistleblowers provided a tip to the SEC.  The initial…
Rank this Week: 1988

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/
  • Apr 7

    It Doesn't Take Magic Words To Revoke An Offer

    It Doesn't Take Magic Words To Revoke An Offer
    The lawyers in Baker v. Bowden, 2017 NCBC 30, decided this week by Judge Robinson, were negotiating a settlement agreement by email.  The Plaintiff thought that it had a deal.  When the Defendant balked, the Plaintiff moved the…
  • Mar 28

    First Published Opinion From New Business Court Judge Conrad

    First Published Opinion From New Business Court Judge Conrad
    Business Court Judges don't have to issue written Opinions in cases granting Preliminary Injunctions.  (G.S. § 7A-45.3 limits the obligation to issue a written Opinion to rulings rendered per NCRCP 12, 56, 59, and 60).  But…
  • Mar 15

    NC Business Court On Conflicting Rules Of Civil Procedure: Do You Need Leave Of Court To Amend Your Answer To Add A Counterclaim?

    NC Business Court On Conflicting Rules Of Civil Procedure: Do You Need Leave Of Court To Amend Your Answer To Add A Counterclaim?
    If I asked you if you were familiar with Rule 13(f) of the NC Rules of Civil Procedure, I'm betting that you would respond with a glassy stare and a slack jaw.  That Rule deals with a counterclaim that you should have made in your…
Rank this Week: 4484

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
  • Apr 7

    Customer Sues Merrill Lynch for Fraud in Connection with Its Use of Funds in a Reserve Account

    Customer Sues Merrill Lynch for Fraud in Connection with Its Use of Funds in a Reserve Account
    From the Desk of Jim Eccleston at Eccleston Law LLC: A former customer of Merrill Lynch has sued the firm in California civil court for engaging in fraud. According to the lawsuit, Merrill Lynch misused the customer’s cash that…
  • Apr 5

    New Recommendations by the FINRA Dispute Resolution Task Force (15th Article)

    New Recommendations by the FINRA Dispute Resolution Task Force (15th Article)
    From the Desk of Jim Eccleston at Eccleston Law LLC:This is the fifteenth in a series of posts to discuss the 51 recommendations that the FINRA Dispute Resolution Task Force (Task Force) has made to the National Arbitration and Mediation…
  • Apr 4

    Virginia Adviser Sentenced to Prison for Embezzling Money

    Virginia Adviser Sentenced to Prison for Embezzling Money
    From the Desk of Jim Eccleston at Eccleston Law LLC: Virginia financial adviser Troy Baldridge was sentenced to prison for 41 months after admitting to embezzling more than $500,000 from his mostly elderly, retired clients.According to…
Rank this Week: 156

New York Securities Lawyers Blog

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

http://www.newyorksecuritieslawyersblog.com/
  • Apr 4

    Brokerages Are Making Brokers More Powerful: How Will That Effect The Securities Industry?

    Brokerages Are Making Brokers More Powerful: How Will That Effect The Securities Industry?
    As reported in the Wall Street Journal, there has been a recent trend at big brokerages of shifting the power from the headquarters to brokers and branch managers. Apparently big brokerages like Bank Of America, UBS Group, and Merrill Lynch…
  • Mar 30

    FINRA Bars Broker Involved in New York Pension Fund Scandal

    FINRA Bars Broker Involved in New York Pension Fund Scandal
    Broker Deborah D. Kelley is allegedly one of the key figures in the $184 billion New York pension fund “pay-for-play” bribery scandal. She was reportedly arrested in December 2016 in San Francisco on charges of securities fraud,…
  • Mar 23

    You May Know About Your Broker, But How Much Do You Know About Your Brokerage Firm?

    You May Know About Your Broker, But How Much Do You Know About Your Brokerage Firm?
    There is an interesting point in this week’s Wall Street Journal titled “Brokerage Files Don’t Give The Full Pictures,” which talks about the how brokerage firms and individual brokers are held to different standards,…
Rank this Week: 3033

Special Situations Law

Special Situations Law

By Norton Rose Fulbright. Covers shareholder activist and defence mandates, as well as complex reorganization transactions.

http://www.specialsituationslaw.com/
  • Mar 20

    Making your vote count II: CSA finalizes proxy voting protocol

    Making your vote count II: CSA finalizes proxy voting protocol
    The Canadian Securities Administrators (CSA) have recently released finalized guidance and protocols for meeting vote reconciliation under CSA Staff-Notice 54-305 Meeting Vote Reconciliation Protocols (the Protocols) which are implemented on…
  • Mar 13

    Glass Lewis’ 2017 Canada Policy Guideline

    Glass Lewis’ 2017 Canada Policy Guideline
    Towards the end of last year, Glass, Lewis & Co., LLC (Glass Lewis), a leading governance and proxy voting firm, released its 2017 Proxy Paper Guidelines for Canada (the Guidelines) for the upcoming 2017 proxy season.  Although the…
  • Feb 27

    Re Hemostemix Inc: Alberta Securities Commission upholds decision of TSXV in contested private placement

    Re Hemostemix Inc: Alberta Securities Commission upholds decision of TSXV in contested private placement
    Following recent amendments to Canada’s takeover bid rules, private placements in the face of hostile bids have become newly controversial. Private placements in the context of proxy contests have received less attention. Yet this is…
Rank this Week: 1536

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/
  • Mar 17

    SEC Adopts Rule Requiring Hyperlinks to Exhibits and HTML Formatting

    SEC Adopts Rule Requiring Hyperlinks to Exhibits and HTML Formatting
    On March 1, 2017, the Securities and Exchange Commission (“SEC”) announced the adoption of amendments that will require registrants that file certain registration statements and reports subject to the exhibit requirements of Item…
  • Mar 9

    Delaware Court of Chancery Holds that Cancellation of Shares Through Merger Deprives Stockholder of Standing in Section 220 Action

    Delaware Court of Chancery Holds that Cancellation of Shares Through Merger Deprives Stockholder of Standing in Section 220 Action
    In Weingarten v. Monster Worldwide, Inc., C.A. No. 12931-VCG, 2017 WL 752179 (Del. Ch. Feb. 27, 2017), the Delaware Court of Chancery (Glasscock, V.C.) clarified when a plaintiff has standing to vitiate inspection rights under Delaware…
  • Mar 3

    SNAP IPO Debuts On NYSE

    SNAP IPO Debuts On NYSE
    SNAP Inc., the parent company of Snapchat, went public yesterday with a valuation of approximately $33.4 billion. The Company raised $3.4 billion at $17 per share, and is now trading well above the IPO price. While SNAP has reported…
Rank this Week: 516

Business Law Post

Business Law Post

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

http://www.businesslawpost.com
  • Mar 13

    SaaS Contracts vs Software License Agreement

    SaaS Contracts vs Software License Agreement
    Just like technology itself, technology contracts are becoming more and more complex.  Yet, the legal theories that apply to them remain the same. Understanding the technological aspects of the transaction allows attorneys to apply…
  • Mar 11

    Deconstructing Open Source Software License

    Deconstructing Open Source Software License
    When drafting and negotiating software license agreements, I frequently come across open source licenses.  This blog post is to clarify some of the myths that exist around the definition and use of open source software.First, I want to…
  • Feb 6

    Are Terms of Use and Other Online Agreements Real and Binding Contracts?

    Are Terms of Use and Other Online Agreements Real and Binding Contracts?
    It used to be that people would enter into binding agreements by manually signing them. A signature manifested the two required aspects of forming a binding contract: a notice and an assent, i.e., the signatory has read the agreement and…
Rank this Week: 720

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
  • Feb 15

    FINRA Bars Former Wells Fargo Advisors Broker Matthew Maczko

    FINRA Bars Former Wells Fargo Advisors Broker Matthew Maczko
    The securities law firm of Amato Law Firm, LLC is investigating potential securities law claims involving former Wells Fargo Advisors, LLC representative Matthew Maczko.  Mr. Maczko, who worked in Wells Fargo Advisors’ Oak Brook,…
  • Jan 19

    Large Raiding Award Against Robert W. Baird & Co. Underscores Issues with Team Transition

    Large Raiding Award Against Robert W. Baird & Co. Underscores Issues with Team Transition
    A notable (due to its size) $23.5 million FINRA arbitration award against broker-dealer Robert W. Baird & Co. (Baird) and some of its representatives, issued by a three-member FINRA panel in Kansas last week, underscores the issues that…
  • Jan 12

    JPMorgan Found to Have Retaliated Against Adviser, Filed Defamatory U5

    JPMorgan Found to Have Retaliated Against Adviser, Filed Defamatory U5
    A recent investigation by the U.S. Occupational Safety and Health Administration (OSHA) has resulted in an award of more than $160,000 for back pay and “reputational damage” to a former JPMorgan Chase & Co. financial adviser.…
Rank this Week: 2315

The California Securities…

The California Securities Attorneys

By Bruce E. Methven and Kenneth A. Priore. Covers securities offerings.

http://thecaliforniasecuritiesattorneys.com/
  • Feb 9

    Marketing Your Offering by Bruce E. Methven

    Marketing Your Offering by Bruce E. Methven
    The truth about marketing your securities offering is that you have to find investors yourself. Venture capital firms invest in only a tiny percentage of the companies that approach them. Groups that involve angel investors may work, but…
  • Oct 28

    Report on Crowdfunding by Bruce E. Methven

    Report on Crowdfunding by Bruce E. Methven
    Crowdfunding via approved internet portals became available in May of this year. So far companies have been averaging about $800 per investor and may have hundreds of investors. That’s a lot of small investors to deal with. Many…
  • May 13

    Running Another Offering With a Crowdfunding Offer by Bruce E. Methven

    Running Another Offering With a Crowdfunding Offer by Bruce E. Methven
    This is part of a series on crowdfunding; this part covers running another offer simultaneously with a crowdfunding offer. Again, true crowdfunding — offerings of stock, LLC units and promissory notes — becomes available on May…
Rank this Week: 1313