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Securities Lawyer 101

Securities Lawyer 101

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

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

    Going Public Blog l Securities Lawyer 101

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

    Going Public Blog l Securities Lawyer 101

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

    Going Public Blog l Securities Lawyer 101

    Going Public Blog l Securities Lawyer 101
      Securities Lawyer 101 Blog Going public is a big step for any company.  The process of “going public” is complex and at times precarious.  While going public offers many benefits it also comes with risks and…
Rank this Week: 533

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • Sep 3

    Season’s End Serenade

    Season’s End Serenade
    There are those who prefer to live in warmer climates, where the cold winds of winter never blow. During the last two exceptionally  frigid winters back home in Ohio, I certainly daydreamed about what it might be like to live in a place…
  • Sep 1

    Guest Post: Coverage for Future Injuries: Is Your Cyber Policy Up To The Neiman Marcus Challenge?

    Guest Post: Coverage for Future Injuries: Is Your Cyber Policy Up To The Neiman Marcus Challenge?
    As I discussed in a recent post, on July 20, 2015, the Seventh Circuit issued its opinion in the Neiman Marcus consumer data breach class action lawsuit. In its opinion (a copy of which can be found here), the appellate court ruled that the…
  • Aug 31

    When Data Hacks Lead to D&O Lawsuits, Actual and Threatened

    When Data Hacks Lead to D&O Lawsuits, Actual and Threatened
    Many observers, including even this blog, have speculated whether the rising wave of data breaches and cyber security attacks will result in litigation against the directors and officers of the affected companies. Indeed, in 2014, there were…
Rank this Week: 673

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
  • Sep 3

    Former Florida Broker Pleads Guilty in $9 Million Investment Fraud

    Former Florida Broker Pleads Guilty in $9 Million Investment Fraud
    From the Desk of Jim Eccleston at Eccleston Law LLC:Gignesh Movalia, a former Florida based registered broker, has pled guilty to an investment fraud.Movalia was the founder and manager of OM Global Investment Fund LLC, an investment fund…
  • Sep 1

    Mediocre Performance of Hedge Funds Hidden By Reporting Biase

    Mediocre Performance of Hedge Funds Hidden By Reporting Biase
    From the Desk of Jim Eccleston at Eccleston Law LLC:According to a recent study, the average annualized return for the hedge fund industry since 1996 decreases from 12.6 percent to just 6.3 percent after the biases that hedge funds used to…
  • Aug 28

    Edward Jones Fines $20M for Municipal Bond Overcharge

    Edward Jones Fines $20M for Municipal Bond Overcharge
    From the Desk of Jim Eccleston at Eccleston Law LLC: The SEC has ordered Missouri based brokerage firm Edward Jones to pay $20 million as a fine for overcharging retail customers in new municipal bond sales.According to the SEC, Edward Jones…
Rank this Week: 226

Footnoted

Footnoted

Reports on actionable information in SEC filings.

http://www.footnoted.com/
  • Sep 3

    PVH Corp.

    PVH Corp.
    Ten years later, being Vice Chairman is still the best job in business.
  • Jul 30

    And now: the game changer bonu

    And now: the game changer bonu
    Reynolds American has come up with our new favorite name for a bonus: the game-changer.
  • Jul 17

    Will Hertz’ former CEO wind up having to clawback?

    Will Hertz’ former CEO wind up having to clawback?
    Hertz blamed its former CEO for creating a pressurized environment at the company that led to overly aggressive accounting.
Rank this Week: 1688

California Securities Fraud Lawyer…

California Securities Fraud Lawyer Blog

Covers securities regulation, fiduciaries, and securities disputes news and updates. Published By Alcala Law Firm.

http://www.californiasecuritiesfraudlawyerblog.com/
  • Sep 3

    Investor Complaints Re: Jane Everingham & Everingham O'Malley

    Investor Complaints Re: Jane Everingham & Everingham O'Malley
    The Alcala Law Firm has filed a FINRA arbitration claim against LPL Financial LLC arising out of the actions of their registered representative/investment advisor Jane Everingham doing business as Everignham O'Malley in Larkspur, California. …
  • Aug 7

    Customer Complaints Regarding Charles Lynch

    Customer Complaints Regarding Charles Lynch
    Charles Lynch, a financial advisor with Wells Fargo Advisors in Irvine, California, has one or more pending customer complaints alleging "unsuitable concentration in energy sector."[1] ALF is currently conducting an investigation into…
  • Aug 7

    Investor Complaints Regarding Charles Frieda

    Investor Complaints Regarding Charles Frieda
    Charles Frieda, a dully registered broker and investment advisor with Wells Fargo Advisors in Irvine, California, has one or more customer complaints alleging "unsuitable concentration in small cap energy sector securities."[1] ALF is…
Rank this Week: 4262

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/
  • Sep 3

    Deleting emails isn’t always obstruction of justice, court rule

    Deleting emails isn’t always obstruction of justice, court rule
    Our colleagues at the Antitrust Law Source shared an overview today of a recent decision from the Ninth Circuit Court of Appeals. The court’s opinion states that deleting emails doesn’t necessarily translate to obstruction of…
  • Aug 21

    U.S. Court of Appeals reaffirms April 2014 decision on the conflict minerals rule

    U.S. Court of Appeals reaffirms April 2014 decision on the conflict minerals rule
    We reported previously in April 2014 on the ruling by the United States Court of Appeals for the District of Columbia Circuit striking down the part of the SEC’s conflict minerals rules that requires a registrant to describe its…
  • Aug 20

    Student internships basis for FCPA violation

    Student internships basis for FCPA violation
    The Securities and Exchange Commission (SEC) announced Tuesday that Bank of New York Mellon (BNY Mellon) had agreed to pay $14.8 million dollars to settle Foreign Corrupt Practices Act (FCPA) violations. The agreement arose out of BNY Mellon…
Rank this Week: 4389

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Sep 3

    U.S. Leads the Way in Reform of Money Market Fund Regulation, IOSCO Find

    U.S. Leads the Way in Reform of Money Market Fund Regulation, IOSCO Find
    By John Filar AtwoodOf the five countries that dominate the global money market fund (MMF) market, only the U.S. has implemented reform measures in all of the eight areas recommended by the International Organization of Securities Commissions…
  • Sep 2

    Validation of Defective Stock Warranted, but Final Judgment Premature

    Validation of Defective Stock Warranted, but Final Judgment Premature
    By Amy Leisinger, J.D.The Delaware Chancery Court granted a motion for partial judgment on the pleadings, finding that shares of putative stock of the CertiSign Holding, Inc. are valid despite being issued before the certificate authorizing…
  • Sep 1

    Board Members Accused of Coercing Shareholders to Increase Their Compensation Win Appeal

    Board Members Accused of Coercing Shareholders to Increase Their Compensation Win Appeal
    By Matthew Garza, J.D.Members of the board of directors of mobile technology company QualComm, Inc. were victorious in a legal battle launched by an investor over amendments made by the company’s compensation committee to increase stock…
Rank this Week: 803

New York Securities Lawyer Blog

New York Securities Lawyer Blog

Covers securities law. By Lax & Neville LLP.

http://www.newyorksecuritieslawyerblog.com/
Rank this Week: 1989

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
Rank this Week: 538

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • Sep 3

    SEC Reduces Registration Statement Filing Fees Again

    SEC Reduces Registration Statement Filing Fees Again
    Last week, the Securities and Exchange Commission announced that effective October 1, 2015, filing fees that public companies and other issuers pay to register their securities with the Commission will be reduced to $100.70 per million…
  • Sep 3

    FINRA’s New EB-5 Disclosure Requirements re: Foreign Finder

    FINRA’s New EB-5 Disclosure Requirements re: Foreign Finder
    New FINRA Rule 2040 became effective late last month, requiring broker-dealers who sell EB-5 securities disclose to investors the amount of finder fee payments to non-registered foreign persons and receive written acknowledgement from the…
  • Sep 1

    What do you need to know about the latest FINRA sweep exam

    What do you need to know about the latest FINRA sweep exam
    FINRA recently sent out targeted exam letters focused compensation practices. The intent of this targeted exam is to assess how firms identify, mitigate and manage conflicts of interest when it comes to compensation paid to registered…
Rank this Week: 3818

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/
  • Sep 3

    Dole Food: Two Officers Liable for $148 Million (But Investment Bank Not Liable)

    Dole Food: Two Officers Liable for $148 Million (But Investment Bank Not Liable)
    In our “Appraisal Rights” Practice Area, we’re posting memos about the recent Delaware Chancery Court opinion in Dole Food. Here’s an excerpt from Kevin LaCroix’s blog about the case: It turns out that there were…
  • Aug 27

    HSR “Investment-Only” Exemption: Lessons from Third Point’s Yahoo! Investment

    HSR “Investment-Only” Exemption: Lessons from Third Point’s Yahoo! Investment
    Here’s the intro from this Cooley memo: While acquisitions of up to 10% of the voting interest in a target that are made “solely for the purpose of investment” are in many circumstances exempt from Hart-Scott-Rodino (HSR)…
  • Aug 26

    How Carl Icahn Work

    How Carl Icahn Work
    Here’s an excerpt from this interesting blog from a while back by “The Activist Investor”: For one of the most-discussed investors these days, we know surprisingly little about Carl Icahn’s activist investing. Numerous…
Rank this Week: 805

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/
  • Sep 3

    Managing the Costs of Long-Term Care Insurance http://ift.tt/1JznS1G

    Managing the Costs of Long-Term Care Insurance http://ift.tt/1JznS1G
    As insurers seek to curb losses, many states have been approving large increases in premiums for older policies, but there are ways to cope.http://ift.tt/1JznS1G
  • Sep 2

    Interactive Brokers Margin Meltdown?

    Interactive Brokers Margin Meltdown?
    Back in 1987 after the crash, the big problem in customer accounts were margin calls. Heavily leveraged accounts were being liquidated with abandon during the week of  October 19, 1987.We thought everyone learned their lesson - firms and…
  • Aug 27

    Investor Alert: Market Risk: What You Don't Know Can Hurt You

    Investor Alert: Market Risk: What You Don't Know Can Hurt You
    FINRA has reissued an investor alert regarding market risk, to remind investors that  investing involves risks as well as rewards and that, generally speaking, the higher the risk, the greater the potential reward.FINRA believes that…
Rank this Week: 2621

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Sep 3

    Dance a Little Dance (Vive La Prague!)

    Dance a Little Dance (Vive La Prague!)
    Just love this dance scene from the 1964 French movie “Bande à part.” Finally heading out on my summer vaca tomorrow (to Prague, not France). Enjoy the holiday! – Broc Romanek
  • Sep 2

    Proxy Access: Imagine No Holding Periods!

    Proxy Access: Imagine No Holding Periods!
    Proxy access is being debated in Canada ahead of a possible proposal (see this memo) – and this excerpt from this article gives a sense of the possible stakes: Proponents of “proxy access” all agree to these conditions or…
  • Sep 1

    Rule 506(c): Updated Stat

    Rule 506(c): Updated Stat
    Recently, someone posted a query in our “Q&A Forum” wondering if there were any updated states on Rule 506(c) placements (Corp Fin Director Keith Higgins had given some preliminary stats in this speech last year). Here are…
Rank this Week: 495

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/
  • Sep 3

    Court Rules That The SEC Unlawfully Withheld Action Mandated By Congre

    Court Rules That The SEC Unlawfully Withheld Action Mandated By Congre
    Last fall, I wrote about Oxfam America’s second lawsuit to force the Securities and Exchange Commission to adopt a resource extraction disclosure rule under Section 1504 of the Dodd-Frank Act.  Readers may recall that Congress…
  • Sep 2

    Officers And The Internal Affairs Doctrine

    Officers And The Internal Affairs Doctrine
    My guess is that most attorneys would say that the duty of an officer to the corporation are governed by the law of the state of incorporation under the “internal affairs doctrine”.  As explained by the U.S. Supreme Court,…
  • Sep 1

    Overcoming A Securities Overissue

    Overcoming A Securities Overissue
    I like to remind my colleagues that California has two securities laws. Neither of these laws applies exclusively to corporations or other entities organized under California law.  The Corporate Securities Law of 1968, Cal. Corp.…
Rank this Week: 349

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/
  • Sep 2

    FINRA Awards UBS Client $2.9 Million

    FINRA Awards UBS Client $2.9 Million
    UBS ordered to pay $2.9 million in another FINRA arbitration claim. The financial Industry Regulator authority (FINRA) awarded Ana Teresa Lopes-Gonzales and Andres Ricardo Gomez $2.4 million in damages and about $480,000 for attorneys fees.…
  • Sep 2

    SEC Settles Charges Against Colonial Tidewater Reality

    SEC Settles Charges Against Colonial Tidewater Reality
    The Securities and Exchange Commission (SEC) announced they settled charges against three men that defrauded investor in Colonial Tidewater Reality. The SEC also settled charges with Signator Investors for failure to supervise two of their…
  • Aug 31

    Recovery United Mortgage Trust Investment Losse

    Recovery United Mortgage Trust Investment Losse
    Have you suffered investment losses in United Mortgage Trust? If so, The White Law Group may be able to help you recover your losses by filing a FINRA Dispute Resolution claim against the brokerage firm that sold you the investment. Real…
Rank this Week: 204

Subject to Inquiry

Subject to Inquiry

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

http://www.subjecttoinquiry.com/
  • Sep 2

    Anti-Corruption Enforcement in Brazil is in High Gear

    Anti-Corruption Enforcement in Brazil is in High Gear
    Headlines of Brazil’s push to fight corruption are everywhere. The Petrobras scandal involves contracts worth billions of dollars, and prosecutors have uncovered a U.S. connection. The public is outraged and has called for President…
  • Sep 1

    CFPB Announces Results of eClosing Pilot Project

    CFPB Announces Results of eClosing Pilot Project
    On August 5, 2015, the CFPB published a report titled “Leveraging technology to empower mortgage consumers at closing,” which concluded that borrowers can benefit from electronic closings or “eClosings” – that…
  • Aug 28

    SEC Issues Wells Notice to Pimco Over Fund Valuation

    SEC Issues Wells Notice to Pimco Over Fund Valuation
    On Monday, August 3, 2015, Pacific Investment Management Co. LLC (Pimco) announced that it had received a Wells notice from the Securities and Exchange Commission concerning the valuation of certain nonagency mortgage-backed securities in its…
Rank this Week: 1724

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

http://www.seclawyersblog.com/
  • Sep 2

    Sonn|Erez Investigating Claims Involving Michael J. Howard

    Sonn|Erez Investigating Claims Involving Michael J. Howard
    Sonn|Erez is investigating claims regarding Michael John Howard (CRD #2966446, Frankfort, Illinois). Howard recently submitted an Acceptance, Waiver & Consent ("AWC") in which he was assessed a deferred fine of $15,000 and suspended from…
  • Aug 31

    Sonn|Erez Investigating Claims Involving Justin Amaral

    Sonn|Erez Investigating Claims Involving Justin Amaral
    Sonn|Erez is investigating claims regarding Justin Amaral (CRD #4440980, Boston, Massachusetts). Amaral recently submitted an Acceptance, Waiver & Consent ("AWC") in which he was barred from association with any FINRA member in any…
  • Aug 27

    Sonn|Erez Investigating Claims Involving Former Morgan Stanley Broker Ronald Cohen

    Sonn|Erez Investigating Claims Involving Former Morgan Stanley Broker Ronald Cohen
    Sonn|Erez is investigating claims regarding Ronald Seth Cohen (CRD #2419431, Boca Raton, Florida). Cohen recently submitted an Acceptance, Waiver & Consent ("AWC") in which he was assessed a deferred fine of $10,000 and suspended from…
Rank this Week: 808

Business Blog

Business Blog

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

http://www.businesslawnews.com/
  • Sep 2

    The New Jersey Family-School Partnership Act Would Provide Leave for Parents to Attend School Activitie

    The New Jersey Family-School Partnership Act Would Provide Leave for Parents to Attend School Activitie
    The first few weeks of the new school year can be stressful for children and their parents, as everyone adjusts to new schedules and routines. In New Jersey, lawmakers are currently considering legislation, the New Jersey Family-School…
  • Sep 1

    Are Space Laws The Next Legal Frontier?

    Are Space Laws The Next Legal Frontier?
    As the natural resources on Earth grow scarce, some businesses are looking outside our atmosphere. While sending miners to an asteroid may seem like the plot of a science fiction movie, it could become a reality in the foreseeable future. If…
  • Aug 31

    The FTC’s Cybersecurity Authority Is Affirmed By The Third Circuit

    The FTC’s Cybersecurity Authority Is Affirmed By The Third Circuit
    Decisions have been made regarding the FTC’s cybersecurity authority… In a precedential decision, the Third Circuit Cmorourt of Appeals recently affirmed the cybersecurity authority of the Federal Trade Commission (FTC) to hold…
Rank this Week: 3929

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/
  • Sep 1

    FINRA Orders UBS to Pay Investors Over $2.9M For Puerto Rico Bond and Fund Losse

    FINRA Orders UBS to Pay Investors Over $2.9M For Puerto Rico Bond and Fund Losse
    UBS (UBS) must pay over $2.9M to investors Andres Ricardo Gomez and Ana Teresa Lopez-Gonzales for losses related to their investments in Puerto Rico securities. Mr. Ricardo, Ms. Lopez-Gonzales and their relatives filed an arbitration case…
  • Aug 29

    Citco Settles Madoff-Related Securities Case With Fairfield Investors for $125M

    Citco Settles Madoff-Related Securities Case With Fairfield Investors for $125M
    Citco Group Ltd. has agreed to pay $125 million to resolve a lawsuit related to the Bernard Madoff Ponzi Scheme. The plaintiffs in the case are investors of Fairfield Greenwich Ltd. Investors in Fairfield’s funds sued Citco Group and…
  • Aug 28

    SEC Charges J.P. Morgan Ex-Investment Bank Analyst and Friends with Insider Trading

    SEC Charges J.P. Morgan Ex-Investment Bank Analyst and Friends with Insider Trading
    The Securities and Exchange Commission is charging ex-J. P. Morgan Securities, LLC (JPMS) bank analyst Ashish Aggarwal with illegally tipping confidential information about firm clients in impending acquisitions and mergers involving…
Rank this Week: 949

Recover Investment Losses Blog

Recover Investment Losses Blog

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

http://blog.rexsecuritieslaw.com
  • Sep 1

    Harrison Schumacher & Quantum Energy Named In SEC Action

    Harrison Schumacher & Quantum Energy Named In SEC Action
    August 27, 2015 The Securities and Exchange Commission (SEC) has alleged that Harrison Schumacher and his two Los Angeles companies, Quantum Energy LLC and Quaneco LLC, raised over $12.3 million from some 300 investors in connection with oil…
  • Sep 1

    SEC Names West Palm Beach Man in Boiler Room Securities Fraud

    SEC Names West Palm Beach Man in Boiler Room Securities Fraud
    August 20, 2015-West Palm Beach, FL Moshe Yehuda Dunoff was charged by the Securities and Exchange Commission (SEC) with participating in a boiler room fraud that raised over $1.5 million from 58 investors in 14 countries. Victims were led to…
  • Sep 1

    Iowa Regulators Name Austin Texas Residents In Oil & Gas Securities Fraud Action

    Iowa Regulators Name Austin Texas Residents In Oil & Gas Securities Fraud Action
    August 28, 2015 Iowa Insurance Commissioner Nick Gerhart issued a cease and desist order to the following Austin, Texas residents: Carson Energy, Inc.                        …
Rank this Week: 640

Securities Mining Law

Securities Mining Law

Covers securities law affecting the mining industry in Canada.

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

    Securities Law Seminar for the Mining Sector

    Securities Law Seminar for the Mining Sector
    What does the new “Comply or Explain” diversity policy imposed by the Canadian Securities Administrators mean for the mining industry? Since December 31, 2014, the Canadian securities administrators, other than those of British…
  • Jul 9

    Caveat Optionor: Canadian court strikes a blow for mineral exploration companie

    Caveat Optionor: Canadian court strikes a blow for mineral exploration companie
    In interpreting an exploration option agreement, a recent court of appeal decision recognized the inherent challenges faced by junior exploration companies, in both good times and bad. See our Dentons Insight to learn more: Caveat…
  • Jul 9

    Caveat Optionor: Canadian court strikes a blow for mineral exploration companie

    Caveat Optionor: Canadian court strikes a blow for mineral exploration companie
    In interpreting an exploration option agreement, a recent court of appeal decision recognized the inherent challenges faced by junior exploration companies, in both good times and bad. See our Dentons Insight to learn more: Caveat…
Rank this Week: 3569

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: 863

North Carolina Business Litigation…

North Carolina Business Litigation Report

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

http://www.ncbusinesslitigationreport.com/
Rank this Week: 2093

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 31

    Pay ratio (unfortunately) coming to public company filings soon

    Pay ratio (unfortunately) coming to public company filings soon
    Posted By: David C. Scileppi After much foot dragging, I have finished reading the adopting release for the new pay ratio disclosure rules.  Yes, the release is long (300 pages or so), but adopting releases are always long.  The…
  • Aug 27

    Registered investment advisers and anti-money laundering compliance: Is it practical?

    Registered investment advisers and anti-money laundering compliance: Is it practical?
    Posted By: Stephanie Quiñones Earlier this week, the Financial Crimes Enforcement Network (“FinCEN”) proposed a rule that would require investment advisers registered with the Securities Exchange Commission…
  • Aug 13

    Pay ratio disclosure: Myths and madne

    Pay ratio disclosure: Myths and madne
    Posted By: Robert B. Lamm It’s done. On August 5, the SEC adopted final rules that will require publicly traded companies to disclose the ratio of the CEO’s “total compensation” to that of the “median…
Rank this Week: 3689

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Aug 31

    WFP Broker Matthew Francis Deline: Barred by FINRA

    WFP Broker Matthew Francis Deline: Barred by FINRA
    Former WFP Securities broker, Matthew Francis Deline has been permanently barred from associating with any FINRA member firm in any capacity.The securities and fraud law firm Fitapelli Kurta is interested in speaking to investors who have…
  • Aug 31

    Former Omni Brokerage’s Byron Anton Meo has Complaint

    Former Omni Brokerage’s Byron Anton Meo has Complaint
    According to the Financial Industry Regulatory Authority (FINRA), former California-based Resourcive broker Byron Anton Meo is currently not licensed to act as a broker or an investment adviser. The securities and investment fraud law firm…
  • Aug 28

    WFP Broker John Evan Schooler

    WFP Broker John Evan Schooler
    The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Arizona-based First Financial Equity broker/adviser John Evan Schooler (CRD# 2368308). John Evan Schooler has…
Rank this Week: 407

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 31

    Why You Can’t Really Include Non-accredited Investors in Rule 506 Offering

    Why You Can’t Really Include Non-accredited Investors in Rule 506 Offering
    One common misconception I encounter among startups is the idea that companies raising capital can include non-accredited investors in Rule 506[1] offerings. While it is technically true that a Rule 506 offering may include up to 35…
  • Jul 31

    Summary of the Proposed Amendments to Form ADV and Investment Advisers Act Rule

    Summary of the Proposed Amendments to Form ADV and Investment Advisers Act Rule
    On May 20, 2015, the SEC issued proposed amendments to Form ADV and the Investment Advisers Act rules. In the release, the SEC proposed amendments to Form ADV that would require advisers to disclose additional information, such as information…
  • Jun 30

    Frequently Asked Questions about Regulation A+

    Frequently Asked Questions about Regulation A+
    Back in March, I wrote about proposed revisions to Regulation A, commonly known as “Regulation A+”, which were designed to implement Section 401 of the Jumpstart Our Business Startups Act (JOBS Act). Since then, the SEC issued its…
Rank this Week: 3120

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/
  • Aug 28

    Shareholders Can Sue Barclays Over Libor Rigging, Rules Judge

    Shareholders Can Sue Barclays Over Libor Rigging, Rules Judge
    A U.S. Judge says that the shareholder lawsuit suing Barclays PLC (BCS) for inflating its stock price by manipulating the London Interbank Offered Rate can proceed. According to lead plaintiffs, the St. Clair Shores Police & Fire…
  • Aug 27

    FDIC Sues Bank of NY Mellon, Citigroup, and US Bancorp for soured RMBSs Purchased by Guaranty Bank

    FDIC Sues Bank of NY Mellon, Citigroup, and US Bancorp for soured RMBSs Purchased by Guaranty Bank
    The Federal Deposit Insurance Corp. is suing Bank of New York Mellon Corp. (BK), Citigroup (C), and US Bancorp (USB) for residential mortgage-backed securities that were purchased by the former Guaranty Bank. The Texas-based bank closed…
  • Aug 26

    Former Merrill Lynch Broker Must Pay $1.4M for Insider Trading

    Former Merrill Lynch Broker Must Pay $1.4M for Insider Trading
    Gary Yin, an ex-Bank of America Merrill Lynch (BAC) broker, must pay $1.4M in restitution for helping a client launder money made from insider trading. Yin admitted to helping former Qualcomm Inc. president Jing Wang conceal hundreds of…
Rank this Week: 4749

Securities Law Prof Blog

Securities Law Prof Blog

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

http://lawprofessors.typepad.com/securities/
  • Aug 28

    Macey-Dare on English Derivatives Litgation

    Macey-Dare on English Derivatives Litgation
    Rupert Macey-Dare has posted Key Derivatives Cases 2015 on SSRN with the following abstract: The paper considers key derivatives cases in the English courts from 2015, namely: Wani v Royal Bank of Scotland, Dexia v Commune di Prato, Enasarco…
  • Aug 17

    Registration Open for 2015 Central States Law Schools Association Conference

    Registration Open for 2015 Central States Law Schools Association Conference
    Please note the following Conference announcement: Registration is now open for the Central States Law Schools Association 2015 Scholarship Conference, on Friday, October 9 and Saturday, October 10 at The University of Toledo College of Law…
  • Aug 17

    Faculty Opening: University of Iowa College of Law

    Faculty Opening: University of Iowa College of Law
    I received the following notice that may be of interest to some of this blog's readers: THE UNIVERSITY OF IOWA COLLEGE OF LAW anticipates hiring several tenured/tenure track faculty members and clinical faculty members (including a director…
Rank this Week: 606

Canadian Securities Law Online

Canadian Securities Law Online

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

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

    Quebec Derivatives Blanket Exemption - Revocation postponed by nine month

    Quebec Derivatives Blanket Exemption - Revocation postponed by nine month
    Alix d’Anglejan-Chatillon and Ken Ottenbreit -  The Autorité des marchés financiers (AMF), Quebec's financial services regulator, published Decision No. 2015-PDG-0132 (the Extension Decision) yesterday (August…
  • Aug 28

    IIROC releases finalized Guidance on Marketplace Threshold

    IIROC releases finalized Guidance on Marketplace Threshold
     The Investment Industry Regulatory Organization of Canada (IIROC) has released its finalized Guidance on Marketplace Thresholds. As discussed in our 2014 post on the draft version, the Guidance is intended to promote stable markets by…
  • Aug 28

    IIROC releases annual report

    IIROC releases annual report
    The Investment Industry Regulatory Organization of Canada (IIROC) has just released its 2014-15 Annual Report. As the accompanying news release indicates, the 56-page report  recaps a number of important achievements during the period,…
Rank this Week: 4179

New York Securities Lawyers Blog

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

http://www.newyorksecuritieslawyersblog.com/
Rank this Week: 724

Broke and Broker

Broke and Broker

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

http://brokeandbroker.com/index.php
  • Aug 28

    The Ol' Variable Annuity Switcheroo

    The Ol' Variable Annuity Switcheroo
    Few products cause more regulatory pain for registered persons than Variable Annuities ("VAs"). No one really seems to like the stuff except for the fact that, well, you know, it's sort of lucrative and most brokerage firms push the…
  • Aug 28

    FBI Warns About Business Email

    FBI Warns About Business Email
    On August 28, 2015, the Federal Bureau of Investigation published an online article "Business E-Mail Compromise / An Emerging Global Threat. The BrokeAndBroker.com Blog regularly covers stories about electronic communication…
  • Aug 27

    EMPLOYMENT TUESDAY at BrokeAndBroker.com

    EMPLOYMENT TUESDAY at BrokeAndBroker.com
    Stockbroker, Compliance, Legal, and Regulatory Jobssearchable by title, skills, job, city, state, zip, and companyThe BrokeAndBroker.com Employment Page@brokeandbroker...
Rank this Week: 331

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/
Rank this Week: 3003

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: 831

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Aug 25

    Better Plan Ahead

    Better Plan Ahead
    Does the fact that an individual defendant’s stock trading took place pursuant to a pre-determined Rule 10b5-1 trading plan undermine any inference that the trades were “suspicious”?  Courts continue to be split on…
  • Jul 31

    Cornerstone Releases Midyear Report

    Cornerstone Releases Midyear Report
    Cornerstone Research (in conjunction with the Stanford Securities Class Action Clearinghouse) has issued its 2015 midyear report on securities class action filings. The findings for the first half of 2015 include: (1) There were 85 new…
  • Jul 6

    How Strong is “Very Strong”?

    How Strong is “Very Strong”?
    The U.S. Court of Appeals for the District of Columbia only hears a small number of securities cases, which means that it is often playing catch-up on the relevant legal standards.  In In re Harman Int’l Industries, Inc. Sec.…
Rank this Week: 2620

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/
  • Aug 25

    How Liquid are Your Bonds?

    How Liquid are Your Bonds?
    Recent turmoil in the financial markets may have you considering whether to sell or ride things out.  If your portfolio contains individual bonds, you should factor in the liquidity of the bonds you hold when making that decision.…
  • Aug 18

    Citigroup Will Pay $180 Million to Settle SEC Case

    Citigroup Will Pay $180 Million to Settle SEC Case
    The Securities and Exchange Commission (“SEC”) announced that Citigroup Global Markets, Inc. (“CGMI”) and Citigroup Alternative Investments LLC (“CAI”) have agreed to settle charges concerning two…
  • Aug 17

    Aegis Fined for Selling Unregistered Penny Stock

    Aegis Fined for Selling Unregistered Penny Stock
    The Financial Industry Regulatory Authority (“FINRA”) announced that is has settled enforcement actions with Aegis Capital Corp. (“Aegis”), two of its chief compliance officers, and its CEO.  Aegis, based in New…
Rank this Week: 409

Cady Bar the Door

Cady Bar the Door

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

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

    SEC Comments on Whistleblower Anti-Retaliation Provisions/Internal Reporting

    SEC Comments on Whistleblower Anti-Retaliation Provisions/Internal Reporting
    In the wake of Dodd-Frank’s passage in July 2010, many companies and corporate organizations lobbied the SEC on its upcoming whistleblower rules.  One of their specific goals was to require whistleblowers, to be eligible for the…
  • Aug 20

    Probably Don’t Do What the Red Cross CEO Just Did

    Probably Don’t Do What the Red Cross CEO Just Did
    You might have read the NPR/ProPublica story from Monday about the Government Accountability Office’s investigation of the Red Cross, and CEO Gail McGovern’s attempts to end that investigation.  The article says that in 2014…
  • Aug 16

    The Justice Department Has Some Things to Tell You about Cybersecurity

    The Justice Department Has Some Things to Tell You about Cybersecurity
    In April the Justice Department’s Computer Crime and Intellectual Property Section issued its Best Practices for Victim Response and Reporting of Cyber Incidents.  It is an excellent guide for a business organization to respond to…
Rank this Week: 3827

Investment Fraud Attorney Blog

Investment Fraud Attorney Blog

Covers securities law. By Pratt Davis.

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

    Finra Checks into Potential Broker Compensation Conflicts of Interest

    Finra Checks into Potential Broker Compensation Conflicts of Interest
    As recently reported in InvestmentNews the Financial Industry Regulatory Authority (“Finra”) is taking a closer look at potential conflicts of interest in how firms pay their brokers. As stated in the article, in the targeted exam…
  • Aug 5

    FINRA Fines Aegis Capital $950,000 over Penny Stock Sale

    FINRA Fines Aegis Capital $950,000 over Penny Stock Sale
    According to a recent article in InvestmentNews, Aegis Capital Corp., a New York-based broker-dealer with over 400 registered brokers, has agreed to pay $950,000 as part of a settlement with the Financial Industry Regulatory Authority Inc.…
  • Aug 1

    SEC Announces $3 million Whistleblower Award

    SEC Announces $3 million Whistleblower Award
    As recently noted in a press release, The Securities and Exchange Commission (“SEC”) announced a whistleblower award of more than $3 million to a company insider whose information helped the SEC crack a complex fraud. …
Rank this Week: 2051

White Collar Wire

White Collar Wire

Covers news, cases, judicial opinions, practical tips and scholarly work regarding white-collar criminal and civil enforcement, grand jury investigations and regulatory compliance. By Jackson R. Sharman, III.

http://jacksharman.com/
  • Aug 14

    Wine, White-Collar Crime and You.

    Wine, White-Collar Crime and You.
    The ABA Southeastern White Collar Crime Institute near Atlanta on September 10 and 11, 2015  is a good event at a nice place (Chateau Elan) for white-collar practitioners. They are letting me speak at the conference, but do not let…
  • Aug 6

    The Myth of Club Fed

    The Myth of Club Fed
    For those who refer in cavalier fashion to white-collar convicts and “Club Fed,” consider this New York Times article on Raj Gupta’s federal prison experience: Onetime Allies on Wall Street Have Uneasy Prison Reunion…
  • Aug 2

    FIFA Indictments, Corporate Compliance, Alfred Kinsey and Robert Lee

    FIFA Indictments, Corporate Compliance, Alfred Kinsey and Robert Lee
    Law360′s Zachary Zagger has a nice piece on the FIFA prosecution and quotes, among others, Jack Sharman: “Given this many defendants and the fact that there is going to be at least some who are going to cooperate, it would not…
Rank this Week: 1946

Andrew Abramowitz, PLLC

Andrew Abramowitz, PLLC

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

http://aalegalnyc.com/blog/
  • Aug 10

    Interesting Reads of the Week of August 10, 2015

    Interesting Reads of the Week of August 10, 2015
    Some interesting legal reads for the week of August 10, 2015: Broc Romanek with the top 10 things to know about the new pay ratio rules. The Wall Street Journal with the latest on financing college expenses via equity, i.e., a share of future…
  • Aug 7

    The Pay Ratio Rule and the Effect of Disclosure

    The Pay Ratio Rule and the Effect of Disclosure
    The SEC this week approved the pay ratio rules, required under the Dodd-Frank Act. Details can be found in the SEC’s adopting release and press release. The rules require disclosure by public companies of the ratio of the compensation…
  • Aug 3

    Interesting Legal Reads of the Week: August 3rd, 2015

    Interesting Legal Reads of the Week: August 3rd, 2015
    Some interesting legal reads for the week of August 3, 2015: From the Philadelphia Inquirer, a feature on the increasing popularity of alternative fee arrangements at law firms. The Wall Street Journal on how confidential IPO filings are…
Rank this Week: 1880

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

http://www.hedgefundlawblog.com
  • Aug 5

    Hedge Fund Events August 2015

    Hedge Fund Events August 2015
    The following are various hedge fund events happening this month.  Please email us if you would like us to add your event to this list. **** Date: August 1, 2015 Sponsor: HFC Event: 10th Annual West Coast Ride for the Children Location:…
  • Jul 1

    Hedge Fund Events July 2015

    Hedge Fund Events July 2015
    The following are various hedge fund events happening this month.  Please email us if you would like us to add your event to this list. **** Date: June 29-July 1, 2015 Sponsor: Infocast Event: 2nd California Water Summit Location:…
  • Jun 1

    Hedge Fund Events June 2015

    Hedge Fund Events June 2015
    The following are various hedge fund events happening this month.  Please email us if you would like us to add your event to this list. **** Date: May 31-June 2, 2015 Sponsor: WITI Event: The Women in Technology International (WITI)…
Rank this Week: 4544

White Collar Alert

White Collar Alert

Provides news and insight to counsel and legal observers concerning white collar criminal defense, internal investigations, government litigation and regulatory compliance. By Montgomery McCracken.

http://whitecollarblog.mmwr.com
  • Aug 4

    Texas Attorney General Ken Paxton Indicted

    Texas Attorney General Ken Paxton Indicted
    Last Tuesday, a Texas grand jury indicted 52-year-old Texas Attorney General Ken Paxton on three counts of securities fraud. Paxton, sworn in on January 1, 2015, was previously a member of the Texas House of Representatives. The alleged…
  • Jul 31

    U.S. Government Appeals Landmark Insider Trading Decision to the Supreme Court

    U.S. Government Appeals Landmark Insider Trading Decision to the Supreme Court
    This guest post was authored by our colleague Rimma Tsvasman, an associate in the firm’s Litigation Department in New York. Rimma concentrates her practice on corporate and securities transactions, investment management…
  • Jul 30

    Attorney General Kane Files Wiretap Charges Against Two Lawyer

    Attorney General Kane Files Wiretap Charges Against Two Lawyer
    This post was co-authored by David F. Herman, an associate in Montgomery McCracken’s Litigation Department. He serves an editor of the firm’s Data Privacy Alert blog, which focuses on data privacy and cybersecurity issues. David…
Rank this Week: 2775

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 28

    FINRA Permanently Bars Former Merrill Lynch Heavyweight Thomas Buck

    FINRA Permanently Bars Former Merrill Lynch Heavyweight Thomas Buck
    This article was originally posted on Stock Market Loss On April 3, 2015, we mentioned that Thomas J. Buck, who was Merrill Lynch’s top financial adviser in Indiana by assets under management –reportedly $1.3 billion – had…
  • May 26

    Investors Receive Biased Advice From Stockbrokers New Study Confirm

    Investors Receive Biased Advice From Stockbrokers New Study Confirm
    This article was originally posted on Stock Market Loss In our May 18th post, we discussed stockbrokers (sales persons who purportedly dispense advice only in conjunction with selling investment products) and investment advisors (who give…
  • May 19

    Non-Traded REITs are Unsuitable for Retail Investor

    Non-Traded REITs are Unsuitable for Retail Investor
    This article was originally posted on Stock Market Loss We continue to see lots of activity involving unsuitable sales of non-traded Real Estate Investment Trusts (“non-traded REITs”). If you’re a retail customer who was…
Rank this Week: 3603

May Law, PC Blog

May Law, PC Blog

Covers investment law, securities laws the requirements of the Financial Industry Regulatory Authority (FINRA).

http://www.maylawpc.net/category/blog/
Rank this Week: 2836

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: 433

Business Law Post

Business Law Post

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

http://www.businesslawpost.com
Rank this Week: 4716