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Securities Lawyer 101

Securities Lawyer 101

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

http://www.securitieslawyer101.com/blog/
  • Sep 10

    Corporate Hijackings 101 l Securities Lawyer 101 Blog

    Corporate Hijackings 101 l Securities Lawyer 101 Blog
    Securities Lawyer 101 Blog Corporate hijackings, also known as corporate identity theft, of public shell companies has been around for more than a decade.  It  is a growing method used by fraudsters to acquire…
  • 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…
Rank this Week: 56

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/
  • Mar 3

    Stop Asking The Business Court To Overrule An Order Of Another Business Court Judge

    Stop Asking The Business Court To Overrule An Order Of Another Business Court Judge
    I don't know why lawyers keep trying to get Business Court Judges to overrule decisions by one of their predecessors.  It is just not going to happen, as illustrated (yet again) by Judge Bledsoe's decision in County of Catawba v. Frye…
  • Feb 25

    A Valuable Point From The NC Business Court On Subpoenas Without Deposition

    A Valuable Point From The NC Business Court On Subpoenas Without Deposition
    Can you send a subpoena duces tecum -- which translated from Latin is "a writ commanding a person to produce in court certain designated documents or evidence " --  without coupling it with a deposition? Maybe that question has never…
  • Feb 12

    The Business Court Rules Again On Claims Under The North Carolina Securities Act

    The Business Court Rules Again On Claims Under The North Carolina Securities Act
    Last week's decision in Atkinson v. Lackey, 2015 NCBC 13 doesn't tell you everything you wanted to know about the North Carolina Securities Act (the "NCSA"), but it comes pretty close. The lawsuit was brought by three individuals who had made…
Rank this Week: 1002

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Mar 3

    Cary Olson Sanctioned by FINRA Over Non-Traditional ETF Sale

    Cary Olson Sanctioned by FINRA Over Non-Traditional ETF Sale
    The Financial Industry Regulatory Authority (FINRA) sanctioned broker Cary Olson (Olson) concerning allegations that Olson made recommendations in non-traditional exchange-traded funds (ETFs) to several customers without having reasonable…
  • Mar 2

    Broker Investigation: Stephen Dealy’s Alternative Investment Recommendation

    Broker Investigation: Stephen Dealy’s Alternative Investment Recommendation
    The Financial Industry Regulatory Authority (FINRA) sanctioned broker Stephen Dealy (Dealy) concerning allegations that Dealy willfully failed to timely amend his Form U4 to disclose a federal tax lien. FINRA also alleged that Dealy failed to…
  • Feb 27

    Gana LLP Broker Spotlight: Wade Lawrence

    Gana LLP Broker Spotlight: Wade Lawrence
    According to the records kept by the Financial Industry Regulatory Authority (FINRA) broker Wade Lawrence (Lawrence) has been suspended following the broker’s failure to comply with an arbitration award or settlement and by failing to…
Rank this Week: 1220

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
Rank this Week: 236

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

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

    Corporations Are Not People in Delaware Courts, Cannot Be Expert Witnesse

    Corporations Are Not People in Delaware Courts, Cannot Be Expert Witnesse
    [This story previously appeared in Securities Regulation Daily.]By Joanne Cursinella, J.D.Only a biological person can be an expert witness in Delaware under its Rules of Evidence, so the defendants in a shareholder litigation could not…
  • Mar 2

    Whole Foods Position Creates Whole Host of Problems, Coalition Say

    Whole Foods Position Creates Whole Host of Problems, Coalition Say
    [This story previously appeared in Securities Regulation Daily.]By John Filar AtwoodThe SEC’s decision to review the Rule 14a-8(i)(9) basis for omission of shareholder proposals has drawn the ire of a coalition of 17 professional…
  • Feb 27

    Chair Massad Highlights Recent CFTC Actions and Prioritie

    Chair Massad Highlights Recent CFTC Actions and Prioritie
    [This story previously appeared in Securities Regulation Daily.]By Amanda Maine, J.D.The global financial crisis demonstrated how excessive risk in the over-the-counter (OTC) derivatives market can contribute to systemic risk, according…
Rank this Week: 350

Business Blog

Business Blog

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

http://www.businesslawnews.com/
  • Mar 3

    The Evolution of Health Care Competition Law

    The Evolution of Health Care Competition Law
    The Federal Trade Commission, in conjunction with the U.S. Department of Justice Antitrust Division, recently held a two-day workshop to analyze the competitive effects of developing health care provider organizations and payment models on…
  • Mar 2

    Open Space Funding Allocation in New Jersey

    Open Space Funding Allocation in New Jersey
    New Jersey lawmakers are currently trying to determine how to allocate funding for open space preservation in the state. Given the limited resources, it will be difficult to please everyone. The Legal Background Last year, New Jersey voters…
  • Feb 27

    List of FINRA Exam Priorites for 2015

    List of FINRA Exam Priorites for 2015
    The Financial Industry Regulatory Authority (“FINRA”) recently published its 2015 Regulatory and Examinations Priorities Letter. The priorities for this year are divided into the following three categories: key sales practices,…
Rank this Week: 615

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

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

    Shareholder Proposals: Another Flip-Flop? “Upon Further Reflection”

    Shareholder Proposals: Another Flip-Flop? “Upon Further Reflection”
    Here’s my reaction when I learned of this new development: It looks like the Corp Fin Staff has reversed course on a line of proposals that asks the board to adopt a policy that the board chair shall be an independent director who is…
  • Mar 2

    Our Newly Redesigned Site! Give Me Your Feedback…

    Our Newly Redesigned Site! Give Me Your Feedback…
    If you head to our home page today, you’ll see that we have launched a newly redesigned site! Long overdue, it’s my first rethink since I completely overhauled the site when I took it over in January 2003. The reality is that only…
  • Feb 27

    Proxy Access: Citigroup Joins GE & Others (Sorta Kinda)

    Proxy Access: Citigroup Joins GE & Others (Sorta Kinda)
    A few weeks ago, I blogged that General Electric and two other companies had adopted proxy access bylaws in the face of shareholder proposals seeking access. Now comes the news from this WSJ article (& this Reuters piece) – in this…
Rank this Week: 348

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/
  • Mar 3

    Webcast: “Merger Filings with the SEC: Nuts & Bolts”

    Webcast: “Merger Filings with the SEC: Nuts & Bolts”
    Tune in tomorrow for the webcast – “Merger Filings with the SEC: Nuts & Bolts” – to hear Dennis Garris of Alston & Bird, Laurie Green of Holland & Knight and Jim Moloney of Gibson Dunn discuss the nuts…
  • Mar 2

    Transcript: “Proxy Solicitation Tactics in M&A”

    Transcript: “Proxy Solicitation Tactics in M&A”
    We have posted the transcript for our recent webcast: “Proxy Solicitation Tactics in M&A.”
  • Feb 26

    Activision: Shareholder Challenging $275 Million Settlement

    Activision: Shareholder Challenging $275 Million Settlement
    This Reuters article provides an interesting summary of some of the issues relating to the proposed settlement – and the expected objection – in the In re Activision Blizzard settlement announced last November. In addition to an…
Rank this Week: 590

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/
  • Mar 3

    Does Former Officer Have An Obligation To Turn Over Whistleblower Award?

    Does Former Officer Have An Obligation To Turn Over Whistleblower Award?
    Yesterday, the Securities and Exchange Commission announced “a whistleblower award payout between $475,000 and $575,000 to a former company officer who reported original, high-quality information about a securities fraud that…
  • Mar 2

    Broad Coalition Delivers Blunt Rebuke To SEC Chairman

    Broad Coalition Delivers Blunt Rebuke To SEC Chairman
    Last month, I wrote that the SEC’s about face in responding to the no-action letter request of Whole Foods Market, Inc. “clearly wasn’t the SEC’s finest hour.”  See SEC’s Rule 14a-8 Volte-Face Is…
  • Feb 27

    Is Anything Fishy With The SEC’s Whistleblower Inquiries?

    Is Anything Fishy With The SEC’s Whistleblower Inquiries?
    Yesterday, Rachel Louise Ensign of The Wall Street Journal wrote that the SEC recently sent letters “to a number of companies asking for years of nondisclosure agreements, employment contracts and other documents”.  According…
Rank this Week: 511

Cady Bar the Door

Cady Bar the Door

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

http://www.secmiscellany.com
  • Mar 2

    The SEC Will Be Your Employment Law Agency, Too

    The SEC Will Be Your Employment Law Agency, Too
    The nature of the SEC’s business a regulator of public companies lends a certain expansive aspect to its jurisdiction.  That is, when your job as a government agency is to be sure public companies are making complete and accurate…
  • Mar 1

    SIFMA Gets Its Cybersecurity-Antitrust Wish

    SIFMA Gets Its Cybersecurity-Antitrust Wish
    I’m sure you remember SIFMA’s Principles for Effective Cybersecurity Regulatory Guidance, issued last October.  I mean, you read about them right here. One of the principles was this: Principle 9: Information Sharing is…
  • Feb 26

    Two-Factor Authentication May Be Coming to a Bank Near You

    Two-Factor Authentication May Be Coming to a Bank Near You
    When I was at the SEC and online broker-dealers’ customers were the victims of hacking incidents, I used to wonder, why don’t the broker-dealers require multi-factor authentication to gain access to accounts?  It was a silly…
Rank this Week: 2139

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/
  • Mar 2

    The SEC’s Examination Priorities for 2015

    The SEC’s Examination Priorities for 2015
    The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (“OCIE”) announced the National Examination Program (“NEP”).  Below are the top 6 things to take away…
  • Feb 18

    FINRA’s Regulatory and On-Site Exam Priorities for 2015

    FINRA’s Regulatory and On-Site Exam Priorities for 2015
    Gear up and prepare yourselves –FINRA says they’re concerned with: 1)      Senior Investors. Due to the aging of “Baby Boomers,” the population of senior investors is large…
  • Feb 9

    The SEC’s View on Historic Fine

    The SEC’s View on Historic Fine
    When former federal prosecutor Mary Jo White was appointed the Chairwoman of the Securities and Exchange Commission (“SEC”), everyone in the securities industry knew right away that…
Rank this Week: 3352

Subject to Inquiry

Subject to Inquiry

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

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

    Mind the Red Flags – FinCEN Issues Penalty for Failure to File SARs on Director’s Suspicious Activity

    Mind the Red Flags – FinCEN Issues Penalty for Failure to File SARs on Director’s Suspicious Activity
    The U.S. Treasury Department’s Financial Crimes Enforcement Network (FinCEN) recently penalized First National Community Bank (FNCB) $1.5 million for failing to file suspicious activity reports (SARs) despite the existence of…
  • Feb 26

    SEC Speaks 2015: Enforcement Highlight

    SEC Speaks 2015: Enforcement Highlight
    On February 20, 2015, the Securities and Exchange Commission (SEC) held its annual SEC Speaks conference, which updated the public regarding the staff’s work over the last year and its plans for 2015. The conference covered several…
  • Feb 23

    Guilty Plea in DOJ’s First Criminal Prosecution for Campaign Finance Coordination

    Guilty Plea in DOJ’s First Criminal Prosecution for Campaign Finance Coordination
    The news media has already engaged in rampant speculation regarding the potential candidates from both parties in the 2016 presidential election. Inextricably tied to the talk of political campaigns is the public discussion about campaign…
Rank this Week: 2587

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/
  • Mar 2

    Securities Investigation involving UBS’s V10 Enhanced FX Carry Strategy

    Securities Investigation involving UBS’s V10 Enhanced FX Carry Strategy
    According to reports, a lawsuit was recently filed  against UBS Group for selling its V10 Enhanced FX Carry Strategy product without allegedly explaining the risk and complexity of the investment. The lawsuit reportedly further…
  • Feb 27

    Investigation into Unite Realty Trust

    Investigation into Unite Realty Trust
    Recent news regarding the real estate investment trust, United Realty Trust, may be of concern to some investors. According to Investment news, a former executive of Cabot Lodge securities, Al Akerman, sent a letter to the SEC’s Office…
  • Feb 20

    Jason Muskey Accused of Fraud

    Jason Muskey Accused of Fraud
    Have you suffered financial losses as a result of investments made with Jason Muskey? If so, The White Law Group may be able to help you recover your investment losses through an arbitration claim with the Financial Industry Regulatory…
Rank this Week: 684

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • Mar 2

    The New Zealand Edition

    The New Zealand Edition
    The D&O Diary continued its South Pacific sojourn over the weekend with a short stop in Auckland, New Zealand’s largest city, for meetings and for a brief look around. Auckland is located on New Zealand’s Northern Island,…
  • Feb 27

    Cornerstone Research Releases 2014 M&A Litigation Report

    Cornerstone Research Releases 2014 M&A Litigation Report
    According to the latest report from Cornerstone Research, during 2014, over 90 percent of M&A transactions resulting in at least one lawsuit, but each deal attracted a smaller average number of lawsuits and in fewer jurisdictions than in…
  • Feb 27

    The D&O Diary Goes Down Under

    The D&O Diary Goes Down Under
    The D&O Diary is on assignment in Australia this week. Here’s what you need to know about Sydney in late February – if you traverse the vast expanse of the Pacific Ocean, fly across the Equator and the International Date Line,…
Rank this Week: 329

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/
  • Mar 1

    SEC News: Insider Trading, Pyramid Schemes, Fraudulent Deception

    SEC News: Insider Trading, Pyramid Schemes, Fraudulent Deception
    Charges Against Atlanta Man Accused of Insider Trading in Advance of Tender OfferAn Atlanta resident has been accused of insider trading in the stock of a technology company by exploiting nonpublic information he learned from the friend of a…
  • Mar 1

    New Arbitrator Rule - Customer and Firm Attorneys are No Longer Public Arbitrator

    New Arbitrator Rule - Customer and Firm Attorneys are No Longer Public Arbitrator
    The SEC has approved a FINRA rule proposal which will dramatically change the composition of arbitration panels. For years attorneys who solely represent customers have been complaining that there are too many arbitrators with ties to the…
  • Feb 24

    Stifel Confirms Acquisition of Sterne Agee

    Stifel Confirms Acquisition of Sterne Agee
    After weeks of speculation, St. Louis-based Stifel Financial announced it has entered a definitive merger agreement to acquire Birmingham's Sterne Agee Group Inc. in a $150 million deal. Sterne Agee brings 730 financial advisers and…
Rank this Week: 405

The Securities Edge

The Securities Edge

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

http://www.thesecuritiesedge.com/
  • Mar 1

    Political contributions disclosure: My Exchange Act report is bigger than your

    Political contributions disclosure: My Exchange Act report is bigger than your
    Posted By: Robert B. Lamm As some of us contemplate which disclosure rules we’d like to do away with, others are thinking about new rules that would require more disclosure. One possible area of rulemaking relates to disclosure of…
  • Feb 20

    Ineffective disclosure

    Ineffective disclosure
    Posted By: Robert B. Lamm It’s not for nothing that I’m a securities lawyer.  I sincerely believe in the need for and efficacy of full and fair disclosure, both professionally and personally.  That’s one of the…
  • Feb 12

    Marketplace lending: A hot new industry looking for crowdfunding

    Marketplace lending: A hot new industry looking for crowdfunding
    Posted By: Gregory K. Bader Marketplace lending surely had its day in the sun in 2014.  Peer-to-peer lending, which now goes by the term marketplace lending, took a big step forward last year.  We saw the IPO of Lending Club rocket…
Rank this Week: 3749

Recover Investment Losses Blog

Recover Investment Losses Blog

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

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

    “Wings Network” Named by SEC in Ponzi Scheme Targeting Latino

    “Wings Network” Named by SEC in Ponzi Scheme Targeting Latino
    February 27, 2015 The U.S. Securities & Exchange Commission (SEC) filed charges against 3 company officers and 12 promoters who were operating an international pyramid scheme using  Portuguese companies operating under the name Wings…
  • Feb 27

    Charles Kilway of North Richland Hills, TX, Sentenced for Securities Fraud

    Charles Kilway of North Richland Hills, TX, Sentenced for Securities Fraud
    February 19, 2015- North Richland Hills, Texas The Texas State Securities Board announced that Charles Wayne Kilway was sentenced to 15 years in state prison for the fraudulent sale of securities and 15 years for theft of property from the…
  • Feb 27

    Newbridge Securities Agrees to Pay $850,000 in Inflated Postage Charge Class Action

    Newbridge Securities Agrees to Pay $850,000 in Inflated Postage Charge Class Action
    February 27, 2015- Ft. Lauderdale, FL The InvestmentNews reports that Newbridge Securities Corp. , which is headquartered in Ft. Lauderdale, Florida, has agreed to pay $850,000 to resolve a class action lawsuit alleging that Newbridge…
Rank this Week: 792

White Collar Wire

White Collar Wire

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

http://jacksharman.com/
  • Feb 27

    Read Our White Collar Magazine on Flipboard. Seriously.

    Read Our White Collar Magazine on Flipboard. Seriously.
    This weekend, flip through White Collar magazine (by Jack Sharman) http://flip.it/rkxEc and follow it for white-collar news and notes. If you don’t use Flipboard, it is very handy as a personalized news aggregator.  …
  • Feb 21

    White Collar Wire Now on Facebook and Tumblr

    White Collar Wire Now on Facebook and Tumblr
      With some trepidation, we finally took the plunge and established a White Collar Wire page on Facebook. Please go over there and “like” it, “friend” it an otherwise approve us.  I promise it will…
  • Feb 20

    When Your Lawyer Dimes You In A Wireless World: Undercover Techniques and White-Collar Investigation

    When Your Lawyer Dimes You In A Wireless World: Undercover Techniques and White-Collar Investigation
    It has become commonplace to note the ascendancy in white-collar investigations of techniques previously reserved for investigations of organized crime and violent, life-and-death offenses. Three recent articles bring the issue around again.…
Rank this Week: 3605

Canadian Securities Law Online

Canadian Securities Law Online

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

http://www.canadiansecuritieslaw.com/
  • Feb 27

    CSA release 2014 Enforcement Report

    CSA release 2014 Enforcement Report
    The Canadian Securities Administrators recently released their 2014 Enforcement Report, which provides a summary of the enforcement actions undertaken by CSA members over the past year. According to the report, CSA member staff initiated 105…
  • Feb 27

    IIROC proposes adjusting margin requirements for agency lending agreement

    IIROC proposes adjusting margin requirements for agency lending agreement
    The Investment Industry Regulatory Organization of Canada yesterday proposed amendments to Dealer Member Form 1 intended to address concerns that current rules do not set out specific margin requirements for agency cash and security…
  • Feb 26

    OSC releases 2014 report for investment fund and structured product issuer

    OSC releases 2014 report for investment fund and structured product issuer
    Darin Renton -  The OSC last week released its annual Summary Report for Investment Fund and Structured Product Issuers, which reviewed the OSC's initiatives for 2014 that impact investment fund and structured product issuers (including…
Rank this Week: 1579

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: 932

Financial Counsel

Financial Counsel

Covers compliance, employment and industry intelligence for investment professionals and investment, planning and regulatory intelligence for investors. By James J. Eccleston.

http://financialcounselblog.com
  • Feb 27

    World Equity Group Is Charged for Failing to Supervise Sales of Risky Investment

    World Equity Group Is Charged for Failing to Supervise Sales of Risky Investment
    From the Desk of Jim Eccleston at Eccleston Law Offices:FINRA has accused World Equity Group, an Illinois based brokerage firm, of failing to supervise the sale of non-traditional Exchange Traded Funds (ETFs), failing to properly document due…
  • Feb 24

    First American Securities Charged for Failing to Supervise Broker

    First American Securities Charged for Failing to Supervise Broker
    From the Desk of Jim Eccleston at Eccleston Law Offices: First American Securities, Inc., an Ohio-based brokerage firm, was fined by FINRA for failing to implement, maintain and enforce a proper supervisory system. According to FINRA,…
  • Feb 18

    Deferred Compensation Is the New Black For Wirehouses Payment Grid

    Deferred Compensation Is the New Black For Wirehouses Payment Grid
    From the Desk of Jim Eccleston at Eccleston Law Offices:Many wirehouses have deferred compensations for their advisors. Even though the whole grids were largely left intact, compensation is inarguably more back loaded, and therefore somewhat…
Rank this Week: 151

Broke and Broker

Broke and Broker

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

http://brokeandbroker.com/index.php
  • Feb 27

    EMPLOYMENT TUESDAY at BrokerAndBroker.com

    EMPLOYMENT TUESDAY at BrokerAndBroker.com
    Stockbroker, Compliance, Legal, and Regulatory JobsEmployment Page BrokeAndBroker.com Jobs...
  • Feb 26

    SEC Operation Shell Expel Drains Reverse Merger Cesspool

    SEC Operation Shell Expel Drains Reverse Merger Cesspool
    Few queries get my blood more agitated than those in which a client asks my thoughts about the potential acquisition of a so-called Shell Company as part of a reverse merger. The theory is that it's quicker and cheaper to get public by…
  • Feb 26

    Office Condo LLC and Residential Property LLC Add Up To Outside Business Violation

    Office Condo LLC and Residential Property LLC Add Up To Outside Business Violation
    An opportunity presents itself for you to get involved in some business deal outside of your broker-dealer.  The way you see it, your role won't be particularly active. In fact, other than setting up a corporation or limited liability…
Rank this Week: 948

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

http://www.seclawyersblog.com/
Rank this Week: 851

Securities Fraud Attorney Blog

Securities Fraud Attorney Blog

Covers securities fraud, and other areas of securities law and banking and finance law. By Rich, Intelisano & Katz, LLP.

http://www.securitiesfraudattorneyblog.com/
  • Feb 25

    Brokers May Soon Be Subject to Fiduciary Duty to Their IRA Investor

    Brokers May Soon Be Subject to Fiduciary Duty to Their IRA Investor
    A leaked White House memo supports imposing fiduciary duties on brokers in their dealings with IRA investors, as reported by the New York Times. Current rules provide a weaker standard for brokers. The memo estimates that the absence of…
  • Feb 19

    Securities Arbitration Award Against Merrill Lynch Upheld

    Securities Arbitration Award Against Merrill Lynch Upheld
    This week, the New Jersey Supreme Court denied the appeal of an arbitration award against Merrill Lynch by the Associated Humane Societies Inc. of Tinton Falls, N.J. In the original FINRA arbitration, the society alleged that certain of its…
  • Feb 19

    Brokers Must Consider New Market Realities When Determining the Suitability of Asset Allocation for Young Investor

    Brokers Must Consider New Market Realities When Determining the Suitability of Asset Allocation for Young Investor
    Does the conventional wisdom regarding asset allocation hold up in today’s economy? The New York Times recently featured an article suggesting that a portfolio teeming with risky stocks, derivatives, and other exotic investments may,…
Rank this Week: 1306

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: 1717

Footnoted

Footnoted

Reports on actionable information in SEC filings.

http://www.footnoted.com/
Rank this Week: 3401

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: 2088

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • Feb 23

    Josh Horn’s Great Guidance on RIA Conflicts of Interest

    Josh Horn’s Great Guidance on RIA Conflicts of Interest
    We are pleased to share with everyone Josh Horn’s excellent guidance on RIA conflicts of interest, recently, published in the Practical Compliance and Risk Management for the Securities Industry, a professional journal published by…
  • Feb 23

    What FINRA Is Doing About Private Placement

    What FINRA Is Doing About Private Placement
    FINRA recently censured and fined a broker-dealer $175,000.00 for failing to perform appropriate due diligence and supervision regarding private placements that the firm and its registered representatives offered. This penalty should serve as…
  • Feb 18

    FINRA in 2015 – High-Risk and Recidivist Broker

    FINRA in 2015 – High-Risk and Recidivist Broker
    FINRA is planning on turning up the heat on perceived “high-risk” brokers this year, and the firms that hire them.  Continuing our discussion regarding FINRA’s 2015 Regulatory and Examinations Priorities Letter, this…
Rank this Week: 2197

InvestorLawyers.net

InvestorLawyers.net

Covers the right to recover money from dishonest stockbrokers and investment advisers.

http://www.investorlawyers.net/blog/
Rank this Week: 1732

Securities Mining Law

Securities Mining Law

Covers securities law affecting the mining industry in Canada.

http://www.securitiesmininglaw.com/
  • Feb 23

    PDAC

    PDAC
    Only going to one mining investment show? Make it this one. PDAC International Convention, Trade Show & Investors Exchange is the world’s leading Convention for people, companies and organizations in, or connected with, mineral…
  • Dec 3

    Important Changes to Offerings to Existing Security Holders and Rights Offerings and their Impact on the Mining Sector in Canada

    Important Changes to Offerings to Existing Security Holders and Rights Offerings and their Impact on the Mining Sector in Canada
    Two important developments were announced today that affect how Canadian reporting issuers can raise capital from their existing security holders: The Ontario Securities Commission (“OSC”) announced the introduction of a new…
  • Nov 5

    Mining seminar

    Mining seminar
    Please join Dentons’ Mining Group at the Terminal City Club on Tuesday, November 18, 2014, as we discuss the following topics: “Tax pitfalls and planning for the mining sector,” presented by Anne Calverley, Partner (Dentons…
Rank this Week: 2808

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/
  • Feb 23

    SEC Speaks 2015

    SEC Speaks 2015
    At SEC Speaks 2015 on February 20, 2015 in Washington, D.C., Chair Mary Jo White, Commissioner Luis A. Aguilar, Commissioner Daniel M. Gallagher, Commissioner Michael S. Piwowar, and Commissioner Kara M. Stein delivered remarks. The texts of…
  • Feb 23

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: Jesse Scott, Student Article, The JOBS Act: Encouraging Capital Formation, But Not IPOs, 7 J. Bus. Entrepreneurship & L. 367 (2014).…
  • Feb 23

    This Week in Securities Litigation

    This Week in Securities Litigation
    The SEC Actions Blog has compiled This Week In Securities Litigation (Week ending February 20, 2015).
Rank this Week: 130

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/
  • Feb 20

    SEC Examines Whether Banks Are Complying With Capital Rule

    SEC Examines Whether Banks Are Complying With Capital Rule
    The Securities and Exchange Commission is looking at efforts by banks to comply with capital rules. The regulator is searching for improper activities involving the way these financial institutions value complicated assets, as well as…
  • Feb 18

    US Probing Whether Morgan Stanley Data Breach Was Linked to Fired Financial Adviser

    US Probing Whether Morgan Stanley Data Breach Was Linked to Fired Financial Adviser
    A U.S investigation into the way Morgan Stanley (MS) information became available for sale online is looking at whether hackers targeted financial adviser Galen Marsh after he took information from the bank. Marsh was fired for taking data on…
  • Feb 17

    EU Fines ICAP $17M for Helping Traders Manipulate Yen Libor

    EU Fines ICAP $17M for Helping Traders Manipulate Yen Libor
    The European Commission says that ICAP Plc has been ordered to pay a $17.2 million fine for helping traders manipulate benchmark interest rates linked to the Japanese yen. The word’s largest broker of transactions between banks is…
Rank this Week: 882

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: 263

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
Rank this Week: 3468

100 F Street

100 F Street

Covers securities law for growing businesses. By Vanessa Schoenthaler.

http://100fstreet.com/
  • Feb 20

    ISS Releases FAQs Related to Its 2015 Proxy Voting Policie

    ISS Releases FAQs Related to Its 2015 Proxy Voting Policie
    Yesterday Institutional Shareholder Services (ISS) released a set of five frequently asked questions related to select proxy voting policies for the 2015 proxy season. The first two questions address shareholder proxy…
  • Feb 16

    Catching Up on All Things Proxy Related From Last Week

    Catching Up on All Things Proxy Related From Last Week
    Among the many things Commission-related going on as of late, here’s a round of up some of the more notable proxy-related matters from the week that was February 9th. The Upcoming Proxy Voting Roundtable On Thursday the Commission…
  • Feb 9

    The SEC Issues Proposed Rules Regarding Disclosure of Hedging by Employees and Director

    The SEC Issues Proposed Rules Regarding Disclosure of Hedging by Employees and Director
    Yesterday the Securities and Exchange Commission announced the adoption of proposed rules to implement Section 955 of the Dodd-Frank Wall Street Reform and Consumer Protection Act which addresses disclosure of company policies…
Rank this Week: 5056

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Feb 20

    Give and Take

    Give and Take
    To what extent does a company have to anticipate that its actions could result in a negative regulatory outcome?  In Fire and Police Pension Association of Colorado v. Abiomed, Inc., 2015 WL 500748 (1st Cir. Feb. 6, 2015), the…
  • Jan 30

    Compare and Contrast

    Compare and Contrast
    NERA Economic Consulting and Cornerstone Research (in conjunction with the Stanford Securities Class Action Clearinghouse) have released their 2014 annual reports on securities class action filings.  As usual, the different methodologies…
  • Jan 24

    Domestic Statu

    Domestic Statu
    Under the Morrison test for extraterritoriality, a Section 10(b) claim for securities fraud may only be brought if the transaction involved “the purchase or sale of a security listed on an American stock exchange” or “the…
Rank this Week: 755

William Carleton, Counselor @ Law

William Carleton, Counselor @ Law

Covers legal and investment issues facing emerging tech companies.

http://www.wac6.com/wac6/
  • Feb 20

    First Cherry Blossom

    First Cherry Blossom
    Wet and temperate in Seattle this morning. And look, Spring!
  • Feb 9

    Lark & Environ

    Lark & Environ
    Interesting stuff going on at, let's call it 10th and Seneca, about a half block east of Broadway off Madison. Lark has recently moved there, and, based on one dinner experience at the new location, is as good or better...
  • Jan 25

    One Thousand Things Worth Knowing

    One Thousand Things Worth Knowing
    This weekend I've read Paul Muldoon's newly published collection of poems, "One Thousand Things Worth Knowing." (The dust jacket sports a very pleasing design by the ubiquitous Quemadura, a brilliant designer and a kind man I will…
Rank this Week: 1360

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: 3199

Florida Securities Fraud Lawyer…

Florida Securities Fraud Lawyer Blog

Covers securities fraud, investor fraud and Ponzi schemes. By McCabe Rabin, P.A.

http://www.floridasecuritiesfraudlawyerblog.com/
  • Feb 16

    Securities Clawback Actions May be Subject to Arbitration Clause

    Securities Clawback Actions May be Subject to Arbitration Clause
    The United States Court of Appeals for the Eleventh Circuit recently held that “clawback actions brought by court-appointed receivers are not categorically exempt from the Federal Arbitration Act.”  Wiand v. Schneiderman,…
  • Feb 6

    Standard & Poor’s to Pay $1.375 Billion to Settle Lawsuit

    Standard & Poor’s to Pay $1.375 Billion to Settle Lawsuit
    According to the Department of Justice, rating agency Standard & Poor’s Financial Services, LLC (“S&P) and its parent company McGraw Hill Financial, Inc. have agreed to settle multiple lawsuits brought by the federal…
  • Dec 5

    FINRA Increases Arbitrator Pay- Passes Costs to Partie

    FINRA Increases Arbitrator Pay- Passes Costs to Partie
    According to Regulatory Notice 14-49 (“RN 14-49”) issued by the Financial Industry Regulatory Authority (“FINRA”), FINRA is increasing the pay for arbitrators assigned to hear FINRA cases and passing the costs of the…
Rank this Week: 731

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: 475

BD Law Blog

BD Law Blog

Features news, updates and thoughts regarding broker-dealer and investment adviser regulation and legal and compliance issues. By the Beck Law Firm, LLC.

http://www.bdlawblog.com/
  • Feb 13

    We've Moved. Great Content Still - But at New Site!

    We've Moved. Great Content Still - But at New Site!
    Posts here at BDLawBlog.com have been infrequent of late. We've been working to roll out a new online presence for The Beck Law Firm, LLC, that incorporates our blog. After more than seven years here, and more than 500 posts,...
  • Jan 7

    SEC Affirms FINRA Sanctions for Broker Taking Client Info. to New Firm

    SEC Affirms FINRA Sanctions for Broker Taking Client Info. to New Firm
    On December 15, 2014, the SEC affirmed a FINRA disciplinary action finding that a broker violated Conduct Rule 2110 when that broker downloaded certain confidential and nonpublic customer information for more than 2000 clients of his former…
  • Dec 19

    Lessons learned from putting on "the Suit."

    Lessons learned from putting on "the Suit."
    Every now and then I use my blog to share with you things not necessarily related to the law, or to our practice areas of financial markets law, estate planning or business law. Today's one of those days, and I...
Rank this Week: 1499

New York Securities Lawyer Blog

New York Securities Lawyer Blog

Covers securities law. By Lax & Neville LLP.

http://www.newyorksecuritieslawyerblog.com/
Rank this Week: 2884

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
Rank this Week: 1556

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/
  • Feb 9

    Once again, House takes up bill governing M&A broker

    Once again, House takes up bill governing M&A broker
    HR 686, The Small Business Mergers, Acquisitions, Sales & Brokerage Simplification Act, was introduced in the U.S. House of Representatives on Feb. 3, 2015. This bill is identical to HR 2274, which was passed unanimously in the U.S. House…
  • Jan 20

    Comment by Feb. 16 on proposed uniform state model rule for M&A broker

    Comment by Feb. 16 on proposed uniform state model rule for M&A broker
    The Broker-Dealer Section of the North American Securities Administrators Association is seeking comments no later than Feb. 16, 2015, on a proposed uniform state model rule exempting certain merger and acquisition brokers from registration…
  • Dec 29

    Bill governing M&A brokers should resurface in 2015

    Bill governing M&A brokers should resurface in 2015
    During 2014, Congress has gained momentum toward creating an exemption from federal broker-dealer registration for “M&A brokers” who facilitate mergers, acquisitions, sales and similar transactions involving privately held…
Rank this Week: 1191

Strictly Business

Strictly Business

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

http://www.strictlybusinesslawblog.com/
Rank this Week: 1646