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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: 57

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Apr 18

    Lockheed Martin Wants Out of 40-Year-Old Disclosure Order

    Lockheed Martin Wants Out of 40-Year-Old Disclosure Order
    By Anne Sherry, J.D.Nearly 40 years ago, the SEC obtained an order requiring Lockheed Aircraft Corporation to, among other undertakings, file a Form 8-K at least 10 days before revising its anti-corruption policies. Lockheed Martin…
  • Apr 17

    Gallagher Lambastes FSB’s ‘Coercive’ Global Regulation Tactic

    Gallagher Lambastes FSB’s ‘Coercive’ Global Regulation Tactic
    By Amy Leisinger, J.D.In recent remarks, SEC Commissioner Daniel M. Gallagher addressed the tenuous relationship between global and domestic regulation of the financial industry. He questioned the effects of mandates by the G-20 and the…
  • Apr 16

    Massachusetts Permanently Adopts Emergency Crowdfunding Exemption

    Massachusetts Permanently Adopts Emergency Crowdfunding Exemption
    By Jay Fishman, J.D.The Massachusetts Securities Division permanently adopted an emergency intrastate crowdfunding exemption permitting job growth by helping Massachusetts small and early-stage businesses find investors and gain greater…
Rank this Week: 165

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Apr 17

    Creating Your Own Losse

    Creating Your Own Losse
    Under the PSLRA, the presumptive lead plaintiff in a securities class action is the applicant with the “largest financial interest in the relief sought by the class.”  The largest financial interest is measured by assessing…
  • Mar 25

    Omnicare Decided

    Omnicare Decided
    The U.S. Supreme Court has issued a decision in the Omnicare case holding that opinions presented in registration statements can be subject to Section 11 liability if either (a) the opinion was not genuinely held, or (b) the registration…
  • Mar 20

    The Streak Is Over

    The Streak Is Over
    Plaintiffs in securities class actions often point to insider trades as evidence that the individual defendants had a pecuniary motive to commit fraud.   But if the plaintiffs do not make any allegations related to insider…
Rank this Week: 951

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
  • Apr 17

    Summary of the Department of Labor’s Action to Protect Retirement Saver

    Summary of the Department of Labor’s Action to Protect Retirement Saver
    Earlier this week, the Department of Labor delivered a proposed rulemaking to guard investors from backdoor payments and hidden fees in retirement investment advice. The below summary is from the fact sheet of the proposal for action.…
  • Apr 17

    Former JPMorgan Chase Broker Oppenheim, Charged in $20 Million Fraud

    Former JPMorgan Chase Broker Oppenheim, Charged in $20 Million Fraud
    Our firm will be looking into investor complaints against former JPMorgan Chase broker, Michael J. Oppenheim, as a result of the federal authority’s accusations of embezzlement from his clients over the past four years. Checkout the…
  • Apr 14

    New Hampshire Requesting LPL Financial to pay $3.6M

    New Hampshire Requesting LPL Financial to pay $3.6M
    In a filing last week, The New Hampshire Bureau of Securities Regulation says they are seeking $2.4 million from LPL in buybacks and restitution for clients in 48 sales of nontraded real estate investment trusts that date back to 8 years ago.…
Rank this Week: 1366

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Apr 17

    Former Oppenheimer & Co. broker, Frederic J. Jouhet, suspended and fined.

    Former Oppenheimer & Co. broker, Frederic J. Jouhet, suspended and fined.
    Former Oppenheimer & Co. broker, Frederic J. Jouhet of Birmingham, Michigan, was suspended from the financial industry for 30 days and fined $7,500. The post Former Oppenheimer & Co. broker, Frederic J. Jouhet, suspended and fined.…
  • Apr 17

    Former Sagepoint Financial broker, Daryl Richard Lemon, barred from industry

    Former Sagepoint Financial broker, Daryl Richard Lemon, barred from industry
    Former Sagepoint Financial broker, Daryl Richard Lemon (CRD #2473133) of Culver City, California, was permanently barred from the financial industry on December 23, 2014. According to the Letter of Acceptance, Waiver and Consent (AWC), Daryl…
  • Apr 17

    Prospera Financial broker, David L. Shafranek, suspended and fined

    Prospera Financial broker, David L. Shafranek, suspended and fined
    Prospera Financial broker, David L. Shafranek of While Plains, New York, was fined $10,000 and suspended from the financial industry for 20 business days. The post Prospera Financial broker, David L. Shafranek, suspended and fined appeared…
Rank this Week: 588

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 17

    SEC Charges Oil-Gas Companies in A $33 Million Scheme

    SEC Charges Oil-Gas Companies in A $33 Million Scheme
    From the Desk of Jim Eccleston at Eccleston Law LLC:Two California oil-and-gas companies, their principal, and four sales associates have been accused by the SEC of a long-term fraudulent oil and gas scheme.From 2007 to 2012, Team Resources,…
  • Apr 16

    LPL Fined $3.6 million for Nontraded REIT Sale

    LPL Fined $3.6 million for Nontraded REIT Sale
    From the Desk of Jim Eccleston at Eccleston Law LLC:New Hampshire securities regulators fined LPL Financial  $3.6 million for allegedly selling unsuitable real estate investments to elderly clients.According to the New Hampshire Bureau…
  • Apr 15

    New Study Compares Brokerage Firm Advertising

    New Study Compares Brokerage Firm Advertising
    From the Desk of Jim Eccleston at Eccleston Law LLC:An investor advocacy bar association, known as PIABA (the Public Investors Arbitration Bar Association), has issued a report entitled, “Major Investor Losses Due to Conflicted Advice:…
Rank this Week: 298

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 17

    Investigation Involving Summit Healthcare REIT

    Investigation Involving Summit Healthcare REIT
    Have you suffered investment losses in Summit Healthcare REIT, formerly Cornerstone Core Properties? If so, The White Law Group may be able to help you recover your losses through FINRA arbitration. Summit Healthcare REIT is a real estate…
  • Apr 17

    Investigation Involving CNL Growth Propertie

    Investigation Involving CNL Growth Propertie
    Have you suffered investment losses in CNL Growth Properties? If so, The White Law Group may be able to help you recover your losses through FINRA arbitration. Inland American is a real estate investment trust incorporated in December 2008.…
  • Apr 17

    Investigation Involving Inland Behringer Harvard Opportunity REIT

    Investigation Involving Inland Behringer Harvard Opportunity REIT
    Have you suffered investment losses in Behringer Harvard Opportunity REIT? If so, The White Law Group may be able to help you recover your losses through FINRA arbitration. Behringer Harvard Opportunity REIT is a real estate investment trust…
Rank this Week: 263

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

    A high mark (would you believe an A+?) for the SEC

    A high mark (would you believe an A+?) for the SEC
    Posted By: Robert B. Lamm I’ve done my share of griping about the SEC, but credit needs to be given where credit is due. And credit is due to the SEC for adopting a new, improved version of Regulation A that has become known as…
  • Apr 13

    CEO pay ratios: ineffective disclosure on steroid

    CEO pay ratios: ineffective disclosure on steroid
    Posted By: Robert B. Lamm On Sunday, April 12, the Business section of the New York Times led with an article by Gretchen Morgenson taking the SEC to task for not having adopted rules requiring disclosure of CEO pay ratios. This follows…
  • Apr 12

    Does governance matter?

    Does governance matter?
    Posted By: Robert B. Lamm I’m a governance nerd. I really believe that corporate governance is important, that it makes a difference, and that there is such a thing as good governance – though I don’t believe that one size…
Rank this Week: 2106

Footnoted

Footnoted

Reports on actionable information in SEC filings.

http://www.footnoted.com/
  • Apr 17

    Golden parachutes for government service?

    Golden parachutes for government service?
    A new shareholder proposal by the AFL-CIO questions accelerated vesting for employees at 4 financial services giants who leave to join the government.
  • Mar 27

    An inverse relationship at J.C. Penney

    An inverse relationship at J.C. Penney
    Before he was replaced as CEO, Marvin Ullman was a very avid user of JC Penney's corporate jet for personal travel.
  • Mar 18

    Hunting for Perks in Proxy Season

    Hunting for Perks in Proxy Season
    Proxy season invariably means the disclosure of some unique perks, including a hunting lodge at ArcBest.
Rank this Week: 2670

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: 808

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/
  • Apr 17

    OSC hopes to ramp up enforcement efforts with whistleblower program

    OSC hopes to ramp up enforcement efforts with whistleblower program
    Simon Romano and Jeffrey Singer -  The Ontario Securities Commission (OSC) recently announced that it will be hosting a roundtable to explore the issues raised in its proposal to implement a whistleblower program. The OSC first…
  • Apr 17

    CSA propose expanding passport system

    CSA propose expanding passport system
    The Canadian Securities Administrators yesterday released proposed amendments to the passport system of securities regulation that would expand the regime to cover applications to cease to be a reporting issuer and failure-to-file case trade…
  • Apr 17

    Prospectus exemption proposed for distributions to retail investors relying on investment dealers' advice

    Prospectus exemption proposed for distributions to retail investors relying on investment dealers' advice
    Ramandeep K. Grewal and Alex Colangelo -  Securities regulators in British Columbia, New Brunswick and Saskatchewan yesterday proposed a new prospectus exemption that would allow issuers listed on certain Canadian exchanges to…
Rank this Week: 1036

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • Apr 17

    Fox’s Frank Razzano Publishes New Securities Article in Securities Regulation Law Journal

    Fox’s Frank Razzano Publishes New Securities Article in Securities Regulation Law Journal
    Our partner, Frank C. Razzano, has recently published an article, entitled “What Lies Ahead: Halliburton v. Erica P. John Fund, Inc.,” in the Securities Regulation Law Journal (Spring 2015).  It is a great article…
  • Apr 16

    The DOL Proposes A Fiduciary Duty Rule; Is This The Beginning Of The End

    The DOL Proposes A Fiduciary Duty Rule; Is This The Beginning Of The End
    The Department of Labor delivered on a longstanding but controversial promise when it recently proposed a fiduciary duty rule for all brokers who work with retirement accounts. The primary purpose of the proposed rule is avoidance of…
  • Apr 14

    So Who Wants To Give A Vendor Access To Your IT System

    So Who Wants To Give A Vendor Access To Your IT System
    At one time or another, member firms will likely need the services of an outside vendor. This may be particularly true for smaller member firms. Outside vendors have their place, but FINRA’s Report on Cybersecurity Practices details…
Rank this Week: 384

Business Blog

Business Blog

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

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

    Securities Fraud Claims Resolved By Supreme Court

    Securities Fraud Claims Resolved By Supreme Court
    In Omnicare, Inc. v. Laborers District Council Construction Industry Pension Fund, the U.S. Supreme Court addressed when statements of opinion are actionable under Section 11 of the Securities Act of 1933 (Section 11). The Court’s…
  • Apr 16

    Department of Labor Releases Much-Anticipated Fiduciary Rule

    Department of Labor Releases Much-Anticipated Fiduciary Rule
    After many delays and prolonged anticipation, the Department of Labor (DOL) finally released hotly contested, proposed fiduciary rules, which would increase the number of plan service providers falling within the definition of…
  • Apr 15

    New Internet Domain Suffix Ready For Busine

    New Internet Domain Suffix Ready For Busine
    Would you pay to deter someone from creating a website called “[yourcompany].sucks?” The company selling the new internet domain name is hoping that the answer is yes for the owners of many well-known brands. As previously…
Rank this Week: 1074

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 17

    Expunge

    Expunge
    In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in March 2013, Claimant Marriott Claimant asserted breach of fiduciary duty; common law fraud; violation of the Texas Securities Act;…
  • Apr 15

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
    US Attorney and SEC Charge Investment Advisor In $20 Million FraudOn April 16, 2015, the United States Attorney for the Southern District of New York announced that Michael Oppenheim, 48, Livingston, NJ had been charged in a Criminal…
  • Apr 15

    US Attorney and SEC Charge Investment Advisor In $20 Million Fraud

    US Attorney and SEC Charge Investment Advisor In $20 Million Fraud
    On April 16, 2015, the United States Attorney for the Southern District of New York announced that Michael Oppenheim, 48, Livingston, NJ had been charged in a Criminal Complaint with one count each of wire fraud, embezzlement, securities…
Rank this Week: 465

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
Rank this Week: 915

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Apr 17

    Cybersecurity: Another Verizon Report & More

    Cybersecurity: Another Verizon Report & More
    Like last year, Verizon has put out a new “2015 Data Breach Investigations Report.” This year’s Verizon report is 69 pages, with a host of useful information as it relies on over 80,000 incidents from 70 organizations for…
  • Apr 16

    Deadline Ends In 1 Week: 33% Early Bird Discount for Our Executive Pay Conference

    Deadline Ends In 1 Week: 33% Early Bird Discount for Our Executive Pay Conference
    You should register soon for our popular conferences – “Tackling Your 2016 Compensation Disclosures: Proxy Disclosure Conference” & “Say-on-Pay Workshop: 12th Annual Executive Compensation Conference” –…
  • Apr 15

    Shareholder Proposals: Wal-Mart No Longer Compelled to Include

    Shareholder Proposals: Wal-Mart No Longer Compelled to Include
    Yesterday, just a week after oral argument, the 3rd Circuit overturned the district court in the much-awaited Trinity Wall Street v. Wal-Mart case. Here’s the news from Skadden: The U.S. Court of Appeals for the Third Circuit issued a…
Rank this Week: 484

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 17

    California AG Asks Retailers And Manufacturers To Report On Supply Chains Act Compliance

    California AG Asks Retailers And Manufacturers To Report On Supply Chains Act Compliance
    The California Attorney General’s office recently sent letters to retailers and manufacturers asking them to demonstrate compliance with the California Transparency in Supply Chains Act or why they are not subject to the act.  I…
  • Apr 16

    Study Concludes That California’s Lending Laws Are Number One

    Study Concludes That California’s Lending Laws Are Number One
    In a recently published paper, Colleen Honigsberg, Sharon P. Katz, and Gil Sadka examine the relationship between debt contracts and state law.  Perhaps only Captain Renault will be shocked by their finding that “California…
  • Apr 15

    Email Notice Without Consent Is Not Notice

    Email Notice Without Consent Is Not Notice
    The California General Corporation Law unequivocally authorizes the giving of notice of stockholder meetings by electronic transmission.  Section 601(b) provides “Notice of a shareholders’ meeting or any report shall be given…
Rank this Week: 367

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 16

    Securities Litigation Developments Outside the U.S.: Interview with Shareholder Attorney Alexander Reu

    Securities Litigation Developments Outside the U.S.: Interview with Shareholder Attorney Alexander Reu
    Among the more interesting recent securities litigation developments outside the United States was the announcement earlier this month that institutional investors had reached a 11 billion yen ($92 million) settlement of shareholder lawsuits…
  • Apr 15

    Are Event Studies in Securities Litigation Reliable?

    Are Event Studies in Securities Litigation Reliable?
    In its June 2014 opinion in the Halliburton case, the U.S. Supreme Court held that securities lawsuit defendants may introduce evidence at the class certification stage to try to show that the alleged misrepresentation on which the plaintiffs…
  • Apr 14

    Guest Post: The SEC Continues to Turn Up the Heat on Private Equity

    Guest Post: The SEC Continues to Turn Up the Heat on Private Equity
    In the following guest post,  Elan Kandel, who is a member of the Cozen O’Connor law firm, takes a look at the SEC’s recent investigative interest in the way private equity firms disclose their fees. He also reviews the…
Rank this Week: 508

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 16

    Rogue Agency or Champion of Consumers? House Votes for CFPB Transparency

    Rogue Agency or Champion of Consumers? House Votes for CFPB Transparency
    A common complaint against the CFPB is that the agency wields too much power without enough accountability. House Financial Services Committee Chairman Jeb Hensarling recently described the CFPB as “single most powerful and least…
  • Apr 16

    Will Judge Rakoff Get His Wish? – Changes to Federal Sentencing Guidelines May Alter the Plea Bargaining Proce

    Will Judge Rakoff Get His Wish? – Changes to Federal Sentencing Guidelines May Alter the Plea Bargaining Proce
    In an article last fall, U.S. District Judge Jed Rakoff lamented the prevalence and process of plea bargaining in today’s criminal justice system.  While plea bargains currently resolve an estimated 97 percent of federal…
  • Apr 16

    CFPB Continues Focus on Mortgage Lender Advertising

    CFPB Continues Focus on Mortgage Lender Advertising
    Last week, the CFPB announced an enforcement action against RMK Financial Corporation d/b/a Majestic Home Loans (RMK) related to deceptive mortgage advertising practices. This enforcement action is the most recent in a series of enforcement…
Rank this Week: 1906

New York Securities Lawyer Blog

New York Securities Lawyer Blog

Covers securities law. By Lax & Neville LLP.

http://www.newyorksecuritieslawyerblog.com/
Rank this Week: 2799

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 16

    Phony Texas Financial Advisor Named by SEC For Scamming Military and Veteran

    Phony Texas Financial Advisor Named by SEC For Scamming Military and Veteran
    April 14, 2015-Fort Hood, Texas Leroy Brown, Jr. was named in a complaint filed by the Securities and Exchange Commission (SEC) alleging fraud and accusing Brown of telling false tales about his purported experience as a stockbroker in order…
  • Apr 16

    Former PrimeSolutions Securities Broker Named in Suit By SEC

    Former PrimeSolutions Securities Broker Named in Suit By SEC
    Richfield, Ohio-April 15, 2015 Jerry A. Cicolani, 51, was charged in a criminal information with selling unregistered securities in KGTA Petroleum, Ltd., causing dozens of investors to lose over $7 million, according to an FBI press…
  • Apr 14

    Florida Stockbroker Lost While Fishing at Sea Staged Disappearance

    Florida Stockbroker Lost While Fishing at Sea Staged Disappearance
    April 13, 2015- Boca Raton, FL The Sun Sentinel reports that Richard Ohrn, 44, a former local stock broker who disappeared while fishing in the Atlantic ocean a few weeks back, has admitted that he staged his disappearance by…
Rank this Week: 977

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 16

    Notes from Tulane

    Notes from Tulane
    Here are a few pieces with notes from the recent M&A conference at Tulane: – WSJ’s “Two Pieces of Good News for Activists from Tulane M&A Confab” – Fortune’s “As deals rise, bankers warn of…
  • Apr 15

    NASAA Proposes to Exempt Certain M&A Broker

    NASAA Proposes to Exempt Certain M&A Broker
    As noted in this memo, a few months ago, NASAA requested comments on a proposed uniform state model rule regarding the exemption of certain M&A Brokers from state registration requirements. This proposal has key differences from a Corp…
  • Apr 14

    Fed Eases Small Bank M&A Rule

    Fed Eases Small Bank M&A Rule
    Here’s a blog by Stinson Leonard Street’s Steve Quinlivan: The Board of Governors of the Federal Reserve Board has modified its Small Bank Holding Company Policy Statement to facilitate the sale of smaller community banks. Under…
Rank this Week: 439

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/
  • Apr 15

    Labor Department Proposes New Rule Imposing Fiduciary Duty on Broker

    Labor Department Proposes New Rule Imposing Fiduciary Duty on Broker
    In what has become a hot issue this Spring, the Labor Department yesterday proposed a new set of standards for brokers who offer advice in connection with 401(k)’s and other retirement accounts. Currently, brokers are required only to…
  • Apr 10

    Concern Mounts Over the Lack of a Rule Imposing a Fiduciary Duty on Broker

    Concern Mounts Over the Lack of a Rule Imposing a Fiduciary Duty on Broker
    I noted in my March 20 post that the Chair of the SEC had just come out in favor of a rule requiring brokers to act in their clients best interests. While investors wait for the SEC to move forward on the issue, the New York City…
  • Apr 10

    Broker Dealers Try to Avoid FINRA Arbitration: Heads I Win, Tails You Lose

    Broker Dealers Try to Avoid FINRA Arbitration: Heads I Win, Tails You Lose
    There has been a spate of litigation in recent years over whether broker dealers can contract out of FINRA arbitration and litigate in court instead. Goldman, Sachs & Co. v. Golden Empire Schools Financing Authority, 764 F.3d 210 (2d Cir.…
Rank this Week: 2456

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/
  • Apr 15

    The Old College Try, and The New College Tribunal

    The Old College Try, and The New College Tribunal
    In disciplinary proceedings involving claims of sexual assault, universities continue to find themselves in an intolerable situation, caught in a lawyer-triangle of the Department of Education’s Office of Civil Rights,…
  • Mar 28

    White-Collar Felon Registries, Hester Prynne and The Drive-By Trucker

    White-Collar Felon Registries, Hester Prynne and The Drive-By Trucker
    Although one must admire the historicist sensibilities of a state legislature that just reinstated the firing squad  as a methodology for execution, the Utah legislature’s passage of a bill to create a white-collar crime…
  • Mar 20

    The Drinking Reader, Our Cocktails Magazine, Tom Jones and Other Weekend Matter

    The Drinking Reader, Our Cocktails Magazine, Tom Jones and Other Weekend Matter
    White Collar Wire supports cocktails. As part of that effort, I have a magazine on Flipboard called (helpfully) “Cocktails.”  Follow here, read on and use good ice. Two items we focus on — books and cocktails…
Rank this Week: 2622

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/
  • Apr 14

    FINRA Bars Owner of Broker-Dealer, Seller of Illiquid Equipment-Leasing Funds for Misusing Investor Money

    FINRA Bars Owner of Broker-Dealer, Seller of Illiquid Equipment-Leasing Funds for Misusing Investor Money
    The Financial Industry Regulatory Authority has barred the owner of Commonwealth Capital Corp. from the securities industry. Kimberly Springsteen-Abbott is accused of misusing investor funds. Commonwealth Capital Securities Corp., a…
  • Apr 11

    Pacific West Faces SEC Fraud Charges Over Life Settlement

    Pacific West Faces SEC Fraud Charges Over Life Settlement
    The Securities and Exchange Commission is charging Pacific West Capital Group Inc. with securities fraud and other violations. The regulator contends that the investment firm and its owner, Andrew B. Calhoun IV, misled clients about life…
  • Apr 8

    SEC Sues Ex-New York Giants Cornerback Over Alleged Ponzi Scam

    SEC Sues Ex-New York Giants Cornerback Over Alleged Ponzi Scam
    The U.S. Securities and Exchange Commission is suing a former New York Giants player for allegedly helping to run a Ponzi scam. According to the regulator, Will Allen and his business partner Susan Daub raised over $31 million from investors,…
Rank this Week: 607

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 14

    Some Stats On The Business Court

    Some Stats On The Business Court
    When the North Carolina Legislature "modernized" the Business Court last year, it added a provision to the General Statutes mandating that the Director of the Administrative Office of the Courts prepare a report, twice a year, showing the…
  • Apr 10

    NC Business Court Takes On The Oxford Comma

    NC Business Court Takes On The Oxford Comma
    You most likely have heard of the Oxford Comma.  It is also referred to as the "serial comma."  If you are not familiar with this literary device, it is a comma placed before the word "and" or another conjunction (like or or nor) in…
  • Apr 6

    Pizzas And Trademark Infringement

    Pizzas And Trademark Infringement
    It is easy to forget that there is a North Carolina Trademark Registration Act.  It is in Chapter 80 of the General Statutes.  The Business Court's mandatory jurisdiction extends to cases brought under Chapter 80 per N.C. Gen. Stat.…
Rank this Week: 1630

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: 3909

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/
  • Apr 13

    Plaintiffs Appeal Federal Court’s Ruling Dismissing Their 401(K) Lawsuit Against Fidelity

    Plaintiffs Appeal Federal Court’s Ruling Dismissing Their 401(K) Lawsuit Against Fidelity
    A notice of appeal was submitted with the 1st U.S. Circuit Court of Appeals by plaintiffs seeking to overturn a ruling by a federal district court dismissing their 401(K) case against Fidelity Investments. The case is In Re Fidelity ERISA…
  • Apr 10

    Deutsche Bank Settlement Over Libor Rigging Likely to Exceed $1.5B

    Deutsche Bank Settlement Over Libor Rigging Likely to Exceed $1.5B
    According to media reports, Deutsche Bank AG (DB) could settle allegations over Libor manipulation with U.S. and British regulators as early as this month. A source reports that the settlement is likely to be larger than $1.5 billion and unit…
  • Apr 9

    U.S.'s $1B Mortgage Bond Trial Against Nomura Holdings Comes to a Close

    U.S.'s $1B Mortgage Bond Trial Against Nomura Holdings Comes to a Close
    Closing arguments took place this week in the Federal Housing Finance Agency’s mortgage-backed securities lawsuit against Nomura Holdings Inc. (NMR). The U.S. regulator claims that the bank made false statements when selling some $2…
Rank this Week: 761

Securities Mining Law

Securities Mining Law

Covers securities law affecting the mining industry in Canada.

http://www.securitiesmininglaw.com/
  • Apr 13

    Mining Issuers: Ensure your Websites and Investor Presentations Comply with NI 43-101

    Mining Issuers: Ensure your Websites and Investor Presentations Comply with NI 43-101
    Mining issuers have their qualified persons (“QPs”) and occasionally legal counsel review technical disclosure, including news releases and technical reports, to ensure they comply with National Instrument 43-101 Standards of…
  • Mar 3

    Welcome Tax Measures Announced at the PDAC 2015 Convention

    Welcome Tax Measures Announced at the PDAC 2015 Convention
    On Sunday March 1, 2015, the Honourable Joe Oliver, Federal Minister of Finance addressed the Prospectors & Developers Association of Canada (“PDAC”) at the annual PDAC Convention in Toronto and announced certain proposals…
  • 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…
Rank this Week: 1839

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

http://www.seclawyersblog.com/
  • Apr 13

    Sonn|Erez Investigating Claims Involving Former Wells Fargo Broker Michael Vincent Borja

    Sonn|Erez Investigating Claims Involving Former Wells Fargo Broker Michael Vincent Borja
    Sonn|Erez is investigating claims regarding Michael Vincent Borja (CRD #5451360, Miami, Florida). Borja recently submitted an AWC in which he assessed a deferred fine of $5,000 and suspended from association with any FINRA member in any…
  • Apr 10

    Sonn|Erez Investigating Claims Involving Gregg Alan Beemer

    Sonn|Erez Investigating Claims Involving Gregg Alan Beemer
    Sonn|Erez is investigating claims regarding Gregg Alan Beemer (CRD #2248923, Dayton, Ohio). Beemer recently submitted an AWC in which he was barred from association with any FINRA member in any capacity. See FINRA Case #2014043570801).…
  • Apr 6

    Sonn|Erez Investigating Claims Involving Bernard G. McGee

    Sonn|Erez Investigating Claims Involving Bernard G. McGee
    Sonn|Erez is investigating claims regarding Bernard G. McGee (CRD #1203327, Cazenovia, New York). Following a FINRA hearing, McGee was barred from association with any FINRA member in any capacity; ordered to pay $236,202.50, plus interest,…
Rank this Week: 875

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 Fines Company for Stifling Whistleblower

    SEC Fines Company for Stifling Whistleblower
    Whistleblowers, and the SEC's Whistleblower program, are a large part of the Dodd-Frank Act. The SEC believes that information from a whistleblower who knows of possible securities law violations can be among the most powerful weapons in…
  • Mar 19

    Corporate Insiders Individually Charged for Failing to Update SEC Filing

    Corporate Insiders Individually Charged for Failing to Update SEC Filing
    While we all understand that registered individuals rely on their firms to update their required filings, so do corporate officers and shareholders. The problem is that the individuals are still personally responsible for the updates - and…
  • Mar 16

    SEC News - FCPA Violations, Trade Suspensions, Whistleblower Award

    SEC News - FCPA Violations, Trade Suspensions, Whistleblower Award
    Goodyear Charged With FCPA ViolationsGoodyear Tire & Rubber Company has been charged with violating the Foreign Corrupt Practices Act (FCPA) when its subsidiaries paid bribes to land tire sales in Kenya and Angola.SEC Halts Ponzi-Like…
Rank this Week: 692

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 10

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: Derek Fischer, Note, Dodd-Frank's Failure to Address CFTC Oversight of Self-Regulatory Organization Rulemaking, 115 Colum. L. Rev. 69…
  • Apr 4

    Assistant Director of the Center for Transactional Law and Practice Emory Law School

    Assistant Director of the Center for Transactional Law and Practice Emory Law School
    Bobby Ahdieh (Emory) forwarded me this announcement about a position in Emory's outstanding Center for Transactional Law and Practice: Emory Law School seeks an Assistant Director of the Center for Transactional Law and Practice to teach in…
  • Apr 4

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: Adam Adler, Student Article, High Frequency Regulation: A New Model for Market Monitoring, 39 Vt. L. Rev. 161 (2014). Vladimir Atanasov,…
Rank this Week: 401

Cady Bar the Door

Cady Bar the Door

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

http://www.secmiscellany.com
  • Apr 9

    Three Thoughts about the SEC’s First “Pretaliation” Case

    Three Thoughts about the SEC’s First “Pretaliation” Case
    I was on a flight last Wednesday when the SEC released the first of what whistleblower chief Sean McKessy has dubbed “pretaliation” cases against KBR, Inc.  When I landed I had several emails from colleagues, asking,…
  • Mar 23

    FINRA Issues Report on Cybersecurity Practice

    FINRA Issues Report on Cybersecurity Practice
    Following up on our post from last week on the SEC’s cybersecurity exam sweep, you should also know about FINRA’s recent report on this area.  Last month, FINRA published a Report on Cybersecurity Practices that really could…
  • Mar 16

    SEC Releases Results of Cybersecurity Exam Sweep

    SEC Releases Results of Cybersecurity Exam Sweep
    We’re a bit behind on this, but better (a little bit) late than never.  Last month the SEC’s Office of Compliance, Inspections and Examinations released the first results of its Cybersecurity Examination Initiative, announced…
Rank this Week: 1504

Kueser Law Firm Blog

Kueser Law Firm Blog

Covers securities and investment fraud, as well as other consumer and investor-related issues.

http://blog.jmkesquire.com
Rank this Week: 1123

Tim O'Connor's Blog

Tim O'Connor's Blog

Covers stockbroker fraud.

http://stockbrokerlaw.com/tim-oconnors-blog
  • Apr 6

    Fifteen Investment Tips for 2015

    Fifteen Investment Tips for 2015
    The Office of Investor Education and Advocacy of the United States Securities and Exchange Commission recently issued an Investor Bulletin entitled, “15 Investment Tips for 2015.” The Bulletin highlights a number of suggestions…
  • Apr 1

    FINRA Issues Cybersecurity Investor Alert

    FINRA Issues Cybersecurity Investor Alert
    On February 3, 2015, FINRA issued an investor alert, entitled “Cybersecurity and Your Brokerage Firm,” outlining the essential questions investors should ask that brokerage firms regarding the safeguarding of their personal…
  • Aug 12

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

    ERISA Plan Trustees Subject to Offsets for Prohibited Transactions as Functional Fiduciarie
    ERISA-Qualified Pension Plans The past decade has seen an explosion of new investment products being purchased in ERISA-qualified pension plans. These products, including structured products, auction rate notes, private placements, managed…
Rank this Week: 3537

Stock Market Loss

Stock Market Loss

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

http://www.stockmarketloss.com/news/
  • Apr 3

    Merrill Lynch Axes $1.3 Billion Broker Thomas Buck for Alleged Abuse

    Merrill Lynch Axes $1.3 Billion Broker Thomas Buck for Alleged Abuse
    This article was originally posted on Stock Market Loss An Investment News article reports today that Thomas J. Buck, who was Merrill Lynch’s top financial adviser in Indiana by assets under management – reportedly $1.3 billion…
  • Mar 31

    Stockbroker Does Not Have a Fiduciary Duty to an Investor

    Stockbroker Does Not Have a Fiduciary Duty to an Investor
    This article was originally posted on Stock Market Loss The relationship that an investor has with his or her stockbroker is considered by most to be one of absolute trust. An investor entrusts a significant amount of his or her hard earned…
  • Mar 9

    Can a Stock Broker or Investor Be Sued?

    Can a Stock Broker or Investor Be Sued?
    This article was originally posted on Stock Market Loss Losing money in the stock market is not unheard of; many investors may even expect it. However, some investors may find that the loss they experience is not necessarily due to the…
Rank this Week: 3900

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/
Rank this Week: 355

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: 893

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

http://www.hedgefundlawblog.com
  • Apr 1

    Hedge Fund Events April 2015

    Hedge Fund Events April 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: April 1, 2015 Sponsor: 100WHF Event: Investing in Healthcare Location: Boston, MA Date:…
  • Mar 10

    Hedge Fund Events March 2015

    Hedge Fund Events March 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. ****l Date: March 2-3, 2015 Sponsor: Information Management Network Event: Alpha Hedge East…
  • Feb 1

    Hedge Fund Events February 2015

    Hedge Fund Events February 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: February 1, 2015 Sponsor: The Venture Capital and Private Equity Club at Harvard Business…
Rank this Week: 288

White Collar Fraud

White Collar Fraud

Covers white collar crime, securities fraud, the accounting profession, internal controls and Sarbanes-Oxley. By Sam E. Antar.

http://whitecollarfraud.blogspot.com/
  • Mar 30

    Overstock.com Hatchet Man Judd Bagley's Downward Spiral: Junkie, Confessed Criminal, Admitted Adulterer

    Overstock.com Hatchet Man Judd Bagley's Downward Spiral: Junkie, Confessed Criminal, Admitted Adulterer
    In the years that I’ve written extensively about Overstock.com (NASDAQ: OSTK), I have always been amazed about its bizarre CEO Patrick Byrne and the gang of misfits he has surrounded himself with. By far, the worst was a real loser…
  • Feb 5

    Crook vs. Crook: Why Former Congressman Michael Grimm is a Dumb Crook

    Crook vs. Crook: Why Former Congressman Michael Grimm is a Dumb Crook
    In my first segment of a series of Op-ed articles about white-collar crime on CNBC, I examine the case of former Republican Congressman Michael Grimm who recently pleaded guilty to income tax evasion and awaits sentencing on June 8, 2015.New…
  • Sep 8

    Nu Skin Inventory Red Flags Remain Even After $50 Million Impairment Charge

    Nu Skin Inventory Red Flags Remain Even After $50 Million Impairment Charge
    On July 22, 2014, I warned investors that Utah-based multi-level marketing company Nu Skin Enterprises' (NYSE: NUS) surging inventory levels might lead it "to recognize a material impairment charge against inventory in a future period." On…
Rank this Week: 639

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: 1711

Strictly Business

Strictly Business

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

http://www.strictlybusinesslawblog.com/
  • Mar 24

    Venture Capital Term Sheet Negotiation — Part 20: Founders’ Stock

    Venture Capital Term Sheet Negotiation — Part 20: Founders’ Stock
    This post is the twentieth in a series giving practical advice to startups with respect to understanding and negotiating a venture capital term sheet. In the prior nineteen posts, we provided an introduction to negotiation…
  • Feb 5

    Venture Capital Term Sheet Negotiation — Part 19: Board Matter

    Venture Capital Term Sheet Negotiation — Part 19: Board Matter
    This post is the nineteenth in a series giving practical advice to startups with respect to understanding and negotiating a venture capital term sheet. In the prior eighteen posts, we provided an introduction to…
  • Jan 14

    Venture Capital Term Sheet Negotiation — Part 18: Non-Disclosure and Developments Agreement

    Venture Capital Term Sheet Negotiation — Part 18: Non-Disclosure and Developments Agreement
    This post is the eighteenth in a series giving practical advice to startups with respect to understanding and negotiating a venture capital term sheet. In the prior seventeen posts, we provided an introduction to…
Rank this Week: 1151

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: 1793

Andrew Abramowitz, PLLC

Andrew Abramowitz, PLLC

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

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

    Interesting Legal Reads for the Week of March 9, 2015

    Interesting Legal Reads for the Week of March 9, 2015
    Some interesting legal reads for the week of March 9, 2015: SEC Commissioner Luis Aguilar on secondary trading of small business stock, including discussion of a so-called “venture exchange.” Steven Davidoff Solomon on hedge…
  • Mar 9

    Should You Be Making Blue Sky Filings in New York?

    Should You Be Making Blue Sky Filings in New York?
    One of the oddities of New York securities law is that a core legal requirement imposed by the state was preempted by federal law almost 20 years ago, and yet the requirement remains on the books. The National Securities Markets Improvement…
  • Mar 4

    Interesting Reads of the Week

    Interesting Reads of the Week
    Some interesting legal reads for the week of March 2, 2015: A speech from SEC Commissioner Michael S. Piwowar, which bemoans the length of the SEC’s rule adopting releases. I agree with his suggestions, including breaking them up into…
Rank this Week: 2566

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: 3291