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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/
Rank this Week: 10

Institutional Investor Securities…

Institutional Investor Securities Blog

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

http://www.institutionalinvestorsecuritiesblog.com/
Rank this Week: 357

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: 119

Startup Law Blog

Startup Law Blog

Covers legal and regulatory developments in startup, securities law and regulation. By Joe Wallin.

http://www.startuplawblog.com/
  • Sep 29

    FAA Grants Limited Exemptions Allowing Hollywood to Film With Drone

    FAA Grants Limited Exemptions Allowing Hollywood to Film With Drone
    By Diana Marina Cooper In a surprising move last week, the Federal Aviation Administration (FAA) granted permission to six Hollywood companies to film using unmanned aerial vehicles (UAVs). The FAA is currently developing rules to integrate…
  • Sep 18

    Intellectual Property and Crowdfunding: Practice Safe Crowdfunding®

    Intellectual Property and Crowdfunding: Practice Safe Crowdfunding®
    By Mary Juetten, Founder and CEO of Traklight Crowdfunding, despite its popularity, is still misunderstood. Many people are familiar with rewards crowdfunding sites like Kickstarter and Indiegogo based on widely publicized campaigns such as…
  • Sep 3

    Revenue Based Financing

    Revenue Based Financing
    Why It Works For Growing Technology Companies There are multiple options to funding to fuel your growing technology business, but what if you need to: A) get funded fast, B) keep you in control of your company and, C) not risk ……
Rank this Week: 3556

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 29

    FINRA’s New Rule Proposal for Brokers’ Background Check

    FINRA’s New Rule Proposal for Brokers’ Background Check
    From the Desk of Jim Eccleston at Eccleston Law Offices:  FINRA is launching a new rule that would require brokers to put in place written procedures to verify the accuracy of information contained in their Forms U-4,…
  • Sep 24

    Risks Related To Floating-Rate Investment

    Risks Related To Floating-Rate Investment
    From the Desk of Jim Eccleston at Eccleston Law Offices:  Floating-rate investments could be an effective way to diversify fixed-income portfolios in today’s low-yield environment. However, investors need to…
  • Sep 24

    Deceased Former AARP President Ran Ponzi Scheme

    Deceased Former AARP President Ran Ponzi Scheme
    From the Desk of Jim Eccleston at Eccleston Law Offices:  The SEC charged a former President of the South Florida AARP with running an offshore Ponzi scheme that took in at least $4.6 million from dozens of…
Rank this Week: 198

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 29

    Cornerstone REIT Gets a New Name

    Cornerstone REIT Gets a New Name
    According to SEC records, another Cornerstone REIT has undergone a name change. Cornerstone Core Properties REIT is now called Summit Healthcare REIT. This is the REIT’s second name change.The REIT began as a property fund originally…
  • Sep 26

    Stockbroker Fraud in Pennsylvania

    Stockbroker Fraud in Pennsylvania
    According to the Pocono Record, a former Pennsylvania stockbroker has plead guilty to mail fraud. The charges against Joseph R. Gallardo stem from an investment fraud investigation. Gallardo allegedly persuaded clients to invest in his…
  • Sep 25

    WFG Investments Faces Hefty Fine

    WFG Investments Faces Hefty Fine
    According to InvestmentNews, the Dallas based broker-dealer, WFG Investments Inc., is facing a “global fine” that could cost the firm upwards of $650,000. The report indicates that the Financial Industry Regulatory…
Rank this Week: 130

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/
Rank this Week: 1624

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

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

    Naples, FL broker James Clifford Eastman suspended from FINRA for nine month

    Naples, FL broker James Clifford Eastman suspended from FINRA for nine month
    On September 24, 2014 the Financial Industry Regulatory Authority (FINRA) Department of Enforcement issued a letter of acceptance, waiver and consent (AWC) against James Clifford Eastman. The post Naples, FL broker James Clifford Eastman…
  • Sep 29

    Two more FINRA complaints pending against Southeast Investments stock broker Frank H. Black

    Two more FINRA complaints pending against Southeast Investments stock broker Frank H. Black
    A customer is alleging that Frank H. Black made unsuitable investments and charged excessive commissions for the trading in the customer’s account. The client is seeking $42,000 in damages. The post Two more FINRA complaints pending…
  • Sep 29

    $200,000 customer complaint pending against LPL Financial broker, Jamie S. Head

    $200,000 customer complaint pending against LPL Financial broker, Jamie S. Head
    A customer complaint is pending before the Financial Industry Regulatory Authority (FINRA) Dispute Resolution against Jamie S. Head. According to Jamie S. Head’s FINRA BrokerCheck Report, the customer has alleged “unsuitable…
Rank this Week: 895

Business Blog

Business Blog

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

http://www.businesslawnews.com/
  • Sep 29

    SEC: Social Media Is Not Your Friend When It Comes to Investing

    SEC: Social Media Is Not Your Friend When It Comes to Investing
    Social media is useful for keeping in touch with friends, staying up-to-date with current news, and even marketing your business. But you shouldn’t rely on it for investment tips, according to a recent warning by the Securities and…
  • Sep 26

    New Law Protects New Jersey Businesses From Bad Electronic Transfer

    New Law Protects New Jersey Businesses From Bad Electronic Transfer
    While paper checks have been replaced by electronic funds transfers for many commercial transactions, New Jersey businesses still have to contend with rejected payments. Earlier this month, Gov. Chris Christie signed two measures into law…
  • Sep 25

    Banks Urged to Implicate Employees on Criminal Charge

    Banks Urged to Implicate Employees on Criminal Charge
    On Wednesday, September 17, 2014, the No. 2 official in the Justice Department’s criminal division, Marshall L. Miller, the Principal Deputy Assistant Attorney General for the Criminal Division and formal federal prosecutor in Brooklyn,…
Rank this Week: 638

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Sep 29

    Choosing the Right Securities Arbitration Attorney

    Choosing the Right Securities Arbitration Attorney
    When to Call a Securities Arbitration Attorney Securities arbitration attorneys, sometimes referred to as investment attorneys, FINRA attorneys, or securities attorneys, should be contacted whenever an investor believes he or she has…
  • Sep 28

    FINRA Suspends and Fines Former First Allied Broker Frank N. Dettenrieder

    FINRA Suspends and Fines Former First Allied Broker Frank N. Dettenrieder
    On July 15, 2014, FINRA suspended Frank N. Dettenrieder, a former financial adviser with First Allied, for twelve days and fined him $5,000 for effectuating discretionary transactions in the accounts of six customers without obtaining prior…
  • Sep 26

    LPL Financial Fined For Failure to Properly Supervise Variable Annuities Transaction

    LPL Financial Fined For Failure to Properly Supervise Variable Annuities Transaction
    LPL Financial was recently fined $2 million and ordered to pay $820,000 in restitution, for violations pertaining to variable annuity exchanges. This settlement, which was reached with the Illinois Securities Department, resulted from…
Rank this Week: 339

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 29

    The Travel Issue: Edinburgh Edition

    The Travel Issue: Edinburgh Edition
    The D&O Diary is on assignment in the United Kingdom this week, with the first stop in the venerable city of Edinburgh, for meetings and an event. Due to flight delays, cancellations and missed connections, my visit to Scotland’s…
  • Sep 25

    Oklahoma Legislature Adopts Derivative Litigation Fee-Shifting Provision

    Oklahoma Legislature Adopts Derivative Litigation Fee-Shifting Provision
    One of the most interesting recent developments has been the onset of innovative litigation reform efforts in the form of bylaw revisions. Among the most intriguing of these efforts involves fee shifting bylaws, whereby an unsuccessful…
  • Sep 23

    SEC Announces Largest Yet Whistleblower Bounty Award of Over $30 Million

    SEC Announces Largest Yet Whistleblower Bounty Award of Over $30 Million
    In what is by far the largest whistleblower bounty award yet under the Dodd-Frank’s whistleblower provisions, the SEC on September 22, 2014 announced an award of between $30 and $35 million to a whistleblower who provided original…
Rank this Week: 654

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Sep 29

    Today: “Tackling Your 2015 Compensation Disclosures: Annual Proxy Disclosure Conference”

    Today: “Tackling Your 2015 Compensation Disclosures: Annual Proxy Disclosure Conference”
    Today is the “Tackling Your 2015 Compensation Disclosures: Annual Proxy Disclosure Conference”; tomorrow is the “Say-on-Pay Workshop: 11th Annual Executive Compensation Conference.” Note you can still register to watch…
  • Sep 26

    Could a CEO’s Divorce Materially Affect a Company’s Future?

    Could a CEO’s Divorce Materially Affect a Company’s Future?
    This Dallas News article set me off. It talks about a CEO keeping his divorce a secret for 10 months. It’s not the board’s business – it’s not the business of shareholders either. My opinion is that folks should be…
  • Sep 25

    Live Tweeting Earnings Calls: The Megaphone Effect

    Live Tweeting Earnings Calls: The Megaphone Effect
    In this 80-second video, learn how Zillow’s 43 live tweets during an earnings call led to a potential reach of 3 million (includes a shout-out to Q4′s Darrell Heaps who responded in this video): SEC’s Enforcement Initiative…
Rank this Week: 512

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 29

    1, 2 or 3 Years? How Should Boards Decide The Frequency Of Say-On-Pay Votes?

    1, 2 or 3 Years? How Should Boards Decide The Frequency Of Say-On-Pay Votes?
    Although the initial ruckus over how to determine the outcome of executive compensation say-on-frequency votes has subsided, I still maintain that the Securities and Exchange Commission botched the rule (§240.14a-21(b)).  More…
  • Sep 26

    NLRB Rules It Illegal For Employer To Say It Will Comply With The Law

    NLRB Rules It Illegal For Employer To Say It Will Comply With The Law
    Recently, the National Labor Relations Board concluded that an employer violated the law when it adopted a policy requiring employees to “Keep customer and employee information secure.  Information must be used fairly, lawfully and…
  • Sep 25

    Is The LLC A Party To Its Own Operating Agreement?

    Is The LLC A Party To Its Own Operating Agreement?
    Is an LLC a party to its own operating agreement? California’s new Revised Uniform Limited Liability Company Act (RULLCA) defines “operating agreement” as “the agreement, whether or not referred to as an operating…
Rank this Week: 495

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Sep 28

    Barnier Says Fight for Regulatory Convergence Must Continue with New E.U. Commission

    Barnier Says Fight for Regulatory Convergence Must Continue with New E.U. Commission
    As his tenure as E.U. Financial Services Commissioner winds down, Commissioner Michel Barnier called on his prospective successor, Lord Hill, to continue the effort to have mandated cross-border financial regulatory convergence included in…
  • Sep 26

    Industry Working Group Calls for SEC to Reform Proxy Voting System

    Industry Working Group Calls for SEC to Reform Proxy Voting System
    [This story previously appeared in Securities Regulation Daily.]By John Filar Atwood A working group led by the Securities Transfer Association (STA) has taken a number of steps to improve the proxy voting process, but said that the…
  • Sep 25

    Commissioner Giancarlo Criticizes CFTC Cross-Border Guidance, Calls for “Reset”

    Commissioner Giancarlo Criticizes CFTC Cross-Border Guidance, Calls for “Reset”
    [This story previously appeared in Securities Regulation Daily.]By Lene Powell, J.D.CFTC guidance on the cross-border application of Dodd-Frank swaps regulation has fragmented global swaps markets and risks a trade war over swaps market…
Rank this Week: 402

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Sep 26

    Standing Alone

    Standing Alone
    Can the announcement of an investigation act as a “corrective disclosure” sufficient to support the existence of loss causation?  Last year, the Eleventh Circuit concluded that investigations do not “in and of…
  • Sep 12

    Fervent Belief

    Fervent Belief
    Next term, the U.S. Supreme Court will hear argument in the Omnicare case.  The issue is the pleading standard for an allegedly false or misleading opinion under Section 11 of the Securities Act.  While the Second, Third, and Ninth…
  • Sep 10

    Freshening Up

    Freshening Up
    Regular visitors to The 10b-5 Daily will notice that the look and format of the blog has undergone a change.  A few items of note: (1) To receive e-mail notifications of new posts (even if you have previously…
Rank this Week: 1623

Subject to Inquiry

Subject to Inquiry

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

http://www.subjecttoinquiry.com/
Rank this Week: 3126

Stock Market Loss

Stock Market Loss

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

http://www.stockmarketloss.com/news/
  • Sep 26

    Not Quite Investments: Binary Options Are Purely A Gamble

    Not Quite Investments: Binary Options Are Purely A Gamble
    This article was originally posted on Stock Market Loss The Ohio Division of Securities recently initiated an administrative action against an online binary options platform operating from the United Kingdom. The Division alleges that Vault…
  • Jul 28

    VARIABLE LIFE INSURANCE ALERT!

    VARIABLE LIFE INSURANCE ALERT!
    This article was originally posted on Stock Market Loss The lawyers of stockmarketloss.com, a practice group of Cleveland, OH law firm Hermann, Cahn & Schneider LLC, are receiving a growing number of inquiries from victims of variable…
  • Jul 24

    Why Do Variable Life Insurance Policies Fail?

    Why Do Variable Life Insurance Policies Fail?
    This article was originally posted on Stock Market Loss Purchasers of Variable Life and Variable Universal Life Insurance Policies often don’t understand that the values of the sub-account investments determine the sustainability of the…
Rank this Week: 616

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/
  • Sep 26

    OSC publish annual compliance report for dealers, advisers and IFM

    OSC publish annual compliance report for dealers, advisers and IFM
    The Ontario Securities Commission yesterday published an annual report for dealers, advisers and investment fund managers that, among other things (i) sets out key policy initiatives impacting registrants; (ii) provides an overview…
  • Sep 26

    CSA undertake research on mutual fund fee

    CSA undertake research on mutual fund fee
    On September 19, the Canadian Securities Administrators announced two research initiatives to review Canada's mutual fund fee structure. The first will involve collecting and reviewing data on whether sales and trailing commissions influence…
  • Sep 25

    AMF issues its 2014 report for the Continuous Disclosure Review Program

    AMF issues its 2014 report for the Continuous Disclosure Review Program
    The Autorité des marchés financiers (AMF) recently released an Activity Report setting out the results of its latest review of the compliance and general quality of continuous disclosure. The AMF’s report highlights the…
Rank this Week: 700

Securities Law Blog

Securities Law Blog

News and comments on securities law. By The Frankowski Firm, LLC

http://www.securitieslaw-blog.com/
  • Sep 26

    Mississippi Woman Accused Of Operating Gigantic Ponzi Scheme

    Mississippi Woman Accused Of Operating Gigantic Ponzi Scheme
    Gina Palasini was arrested last month in Palm Springs, California as the list of people who claim they lost money by unknowingly participating in a Ponzi scheme operated by the Mississippi fugitive continues to grow. Palasini will be…
  • Sep 24

    SEC To Award Record $30M To Whistleblower

    SEC To Award Record $30M To Whistleblower
    Earlier this week, the SEC announced that it anticipates awarding more than $30 million to a whisteblower who furnished critical information that ultimately resulted in a successful enforcement action. The award would be the most ever given…
  • Sep 23

    Atlanta-Based Web Marketer Accused Of $105M Pyramid Scheme

    Atlanta-Based Web Marketer Accused Of $105M Pyramid Scheme
    The SEC filed a case yesterday against Atlanta, Georgia-based Zhunrize Inc. and its chief executive in a Georgia federal court, alleging that the Internet marketing and product brokerage company operates as a fraudulent pyramid scheme that…
Rank this Week: 1218

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
  • Sep 26

    Artificial Inflation in Question for an ETF at Bill Gross’s Firm

    Artificial Inflation in Question for an ETF at Bill Gross’s Firm
    Pacific Investment Management Company is under SEC investigation for possibly artificially boosting the returns of a popular fund aimed at small investors. The heady performance of the ETF raised questions among some of Pimco’s clients…
  • Sep 19

    Nation’s Biggest Pension Fund makes Big Decision

    Nation’s Biggest Pension Fund makes Big Decision
    Concerns that investments are too complicated and expensive, the nation’s largest pension fund, the California Public Employees’ Retirement System, will eliminate all of its hedge fund investments over the next year. Overseeing…
  • Aug 29

    FINRA has Citigroup Global Markets Inc. in Hot Water

    FINRA has Citigroup Global Markets Inc. in Hot Water
    Citigroup Global Markets Inc. is being fined $1.85 million for best execution and supervisory violations in non-convertible preferred securities transactions. They also ordered Citigroup to pay more than $638,000 in compensation, plus…
Rank this Week: 329

Footnoted

Footnoted

Reports on actionable information in SEC filings.

http://www.footnoted.com/
Rank this Week: 3095

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/
  • Sep 25

    Gennaioli, Martin & Rossi on Government Bond

    Gennaioli, Martin & Rossi on Government Bond
    Nicola Gennaioli, Alberto Martin, and Stefano Rossi have posted Banks, Government Bonds, and Default: What Do the Data Say? on SSRN with the following abstract: We analyze holdings of public bonds by over 20,000 banks in 191 countries, and…
  • Sep 25

    Chauhan & Gautam on Mutual Fund

    Chauhan & Gautam on Mutual Fund
    Tarini Chauhan and Jayant Gautam have posted An Analysis of Performance of Mutual Funds: Public Sector vs Private Sector on SSRN with the following abstract: A mutual fund is a mechanism for pooling the resources by issuing units to the...
  • Sep 25

    Groshoff, Urien & Nguyen on Crowdfunding

    Groshoff, Urien & Nguyen on Crowdfunding
    David Groshoff, Kurtis R. Urien, and Alex Nguyen have posted Crowdfunding 6.0: Does the SEC's FinTechLaw Failure Reveal the Agency’s True Mission to Protect — Solely Accredited — Investors? on SSRN with the following abstract: This…
Rank this Week: 149

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
  • Sep 25

    Eric Holder to Resign: Who Will Be the Next Attorney General?

    Eric Holder to Resign: Who Will Be the Next Attorney General?
    After serving 5 ½ years as Attorney General, Eric Holder will formally announce his resignation later today at the White House. In addition to being the first African American Attorney General in U.S. history, he ranks as the…
  • Sep 18

    DOJ Hopes to Prosecute More Criminal Cases Arising Out of False Claims Act

    DOJ Hopes to Prosecute More Criminal Cases Arising Out of False Claims Act
    On Wednesday, Assistant Attorney General for the Criminal Division Leslie R. Caldwell spoke at the Taxpayers Against Fraud Education Fund annual conference in Washington D.C., and announced that the DOJ is closely examining civil False Claims…
  • Sep 10

    Goldman Sachs Case: Know and Understand Your Corporate By-Laws Concerning Legal Fee

    Goldman Sachs Case: Know and Understand Your Corporate By-Laws Concerning Legal Fee
    Goldman Sachs Group Inc. has recently garnered a lot of press on the ongoing litigation on former Goldman programmer and vice president Sergey Aleynikov’s demands for indemnification and advancement of attorneys’ fees. These fees…
Rank this Week: 1607

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
  • Sep 25

    PLUG

    PLUG
    ...
  • Sep 24

    Flix Flam Flops For FINRA

    Flix Flam Flops For FINRA
    There's something about the movie biz that attracts a lot of people.  Hollywood. Box Office Stars. The whole glitz and glamour thing of the red carpet.  Underneath all that flash, however, it still take a lot of bucks to get a…
  • Sep 24

    BrokeAndBroker.com Blog by Bill Singer Week In Review

    BrokeAndBroker.com Blog by Bill Singer Week In Review
    IRS Telephone Scam AlertSeptember 26, 2014It seems like every day brings us yet another warning about some telephone scam involving impersonations of government employees.  In the past, f... Read OnAssistant Impersonates 6 Customers…
Rank this Week: 573

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 25

    Hemispherx Biopharma Passes As Guinea Pig for Fee-Shifting Bylaw

    Hemispherx Biopharma Passes As Guinea Pig for Fee-Shifting Bylaw
    As noted in this article, Hemispherx Biopharma has elected not to seek enforcement of its fee-shifting bylaw in an ongoing Delaware Chancery Court case, which could have been the first test of the actual validity of such a provision.…
  • Sep 24

    Why Does My Joint Venture Pay Corporate Taxes? When Tax Status Doesn’t Match State Form

    Why Does My Joint Venture Pay Corporate Taxes? When Tax Status Doesn’t Match State Form
    Here’s analysis from this blog by Sean Bryan of Akin Gump: Most of the time the state-law classification of an entity and its federal income tax classification match. A corporation will be taxed as a corporation and a partnership will…
  • Sep 23

    Treasury Issues Long-Awaited Anti-Inversion Guidance

    Treasury Issues Long-Awaited Anti-Inversion Guidance
    As noted in this Davis Polk memo, the Treasury Department and the IRS yesterday released Notice 2014-52, which describes regulations that the government intends to issue to target the tax benefits of corporate inversions, including for…
Rank this Week: 1225

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

http://www.seclawyersblog.com/
  • Sep 24

    Sonn|Erez Investigating Claims Involving Mark "Steve" Garrison and Atlantic Bullion & Coin, Inc.

    Sonn|Erez Investigating Claims Involving Mark "Steve" Garrison and Atlantic Bullion & Coin, Inc.
    Sonn|Erez is investigating claims regarding Mark Steven Garrison (CRD #1939534, Easley, South Carolina), also known as Steve Garrison. Garrison recently entered into a Letter of Acceptance, Waiver, and Consent ("AWC") in which he was…
  • Sep 22

    SEC Hands Out Record $30 Million Award to Whistleblower

    SEC Hands Out Record $30 Million Award to Whistleblower
    The SEC announced it will pay a whistleblower who lives abroad at least $30 million to $35 million for providing information and assistance that led to a substantial recovery by the federal government. The SEC declined to identify the…
  • Sep 19

    FINRA Submits New Proposed Rule Requiring Broker Background Checks to SEC for Approval

    FINRA Submits New Proposed Rule Requiring Broker Background Checks to SEC for Approval
    FINRA has sent a proposed rule to the Securities and Exchange Commission to adopt NASD Rule 3010(e) (Qualifications Investigated) relating to background investigations as FINRA Rule 3110(e) (Responsibility of Member to Investigate Applicants…
Rank this Week: 466

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/
  • Sep 24

    The Arbitration Process, Start to Finish

    The Arbitration Process, Start to Finish
    Because nearly all brokerage customer agreements contain an arbitration clause, it is often the only option open to aggrieved investors. But what actually occurs in these proceedings…
  • Aug 25

    Why Mediation May Be the Best Option in Securities Industry Dispute

    Why Mediation May Be the Best Option in Securities Industry Dispute
    When an investor suffers losses because of the miscounduct or mistakes of his or her stock broker, they can attempt to recover money through arbitration. More expeditious…
  • Aug 15

    The Pros and Cons of FINRA Arbitration

    The Pros and Cons of FINRA Arbitration
    If every dispute between an investor and his stockbroker had to be handled in court, the backlog of cases would be overwhelming. That is why most of…
Rank this Week: 3578

The Securities Edge

The Securities Edge

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

http://www.thesecuritiesedge.com/
  • Sep 24

    Alibaba’s Record IPO – How will it affect U.S. technology companies?

    Alibaba’s Record IPO – How will it affect U.S. technology companies?
    Posted By: Robert C. White Jr. On September 19, Chinese e-commerce giant Alibaba completed the initial public offering of its stock. The underwriters for the offering subsequently exercised their option to buy additional shares, making this…
  • Sep 19

    The JOBS Act – Any results yet?

    The JOBS Act – Any results yet?
    Posted By: Robert C. White Jr. President Obama signed the JOBS Act into law on April 5, 2012 amid much fanfare and optimism. Small and medium sized fast-growing technology companies and their executives were especially sanguine about this…
  • Sep 12

    Nasdaq annual listing fees are going up, up (but not away)

    Nasdaq annual listing fees are going up, up (but not away)
    Posted By: David C. Scileppi In late August, Nasdaq announced changes to their annual listing fees.  Generally, the fees will increase effective January 1, 2015, but Nasdaq is also adopting an all-inclusive annual fee and eliminating…
Rank this Week: 3132

Cady Bar the Door

Cady Bar the Door

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

http://www.secmiscellany.com
Rank this Week: 835

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/
  • Sep 23

    Disclosing Merger Negotiations: The Eleventh Circuit Weighs In

    Disclosing Merger Negotiations: The Eleventh Circuit Weighs In
    Corporate merger negotiations are typically conducted under a veil of secrecy, with public disclosure withheld until the end when a definitive agreement has been signed. The fear is that premature disclosure of preliminary merger talks will…
  • Sep 16

    Is Your Bank Stressed Out? OCC Follows Fed on Proposed Stress-Test Change

    Is Your Bank Stressed Out? OCC Follows Fed on Proposed Stress-Test Change
    On September 10, the Office of the Comptroller of the Currency (“OCC”) published proposed revisions to its information collecting regulations related to the Dodd-Frank Act’s “stress test” for large national banks…
  • Sep 9

    The MCDC Initiative: Round One Is Underway

    The MCDC Initiative: Round One Is Underway
    The clock will strike on the first self-report deadline under the SEC’s Municipalities Continuing Disclosure Cooperation Initiative (the “MCDC Initiative”) at 12:00 a.m. EST on September 10, 2014.  Under the MCDC…
Rank this Week: 2443

Securities Compliance Sentinel

Securities Compliance Sentinel

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

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

    So Who Wants To Hire A Registered Representative

    So Who Wants To Hire A Registered Representative
    If you answered in the affirmative, then you need to be aware of a recent FINRA proposal submitted to the SEC.  The proposal would require member firms to take a harder look when they vet new hires.  About the rule, FINRA said that…
  • Sep 8

    Cyber-Security – What Do Enforcement Actions Tell You

    Cyber-Security – What Do Enforcement Actions Tell You
    In a recent NSCP Currents article, Giselle Casella addressed what every compliance office must know about cyber-security.  One of the more compelling lessons was what can be learned from enforcement actions dealing with…
  • Sep 2

    Guess Who Did Not Take A Summer Vacation

    Guess Who Did Not Take A Summer Vacation
    Now that summer has come to its unofficial end, it seems as though the SEC forgot to check its calendar back I May because it has been conducting exams at a breakneck pace as reported in the Investment News.  These exams have focused, in…
Rank this Week: 2858

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/
  • Sep 22

    Business Court Resolves A Trio Of Discovery Issue

    Business Court Resolves A Trio Of Discovery Issue
    Three interesting discovery issues were resolved last week by Judge Bledsoe's Order in Gay v. Peoples Bank.  First, can you obtain in discovery in a class action the fee arrangement between the plaintiff and his  lawyers? …
  • Sep 16

    Trade Secrets Claims Can Be Tough To Succeed On In The Business Court

    Trade Secrets Claims Can Be Tough To Succeed On In The Business Court
    If you want to pursue a trade secrets claim in the Business Court, you've got to disclose the details of your trade secret.  The Opinion last week in Unimin Corp. v. Gallo, 2014 NCBC 43 illustrates that point in detail.  It seems at…
  • Sep 12

    The Delaware Court Of Chancery Can See Forever On A Clear Day (Even To North Carolina)

    The Delaware Court Of Chancery Can See Forever On A Clear Day (Even To North Carolina)
    I don't usually write about decisions from the Delaware Court of Chancery because it's rare for that Court to even mention North Carolina.  But a decision by that Court this week -- in City of Providence v. First Citizens Bancshares,…
Rank this Week: 655

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/
  • Sep 22

    Second Circuit Holds Forum Selection Clause Supersedes FINRA’s Mandatory Arbitration Rule

    Second Circuit Holds Forum Selection Clause Supersedes FINRA’s Mandatory Arbitration Rule
    In Goldman, Sachs & Co. v. Golden Empire Schools Financing Authority, No. 13-797-cv, 2014 WL 4099289 (2d Cir. Aug. 21, 2014), the United States Court of Appeals for the Second Circuit held that a forum selection clause in a broker-dealer…
  • Sep 9

    NASDAQ Proposes The Adoption Of A New All-Inclusive Annual Listing Fee

    NASDAQ Proposes The Adoption Of A New All-Inclusive Annual Listing Fee
    On August 26, 2014, The NASDAQ Stock Market LLC (“NASDAQ”) filed with the Securities and Exchange Commission (the “SEC”) certain proposed amendments to the NASDAQ Stock Market Rules (the “Amendments”) to…
  • Sep 4

    Second Circuit Defines “Customer” for Mandatory FINRA Arbitration

    Second Circuit Defines “Customer” for Mandatory FINRA Arbitration
    In a case of first impression, the United States Court of Appeals for the Second Circuit in Citigroup Global Markets, Inc. v. Abbar, No. 13-2172, 2014 WL 3765867 (2d Cir. Aug. 1, 2014), established a bright-line definition of…
Rank this Week: 205

Stock Broker Attorney Blog

Stock Broker Attorney Blog

Covers current investigations, opinions and industry news relating to securities arbitration, investment fraud, stockbroker or brokerage firm misconduct. By Levin Papantonio Thomas Mitchell Rafferty & Proctor, P.A.

http://www.stockbrokerattorney.com/blog
  • Sep 18

    Former UBS Broker Charged for Defrauding Elderly with Ponzi Scheme

    Former UBS Broker Charged for Defrauding Elderly with Ponzi Scheme
    The Securities and Exchange Commission (SEC) recently charged former UBS Wealth Management America broker Donna Tucker with misappropriating over $730,000 from clients between January 2008 and April 2013. 
  • Sep 15

    Broker Deposits Thousands of Dollars of Misdirected Check

    Broker Deposits Thousands of Dollars of Misdirected Check
    FINRA recently fined securities broker Richard Harvey Peress $5,000 for misconduct and suspended him for 90 days. Peress pocketed 37 quarterly dividend client checks between 2002 and 2011 totaling $11,460.
  • Sep 5

    Increased Complex Investment and Insurance Sales Put State Regulators on High Alert

    Increased Complex Investment and Insurance Sales Put State Regulators on High Alert
    State securities regulators at the Insured Retirement Institute's Government, Legal and Regulatory conference this summer expressed concern over the amount of unlicensed products being sold by agents. Products of particular concern…
Rank this Week: 1949

TRACE Blog

TRACE Blog

Covers anti-bribery compliance.

http://traceblog.org/
  • Sep 18

    TRACE’s List of Top 5 Most Colorful Projects to Raise Anti-Bribery Awarene

    TRACE’s List of Top 5 Most Colorful Projects to Raise Anti-Bribery Awarene
    Raising awareness about bribery doesn’t always have to be serious business.  In fact, sometimes it can even be fun.  That’s why here at TRACE, we are interested in learning about unique campaigns designed to raise…
  • Aug 28

    What was this month’s biggest anti-bribery story?

    What was this month’s biggest anti-bribery story?
    Take a moment to read our poll and vote for which headline you think was most newsworthy this month: China announces Investigation into Volkswagen AG’s China Joint Venture: China’s anti-corruption authority — the…
  • Aug 19

    The Role of Academia in Anti-Corruption Collective Action

    The Role of Academia in Anti-Corruption Collective Action
    Last week TRACE joined leading anti-corruption experts and academics from all over the world in Vienna, Austria to discuss effective teaching and pedagogy in anti-corruption studies within institutions of higher learning. The workshop, which…
Rank this Week: 3611

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 18

    Whistleblowers wanted; Holder seeks increased compensation for financial crime informant

    Whistleblowers wanted; Holder seeks increased compensation for financial crime informant
    By W. Kelly Johnson In the first major public comment about white collar crime in more than a year, the Department of Justice (DOJ) called for an increase in compensation for whistleblowers under the Financial Institutions Reform, Recovery…
  • Sep 18

    Sixth Circuit case specifies additional language required in indemnification survival clauses in M&A agreement

    Sixth Circuit case specifies additional language required in indemnification survival clauses in M&A agreement
    By Daniel M. Bauer A recent Sixth Circuit case, interpreting Ohio law, found that a merger agreement stating that the representations and warranties “shall survive…the Closing until… the second anniversary date of the…
  • Sep 11

    Late Form 4s aren’t just embarrassing anymore

    Late Form 4s aren’t just embarrassing anymore
    By Jack J. Gravelle Yesterday, the SEC announced penalties totaling approximately $2.6 million against directors, officers, beneficial owners and issuers for failure to promptly report information about holdings and transactions in company…
Rank this Week: 748

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/
  • Sep 16

    Restrictive Covenants in Retail Lease Affirmed by Georgia Court of Appeal

    Restrictive Covenants in Retail Lease Affirmed by Georgia Court of Appeal
    Last week, the Court of Appeals of Georgia affirmed a trial court decision finding that a restrictive covenant in a retail lease was not overly ambiguous and was not therefore unenforceable, and thereafter affirmed the trial court ruling in…
  • Sep 8

    Statutory Disqualification: An Overview of the MC400 Application

    Statutory Disqualification: An Overview of the MC400 Application
    In this second installment on understanding statutory disqualifications, I'll provide an overview of the MC400 application. In a nutshell, if a person is statutorily disqualified, then he or she must find a broker-dealer firm wanting the…
  • Sep 5

    Statutory Disqualification: An Overview

    Statutory Disqualification: An Overview
    What does it mean when it is said that a person is subject to a statutory disqualification and cannot be associated with a broker-dealer, or an RIA? In a nutshell, it means that the person is not eligible to work...
Rank this Week: 1781

New York Securities Lawyers Blog

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

http://www.newyorksecuritieslawyersblog.com/
  • Sep 15

    Malecki Law is Investigating Possible Claims Against Craig Scott Capital

    Malecki Law is Investigating Possible Claims Against Craig Scott Capital
    Malecki Law is investigating possible claims against Craig Scott Capital, based in Long Island, NY. According to FINRA BrokerCheck, some customers of the firm have recently filed arbitrations related to the conduct of the firm's brokers…
  • Sep 12

    SEC Charges Robare Group with Fraud For Failing to Disclose Fee Arrangement with Broker-Dealer

    SEC Charges Robare Group with Fraud For Failing to Disclose Fee Arrangement with Broker-Dealer
    How do you know your investment adviser is solely acting in your best interest? Sadly, even when it comes to picking mutual funds, your investment adviser may still only be thinking of himself or herself. Take for example the allegations in…
  • Aug 15

    Are Some Customers Paying Too Much In Fees? The SEC Cracks Down on Linkbroker

    Are Some Customers Paying Too Much In Fees? The SEC Cracks Down on Linkbroker
    "Is my stockbroker charging me too much in commissions and fees?" This is a common question many investors frequently have. Unfortunately, all too often, the answer to this question is "Yes." In fact, just yesterday, the SEC announced…
Rank this Week: 742

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/
  • 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…
  • Aug 4

    Why Nu Skin Must Come Clean on Troubling Inventory Red Flag

    Why Nu Skin Must Come Clean on Troubling Inventory Red Flag
    Co-authored by Sam E. Antar and Zachary PrenskyThis coming Wednesday morning, Utah based multi-level marketing company Nu Skin Enterprises (NYSE: NUS) is scheduled to report its second quarter earnings. In its Q1 2014 10-Q report issued in…
  • Jul 22

    Do Nu Skin Inventory Red Flags Spell Trouble Ahead?

    Do Nu Skin Inventory Red Flags Spell Trouble Ahead?
    Last Friday morning, a comment posted on Twitter by Marc Cohodes about Nu Skin Enterprises (NYSE: NUS), a Utah based multi-level marketing company, caught my curiosity. Cohodes is a legendary short-seller with an excellent track record and…
Rank this Week: 981

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • Sep 6

    New FINRA Rule Limits usage of Expungement Requests in Arbitration

    New FINRA Rule Limits usage of Expungement Requests in Arbitration
    The SEC has approved FINRA Rule 2081 that would disallow brokers from conditioning settlement of a customer dispute on a customer’s consent to the broker’s request for expungment from the Central Registration Depository…
  • Aug 12

    Does your Investment Adviser Firm Have a Social Media Policy?

    Does your Investment Adviser Firm Have a Social Media Policy?
    Social media such as Facebook, Twitter, LinkedIn, or blogs have become popular mechanisms for companies to communicate with the public. Social media allows companies to communicate with clients and prospective clients, market their services,…
  • Aug 1

    Who has the Right to Enforce Your Promissory Note?

    Who has the Right to Enforce Your Promissory Note?
    A customary practice in the securities industry is for financial advisors to receive a transition bonus above and beyond an advisor’s standard commission compensation upon joining to a new firm. The bonus amount is usually determined…
Rank this Week: 892

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

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

    Hedge Fund Events September 2014

    Hedge Fund Events September 2014
    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: September 8, 2014 Sponsor: NYSSA Event: Russian and Central & Eastern European Capital…
  • Aug 6

    NFA Action Against Firm for Inadequate 1101 Investigation

    NFA Action Against Firm for Inadequate 1101 Investigation
    Doing Business with Non-Members – NFA Action Raises Compliance Questions Under NFA Bylaw 1101, NFA members are restricted from doing business with individuals or entities that should be, but are not, registered with the CFTC and members…
  • Aug 1

    Hedge Fund Events August 2014

    Hedge Fund Events August 2014
    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. **** August 4-5, 2014 Sponsor: InVida Events Event: Ship Energy Management in Practice Location:…
Rank this Week: 3874

Andrew Abramowitz, PLLC

Andrew Abramowitz, PLLC

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

http://aalegalnyc.com/blog/
  • Sep 5

    The SEC’s Guide to Avoiding Investor Scam

    The SEC’s Guide to Avoiding Investor Scam
    Last month, the SEC issued a user-friendly guide for potential investors in avoiding fraudulent unregistered offerings.  I highly recommend the advice given here, but I have a few specific clarifications: In point 1, the SEC identifies…
  • Aug 25

    Some Interesting Legal Reads for the Week of August 25, 2014

    Some Interesting Legal Reads for the Week of August 25, 2014
    Morrison & Foerster on the continuing delay in the SEC’s finalization of the crowdfunding rules.  And Joe Wallin on the issues with relying on intrastate exemptions in the absence of action from the SEC. An investor alert from…
  • Jul 28

    Some Interesting Legal Reads for the Week of July 28 2014

    Some Interesting Legal Reads for the Week of July 28 2014
    From Keith Higgins, the SEC’s Director of the Division of Corporation Finance, some testimony to a Congressional subcommittee on the state of the various rule-making initiatives.  And here is Jim Hamilton’s summary of the…
Rank this Week: 1613

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/
  • Sep 4

    Of Snitches and Privilege

    Of Snitches and Privilege
    White-collar writer Walt Pavlo of @Forbes and 500 Pearl Street quotes us this morning in his insightful @Forbes article about the attorney-client privilege.  In particular: Federal prosecutors want to know who knew what, and when…
  • Sep 2

    Privilege, Corporate Silence and Saul Goodman

    Privilege, Corporate Silence and Saul Goodman
    We are past Labor Day, and just as well.  Marked by the GM internal-investigation report’s criticism of some of the company’s internal lawyers, the summer was not kind to internal lawyers generally and to the attorney-client…
  • Aug 29

    Weekend: cocktails, World War I, Alexandr Solzhenitsyn and Marvin Gaye

    Weekend: cocktails, World War I, Alexandr Solzhenitsyn and Marvin Gaye
    For this weekend: cocktails, World War I, Alexandr Solzhenitsyn and Marvin Gaye. From Saveur, warm-weather whiskey cocktails.  Some of the drinks sound good.  All of the photos are cool: From the folks at Garden & Gun…
Rank this Week: 3237

The Race to the Bottom

The Race to the Bottom

A faculty-student collaboration on corporate governance. By Professor J. Robert Brown, Jr.

http://www.theracetothebottom.org/
  • Aug 28

    The SEC and Administrative Proceedings (Part 2)

    The SEC and Administrative Proceedings (Part 2)
    We are discussing some of the issues raised by Peter Henning in his DealBook column, The S.E.C.’s Use of the ‘Rocket Docket’ Is Challenged.   In any event, the limits on discovery, the fact that ALJ decisions are…
  • Aug 26

    The SEC and Administrative Proceedings (Part 1)

    The SEC and Administrative Proceedings (Part 1)
    Peter Henning wrote an interesting piece over at DealBook on the SEC's use of administrative proceedings in place of actions in federal district court.  See The S.E.C.’s Use of the ‘Rocket Docket’ Is Challenged.…
  • Aug 26

    Morrison, the Second Circuit, and the Reverse Effects Test: ParkCentral Global Hub Limited v. Porsche Automobile Holdings (Part 2)

    Morrison, the Second Circuit, and the Reverse Effects Test: ParkCentral Global Hub Limited v. Porsche Automobile Holdings (Part 2)
    We are discussing the Second Circuit's decision in ParkCentral Global Hub Limited v. Porsche Automobile Holdings, a case that effectively created a "reverse effects test" that was contrary to the Supreme Court's analysis…
Rank this Week: 95

Securities Mining Law

Securities Mining Law

Covers securities law affecting the mining industry in Canada.

http://www.securitiesmininglaw.com/
  • Aug 27

    Mining & Investment Latin America Summit in Peru

    Mining & Investment Latin America Summit in Peru
    Dentons is proud to be a Silver Sponsor of the largest Mining & Investment event in Latin America at the Mining & Investment Latin America Summit October 27-28 2014 in Lima, Peru. Mining & Investment Latin America Summit is the…
  • Jun 2

    Case Bulletin: R v Karigar, 2014 ONSC 3093

    Case Bulletin: R v Karigar, 2014 ONSC 3093
    For the first time in Canada, an individual has been sentenced to jail time for bribing a foreign public official. The three-year penitentiary sentence was handed down by the Ontario Court of Justice under the Corruption of Foreign Public…
  • May 28

    Current permitting processes and challenges for new mine

    Current permitting processes and challenges for new mine
    Current permitting processes and challenges for new mines from Dentons …
Rank this Week: 2807