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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/
  • Jun 24

    Wedbush Securities Inc. Censured and Fined

    Wedbush Securities Inc. Censured and Fined
    FINRA Fines Wedbush Securities Inc. for Compliance Issues According to FINRA, Wedbush Securities Inc. (CRD #877, Los Angeles, California) submitted an AWC in which the firm was censured and fined $20,000. Without admitting or denying the…
  • Jun 23

    Santander Securities LLC Censured and Fined

    Santander Securities LLC Censured and Fined
    FINRA Fines Santander Securities for Compliance Issues According to FINRA, Santander Securities LLC (CRD #41791, Dorchester, Massachusetts) submitted an AWC in which the firm was censured, fined $175,000 and ordered to pay $62,807.48, plus…
  • Jun 23

    Raymond James & Associates, Inc. Censured & Fined

    Raymond James & Associates, Inc. Censured & Fined
    FINRA Fines Raymond James & Associates, Inc. $180,000 for Compliance issues According to FINRA, Raymond James & Associates, Inc. (CRD #705, St. Petersburg, Florida) submitted an AWC in which the firm was censured, fined $180,000 and…
Rank this Week: 121

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

http://www.hedgefundlawblog.com
  • Jun 24

    Cryptocurrency Fund Legal & Operational Post

    Cryptocurrency Fund Legal & Operational Post
    The goal of the posts on this page are to address the legal and operational issues applicable to fund managers who invest in the cryptocurrency space.  We believe the emergence of this new asset class gives rise to a need for open…
  • Jun 17

    Hedge Fund Bits and Pieces for June 16, 2017

    Hedge Fund Bits and Pieces for June 16, 2017
    We are a day late but hope you had a happy Friday.  As has been the trend, we are seeing a large focus on cryptocurrency assets and this update reflects that focus. **** Speaking on Cryptocurrency Hedge Funds – I will be in New…
  • May 30

    California BitLicense

    California BitLicense
    Overview of the Cryptocurrency Licensing Regime in California As we discussed in a recent post, New York has already implemented a statute that requires those engaged in certain virtual currency business activities to obtain a license…
Rank this Week: 681

Securities Fraud Lawyer Blog

Securities Fraud Lawyer Blog

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

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

    FINRA suspends bars Brian Kennison

    FINRA suspends bars Brian Kennison
    FINRA suspended and barred rep Brian Kennison. Brian Kennison, a registered representative from Portland, Oregon, formerly with U.S. Bancorp Investments was barred from FINRA membership as a result of refusing to cooperate with a FINRA…
  • Jun 24

    FINRA suspends bars troy Baldridge

    FINRA suspends bars troy Baldridge
    Troy Baldridge was suspended and barred by FINRA Troy Baldridge, a registered representative from Richmond, Virginia, formerly with Capital Securities Management and Capital Securities & Associates was barred from FINRA membership as a…
  • Jun 24

    Cheryl Lynn Wallace Barred by FINRA

    Cheryl Lynn Wallace Barred by FINRA
    FINRA suspends, bars Cheryl Lynn Wallace. Cheryl Lynn Wallace, a registered representative from Henderson, Nevada, formerly with Ameriprise Financial and Edward Jones was barred from FINRA membership as a result of refusing to cooperate with…
Rank this Week: 1717

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Jun 24

    Tom Parks Subject to 23 Complaints Over Oil and Gas Investment

    Tom Parks Subject to 23 Complaints Over Oil and Gas Investment
    Broker Tom Parks (Parks) has been subject to a massive number of customer complaints alleging many millions in damages.  Parks was associated with Ameriprise Financial Services, Inc. (Ameriprise) until April 2016.  According…
  • Jun 22

    Advisor Aaron Robert Parthemer Subject to New Customer Allegation

    Advisor Aaron Robert Parthemer Subject to New Customer Allegation
    Gana LLP is investigating new customer complaints filed with the Financial Industry Regulatory Authority (FINRA) against broker Aaron Robert Parthemer (Parthemer). Our firm has been investigating Parthemer since 2015, when Parthemer was…
  • Jun 21

    UBS Broker Margaret Lech-Loubet Subject to Customer Complaints Over Energy Related Investment

    UBS Broker Margaret Lech-Loubet Subject to Customer Complaints Over Energy Related Investment
    The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Margaret Lech-Loubet (Lech-Loubet).  According to BrokerCheck records…
Rank this Week: 192

Subject to Inquiry

Subject to Inquiry

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

http://www.subjecttoinquiry.com/
  • Jun 23

    Proposed Rules Aimed at High-Risk Brokers Confirm FINRA Push for Firms to “Do Their Part”

    Proposed Rules Aimed at High-Risk Brokers Confirm FINRA Push for Firms to “Do Their Part”
    Financial Industry Regulatory Authority (FINRA) President and CEO Robert Cook spoke earlier this month at Georgetown University’s McDonough School of Business, where he outlined several proposals to further what he called one of…
  • Jun 19

    Debt Collector Defined: Supreme Court Exempts Debt Purchaser

    Debt Collector Defined: Supreme Court Exempts Debt Purchaser
    On behalf of a unanimous Supreme Court, Justice Neil Gorsuch delivered his first opinion on June 12 to determine whether debt purchasers fall within the statutory language under the Fair Debt Collection Practices Act (FDCPA) as debt…
  • Jun 7

    U.S. Supreme Court Indirectly Limits Important Component of DOJ’s FCPA Pilot Program

    U.S. Supreme Court Indirectly Limits Important Component of DOJ’s FCPA Pilot Program
    On June 5, 2017, the U.S. Supreme Court unanimously held in Kokesh v. Securities and Exchange Commission, No. 16-529, that the SEC may not reach beyond the general five year statute of limitations period in order to obtain “ill-gotten…
Rank this Week: 2260

New York Securities Lawyer Blog

New York Securities Lawyer Blog

Covers securities law. By Lax & Neville LLP.

http://www.newyorksecuritieslawyerblog.com/
Rank this Week: 2217

Recover Investment Losses Blog

Recover Investment Losses Blog

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

http://blog.rexsecuritieslaw.com
Rank this Week: 349

Securities Law Attorneys Blog

Securities Law Attorneys Blog

Covers securities law. By Fitapelli | Kurta.

http://www.securitieslawattorneys.net/
  • Jun 23

    Joseph Cotter Was Named in a Pending FINRA Investigation

    Joseph Cotter Was Named in a Pending FINRA Investigation
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on June 20, 2017 indicate that former North Carolina-based Petersen Investments broker Joseph Cotter has been named in a FINRA investigation and is…
  • Jun 23

    Pete Klaas Has Been Named in a Pending Regulatory Complaint

    Pete Klaas Has Been Named in a Pending Regulatory Complaint
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 20, 2017 indicate that Nevada-based Cetera Advisor Networks broker/adviser Pete Klaas has been named in a pending regulatory complaint.…
  • Jun 23

    Heath Bowen Has Received a Pending Regulatory Complaint

    Heath Bowen Has Received a Pending Regulatory Complaint
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 20, 2017 indicate that Idaho-based Allegis Investment Services broker/adviser Heath Bowen has been named in a pending regulatory complaint.…
Rank this Week: 888

Regulation tomorrow

Regulation tomorrow

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

http://www.regulationtomorrow.com/
Rank this Week: 1333

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
  • Jun 23

    Destructive Impact of Fund Fee

    Destructive Impact of Fund Fee
    A retiree living off her portfolio may lose hundreds of dollars a year in income for each added basis point of fund expense ratio — or adviser fee. BY CRAIG L. ISRAELSENFEES DIRECTLY REDUCE PORTFOLIO RETURNS … AND that comes…
  • Apr 7

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

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

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

    New Recommendations by the FINRA Dispute Resolution Task Force (15th Article)
    From the Desk of Jim Eccleston at Eccleston Law LLC:This is the fifteenth in a series of posts to discuss the 51 recommendations that the FINRA Dispute Resolution Task Force (Task Force) has made to the National Arbitration and Mediation…
Rank this Week: 82

Stock Attorneys Blog

Stock Attorneys Blog

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

http://www.stockattorneysblog.com/
  • Jun 23

    Derek Wayne Border Suspended for Three Month

    Derek Wayne Border Suspended for Three Month
    (FINRA Case #2016050071102) Derek Wayne Border (CRD #5175361, Huntington, Pennsylvania) submitted an AWC (Accept, Waiver and Consent) in which he was fined $5,000 and suspended from association with any FINRA member in any capacity for three…
  • Jun 22

    Individuals Suspended for Failure to Provide Information or Keep Information Current Pursuant to FINRA Rule 9552(d)

    Individuals Suspended for Failure to Provide Information or Keep Information Current Pursuant to FINRA Rule 9552(d)
    Ayrton Pierce Haddad (CRD #6125741) Naples, Florida FINRA Case #2016051413301 Following Haddad’s voluntary resignation from E*Trade in August 2016 he admitted signing a customer’s name to an account transfer from and initialing a…
  • Jun 20

    Mark Schklar Fined and Suspended for Eight Months by FINRA

    Mark Schklar Fined and Suspended for Eight Months by FINRA
    The suspension is in effect from March 20, 2017, through November 19, 2017. (FINRA Case #2015044509301) Mark Schklar (CRD #1952816, Eagleville, Tennessee) submitted an AWC (Accept, Waiver & Consent) in which he was assessed a deferred…
Rank this Week: 4576

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Jun 23

    Eco Science Solutions: Class Action

    Eco Science Solutions: Class Action
    Publicly available records indicate that a class action lawsuit has been filed on behalf of investors in Eco Science Solutions (OTC:ESSI) in connection to alleged violations of securities laws by ESSI. Fitapelli Kurta is interested in hearing…
  • Jun 23

    SunPower Corporation: Class Action

    SunPower Corporation: Class Action
    Publicly available records indicate that a class action lawsuit has been filed on behalf of investors in SunPower Corporation (NASDAQ:SWPR) in connection to alleged violations of securities laws by NTRP. Fitapelli Kurta is interested in…
  • Jun 23

    Renos Gordos Has Been the Subject of Six Customer Dispute

    Renos Gordos Has Been the Subject of Six Customer Dispute
    Public records published by the Financial Industry Regulatory Authority (FINRA) on June 19, 2017 indicate that former New York-based National Securities broker Renos Gordos, also known as Ray Gordos, is currently not affiliated with any…
Rank this Week: 60

Securities Law Blog

Securities Law Blog

Covers securities law. By Fitapelli | Kurta.

https://www.securities-law-attorney.com/
  • Jun 23

    FSIC Was Sanctioned Following Allegations of Misconduct

    FSIC Was Sanctioned Following Allegations of Misconduct
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 19, 2017 indicate that Washington-based brokerage and advisory firm FSIC was recently sanctioned by FINRA in connection to alleged rule…
  • Jun 23

    Kenneth Cleveland Has Been Indicted on Three Felony Charges of Money Laundering

    Kenneth Cleveland Has Been Indicted on Three Felony Charges of Money Laundering
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 19, 2017 indicate that California-based investment adviser Kenneth Cleveland has been indicted on charges of money laundering and wire fraud.…
  • Jun 22

    Investment Professionals Was Recently Sanctioned by FINRA

    Investment Professionals Was Recently Sanctioned by FINRA
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 15, 2017 indicate that Texas-based broker-dealer Investment Professionals was recently sanctioned by FINRA in connection to alleged rule…
Rank this Week: 1498

Investment Fraud Information

Investment Fraud Information

By Andrew Stoltmann.

http://www.investmentfraudtimes.com/securities-fraud-attorneys/
  • Jun 23

    Arbitration Claims Against Brokerage Firm

    Arbitration Claims Against Brokerage Firm
    Brokerage firms are required to only distribute money to people who are authorized by the owner of the account. Sometimes brokerage firm’s allow funds to be withdrawn or taken from an account without the account holder’s approval…
  • Jun 23

    Florida-Based Mariva Capital Markets Sanctioned Because of “High Risk Activity”

    Florida-Based Mariva Capital Markets Sanctioned Because of “High Risk Activity”
    Stoltmann Law Offices is investigating Mariva Capital Markets, a brokerage firm based out of Miami, Florida. Allegedly, Mariva was sanctioned by the Financial Industry Regulatory Authority (FINRA) for “failing to tailor its anti-money…
  • Jun 22

    Update For Investors: John Oldham Has Alternative Investment Recommendation Complaint

    Update For Investors: John Oldham Has Alternative Investment Recommendation Complaint
    According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), John Oldham consented to sanctions that he shared commissions from the sales of alternative investments with an…
Rank this Week: 102

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Jun 23

    IAC mulls capital formation, decline in number of IPO

    IAC mulls capital formation, decline in number of IPO
    By Amy Leisinger, J.D.The SEC’s Investor Advisory Committee heard from panelists on current trends surrounding capital formation and smaller companies as well as the recent decrease in the total number of initial public offerings. Costs…
  • Jun 22

    Staff grants relief to permit interim sub-advisory agreement to continue without shareholder approval

    Staff grants relief to permit interim sub-advisory agreement to continue without shareholder approval
    By Jacquelyn LumbThe Division of Investment Management advised that it would not recommend enforcement action against NWQ Investment Management Company, LLC if it continued to serve as an investment adviser to certain series of two Nuveen…
  • Jun 21

    CFTC Inspector General says not enough cost-benefit analysis on uncleared swaps margin rule

    CFTC Inspector General says not enough cost-benefit analysis on uncleared swaps margin rule
    By Lene Powell, J.D.The CFTC Inspector General (OIG) concluded that the CFTC did not analyze possible costs and benefits in enough detail in considering a 2015 rule establishing margin requirements for uncleared swaps. Among other…
Rank this Week: 326

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Jun 23

    Revenue Recognition: Learn From Early Adopter

    Revenue Recognition: Learn From Early Adopter
    Last week, John blogged about evolving MD&A disclosures under the new revenue recognition standard. Check out this SEC Institute blog for more examples of early adopters – Alphabet, Ford, Raytheon & others. Here’s an…
  • Jun 22

    Annual Meetings: Not What They Used To Be? (A Firsthand Account)

    Annual Meetings: Not What They Used To Be? (A Firsthand Account)
    At the risk of depressing our resident “Annual Meeting Fanboy” – this Joe Nocera article is notable just because the mainstream media doesn’t report much on the state of annual meetings. Joe attended four meetings…
  • Jun 21

    Corp Fin’s New Deputy Director: Rob Evan

    Corp Fin’s New Deputy Director: Rob Evan
    Yesterday, the SEC announced that Rob Evans will serve as a Deputy Director for Corp Fin – joining existing Deputy Director Shelley Parratt (Rob will head the “Legal & Regulatory Policy” side; Shelley will continue to…
Rank this Week: 2474

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/
  • Jun 23

    Anti-Corruption: Due Diligence & Risk Management

    Anti-Corruption: Due Diligence & Risk Management
    This Skadden memo provides an overview of key considerations in structuring and performing anti-corruption due diligence in an M&A transaction.  Here’s an excerpt from the intro: A successful merger or acquisition requires…
  • Jun 22

    Private Deals: Rethinking “No 3rd Party Beneficiaries”

    Private Deals: Rethinking “No 3rd Party Beneficiaries”
    This recent blog from Weil Gotshal’s Glenn West takes issue with the idea that the standard “no 3rd party beneficiaries” boilerplate is the right approach for private company M&A. This…
  • Jun 21

    Study: Private Target Deal Term

    Study: Private Target Deal Term
    This SRS Acquiom study reviews the financial & other terms of 795 private target deals that closed during the period from 2013 through 2016. Here are some of the key findings about trends in last year’s deal terms: –…
Rank this Week: 2465

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/
  • Jun 23

    Does Work Product Belong To The Lawyer Or The Law Firm?

    Does Work Product Belong To The Lawyer Or The Law Firm?
    California has codified the attorney work product doctrine in Section 2018.030 of the California Code of Civil Procedure.  That statute establishes two categories of protected work product.   Under subdivision (a),…
  • Jun 21

    The Taxpayer Transparency and Fairness Act of 2017 – A Little Bill May Soon Make Big Change

    The Taxpayer Transparency and Fairness Act of 2017 – A Little Bill May Soon Make Big Change
    The talk of California tax practitioners over the last week has been all about the legislature’s passage of AB 102.  This may be surprising to those who read the bill when it was introduced on January 10 of this year, for the bill…
  • Jun 19

    California Finders Rule May Soon Take Effect

    California Finders Rule May Soon Take Effect
    Nearly one year ago, the California Department of Business Oversight proposed regulations to implement the provisions of AB 667 (Wagner).  The bill, which was enacted in 2015 and took effect last year, created a…
Rank this Week: 166

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
Rank this Week: 329

New York Securities Lawyers Blog

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

http://www.newyorksecuritieslawyersblog.com/
  • Jun 22

    Can I Sue My Brokerage Firm for Filing a False Form U5?

    Can I Sue My Brokerage Firm for Filing a False Form U5?
    Can I Sue My Brokerage Firm for Filing a False Form U5? Financial firms that deal in securities do carry legal liability for filing a Form U5 with false information, and financial advisors can indeed sue their former firms for filing an…
  • Jun 9

    Is my Financial Advisor Allowed to Trade in my Account Without my Permission?

    Is my Financial Advisor Allowed to Trade in my Account Without my Permission?
    The short answer is no. When a customer opens an investment account with a brokerage firm, he or she is typically given the option to choose between a discretionary or non-discretionary account.  A discretionary account gives the…
  • Apr 4

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

    Brokerages Are Making Brokers More Powerful: How Will That Effect The Securities Industry?
    As reported in the Wall Street Journal, there has been a recent trend at big brokerages of shifting the power from the headquarters to brokers and branch managers. Apparently big brokerages like Bank Of America, UBS Group, and Merrill Lynch…
Rank this Week: 646

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/
  • Jun 22

    13 Books Every White-Collar Lawyer Should Read

    13 Books Every White-Collar Lawyer Should Read
    Of the making of lists of books, there shall be no end. Nevertheless, here is one more. Set out below are 13 works that every white-collar lawyer – defense counsel, prosecutor or judge – should read. Why take on such a…
  • Jun 19

    Risk, Reward and Pain: Doctor Lessons from An Opioid Trial

    Risk, Reward and Pain: Doctor Lessons from An Opioid Trial
    Opioid medications continue to be in the news, as demonstrated by the recent nationwide state attorneys-general investigation.  This situation only demands more attention from physicians and other healthcare providers who may face…
  • Jun 16

    A Meditation On Father’s Day

    A Meditation On Father’s Day
                            At age 56, I am now four years older than my father was when he died. …
Rank this Week: 2306

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • Jun 22

    Rulemaking Through Enforcement; What’s Next

    Rulemaking Through Enforcement; What’s Next
    FINRA has rulemaking authority.  Nevertheless, the trend would appear to be that FINRA is making its rules through the enforcement process.  Read this blog for insightful thoughts on this issue.Continue Reading…
  • Jun 13

    The Supreme Court Limits The SEC’s Ability To Seek Disgorgement

    The Supreme Court Limits The SEC’s Ability To Seek Disgorgement
    The Supreme Court recently ruled that a five year statute of limitations applies to when the SEC seeks disgorgement.  To learn more, read this alert.    Continue Reading…
  • May 31

    What are you doing about outside business disclosure

    What are you doing about outside business disclosure
    FINRA is currently reviewing its rules regarding outside business activities and private securities transactions. From time to time, FINRA reviews its rules and application of those rules to see if anything needs to be tweaked. Is there any…
Rank this Week: 4037

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: 381

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/
  • Jun 21

    Second Circuit Holds that Contingent Equity-Based Compensation of Former Lehman Employees are Subordinate to Creditor Claim

    Second Circuit Holds that Contingent Equity-Based Compensation of Former Lehman Employees are Subordinate to Creditor Claim
    In In re Lehman Bros. Holdings Inc. 855 F.3d 459 (2d Cir. 2017), the United States Court of Appeals for the Second Circuit affirmed a district court order subordinating the claims of former Lehman Bros. (“Lehman”) employees…
  • May 30

    WannaCry Ransomware Alert

    WannaCry Ransomware Alert
    This is not a drill. Companies and law enforcement agencies around the world have been left scrambling after the world’s most prolific ransomware attack hit over 500,000 computers in 150 countries over a span of only 4 days. The…
  • Mar 17

    SEC Adopts Rule Requiring Hyperlinks to Exhibits and HTML Formatting

    SEC Adopts Rule Requiring Hyperlinks to Exhibits and HTML Formatting
    On March 1, 2017, the Securities and Exchange Commission (“SEC”) announced the adoption of amendments that will require registrants that file certain registration statements and reports subject to the exhibit requirements of Item…
Rank this Week: 1390

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: 433

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
  • Jun 21

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
    Market Fragility And Interconnectedness http://www.brokeandbroker.com/3508/sec-bauguess-fragility/As a former regulatory lawyer with two different Wall Street self-regulatory organizations, BrokeAndBroker.com Blog publisher Bill Singer…
  • Jun 19

    Market Fragility and Interconnectedne

    Market Fragility and Interconnectedne
    As a former regulatory lawyer with two different Wall Street self-regulatory organizations, BrokeAndBroker.com Blog publisher Bill Singer is a been-there-done-that industry guy with a keen sense of the politics of regulation. Given…
  • Jun 19

    South Park Gnomes' Underpants Scheme Inspires FINRA Arbitration Decision

    South Park Gnomes' Underpants Scheme Inspires FINRA Arbitration Decision
    The "South Park" Mountain Gnomes have a plan to steal underpants and make millions of dollars in profits. It is a brilliant plan and carried out with great stealth. All of which reminds BrokeAndBroker.com Blog publisher Bill Singer, Esq. (not…
Rank this Week: 281

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/
  • Jun 20

    Report Shows 2016 Record-Setting Year for Class Action and SEC Settlement

    Report Shows 2016 Record-Setting Year for Class Action and SEC Settlement
    Last week, proxy advisory firm Institutional Shareholders Services (“ISS”) published its semi-annual report of the top 100 U.S. securities class action settlements and top 50 SEC settlements of all time, as of December 31, 2016.…
  • Jun 13

    Dodd-Frank Re-Write—the House of Representatives Edition

    Dodd-Frank Re-Write—the House of Representatives Edition
    The House has approved major changes to signature aspects of Dodd-Frank. While those changes are unlikely to survive intact, they are certainly worthy of close attention. We’ve studied the nearly 600-page bill so you don’t have…
  • Jun 6

    Supreme Court Unanimously Limits the SEC’s Ability to Seek Disgorgement

    Supreme Court Unanimously Limits the SEC’s Ability to Seek Disgorgement
    This week, the United State Supreme Court finally resolved a circuit split and unanimously held that SEC actions seeking to disgorge ill-gotten gains are subject to a five-year statute of limitations on civil fines, penalties or forfeitures…
Rank this Week: 840

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/
  • Jun 20

    Dolgopolov on High-Frequency Trading

    Dolgopolov on High-Frequency Trading
    Stanislav Dolgopolov has posted Securities Fraud Embedded in the Market Structure Crisis: High-Frequency Traders as Primary Violators on SSRN with the following abstract: This Article analyzes approaches to attaching liability for securities…
  • Jun 20

    NASAA Announces Agenda and Speakers for Cybersecurity Roundtable on June 23rd

    NASAA Announces Agenda and Speakers for Cybersecurity Roundtable on June 23rd
    Details available here.
  • Jun 20

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: Ilya Beylin, Taxing Fictive Orders: How an Information-Forcing Tax Can Reduce Manipulation and Distortion in Financial Product Markets, 85…
Rank this Week: 4523

Securities Fraud Lawyer Blog

Securities Fraud Lawyer Blog

Covers securities law. By Forman Law Firm.

https://www.securitiesfraudlawyerblog.com/
  • Jun 19

    FINRA Statistics-What Do They Tell Us About FINRA’s Arbitration Process and Its Fairness?

    FINRA Statistics-What Do They Tell Us About FINRA’s Arbitration Process and Its Fairness?
    FINRA Arbitration Statistics-What do they tell us about fairness of the arbitration process? In reality, not much. Advocates for the public investor community argue that mandatory arbitration is not fair, as it robs the consumer of choice,…
  • Jun 12

    Can I Sue My Stockbroker?

    Can I Sue My Stockbroker?
    Can I Sue My Stockbroker? Well, yes and no.  The question is more appropriately “How do I sue my stockbroker?” or “Where can I sue my stockbroker?”  As I will explain shortly, the common denominator to all of…
  • Feb 2

    Stockbroker Fraud and Investment Fraud: How Is It Discovered?

    Stockbroker Fraud and Investment Fraud: How Is It Discovered?
    Stockbroker Fraud and Investment Fraud: How Is It Discovered? It should go without saying that it is rare that a stockbroker ever confesses to making unsuitable recommendations, illegally recommending private investments away from the firm,…
Rank this Week: 1549

Special Situations Law

Special Situations Law

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

http://www.specialsituationslaw.com/
Rank this Week: 1156

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
  • Jun 15

    Lafayette, IN based Bison Financial Group Forced Out By Wells Fargo

    Lafayette, IN based Bison Financial Group Forced Out By Wells Fargo
    A large group of stockbrokers previously with Wells Fargo were “permitted to resign” because of annuity sales practices, according to some of their Brokercheck reports. According to Ameriprise, approximately 15 of the Bison…
  • Jun 11

    RBC Wealth Management (RBC) Pays Huge $3.5 Million Settlement

    RBC Wealth Management (RBC) Pays Huge $3.5 Million Settlement
    In April of 2017, RBC settled a case involving Indianapolis broker James Wilson for $3.5 Million. The investors alleged that Wilson and RBC had overtraded in many accounts and excessively sold their family various closed end funds that…
  • May 30

    ENERGY MASTER LIMITED PARTNERSHIPS (MLPs)

    ENERGY MASTER LIMITED PARTNERSHIPS (MLPs)
    Some investors lost considerable amounts of money by investing in Energy MLPs. Recommended by many financial advisors in 2014-2015, investors were misled to believe these investments carried far less risk than was true. A common…
Rank this Week: 137

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/
  • Jun 15

    Top 100 branch managers for 2017 | On Wall Street

    Top 100 branch managers for 2017 | On Wall Street
    Being a branch manager has always been a tough job, and in recent years it hasn't become any easier. On Wall Street honors 100 of them in their annual awards.Top 100 branch managers for 2017 | On Wall Street
  • Jun 14

    SEC heightens exam focus on robo advisers | On Wall Street

    SEC heightens exam focus on robo advisers | On Wall Street
    SEC heightens exam focus on robo advisers Under newly confirmed Chairman Jay Clayton, the SEC is setting its sights on expanded protections for retail investors, planning a series of RIA sweep exams exploring areas like robo advisers and…
  • Jun 13

    Mark Sellers and Selden Companies Investigation

    Mark Sellers and Selden Companies Investigation
    Securities attorneys are investigating the action brought by the Department of Justice (DOJ) involving property acquired by Mark Sellers who was accused of a $10 million investment fraud and who shot and killed himself on Aug. 2, 2016. The…
Rank this Week: 2472

Classified: The Class Action Blog

Classified: The Class Action Blog

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

http://classifiedclassaction.com/
Rank this Week: 1902

California Securities Fraud Lawyer…

California Securities Fraud Lawyer Blog

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

http://www.californiasecuritiesfraudlawyerblog.com/
  • Jun 14

    A Securities Lawyer’s Advice to Would be Whistleblower

    A Securities Lawyer’s Advice to Would be Whistleblower
    Whistleblower Tips are on the Rise Increased public awareness of the SEC’s Whistleblower Program has lead to a tremendous growth in whistleblower tips and complaints.  In Fiscal Year 2016, the SEC received a record number of tips…
  • Dec 31

    A Securities Lawyer's Top 10 Tips for Senior Investor

    A Securities Lawyer's Top 10 Tips for Senior Investor
    Reject aggressive salespeople. Don't feel pressured to act quickly. Give yourself time to do your homework. Don't be afraid to say "no." Request to be put on the "do not call" list. Ask questions. Ask what licenses the salesperson has. Get…
  • Dec 31

    A Securities Lawyer's Top 10 Tips for Senior Investor

    A Securities Lawyer's Top 10 Tips for Senior Investor
    Reject aggressive salespeople. Don't feel pressured to act quickly. Give yourself time to do your homework. Don't be afraid to say "no." Request to be put on the "do not call" list. Ask questions. Ask what licenses the salesperson has. Get…
Rank this Week: 275

The Securities Edge

The Securities Edge

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

http://www.thesecuritiesedge.com/
  • Jun 13

    Don’t stop B-lievin’: A “Journey” into benefit corporation

    Don’t stop B-lievin’: A “Journey” into benefit corporation
    When you think of corporations, you think “maximize profits for shareholders”. This notion is being turned on its head as a growing sustainable business movement asks: “Can we look to factors in addition to profit to measure…
  • Jun 12

    The CAMs are coming and other enlightened enhancements courtesy of the PCAOB

    The CAMs are coming and other enlightened enhancements courtesy of the PCAOB
    Earlier this month, after seven years of threats, the PCAOB adopted rules to drastically change the standard auditor’s report. In adopting the rules, the PCAOB noted that the standard auditor’s report had largely remained…
  • Jun 11

    Ducks and monkey

    Ducks and monkey
    A few weeks ago, The Wall Street Journal reported that two former directors of Theranos – the embattled blood testing company – “did not follow up on public allegations that…the firm was relying on standard technology…
Rank this Week: 3666

SEC Whistleblower Lawyer Blog

SEC Whistleblower Lawyer Blog

Covers securities law. By Silver Law Group & The Law Firm of David R. Chase, P.A.

http://www.secwhistleblowerlawyers.net/
  • Jun 13

    SEC Declines Paying a Whistleblower Because the Tip Was Provided Prior to Dodd-Frank

    SEC Declines Paying a Whistleblower Because the Tip Was Provided Prior to Dodd-Frank
    The SEC recently declined to pay a whistleblower award to a claimant that sought the SEC’s review of its stance on payouts stemming from information provided prior to the Dodd-Frank Act’s enactment in 2010. In an SEC Order, the…
  • Jun 6

    New York Settles Whistleblower-initiated Claim for $40 Million; Whistleblower Receives $8.8 Million Bounty

    New York Settles Whistleblower-initiated Claim for $40 Million; Whistleblower Receives $8.8 Million Bounty
    New York Attorney General Eric Schneiderman announced a whistleblower-initiated $40 million settlement with Alabama-based investment firm Harbert Management Corp. over unpaid state income taxes claimed instead in lower-tax Alabama. The…
  • May 3

    SEC Awards Whistleblower a Bounty of Over $500,000

    SEC Awards Whistleblower a Bounty of Over $500,000
    The SEC announced it was awarding a company insider a whistleblower award of more than $500,000 for reporting information that prompted an SEC investigation into well-hidden misconduct that resulted in an SEC enforcement action. The…
Rank this Week: 1518

Strictly Business

Strictly Business

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

http://www.strictlybusinesslawblog.com/
  • Jun 12

    Convertible Equity Options for Startups: SAFEs and KISSe

    Convertible Equity Options for Startups: SAFEs and KISSe
    When it comes to raising capital to get your new business off the ground, there’s a range of investment structures available, from common stock to exchangeable shares. One of the newer and most popular forms of financing for startups is…
  • May 24

    Managing Conflicts of Interest in Private Equity and Venture Capital Fund

    Managing Conflicts of Interest in Private Equity and Venture Capital Fund
    Since the Securities and Exchange Commission has recently taken an increasingly closer look at the activities of private equity and venture capital fund managers, it is more important than ever for fund managers to understand when conflicts…
  • May 16

    Pre-Money Valuation vs. Post-Money Valuation

    Pre-Money Valuation vs. Post-Money Valuation
    The concept of pre-money valuation vs. post-money valuation can be a confusing one at first for many startup founders. Pre-money valuation refers to the valuation of the company prior to the investment whereas post-money valuation refers to…
Rank this Week: 2942

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/
  • Jun 9

    Report of Exempt Distribution Certification and Information Requirements Revisited by the CSA

    Report of Exempt Distribution Certification and Information Requirements Revisited by the CSA
     Viviana Beltrametti Walker and Laura Levine -  The recently harmonized Form 45-106F1 Report of Exempt Distribution (Report) is once again in the spotlight as the Canadian Securities Administrators, other than the British…
  • Jun 9

    TSX Intends to Digitize PIF

    TSX Intends to Digitize PIF
    The ability to electronically sign personal information forms (PIFs) and declarations required by the Toronto Stock Exchange is being considered pursuant to proposed amendments to the TSX Company Manual published for comment on June 1, 2017.…
  • Jun 9

    Canada Repeals Côte d'Ivoire and Liberia Sanctions while Extending Syria SEMA Prohibitions to More Individuals and Entitie

    Canada Repeals Côte d'Ivoire and Liberia Sanctions while Extending Syria SEMA Prohibitions to More Individuals and Entitie
    Canadian regulations imposing limited trade sanctions against Côte d’Ivoire and Liberia were recently repealed following the termination of similar measures imposed on the two countries by U.N. Security Council Resolutions 2283…
Rank this Week: 5002

McEldrew Young Blog

McEldrew Young Blog

Covers whistleblower law and wage theft for employees.

http://www.mceldrewyoung.com/blog/
  • Jun 9

    No to CHOICE Act on SEC whistleblower culpability

    No to CHOICE Act on SEC whistleblower culpability
    The U.S. House of Representatives on Thursday approved banking reforms in the Financial CHOICE Act of 2017 that would, if adopted, “gut many of the key banking reforms implemented after the financial crisis” according to a CNBC…
  • May 24

    Remove Medical Malpractice Reform from Trump Budget

    Remove Medical Malpractice Reform from Trump Budget
    The Trump Administration’s budget proposal for 2018 includes another attempt to pass tort reform for medical malpractice lawsuits. We strongly oppose this effort to weaken compensation for injury victims and urge you to inform your…
  • May 23

    CFTC Completes Whistleblower Program Rule Change

    CFTC Completes Whistleblower Program Rule Change
    The CFTC has issued final rules based on its previously proposed changes to the CFTC whistleblower program. The changes have left the core of the program intact while strengthening the whistleblower retaliation protections, harmonizing the…
Rank this Week: 1732

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
  • Jun 7

    Supreme Court Limits SEC Ability to Seek Disgorgement

    Supreme Court Limits SEC Ability to Seek Disgorgement
    This guest post was authored by our colleague Ernest D. Holtzheimer, an associate in the firm’s Litigation Department, where he combines an active litigation practice with a transactional and business advisory practice. He also…
  • Dec 7

    Insider Trading and Brotherly Love at the Supreme Court

    Insider Trading and Brotherly Love at the Supreme Court
    Yesterday, the Supreme Court of the United States decided Salman v. United States, wading into the “personal benefit” requirement necessary to establish criminal insider trading liability.  Justice Alito, writing for a…
  • Dec 7

    Insider Trading and Brotherly Love at the Supreme Court

    Insider Trading and Brotherly Love at the Supreme Court
    Yesterday, the Supreme Court of the United States decided Salman v. United States, wading into the “personal benefit” requirement necessary to establish criminal insider trading liability.  Justice Alito, writing for a…
Rank this Week: 1888

Oil & Gas Investment Fraud Lawyer…

Oil & Gas Investment Fraud Lawyer Blog

Covers securities issues with a focus on oil & gas investment fraud. By Silver Law Group, The Law Firm of David R. Chase, P.A., and Ciklin Lubitz & O'Connell.

http://www.oilgasinvestmentfraudlawyer.com/
Rank this Week: 1559

Footnoted

Footnoted

Reports on actionable information in SEC filings.

http://www.footnoted.com/
Rank this Week: 2083

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/
  • Jun 5

    Why indemnification clauses need to be scrutinized in purchase and sale agreement

    Why indemnification clauses need to be scrutinized in purchase and sale agreement
    Indemnification clauses in purchase and sale agreements are intended to address the obligation of one party to indemnify and hold the other party harmless from direct and third party claims. However, indemnification clauses also allocate the…
  • May 15

    Will the DOL continue to make ESOPs a compliance priority?

    Will the DOL continue to make ESOPs a compliance priority?
    Greg Daugherty, our colleague at Employee Benefits Law Report shared a post exploring whether or not the Department of Labor (DOL) under President Trump will continue to make employee stock ownership plans (ESOPs) a compliance…
  • Feb 7

    FTC revises HSR and interlocking directorate threshold

    FTC revises HSR and interlocking directorate threshold
    The Federal Trade Commission has announced annual filing threshold revisions under the Hart-Scott-Rodino (HSR) Antitrust Improvements Act that set new antitrust reporting standards. Jay Levine, our colleague at Antitrust Law Source, provides…
Rank this Week: 4464

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Jun 5

    The Outset of the Fraud

    The Outset of the Fraud
    If an individual defendant’s stock trading took place pursuant to a pre-determined Rule 10b5-1 trading plan that was entered into before the outset of the alleged fraud, the use of the trading plan may undermine any inference that…
  • May 9

    Not Just For Section 11 Claim

    Not Just For Section 11 Claim
    In its Omnicare decision, the U.S. Supreme Court held that opinions presented in registration statements can be subject to liability under Section 11 of the Securities Act of 1933 if either (a) the opinion was not…
  • Apr 14

    Frivolity

    Frivolity
    Among other reforms, the Private Securities Litigation Reform Act of 1995 (“PSLRA”) requires that upon final adjudication of a federal securities action, the court shall include in the record “specific findings regarding…
Rank this Week: 793

InvestorLawyers.net

InvestorLawyers.net

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

http://www.investorlawyers.net/blog/
  • Jun 1

    LPL Fined by State of NH for Alleged Unsuitable REIT Sale

    LPL Fined by State of NH for Alleged Unsuitable REIT Sale
    For some time we have been blogging about non-traded REITS (and the real risks associated with investing in these complex investment vehicles.  Many investors are familiar with exchange traded Real Estate Investment Trusts…
  • May 23

    Non-Traded REITs – Investors Should Proceed with Caution!

    Non-Traded REITs – Investors Should Proceed with Caution!
    With increasing frequency, given the current low interest rate environment, retail investors are steered into investing in products appearing to offer more advantageous yields than are available in traditional interest-bearing investments…
  • May 22

    State of Illinois Charges Thrivent Over Variable Annuity Switching

    State of Illinois Charges Thrivent Over Variable Annuity Switching
    The State of Illinois Securities Department (“Department”) recently initiated enforcement proceedings against Thrivent Investment Management, Inc. (“Thrivent”) (CRD #18387) for allegedly violating the Illinois…
Rank this Week: 655