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Securities Lawyer 101

Securities Lawyer 101

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

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

    Going Public Blog l Securities Lawyer 101

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

    Going Public Blog l Securities Lawyer 101

    Going Public Blog l Securities Lawyer 101
      Securities Lawyer 101 Blog Going public is a big step for any company.  The process of “going public” is complex and at times precarious.  While going public offers many benefits it also comes with risks and…
  • Jan 23

    SEC Final Judgment Entered Against Graduate Leverage

    SEC Final Judgment Entered Against Graduate Leverage
    Going Public LawyerOn December 23, 2016, the United States District Court for the District of Massachusetts entered final judgments against Graduate Leverage, LLC, GL Capital Partners, LLC, GL Investment Services, LLC, Taft Financial…
Rank this Week: 2932

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/
  • Mar 23

    Latest MiFID II Academy webinar now available

    Latest MiFID II Academy webinar now available
    The recording of our latest MiFID II Academy webinar, Update on conduct issues, is now available. To listen to the recording please register here.… Continue Reading
  • Mar 23

    Commission Action Plan on Retail Financial Service

    Commission Action Plan on Retail Financial Service
    The European Commission has published its long-awaited Action Plan on Retail Financial Services. Notably the Action Plan has been rebranded as the “Consumer Financial Services Action Plan” and is less FinTech (financial…
  • Mar 23

    ESMA Chair statement on proposed Regulation on CCP recovery and resolution

    ESMA Chair statement on proposed Regulation on CCP recovery and resolution
    The European Securities and Markets Authority (ESMA) has published a statement given by its chairman, Steven Maijoor, to the European Parliament’s Economic & Monetary Affairs Committee (ECON). The statement concerns the draft…
Rank this Week: 299

Investment Fraud Information

Investment Fraud Information

By Andrew Stoltmann.

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

    Jason Diaz; Golden State Wealth Management; Petaluma, California

    Jason Diaz; Golden State Wealth Management; Petaluma, California
      Stoltmann Law Offices is investigating Jason Diaz, a registered representative with Golden State Wealth Management in Petaluma, California. Diaz was accused of altering dates on representative change forms to acquire clients and…
  • Mar 23

    Adam Smith; Merrill Lynch; Boston, Massachusett

    Adam Smith; Merrill Lynch; Boston, Massachusett
      According to recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), Adam C. Smith was accused of accepting gifts totaling $105,000 from two customers. This was against his…
  • Mar 23

    Wesley Wood; WFG Investments; Hendersonville, Tennessee

    Wesley Wood; WFG Investments; Hendersonville, Tennessee
    Stoltmann Law Offices is investigating Wesley Wood, a former Hendersonville, Tennessee-based broker with WFG Investments. The Financial Industry Regulatory Authority (FINRA) accused Wood of reimbursing a customer without informing his member…
Rank this Week: 2424

The White Law Group's Securities…

The White Law Group's Securities Fraud Blog

Covers securities fraud cases, investment fraud practices and securities industry regulations.

http://www.whitesecuritieslaw.com/securities-fraud/blog/
  • Mar 23

    Mackenzie Affiliates Extend Offer to Purchase UDF IV Share

    Mackenzie Affiliates Extend Offer to Purchase UDF IV Share
    Recovery of Investment Losses in United Development Funding IV (UDF IV) Have you suffered losses investing in United Development Funding IV (UDF IV)? If so, The White Law Group may be able to help through FINRA arbitration. United Development…
  • Mar 23

    Behringer Harvard Opportunity REIT I recommends rejection of mini-tender offer

    Behringer Harvard Opportunity REIT I recommends rejection of mini-tender offer
    Recovery of investment losses in Behringer Harvard Opportunity REIT I Have you suffered investment losses in Behringer Harvard Opportunity REIT I ? If so, the securities attorneys of The White Law Group may be able to help you by filing a…
  • Mar 22

    American Finance Trust Secondary Market Sale

    American Finance Trust Secondary Market Sale
    Recovery of Investment losses in American Finance Trust Have you suffered investment losses in American Finance Trust (AFT)? If so, the securities attorneys of The White Law Group may be able to help you. American Finance Trust, Inc. is a…
Rank this Week: 32

Securities Compliance Sentinel

Securities Compliance Sentinel

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

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

    So I Guess It Is All About The Senior

    So I Guess It Is All About The Senior
    Contrary to what the title may suggest, I am not referring to students who are about to graduate from high school or college. Instead, this post is about that group of our society who all too often (based upon my years of defending…
  • Mar 16

    The SEC Reluctantly Vacates Collateral Bars After Court Lo

    The SEC Reluctantly Vacates Collateral Bars After Court Lo
    One of the outstanding issues relating to the Dodd-Frank Act was the SEC’s use of statutory power to regulate conduct that occurred prior to its enactment in July 2010. The United States Court of Appeals for the District of Columbia…
  • Mar 15

    If You Want Trouble, Do Not Register as a Broker-Dealer

    If You Want Trouble, Do Not Register as a Broker-Dealer
    At Fox Rothschild, we are constantly advising clients regarding the peril of engaging in the securities industry without the proper license. In fact, we have developed materials to provide our clients with information about the process. See…
Rank this Week: 1026

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

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

    “Hasta La Vista” T+3: SEC Adopts T+2 Settlement

    “Hasta La Vista” T+3: SEC Adopts T+2 Settlement
    Yesterday, the SEC adopted an amendment to Rule 15c6-1(a) mandating a T+2 settlement cycle.  Here’s the 146-page adopting release.  The amendment prohibits a broker-dealer from effecting – or entering…
  • Mar 22

    Board Gender Diversity: Good for Busine

    Board Gender Diversity: Good for Busine
    This blog from “The Conference Board” reports the results of a recent study on the impact of gender diversity on boards.  Here’s a summary of the conclusions: Among the findings in the report, the authors concluded that…
  • Mar 21

    “Off With Their Heads!” Punishing CEOs for Bad Behavior

    “Off With Their Heads!” Punishing CEOs for Bad Behavior
    This Stanford study finds little inclination toward leniency among the American public or corporate boards for CEOs who engage in unethical or immoral behavior.  As far as public sentiment goes, there’s strong…
Rank this Week: 2594

DealLawyers.com Blog

DealLawyers.com Blog

Covers mergers & acquisitions. From editor Broc Romanek, who is also editor of TheCorporateCounsel.net.

http://www.deallawyers.com/Blog/
  • Mar 23

    Delaware: Director Self-Interest Cleansed through Stockholder Vote

    Delaware: Director Self-Interest Cleansed through Stockholder Vote
    This Fried Frank memo reviews Vice Chancellor Laster’s recent decision in Columbia Pipeline Group, Inc. Stockholder Litigation (Del. Ch.; 3/17) – which held that the ability to “cleanse” transactions through a…
  • Mar 22

    Inbound US M&A: The Glass is Half Full

    Inbound US M&A: The Glass is Half Full
    This Dentons memo reviews the outlook for inbound US M&A for 2017, and concludes that the glass is half full: With 2016’s roaring inbound M&A market in mind, what can we expect in terms of inbound M&A in 2017? For now, most…
  • Mar 21

    Bank M&A: Fed Expands Financial Stability Safe Harbor

    Bank M&A: Fed Expands Financial Stability Safe Harbor
    This Simpson Thacher memo reports that a recent Fed order approving a proposed acquisition by Peoples United Financial contains good news for many future bank deals.  That’s because the order expanded the…
Rank this Week: 2620

California Corporate & Securities…

California Corporate & Securities Law

Covers California securities law, corporate governance, mergers & acquisitions and securities litigation. By Keith Paul Bishop.

http://calcorporatelaw.com/
  • Mar 23

    Nevada Legislature Ponders Rejection Of Unocal And Revlon Standard

    Nevada Legislature Ponders Rejection Of Unocal And Revlon Standard
    Thirty years ago, the Delaware Supreme Court issued two seminal opinions concerning how courts ought to review director decisionmaking in merger and acquisition transactions.  In the first case, Unocal Corporation v.…
  • Mar 22

    Even In Nevada, “Get It Writing” May Not Be Far From The Mark

    Even In Nevada, “Get It Writing” May Not Be Far From The Mark
    A recent ruling by U.S. District Court Magistrate George Foley, Jr. serves as a reminder the “get it in writing” tends to be good advice.  The case involves a casino’s attempt to enforce a $3 million gaming debt…
  • Mar 21

    Court Finds Lawsuit By Corporation Against Minority Shareholder Is “Protected Activity”

    Court Finds Lawsuit By Corporation Against Minority Shareholder Is “Protected Activity”
    SLAPP is the initialization of the phrase “strategic lawsuit against public participation”.  A more informative description of SLAPP suits is found in Simpson Strong-Tie Co., Inc. v. Gore, 49 Cal.4th 12, 21 (2010):…
Rank this Week: 433

Securities Law Blog

Securities Law Blog

Features news, commentary and thoughts on the law of the securities markets. By Mark Astarita.

http://seclaw.blogspot.com/
  • Mar 22

    Indecision Hampers SEC

    Indecision Hampers SEC
    President Donald J. Trump's unpredictability may extend to his appointment of Securities and Exchange Commissioner members, financial industry government relations officials said on Tuesday.Traditionally, the SEC's five commissioners are…
  • Mar 13

    Art Cashin warns that there's something ‘disturbing' happening in the market

    Art Cashin warns that there's something ‘disturbing' happening in the market
    Stocks may be trekking higher, but Wall Street trading veteran Art Cashin says there are looming risks to the market that could soon shake things up.On CNBC's "Futures Now" last week, Cashin commented on how a "counter-intuitive" trend is…
  • Feb 27

    SEC Wants All Investors to Access High Risk Investments.

    SEC Wants All Investors to Access High Risk Investments.
    In a startling about-face, Acting Securities and Exchange Commissioner Michael Piwowar called for allowing every investor to buy unregistered securities, regardless of their income, net worth, or ability to suffer the risk of loss.The…
Rank this Week: 2608

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: 1974

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Mar 22

    CAQ publishes report on addressing complex accounting challenge

    CAQ publishes report on addressing complex accounting challenge
    By Jacquelyn LumbThe Center for Audit Quality has released a report on the challenges of highly subjective and complex accounting areas which provides recommendations for deterring fraud and enhancing financial reporting. The report was…
  • Mar 21

    High court won’t resolve circuit split on SEC whistleblowing

    High court won’t resolve circuit split on SEC whistleblowing
    By Anne Sherry, J.D.The Supreme Court declined to resolve a circuit split regarding whether Dodd-Frank protects whistleblowers who do not report misconduct to the SEC. The case came to the Court on an unusual posture, seeking to appeal a…
  • Mar 20

    EU Parliament approves conflict minerals proposal

    EU Parliament approves conflict minerals proposal
    By Amy Leisinger, J.D.By a 558-17 vote, the European Parliament approved a proposal to stop trade in conflict minerals to ensure that European industries source minerals responsibly. According to the European Commission, the changes will stop…
Rank this Week: 493

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/
  • Mar 21

    Hold the Phone: SEC Takes One Last Stand Before the Tenth Circuit regarding the Constitutionality of the SEC’s Administrative Law Judge

    Hold the Phone: SEC Takes One Last Stand Before the Tenth Circuit regarding the Constitutionality of the SEC’s Administrative Law Judge
    Last week, the United States Securities and Exchange Commission filed a petition for rehearing en banc with the Tenth Circuit Court of Appeals, imploring the court to reconsider a divided panel’s ruling on the unconstitutionality of its…
  • Mar 17

    Understanding the New DOJ Guidance: Part 1 – Tone at the Top

    Understanding the New DOJ Guidance: Part 1 – Tone at the Top
    In February, the Department of Justice’s Fraud Section offered a new perspective on what the government expects in a compliance program in the form of a series of questions that companies should be prepared to answer about their…
  • Mar 14

    Circuit Split on Whistleblower Protections Widen

    Circuit Split on Whistleblower Protections Widen
    On March 8, 2017, a divided panel of the Ninth Circuit issued an opinion in Somers v. Digital Realty Trust Inc. that further widened a circuit split on the issue of whether the anti-retaliation provisions in the Dodd-Frank Wall Street Reform…
Rank this Week: 332

Securities Law Attorneys Blog

Securities Law Attorneys Blog

Covers securities law. By Fitapelli | Kurta.

http://www.securitieslawattorneys.net/
  • Mar 21

    Christopher Hackley: Issued a Fine and a Ten-Day Suspension

    Christopher Hackley: Issued a Fine and a Ten-Day Suspension
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on March 20, 2017 indicate that Pennsylvania-based Securian Financial Services broker/adviser Christopher Hackley has been sanctioned by FINRA in…
  • Mar 21

    Patrick Horsman: Sanctioned by FINRA

    Patrick Horsman: Sanctioned by FINRA
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on March 20, 2017 indicate that Pennsylvania-based Blue Sand Securities broker Patrick Horsman has been sanctioned by FINRA in connection to alleged…
  • Mar 21

    David Guensch: Recently Terminated From LPL Financial

    David Guensch: Recently Terminated From LPL Financial
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on March 20, 2017 indicate that Pennsylvania-based Lombard Securities broker/adviser David Guensch has been sanctioned by FINRA and was terminated from…
Rank this Week: 99

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Mar 21

    Jose Jimenez: Issued a 3 Month Suspension and a Fine From FINRA.

    Jose Jimenez: Issued a 3 Month Suspension and a Fine From FINRA.
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on March 20, 2017 indicate that former California-based PFS Investments broker Jose Jimenez has been sanctioned by FINRA and suspended from acting as a…
  • Mar 21

    Bryan Todd: Sanctioned by FINRA

    Bryan Todd: Sanctioned by FINRA
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on March 20, 2017 indicate that former New York-based LPL Financial broker/adviser Bryan Todd has been sanctioned by FINRA. Fitapelli Kurta is…
  • Mar 21

    Paul Stanley: Terminated From a Recent Employer

    Paul Stanley: Terminated From a Recent Employer
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on March 17, 2017 indicate that former Oklahoma-based Waddell & Reed broker/adviser Paul Stanley has been permanently barred from acting as a…
Rank this Week: 43

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
  • Mar 21

    New Recommendations by the FINRA Dispute Resolution Task Force (11th Article)

    New Recommendations by the FINRA Dispute Resolution Task Force (11th Article)
    From the Desk of Jim Eccleston at Eccleston Law LLC:This is the eleventh 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…
  • Mar 17

    New Recommendations by the FINRA Dispute Resolution Task Force (10th Article)

    New Recommendations by the FINRA Dispute Resolution Task Force (10th Article)
    From the Desk of Jim Eccleston at Eccleston Law LLC:This is the tenth 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…
  • Mar 16

    FINRA Charges Former Wells Fargo Analyst for Violating Conflict Rule

    FINRA Charges Former Wells Fargo Analyst for Violating Conflict Rule
    From the Desk of Jim Eccleston at Eccleston Law LLC: FINRA has filed charges against former Wells Fargo Securities analyst Matthew Nemer, alleging that Mr. Nemer violated FINRA conflict rules. More specifically, the complaint alleges that…
Rank this Week: 989

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: 1013

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/
  • Mar 20

    Making your vote count II: CSA finalizes proxy voting protocol

    Making your vote count II: CSA finalizes proxy voting protocol
    The Canadian Securities Administrators (CSA) have recently released finalized guidance and protocols for meeting vote reconciliation under CSA Staff-Notice 54-305 Meeting Vote Reconciliation Protocols (the Protocols) which are implemented on…
  • Mar 13

    Glass Lewis’ 2017 Canada Policy Guideline

    Glass Lewis’ 2017 Canada Policy Guideline
    Towards the end of last year, Glass, Lewis & Co., LLC (Glass Lewis), a leading governance and proxy voting firm, released its 2017 Proxy Paper Guidelines for Canada (the Guidelines) for the upcoming 2017 proxy season.  Although the…
  • Feb 27

    Re Hemostemix Inc: Alberta Securities Commission upholds decision of TSXV in contested private placement

    Re Hemostemix Inc: Alberta Securities Commission upholds decision of TSXV in contested private placement
    Following recent amendments to Canada’s takeover bid rules, private placements in the face of hostile bids have become newly controversial. Private placements in the context of proxy contests have received less attention. Yet this is…
Rank this Week: 2406

New York Securities Lawyers Blog

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

http://www.newyorksecuritieslawyersblog.com/
Rank this Week: 3926

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/
  • Mar 20

    TSX endorses ISS and Glass Lewis guidelines for advance notice policie

    TSX endorses ISS and Glass Lewis guidelines for advance notice policie
    The Toronto Stock Exchange (TSX) has reviewed 25 randomly selected advance notice policies adopted by TSX-listed issuers and has identified a number of its concerns in a Staff Notice published on March 9, 2017. The Staff Notice acknowledges…
  • Mar 17

    TSX issuers asked to review majority voting policies after spot-check finds flaw

    TSX issuers asked to review majority voting policies after spot-check finds flaw
    Majority voting policies of Toronto Stock Exchange (TSX) listed issuers are under the spotlight following a TSX review of 200 randomly selected policies. In a Staff Notice published on March 9, 2017, the TSX pinpointed a number of issues that…
  • Mar 8

    Board Diversity in the spotlight

    Board Diversity in the spotlight
    In light of March 8 being International Women’s Day, we thought it would be fitting to recap highlights from Stikeman Elliott’s inaugural event held earlier this year to launch its Board Diversity initiative. Stikeman Elliott was…
Rank this Week: 4963

Subject to Inquiry

Subject to Inquiry

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

http://www.subjecttoinquiry.com/
  • Mar 20

    President’s Proposed Budget Increases Healthcare Fraud Enforcement Funding

    President’s Proposed Budget Increases Healthcare Fraud Enforcement Funding
    Much of the discussion surrounding President Trump’s 2018 budget blueprint has focused on cuts, but one proposed budget increase shows the new administration is likely to continue focusing on healthcare fraud enforcement.  Among…
  • Mar 13

    SEC Opens Cease-and-Desist Order Proceeding against Broker-Dealer and Chief Compliance / AML Officer

    SEC Opens Cease-and-Desist Order Proceeding against Broker-Dealer and Chief Compliance / AML Officer
    As we have highlighted in prior posts, regulators of financial institutions, including FinCEN, FINRA and SEC, have increasingly brought actions to bring organizations – and individuals – into compliance with AML / BSA…
  • Mar 9

    Will 2017 Be the Year of Insider Trading Reform?

    Will 2017 Be the Year of Insider Trading Reform?
    For several years running, insider trading has been among the most high-profile enforcement priorities for both DOJ and the SEC. Unlike most federal criminal law, insider trading remains undefined by statute, having instead been largely…
Rank this Week: 661

The Securities Edge

The Securities Edge

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

http://www.thesecuritiesedge.com/
  • Mar 19

    Beware when the legislature is in session

    Beware when the legislature is in session
    Posted By: Robert B. Lamm New York Surrogate Gideon Tucker (1826-1899) is credited with originating the maxim that “no man’s life, liberty or property are safe while the legislature is in session.”  Were Surrogate…
  • Mar 17

    The missing (hyper) link

    The missing (hyper) link
    Posted By: Robert B. Lamm If you have ever had to search for an exhibit originally filed with the SEC years ago, you know it can take forever, particularly when the exhibit consists of an original document that has been amended several times,…
  • Mar 5

    News from the institutional investor front

    News from the institutional investor front
    Posted By: Robert B. Lamm   I recently attended the Winter Meeting of the Council of Institutional Investors and thought you would like to know what the Council and its members are thinking. What was NOT discussed – proxy access…
Rank this Week: 1936

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: 616

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/
  • Mar 17

    Stifel Ordered to Pay Back Retired Couple More Than $100K For their Puerto Rico Bond Fraud Losse

    Stifel Ordered to Pay Back Retired Couple More Than $100K For their Puerto Rico Bond Fraud Losse
    A Financial Industry Regulatory Authority (FINRA) panel said that Stifel, Nicolaus & Co. (“Stifel”) must pay June and Perry Burns over $100K for losses they sustained from Puerto Rico bonds and oil and gas investments. The…
  • Mar 15

    Aegis Capital Under Investigation by FINRA, FINCEN and SEC

    Aegis Capital Under Investigation by FINRA, FINCEN and SEC
    The US Securities and Exchange Commission, the Financial Industry Regulatory Authority, and the US Treasury Department’s Financial Crimes Enforcement Network are investigating brokerage firm Aegis Capital Corp. The reason for the probe…
  • Mar 13

    Wells Fargo Advisors Must Pay $357K Securities Arbitration Award Over Unsuitable Investment

    Wells Fargo Advisors Must Pay $357K Securities Arbitration Award Over Unsuitable Investment
    A Financial Industry Regulatory Authority Panel has ruled that Wells Fargo Advisors (WFC) must pay investor Anthony J. Pryor $357K related to purportedly unsuitable housing and energy investments. In his securities fraud claim, Pryor alleged…
Rank this Week: 259

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/
  • 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…
  • Mar 9

    Delaware Court of Chancery Holds that Cancellation of Shares Through Merger Deprives Stockholder of Standing in Section 220 Action

    Delaware Court of Chancery Holds that Cancellation of Shares Through Merger Deprives Stockholder of Standing in Section 220 Action
    In Weingarten v. Monster Worldwide, Inc., C.A. No. 12931-VCG, 2017 WL 752179 (Del. Ch. Feb. 27, 2017), the Delaware Court of Chancery (Glasscock, V.C.) clarified when a plaintiff has standing to vitiate inspection rights under Delaware…
  • Mar 3

    SNAP IPO Debuts On NYSE

    SNAP IPO Debuts On NYSE
    SNAP Inc., the parent company of Snapchat, went public yesterday with a valuation of approximately $33.4 billion. The Company raised $3.4 billion at $17 per share, and is now trading well above the IPO price. While SNAP has reported…
Rank this Week: 971

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

http://www.hedgefundlawblog.com
  • Mar 17

    Hedge Fund Bits and Pieces for March 17, 2017

    Hedge Fund Bits and Pieces for March 17, 2017
    Happy Friday. This week’s updates below. **** Bitcoin ETF Rejected by SEC – an application to establish an ETF which would be based on a basket of Bitcoins was rejected by the SEC on March 10. The Winklevoss brothers, noted…
  • Mar 16

    Bitcoin Hedge Funds (Cryptocurrency / AltCurrency Funds)

    Bitcoin Hedge Funds (Cryptocurrency / AltCurrency Funds)
    Overview of Blockchain Based Digital Currency Investment Fund Structures Bitcoin has recently been in the news again due to strong results over the last couple of months. Bitcoin and other digital currencies have been a bit of a fringe…
  • Mar 9

    Hedge Fund / Investment Adviser Updates for March 10, 2017

    Hedge Fund / Investment Adviser Updates for March 10, 2017
    Happy Friday.  Below are some recent updates that we thought were relevant and/or interesting.  Please contact us if you have any questions on the below. **** IA Annual Update – a reminder to investment advisers that the…
Rank this Week: 4208

Stock Attorneys Blog

Stock Attorneys Blog

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

http://www.stockattorneysblog.com/
  • Mar 16

    Morgan Stanley pays penalty after allegations of inverse ETF investment

    Morgan Stanley pays penalty after allegations of inverse ETF investment
    The Securities and Exchange Commission (SEC) announced Feb. 14, 2017 that Morgan Stanley Smith Barney will pay $8 million and admit wrongdoing after allegations related to single inverse ETF (exchange –traded fund) investments it…
  • Feb 24

    Large FINRA Arbitration Award Against UBS of Puerto Rico Regarding Bond Fund

    Large FINRA Arbitration Award Against UBS of Puerto Rico Regarding Bond Fund
    Blum Law Group, along with Place and Hanley, LLC is pleased to report a FINRA Arbitration Award against UBS Financial Services of Puerto Rico relating to the crash of UBS closed end bond funds in 2013 which were sold to Puerto Rico…
  • Mar 14

    FINRA Questioning Brokerage Firm “Culture”

    FINRA Questioning Brokerage Firm “Culture”
    FINRA has made brokerage firm “culture” one of its top priorities for 2016. FINRA refers to “culture” as how management sets the bar for the firm and how culture effects their brokers interaction with clients and their…
Rank this Week: 4541

New York Securities Lawyer Blog

New York Securities Lawyer Blog

Covers securities law. By Lax & Neville LLP.

http://www.newyorksecuritieslawyerblog.com/
Rank this Week: 1014

Strictly Business

Strictly Business

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

http://www.strictlybusinesslawblog.com/
Rank this Week: 3899

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
  • Mar 14

    Unsuspecting Investors May Owe Taxes on Their Individual Retirement Accounts (IRAs)

    Unsuspecting Investors May Owe Taxes on Their Individual Retirement Accounts (IRAs)
    As described in a recent article in The Wall Street Journal (“Are Taxes Lurking in Your Tax-Free Retirement Account”), many Americans are now receiving notices informing them that they owe additional taxes on their traditional…
  • Mar 7

    Steven B. Caruso Selected to Speak at 2017 New York City Bar Association Arbitration Program

    Steven B. Caruso Selected to Speak at 2017 New York City Bar Association Arbitration Program
    Steven B. Caruso, the Resident Partner in the New York City office of Maddox Hargett & Caruso, P.C., has been invited to participate as a speaker at the 2017 “Hot Topics in Securities Arbitration” program that will be offered…
  • Feb 16

    Morgan Stanley Smith Barney to Pay $8M Penalty

    Morgan Stanley Smith Barney to Pay $8M Penalty
    Morgan Stanley Smith Barney has agreed to pay an $8 million penalty and admit wrongdoing to settle SEC charges that the firm made unsuitable recommendations about single inverse exchange traded fund (“ ETF”)  investments to…
Rank this Week: 140

McEldrew Young Blog

McEldrew Young Blog

Covers whistleblower law and wage theft for employees.

http://www.mceldrewyoung.com/blog/
  • Mar 14

    Federal Medical Malpractice Reform Hurts Health Care Patient

    Federal Medical Malpractice Reform Hurts Health Care Patient
    Congress is considering a bill to reform medical malpractice lawsuits called the Protecting Access to Care Act. Despite its well-intentioned name, the legislation would gut patient’s rights here in Pennsylvania and around the country.…
  • Mar 10

    9th Circuit: Internal SEC Whistleblowers Can Sue Under Dodd-Frank Anti-Retaliation Provision

    9th Circuit: Internal SEC Whistleblowers Can Sue Under Dodd-Frank Anti-Retaliation Provision
    On a 2-1 decision, the Ninth Circuit has affirmed the right of internal whistleblowers to sue under the Dodd-Frank Act after they are retaliated against for informing their company of suspected violations of federal securities laws. The…
  • Mar 9

    Review of SEC Rule 21F-17 (Impeding Whistleblowers)

    Review of SEC Rule 21F-17 (Impeding Whistleblowers)
    Brandon Lauria will speak on SEC enforcement of Rule 21F-17 at a Knowledge Group live webcast on March 9, 2017.  Rule 21F-17 prohibits confidentiality agreements and other measures which restrict access to the SEC whistleblower…
Rank this Week: 2207

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
  • Mar 14

    It's All Going To Pot In FINRA Settlement

    It's All Going To Pot In FINRA Settlement
    Was a time when marijuana was the thing of folded five-dollar bills, scared kids, and ripped-open boxes of Oreo cookies. Times have changed. Now it's big business. Public companies. Wall Street is rolling in the green. Alas, FINRA just…
  • Mar 13

    Invesco Loses FMLA Wrongful Termination Case

    Invesco Loses FMLA Wrongful Termination Case
    Today's BrokeAndBroker.com Blog publishes a commentary about a recent FINRA intra-industry arbitration pitting an associated person against her former firm, Invesco Distributors, Inc.,  as a result of her allegedly wrongful termination.…
  • Mar 13

    FINRA Rule 8312: The Indecipherable Swamp of BrokerCheck

    FINRA Rule 8312: The Indecipherable Swamp of BrokerCheck
    Bureaucracies love to promulgate rules. Rules that you must comply with. Rules that the bureaucrats enforce. Rules that will cost you big bucks in terms of fines. The thing is that those who draft the rules have a penchant for overly…
Rank this Week: 1055

Business Law Post

Business Law Post

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

http://www.businesslawpost.com
  • Mar 13

    SaaS Contracts vs Software License Agreement

    SaaS Contracts vs Software License Agreement
    Just like technology itself, technology contracts are becoming more and more complex.  Yet, the legal theories that apply to them remain the same. Understanding the technological aspects of the transaction allows attorneys to apply…
  • Mar 11

    Deconstructing Open Source Software License

    Deconstructing Open Source Software License
    When drafting and negotiating software license agreements, I frequently come across open source licenses.  This blog post is to clarify some of the myths that exist around the definition and use of open source software.First, I want to…
  • Feb 6

    Are Terms of Use and Other Online Agreements Real and Binding Contracts?

    Are Terms of Use and Other Online Agreements Real and Binding Contracts?
    It used to be that people would enter into binding agreements by manually signing them. A signature manifested the two required aspects of forming a binding contract: a notice and an assent, i.e., the signatory has read the agreement and…
Rank this Week: 3439

Footnoted

Footnoted

Reports on actionable information in SEC filings.

http://www.footnoted.com/
  • Mar 10

    2016 was the year of autonomous vehicle

    2016 was the year of autonomous vehicle
    The number of companies making disclosures about self-driving cars and trucks has exploded since the start of 2016.
  • Mar 3

    Election results have gun makers feeling blue

    Election results have gun makers feeling blue
    The unexpected results of the presidential election delivered good news and bad news for the gun industry. In the months leading up to the November election, it seems gun owners clearly thought Hillary Clinton would win. As a result, they…
  • Feb 23

    PG&E’s Filing Of Misery

    PG&E’s Filing Of Misery
    It might be tough to find any company that offered a gloomier set of disclosures than the list of fires, explosions, and legal problems found in PG&E’s latest annual report. None of this seems to be bothering investors.…
Rank this Week: 2957

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: 203

Securities Law Prof Blog

Securities Law Prof Blog

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

http://lawprofessors.typepad.com/securities/
  • Feb 27

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: John P. Anderson, When Does Corporate Criminal Liability for Insider Trading Make Sense?, 46 Stetson L. Rev. 147 (2016). Maria Babajanian,…
  • Feb 21

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: Sara Almousa, Comment, Friends with Benefits? Clarifying the Role Relationships Play in Satisfying the Personal Benefit Requirement under…
  • Feb 6

    Reminder: National Business Law Scholars Conference Paper Submissions Due February 17

    Reminder: National Business Law Scholars Conference Paper Submissions Due February 17
    National Business Law Scholars Conference (NBLSC) Thursday & Friday, June 8-9, 2017 Call for Papers The National Business Law Scholars Conference (NBLSC) will be held on Thursday and Friday, June 8-9, 2017, at the University of Utah S.J.…
Rank this Week: 76

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/
  • Feb 27

    SEC Awards $7 million to Whistleblower

    SEC Awards $7 million to Whistleblower
    The SEC announced an award of over $7 million split among three (3) whistleblower who helped the SEC litigate an investment scheme. The SEC began their investigation when one of the whistleblowers provided a tip to the SEC.  The initial…
  • Feb 17

    How the Investment Management Firm BlackRock Undermined Whistleblower Incentive

    How the Investment Management Firm BlackRock Undermined Whistleblower Incentive
    Firm managing $5.1 trillion is forced to change improper employee whistleblower policy Until recently, the world’s largest investment management firm forced ex-employees to sign away their rights to potential whistleblower awards in…
  • Jan 23

    SEC Awards $5.5 Million to Whistleblower

    SEC Awards $5.5 Million to Whistleblower
    The Securities and Exchange Commission (the “SEC”) announced an award of more than $5.5 million to a whistleblower who provided pertinent information that helped the SEC uncover an ongoing scheme on January 6, 2017. According to…
Rank this Week: 2306

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Feb 24

    Somebody Else Said It

    Somebody Else Said It
    Is paying someone else to make a misstatement to investors the same as making the misstatement yourself for purposes of securities fraud liability?  Two recent appellate decisions address this question and come to different conclusions…
  • Feb 10

    Compare and Contrast

    Compare and Contrast
    NERA Economic Consulting and Cornerstone Research have released their respective 2016 annual reports on federal securities class action filings.  As usual, the different methodologies employed by the two organizations have led to…
  • Jan 30

    Transparently Aspirational

    Transparently Aspirational
    Can shareholders bring a claim for securities fraud when a corporate official violates the company’s code of conduct after publicly touting the business’s high standards for ethics and compliance?  According to the U.S. Court…
Rank this Week: 2596

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • Feb 24

    Get Your Own Lawyer, Darn It!

    Get Your Own Lawyer, Darn It!
    Financial advisors facing an arbitration claim or regulatory inquiry often count on their broker-dealer or registered investment advisor for legal counsel. These “employers” will frequently provide them with an ostensibly…
  • Feb 8

    In re Behrends: FINRA Arbitration Awards May Not Be Dischargeable In Bankruptcy But Make Sure To Register Them As Judgments.

    In re Behrends: FINRA Arbitration Awards May Not Be Dischargeable In Bankruptcy But Make Sure To Register Them As Judgments.
    11 U.S.C. §523(a)(19), which was part of the Sarbanes-Oxley Act of 2002, states that a discharge [in bankruptcy] does not discharge an individual debtor from any debt that           …
  • Feb 6

    Sentinel Growth Fund Management and Mark…

    Sentinel Growth Fund Management and Mark Varacchi:  Even Rich People Should Stick With Registered Financial Advisors. February 6, 2017On Thursday, February 2, 2017, the SEC filed a civil complaint in Connecticut federal court…
Rank this Week: 5041

Stock Market Loss

Stock Market Loss

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

http://www.stockmarketloss.com/news/
Rank this Week: 5128

Amato Law Firm, LLC Blog

Amato Law Firm, LLC Blog

Overview of current developments in the area of securities law with a focus on securities arbitration and broker-dealer regulation.

http://www.ramatolaw.com/blog1
  • Feb 15

    FINRA Bars Former Wells Fargo Advisors Broker Matthew Maczko

    FINRA Bars Former Wells Fargo Advisors Broker Matthew Maczko
    The securities law firm of Amato Law Firm, LLC is investigating potential securities law claims involving former Wells Fargo Advisors, LLC representative Matthew Maczko.  Mr. Maczko, who worked in Wells Fargo Advisors’ Oak Brook,…
  • Jan 19

    Large Raiding Award Against Robert W. Baird & Co. Underscores Issues with Team Transition

    Large Raiding Award Against Robert W. Baird & Co. Underscores Issues with Team Transition
    A notable (due to its size) $23.5 million FINRA arbitration award against broker-dealer Robert W. Baird & Co. (Baird) and some of its representatives, issued by a three-member FINRA panel in Kansas last week, underscores the issues that…
  • Jan 12

    JPMorgan Found to Have Retaliated Against Adviser, Filed Defamatory U5

    JPMorgan Found to Have Retaliated Against Adviser, Filed Defamatory U5
    A recent investigation by the U.S. Occupational Safety and Health Administration (OSHA) has resulted in an award of more than $160,000 for back pay and “reputational damage” to a former JPMorgan Chase & Co. financial adviser.…
Rank this Week: 2524

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Feb 13

    Broker Investigation: Customer Complaints Against Scott Palmer

    Broker Investigation: Customer Complaints Against Scott Palmer
    The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Scott Palmer (Palmer). According to BrokerCheck records, Palmer is subject to at least five…
  • Feb 13

    Broker Investigation: Customer Complaints Against Scott Palmer

    Broker Investigation: Customer Complaints Against Scott Palmer
    The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Scott Palmer (Palmer). According to BrokerCheck records, Palmer is subject to at least five…
  • Feb 13

    Advisor Robert Estevez Subject to Multiple Regulatory Action

    Advisor Robert Estevez Subject to Multiple Regulatory Action
    The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Robert Estevez (Estevez). According to BrokerCheck records there are at least 9…
Rank this Week: 280

The California Securities…

The California Securities Attorneys

By Bruce E. Methven and Kenneth A. Priore. Covers securities offerings.

http://thecaliforniasecuritiesattorneys.com/
  • Feb 9

    Marketing Your Offering by Bruce E. Methven

    Marketing Your Offering by Bruce E. Methven
    The truth about marketing your securities offering is that you have to find investors yourself. Venture capital firms invest in only a tiny percentage of the companies that approach them. Groups that involve angel investors may work, but…
  • Oct 28

    Report on Crowdfunding by Bruce E. Methven

    Report on Crowdfunding by Bruce E. Methven
    Crowdfunding via approved internet portals became available in May of this year. So far companies have been averaging about $800 per investor and may have hundreds of investors. That’s a lot of small investors to deal with. Many…
  • May 13

    Running Another Offering With a Crowdfunding Offer by Bruce E. Methven

    Running Another Offering With a Crowdfunding Offer by Bruce E. Methven
    This is part of a series on crowdfunding; this part covers running another offer simultaneously with a crowdfunding offer. Again, true crowdfunding — offerings of stock, LLC units and promissory notes — becomes available on May…
Rank this Week: 2184

Federal Securities Law Blog

Federal Securities Law Blog

FedSecLaw.com is devoted to highlighting current issues in securities laws, discussing the ramifications of those issues for today’s businesses, and providing bottom-line takeaways for busy owners, managers, and executives. By Porter Wright Morris & Arthur LLP.

http://www.fedseclaw.com/
  • Feb 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…
  • Jan 23

    SEC enforces rules regarding use of non-GAAP measures and undisclosed perk

    SEC enforces rules regarding use of non-GAAP measures and undisclosed perk
    Last week, the Securities and Exchange Commission (SEC) made good on its promises to enforce violations of its non-GAAP financial measure disclosure rules. MDC Partners agreed to pay a $1.5 million dollar penalty to settle the SEC’s…
  • Dec 9

    Supreme Court affirms family insider trading conviction

    Supreme Court affirms family insider trading conviction
    On Tuesday, The United States Supreme Court unanimously affirmed an insider trading conviction by finding that inside information exchanged between relatives violates federal security laws. The case is Salman v. United States. The decision…
Rank this Week: 4436

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/
  • Jan 31

    Shareholders Lose as Peabody Energy Gets Chapter 11 Bankruptcy Plan Approval

    Shareholders Lose as Peabody Energy Gets Chapter 11 Bankruptcy Plan Approval
    Peabody Energy (OTCPK: BTUUQ) announced on January 26, 2016 that the U.S. Bankruptcy Court for the Eastern District of Missouri approved the company’s reorganization plan, disclosure statement, private placement agreement and backstop…
  • Jan 31

    Our Firms Initiate Investigation into Losses in Energy XXI Ltd. Bermuda (EXXI)

    Our Firms Initiate Investigation into Losses in Energy XXI Ltd. Bermuda (EXXI)
    Our attorneys are investigating losses in Energy XXI Ltd. Bermuda (stock ticker “EXXI”). According to its website, EXXI is an independent oil and natural gas development and production company that focuses on developing drilling…
  • Jan 25

    Bankruptcy Judge Confirms Linn Energy Bankruptcy Plan

    Bankruptcy Judge Confirms Linn Energy Bankruptcy Plan
    Linn Energy, LLC (LINE) filed for bankruptcy protection in May 2016.  U.S. Bankruptcy Judge David Jones issued an Order today confirming LINE’s chapter 11 bankruptcy restructuring plan.  Our attorneys have previously written…
Rank this Week: 2293

Florida Securities Fraud Lawyer…

Florida Securities Fraud Lawyer Blog

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

http://www.floridasecuritiesfraudlawyerblog.com/
  • Jan 31

    I Inherited an IRA Account. Now What?

    I Inherited an IRA Account. Now What?
    Ira Account Inheritance The answer to that question depends on whether you inherited the IRA account from your spouse or someone other than your spouse, such as your parent, sibling, or close friend.  You have more options if you…
  • Jan 27

    SEC Whistleblower Program is Gaining Momentum and Paying Big Bountie

    SEC Whistleblower Program is Gaining Momentum and Paying Big Bountie
    SEC Whistleblowers On January 23, the SEC announced that its whistleblower program will pay out to three whistleblowers a combined award of $7 million.  The whistleblowers’ awards were for helping the SEC pursue an investment…
  • Jan 19

    What are the pros and cons of taking a 401K loan?

    What are the pros and cons of taking a 401K loan?
    Many employers provide 401k plans for their employees.  A 401k plan is a retirement savings plan where employees can save a portion of their pre-tax earnings. Taxes aren’t paid on the money until it is withdrawn from the account.…
Rank this Week: 4847