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Securities Lawyer 101

Securities Lawyer 101

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

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

    Corporate Hijackings 101 l Securities Lawyer 101 Blog

    Corporate Hijackings 101 l Securities Lawyer 101 Blog
    Securities Lawyer 101 Blog Corporate hijackings, also known as corporate identity theft, of public shell companies has been around for more than a decade.  It  is a growing method used by fraudsters to acquire…
  • Jan 1

    Going Public Blog l Securities Lawyer 101

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

    Going Public Blog l Securities Lawyer 101

    Going Public Blog l Securities Lawyer 101
    Going Public Lawyer  Securities Lawyer 101 Blog Going public is a big step for any company.  The process of “going public” is complex and at times precarious.  While going public offers many benefits it also comes…
Rank this Week: 204

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: 672

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/
  • Aug 4

    Recovery of Puerto Rico Public Financing Corporation Bonds Losse

    Recovery of Puerto Rico Public Financing Corporation Bonds Losse
    Have you suffered losses investing in Puerto Rico Public Financing Corporation bonds?  If so, the securities attorneys of The White Law Group may be able to help you recover your losses in a FINRA arbitration claim against the brokerage…
  • Aug 3

    Kwen Chun Pleads Guilty to Fraud Charge

    Kwen Chun Pleads Guilty to Fraud Charge
    In recent news, former MetLife Securities broker, Kwen Y. Chun has pled guilty to mail fraud. Chun reportedly admitted to stealing more than $650,000 from clients. According to NorthJersey.com, since 2005, Chun was funneling money from at…
  • Jul 31

    SEC Awards Whistleblower $3 Million

    SEC Awards Whistleblower $3 Million
    The Securities and Exchange Commission (SEC) recently announced they recently awarded a multi-million dollar payout to a whistleblower. The $3 million payout was the program’s third largest award. The whistleblower provided the SEC with…
Rank this Week: 178

New York Securities Lawyer Blog

New York Securities Lawyer Blog

Covers securities law. By Lax & Neville LLP.

http://www.newyorksecuritieslawyerblog.com/
Rank this Week: 2245

Securities Litigation and…

Securities Litigation and Regulatory Enforcement Blog

Covers SEC investigations, insider trading, derivative actions, white collar defense, and whistleblowers. By Orrick, Herrington & Sutcliffe LLP.

http://blogs.orrick.com/securities-litigation/
Rank this Week: 3494

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/
  • Aug 4

    MFDA proposes proficiency standard for selling ETF

    MFDA proposes proficiency standard for selling ETF
    Darin Renton -  On July 22, 2015, the Mutual Fund Dealers Association of Canada (MFDA) published a consultation document proposing individual proficiency standards for Approved Persons selling Exchange Traded Funds (ETFs).  The…
  • Jul 31

    Analysis of expert recommendations on reforming Ontario business law published on our M&A law blog

    Analysis of expert recommendations on reforming Ontario business law published on our M&A law blog
    Our readers will be interested in a post on our M&A law blog on proposed reforms to modernize Ontario’s business environment.  The post highlights the recommendations of a 13-member expert panel of legal practitioners and…
  • Jul 31

    OECD Common Reporting Standard to come into effect in Canada on July 1, 2017

    OECD Common Reporting Standard to come into effect in Canada on July 1, 2017
    Darin Renton and Junaid Subhan Canadian financial institutions will be subject to the Organisation for Economic Co-operation and Development’s (OECD) Common Reporting Standard as of July 1, 2017 with the first exchanges of financial…
Rank this Week: 1198

North Carolina Business Litigation…

North Carolina Business Litigation Report

Reports on judicial decisions of significance to business and shareholders. By Mack Sperling of Brooks Pierce LLP.

http://www.ncbusinesslitigationreport.com/
Rank this Week: 1603

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • Aug 4

    Who wants some advice regarding cyber-threats?

    Who wants some advice regarding cyber-threats?
    A recent article in Onwallstreet.com highlighted certain areas of focus for investment advisors/broker-dealers when it comes to addressing cyber-threats. The article focused on four areas of particular significance. First, a firm must have a…
  • Aug 4

    FINRA Election Results: Shaken, not Stirred

    FINRA Election Results: Shaken, not Stirred
    The FINRA Board of Governors election results are in.  There were three vacancies among the 10 seats reserved for industry representatives:  one Large, one Mid-Size, and one Small Firm Governor.  John Thiel, head of Merrill…
  • Jul 29

    A Look Ahead: SEC to Adopt CEO-Pay Ratio Rule?

    A Look Ahead: SEC to Adopt CEO-Pay Ratio Rule?
    According to Andrew Ackerman and Joann Lublin of the Wall Street Journal, the Securities and Exchange Commission is “poised to complete a rule requiring companies to disclose the pay gap between chief executives and…
Rank this Week: 3957

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
  • Aug 4

    Texas Attorney General Ken Paxton Indicted

    Texas Attorney General Ken Paxton Indicted
    Last Tuesday, a Texas grand jury indicted 52-year-old Texas Attorney General Ken Paxton on three counts of securities fraud. Paxton, sworn in on January 1, 2015, was previously a member of the Texas House of Representatives. The alleged…
  • Jul 31

    U.S. Government Appeals Landmark Insider Trading Decision to the Supreme Court

    U.S. Government Appeals Landmark Insider Trading Decision to the Supreme Court
    This guest post was authored by our colleague Rimma Tsvasman, an associate in the firm’s Litigation Department in New York. Rimma concentrates her practice on corporate and securities transactions, investment management…
  • Jul 30

    Attorney General Kane Files Wiretap Charges Against Two Lawyer

    Attorney General Kane Files Wiretap Charges Against Two Lawyer
    This post was co-authored by David F. Herman, an associate in Montgomery McCracken’s Litigation Department. He serves an editor of the firm’s Data Privacy Alert blog, which focuses on data privacy and cybersecurity issues. David…
Rank this Week: 1912

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
  • Aug 4

    Wirehouse Sues Registered Investment Advisory Firm

    Wirehouse Sues Registered Investment Advisory Firm
    From the Desk of Jim Eccleston at Eccleston Law LLC: A battle between Wells Fargo Advisors and a former employee turned ugly when emails leaked showing the employee purportedly had funneled business to his new firm, while still employed…
  • Aug 3

    New OCIE Examination Priorities Aim to Protect Investors Saving for Retirement

    New OCIE Examination Priorities Aim to Protect Investors Saving for Retirement
    From the Desk of Jim Eccleston at Eccleston Law LLC:In early 2015, OCIE announced that it will launch a multi-year Retirement-Targeted Industry Reviews and Examinations (ReTIRE) initiative. This new initiative will have a focus on retail…
  • Jul 29

    Cabot Investment Properties Under Investigation

    Cabot Investment Properties Under Investigation
    From the Desk of Jim Eccleston at Eccleston Law LLC:Timothy J. Kroll and business partner Carlton P. Cabot were arrested for allegedly defrauding investors in various Cabot Investment Properties LLC-sponsored real estate investments.The men…
Rank this Week: 106

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Aug 4

    Cushing Mutual Funds Investor Update

    Cushing Mutual Funds Investor Update
    The attorneys at Gana LLP have been following the collapse of a series of mutual funds managed by Cushing Asset Management. The funds involved include: Cushing Closed-End Funds Cushing Renaissance Fund Cushing Royalty & Income Fund…
  • Aug 3

    Numerous Customer Complaints Against Herbert J. Sims Broker Robert Delguercio

    Numerous Customer Complaints Against Herbert J. Sims Broker Robert Delguercio
    According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Robert Delguercio (Delguercio) has been the subject of at least eight customer complaints, two financial matters, and one employment…
  • Jul 31

    Gana LLP Investigation: Broker Duane Smith

    Gana LLP Investigation: Broker Duane Smith
    According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Duane Smith (Smith) has been the subject of at least two customer complaint and one employment separation. The customer complaints against…
Rank this Week: 210

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Aug 4

    Staff Asks GlaxoSmithKline About Move Into U.K. Patent Box

    Staff Asks GlaxoSmithKline About Move Into U.K. Patent Box
    By Mark S. Nelson, J.D.The lure of “patent box” regimes has captivated firms around the globe by enticing them with tax benefits. The SEC staff recently asked GlaxoSmithKline plc (GSK) to explain rapid changes in its overseas tax…
  • Aug 3

    GAO Report Finds Rating-Analyst Organization Viewed as Premature

    GAO Report Finds Rating-Analyst Organization Viewed as Premature
    By Amy Leisinger, J.D.The U.S. Government Accountability Office (GAO) has issued a report on a Dodd-Frank-mandated study of the merits and feasibility of creating a professional organization responsible for establishing standards for, and…
  • Jul 31

    NASAA Backs Extending Fiduciary Duty to IRA

    NASAA Backs Extending Fiduciary Duty to IRA
    By John M. Jascob, J.D.NASAA has expressed support for a proposal by the Department of Labor that would extend the fiduciary duty standard of care to persons who provide investment advice to Individual Retirement Accounts (IRAs). In a comment…
Rank this Week: 2479

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Aug 4

    SEC Enforcement: Civil Penalties at 10-Year High

    SEC Enforcement: Civil Penalties at 10-Year High
    According to a recent WSJ analysis, the SEC has more than doubled the typical fine against individuals over the past decade – responding, at least in part, to ongoing post-financial crisis pressure to crack down on potential…
  • Aug 3

    Chief Compliance Officers: SEC Enforcement Debate

    Chief Compliance Officers: SEC Enforcement Debate
    SEC Chair White sought to quash increasing concerns – and temper a recent debate between Commissioners – about compliance officer liability in these recent remarks, wherein she indicated that the SEC did not intend to use its…
  • Jul 31

    ’34 Act Reports: Benchmarking Law Firm Bill

    ’34 Act Reports: Benchmarking Law Firm Bill
    I probably haven’t been touting our numerous checklists – over 300 of them now – sufficiently. For example, this one on “’34 Act Reports – Benchmarking Law Firm Bills” provides practical guidance…
Rank this Week: 690

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/
  • Aug 4

    Appraisal Arbirtrage: Is There a Delaware Advantage?

    Appraisal Arbirtrage: Is There a Delaware Advantage?
    With yet another appraisal arbitrage decision in Delaware being widely written about – Longpath Capital v. Ramtron International (see these memos) – check out this paper written by the Analysis Group entitled “Appraisal…
  • Aug 3

    Delaware Chancery Critical of Valuations Performed by Valuation Firm

    Delaware Chancery Critical of Valuations Performed by Valuation Firm
    In this decision – Fox v. CDX Holdings – the Delaware Court of Chancery was extremely critical of the valuation work of two valuation firms working on behalf of the seller. Significantly, this litigation relates to the sale of a…
  • Jul 30

    Rite Aid Shareholders Vote to Take Wind Out of CEO’s Golden Parachute

    Rite Aid Shareholders Vote to Take Wind Out of CEO’s Golden Parachute
    As noted in this Reuters article, last month, nearly 60% of Rite Aid shareholders supported a non-binding shareholder proposal at the company’s annual meeting that asks that the company to limit the CEO’s golden parachute. This is…
Rank this Week: 775

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/
  • Aug 4

    Will You Be Gulled By This Notice?

    Will You Be Gulled By This Notice?
    Some Nevada corporations have been receiving the above notice and paying a $150 fee to the Division of Corporate Services.  According to the Nevada Secretary of State: This is not an official notice from the Secretary of State’s…
  • Aug 3

    CalPERS And Pay For Performance

    CalPERS And Pay For Performance
    A few weeks ago, CalPERS’ Director of Corporate Governance, Anne Simpson, sent a letter to the Securities and Exchange Commission in support of the SEC’s proposed pay for performance disclosure rule.  Her letter notes…
  • Jul 31

    CalPERS And Pay Equity

    CalPERS And Pay Equity
    The Securities and Exchange Commission has given notice of its intent to adopt final pay ratio disclosure rules at its meeting next week.  In applauding the SEC’s proposed rules, the California Public Employees’ Retirement…
Rank this Week: 111

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/
  • Aug 3

    What Is Our Attention Really Worth?

    What Is Our Attention Really Worth?
    Attention is a currency. We choose how to spend it, just like we spend our time and money. But unlike money, there’s no way to store attention for later use.
  • Aug 3

    FINRA Dissident Candidate Wins Board Seat.

    FINRA Dissident Candidate Wins Board Seat.
    Brian Kovack, who ran for the Finra Board of Governors as a self-described "dissident" candidate, won his bid for a seat on the 24-member board, Finra announced Thursday.
  • Aug 3

    UBS Puerto Rico Investment Problems Expand

    UBS Puerto Rico Investment Problems Expand
    UBS’ involvement in Puerto Rico investments continues to explode, as the customer arbitrations against the firm start to heat up.  UBS has confirmed that FINRA and the SEC are not only looking into the recommendations of the funds,…
Rank this Week: 474

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/
  • Aug 3

    Voya Financial Advisors Restricts Variable Annuities Sale

    Voya Financial Advisors Restricts Variable Annuities Sale
    In the wake of regulator scrutiny, Voya Financial Advisors is once again placing restrictions on its sale of variable annuities. The regulators are wondering whether the products are appropriate for investors who are saving for retirement.…
  • Jul 30

    Cetera Shutters J.P. Turner, Claims Move Is Not Part of Broader Firm Consolidation

    Cetera Shutters J.P. Turner, Claims Move Is Not Part of Broader Firm Consolidation
    Cetera Financial Group is shutting down one of its brokerage firms, J.P. Turner & Co., shortly after its purchase. Larry Roth, the independent financial network’s CEO, told InvestmentNews that the move is not part of a broader…
  • Jul 29

    Grand Jury to Decide Whether to Indict State AG of Texas Securities Fraud

    Grand Jury to Decide Whether to Indict State AG of Texas Securities Fraud
    This week, a grand jury convened to hear evidence to determine whether Ken Paxton, the State’s Attorney General, should be indicted for first-degree felony charges alleging violations involving Texas securities fraud. If convicted, he…
Rank this Week: 194

Subject to Inquiry

Subject to Inquiry

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

http://www.subjecttoinquiry.com/
Rank this Week: 1967

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/
  • Aug 3

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: Wendy Gerwick Couture, Materiality and a Theory of Legal Circularity, 17 U. Pa. J. Bus. L. 453 (2015). Sandeep Gopalan & Katherine…
  • Aug 3

    Ben-David, Franzoni, Moussawi & Sedunov on Institutional Investor

    Ben-David, Franzoni, Moussawi & Sedunov on Institutional Investor
    Itzhak Ben-David, Francesco A. Franzoni, Rabih Moussawi, and John Sedunov III have posted The Granular Nature of Large Institutional Investors on SSRN with the following abstract: Over last 35 years institutional ownership became concentrated…
  • Aug 3

    Clapham, Haferkorn & Zimmermann on High-Frequency Trading

    Clapham, Haferkorn & Zimmermann on High-Frequency Trading
    Benjamin Clapham, Martin Haferkorn, and Kai Zimmermann have posted Does Speed Matter? The Role of High-Frequency Trading for Order Book Resiliency on SSRN with the following abstract: This paper explores limit order book resiliency following…
Rank this Week: 156

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

http://www.seclawyersblog.com/
  • Aug 3

    Puerto Rico Misses Bond Payment; Half of US Open-End Muni Funds Exposed to Puerto Rico Debt

    Puerto Rico Misses Bond Payment; Half of US Open-End Muni Funds Exposed to Puerto Rico Debt
    Puerto Rico missed a bond payment for the first time on Saturday. Puerto Rico's Public Finance Corp. (PFC), a government financing unit, failed to make a $58 million payment, making it more expensive and challenging for the commonwealth to…
  • Jul 30

    Sonn|Erez Investigating Claims Involving Former LPL Broker Raymond Schmidt

    Sonn|Erez Investigating Claims Involving Former LPL Broker Raymond Schmidt
    Sonn|Erez is investigating claims regarding Raymond Daniel Schmidt (CRD #3258497, Oceanside, California). Schmidt recently submitted an AWC in which he was barred from association with any FINRA member in any capacity. See FINRA Case…
  • Jul 24

    Sonn|Erez Investigating Claims Involving James Madden

    Sonn|Erez Investigating Claims Involving James Madden
    Sonn|Erez is investigating claims regarding James Michael Madden (CRD #1086380, Indianapolis, Indiana). Madden recently submitted a Letter of Acceptance, Waiver and Consent ("AWC") in which he was fined $5,000 and suspended from association…
Rank this Week: 759

Business Blog

Business Blog

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

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

    Supreme Court Decisions Are a Mixed Bag for Business Case

    Supreme Court Decisions Are a Mixed Bag for Business Case
    Now that the U.S. Supreme Court has concluded its term, the experts are weighing in regarding how business interests fared before the Roberts Court. While the Court’s current composition has previously been characterized as…
  • Jul 31

    NJ Supreme Court Rules Watchdog Employees Entitled Whistleblower Protection

    NJ Supreme Court Rules Watchdog Employees Entitled Whistleblower Protection
    The Supreme Court of New Jersey recently held that a plaintiff who reports conduct as part of his or her job is entitled to the whistle-blowing protections afforded under the Conscientious Employee Protection Act (CEPA). In light of the…
  • Jul 30

    Are Performance Reviews Becoming Passé? Five Tips for Re-tooling Your Policy

    Are Performance Reviews Becoming Passé? Five Tips for Re-tooling Your Policy
    For supervisors and their reports, the requirement for conducting performance reviews has been an annual rite that both sides have endured at sufferance. The quality of the process and its purpose is rarely evaluated or questioned. …
Rank this Week: 1251

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/
  • Aug 2

    FIFA Indictments, Corporate Compliance, Alfred Kinsey and Robert Lee

    FIFA Indictments, Corporate Compliance, Alfred Kinsey and Robert Lee
    Law360′s Zachary Zagger has a nice piece on the FIFA prosecution and quotes, among others, Jack Sharman: “Given this many defendants and the fact that there is going to be at least some who are going to cooperate, it would not…
  • Jul 27

    Civil Lesson From Criminal Trial

    Civil Lesson From Criminal Trial
    Civil lawyers can learn something from criminal trials. Here is a 20-minute talk . . .   . . . and, if you are ambitious, here is the slide deck: Civil Lessons from Criminal Trial
  • Jul 17

    New! Improved! Resources on White-Collar Crime and Cocktail

    New! Improved! Resources on White-Collar Crime and Cocktail
    We’ve recently expanded our blogs, links and sources page.  Good resources for white-collar crime, cocktails, crime fiction and theology.  Sometimes all at once. Have at it.  
Rank this Week: 1968

Investment Fraud Attorney Blog

Investment Fraud Attorney Blog

Covers securities law. By Pratt Davis.

http://www.investmentfraudattorneyblog.com/
  • Aug 1

    SEC Announces $3 million Whistleblower Award

    SEC Announces $3 million Whistleblower Award
    As recently noted in a press release, The Securities and Exchange Commission (“SEC”) announced a whistleblower award of more than $3 million to a company insider whose information helped the SEC crack a complex fraud. …
  • Jul 31

    SEC Announces $3 million Whistleblower Award

    SEC Announces $3 million Whistleblower Award
    As recently noted in a press release, The Securities and Exchange Commission (“SEC”) announced a whistleblower award of more than $3 million to a company insider whose information helped the SEC crack a complex fraud. …
  • Jul 7

    Former Stockbroker Charged By SEC With Conducting Ponzi Scheme

    Former Stockbroker Charged By SEC With Conducting Ponzi Scheme
    The Securities and Exchange Commission (“SEC”) recently charged a former stockbroker in Pennsylvania with conducting a Ponzi scheme and stealing investor money to purchase a condominium in Florida and pay for his own vacations and…
Rank this Week: 2229

New York Securities Lawyers Blog

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

http://www.newyorksecuritieslawyersblog.com/
  • Jul 31

    Broker Brian Berger Barred From Securities Industry Over Questions Concerning Misappropriation of Customer Fund

    Broker Brian Berger Barred From Securities Industry Over Questions Concerning Misappropriation of Customer Fund
    According to a recent Acceptance, Waiver & Consent (“AWC”) submitted by broker Brian Berger with the Financial Industry Regulatory Authority (FINRA), Mr. Berger has been banned from associating with a broker-dealer in the…
  • Jul 31

    This Week at Malecki Law

    This Week at Malecki Law
      It was an eventful week at Malecki Law with prominent stories in the press, speaking engagements at legal educational organizations, appointments to bar association committees, and introduction to securities fraud in different…
  • Jul 30

    Former Securities America, Inc. Broker Adrian S. Lauer Suspended and Fined

    Former Securities America, Inc. Broker Adrian S. Lauer Suspended and Fined
    A Letter of Acceptance, Waiver and Consent (AWC) was recently accepted by Financial Industry Regulatory Authority’s (FINRA’s) Department of Enforcement from Adrian S. Lauer.  Mr. Lauer was accused of failing to disclose…
Rank this Week: 748

Strictly Business

Strictly Business

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

http://www.strictlybusinesslawblog.com/
  • Jul 31

    Summary of the Proposed Amendments to Form ADV and Investment Advisers Act Rule

    Summary of the Proposed Amendments to Form ADV and Investment Advisers Act Rule
    On May 20, 2015, the SEC issued proposed amendments to Form ADV and the Investment Advisers Act rules. In the release, the SEC proposed amendments to Form ADV that would require advisers to disclose additional information, such as information…
  • Jun 30

    Frequently Asked Questions about Regulation A+

    Frequently Asked Questions about Regulation A+
    Back in March, I wrote about proposed revisions to Regulation A, commonly known as “Regulation A+”, which were designed to implement Section 401 of the Jumpstart Our Business Startups Act (JOBS Act). Since then, the SEC issued its…
  • May 27

    Should Founders Subject Themselves to a Vesting Schedule?

    Should Founders Subject Themselves to a Vesting Schedule?
    When advising startup clients, I frequently recommend that they subject the shares issued to their founders (as well as those issued to any equity-compensated employees and contractors) to a vesting schedule. This conversation often leads the…
Rank this Week: 3042

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Jul 31

    Cornerstone Releases Midyear Report

    Cornerstone Releases Midyear Report
    Cornerstone Research (in conjunction with the Stanford Securities Class Action Clearinghouse) has issued its 2015 midyear report on securities class action filings. The findings for the first half of 2015 include: (1) There were 85 new…
  • Jul 6

    How Strong is “Very Strong”?

    How Strong is “Very Strong”?
    The U.S. Court of Appeals for the District of Columbia only hears a small number of securities cases, which means that it is often playing catch-up on the relevant legal standards.  In In re Harman Int’l Industries, Inc. Sec.…
  • Jun 19

    Big Verdicts and Big Appeal

    Big Verdicts and Big Appeal
    Securities class actions rarely go to trial.  When they do, as in the Household International case where the plaintiffs won a $2.46 billion verdict, they make the news.  But it is axiomatic that big verdicts lead to big…
Rank this Week: 2469

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: 161

Footnoted

Footnoted

Reports on actionable information in SEC filings.

http://www.footnoted.com/
Rank this Week: 2104

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
Rank this Week: 1458

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/
  • Jul 29

    Reverse Mortgages: What You Need to Know

    Reverse Mortgages: What You Need to Know
    The TV is full of upbeat ads pitching reverse mortgages as an easy, cost–free way to generate income.  What many ads don’t say, is that reverse mortgages come with risk, including the risk of foreclosure. A reverse mortgage…
  • May 28

    FIFA Officials Indicted for Racketeering and Fraud

    FIFA Officials Indicted for Racketeering and Fraud
    The Department of Justice announced that high-ranking officials of the governing body for soccer worldwide – referred to as “football” outside of the United States – the Fédération Internationale de…
  • May 12

    SEC Sues Retirement Planners who Sold Life Settlement

    SEC Sues Retirement Planners who Sold Life Settlement
    According to the Securities and Exchange Commission (“SEC”), it has filed suit against a Texas retirement planning firm and its principals in connection with their practices in the sales of life settlement investments.  The…
Rank this Week: 368

Stock Market Loss

Stock Market Loss

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

http://www.stockmarketloss.com/news/
  • Jul 28

    FINRA Permanently Bars Former Merrill Lynch Heavyweight Thomas Buck

    FINRA Permanently Bars Former Merrill Lynch Heavyweight Thomas Buck
    This article was originally posted on Stock Market Loss On April 3, 2015, we mentioned that Thomas J. Buck, who was Merrill Lynch’s top financial adviser in Indiana by assets under management –reportedly $1.3 billion – had…
  • May 26

    Investors Receive Biased Advice From Stockbrokers New Study Confirm

    Investors Receive Biased Advice From Stockbrokers New Study Confirm
    This article was originally posted on Stock Market Loss In our May 18th post, we discussed stockbrokers (sales persons who purportedly dispense advice only in conjunction with selling investment products) and investment advisors (who give…
  • May 19

    Non-Traded REITs are Unsuitable for Retail Investor

    Non-Traded REITs are Unsuitable for Retail Investor
    This article was originally posted on Stock Market Loss We continue to see lots of activity involving unsuitable sales of non-traded Real Estate Investment Trusts (“non-traded REITs”). If you’re a retail customer who was…
Rank this Week: 3589

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Jul 27

    $2 mil. complaint pending against Morgan Stanley broker Craig Patrick Cunningham

    $2 mil. complaint pending against Morgan Stanley broker Craig Patrick Cunningham
    A $2.8 million dollar customer complaint is currently pending arbitration against Morgan Stanley broker Craig Patrick Cunningham of Orland Park, Illinois. The post $2 mil. complaint pending against Morgan Stanley broker Craig Patrick…
  • Jul 27

    Roric Eugene Griffith: REIT Complaint

    Roric Eugene Griffith: REIT Complaint
    The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Milwaukee-based Princor broker/adviser Roric Eugene Griffith. Roric Eugene Griffith has spent seventeen years in…
  • Jul 27

    ETF Complaint: Robert James Batchen (Uhlmann Price)

    ETF Complaint: Robert James Batchen (Uhlmann Price)
    The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Illinois-based Uhlmann Price broker/adviser Robert James Batchen. Robert James Batchen has spent twenty-four…
Rank this Week: 180

May Law, PC Blog

May Law, PC Blog

Covers investment law, securities laws the requirements of the Financial Industry Regulatory Authority (FINRA).

http://www.maylawpc.net/category/blog/
Rank this Week: 2681

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
  • Jul 27

    EMPLOYMENT TUESDAY at BrokeAndBroker.com

    EMPLOYMENT TUESDAY at BrokeAndBroker.com
    Stockbroker, Compliance, Legal, and Regulatory Jobssearchable by title, skills, job, city, state, zip, and companyThe BrokeAndBroker.com Employment Page@brokeandbroker...
  • Jul 27

    FINRA Bars Top Producer For Charging Commissions Instead Of Fee

    FINRA Bars Top Producer For Charging Commissions Instead Of Fee
    The war continues between those advocating the registered investment advisor model and those proponents of the broker-dealer model. One battleground brings into play the dynamics of charging customers a transaction-based commission versus…
  • Jul 27

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
    Stockbroker Disqualified For Non Disclose Of Grand Jury InvestigationDo you know what a Target Letter is? If you don't and you're a Wall Street employee, you might want to take a few minutes and read about one registered person's tale of woe.…
Rank this Week: 1168

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/
  • Jul 24

    SEC proposed rules for compensation clawback policie

    SEC proposed rules for compensation clawback policie
    The SEC has proposed rules that require the securities exchanges to adopt rules that in turn require listed companies to adopt, disclose and comply with a clawback policy for executive compensation based on erroneous financial statements. The…
  • Jun 29

    What types of companies might use Regulation A+ to raise capital?

    What types of companies might use Regulation A+ to raise capital?
    Recently finalized Regulation A+ allows most private companies to raise up to $50 million by selling securities to the public. Companies using Regulation A+ can advertise the offering and solicit investors, and anyone can invest (subject…
  • May 22

    World’s top banks plead guilty to gaming foreign-currency market

    World’s top banks plead guilty to gaming foreign-currency market
    Scandal roiled the banking industry Wednesday as four of the world’s largest banks — Citigroup, JPMorgan Chase, Barclays and Royal Bank of Scotland — pleaded guilty to federal antitrust violations for conspiring to…
Rank this Week: 794

Cady Bar the Door

Cady Bar the Door

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

http://www.secmiscellany.com
Rank this Week: 1235

Corporate Securities Law Blog

Corporate Securities Law Blog

Focuses on complliance, corporate governance, disclosure, mergers and tax issues. By Sheppard Mullin.

http://www.corporatesecuritieslawblog.com/
Rank this Week: 521

Business Law Post

Business Law Post

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

http://www.businesslawpost.com
Rank this Week: 1010

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: 356

The Securities Edge

The Securities Edge

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

http://www.thesecuritiesedge.com/
  • Jul 10

    Why I hate “best practices”

    Why I hate “best practices”
    Posted By: Robert B. Lamm Governance wonks can rest easy. In fact, we can all go home and think about another career. The reason? CalSTRS – California State Teachers’ Retirement System – has issued a “fact sheet”…
  • Jul 5

     Summer doldrums in DC? Not so much!

     Summer doldrums in DC? Not so much!
    Posted By: Robert B. Lamm For those who think nothing ever gets done in Washington, last week must have been a challenge. From outward appearances, both the SEC and the PCAOB seem to be working overtime, possibly in order to ruin our holiday…
  • Jul 3

    A dispatch from the front lines (with SEC Chair White telling us to wave the white flag)…

    A dispatch from the front lines (with SEC Chair White telling us to wave the white flag)…
    Posted By: Robert B. Lamm Last week I attended the National Conference of the Society of Corporate Secretaries and Governance Professionals in Chicago. It was a great conference – wonderful, substantive programs and a chance to catch up…
Rank this Week: 3638

Securities Mining Law

Securities Mining Law

Covers securities law affecting the mining industry in Canada.

http://www.securitiesmininglaw.com/
Rank this Week: 3509

Tim O'Connor's Blog

Tim O'Connor's Blog

Covers stockbroker fraud.

http://stockbrokerlaw.com/tim-oconnors-blog
Rank this Week: 3111

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • Jul 8

    Feds Take Aim at Investment Adviser

    Feds Take Aim at Investment Adviser
    The SEC and DOJ brought a slew of cases against IAR's and RIA's in the first half of 2015. At least six cases were filed just last month alone. Here is a brief summary of a sampling of those cases. On January 21, 2015, the SEC filed fraud…
  • Jul 1

    Wells Fargo Takes One on the Chin

    Wells Fargo Takes One on the Chin
    A St. Louis County jury recently awarded over $70 million to the beneficiary of two trusts against Wells Fargo (WF).WF and its predecessors had served as the corporate trustee of one trust, and the custodian of the other. This firm…
  • Mar 11

    The Arbitration System

    The Arbitration System
    The premise that underlies the justification for the loss of rights in arbitration is simple:  both parties knowingly agreed to binding arbitration.  This presumption is based upon the presumptions that 1) signators read contracts…
Rank this Week: 1213

Andrew Abramowitz, PLLC

Andrew Abramowitz, PLLC

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

http://aalegalnyc.com/blog/
  • Jul 8

    Interesting Legal Reads of the Week

    Interesting Legal Reads of the Week
    Some interesting legal reads for the week of July 6, 2015: The New York Times on the pitfalls of having too many angel investors. The SEC proposed new rules on “clawbacks” of executive compensation following the issuance of…
  • Jun 17

    Interesting Legal Reads of the Week

    Interesting Legal Reads of the Week
    Some interesting legal reads for the week of June 15, 2015: DealBook on how late-stage venture capital investors will invest at high valuations but with very favorable provisions like anti-dilution protection that can ultimately come at the…
  • Jun 12

    The Distinction Between Entity Name and Trademark

    The Distinction Between Entity Name and Trademark
    When I assist clients in setting up entities, one of the threshold matters, of course, is the selection of a name for the entity.  Once that is settled, and the entity is set up, many clients assume the job is complete as far as…
Rank this Week: 1239

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

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

    Hedge Fund Events July 2015

    Hedge Fund Events July 2015
    The following are various hedge fund events happening this month.  Please email us if you would like us to add your event to this list. **** Date: June 29-July 1, 2015 Sponsor: Infocast Event: 2nd California Water Summit Location:…
  • Jun 1

    Hedge Fund Events June 2015

    Hedge Fund Events June 2015
    The following are various hedge fund events happening this month.  Please email us if you would like us to add your event to this list. **** Date: May 31-June 2, 2015 Sponsor: WITI Event: The Women in Technology International (WITI)…
  • May 26

    Cole-Frieman & Mallon LLP 2015 First Quarter Update

    Cole-Frieman & Mallon LLP 2015 First Quarter Update
     www.colefrieman.com May 13, 2015 Clients and Friends: The first quarter of 2015 was a busy period for investment managers and service providers alike and we find ourselves sending out this update very late.  As a variety of filing…
Rank this Week: 229