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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: 2904

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Jul 7

    Broker Spotlight: New Jersey’s Timothy O’Brien (Wells Fargo)

    Broker Spotlight: New Jersey’s Timothy O’Brien (Wells Fargo)
    Fitapelli Kurta is interested in speaking to investors who have complaints regarding New Jersey-based Wells Fargo broker/adviser Timothy O’Brien. The post Broker Spotlight: New Jersey’s Timothy O’Brien (Wells Fargo) appeared…
  • Jul 7

    Coastal Equities broker, Douglas Bevers: Complaint

    Coastal Equities broker, Douglas Bevers: Complaint
    The securities and investment fraud law firm, Fitapelli Kurta, is interested in speaking to investors who have complaints regarding Delaware-based Coastal Equities broker Douglas Bevers. The post Coastal Equities broker, Douglas Bevers:…
  • Jul 7

    Former Source Capital broker, Robert J. Burr: Complaint

    Former Source Capital broker, Robert J. Burr: Complaint
    The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Robert J. Burr According to the Financial Industry Regulation Authority (FINRA), Kentucky-based broker…
Rank this Week: 155

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Jul 7

    Ameriprise Advisor Joseph Grund Accused of Over $20 Million in Investor Losse

    Ameriprise Advisor Joseph Grund Accused of Over $20 Million in Investor Losse
    According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) a complaint has been filed against Ameriprise Financial Services, Inc. (Ameriprise) broker Joseph Grund (Grund) alleging more than $20,000,000 in…
  • Jul 6

    Broker Lawrence LaBine Accused of Selling Unsuitable Alternative Investment

    Broker Lawrence LaBine Accused of Selling Unsuitable Alternative Investment
    Gana LLP, a securities law firm, is investigating customer complaints against Lawrence Labine, a broker located in Scottsdale, Arizona. Gana LLP’s investigation is on the heels of regulatory investigations into LaBine’s conduct.…
  • Jul 6

    SEC Charges Advisor Patrick Churchville with $11 Million Fraudulent Investment Scheme

    SEC Charges Advisor Patrick Churchville with $11 Million Fraudulent Investment Scheme
    The Securities and Exchange Commission (SEC) recently announced fraud charges against Rhode Island investment adviser ClearPath Wealth Management, LLC, (ClearPath) and its president, Patrick Churchville (Churchville), for operating a…
Rank this Week: 462

Business Blog

Business Blog

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

http://www.businesslawnews.com/
  • Jul 7

    Employment Alert: New NYC Law Prohibits Pre-Employment Credit Check

    Employment Alert: New NYC Law Prohibits Pre-Employment Credit Check
    New York City recently joined the growing list of jurisdictions that prohibit employers from conducting pre-employment credit checks. On April 16, 2015, the NYC City Council passed the “Stop Credit Discrimination in Employment…
  • Jul 2

    Uber Highlights Employee Misclassification Issues in a High-Tech World

    Uber Highlights Employee Misclassification Issues in a High-Tech World
    Uber’s recent legal setback in California over employee misclassification issues highlights the dilemma faced by many employers across the country. As many other employers confront similar legal controversies, this as well as other…
  • Jul 1

    SEC Cracking Down on Adviser’s Retirement Advice

    SEC Cracking Down on Adviser’s Retirement Advice
    The Securities and Exchange Commission (SEC) recently announced a new compliance initiative that will target the retirement advice doled out by brokers and other financial advisers. Dubbed the “Retirement-Targeted Industry Reviews and…
Rank this Week: 1397

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
  • Jul 7

    SEC and FINRA Provide Sources for Safe Investment Decision

    SEC and FINRA Provide Sources for Safe Investment Decision
    From the Desk of Jim Eccleston at Eccleston Law LLC:FINRA has launched an ad campaign featuring a service called BrokerCheck. This service compiles a database of every broker’s employment history, certifications and licenses, regulatory…
  • Jul 3

    SIFMA Unveils Cyber Securities Tip

    SIFMA Unveils Cyber Securities Tip
    From the Desk of Jim Eccleston at Eccleston Law LLC:A single security breach can have detrimental effects on a small advisory firm. Small firms often face more difficulty as they lack resources or technical expertise to implement a sound…
  • Jul 2

    Adviser Wins Care Brought by SEC

    Adviser Wins Care Brought by SEC
    From the Desk of Jim Eccleston at Eccleston Law LLC:A houston-based firm has won a rare victory against the SEC in a case focused on advisers, accepting payments from brokerage firms.The SEC judge dismissed the allegations that the firm…
Rank this Week: 135

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Jul 7

    Newman No Help to Gupta; No Quid Pro Quo Required for Tipper Liability

    Newman No Help to Gupta; No Quid Pro Quo Required for Tipper Liability
    By Lene Powell, J.D.Newman did not add a requirement for tippers to receive a “quid pro quo” from tippees, so Rajat Gupta lost his bid to have his two-year sentence for insider trading vacated. According to Judge Rakoff, Newman…
  • Jul 6

    ‘Turnaround Queen’ Tilton Seeks Reversal of Fortune in Second Circuit

    ‘Turnaround Queen’ Tilton Seeks Reversal of Fortune in Second Circuit
    By Mark S. Nelson, J.D.Self-proclaimed “Turnaround Queen” Lynn Tilton will take the path already trod by Laurie A. Bebo in the Seventh Circuit by taking her case disputing the constitutionality of the SEC’s administrative…
  • Jul 3

    Fifth Circuit Seeks Mulligan on Texas Law Question in Golf Channel case

    Fifth Circuit Seeks Mulligan on Texas Law Question in Golf Channel case
    By R. Jason Howard, J.D.On appeal from the District Court for the Northern District of Texas, the Fifth Circuit Court of Appeals has granted a petition for panel rehearing, vacated its original opinion, and substituted an opinion certifying a…
Rank this Week: 116

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Jul 7

    Proxy Disclosure Awards: Vote Now!

    Proxy Disclosure Awards: Vote Now!
    It’s time to vote! Thanks to the many who submitted nominations – it was hard to pare those down (& apologies to those that didn’t get their candidates onto our final slate). I tried to limit the number of nominees to…
  • Jul 6

    Audit Committee Disclosures: SEC’s New Concept Release!

    Audit Committee Disclosures: SEC’s New Concept Release!
    As expected (see my earlier blog), the SEC issued a concept release last week on audit committee disclosure, fairly concurrently with the PCAOB’s release of its Supplemental Request for Comment on disclosure of the audit…
  • Jul 2

    The SEC’s Clawback Proposing Release: 198 Page

    The SEC’s Clawback Proposing Release: 198 Page
    Yesterday, the SEC voted to approve – by the now-norm 3-2 vote – this 198-page proposing release to direct the stock exchanges to adopt clawback listing standards, as required by Section 954 of Dodd-Frank. Comments are due 60 days…
Rank this Week: 2521

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/
  • Jul 7

    Advance Notice Bylaws: Delaware Supreme Court Allows Proxy Contest to Proceed

    Advance Notice Bylaws: Delaware Supreme Court Allows Proxy Contest to Proceed
    Here’s news from Steve Haas of Hunton & Williams: In Hill International v. Opportunity Partners, No. 305 (Del. July 2, 2015), the Delaware Supreme Court affirmed a lower court ruling that refused to block a dissident…
  • Jun 30

    Delaware Bans “Loser Pays” Bylaws & Authorizes Exclusive Forum Bylaw

    Delaware Bans “Loser Pays” Bylaws & Authorizes Exclusive Forum Bylaw
    The Delaware Governor has signed the latest Delaware amendments into law, taking effect on August 1st. We’re posting memos in our “Exclusive Forum Bylaws” Practice Area (also see this blog about whether the new law impacts…
  • Jun 26

    SEC Chair Speaks: Universal Proxy Ballots Coming?

    SEC Chair Speaks: Universal Proxy Ballots Coming?
    As reported by this WSJ article, SEC Chair White delivered this speech yesterday at the Society’s National Conference. In her speech – which focused on proxy-related matters – Chair White advised that she “asked the…
Rank this Week: 1457

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/
  • Jul 7

    Court Rules Unincorporated Association Aided Director’s Breach Of Fiduciary Duty

    Court Rules Unincorporated Association Aided Director’s Breach Of Fiduciary Duty
    Nearly four years ago, I devoted this post about California’s Unincorporated Association Law.  Typically, an unincorporated association is a club, church, or other social organization.  A criminal street gang might also be an…
  • Jul 6

    Court Rules Shareholders May Be Sued In De Facto Dissolution

    Court Rules Shareholders May Be Sued In De Facto Dissolution
    California Corporations Code Section 2011 provides that causes of action against a dissolved corporation, whether arising before or after dissolution, may be enforced against its shareholders if any of the assets of the corporation have…
  • Jul 2

    Professor Bainbridge Takes On S.B. 75 And The Delaware Bar

    Professor Bainbridge Takes On S.B. 75 And The Delaware Bar
    UCLA Law Professor Stephen Bainbridge recently posted an article calling Delaware’s recently enacted S.B. 75 a “self-inflicted wound”.   SB 75, which was signed into law late last month, limits the ability of…
Rank this Week: 436

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • Jul 6

    Another U.S. Securities Suit Arising from Overseas Corruption Investigation

    Another U.S. Securities Suit Arising from Overseas Corruption Investigation
    In an earlier post, I noted that a significant factor driving securities litigation filings so far this year has been the rising number of U.S. securities lawsuits involving non-U.S. companies. A number of different factors are contributing…
  • Jul 5

    Controversy Surrounds SEC’s New Proposed Dodd-Frank Executive Compensation Clawback Rule

    Controversy Surrounds SEC’s New Proposed Dodd-Frank Executive Compensation Clawback Rule
    On July 1, 2015, a divided SEC voted 3-2 to propose rules directing the securities exchanges to adopt standards requiring listed companies to adopt policies requiring the companies’ executive officers to pay back incentive-based…
  • Jul 2

    Of Time and Summer (A Reprise)

    Of Time and Summer (A Reprise)
    In recognition of the Independence Day holiday in the U.S., and in what is now something of an annual tradition, I am reprising here my 2012 essay about Time and Summer, which can be found here. Have a great Fourth of July holiday. Thank you…
Rank this Week: 289

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • 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…
  • May 22

    Adverse Interest

    Adverse Interest
    Is it possible for a securities class action based on alleged misrepresentations in a company’s public filings to proceed against an individual officer, but not the company (presuming the company is not otherwise immune from…
Rank this Week: 2526

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/
  • Jul 6

    Don't Overplay Your Hand In The Business Court

    Don't Overplay Your Hand In The Business Court
    When you last heard about London Leasing LLC v. Arcus, the Business Court had entered a default in March 2015 against two of the Defendants for what I called their "defiant and obnoxious conduct." It then seemed like the Plaintiff was just a…
  • Jun 24

    There's A Difference Between "Confidential And Proprietary Information" And A Trade Secret

    There's A Difference Between "Confidential And Proprietary Information" And A Trade Secret
    I can't remember the last time that the Business Court granted a motion opposing the designation of a case as a mandatory complex business case.  And since the Business Court Modernization Act went into effect in October 2014?  I…
  • Jun 17

    Something That You Might Not Have Known About Injunction

    Something That You Might Not Have Known About Injunction
    I had always thought that you need to post a bond in order to obtain an injunction, both in federal and state court.  It turns out that I was wrong. The federal rule seems to require a bond.  It says: (c) Security. The court may…
Rank this Week: 1868

Subject to Inquiry

Subject to Inquiry

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

http://www.subjecttoinquiry.com/
  • Jul 6

    FinCEN Reasserts its Commitment to Casino Oversight and Enforcement

    FinCEN Reasserts its Commitment to Casino Oversight and Enforcement
    In a recent post we described a number of steps taken over the last year by the primary federal regulator for casinos – the Financial Crimes Enforcement Network (FinCEN) – that should cause casino operators to have Title 31 and…
  • Jul 1

    CFPB Expands Access to Consumer Complaint

    CFPB Expands Access to Consumer Complaint
    On June 25, 2015, the Consumer Financial Protection Bureau’s (CFPB’s) Consumer Complaint Database went live to provide the general public with enhanced access to consumer complaints. Since March 2015, complainants have been able…
  • Jul 1

    CFPB Drives Action Against Auto-Finance Company

    CFPB Drives Action Against Auto-Finance Company
    Putting the brakes on what it viewed as aggressive debt-collection tactics, the Consumer Financial Protection Bureau (CFPB) filed suit in Ohio federal court on June 17, 2015, against Security National Automotive Acceptance Company LLC (SNAAC)…
Rank this Week: 1479

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 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…
  • Jul 2

    SEC charges unlicensed broker/dealers in EB-5 Program

    SEC charges unlicensed broker/dealers in EB-5 Program
    Posted By: Robert C. White Jr. The SEC continued its program of enforcement actions in connection with the Federal EB-5 Program by bringing charges against two firms which raised approximately $79 million for EB-5-related situations. This…
Rank this Week: 3649

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/
  • Jul 3

    OSC announces compliance review of derivatives data reporting

    OSC announces compliance review of derivatives data reporting
    On July 2, 2015, the Ontario Securities Commission (OSC) announced that it intends to initiate a compliance review of the reporting requirements of OSC Rule 91-507 Trade Repositories and Derivatives Data Reporting in fiscal…
  • Jul 3

    ASC to automatically reciprocate other Canadian sanction order

    ASC to automatically reciprocate other Canadian sanction order
    Effective July 1, 2015, orders issued by and settlement agreements entered into with a Canadian securities regulatory authority will automatically be effective in Alberta. Pursuant to a new section 198.1 of the Alberta Securities Act, when a…
  • Jul 3

    CSA guidance on reports of exempt distribution revised

    CSA guidance on reports of exempt distribution revised
    The Canadian Securities Administrators (CSA) recently revised CSA Staff Notice 45-308 – Guidance for Preparing and Filing Reports of Exempt Distribution under National Instrument 45-106 Prospectus Exemptions Revised to conform the staff…
Rank this Week: 4249

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
  • Jul 3

    City Securities Broker John Miller Suspended and Fined

    City Securities Broker John Miller Suspended and Fined
    FINRA recently sanctioned an Indianapolis stock broker for failing to obtain written authorization from his clients before purchasing investments in their accounts.  According to his CRD, John Miller of City Securities was suspended for…
  • Jun 30

    Former Ovation CFO Alfred Talens Charged with Stealing About $600,000

    Former Ovation CFO Alfred Talens Charged with Stealing About $600,000
    As a result of, Alfred Talens being charged with stealing about $600,000 from Ovation where he was the CFO, along with other charges. We are looking into cases against Talens and LPL where he was employed as a stockbroker. For more on this…
  • Jun 25

    JP Morgan, SEC Talk Settlement over Investment-Recommendation Concern

    JP Morgan, SEC Talk Settlement over Investment-Recommendation Concern
    The SEC is examining J.P. Morgan for guiding clients to their own proprietary products and away from offerings by other firms. Generally leading to higher fees for the bank, the practice, while not banned, is closely watched by regulators.…
Rank this Week: 320

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/
  • Jul 2

    Recovery of Oppenheimer Rochester CA Municipal A

    Recovery of Oppenheimer Rochester CA Municipal A
    Have you suffered investment losses in Oppenheimer Rochester CA Municipal A? If so, The White Law Group may be able to help you recover your losses through FINRA arbitration. The White Law Group is investigating potential securities fraud…
  • Jul 2

    Recovery of MainStay High Yield Municipal Bond A

    Recovery of MainStay High Yield Municipal Bond A
    Have you suffered investment losses in MainStay High Yield Municipal Bond A? If so, The White Law Group may be able to help you recover your losses through FINRA arbitration. The White Law Group is investigating potential securities fraud…
  • Jul 2

    Recovery of Oppenheimer Rochester Ltd Term CA MuniA

    Recovery of Oppenheimer Rochester Ltd Term CA MuniA
    Have you suffered investment losses in Oppenheimer Rochester Ltd Term CA MuniA? If so, The White Law Group may be able to help you recover your losses through FINRA arbitration. The White Law Group is investigating potential securities fraud…
Rank this Week: 183

White Collar Alert

White Collar Alert

Provides news and insight to counsel and legal observers concerning white collar criminal defense, internal investigations, government litigation and regulatory compliance. By Montgomery McCracken.

http://whitecollarblog.mmwr.com
Rank this Week: 1719

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: 3355

New York Securities Lawyer Blog

New York Securities Lawyer Blog

Covers securities law. By Lax & Neville LLP.

http://www.newyorksecuritieslawyerblog.com/
Rank this Week: 1947

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/
  • Jul 1

    Are You a Fiduciary And Why Does It Matter?

    Are You a Fiduciary And Why Does It Matter?
    What is a Fiduciary? To put it in the simplest terms, it’s a requirement that you, as a financial adviser, put the interests of your client first…
  • Jun 12

    The FINRA Attorney Guide Guide to Ensuring SEC & FINRA Compliance At Your Firm

    The FINRA Attorney Guide Guide to Ensuring SEC & FINRA Compliance At Your Firm
    If you’re part of the financial services industry the fact that regulations have tightened over the past few years won’t surprise you. The public has increased pressure…
  • Mar 2

    The SEC’s Examination Priorities for 2015

    The SEC’s Examination Priorities for 2015
    The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (“OCIE”) announced the National Examination Program (“NEP”).  Below are the top 6 things to take away…
Rank this Week: 2777

Stock Broker Fraud Blog

Stock Broker Fraud Blog

Covers broker fraud, investor fraud, marketing timing, and securities fraud. By Shepherd Smith Edwards & Kantas.

http://www.stockbrokerfraudblog.com/
Rank this Week: 536

Cady Bar the Door

Cady Bar the Door

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

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

    Vivek Ranadivé and Wisconsin IA Both Big into Cherrypicking, According to Source

    Vivek Ranadivé and Wisconsin IA Both Big into Cherrypicking, According to Source
    Here’s a thing I think I know about billionaires:  They’ve made piles and piles of money doing something someone somewhere surely advised them not to do because it was a dumb idea.  Then later, actually dumb ideas come…
  • Jun 28

    Do Investment Advisers Automatically Have Fiduciary Duties to Their Clients?

    Do Investment Advisers Automatically Have Fiduciary Duties to Their Clients?
    I always thought they did.  But on Friday I read this sentence: “An investment advisor-client relationship is not a de jure fiduciary relationship.”  It sort of jumped out at me, because for a long time I’ve…
  • Jun 25

    FIN4 May Have Embarked on a Risky Hacking/Insider Trading Strategy

    FIN4 May Have Embarked on a Risky Hacking/Insider Trading Strategy
    I haven’t yet turned to a life of crime, so far be it from me to criticize actual criminals’ profit-maximizing strategies.  It’s easy for me to nitpick, but I’m not the one strapping on my mask and trying to earn…
Rank this Week: 3969

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 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…
  • Feb 10

    Did the Eastern District Just Void Financial Adviser Independent Contractor Arbitration Clauses?

    Did the Eastern District Just Void Financial Adviser Independent Contractor Arbitration Clauses?
    I think they may have done just that, at least in Missouri.  Us kids who work with or in the financial services industry know that brokers like Edward Jones frequently run to court when a broker leaves them.  They seek a TRO,…
Rank this Week: 4065

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 1

    EMPLOYMENT TUESDAY at BrokeAndBroker.com

    EMPLOYMENT TUESDAY at BrokeAndBroker.com
    Stockbroker, Compliance, Legal, and Regulatory JobsEmployment Page BrokeAndBroker.com Jobs...
  • Jul 1

    Former Employee Sues Firm For Unpaid Commission

    Former Employee Sues Firm For Unpaid Commission
    In my opening remarks in "Check Kiting Hypocrisy Flies High At FINRA" (BrokeAndBroker.com Blog, May 23, 2014), I questioned why the self-regulatory organization seems so quick to act when an employee of a member firm engages in check…
  • Jun 30

    Grexit, Laurel & Hardy, George Bernard Shaw, And Bob Dylan

    Grexit, Laurel & Hardy, George Bernard Shaw, And Bob Dylan
    Ah, yes . . . Germany, France, Spain, Italy, Greece . . . Europe is in turmoil . . . the world awaits news.  Hmmm, where have we heard that before?  Oh well, another Monday and another week and, gee, who knows what those Old World…
Rank this Week: 3131

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: 1133

Securities Law Blog

Securities Law Blog

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

http://seclaw.blogspot.com/
  • Jun 30

    FINRA Reports $1 Billion in Revenue, Shares Profit with Firm

    FINRA Reports $1 Billion in Revenue, Shares Profit with Firm
    The Financial Industry Regulatory Authority (FINRA) brought in $997 million in net revenues, up from $901 million in 2013. FINRA also lowered its expenses to $965 million, from $999 million in 2013. Revenues and other factors combined to…
  • Jun 29

    SEC News - Suspicious Activity, Unregistered Brokers, Defrauding Investor

    SEC News - Suspicious Activity, Unregistered Brokers, Defrauding Investor
    Microcap Promoter Charged With Illegally Selling Penny Stock SharesA microcap promoter has been charged with illegally selling more than 83 million penny stock shares that he secretly obtained through at least 10 different offshore front…
  • Jun 16

    SEC News - Insider Trading, Hedge Fund Theft, and Fraud

    SEC News - Insider Trading, Hedge Fund Theft, and Fraud
    Swiss Trader to Pay $2.8 Million to Settle Insider Trading ChargesA Swiss trader has agreed to pay more than $2.8 million to settle charges that he traded on nonpublic information ahead of a Florida-based biometrics company’s…
Rank this Week: 532

Strictly Business

Strictly Business

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

http://www.strictlybusinesslawblog.com/
  • Jun 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…
  • Apr 29

    Venture Capital Term Sheet Negotiation — Part 21: No-Shop and Confidentiality Provision

    Venture Capital Term Sheet Negotiation — Part 21: No-Shop and Confidentiality Provision
    This post is the twenty-first and final in a series giving practical advice to startups with respect to understanding and negotiating a venture capital term sheet. In the prior twenty posts, we provided an introduction to…
Rank this Week: 3038

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

http://www.seclawyersblog.com/
  • Jun 29

    Puerto Rico Headed for Default

    Puerto Rico Headed for Default
    Puerto Rico's governor, Alejandro García Padilla, says he must pull the island out of a "death spiral," in which the commonwealth cannot pay its debts of approximately $72 billion, reports The New York Times. Governor Padilla and…
  • Jun 25

    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…
  • Jun 22

    Sonn|Erez Investigating Claims Involving Former Merrill Lynch Broker Joel Blum

    Sonn|Erez Investigating Claims Involving Former Merrill Lynch Broker Joel Blum
    Sonn|Erez is investigating claims regarding Joel Eziekel Blum (CRD #4905379, Goshen, New York). Blum recently submitted an AWC in which he was fined $10,000 and suspended from association with any FINRA member in any capacity for 20 days.…
Rank this Week: 538

Federal Securities Law Blog

Federal Securities Law Blog

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

http://www.fedseclaw.com/
  • Jun 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…
  • Apr 30

    SEC votes to propose executive compensation rule

    SEC votes to propose executive compensation rule
    On April 29, 2015, pursuant to the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, the Securities and Exchange Commission (SEC) voted 3 to 2 to approve a proposed amendment to executive compensation rules in Item 402…
Rank this Week: 957

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: 786

Recover Investment Losses Blog

Recover Investment Losses Blog

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

http://blog.rexsecuritieslaw.com
  • Jun 26

    Former Thrivent Investment Management Broker Sanctioned for Falsifying Annuity Document

    Former Thrivent Investment Management Broker Sanctioned for Falsifying Annuity Document
    June 24, 2015 Bruce R. Geiger entered into an Order Accepting Offer of Settlement with the Financial Industry Regulatory Authority (FINRA) to resolve allegations by FINRA that he had violated various FINRA rules altering annuity forms by…
  • Jun 26

    South Carolina Regulators Seek to Take Securities License of Mark Hotton

    South Carolina Regulators Seek to Take Securities License of Mark Hotton
    June 23, 2015- Columbia, South Carolina The Securities Commissioner for South Carolina filed a Rule to Show Cause seeking to permanently ban Mark Christopher Hotton from the securities industry. In 2013 Hotton was permanently barred from…
  • Jun 25

    San Antonio Oil & Gas Promoter Shut Down by Texas State Securities Board

    San Antonio Oil & Gas Promoter Shut Down by Texas State Securities Board
    June 23, 2015-Austin, Texas John Morgan, Texas Securities Commissioner, entered a Cease and Desist Order against Petro-San Resources LLC and Sean Patrick Riley of San Antonio, Texas, alleging that they are offering to sell unregistered…
Rank this Week: 234

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • Jun 26

    So why is that you want to be a CCO

    So why is that you want to be a CCO
    Recent SEC enforcement actions suggest that being a CCO is not all that it’s cracked up to be; the SEC recently sanctioned two CCOs. SEC Commissioner Gallagher’s dissents and his recent comments regarding those dissents have…
  • Jun 25

    So who really thinks the SEC is not focused on elder investor

    So who really thinks the SEC is not focused on elder investor
    If there is any question that the SEC is focused on elder investor issues, look no further than its recent program announcement. The SEC initiated a program designed to examine retirement planning guidance. Under this program, the SEC intends…
  • Jun 18

    Twitter: More than just Social Media

    Twitter: More than just Social Media
    Since Al Gore invented the internet, we have had an unprecedented amount of information and data right at our fingertips.  However, given the immeasurable quantity of this information, it has always been a challenge to quickly and…
Rank this Week: 1406

White Collar Wire

White Collar Wire

Covers news, cases, judicial opinions, practical tips and scholarly work regarding white-collar criminal and civil enforcement, grand jury investigations and regulatory compliance. By Jackson R. Sharman, III.

http://jacksharman.com/
  • Jun 24

    Flipboard Spotlight | White Collar | Nice Tie.

    Flipboard Spotlight | White Collar | Nice Tie.
    You may use Flipboard as a nifty way to organize news and media in which you have an interest.  (If you don’t use Flipboard, try it). For mysterious reasons, Flipboard decided to do a “spotlight” on me as a…
  • Jun 18

    Lessons From An Ex-Congressional Lawyer

    Lessons From An Ex-Congressional Lawyer
    Almost two decades ago, I learned several lessons as a Congressional lawyer, some more useful than others.  Here is a 59-second summary of the better lessons. Let’s go over a few more lessons that might be useful, should you or…
  • May 28

    FIFA Indictments and the Notion of Global Compliance

    FIFA Indictments and the Notion of Global Compliance
    In an article by Joel Schectman for the Wall Street Journal and its “Morning Risk Report,” Jack Sharman is interviewed about the idea of a global compliance regime in light of the recent indictments of FIFA officials: Jackson…
Rank this Week: 1720

Footnoted

Footnoted

Reports on actionable information in SEC filings.

http://www.footnoted.com/
Rank this Week: 2735

Investment Fraud Attorney Blog

Investment Fraud Attorney Blog

Covers securities law. By Pratt Davis.

http://www.investmentfraudattorneyblog.com/
Rank this Week: 1904

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: 3509

Securities Law Prof Blog

Securities Law Prof Blog

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

http://lawprofessors.typepad.com/securities/
  • Jun 23

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: J.H. Dalhuisen, Globalization and the Transnationalization of Commercial and Financial Law, 67 Rutgers U. L. Rev. 19 (2015). Martin Gelter…
  • Jun 9

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: Norah C. Avellan, Note, The Securities and Exchange Commission and the Growing Need for Cybersecurity in Modern Corporate America, 54…
  • Jun 9

    Cheffins, Bank & Wells on Shareholder Protection

    Cheffins, Bank & Wells on Shareholder Protection
    Brian R. Cheffins, Steven A. Bank, and Harwell Wells have posted Shareholder Protection Across Time on SSRN with the following abstract: This Article offers the first systematic attempt to measure the development of shareholder protection in…
Rank this Week: 669

Securities Fraud Attorney Blog

Securities Fraud Attorney Blog

Covers securities fraud, and other areas of securities law and banking and finance law. By Rich, Intelisano & Katz, LLP.

http://www.securitiesfraudattorneyblog.com/
Rank this Week: 829

Business Law Post

Business Law Post

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

http://www.businesslawpost.com
  • Jun 19

    New Regulation A: Will It Get an A+ From the StartUp Community?

    New Regulation A: Will It Get an A+ From the StartUp Community?
    On March 25, 2015, the Securities and Exchange Commission (the “SEC”) announced that it was adopting final rules amending and updating Regulation A.  These new rules, which become effective on June 19, 2015, have been…
  • Jun 16

    All You Ever Wanted To Know About Form D: When, Why and How to File

    All You Ever Wanted To Know About Form D: When, Why and How to File
    Why File Form D?When raising money in a private placement, the most common path for companies to take is to make use of one of the Regulation D exemptions from registration, utilizing either Rule 504, 505 or, most commonly, Rule 506. Once the…
  • Jun 5

    What Should Start-up Founders Know About Rule 701?

    What Should Start-up Founders Know About Rule 701?
    In my opinion, all startup founders should be familiar with and actually understand Rule 701 under the Securities Act because this is precisely how they get to issue equity (restricted stock or options) in their startup to their employees,…
Rank this Week: 4763

Andrew Abramowitz, PLLC

Andrew Abramowitz, PLLC

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

http://aalegalnyc.com/blog/
  • 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…
  • Jun 1

    Interesting Reads of the Week

    Interesting Reads of the Week
    Some interesting legal reads for the week of June 1, 2015: The Legal Intelligencer on how faulty compensation structures and reliance on the billable hour are hampering law firms. The New York Times reports that attorneys with jobs considered…
Rank this Week: 1744

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
  • Jun 16

    Ronald Amato Quoted in IA Watch Article Regarding Broker U5 Issue

    Ronald Amato Quoted in IA Watch Article Regarding Broker U5 Issue
    Attorney Ron Amato recently was quoted in an article appearing in IA Watch entitled “Vindicated Rep Offers Warning that U5 System Can Punish Whistleblowers.”   The article relates to a Form U5 defamation case, brought in…
  • Jun 8

    FINRA Re-examines Need for Broker Recruiting Bonus Disclosure

    FINRA Re-examines Need for Broker Recruiting Bonus Disclosure
    Months after shelving a financial advisor “bonus” disclosure rule that it previously had filed with the SEC, FINRA has proposed a revised bonus disclosure rule that emphasizes educating investors about questions potentially to ask…
  • Jul 17

    FINRA Seeks to Delay Implementation of REIT Pricing Rule

    FINRA Seeks to Delay Implementation of REIT Pricing Rule
    According to recent reports, FINRA has sought to delay the implementation of a new rule that would provide greater clarity for investors in non-traded REITs as to the value of their shares.  The proposed rule filing would require firms…
Rank this Week: 2803

InvestorLawyers.net

InvestorLawyers.net

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

http://www.investorlawyers.net/blog/
Rank this Week: 1354

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: 460

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/
  • 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…
  • May 6

    LPL Financial Sanctioned for Supervisory Failure

    LPL Financial Sanctioned for Supervisory Failure
    According to the Financial Industry Regulatory Authority (“FINRA”), it has entered into a Letter of Acceptance, Waiver and Consent (“AWC”) with brokerage firm LPL Financial LLC for supervisory failures in a number of…
Rank this Week: 566