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100 F Street

100 F Street

Covers securities law for growing businesses. By Vanessa Schoenthaler.

http://100fstreet.com/
  • Apr 9

    You Know that Old Adage About a Picture Being Worth a 1,000 Words …

    You Know that Old Adage About a Picture Being Worth a 1,000 Words …
    TweetOr perhaps this post should be entitled: “Lessons in How Not to Preside Over Your Annual Meeting” While I haven’t been following the proxy contest over at Harvard Illinois Bancorp, things seem to have taken an…
  • Apr 8

    The SEC Issues 9 New FAQs Relating to Conflict Mineral Disclosure

    The SEC Issues 9 New FAQs Relating to Conflict Mineral Disclosure
    TweetWith the filing deadline for the first Form SD a little more than a month away (June 2, 2014), yesterday the Division of Corporation Finance issued nine new FAQs providing additional conflict mineral disclosure guidance. This…
  • Mar 17

    CorpFin’s Updated and Refined WKSI Ineligible Issuer Waiver Framework

    CorpFin’s Updated and Refined WKSI Ineligible Issuer Waiver Framework
    TweetOn Wednesday the Division of Corporation Finance issued a revision to its July 2011 statement on well-known seasoned issuer waivers. The original statement was issued to provide guidance on what constitutes “a showing of good…
Rank this Week: 1440

About Broker Fraud Blog

About Broker Fraud Blog

Covers compliance rules, duty of disclosure, elder abuse and fraud. By the Hayes Law Firm.

http://aboutbrokerfraud.typepad.com/about_broker_fraud_blog/
  • Dec 6

    SEC Freeze Assets in Alleged Diamond-Themed Ponzi Scheme

    SEC Freeze Assets in Alleged Diamond-Themed Ponzi Scheme
    The SEC alleges that Richard Dalton and Universal Consulting Resources LLC (UCR) raised approximately $17 million from investors for two fraudulent offerings. The programs were generally referred to as the “Trading Program” and the…
  • Sep 28

    Arbitrators Award Ten Times Amount of Investment in Auction Rate Securities Case

    Arbitrators Award Ten Times Amount of Investment in Auction Rate Securities Case
    Last month an arbitration panel ordered the investment firm USB financial to pay over $80 million in consequential investments to Kajeet, Inc., a company who markets cellphones for kids. Kajeet’s award fell short of the $110 million…
  • Aug 30

    Raymond James Must Buy Back Auction Rate Securitie

    Raymond James Must Buy Back Auction Rate Securitie
    A Texas couple got some great news last week from the FINRA arbitration panel that ruled on their claim. The panel ruled that the Raymond James Financial Inc. and broker Larry Milton must buy back some $925,000 worth of auction…
Rank this Week: 3111

Alixe Cormick: Small Cap Lawyer

Alixe Cormick: Small Cap Lawyer

Focuses on Canadian and United States securities law matters of interest to micro and small cap companies.

http://www.alixecormick.com
Rank this Week: 2462

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
  • Mar 27

    LPL Hammered by FINRA in Connection with Sales of Alternative

    LPL Hammered by FINRA in Connection with Sales of Alternative
    Independent broker-dealer LPL Financial – a leading seller of alternative investments such as non-traded real estate investment trusts (REITs) – once again is in trouble with regulators, as FINRA announced on Monday that it has…
  • Mar 27

    Edward Jones Fined for Non-Traditional ETF Sales Practice

    Edward Jones Fined for Non-Traditional ETF Sales Practice
    Continuing the recent trend of enforcement actions relating to the sale of complex products, securities regulator FINRA earlier this year fined full-service broker-dealer Edward D. Jones & Co., L.P. (Edward Jones) $200,000 for failing to…
  • Mar 21

    Berthel Fisher Fined for Failure to Supervise Sales of Non-Traded REITs and Complex Product

    Berthel Fisher Fined for Failure to Supervise Sales of Non-Traded REITs and Complex Product
    FINRA recently fined broker-dealer Berthel Fisher & Company Financial Services, Inc. and its affiliate a combined $775,000 for supervisory deficiencies involving the sale of non-traded real estate investment trusts (REITs) and leveraged…
Rank this Week: 2233

Andrew Abramowitz, PLLC

Andrew Abramowitz, PLLC

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

http://aalegalnyc.com/blog/
  • Apr 11

    Income Share Agreement

    Income Share Agreement
    I blogged last year about an IPO for a football player – the public offering of a share of the right to receive 20% of Arian Foster’s future football-related income.  There is a movement afoot now to introduce this concept in…
  • Apr 7

    Interesting Reads for the Week April 7

    Interesting Reads for the Week April 7
    A profile of a matching service connecting small businesses with lawyers.  I generally get my clients the old-fashioned way – referrals – but approaches like this could be useful for both lawyers and the businesses. A…
  • Apr 3

    Limiting Investment Risk for Non-Accredited Investor

    Limiting Investment Risk for Non-Accredited Investor
    I’ve noted in past posts that the SEC tends to take a paternalistic attitude toward the notion of non-accredited investors participating in private offerings, with income and net worth enshrined in the applicable rules as a rough proxy…
Rank this Week: 2440

BD Law Blog

BD Law Blog

Features news, updates and thoughts regarding broker-dealer and investment adviser regulation and legal and compliance issues. By the Beck Law Firm, LLC.

http://www.bdlawblog.com/
  • Apr 17

    Form U4 Basics Video Series #4- OBAs, Regulatory Actions and Terminations Disclosure Issue

    Form U4 Basics Video Series #4- OBAs, Regulatory Actions and Terminations Disclosure Issue
    In this fourth and final video installment of the Form U4 Basics video series, attorney Joel Beck discusses U4 disclosure issues involving outside business activities, regulatory actions, and terminations, applicable to registered…
  • Apr 16

    Understanding the Selling Away Rule (Prohibition Against Private Securities Transactions)

    Understanding the Selling Away Rule (Prohibition Against Private Securities Transactions)
    Each month when you review the Regulatory Notice announcing the disciplinary actions taken by FINRA Enforcement against brokers, you'll generally see cases involving violations of the selling away rule (private securities transactions) as…
  • Apr 14

    Understanding the Outside Business Activity Rule

    Understanding the Outside Business Activity Rule
    Each month when you review the Regulatory Notice announcing the disciplinary actions taken by FINRA Enforcement against brokers, you'll generally see cases involving violations of the outside business activity rule and the selling away rule…
Rank this Week: 2649

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
  • Apr 14

    The Old Cut And Paste Gets The Old UBS Heave-ho

    The Old Cut And Paste Gets The Old UBS Heave-ho
    In this digital age there are still folks who physically cut-and-paste. How quaint. Of course, quaint or not, when you start using the terms "cut-and-paste" "Individual Retirement Account" and "Letter of Authorization" in the same sentence,…
  • Apr 12

    Mom, Her IRA, And Her Stockbroker Son

    Mom, Her IRA, And Her Stockbroker Son
    Here's an interesting cocktail of facts: an IRA, a mother, powers of attorney, and a stockbroker son. Add into that mix questions about whether a $60,000 transfer was a gift. As with all mixtures of family and money, this one doesn't end…
  • Apr 12

    EMPLOYMENT TUESDAY at BrokeAndBroker.com

    EMPLOYMENT TUESDAY at BrokeAndBroker.com
    Stockbroker, Compliance, Legal, and Regulatory JobsFor a full listing of current job openings, visit the BrokeAndBroker Employment Page BrokeAndBroker.c...
Rank this Week: 617

Business Blog

Business Blog

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

http://www.businesslawnews.com/
  • Apr 17

    EEOC Challenges Restrictive Separation Agreement

    EEOC Challenges Restrictive Separation Agreement
    The U.S. Equal Employment Opportunity Commission (EEOC) has filed a lawsuit against CVS Pharmacy, Inc. alleging that the pharmacy chain’s standard separation agreement is “overly broad.” Specifically, the EEOC claims that…
  • Apr 16

    Cybersecurity – Is It Time to Make Your Vendors Account?

    Cybersecurity – Is It Time to Make Your Vendors Account?
    With cybersecurity being at the forefront of clients’ and customers’ minds, businesses should take reasonable precautions to protect digital data that they create, collect, process, and/or maintain. And, according to The New York…
  • Apr 15

    Third Circuit Endorses Successor Liability for Wage and Hour Violation

    Third Circuit Endorses Successor Liability for Wage and Hour Violation
    In the recent case of Thompson v. Real Estate Mortgage Network, the U.S. Court of Appeals for the Third Circuit has endorsed successor liability for claimed wage-and-hour violations of the Fair Labor Standards Act (FLSA). The ruling…
Rank this Week: 1940

Business Law Post

Business Law Post

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

http://www.businesslawpost.com
  • Apr 17

    Elusive Bitcoin: Regulation of Bitcoin in the U.S. Part II

    Elusive Bitcoin: Regulation of Bitcoin in the U.S. Part II
    Today, I am going to summarize FinCEN’s regulations relating to Bitcoin.The Financial Crimes Enforcement Network (FinCEN) is an agency within the US Treasure Department. Its mission is to safeguard the financial system from illicit…
  • Apr 16

    Elusive Bitcoin: Regulation of Bitcoin in the U.S. Part I

    Elusive Bitcoin: Regulation of Bitcoin in the U.S. Part I
    The phenomenon of Bitcoin (and virtual currency in general) presents an interesting legal conundrum. It is still not clear for many where does Bitcoin fit within our legal system, and whether and how to regulate it. Today, I would like to…
  • Feb 1

    Could Your Update on LinkedIn Violate a Non-Compete Agreement?

    Could Your Update on LinkedIn Violate a Non-Compete Agreement?
    Today, I am re-posting a blog post of a colleague of mine (with his permission) that I found to be particularly interesting and relevant for those of you who are looking to leave your present employers to start your own businesses or to just…
Rank this Week: 646

Cady Bar the Door

Cady Bar the Door

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

http://www.secmiscellany.com
  • Apr 10

    Give Me That Old-Time Insider Trading

    Give Me That Old-Time Insider Trading
    Recently I had a question that required me to review Don Langevoort’s comprehensive insider trading treatise.  It got me thinking about the roots of insider trading law.  Specifically, the pre-SEC, pre-10b-5 insider trading…
  • Mar 19

    Two Thoughts about Dewey LeBoeuf and Parallel Proceeding

    Two Thoughts about Dewey LeBoeuf and Parallel Proceeding
    You’ve probably read about the Manhattan district attorney’s office’s indictment of executives at former Big Law giant Dewey LeBoeuf.  According to the WSJ  Law Blog, the crux is this: “[F]ormer Dewey…
  • Mar 13

    For Municipal Bond Issuers, SEC’s New Cooperation Initiative Could Be a Good Idea (Unless It’s a Bad Idea)

    For Municipal Bond Issuers, SEC’s New Cooperation Initiative Could Be a Good Idea (Unless It’s a Bad Idea)
    You know how every few years libraries will offer an amnesty program and give delinquent borrowers a chance to bring in their old books without prohibitive late fines?  The SEC is sort of trying out that approach with its new…
Rank this Week: 3803

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/
  • Apr 17

    Directors’ Alleged Breach Of Fiduciary Duty Not Subject To Anti-SLAPP Statute

    Directors’ Alleged Breach Of Fiduciary Duty Not Subject To Anti-SLAPP Statute
    A SLAPP is a strategic lawsuit against public participation.  California enacted Code of Civil Procedure Section 425.16 as an antidote to SLAPP suits.  In general, a SLAPP is subject to a special motion to strike unless the…
  • Apr 16

    This Proposed Amendment To DGCL Section 141(f) Is A Curate’s Egg

    This Proposed Amendment To DGCL Section 141(f) Is A Curate’s Egg
    In AGR Halifax Fund, Inc. v. Fiscina, 743 A.2d 1188 (1999), the Delaware Court of Chancery was asked to decide whether a consent given by persons before they became directors could become effective if delivered to the corporation after they…
  • Apr 15

    Name And Shame No More?

    Name And Shame No More?
    The last few years has seen the rise of so-called “name and shame” laws. The aims of many these laws may be laudable, but yesterday’s decision by the Court of Appeals for the District of Columbia Circuit calls their…
Rank this Week: 128

California Securities Fraud Lawyer…

California Securities Fraud Lawyer Blog

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

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

    Inland American Real Estate Trust Announces Tender Offer at $6.50 - $6.10 Per Share

    Inland American Real Estate Trust Announces Tender Offer at $6.50 - $6.10 Per Share
    Today, Inland American Real Estate Trust, a non-traded REIT, announced a $350 million tender offer at a price range between $6.50 to $6.10 per share. The offer expires April 11, 2014, at 5:00 p.m. (EST). Click here for detailed…
  • Feb 25

    Berthel Fisher Fined $775,000 for the Inappropriate Sale of REITs and ETF

    Berthel Fisher Fined $775,000 for the Inappropriate Sale of REITs and ETF
    Yesterday, Berthel Fisher & Co. Financial Services, Inc. entered into a settlement with the Financial Industry Regulatory Authority (FINRA) and agreed to pay a $775,000 fine stemming from sale of unsuitable investments, including…
  • Feb 3

    "Wolf of Wall Street" High Pressure Sales Tactic

    "Wolf of Wall Street" High Pressure Sales Tactic
    Many have complained, myself included, that the movie "Wolf of Wall Street" failed to show the devastation suffered by those who were victimized by Jordan Belfort and his company Stratton Oakmont. Clearly, this movie was produced purely for…
Rank this Week: 4341

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/
  • Apr 17

    Amendments to derivatives trade reporting rule to lessen burden on local end-user counterpartie

    Amendments to derivatives trade reporting rule to lessen burden on local end-user counterpartie
    The Ontario Securities Commission, among other regulators, released amendments today to OSC Rule 91-507 Trade Repositories and Derivatives Data Reporting (the TR Rule). The amendments are intended to lessen the burden on…
  • Apr 17

    IIROC report highlights enforcement activity for 2013

    IIROC report highlights enforcement activity for 2013
    Earlier this week, the Investment Industry Regulatory Organization of Canada released its Enforcement Report for 2013, which covers IIROC's enforcement activities and key policy initiatives for last year. According to IIROC, enforcement…
  • Apr 11

    Ontario's proposed prospectus exemptions: existing security holder exemption

    Ontario's proposed prospectus exemptions: existing security holder exemption
    Emma Parker and Simon Romano - Of the new prospectus exemptions proposed to be adopted by the Ontario Securities Commission (OSC), the “existing security holder” exemption represents, in many ways, a significantly streamlined…
Rank this Week: 1660

Chicago Securities Lawyer Blog

Chicago Securities Lawyer Blog

Covers FINRA and securities fraud. By Thomas F. Burke, P.C.

http://www.chicagosecuritieslawyerblog.com/
  • Apr 17

    You Might Think Twice About Using A Broker Who Failed The Exam To Get His License

    You Might Think Twice About Using A Broker Who Failed The Exam To Get His License
    The Wall Street Journal reported that there are more than 51,500 stockbrokers that have failed, at least once, an exam to obtain a license to sell securities. Additionally, those brokers that failed the exam have worse disciplinary records…
  • Jan 20

    Justice Department Weak on Charging Individuals for White Collar Crime

    Justice Department Weak on Charging Individuals for White Collar Crime
    On Friday, January 17, 2014, the Wall Street Journal reported that a University of Virginia law professor's analysis revealed that the Justice Department hadn't charged employees at nearly two thirds of nearly 400 companies that have settled…
  • Jan 20

    The Wolf of Wall Street

    The Wolf of Wall Street
    I have attached an article by Jonathan Weil that everyone shoulld find interesting. 'Wolf of Wall Street' Offspring Never Quite Die Normally it wouldn't be news that a small-fry stock hustler like Christopher F. Veale got busted for…
Rank this Week: 2152

ComplianceAsia News

ComplianceAsia News

Provides information for compliance professionals dealing with issues in financial regulation with a focus on the Asian region.

http://www.compliance.asia/
  • Feb 6

    WSJ report highlights significant concerns about the nature of global AML system

    WSJ report highlights significant concerns about the nature of global AML system
    Finally there is some reporting about the dirty little secret of global AML enforcement - it might not work.  The following was reported in the Wall Street Journal today and we recommend you read the full article: The Morning Risk…
  • Oct 27

    New FATF announcements regarding the progress various countries are making on AML CFT

    New FATF announcements regarding the progress various countries are making on AML CFT
    On Friday the SFC sent around a circular to licensed firms with details of a number of additions to the AML sanctions regime and this included advice from the FATF that some countries were not doing enough to improve their AML CFT…
  • Oct 23

    Mary Jo White sets out her views on the role of compliance

    Mary Jo White sets out her views on the role of compliance
    SEC Chair, Mary Jo White, recently spoke to an industry association in the United States and talked about the importance of the rule of compliance officers.  Here is the speech: Remarks at National Society of Compliance Professionals…
Rank this Week: 3393

Corporate Finance & Securities Law…

Corporate Finance & Securities Law Blog

Covers mergers and acquisitions, private to public transactions, public company disclosure, regulatory defense, and other financial issues. By The Lebrecht Group.

http://www.thelebrechtgroup.com/blog/
  • Jul 11

    SEC Allows Solicitation in Private Offering

    SEC Allows Solicitation in Private Offering
    At long last, the SEC has approved general solicitation in 506 offerings.  I have previously blogged on the subject here and here. It seems each stakeholder group is claiming it as their own victory.  Hedge funds, crowdfunders,…
  • Jun 19

    Sponsored Research. When Is It Independent?

    Sponsored Research. When Is It Independent?
    This week, Fox Business News contributor Tobin Smith was terminated because he violated their policy that “no contributor to FBN [Fox Business Network], nor his/her firm, and/or family members are allowed to accept financial…
  • Jun 6

    When Is It a Good Strategy To Lie to the SEC?

    When Is It a Good Strategy To Lie to the SEC?
    This, of course, is a misleading question.  The answer is never.  In case you need some law to back up that conclusion, take a look at the recent case of Robert J. Vitale.  Mr. Vitale was the subject of an SEC enforcement…
Rank this Week: 2821

Corporate Law and Democracy

Corporate Law and Democracy

A repository of ideas, comments and papers on a range of issues related to corporate law and democracy. By Boston College Law School Professor Renee Jones.

http://reneejones.wordpress.com/
  • Nov 18

    Whither State Securities Enforcement?

    Whither State Securities Enforcement?
    Susan Antilla of Bloomberg news published a recent column  revisiting the question of the continued viability of state securities regulators’ enforcement authority.  I spoke to Susan about my research  on the issue and I am quoted in…
  • Sep 19

    Bailout-palooza

    Bailout-palooza
    The federal goverment’s proposal for a bailout of the financial industry sounded somewhat familiar to me.  I remembered that I had blogged about a similar proposal about a year ago on Conglomerate.
  • Sep 17

    What a Difference a Year Make

    What a Difference a Year Make
    One year ago discussions surrounding corporate law policy were driven by the Sarbanes-Oxley ‘backlash.”  The Paulson Committee and others were warning about how excessive regulation and litigation would lead to the ruin of Wall Street. …
Rank this Week: 3596

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: 452

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • Mar 28

    Defamation v. Tortious Interference

    Defamation v. Tortious Interference
    Most of us have at least a “street-level” understanding of defamation. Individuals that hear or read damaging false statements about themselves or their business typically think: “I need to find a defamation lawyer.”…
  • Mar 19

    Defamation Reputation Damage Management

    Defamation Reputation Damage Management
    In 1378, the Statute of Scandalum Magnatum granted judges and church officials in England a legal right to compensation if they had been insulted or defamed. The first Common Law defamation action on record was filed in England in 1507. …
  • Mar 12

    Missouri Supreme Court Rejects Trade Secret Claim Over Client List

    Missouri Supreme Court Rejects Trade Secret Claim Over Client List
    Troy Kennedy (Kennedy”) left his position as director and executive officer of a trust and investment company when that company was bought by Central Trust & Investment Company (“CTI”). Kennedy left to found a competing…
Rank this Week: 1675

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/
  • Jan 29

    Webcast: "How to Sell a Division: Nuts & Bolts"

    Webcast: "How to Sell a Division: Nuts & Bolts"
    Webcast: "How to Sell a Division: Nuts & Bolts" Tune in tomorrow for the webcast - "How to Sell a Division: Nuts & Bolts" - during which Bass Berry's Page Davidson, WilmerHale's Stephanie Evans and Kaye Scholer's…
  • Jan 28

    Delaware: Enforceability of Non-Reliance Provisions Against Fraud Claim

    Delaware: Enforceability of Non-Reliance Provisions Against Fraud Claim
    Delaware: Enforceability of Non-Reliance Provisions Against Fraud Claims Here's a 2013 recap from Cooley: A series of cases in 2013 refined the law in Delaware relating to the enforceability of non-reliance clauses. Non-Reliance clauses are…
  • Jan 23

    January-February "Special" Issue: Deal Lawyers Print Newsletter

    January-February "Special" Issue: Deal Lawyers Print Newsletter
    January-February "Special" Issue: Deal Lawyers Print Newsletter This January-February Issue of the Deal Lawyers print newsletter was just sent to the printer and is a special "looking forward, looking back" issue which…
Rank this Week: 779

Dividends and Preferences

Dividends and Preferences

Musings on Venture Capital, Technology and Entrepreneurship. By Hank J. Heyming.

http://www.dividendsandpreferences.com/
  • Jan 24

    Microsoft/Skype -- Putting Things into Perspective

    Microsoft/Skype -- Putting Things into Perspective
    {EAV:984c4a016f17013d} Microsoft acquires Skype! Largest Microsoft acquisition ever!! Facebook jilted!!! Google jilted!!!! Wait, Facebook wins through Microsoft!!!!! Wait, Microsoft overpaid by $4 billion with a B!!!!!! OMG Google just…
  • May 10

    Nerd Chic

    Nerd Chic
    Lately, I've noticed a new twist to the typical ebb and flow of the fashion wars.  It occurred to me that, for perhaps the first time in my lifetime, it is cool right now to be a nerd.
  • Apr 25

    Out and About

    Out and About
    Hey folks -- I'm getting ready to head down to the RTP area for the annual CED Venture Conference.  This year it is in downtown Raleigh, instead of Pinehurst, and looks to be bigger and better than ever. So, if anyone happens to be in the…
Rank this Week: 1807

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. Published by Porter, Wright,

http://www.fedseclaw.com/
Rank this Week: 4415

FinancialCounsel

FinancialCounsel

Features podcasts on compliance, employment and industry intelligence for investment professionals and investment, planning and regulatory intelligence for investors. By James J. Eccleston.

http://financialcounsel.typepad.com/financialcounsel/
Rank this Week: 89

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Apr 4

    Client Alert: Surrender Charges & Annuity Churning

    Client Alert: Surrender Charges & Annuity Churning
    Fitapelli Kurta is investigating claims related to surrender charges and other suspicious annuity fees. A surrender charge is a type of sales charge an investor has to pay when he or she sells or withdraws money from…
  • Apr 4

    Investigation: Michael Lombardo, David Lerner Broker

    Investigation: Michael Lombardo, David Lerner Broker
    Fitapelli Kurta is investigating complaints against former David Lerner Associates broker Michael Lombardo, who was terminated by the firm effective March 13, 2014.  Mr. Lombardo was a broker in David Lerner’s Westport, CT branch.…
  • Mar 31

    Investigation: Broker Mark Imbertson of Merrill Lynch

    Investigation: Broker Mark Imbertson of Merrill Lynch
    Fitapelli Kurta is investigating complaints related to Mark E. Imbertsonsale’s sale of risky ETFs while he was registered at Merrill Lynch.  Imbertson first became registered with FINRA in August 1998.  He worked for…
Rank this Week: 1453

Florida Securities Fraud Attorney…

Florida Securities Fraud Attorney Blog

Covers Florida securities fraud cases and issues. By Ralph Behr, Esq. P.A.

http://www.floridasecuritiesfraudattorney.com/
  • Dec 21

    Can JPMorgan Be Forced To Pay MF Global Customers' Claims?

    Can JPMorgan Be Forced To Pay MF Global Customers' Claims?
    The reports are that JP Morgan suspected some MFGlobal funds it received were customer deposits. …”But JPMorgan was not satisfied. The bank once again contacted Mr. Corzine, this time requesting a guarantee in writing.”…..[DealBook…
  • Dec 19

    New Rules for Expungement of Certain Broker Check Complaint

    New Rules for Expungement of Certain Broker Check Complaint
    December 2011 may be a watershed date in the battle for fairness for stockbrokers. Constantly barraged by complaints, which are often no more than attempted extortion, the FINRA board may make some rule changes. It's a modest beginning; but…
  • Dec 19

    WHY ARE EXPUNGEMENT ORDERS BY ARBITRATORS IGNORED BY BROKER CHECK?

    WHY ARE EXPUNGEMENT ORDERS BY ARBITRATORS IGNORED BY BROKER CHECK?
    A customer complaint, once filed, is technically a public record. Public records are subject to state control and cannot be expunged without an order from U.S. federal court. If your arbitration award includes an order of expunction;…
Rank this Week: 3545

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/
Rank this Week: 422

Footnoted

Footnoted

Reports on actionable information in SEC filings.

http://www.footnoted.com/
  • Apr 11

    Hertz CFO being paid twice for one job

    Hertz CFO being paid twice for one job
    Hertz' new CFO is being paid twice -- once by Hertz and an even larger "salary" by his former employer, Hilton Worldwide.
  • Apr 7

    Proxy madness: mystery fees at Google

    Proxy madness: mystery fees at Google
    New disclosures in Google's proxy caught our attention and created a bit of a mystery on exactly what the company is paying for.
  • Mar 26

    Advanced Micro Devices execs say game on!

    Advanced Micro Devices execs say game on!
    It's silly season for perks, which means disclosure like the one at AMD which provided Xbox's and PlayStations to their named executives in 2013.
Rank this Week: 2578

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

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

    California Finance Lenders License

    California Finance Lenders License
    California Requirements for Hedge Funds and Private Equity Funds Engaged in Lending Businesses Investment advisers, private equity managers, private fund managers, and other businesses that are engaged in making loans should be aware of…
  • Mar 28

    NFA May Impose Capital Requirements, Other Restrictions on CPOs and CTA

    NFA May Impose Capital Requirements, Other Restrictions on CPOs and CTA
    NFA Suggests New Rules, Solicits Comments from CPOs and CTAs The NFA recently issued a Notice to Members that included a Request for Comments on a proposal to subject CPOs and CTAs to new rules. These rules, which include a minimum capital…
  • Mar 5

    SEC Compliance – Custody Issue

    SEC Compliance – Custody Issue
    Annual Update Guidance on Custody Issue It is that time of year that registered investment advisers are focusing on the ADV annual updating process.  Occasionally the SEC will provide guidance to managers on common questions applicable…
Rank this Week: 1810

Inside Sarbanes Oxley

Inside Sarbanes Oxley

Covers Sarbanes-Oxley and compliance.

http://insidesarbanesoxley.com/
  • Sep 10

    Whistleblowing – What you need to know about the Dodd-Frank Act

    Whistleblowing – What you need to know about the Dodd-Frank Act
    If your organization isn’t already offering incentives to ferret out inappropriate behaviors, the new Dodd-Frank Act and whistleblowing rewards just might (and could make your company the next public spectacle). Deloitte’s…
  • May 26

    Internal Audit: The Continuous Conundrum

    Internal Audit: The Continuous Conundrum
    The department painstakingly went through its inventory of SOX controls to determine which ones could be assessed just by analyzing data in company systems. Then data-analytic scripts were written to allow exceptions to be found. Now, for…
  • May 26

    How to choose the right nonexecutive board leader

    How to choose the right nonexecutive board leader
    Ever since stock-listing requirements prompted many US companies to name an independent director to serve as the chairman, lead director, or presiding director of the board, these companies have been grappling with what, exactly, this board…
Rank this Week: 1096

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/
  • Dec 29

    Wells Fargo Reaches $591 Million Mortgage Deal with Fannie Mae

    Wells Fargo Reaches $591 Million Mortgage Deal with Fannie Mae
    Wells Fargo & Co. (WFC) has arrived at a $591 million mortgage settlement with Fannie Mae (FNMA). The arrangement resolves claims that the banking institution sold faulty mortgages to the government run-home loan financier and covers…
  • Apr 15

    SEC Takes a Closer Look at Municipal Bond

    SEC Takes a Closer Look at Municipal Bond
    The US Securities and Exchange Commission is finally beginning to scrutinize municipal bond issuers. Recent efforts include the opening of investigations into whether certain municipalities misled investors about their financial well-being…
  • Apr 12

    SAC Capital Advisor’s $1.8B Criminal Securities Fraud Settlement with the DOJ is Accepted by a Federal Judge

    SAC Capital Advisor’s $1.8B Criminal Securities Fraud Settlement with the DOJ is Accepted by a Federal Judge
    U.S. District Judge Laura Taylor Swain has approved the criminal settlement reached between the US Department of Justice and SAC Capital Advisors LP. The hedge fund, which was founded by Steven A. Cohen, consented to pay a $1.8 billion…
Rank this Week: 743

InvestorLawyers.net

InvestorLawyers.net

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

http://www.investorlawyers.net/blog/
  • Apr 9

    Two MetLife Brokers Accused of Unsuitable Variable Annuity Sale

    Two MetLife Brokers Accused of Unsuitable Variable Annuity Sale
    Securities fraud attorneys are currently investigating claims on behalf of investors who suffered significant losses in variable annuities. Variable annuities are insurance products tied to an investment portfolio, which typically consist of…
  • Apr 7

    Have You Been the Victim of Investment Scalping?

    Have You Been the Victim of Investment Scalping?
    Investment fraud lawyers are currently investigating claims on behalf of investors who suffered significant losses as a result of a securities fraud related to scalping. Scalping occurs when a broker or financial advisor recommends a security…
  • Apr 2

    Claims Against Berthel Fisher for Unsuitable Sale of Alternative Investments Begin

    Claims Against Berthel Fisher for Unsuitable Sale of Alternative Investments Begin
    Our recent blog post, “Berthel Fisher and Affiliate Fined Regarding Sales of ETFs and Non-Traded REITs,” reported that in February the firm had been fined $775,000 by the Financial Industry Regulatory Authority (FINRA). The FINRA…
Rank this Week: 2246

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
Rank this Week: 161

Kueser Law Firm Blog

Kueser Law Firm Blog

Covers securities and investment fraud, as well as other consumer and investor-related issues.

http://blog.jmkesquire.com
Rank this Week: 4988

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: 2346

New York Securities Lawyers Blog

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

http://www.newyorksecuritieslawyersblog.com/
  • Apr 11

    Biggest Recent FINRA Fines Point to Poor Supervision at Large Broker-Dealer

    Biggest Recent FINRA Fines Point to Poor Supervision at Large Broker-Dealer
    Apparently the opportunity for bad brokers to engage in wrongful conduct is enabled by big brokerage firms, as recent Financial Industry Regulatory Authority (FINRA) fines indicate that these businesses fail to properly supervise their foot…
  • Apr 4

    Managed Futures Fund Fees: When Is Enough Enough?

    Managed Futures Fund Fees: When Is Enough Enough?
    When are money management fees too much? It is hard to imagine that any investor who has sought the guidance of professional financial advisors has not asked himself or herself this question at least once - most likely more. In the case of…
  • Mar 27

    FINRA Files LPL Financial for Failures to Supervise Alternative Investment

    FINRA Files LPL Financial for Failures to Supervise Alternative Investment
    LPL Financial LLC has been hit again for supervisory failures stemming from the recommendation of non-traded real estate investment trusts (REITs), as well as other illiquid investments, begging the question whether the fines are large enough…
Rank this Week: 1323

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/
  • Apr 9

    A Million Dollars In Fees For Class Counsel in Wachovia/Wells Fargo Merger Lawsuit

    A Million Dollars In Fees For Class Counsel in Wachovia/Wells Fargo Merger Lawsuit
    When I first looked at Judge Murphy's (unpublished) Order in Ehrenhaus v. Baker earlier this month awarding attorneys' fees to the class action attorneys who sued Wachovia and Wells Fargo over their merger in 2008,  I was disappointed,…
  • Apr 8

    Business Court Makes North Carolina Safe For Construction Lawyer

    Business Court Makes North Carolina Safe For Construction Lawyer
    Construction lawyers in North Carolina can breathe a sigh of relief.  On Friday of last week, the Business Court ruled that the service of on-line service provider Lienguard in preparing claims of lien constitutes the unauthorized…
  • Apr 7

    Real Estate Agents Need To Be Careful About Disclosing Dual Agency

    Real Estate Agents Need To Be Careful About Disclosing Dual Agency
    Dual agency is a big deal to real estate agents.  It lets them represent both a buyer and a seller in a transaction.  Dual agency was the focal point of the Business Court's opinion last week in BDM Investments v. Lenhil, Inc.,…
Rank this Week: 770

Page Perry LLC Blog

Page Perry LLC Blog

Covers securities broker abuses, early retirement scams, elder abuses, subprime mortages, collateralized debt obligations, and annuities.

http://www.pageperry.com/blog/
  • May 23

    SEC Charges Former LPL Advisor With Fraud

    SEC Charges Former LPL Advisor With Fraud
    On May 23, 2013, the SEC charged a former LPL Financial LLC advisor, Blake Richards, with fraud and misappropriating $2 million from at least six clients.  The SEC filed the civil complaint in the U.S. District Court for the Northern…
  • May 6

    Wells Fargo Settles Medical Capital Class Action for $105 Million

    Wells Fargo Settles Medical Capital Class Action for $105 Million
    InvestmentNews reports that Wells Fargo & Co. has agreed to pay $105 million in a class action lawsuit brought by investors who purchased Medical Capital notes.  The notes turned out to be a fraudulent medical receivables scheme. The…
  • Apr 23

    Front-End Bonus Payments May Need To Be Disclosed

    Front-End Bonus Payments May Need To Be Disclosed
    If your broker or financial adviser told you he was moving to another brokerage firm and asked you to move your account there, would you want to know if he was being paid thousands or millions of dollars to make the move?  The Financial…
Rank this Week: 146

Perry Krumsiek & Jack Law Blog

Perry Krumsiek & Jack Law Blog

Covers business, health care, intellectual property and media law.

http://pkjlawblog.wordpress.com/
  • Feb 2

    Here’s One Government Program Worth HARPing On

    Here’s One Government Program Worth HARPing On
    If you are one of the hundreds of thousands of Americans permanently traumatized by the government’s highly lauded, but horribly executed, loan modification program, take heart.  I’m here to tell you that there’s another government…
  • Oct 27

    The Lincoln Lawyer

    The Lincoln Lawyer
    Before Abraham Lincoln became our greatest president, he was a great corporate lawyer.  And before he was a corporate lawyer, he was a brilliant trial lawyer. In the 1840s, Lincoln represented a Revolutionary War widow who had been bilked…
  • Oct 22

    Cornell Scores in Forum Case

    Cornell Scores in Forum Case
    PKJ’s Timothy Cornell scored a significant victory Friday, when U.S. District Judge Richard G. Stearns dismissed a multimillion case against an Internet company, finding that the plaintiff was bound by his contract’s forum selection…
Rank this Week: 1915

Ponzitracker

Ponzitracker

Covers Ponzi schemes. By Jordan Maglich.

http://www.ponzitracker.com/
  • Apr 17

    As Regulators Closed In, TelexFree Execs Scrambled To Move Asset

    As Regulators Closed In, TelexFree Execs Scrambled To Move Asset
    It reads like a spy thriller you would expect out of Hollywood.  As authorities closed in on a massive fraud, one of the company's top executives sought to elude a raid on the company's headquarters by walking out the front door with…
  • Apr 16

    Authorities Charge Rothstein CFO With Conspiracy

    Authorities Charge Rothstein CFO With Conspiracy
    Federal authorities continued their quest to prosecute those connected to the massive $1.2 billion Ponzi scheme perpetrated by Scott Rothstein, with Rothstein's former CFO becoming the 18th person to face charges to date.  Irene Shannon,…
  • Apr 16

    Judge Revokes Bond For Accused Ponzi Schemer After Contact With Victim

    Judge Revokes Bond For Accused Ponzi Schemer After Contact With Victim
    A federal judge has revoked bail for a Florida man accused of orchestrating a $70.9 million Ponzi scheme, siding with prosecutors' allegations of "brazen" violations of a "no-contact" condition of his bail.  Joseph Signore,…
Rank this Week: 419

Proxyland

Proxyland

Covers corporate governance.

http://proxyland.blogspot.com/
  • Mar 6

    One Blog Closes, Another Open

    One Blog Closes, Another Open
    Big news, dear readers.
  • Feb 17

    Stimulus Plan Attacks Executive Compensation: Stay Tuned

    Stimulus Plan Attacks Executive Compensation: Stay Tuned
    Everyone knows about the freaky fireball that plummeted through the Texas sky last weekend. In an unrelated development, a fireball suddenly appeared in the skies over Proxyland on Friday. That one, however, has been identified: it’s Title…
  • Feb 11

    Geithner's Financial Stability Plan, Or Whatever

    Geithner's Financial Stability Plan, Or Whatever
    C’mon now, everyone. Cheer up. At least Tim Geithner is easier on the eyes than Hank Paulson, whose face seemed to have the words “we’re all gonna die” written on it no matter what he was saying.
Rank this Week: 2710

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
  • Apr 11

    Variable Universal & Indexed Universal Life Insurance Policie

    Variable Universal & Indexed Universal Life Insurance Policie
    In an April 4, 2014 article in The Wall Street Journal (“The Great Life-Insurance Temptation”), customers are warned that they “could be in for a shock” as a result of the correlation between specific life insurance…
  • Apr 10

    SEC Is Probing Dealings by Banks and Companies in Loan Securitie

    SEC Is Probing Dealings by Banks and Companies in Loan Securitie
    The Securities and Exchange Commission is investigating a Wall Street boom in complicated bond deals. SEC investigators are looking at whether banks and companies are using the bond deals to hide certain risks illegally, said the people close…
  • Apr 2

    SEC Is Probing Dealings by Banks and Companies in Loan Securitie

    SEC Is Probing Dealings by Banks and Companies in Loan Securitie
    On March 24, 2014, an article in The Wall Street Journal (“SEC is Probing Dealings by Banks and Companies in Loan Securities”), disclosed that the Securities and Exchange Commission is investigating whether a Wall Street boom in…
Rank this Week: 702

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

http://www.seclawyersblog.com/
Rank this Week: 418

SEC Whistleblower Blog

SEC Whistleblower Blog

Covers corporate whistleblower programs and whistleblower protection issues.

http://www.secwhistleblowerprogram.org/SEC-Whistleblower-Blog/
  • Jan 10

    Whistleblower Protection under the SEC Whistleblower Program

    Whistleblower Protection under the SEC Whistleblower Program
    In our web site, we established the types of anti-retaliatory protections offered employees under the SEC Whistleblower Program.
  • Dec 10

    SEC Whistleblowers can Help Uncover "Soft Dollar" Practice

    SEC Whistleblowers can Help Uncover "Soft Dollar" Practice
    Hedge fund operators (politely called “Investment Managers” on Wall Street) can make the plaintiffs’ bar look like expensively dressed social workers. The hedge fund industry is estimated to be a $2.5 trillion industry.
  • Dec 6

    Five travel expense related FCPA violation

    Five travel expense related FCPA violation
    Here’s a tip for potential Foreign Corrupt Practices Act whistleblowers: travel expenses clearly fall within FCPA guidelines.
Rank this Week: 3546

Securities Arbitration Blog

Securities Arbitration Blog

Covers the happenings in the Securities and Investment Fraud Sector. By Guiliano Law Firm.

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

    Investment Fraudsters: You have a friend in Pennsylvania

    Investment Fraudsters: You have a friend in Pennsylvania
    What does a big firm commercial defense lawyer, a banker, a healthcare lobbyist, a parking authority commissioner and an Allegheny parks commissioner all have in common? andnbsp; Apparently, they are all friends of Pennsylvania Governor Tom…
  • Mar 13

    Investment Fraudsters: You have a friend in Pennsylvania

    Investment Fraudsters: You have a friend in Pennsylvania
    What does a big firm commercial defense lawyer, a banker, a healthcare lobbyist, a parking authority commissioner and an Allegheny parks commissioner all have in common? andnbsp; Apparently, they are all friends of Governor Tom Corbett…
  • Feb 4

    One in five Americans 65 or older or 7.3 million senior citizens victimized by financial fraud

    One in five Americans 65 or older or 7.3 million senior citizens victimized by financial fraud
    United States Securities and Exchange Commissioner Luis A. Aguilar gave a speech at the The American Retirement Initiativeandrsquo;s Winter 2014 Summit in Washington, DC. andnbsp; According to Aguilar andldquo;Baby boomersandrdquo; are…
Rank this Week: 365

Securities Attorney Law Blog

Securities Attorney Law Blog

Reviews Federal Securities Fraud Litigation, Arbitration, Whistleblower Claims & Derivative Lawsuits. By Jay Eng.

http://securitiesattorneys.us/
Rank this Week: 2180