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100 F Street

100 F Street

Covers securities law for growing businesses. By Vanessa Schoenthaler.

http://100fstreet.com/
  • Jul 9

    The SEC’s Latest C&DIs On Accredited Investors and Verifying Accredited Investor Statu

    The SEC’s Latest C&DIs On Accredited Investors and Verifying Accredited Investor Statu
    Last Thursday the Division of Corporation Finance released its latest set of Compliance and Disclosure Interpretations (C&DIs) related to defined terms in Rule 501 of Regulation D and accredited investor…
  • Jun 28

    Chair White Offers Insight Into How the SEC Views Director

    Chair White Offers Insight Into How the SEC Views Director
    This past Monday night Chair White gave a keynote address at the 20th Annual Stanford Directors’ College where she spoke about the Commission’s “mindset” on certain matters relevant to directors.…
  • Jun 18

    Automatic Disqualification Waivers: A Recurring Theme

    Automatic Disqualification Waivers: A Recurring Theme
    Last Thursday Senator Sherrod Brown (D-Ohio), Chairman of the Banking Subcommittee on Financial Institutions and Consumer Protection, penned a letter to Chair White questioning the Commission’s practices and…
Rank this Week: 1905

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: 1762

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
  • Apr 30

    Welcome to Canada! Using Regulation A+ to List on the CSE, TSX or TSX Venture Exchange

    Welcome to Canada! Using Regulation A+ to List on the CSE, TSX or TSX Venture Exchange
     By Alixe Cormick Using Regulation A in conjunction with listing on the CSE, TSX, or TSX Venture Exchange in Canada is an option that will become more practical for United States (US) based issuers once proposed changes to Regulation A…
  • Apr 21

    How Much Does an Offering Memorandum Cost?

    How Much Does an Offering Memorandum Cost?
    By Alixe Cormick Asking what the “all-in-costs” are for preparing an offering memorandum (an OM) is like asking how much it costs to build a house. A new 4,000 square foot custom-built house in West Vancouver, BC will cost more…
  • Apr 17

    Where You Can Find the Proposed Canadian Equity Crowdfunding Rules and Form

    Where You Can Find the Proposed Canadian Equity Crowdfunding Rules and Form
      By Alixe Cormick In Canada, two crowdfunding specific exemption proposals are out for public comment: a start-up crowdfunding exemption and an integrated crowdfunding exemption. Six provinces (including Saskatchewan) are…
Rank this Week: 3528

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
  • 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…
  • Jul 10

    FINRA Pulls Controversial Recruiting Bonus Disclosure Rule

    FINRA Pulls Controversial Recruiting Bonus Disclosure Rule
    As recently reported in the financial press, FINRA late last month filed a notice with the Securities and Exchange Commission indicating that it is pulling its proposed Rule 2243.  The controversial proposed rule — which was…
  • 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…
Rank this Week: 3477

Andrew Abramowitz, PLLC

Andrew Abramowitz, PLLC

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

http://aalegalnyc.com/blog/
  • May 27

    Interesting Legal Reads of the Week

    Interesting Legal Reads of the Week
    Some interesting legal reads for the week of May 26, 2014: Anna Pinedo of MoFo reports on the passage by House subcommittees of various JOBS Act-related bills.  It’s unclear at this point how many will ultimately become law. Also…
  • May 23

    Term Sheets and Letters of Intent

    Term Sheets and Letters of Intent
    Particularly for complex and important transactions in a company’s life-cycle – mergers and acquisitions, institutional funding rounds, joint ventures, etc. – it’s typical that the transaction process start with the…
  • May 21

    Interesting Legal Reads for the Week of May 19

    Interesting Legal Reads for the Week of May 19
    Some interesting legal reads for the week of May 19, 2014: DealBook’s Andrew Ross Sorkin on the relatively long time (10 days) allowed for reporting the acquisition of a 5% equity stake of public companies, and the potential for abuse…
Rank this Week: 3722

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/
  • Jul 24

    Sanctions in FINRA Enforcement Matters: An Overview

    Sanctions in FINRA Enforcement Matters: An Overview
    A question I get from time to time from clients and others is along the lines of, "What exactly can happen to me if FINRA thinks I did something wrong?" The follow-up questions concern the different types of sanctions that...
  • Jul 22

    Update on FINRA's July Board of Governors Meeting

    Update on FINRA's July Board of Governors Meeting
    Earlier this month, FINRA's Board of Governors met for their July meeting. Chair Richard Ketchum and lead governor Jack Brennan prepared a short video overview of the results of that meeting. That can be found online here. Of note, they...
  • Jul 15

    Basics of the Georgia Durable Power of Attorney

    Basics of the Georgia Durable Power of Attorney
    In our view, a durable power of attorney is a key piece of a basic estate planning package that includes a last will and testament and a Georgia advance directive for healthcare. Often, people have questions about what this document...
Rank this Week: 1324

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 23

    Broker Slips And Counter Punches Public Customer

    Broker Slips And Counter Punches Public Customer
    If you've been a stockbroker long enough, it's likely that some customer will file a lawsuit against you and your firm. Frankly, you may have screwed up and, in all fairness, you should be named as a defendant or respondent. There are times,…
  • Jul 21

    Schwab Accused Of Altering Client Forms In Options Trading Dispute

    Schwab Accused Of Altering Client Forms In Options Trading Dispute
    In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in May 2013, public customer Claimant Meadows asserted causes of action including breaches of fiduciary duty and contract, negligence, and…
  • Jul 18

    Stockbroker Failed To Timely Disclose Attempted Child Rape Felony Charge

    Stockbroker Failed To Timely Disclose Attempted Child Rape Felony Charge
    This one ain't pretty and there's sure as hell nothing here to laugh about. In 2012, a stockbroker finds himself charged with felony child molestation and felony attempted rape of a child. Eventually, he pleads to three misdemeanors of…
Rank this Week: 584

Business Blog

Business Blog

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

http://www.businesslawnews.com/
  • Jul 25

    Amendments to NY Wage Theft Law Head to Governor’s Desk

    Amendments to NY Wage Theft Law Head to Governor’s Desk
    A bill that would amend New York’s Wage Theft Prevention Act (the “Act”) awaits Gov. Andrew Cuomo’s signature. The changes offer both good news and bad news for New York employers. Originally enacted into law in 2011,…
  • Jul 24

    Should You Be Protecting Your Business Emails from Prying Eyes?

    Should You Be Protecting Your Business Emails from Prying Eyes?
    Would you send an important communication on a postcard? For most businesses, the answer is likely no. Yet companies send unsecured business emails every day, which share many of the same characteristics as postcards. These messages can be…
  • Jul 23

    Will Uber Win the Battle of the Taxi or Succumb to Business Regulation?

    Will Uber Win the Battle of the Taxi or Succumb to Business Regulation?
    Uber records approximately one million ride requests each week and is now valued at an estimated $18.2 billion. Despite its surging popularity with riders, the company continues to face strong resistance from regulators and traditional taxis…
Rank this Week: 1065

Business Law Post

Business Law Post

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

http://www.businesslawpost.com
  • Jul 22

    Should Startups Have Boards of Directors?

    Should Startups Have Boards of Directors?
    All corporations are required to have a board of directors by law. LLCs are not. However, an LLC can be structured so as to have a board of managers (some even refer to managers as directors). At formation, founders become the sole…
  • Jul 19

    The SEC Will Likely Update its Definition of “Accredited Investors” Very Soon

    The SEC Will Likely Update its Definition of “Accredited Investors” Very Soon
    Most of the startup capital comes from accredited investors through investments made in reliance upon Rule 506 of Regulation D.  According to a study by the University of New Hampshire’s Center for Venture Research, in 2013, almost…
  • Jul 11

    How to Verify That Your Investor is Accredited - The SEC Provides New Explanations Regarding Rule 506(c) Offering

    How to Verify That Your Investor is Accredited - The SEC Provides New Explanations Regarding Rule 506(c) Offering
    On July 3, 2014 (right on my birthday), the SEC issued six compliance and disclosure interpretations (“CD&Is”) regarding the use of verification methods for determining whether a prospective investor is accredited. First, a…
Rank this Week: 995

Cady Bar the Door

Cady Bar the Door

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

http://www.secmiscellany.com
  • Jul 20

    Foreign Pink Sheets Companies and the FCPA

    Foreign Pink Sheets Companies and the FCPA
    Penny stock companies have been much in the news recently.  They can be tough entities for law enforcement to look into given that their officers and directors are often not inclined to cooperate with government investigations. …
  • Jul 14

    Three Thoughts about FINRA’s Weird Japanese Insider Trading Case

    Three Thoughts about FINRA’s Weird Japanese Insider Trading Case
    One of the things you’re not supposed to do if you’re in the securities business – or any business, really – is buy and sell securities on the basis of material, nonpublic information in breach of a duty not to do…
  • Jun 29

    D.C. Circuit Bolsters Attorney-Client Privilege in Internal Investigation

    D.C. Circuit Bolsters Attorney-Client Privilege in Internal Investigation
    You may remember that in March, the U.S. District Court in D.C. threw the corporate world into a bit of a tizzy with a ruling that documents related to an internal investigation at Kellogg Brown & Root were not privileged and subject to…
Rank this Week: 654

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/
Rank this Week: 668

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/
  • May 1

    March - April 2014 Disciplinary Action

    March - April 2014 Disciplinary Action
    William Jeffrey Austin (WBB Securitiies, Redlands, California) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $7,500 and suspended from association with any FINRA member in any capacity for 30 business days. The…
  • Apr 24

    Update: Charles Schwab to Allow Customer Class Action

    Update: Charles Schwab to Allow Customer Class Action
    Today, Charles Schwab agreed to end a long standing dispute over their customer's right to participate in securities class action lawsuits. In a settlement reached with the Financial Industry Regulatory Authority (FINRA), Charles Schwab…
  • Mar 24

    Regulators Fine LPL Financial LLC $950,000 Over Unsuitable Alternative Investments Sale

    Regulators Fine LPL Financial LLC $950,000 Over Unsuitable Alternative Investments Sale
    Today, LPL Financial LLC reached a settlement with the Financial Industry Regulatory Authority (FINRA) over the firm's failure to adequately supervise the sale of non-traded REITs and other risky alternative investments. LPL's settlement…
Rank this Week: 531

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 22

    MFDA publishes guidance on use of investor questionnaire

    MFDA publishes guidance on use of investor questionnaire
    Earlier this week, the MFDA released a discussion paper intended to provide guidance on the use by mutual fund dealers of investor questionnaires to assist in the know-your-client process. Among other things, the paper discusses topics such…
  • Jul 18

    CSA intend to publish national rule for clearing agencie

    CSA intend to publish national rule for clearing agencie
    Alix d'Anglejan-Chatillon - The Canadian Securities Administrators yesterday released an update on the proposed local rules designed to set out certain requirements in relation to the application process for seeking recognition as a…
  • Jul 18

    CSA adopt changes to auditor oversight rule

    CSA adopt changes to auditor oversight rule
    The Canadian Securities Administrators yesterday released changes to auditor oversight rules designed to enhance the integrity of financial reporting by reporting issuers by repealing and replacing National Instrument 52-108 Auditor…
Rank this Week: 1640

Chicago Securities Lawyer Blog

Chicago Securities Lawyer Blog

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

http://www.chicagosecuritieslawyerblog.com/
  • Jul 16

    Regulators Concerned About High Frequency Trading and Timestamp

    Regulators Concerned About High Frequency Trading and Timestamp
    The United States securities regulators, the Securities Exchange Commission ("SEC"), and the Financial Industry Regulatory Authority ("FINRA") and the United Kingdom's Financial Conduct Authority ("FCA") are tightening rules to impose…
  • Jul 9

    SEC Trying to Even the Field for Bond Market

    SEC Trying to Even the Field for Bond Market
    The Wall Street Journal reported that the Securities Exchange Commission ("SEC") wants to even the field in the bond market between small investors and Wall Street's biggest banks. The SEC unveiled plans to make real time pricing information…
  • 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…
Rank this Week: 2709

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: 1074

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: 3855

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: 2884

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/
  • Jul 22

    Delaware Court of Chancery Rejects Indemnification Sleight of Hand

    Delaware Court of Chancery Rejects Indemnification Sleight of Hand
    In Branin v. Stein Roe Inv. Counsel, LLC, C.A. 8481-VCN, 2014 WL 2961084 (Del. Ch. June 30, 2014), the Delaware Court of Chancery held that a vested right to indemnification may not be rescinded by a subsequent amendment to the governing…
  • Jul 15

    Is Your Out-of-State LLC “Doing Business” in California?

    Is Your Out-of-State LLC “Doing Business” in California?
    Individuals and entities, including those from outside California, who invest in or do business through an out-of-state limited liability company (“LLC”) may be surprised to find out that they have filing obligations and tax…
  • Jul 7

    Second Circuit Overturns District Court’s Rejection of SEC-Citigroup Fraud Settlement

    Second Circuit Overturns District Court’s Rejection of SEC-Citigroup Fraud Settlement
    In a closely-watched decision involving judicial review of agency settlements, the Unites States Court of Appeals for the Second Circuit vacated United States District Court Judge Jed Rakoff’s 2011 order rejecting a proposed $285…
Rank this Week: 260

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: 1202

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 25

    Sample Reps & Warranties: Conflict Mineral

    Sample Reps & Warranties: Conflict Mineral
    Recently, we got the question from a member who was marking up a definitive agreement for the purchase of target company – a manufacturer of metal products – whom they believed to be utilizing conflict minerals. The member asked…
  • Jul 24

    Examples of Social Media in M&A Transaction

    Examples of Social Media in M&A Transaction
    In his blog, Stinson Leonard Street’s Steve Quinlivan provides examples from 4 recent deals that used social media…
  • Jul 23

    Exclusive Forum Bylaws: California State Court Follows Delaware

    Exclusive Forum Bylaws: California State Court Follows Delaware
    Here’s news excerpted from this Ropes & Gray newsletter: State and federal courts in California have gone different directions on whether to follow Delaware’s lead in enforcing forum selection provisions in bylaws. In 2011,…
Rank this Week: 793

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: 2143

Federal Securities Law Blog

Federal Securities Law Blog

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

http://www.fedseclaw.com/
  • Jul 24

    SEC adopts money market fund reform

    SEC adopts money market fund reform
    By Robert J. Tannous On July 23, 2014, the Securities and Exchange Commission announced that it adopted amendments to the rules governing money market mutual funds. Read a copy of the final rules. These amendments complete some…
  • Jul 15

    Should entrepreneurs care about crowdfunding? It depends on the crowd.

    Should entrepreneurs care about crowdfunding? It depends on the crowd.
    By Jack J. Gravelle It has been more than two years since the JOBS Act was passed and almost nine months since the SEC proposed crowdfunding rules — but still no final rules. Should entrepreneurs care? Probably not. The proposed SEC…
  • Jul 14

    Citigroup’s $7 billion settlement allows them to “focus on the future”

    Citigroup’s $7 billion settlement allows them to “focus on the future”
    By W. Kelly Johnson U.S. Attorney General Eric Holder and Citigroup announced today that Citigroup will pay $7 billion to settle a U.S. Department of Justice (DOJ) investigation into allegations that it defrauded investors by selling shoddy…
Rank this Week: 443

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
Rank this Week: 119

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Jul 25

    Fitapelli Kurta files complaint against Mark Lisser and Global Arena Capital Corp.

    Fitapelli Kurta files complaint against Mark Lisser and Global Arena Capital Corp.
    Fitapelli Kurta recently filed a complaint against Global Arena Capital Corp. and Mark Lisser on behalf of an elderly and terminally ill Delaware pastor and his wife, who teaches bible classes at the local church.  The claims stem from…
  • Jul 22

    Broker Richard Lewis Suspended for Complaints of Unauthorized Trading

    Broker Richard Lewis Suspended for Complaints of Unauthorized Trading
    The investment fraud attorneys at Fitapelli Kurta are investigating claims involving Richard Lewis.   He is also known as Rick Lewis.  Richard, or Rick, Lewis is currently employed with J.W. Cole Financial, Inc. but was previously…
  • Jul 21

    REIT Investigation: Strategic Realty Trust, Inc. (Formerly TNP Strategic Realty Trust)

    REIT Investigation: Strategic Realty Trust, Inc. (Formerly TNP Strategic Realty Trust)
    Fitapelli Kurta is investigating claims on behalf of investors of Strategic Realty Trust, Inc., formerly known as the TNP Strategic Realty Trust Inc.  Strategic Realty Trust (TNP Strategic Realty Trust) is a non-traded REIT, which means…
Rank this Week: 957

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/
  • Jun 4

    Scanning License Plates and Privacy

    Scanning License Plates and Privacy
    Fort Lauderdale police agencies have technology to read license plates. Once read, the plates are matched against outstanding traffic tickets. In addition, the owner’s name is matched against outstanding criminal warrants. At what…
  • Jun 2

    SEC Charges White Collar Crimes in Sarasota

    SEC Charges White Collar Crimes in Sarasota
    A fund manager in Sarasota, Florida was charged with defrauding investors of $3.8 million. The fund manager, Gaeton Della Penna, faces federal criminal charges in the Middle District of Florida for defrauding investors. Criminal charges,…
  • May 29

    Demands for Chemtrail Conspiracy Arrest

    Demands for Chemtrail Conspiracy Arrest
    The History Channel‘s broadcast of "Weather Warfare" focused international interest in The State of the Nation’s demand that the International Criminal Court begin a criminal investigation into what I have dubbed "The…
Rank this Week: 2997

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: 236

Footnoted

Footnoted

Reports on actionable information in SEC filings.

http://www.footnoted.com/
  • Jul 17

    Irony alert: A One-Time Benefit That’s Actually Three Time

    Irony alert: A One-Time Benefit That’s Actually Three Time
    The irony that we often see in SEC filings may go largely unnoticed by most. But here at footnoted, we try to keep a close eye on that. Much of this we point out via our twitter feed (see here and here and here for a few recent examples). But…
  • Jul 16

    A downgrade to first class for ex-Ford CEO

    A downgrade to first class for ex-Ford CEO
    During his tenure at Ford Motors, Alan Mulally often flew the corporate jet. Now, as a Google director it's first-class.
  • Jul 7

    Actavis’ pre-holiday dump

    Actavis’ pre-holiday dump
    A filing made by Actavis just before the July 4th holiday caught our attention for its generosity to top executives.
Rank this Week: 3588

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

http://www.hedgefundlawblog.com
  • Jul 18

    New IA Rules in Washington State

    New IA Rules in Washington State
    Amendments to Investment Adviser Rules in Washington State Washington State Department of Financial Institutions has amended the rules governing the registration and activities of investment advisers set forth in Chapter 460-24A WAC.…
  • Jul 18

    Cole-Frieman & Mallon LLP 2014 Second Quarter Update

    Cole-Frieman & Mallon LLP 2014 Second Quarter Update
    COLE-FRIEMAN & MALLON LLP www.colefrieman.com July 10, 2014 FATCA Transitional Period. The IRS and U.S. Treasury Department issued a notice (the “Notice”) announcing that calendar years 2014 and 2015 will…
  • Jul 1

    Hedge Fund Events July 2014

    Hedge Fund Events July 2014
    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: July 2, 2014 Sponsor: exane asset management Event: Education Session No 484 –…
Rank this Week: 1452

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: 830

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…
  • Jul 18

    Bank of America Settles RMBS Allegations with AIG for $650M

    Bank of America Settles RMBS Allegations with AIG for $650M
    Bank of America Corp. (BAC) has paid American International Group Inc. (AIG) $650 million to settle residential mortgage-backed securities fraud claims. The insurer had originally asked for $10 billion when it filed its RMBS fraud lawsuit in…
  • Jul 17

    Barclays and Deutsche Bank Under Scrutiny Over Barrier Options Transaction

    Barclays and Deutsche Bank Under Scrutiny Over Barrier Options Transaction
    The U.S. Senate Permanent Subcommittee on Investigations plans to conduct a hearing over what it believes are abusive transactions made by financial institutions. Bloomberg is reporting that Deutsche Bank AG (DBK), Barclays PLC (BARC), and…
Rank this Week: 747

InvestorLawyers.net

InvestorLawyers.net

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

http://www.investorlawyers.net/blog/
  • Jun 23

    Investor Files FINRA Arbitration Claim Against First Allied Regarding Private Equitie

    Investor Files FINRA Arbitration Claim Against First Allied Regarding Private Equitie
    Stockbroker arbitration lawyers are looking into accusations made against First Allied Securities, Inc. and broker Rami Yahalom regarding risky investments in AE Luxtera Investments II, LLC, a private technology start-up company. According to…
  • Jun 18

    FINRA Bars Wade James Lawrence from Financial Industry

    FINRA Bars Wade James Lawrence from Financial Industry
    Recently, Wade James Lawrence was barred from the financial industry by the Financial Industry Regulatory Authority (FINRA). Investors’ rights lawyers are exploring accusations made against Lawrence regarding misappropriation of funds…
  • Jun 16

    Ameriprise Told to Pay $1.17 Million to Elderly Couple after Unsuitable Real Estate Investment

    Ameriprise Told to Pay $1.17 Million to Elderly Couple after Unsuitable Real Estate Investment
    Investors’ rights lawyers are advising senior investors to stay alert when looking at potential investment opportunities.  Recently,  a Financial Industry Regulatory Authority (FINRA) panel entered an arbitration award in…
Rank this Week: 380

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
Rank this Week: 266

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: 1717

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 16

    Save Time and Money With Alternative Dispute Resolution

    Save Time and Money With Alternative Dispute Resolution
    In certain industries, lawsuits are accepted as a price of doing business. But when a legal battle breaks out, the costs can be prohibitive. Tied up in…
  • Jun 24

    When to Contact a Securities Defense Attorney

    When to Contact a Securities Defense Attorney
    A lot of things can go wrong when you handle other people’s money. Even when the risks are apparent, the investor who suffers losses (no matter the…
  • Jun 24

    What Skills Do Financial Services Lawyers Need to be Effective?

    What Skills Do Financial Services Lawyers Need to be Effective?
    At last count, there were over 1.2 million licensed lawyers in America. That’s around one lawyer for every 200 adults, making it one of the most popular…
Rank this Week: 4032

New York Securities Lawyers Blog

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

http://www.newyorksecuritieslawyersblog.com/
  • May 9

    Bitcoin Update: Alerts and Guidance Issued by the SEC, FINRA and IRS

    Bitcoin Update: Alerts and Guidance Issued by the SEC, FINRA and IRS
    It's Buyer Beware, according to guidance and alerts issued recently by the SEC, FINRA and IRS concerning risks inherent in Bitcoin. Bitcoin is described by all three offices as a decentralized, peer-to-peer virtual currency that can be used…
  • Apr 25

    Oil and Gas Limited Partnerships Can Be Extremely Risky Investment

    Oil and Gas Limited Partnerships Can Be Extremely Risky Investment
    Much has been made in the recent months about supposed growth in the oil and gas markets, including speculation, such as the recent article on www.forbes.com that increasing demand will be preceded by increased investment in infrastructure…
  • Apr 25

    Is Your Broker Charging You A Fair Commission?

    Is Your Broker Charging You A Fair Commission?
    Is your broker charging you a fair commission? Not surprisingly, many investors do not fully understand how much they are paying in fees and commissions to their broker-dealer, and disparities from firm to firm can be wide and difficult to…
Rank this Week: 951

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 18

    An Important Tip On Appealing A Decision From The NC Business Court

    An Important Tip On Appealing A Decision From The NC Business Court
    The Business Court is electronic.  Paper copies of documents are not filed with the Business Court.  So when you e-file a Notice of Appeal, is that sufficient for purposes of Rule 3 of the NC Rules of Appellate Procedure? Let's look…
  • Jul 8

    Pro Se Defendant Wins Trial On Breach Of Fiduciary Duty Claims In Business Court

    Pro Se Defendant Wins Trial On Breach Of Fiduciary Duty Claims In Business Court
    When I was a young pup preparing to go to court against the uncommon adversary who was proceeding without a lawyer, I would joke that "I hope I don't lose."  Luckily, I never did. But the Plaintiff in Seraph Garrison, LLC v. Garrison,…
  • Jul 3

    Business Court Refuses To Admit University Of Maryland's Lawyers On A Pro Hac Basi

    Business Court Refuses To Admit University Of Maryland's Lawyers On A Pro Hac Basi
    The lawsuit filed by the Atlantic Coast Conference against the University of Maryland continues to percolate in the North Carolina Business Court.  But the University will have to proceed without its chosen attorneys, as the Court last…
Rank this Week: 766

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/
  • Jul 16

    CYNK Latest Wall Street Trap?

    CYNK Latest Wall Street Trap?
    Cynk is a social network company that has no revenue, no assets, and no profits. Until last week, it was the hottest stock on Wall Street, according to a Business Insider report by Hunter Walker and Julia La Roche (July 14, 2014).  Its…
  • Jul 14

    Former LPL Broker Jason Parker Leaves Trail Of Complaint

    Former LPL Broker Jason Parker Leaves Trail Of Complaint
    By law, a broker has to recommend suitable investments. To be considered suitable, an investment should align with the client’s investment objectives. Dumping all client funds into a single foreign stock, despite the client’s low…
  • Jun 13

    Pension Advisers Fall Under Scrutiny

    Pension Advisers Fall Under Scrutiny
    The problem of conflicts of interest for pension advisers attracted Congressional attention, according to a Wall Street Journal article by Dan Fitzpatrick  (June 9, 2014).  U.S. Representative George Miller (D., Calif.) has written…
Rank this Week: 374

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: 2066

Ponzitracker

Ponzitracker

Covers Ponzi schemes. By Jordan Maglich.

http://www.ponzitracker.com/
  • Jul 24

    Second Florida Cop Sentenced For Rothstein Tie

    Second Florida Cop Sentenced For Rothstein Tie
    A former Broward County detective was sentenced to serve a year and a day in federal prison for his role in carrying out a wrongful arrest of a south Florida woman at the direction of convicted Ponzi schemer Scott Rothstein.  Jeff Poole,…
  • Jul 23

    TelexFree Founders Indicted On Fraud Charge

    TelexFree Founders Indicted On Fraud Charge
    A Massachusetts grand jury indicted TelexFree co-founders James Merrill and Carlos Wanzeler on multiple fraud charges in what authorities have alleged was a massive Pyramid/Ponzi scheme that may have defrauded victims out of hundreds of…
  • Jul 21

    Florida Cop Gets 5-Year Sentence For Rothstein Ties, Including Illegal Arrest

    Florida Cop Gets 5-Year Sentence For Rothstein Ties, Including Illegal Arrest
    "Mr. Benjamin, while wearing the cloak of BSO authority, engineered the arrest and incarceration of an innocent citizen.  This was done purely for financial gain. This conduct is deplorable — it is unconscionable." - U.S. District…
Rank this Week: 104

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: 1515

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
  • Jul 25

    Leveraged and Inverse Exchange-Traded Funds are a Ticking Bomb!

    Leveraged and Inverse Exchange-Traded Funds are a Ticking Bomb!
    Leveraged ETFs are designed to provide investors with a certain percentage return over the movement of a market over the span of a day. Inverse funds are supposed to move in the opposite direction of a specific index, to provide protection…
  • Jul 23

    Nontraded Real-Estate Investments mean Risky Busine

    Nontraded Real-Estate Investments mean Risky Busine
    Nontraded REITs have been growing in popularity lately. Through June of this year, nontraded REITs have raised $8.8 billion. These real-estate investment trusts are similar to their public counterparts, which trade like stocks and allow…
  • Jul 18

    Attorney Mark Maddox named to FINRA’s Arbitrartion Task Force

    Attorney Mark Maddox named to FINRA’s Arbitrartion Task Force
    We are proud to share that Attorney Mark Maddox will be part of FINRA’s new arbitration task force. Click this link for details: http://www.finra.org/Newsroom/NewsReleases/2014/P554192The post Attorney Mark Maddox named to FINRA’s…
Rank this Week: 207

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

http://www.seclawyersblog.com/
  • Jun 17

    Sonn|Erez Investigating Claims Involving Richard Ohlhaber and Sales of Life Partners Investment

    Sonn|Erez Investigating Claims Involving Richard Ohlhaber and Sales of Life Partners Investment
    Sonn|Erez is investigating claims regarding Richard Ohlhaber (CRD #2154794). Ohlhaber accepted FINRA's Offer of Settlement, in which he was barred from association with any FINRA member in any capacity. See FINRA Case #2012032077901.Ohlhaber…
  • Jun 10

    Sonn|Erez Investigating Claims Involving Florlena Cortez (Brownsville, Texas)

    Sonn|Erez Investigating Claims Involving Florlena Cortez (Brownsville, Texas)
    Sonn|Erez is investigating claims regarding Florlena Cortez (CRD #4339441, Brownsville, Texas). Cortez submitted a Letter of Acceptance, Waiver and Consent in which she was barred from association with any FINRA member in any capacity. See…
  • Jun 2

    FINRA Cautions Investors on the Risks of High Yield CD

    FINRA Cautions Investors on the Risks of High Yield CD
    FINRA recently issued an Investor Alert, "High Yield CDs: Red Flags That Signal a Scam" warning investors about promotions of certificates of deposit (CDs) promising interest rates substantially higher than current averages. In the Alert,…
Rank this Week: 282

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: 2529

Securities Arbitration Blog

Securities Arbitration Blog

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

http://www.securitiesarbitrations.com
  • Jun 10

    Pittsburgh Area Stockbroker Patricia S. Miller Alleged to Have Stolen Millions from Customer

    Pittsburgh Area Stockbroker Patricia S. Miller Alleged to Have Stolen Millions from Customer
    andnbsp;Hairdressor, Marcy Salandra went to her stockbrokerandrsquo;s office at Investors Capital Corporation in McMurray Pennsylvania to withdraw money to buy a house. andnbsp;However, instead of meeting her broker Patricia S. Miller, she…
  • Apr 18

    Lawyers Tempt Fate Before Second Circuit and No One Likes What They May Get

    Lawyers Tempt Fate Before Second Circuit and No One Likes What They May Get
    Last year, a Connecticut based hedge fund, Turnberry Capital Management LP, filed a FINRA arbitration securities claim against SunTrust Banks, Inc. to recover $13 million it lost in 2007 by investing in mortgage backed securities. However,…
  • 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…
Rank this Week: 139

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: 611