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100 F Street

Covers securities law for growing businesses. By Vanessa Schoenthaler.

http://100fstreet.com/

May 16
SEC Announces a New Director of the Division of Corporation Finance; House Wants to Know Where the JOBS Act Rules Are

SEC Announces a New Director of the Division of Corporation Finance; House Wants to Know Where the JOBS Act Rules Are

TweetThe New Director of Division of Corporation Finance Yesterday the Securities and Exchange Commission announced the naming of Keith F. Higgins as director of the Commission’s Division of Corporation Finance. Higgins was a…
Mar 12
Mary Jo White’s Senate Confirmation Hearing Set for Today

Mary Jo White’s Senate Confirmation Hearing Set for Today

TweetAt 10:00 AM the Senate Banking Committee will hold a hearing (which you can watch here) to consider the nominations of Richard Cordray as Director of the Consumer Financial Protection Bureau and Mary Jo White as Chairman of the…
Feb 10
The New Nasdaq and NYSE Compensation Committee Listing Standard

The New Nasdaq and NYSE Compensation Committee Listing Standard

TweetOver the next week or so I’ll hopefully be catching up on a few things that I haven’t been able to get to from the last several weeks, the first being the new Nasdaq and NYSE compensation committee listing standards: By way…

Rank this Week: 3863

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: 470

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

May 20
The Ongoing Raiding Dispute between Wells Fargo Advisors and Stifel Nicolau

The Ongoing Raiding Dispute between Wells Fargo Advisors and Stifel Nicolau

A noteworthy and contentious dispute (or, more accurately, series of disputes) between brokerage firm Wells Fargo Advisors, LLC (WFA) and its crosstown rival Stifel, Nicolaus & Company, Inc. (Stifel) is worth mentioning simply because of…
May 7
FINRA Regulatory Notice Relating to Non-Traded REITs Comes on Heels of New Proposed FINRA Rules on REIT Price Disclosure

FINRA Regulatory Notice Relating to Non-Traded REITs Comes on Heels of New Proposed FINRA Rules on REIT Price Disclosure

In FINRA Regulatory Notice 13-18, issued last week, FINRA seeks to provide guidance to members firms and their representatives in connection with shortcomings in how those firms and advisors communicate with the public about non-traded…
May 7
Ron Amato Quoted in Dow Jones Newswire’s Compliance Watch Column

Ron Amato Quoted in Dow Jones Newswire’s Compliance Watch Column

Attorney Ronald M. Amato’s comments recently appeared in Dow Jones newswire’s Compliance Watch column entitled “Don’t Alert Clients Before Defecting” by Dow Jones columnist Caitlin Nish. Mr.…

Rank this Week: 5240

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/

May 21
Florida Supreme Court Rules Statute of Limitations Applies to Arbitration

Florida Supreme Court Rules Statute of Limitations Applies to Arbitration

This month, the Florida Supreme Court held that Florida's statutes of limitations apply in arbitration proceedings. In the case of Raymond James Financial Services, Inc. v. Barbara J. Phillips, etc. et. al., (No. SC11-2513), the Court held…
May 17
Broker-Dealer Enforcement Roundup

Broker-Dealer Enforcement Roundup

FINRA has published the notice of disciplinary cases for April 2013 online. A few cases I think are worthy of discussion. In one case, a firm agreed to settle an action through an AWC and was censured and fined $150,000....
May 17
Broker-Dealer Enforcement Roundup

Broker-Dealer Enforcement Roundup

FINRA has published the notice of disciplinary cases for April 2013 online. A few cases I think are worthy of discussion. In one case, a firm agreed to settle an action through an AWC and was censured and fined $150,000....

Rank this Week: 1215

Broke and Broker

Covers the Wall Street docket of criminal, civil, regulatory, and arbitration cases. By Bill Singer.

http://brokeandbroker.com/index.php

May 21
Private Placement And Emails Snag FINRA CCO

Private Placement And Emails Snag FINRA CCO

For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of…
May 20
A Family Affair In FINRA Discretion Settlement

A Family Affair In FINRA Discretion Settlement

You might not think it would be a big deal for a registered person to handle the brokerage account of a family member -- but, then again, not a lot of Wall Street regulation is intuitive and this is one of those issues that trips up many…
May 20
EMPLOYMENT TUESDAY at BrokeAndBroker.com

EMPLOYMENT TUESDAY at BrokeAndBroker.com

EMPLOYMENT TUESDAY AT BROKEANDBROKER.COMVisit the BrokeAndBroker Employment Page BrokeAndBroker.com Jobs...

Rank this Week: 1967

Business Blog

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

http://www.businesslawnews.com/

May 22
Is Your New York Business Prepared to Stop a Data Breach?

Is Your New York Business Prepared to Stop a Data Breach?

Late last month, hackers sent a fake tweet from the Associated Press' Twitter account referencing an explosion at the White House. The tweet caused the Dow Jones Industrial Average to plunge more than 100 points within seconds. This latest…
May 21
New York City Businesses Must Provide Mandatory Sick Leave

New York City Businesses Must Provide Mandatory Sick Leave

Businesses in New York City will soon have to provide paid sick days to employees under legislation recently passed by the New York City Council. While Mayor Michael Bloomberg does not support the measure, it passed by a…
May 20
Supreme Court Sides With Monsanto

Supreme Court Sides With Monsanto

The U.S. Supreme Court recently sided with Monsanto Co. in a closely watched case involving patented soybean seeds. The Court concluded that an Indiana farmer could not copy patented seeds through planting and harvesting without…

Rank this Week: 895

Business Law Post

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

http://www.businesslawpost.blogspot.com/

May 21
Can For-Profit Businesses Use Unpaid Interns in New York?

Can For-Profit Businesses Use Unpaid Interns in New York?

Even though I have previously written about it, I keep getting many questions regarding whether unpaid interns can work for a for-profit business. My conclusion is YES BUT… it can be risky for the business. In New York, interns can…
May 18
Crowdfunding Update

Crowdfunding Update

We are still patiently waiting for the SEC to develop rules implementing the crowdfunding provisions of the JOBS Act. While we are waiting, the industry prepares for the crowdfunding transactions. Recently, two interesting articles about…
May 12
Who Owns #Hashtags?

Who Owns #Hashtags?

Proliferation of social media continues to stretch the boundaries of the law and its definitions. It prompts us to apply the proven legal concepts to new technological and social phenomena with no clear and well-defined answers.A good…

Rank this Week: 2701

Cady Bar the Door

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

http://www.secmiscellany.com

May 8
The SEC Does Not Care about Your FINRA Document Request

The SEC Does Not Care about Your FINRA Document Request

If you are a broker-dealer or a registered representative at one, you sign on for some meddling by FINRA. The self-regulatory organization is responsible for overseeing your securities business and even for your outside business…
May 2
SEC Dings Investment Adviser for Custody Violations, Failure to Supervise

SEC Dings Investment Adviser for Custody Violations, Failure to Supervise

Readers of this space – and SEC observers generally – will recall a March 4 risk alert designed to warn investors about the ways U.S. investment advisers had recently been found to have violated the SEC’s asset custody…
Apr 22
Ralph Lauren Escapes FCPA Problems with Minimized Damage

Ralph Lauren Escapes FCPA Problems with Minimized Damage

Often, enforcement officials at the SEC and the Justice Department express their wish that securities law violators own up to their (mis)conduct as soon it comes to light. That is, come to the government and explain what has…

Rank this Week: 3121

California Corporate & Securities…

California Corporate & Securities Law

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

http://www.calcorporatelaw.com/

May 21
Ever Wonder What Money Is? California Has Some Answers And I Have Some Question

Ever Wonder What Money Is? California Has Some Answers And I Have Some Question

Yesterday’s post discussed virtual currencies (e.g., Bitcoin) and the General Corporation’s law prohibition on issuing or putting into circulation money. But what exactly is money? The General…
May 20
Bitcoin And The Corporations Code

Bitcoin And The Corporations Code

I’ve been seeing an increasing number of references to Bitcoin and other forms of virtual or crypto currencies in the news. For example, Jeffrey Sparshott and Robin Sidel of the Wall Street Journal reported last…
May 17
If You’re Relying On The Signature Of Two Officers, You May Want To Think Again

If You’re Relying On The Signature Of Two Officers, You May Want To Think Again

It is widely assumed that if a contract, note or other instrument is signed by a corporation’s president and its secretary, it will not be invalidated as to the corporation by any lack of authority of the signing officers. …

Rank this Week: 605

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/

Apr 26
Securities America Fined $100,000 Over IMH Secured Loan Fund & Medical Capital Sales Practice

Securities America Fined $100,000 Over IMH Secured Loan Fund & Medical Capital Sales Practice

Securities America, Inc. has entered into a settlement with the Financial Industry Regulatory Authority (FINRA) and will pay a fine of $100,000 in connection with the sale of two private placements. As part of the settlement, Securities…
Apr 2
UBS Willow Fund L.L.C. Class Action Update

UBS Willow Fund L.L.C. Class Action Update

On December 20, 2012, a class action complaint was filed on behalf of all investors who purchased or held the UBS Willow Fund L.L.C. at any time after January 1, 2008. The matter of Ken Boudreau vs. UBS Willow Management L.L.C, UBS…
Feb 27
Update: FINRA Appeals Charles Schwab Class Action Ban

Update: FINRA Appeals Charles Schwab Class Action Ban

This is an update to our February 21, 2013, blog post: Charles Schwab Allowed to Prevent Customer Class Action Lawsuits. Yesterday, a spokesperson for the Financial Industry Regulatory Authority (FINRA) announced that an appeal had been…

Rank this Week: 1360

Canadian Securities Law Online

Covers Canadian securities law topics, including disclosures, corporate governance, mergers, registration and compliance. By Stikeman Elliott.

http://www.canadiansecuritieslaw.com/

May 16
Chicago Mercantile Exchange applies for exemption from clearing agency recognition requirement

Chicago Mercantile Exchange applies for exemption from clearing agency recognition requirement

The Ontario Securities Commission announced today that Chicago Mercantile Exchange Inc. has applied for an exemption from the requirement to be recognized as a clearing agency on the basis that it is subject to an appropriate regulatory…
May 15
OSC to hold crowdfunding roundtable

OSC to hold crowdfunding roundtable

The Ontario Securities Commission has announced that it will be hosting a roundtable discussion on June 11 to obtain input from investors regarding investing in small and medium sized enterprises and start-ups. As we discussed in…
May 14
Budget bill would prohibit attempts to engage in fraudulent conduct under commodities legislation

Budget bill would prohibit attempts to engage in fraudulent conduct under commodities legislation

As we discussed in a recent post, Ontario's recently-proposed budget bill would amend the Securities Act to tighten up provisions respecting insider trading. In respect of commodities, section 59.1 of the Commodity Futures…

Rank this Week: 448

Chicago Securities Lawyer Blog

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

http://www.chicagosecuritieslawyerblog.com/

May 14
Investors Watch as Federal Reserve's Mood May Be Changing

Investors Watch as Federal Reserve's Mood May Be Changing

The Federal Reserve's QE Infinity program may be finite rather than "infinite" after all. QE Infinity has been the tongue-in-cheek term given the Fed's Quantitative Easing program, which has expanded into their purchasing $85 billion per…
Mar 18
Commodity Futures Trading Commission Investigating Wash Sales of Futures Contracts at CME Group, Inc. and IntercontinentalExchange, Inc.

Commodity Futures Trading Commission Investigating Wash Sales of Futures Contracts at CME Group, Inc. and IntercontinentalExchange, Inc.

The Wall Street Journal, Bloomberg, and Reuters have all reported that the Commodity Futures Trading Commission ("CFTC") is allegedly examining whether high-frequency-trading firms are violating rules by using wash trades to artificially…
Mar 5
Company's Failure to Disclose or Misrepresent Its Status Grounds for Lawsuit

Company's Failure to Disclose or Misrepresent Its Status Grounds for Lawsuit

When it comes to selling stock, companies must be aware of their obligations to their investors. Among the most important of these obligations is the necessity of properly representing to investors the financial and legal status of the…

Rank this Week: 4871

ComplianceAsia News

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

http://www.compliance.asia/

May 20
SFC proposes substantial changes to Professional Investor regime in Hong Kong

SFC proposes substantial changes to Professional Investor regime in Hong Kong

The SFC in Hong Kong has announced a 3 month consultation on major changes to the professional investor regime in Hong Kong. The full announcement is below (our emphasis added). We expect quite a vocal response to the consultation…
May 16
Happy birthday to u

Happy birthday to u

Tonight in Singapore we are hosting our first of two anniversary parties. ComplianceAsia is now 10. Thanks to all of our clients, staff and partners who have supported us over the last decade. 10 years ago we set up the first…
May 16
More from the ICAC

More from the ICAC

Today the HK ICAC announced a jail sentence for two insurance agents convicted of falsifying commissions. The full ICAC is below: Ex-insurance agents jailed for accepting $563,000 bribes and deceiving commissions 16 May 2013 Two…

Rank this Week: 2109

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/

May 16
TLG Attorney to Speak on Ethics at “Accounting 101 for Attorneys” Presentation

TLG Attorney to Speak on Ethics at “Accounting 101 for Attorneys” Presentation

Brian A. Lebrecht, founder and President of The Lebrecht Group, APLC, will be among the presenters at a seminar on May 16, 2013 by the National Business Institute entitled Accounting 101 for Attorneys. Specific topic will be Complying…
May 9
Listing a Reverse Merger Company on NASDAQ

Listing a Reverse Merger Company on NASDAQ

NASDAQ has special rules for companies that went public via a reverse merger. By: Brian A. Lebrecht, Esq. NASDAQ Markets Overview NASDAQ has three different U.S. markets, the NASDAQ Global Select Market, the NASDAQ Global Market, and…
May 8
SEC Asks for a 26% Raise

SEC Asks for a 26% Raise

The new chair of the SEC, Mary Jo White, testified before Congress this week and asked to have the SEC’s budget increased by 26%, to $1.67 billion. A few of the highlights: - she reiterated her commitment to completing the rule…

Rank this Week: 4483

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: 3159

Corporate Securities Law Blog

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

http://www.corporatesecuritieslawblog.com/

May 9
Ninth Circuit Holds that Federal Securities Laws Preempt California Labor Code's Ban on Forced Patronage at Brokerage Firm

Ninth Circuit Holds that Federal Securities Laws Preempt California Labor Code's Ban on Forced Patronage at Brokerage Firm

In McDaniel v. Wells Fargo Investments, LLC, Nos. 11-17017, 11-55859, 11-55943, 11-55958, 2013 WL 1405949 (9th Cir. Apr. 9, 2013), the United States Court of Appeals for the Ninth Circuit affirmed the dismissal of four class action lawsuits…
May 1
District Court Grants Motion to Compel Against SEC, Holding that "Facts" Are Not Work Product In SEC Confidential Witness Interview

District Court Grants Motion to Compel Against SEC, Holding that "Facts" Are Not Work Product In SEC Confidential Witness Interview

In a recent Securities & Exchange Commission (“SEC”) investigation, the SEC interviewed three persons who had proffer agreements with the SEC and United States Attorney. In a subsequent SEC enforcement action, a defendant…
Apr 25
United States Supreme Court Decides Question of Corporate Liability Under Alien Tort Statute On Broader Ground

United States Supreme Court Decides Question of Corporate Liability Under Alien Tort Statute On Broader Ground

In Kiobel v. Royal Dutch Petroleum Co., No. 10-1491, 2013 WL 1628935 (U.S. Apr. 17, 2013), the Supreme Court of the United States addressed the circuit split that arose following the 2010 decision of the United States Court of Appeals for the…

Rank this Week: 531

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/

Apr 29
The Use of Social Media for Investment Advice. The Struggle Between Employee Privacy Laws and Investor Protection

The Use of Social Media for Investment Advice. The Struggle Between Employee Privacy Laws and Investor Protection

The landscape of communication has changed drastically in the past decade. Information has the capability of widespread reach through the use of various sources. In particular, social media has become an important channel of…
Apr 16
Second Circuit Finds That SEC is Immune from Lawsuit by Bernie Madoff Victim

Second Circuit Finds That SEC is Immune from Lawsuit by Bernie Madoff Victim

In Molchatsky, et al. v. United States, 11-2510-cv(L), the Plaintiffs sought to hold the United States liable for SEC employees’ failure to detect Bernard Madoff’s Ponzi scheme and for the financial losses that Plaintiffs claim…
Apr 12
Did Your Attorney Have the Authority to Settle Your Lawsuit

Did Your Attorney Have the Authority to Settle Your Lawsuit

If parties to a lawsuit dispute whether a valid settlement agreement was entered into, the party purporting that an agreement was made may file a motion to enforce the agreement with the court. Vulgamott v. Perm, 154 S.W.3d 382, 387 (Mo. App.…

Rank this Week: 1362

DealLawyers.com Blog

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

http://www.deallawyers.com/Blog/

May 22
NetSpend: Delaware Chancery Criticizes Single-Buyer Negotiating, Use of DADW & Revlon Process, But Denies Injunction

NetSpend: Delaware Chancery Criticizes Single-Buyer Negotiating, Use of DADW & Revlon Process, But Denies Injunction

NetSpend: Delaware Chancery Criticizes Single-Buyer Negotiating, Use of DADW & Revlon Process, But Denies Injunction Here's news from Greenberg Traurig's Cliff Neimeth: Vice Chancellor Glasscock's decision yesterday in Koehler v. Netspend…
May 20
Safe Harbor: Del Monte in a Minor Key

Safe Harbor: Del Monte in a Minor Key

Safe Harbor: Del Monte in a Minor Key Here is an article from "The Deal": Corporate directors and their outside advisers would seem to have fulfilled their fiduciary duties to shareholders handsomely by agreeing to sell a company…
May 14
In re Plains Exploration: A Revlon Review & the Kitchen Sink

In re Plains Exploration: A Revlon Review & the Kitchen Sink

In re Plains Exploration: A Revlon Review & the Kitchen Sink John Grossbauer of Potter Anderson notes: In In re Plains Exploration & Production Co. Shareholder Litigation, Delaware Vice Chancellor Noble rejected claims for breach of…

Rank this Week: 581

Dividends and Preferences Blawg

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

http://dividendsandpreferences.blogspot.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: 1992

FedSecLaw.com is devoted to highlighting current issues in securities laws, discussing the ramifications of those issues for todayâ€™s businesses, and providing bottom-line takeaways for busy owners, managers, and executives. Published by Porter, Wright,

http://www.fedseclaw.com/

May 15
SEC and CFTC Red Flag Rules Become Effective May 20, 2013

SEC and CFTC Red Flag Rules Become Effective May 20, 2013

The Securities and Exchange Commission and the Commodity Futures Trading Commission have adopted rules that require most broker-dealers, mutual funds, investment advisers, and certain other regulated entities to create programs to prevent…
May 7
The Timken Board: Between a Rock and a Hard Place

The Timken Board: Between a Rock and a Hard Place

On May 7, 2013, Timken Co. announced that its shareholders approved a nonbinding proposal from activist shareholders (Relational Investors and Calstrs—California State Teachers' Retirement System, who together own 7.28% of the…
Apr 25
Zillow, Inc. To Use Twitter For Earnings Call

Zillow, Inc. To Use Twitter For Earnings Call

The real estate website company Zillow, Inc. announced it would use Twitter and Facebook to field questions on its first quarter earnings call. The company claims that it is the first to take questions in this manner, but will continue…

Rank this Week: 1208

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/

May 21
Eccleston Law Offices Continues to Investigate Erickson Retirement Community STAMPS Sold by B.C. Ziegler

Eccleston Law Offices Continues to Investigate Erickson Retirement Community STAMPS Sold by B.C. Ziegler

The attorneys at Eccleston Law Offices have expanded their investigation of Erickson Retirement Community (“Erickson”) STAMPS (subordinated tax advantaged mezzanine put securities) which were sold by B.C. Ziegler and Company.…
May 15
SEC Charges Municipality With Issuing Misleading Statements Outside Securities Disclosure Document

SEC Charges Municipality With Issuing Misleading Statements Outside Securities Disclosure Document

On May 6, 2013, the SEC charged the City of Harrisburg, PA with securities fraud for its misleading public statements when its financial condition was deteriorating and financial information available to municipal bond investors was either…
May 13
Morgan Stanley Forgivable Loan Practices Under Scrutiny

Morgan Stanley Forgivable Loan Practices Under Scrutiny

Brokerage firms often offer financial advisers loans, which are payments to lure advisers, and thus their clients, to the firm and keep them there. If the financial adviser meets various performance requirements and does not defect to a rival…

Rank this Week: 142

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: 4888

Florida Securities Fraud Lawyer…

Florida Securities Fraud Lawyer Blog

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

http://www.floridasecuritiesfraudlawyerblog.com/

May 22
FINRA Hits LPL With $7.5 Million Fine in E-mail Failure Case

FINRA Hits LPL With $7.5 Million Fine in E-mail Failure Case

LPL Financial LLC has signed a Letter of Acceptance, Waiver and Consent ("AWC") to resolve allegations by FINRA that it made material misrepresentations to the regulator during its investigation of significant and repeated e-mail failures by…
May 16
Ranbaxy USA, Inc. Agrees to $500 Million Settlement

Ranbaxy USA, Inc. Agrees to $500 Million Settlement

Ranbaxy USA, Inc., a division of generic drug manufacturer Ranbaxy Laboratories Limited based in India, has agreed with the U.S. to settle criminal and civil charges. The charges relate to the manufacture and distribution of allegedly…
May 14
C.R. Bard Agrees to Settle Qui Tam Suit

C.R. Bard Agrees to Settle Qui Tam Suit

New Jersey-based C.R. Bard, Inc. ("Bard"), a manufacturer and marketer of medical products, has agreed to settle a qui tam action for $48.26 million. According to the Justice Department, the suit relates to Bard's sales of brachytherapy…

Rank this Week: 1060

footnoted.org

Guide to what's hiding in SEC filings. By Michelle Leder.

http://www.footnoted.org

Feb 11
Google joins the DIY group…

Google joins the DIY group…

Late Friday, less than 20 minutes before the SEC closed for the week, Google (GOOG) filed this 8-K, which quickly had the interwebs a-buzzing. Within minutes of the filing, CNBC tweeted this alert. Two heavyweight tech sites, TechCrunch and…
Jan 30
And then there were six: Copano gets acquired…

And then there were six: Copano gets acquired…

Everywhere you turn these days, people seem to be talking about the “long tail” — in entertainment, in search, in insurance (where it’s been used for years). Colloquially, it tends to mean that there’s a pattern…
Jan 18
Too early for worst footnote of 2013?

Too early for worst footnote of 2013?

Given that it’s only 18 days after the year began, it may be a wee bit premature to declare a winner of the worst footnote for 2013. Still this 8-K filed by Apollo Group (APOL) last night, is already in the running. Now Apollo, the…

Rank this Week: 255

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

http://www.hedgefundlawblog.com

May 17
Regulation A+ Deadline Passed by Congre

Regulation A+ Deadline Passed by Congre

Part of JOBS Act Regulations to be Finalized by October 31, 2013 On Wednesday May 15, the House of Representatives passed H.R. 701 which requires the SEC to finalize regulations with respect to “Regulation A+” of the JOBS Act.…
May 7
SALT Conference 2013

SALT Conference 2013

Today the SALT conference starts in Las Vegas. Continuing through the end of the week, the hedge fund industry will be descending upon the Bellagio for scheduled speakers, general information sessions and, of course, networking.…
May 5
Hedge Fund Events May 2013

Hedge Fund Events May 2013

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. **** May 1-3 Sponsor: IAA Event: 2013 Annual Conference Location: New Orleans, LA May 6-7 Sponsor: Schwartz…

Rank this Week: 797

Inside Sarbanes Oxley

Covers Sarbanes-Oxley and compliance.

http://www.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: 1298

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/

May 14
SEC Roundup: Regulator Addresses CDS Portfolio Margin Program & Ex-Commission Officials Want DC Circuit to Grant SIPC Protection to Stanford Ponzi Scam Victim

SEC Roundup: Regulator Addresses CDS Portfolio Margin Program & Ex-Commission Officials Want DC Circuit to Grant SIPC Protection to Stanford Ponzi Scam Victim

Ex-Commission Officials, Others Want DC Circuit to Grant Stanford Ponzi Scam Victims SIPC Protection Former SEC Officials, law professors, and trade groups are among those pressing the U.S. Court of Appeals for the District of Columbia…
May 10
Lawmakers Tackle Investment and Securities Matter

Lawmakers Tackle Investment and Securities Matter

US Senators John Thune (R-SD), Richard Burr (R-NC), and Tom Coburn (R-Okla) have introduced a bill that would mandate that public pension plans reveal more information about the way they calculate liabilities and assets or place at risk the…
May 9
Standard & Poor’s Seeks Dismissal of DOJ Securities Fraud Lawsuit Over RMBS and CDO Ratings Issued During the Financial Crisi

Standard & Poor’s Seeks Dismissal of DOJ Securities Fraud Lawsuit Over RMBS and CDO Ratings Issued During the Financial Crisi

In the U.S. District Court for the Central District of California, Standard & Poor's Financial Services LLC is asking for the dismissal of a US Department of Justice securities fraud lawsuit accusing the ratings firm of knowing that it…

Rank this Week: 1543

Institutional Shareholder Services…

Institutional Shareholder Services - Insight

Covers corporate governance, accounting and securities law issues. From Institutional Shareholder Services Inc.

http://blog.issgovernance.com/

May 10
Midseason Update on Proxy Access - Sean Quinn, ISS Governance Institute - Governance

Midseason Update on Proxy Access - Sean Quinn, ISS Governance Institute - Governance

Proxy access was one of the most highly anticipated issues of the 2012 U.S. proxy season, and here at the halfway mark of the season, this issue has lived up to its billing. To date, only three proxy access shareholder proposals have gone to…
May 8
Greater Investor Support for Independent Chair Proposals - Ted Allen - Governance

Greater Investor Support for Independent Chair Proposals - Ted Allen - Governance

So far this year, investors have been more receptive to shareholder proposals that seek an independent board chair.
May 7
Four More Firms Fail to Win Majority Support on Pay - Ted Allen - Governance

Four More Firms Fail to Win Majority Support on Pay - Ted Allen - Governance

Four additional firms--Mylan, Tower Group, Sterling Bancorp., and Manitowoc Co.--reported that they failed to win majority support for their executive compensation practices. Overall, 12 U.S.-listed companies have not obtained majority…

Rank this Week: 436

Investment Fraud Lawyer Blog

Covers common securities broker abuses, early retirement scams, elder abuses, subprime mortages & collateralized debt obligation problems, and variable annuities and equity-indexed annuities. By Atlanta, Georgia stockbroker fraud attoneys, Page Perry.

http://www.investmentfraudlawyerblog.com/

Jan 8
Today's 'Alternative Investments' Resemble 'Limited Partnerships' of the Past

Today's 'Alternative Investments' Resemble 'Limited Partnerships' of the Past

Wall Street’s recent promotion of alternative investments should warrant serious concern among investors. It serves as an unpleasant example of history repeating itself. In the mid-1980s, Wall Street firms became enamored with limited…
Jan 7
Hedge Funds Under Regulatory Scrutiny

Hedge Funds Under Regulatory Scrutiny

The SEC has hired hedge fund industry professionals to assist in its investigation of problems and abuses in the hedge fund industry. Three SEC enforcement units are involved in the investigations: the Asset Management unit headed by Bruce…
Jan 7
Approach Actively Traded ETFs with Caution

Approach Actively Traded ETFs with Caution

A recent change in policy by the SEC could have a significant impact on the risk profile of some ETFs. In response to pressure from the industry, the SEC has lifted its moratorium on the use of derivatives by certain exchange traded funds. …

Rank this Week: 256

InvestorLawyers.net

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

http://www.investorlawyers.net/blog/

Nov 28
Mark Hotton Allegedly Defrauded Clients; Investors Could Recover Losse

Mark Hotton Allegedly Defrauded Clients; Investors Could Recover Losse

Investment fraud lawyers are currently investing claims on behalf of the clients of Mark Hotton. A recent complaint filed by the Financial Industry Regulatory Authority alleges that Hotton stole or rerouted money from his clients — funds…
Nov 27
FINRA Now Arbitrating Claims Against Investment Adviser

FINRA Now Arbitrating Claims Against Investment Adviser

A recent announcement from the Financial Industry Regulatory Authority stated that arbitration is open to disputes between investors and registered investment advisers, or RIAs. According to securities fraud attorneys, this is good news for…
Nov 25
Clients of Jeffrey A. Cashmore, LPL Financial Could Recover Losse

Clients of Jeffrey A. Cashmore, LPL Financial Could Recover Losse

Securities fraud attorneys are currently investigating claims on behalf of investors who suffered significant losses as a result of their financial investments with Jeffrey A. Cashmore and LPL Financial. According to the Financial Industry…

Rank this Week: 2654

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/

May 22
Senators Thune and Toomey Urge SEC to Promptly Implement JOBS Act Elimination of Ban on General Solicitation

Senators Thune and Toomey Urge SEC to Promptly Implement JOBS Act Elimination of Ban on General Solicitation

In a letter to SEC Chair Mary Jo White, Senators John Thune (R-SD) and Pat Toomey (R-PA) urged the SEC to promptly implement Section 201 of the JOBS Act, which ends the ban on general solicitation in private offerings. The Senators were…
May 21
Obama Administration Opposes SEC Regulatory Accountability Act

Obama Administration Opposes SEC Regulatory Accountability Act

While reaffirming its commitment to smart and effective regulations and the value of cost-benefit analysis, the Obama Administration opposes passage of the SEC Accountability Act, H.R. 1062, because its burdensome and disruptive new…
May 19
UK FRC Proposes Guidance on Financial Instruments for Outside Auditors of Company Financial Statement

UK FRC Proposes Guidance on Financial Instruments for Outside Auditors of Company Financial Statement

In light of the financial crisis and changes to international auditing and accounting standards, the UK Financial Reporting Council proposed revisions to its guidance for outside auditors of company financial statements on financial…

Rank this Week: 157

Kueser Law Firm Blog

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

http://blog.jmkesquire.com

Mar 27
FINRA Securities Arbitration Statistics – February 2011

FINRA Securities Arbitration Statistics – February 2011

FINRA recently reported its February 2011 arbitration statistics. For the two-month period ended February 28, 2011, 837 claims were filed. This represents a decrease of 9% as compared to the number of cases filed in February 2010 (918). The…
Mar 26
Temporary Post Used For Theme Detection (f14a79bb-d20d-4a76-abf8-62df58de2516 – 3bfe001a-32de-4114-a6b4-4005b770f6d7)

Temporary Post Used For Theme Detection (f14a79bb-d20d-4a76-abf8-62df58de2516 – 3bfe001a-32de-4114-a6b4-4005b770f6d7)

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Mar 25
Video: How do attorneys decide which securities fraud cases to pursue?

Video: How do attorneys decide which securities fraud cases to pursue?

How do attorneys decide which securities fraud cases to pursue? Also available at KansasCityLaw.tv In this video, Jason M. Kueser discusses factors that securities fraud attorneys often evaluate in determining which cases to pursue. This…

Rank this Week: 2988

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

http://www.newyorksecuritieslawyersblog.com/

Apr 1
LPL Reportedly Under Fire From State Regulator

LPL Reportedly Under Fire From State Regulator

The broker-dealer LPL, Linsco Private Ledger, has been in the news a lot recently - for all the wrong reasons. LPL was even recently featured in The New York Times for its frequent "tangles" with state and federal regulators. LPL is the…
Mar 26
Jenice Malecki to Appear Tonight on The Willis Report on Fox Busine

Jenice Malecki to Appear Tonight on The Willis Report on Fox Busine

Jenice Malecki of Malecki Law will be appearing on Fox Business News tonight, March 26, 2013 between 6pm and 7pm. Ms. Malecki will be appearing on The Willis Report to discuss the recent Rasmussen Reports that indicate 50 percent of…
Mar 20
Jenice Malecki to Appear on Fox Business News on March 21, 2013 at 5pm - Topic: SEC Digging Into Fund Fee

Jenice Malecki to Appear on Fox Business News on March 21, 2013 at 5pm - Topic: SEC Digging Into Fund Fee

Jenice Malecki of Malecki Law will be appearing on Fox Business News tomorrow, March 21, 2013, at 5pm. It has been reported that the hedge fund industry has noticeably passed the $2 trillion mark. It's the big gorilla in the room, and the…

Rank this Week: 2972

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/

May 7
Claims For Legal Malpractice Aren't Assignable In North Carolina

Claims For Legal Malpractice Aren't Assignable In North Carolina

Maybe you've wondered whether a claim for legal malpractice can be assigned. Maybe you haven't. But yesterday, the North Carolina Court of Appeals answered that question. In Revolutionary Concepts, Inc. v. Clements Walker PLLC, the…
May 1
Fourth Circuit Takes A Narrow View On Recovery Of E-Discovery Cost

Fourth Circuit Takes A Narrow View On Recovery Of E-Discovery Cost

You've undoubtedly prevailed in a federal case -- either at summary judgment or after a trial -- and you have probably struggled with what you are entitled to recover as costs under 28 U.S.C. §1920. And recently, your client,…
Apr 29
Arbitration Compelled Based On Unsigned Arbitration Agreement

Arbitration Compelled Based On Unsigned Arbitration Agreement

If you were thinking that an arbitration agreement needs to be signed in order to get an order compelling arbitration, your world may have been turned on its ear by the Order from the Business Court last week in Morton v. Ivey, McClellan,…

Rank this Week: 480

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: 2823

Ponzitracker

Covers Ponzi schemes. By Jordan Maglich.

http://www.ponzitracker.com/

May 21
Accounting Firm Ordered to Pay $180,000 in Sanctions For Withholding Documents Relating to Seattle's 'Mini-Madoff'

Accounting Firm Ordered to Pay $180,000 in Sanctions For Withholding Documents Relating to Seattle's 'Mini-Madoff'

A federal judge ruled that an accounting firm should pay $180,000 in legal fees resulting from multiple failures to respond to a subpoena issued by the trustee overseeing a massive Seattle Ponzi scheme whose mastermind became known as…
May 21
$27 Million ATM Ponzi Scheme Results in Prison For California Brothers, Woman

$27 Million ATM Ponzi Scheme Results in Prison For California Brothers, Woman

Two California brothers and a woman who lived with them were sentenced for masterminding a $27 million Ponzi scheme based on video advertisement screens mounted on ATMs and vending machines. Alan G. Flesher, 65, Wayne D. Flesher, 62,…
May 18
Death Sentence for Chinese Woman Convicted of $70 Million Ponzi Scheme

Death Sentence for Chinese Woman Convicted of $70 Million Ponzi Scheme

A Chinese woman who masterminded a $70 million Ponzi scheme has been sentenced to death by a Chinese court - possibly by firing squad. Lin Haiyan, 39, from the Wenzhou province, received the sentence as part of a broader push by Chinese…

Rank this Week: 1127

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: 1705

Representing Investors

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

http://www.investorprotection.com/blog

May 17
B-Ds Address Sales of Alternative Investment

B-Ds Address Sales of Alternative Investment

Alternative investments like non-traded REITs and private placements have levied financial havoc on many investors in recent years. Now, facing pressure from regulators, some broker/dealers are making changes to how they sell these kinds of…
May 16
Report: Senior Designations Can Confuse the Elderly

Report: Senior Designations Can Confuse the Elderly

A May 7 story by NPR highlights some of the ways in which bogus financial advisers use the “art of confusion” to siphon money from unsuspecting elder Americans. A contributing factor to this type of elder fraud is the myriad of…
May 15
B-D Accused of Allegedly Misusing Investors’ Money

B-D Accused of Allegedly Misusing Investors’ Money

The Financial Industry Regulatory Authority (FINRA) has filed a complaint against Kimberly Springsteen-Abbott, owner, chief executive and head of compliance for Commonwealth Capital Securities Corp., for allegedly misusing…

Rank this Week: 608

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

http://www.seclawyersblog.com/

May 20
Sonn|Erez Investigating Claims Against Greg John Campbell (Ladue, Missouri) For Investment Losses and Other Mishandling of Client Fund

Sonn|Erez Investigating Claims Against Greg John Campbell (Ladue, Missouri) For Investment Losses and Other Mishandling of Client Fund

Sonn|Erez is investigating claims against Greg John Campbell (CRD #4732999, Registered Representative, Ladue, Missouri), who has been barred from association with any FINRA member in any capacity following misappropriation of customer funds.…
May 17
Sonn|Erez Pursuing Claims for Investor Losses in Hennessey Financial Monthly Income Fund, LP, Also Known as True North Fund and Capital Solutions Monthly Income Fund, LP

Sonn|Erez Pursuing Claims for Investor Losses in Hennessey Financial Monthly Income Fund, LP, Also Known as True North Fund and Capital Solutions Monthly Income Fund, LP

Sonn|Erez is litigating several claims against NFP Securities, Inc., for investor losses in the Hennessey Financial Monthly Income Fund, LP, also known as the True North Fund and the Capital Solutions Monthly Income Fund, LP ("Hennessey…
May 15
FINRA Cautions Investors About Pitfalls of Buying and Selling Pension or Structured Settlement Income Stream

FINRA Cautions Investors About Pitfalls of Buying and Selling Pension or Structured Settlement Income Stream

The SEC and FINRA recently issued an Investor Alert regarding buying or selling pension or structured settlement income streams. A structured settlement typically represents a stream of payments stemming from the resolution of litigation,…

Rank this Week: 2050

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: 4099

Securities Arbitration Blog

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

http://www.securitiesarbitrations.com

May 7
Charles Schwabâ€™s Class Action Prohibition Antics May Inspire Death Knell to Mandatory Securities Arbitration.

Charles Schwabâ€™s Class Action Prohibition Antics May Inspire Death Knell to Mandatory Securities Arbitration.

Will the SEC Listen to Congress or NAASA and act Under Dodd-Frank Wall Street Reform and Consumer Protection Act to prohibit the use of mandatory securities arbitration ? On Monday, thirty seven members of Congress wrote to the SEC to end…
Apr 26
The Retirement Gamble Facing Us All

The Retirement Gamble Facing Us All

If youandrsquo;ve been watching any commercial television lately, you are well aware that the financial services industry is very busy running expensive ads imploring us to worry about our retirement futures. Open a new account today, they…
Apr 11
FINRA Offers Injured Investors Do it Yourself Litigation Resources.

FINRA Offers Injured Investors Do it Yourself Litigation Resources.

According to FINRA Dispute Resolution Statistics, so far in 2013, only 44% of investorsandnbsp;bringing claims against their stockbroker or brokerage firm recover any damages, and on average, even those that win, only recover 50% of…

Rank this Week: 1577

Securities Attorney Law Blog

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

http://securitiesattorneylaw.com/

May 22
LPL Financial LLC Hammered With $7.5 Million FINRA Fine for EMail Deficiencies & Misstatments to FINRA

LPL Financial LLC Hammered With $7.5 Million FINRA Fine for EMail Deficiencies & Misstatments to FINRA

Yesterday, FINRA issued a press release announcing that LPL Financial LLC (“LPL”) was hit with a $7.5 million fine “for 35 separate, significant email system failures, which prevented LPL from accessing hundreds of millions…
May 21
Not This Year: SEC Commissioner Says No Time to Address Mandatory Pre-Dispute Arbitration in Broker Client Agreement

Not This Year: SEC Commissioner Says No Time to Address Mandatory Pre-Dispute Arbitration in Broker Client Agreement

The Investment News is reporting that Securities and Exchange Commissioner Elise Walter told an audience at a FINRA conference that the SEC will not be addressing the issue of mandatory pre-dispute arbitration agreements in the near future…
May 21
Securities Fraud Lawsuit Filed Against The Cash Store Financial Service, Inc. (CSFS)

Securities Fraud Lawsuit Filed Against The Cash Store Financial Service, Inc. (CSFS)

Securities lawyers have filed a lawsuit against The Cash Store Financial Services (CSFS) in United States District Court for the Southern District of New York, Case No. 13-CV-3385. The complaint concerns CSFS purchases that the…

Rank this Week: 2383

Securities Attorneys Law Blog

Covers securities class action litigation and FINRA arbitrations, SEC regulatory developments and FINRA disciplinary decisions. By Jay Eng.

http://securitiesattorneys.us/

May 22
LPL Financial LLC Hammered With $7.5 Million FINRA Fine for EMail Deficiencies & Misstatments to FINRA

LPL Financial LLC Hammered With $7.5 Million FINRA Fine for EMail Deficiencies & Misstatments to FINRA

Yesterday, FINRA issued a press release announcing that LPL Financial LLC (“LPL”) was hit with a $7.5 million fine “for 35 separate, significant email system failures, which prevented LPL from accessing hundreds of millions…
May 21
Not This Year: SEC Commissioner Says No Time to Address Mandatory Pre-Dispute Arbitration in Broker Client Agreement

Not This Year: SEC Commissioner Says No Time to Address Mandatory Pre-Dispute Arbitration in Broker Client Agreement

The Investment News is reporting that Securities and Exchange Commissioner Elise Walter told an audience at a FINRA conference that the SEC will not be addressing the issue of mandatory pre-dispute arbitration agreements in the near future…
May 21
Securities Fraud Lawsuit Filed Against The Cash Store Financial Service, Inc. (CSFS)

Securities Fraud Lawsuit Filed Against The Cash Store Financial Service, Inc. (CSFS)

Securities lawyers have filed a lawsuit against The Cash Store Financial Services (CSFS) in United States District Court for the Southern District of New York, Case No. 13-CV-3385. The complaint concerns CSFS purchases that the…

Rank this Week: 2322

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com

May 22
What Broker-Dealers Need To Know About FINRA

What Broker-Dealers Need To Know About FINRA

Recently, FINRA publicized penalties against three companies and associated individuals for failing to implement adequate anti-money laundering procedures. These fines should serve as a warning to the industry as a whole that FINRA is…
May 22
Apply To Showcase Your Company at This Year's IMPACT Venture Summit

Apply To Showcase Your Company at This Year's IMPACT Venture Summit

As the host of IMPACT 2013 Venture Summit, Fox invites you or your clients in the technology, healthcare or early stage sectors to be a featured company during the Mid-Atlantic's premiere venture capital conference. Featured companies receive…
May 20
What Investment Advisers Need To Know About The SEC

What Investment Advisers Need To Know About The SEC

The SEC recently announced that its top priority is to increase the number of investment adviser examinations it conducts on an annual basis. Considering that the SEC only examined 8% of all investment advisers in 2012 (where 40% have…

Rank this Week: 1456

Securities Fraud Attorney Blog

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

http://www.securitiesfraudattorneyblog.com/

Dec 9
Bloomberg Update on $383M Client Case v. Citigroup

Bloomberg Update on $383M Client Case v. Citigroup

Below is a piece by Bloomberg on our firm's $383 million claim against Citigroup. There's more on this case on the firm's website at http://www.riklawfirm.com/ Citigroup’s Mathur Said to Depart With Hybrid Traders as Pandit Cuts Jobs By…
Dec 1
American Lawyer Piece on Firm's Citigroup Case

American Lawyer Piece on Firm's Citigroup Case

Below is an American Lawyer piece which explains our clients' pending $383 million FINRA arbitration against Citigroup. It goes on to talk about how there are more and more large and complex cases at FINRA. It's true. As partner John Rich…
Nov 30
Bloomberg Piece on $383M Client Case v. Citigroup

Bloomberg Piece on $383M Client Case v. Citigroup

Below is Bloomberg piece about our client's $383 million FINRA arbitration claim against Citigroup Global Markets, Inc. related to hedge funds, private equity, and derivatives. Bloomberg Citigroup Saudi Deal Haunts Pandit By Donal Griffin -…

Rank this Week: 2310

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