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100 F Street

100 F Street

Covers securities law for growing businesses. By Vanessa Schoenthaler.

http://100fstreet.com/
  • Feb 20

    ISS Releases FAQs Related to Its 2015 Proxy Voting Policie

    ISS Releases FAQs Related to Its 2015 Proxy Voting Policie
    Yesterday Institutional Shareholder Services (ISS) released a set of five frequently asked questions related to select proxy voting policies for the 2015 proxy season. The first two questions address shareholder proxy…
  • Feb 16

    Catching Up on All Things Proxy Related From Last Week

    Catching Up on All Things Proxy Related From Last Week
    Among the many things Commission-related going on as of late, here’s a round of up some of the more notable proxy-related matters from the week that was February 9th. The Upcoming Proxy Voting Roundtable On Thursday the Commission…
  • Feb 9

    The SEC Issues Proposed Rules Regarding Disclosure of Hedging by Employees and Director

    The SEC Issues Proposed Rules Regarding Disclosure of Hedging by Employees and Director
    Yesterday the Securities and Exchange Commission announced the adoption of proposed rules to implement Section 955 of the Dodd-Frank Wall Street Reform and Consumer Protection Act which addresses disclosure of company policies…
Rank this Week: 3132

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: 507

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: 4478

Amato Law Firm, LLC Blog

Amato Law Firm, LLC Blog

Overview of current developments in the area of securities law with a focus on securities arbitration and broker-dealer regulation.

http://www.ramatolaw.com/blog1
  • Jun 16

    Ronald Amato Quoted in IA Watch Article Regarding Broker U5 Issue

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

    FINRA Re-examines Need for Broker Recruiting Bonus Disclosure

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

    FINRA Seeks to Delay Implementation of REIT Pricing Rule

    FINRA Seeks to Delay Implementation of REIT Pricing Rule
    According to recent reports, FINRA has sought to delay the implementation of a new rule that would provide greater clarity for investors in non-traded REITs as to the value of their shares.  The proposed rule filing would require firms…
Rank this Week: 3903

Andrew Abramowitz, PLLC

Andrew Abramowitz, PLLC

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

http://aalegalnyc.com/blog/
  • Aug 10

    Interesting Reads of the Week of August 10, 2015

    Interesting Reads of the Week of August 10, 2015
    Some interesting legal reads for the week of August 10, 2015: Broc Romanek with the top 10 things to know about the new pay ratio rules. The Wall Street Journal with the latest on financing college expenses via equity, i.e., a share of future…
  • Aug 7

    The Pay Ratio Rule and the Effect of Disclosure

    The Pay Ratio Rule and the Effect of Disclosure
    The SEC this week approved the pay ratio rules, required under the Dodd-Frank Act. Details can be found in the SEC’s adopting release and press release. The rules require disclosure by public companies of the ratio of the compensation…
  • Aug 3

    Interesting Legal Reads of the Week: August 3rd, 2015

    Interesting Legal Reads of the Week: August 3rd, 2015
    Some interesting legal reads for the week of August 3, 2015: From the Philadelphia Inquirer, a feature on the increasing popularity of alternative fee arrangements at law firms. The Wall Street Journal on how confidential IPO filings are…
Rank this Week: 4540

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/
  • Feb 13

    We've Moved. Great Content Still - But at New Site!

    We've Moved. Great Content Still - But at New Site!
    Posts here at BDLawBlog.com have been infrequent of late. We've been working to roll out a new online presence for The Beck Law Firm, LLC, that incorporates our blog. After more than seven years here, and more than 500 posts,...
  • Jan 7

    SEC Affirms FINRA Sanctions for Broker Taking Client Info. to New Firm

    SEC Affirms FINRA Sanctions for Broker Taking Client Info. to New Firm
    On December 15, 2014, the SEC affirmed a FINRA disciplinary action finding that a broker violated Conduct Rule 2110 when that broker downloaded certain confidential and nonpublic customer information for more than 2000 clients of his former…
  • Dec 19

    Lessons learned from putting on "the Suit."

    Lessons learned from putting on "the Suit."
    Every now and then I use my blog to share with you things not necessarily related to the law, or to our practice areas of financial markets law, estate planning or business law. Today's one of those days, and I...
Rank this Week: 1142

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
  • Aug 31

    Stockbroker Wins Expungement Over Annuitie

    Stockbroker Wins Expungement Over Annuitie
    Yesterday, we discussed the case of a registered representative who was sanctioned by the Financial Industry Regulatory Authority ("FINRA") as a result of some alleged improper conduct in connection with variable annuities ("VAs")…
  • Aug 28

    The Ol' Variable Annuity Switcheroo

    The Ol' Variable Annuity Switcheroo
    Few products cause more regulatory pain for registered persons than Variable Annuities ("VAs"). No one really seems to like the stuff except for the fact that, well, you know, it's sort of lucrative and most brokerage firms push the…
  • Aug 28

    FBI Warns About Business Email

    FBI Warns About Business Email
    On August 28, 2015, the Federal Bureau of Investigation published an online article "Business E-Mail Compromise / An Emerging Global Threat. The BrokeAndBroker.com Blog regularly covers stories about electronic communication…
Rank this Week: 1435

Business Blog

Business Blog

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

http://www.businesslawnews.com/
  • Sep 2

    The New Jersey Family-School Partnership Act Would Provide Leave for Parents to Attend School Activitie

    The New Jersey Family-School Partnership Act Would Provide Leave for Parents to Attend School Activitie
    The first few weeks of the new school year can be stressful for children and their parents, as everyone adjusts to new schedules and routines. In New Jersey, lawmakers are currently considering legislation, the New Jersey Family-School…
  • Sep 1

    Are Space Laws The Next Legal Frontier?

    Are Space Laws The Next Legal Frontier?
    As the natural resources on Earth grow scarce, some businesses are looking outside our atmosphere. While sending miners to an asteroid may seem like the plot of a science fiction movie, it could become a reality in the foreseeable future. If…
  • Aug 31

    The FTC’s Cybersecurity Authority Is Affirmed By The Third Circuit

    The FTC’s Cybersecurity Authority Is Affirmed By The Third Circuit
    Decisions have been made regarding the FTC’s cybersecurity authority… In a precedential decision, the Third Circuit Cmorourt of Appeals recently affirmed the cybersecurity authority of the Federal Trade Commission (FTC) to hold…
Rank this Week: 797

Business Law Post

Business Law Post

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

http://www.businesslawpost.com
Rank this Week: 2160

Cady Bar the Door

Cady Bar the Door

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

http://www.secmiscellany.com
  • Aug 23

    SEC Comments on Whistleblower Anti-Retaliation Provisions/Internal Reporting

    SEC Comments on Whistleblower Anti-Retaliation Provisions/Internal Reporting
    In the wake of Dodd-Frank’s passage in July 2010, many companies and corporate organizations lobbied the SEC on its upcoming whistleblower rules.  One of their specific goals was to require whistleblowers, to be eligible for the…
  • Aug 20

    Probably Don’t Do What the Red Cross CEO Just Did

    Probably Don’t Do What the Red Cross CEO Just Did
    You might have read the NPR/ProPublica story from Monday about the Government Accountability Office’s investigation of the Red Cross, and CEO Gail McGovern’s attempts to end that investigation.  The article says that in 2014…
  • Aug 16

    The Justice Department Has Some Things to Tell You about Cybersecurity

    The Justice Department Has Some Things to Tell You about Cybersecurity
    In April the Justice Department’s Computer Crime and Intellectual Property Section issued its Best Practices for Victim Response and Reporting of Cyber Incidents.  It is an excellent guide for a business organization to respond to…
Rank this Week: 2459

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/
  • Sep 4

    Why Doesn’t California Have A Labor Day?

    Why Doesn’t California Have A Labor Day?
    Federal law establishes ten “legal public holidays”, including “Labor Day, the first Monday in September”.  5 U.S.C. § 6103.  California, on the other hand, names “Labor Day” in several…
  • Sep 3

    Court Rules That The SEC Unlawfully Withheld Action Mandated By Congre

    Court Rules That The SEC Unlawfully Withheld Action Mandated By Congre
    Last fall, I wrote about Oxfam America’s second lawsuit to force the Securities and Exchange Commission to adopt a resource extraction disclosure rule under Section 1504 of the Dodd-Frank Act.  Readers may recall that Congress…
  • Sep 2

    Officers And The Internal Affairs Doctrine

    Officers And The Internal Affairs Doctrine
    My guess is that most attorneys would say that the duty of an officer to the corporation are governed by the law of the state of incorporation under the “internal affairs doctrine”.  As explained by the U.S. Supreme Court,…
Rank this Week: 382

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/
  • Sep 3

    Investor Complaints Re: Jane Everingham & Everingham O'Malley

    Investor Complaints Re: Jane Everingham & Everingham O'Malley
    The Alcala Law Firm has filed a FINRA arbitration claim against LPL Financial LLC arising out of the actions of their registered representative/investment advisor Jane Everingham doing business as Everignham O'Malley in Larkspur, California. …
  • Aug 7

    Customer Complaints Regarding Charles Lynch

    Customer Complaints Regarding Charles Lynch
    Charles Lynch, a financial advisor with Wells Fargo Advisors in Irvine, California, has one or more pending customer complaints alleging "unsuitable concentration in energy sector."[1] ALF is currently conducting an investigation into…
  • Aug 7

    Investor Complaints Regarding Charles Frieda

    Investor Complaints Regarding Charles Frieda
    Charles Frieda, a dully registered broker and investment advisor with Wells Fargo Advisors in Irvine, California, has one or more customer complaints alleging "unsuitable concentration in small cap energy sector securities."[1] ALF is…
Rank this Week: 1241

Canadian Securities Law Online

Canadian Securities Law Online

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

http://www.canadiansecuritieslaw.com/
  • Aug 28

    Quebec Derivatives Blanket Exemption - Revocation postponed by nine month

    Quebec Derivatives Blanket Exemption - Revocation postponed by nine month
    Alix d’Anglejan-Chatillon and Ken Ottenbreit -  The Autorité des marchés financiers (AMF), Quebec's financial services regulator, published Decision No. 2015-PDG-0132 (the Extension Decision) yesterday (August…
  • Aug 28

    IIROC releases finalized Guidance on Marketplace Threshold

    IIROC releases finalized Guidance on Marketplace Threshold
     The Investment Industry Regulatory Organization of Canada (IIROC) has released its finalized Guidance on Marketplace Thresholds. As discussed in our 2014 post on the draft version, the Guidance is intended to promote stable markets by…
  • Aug 28

    IIROC releases annual report

    IIROC releases annual report
    The Investment Industry Regulatory Organization of Canada (IIROC) has just released its 2014-15 Annual Report. As the accompanying news release indicates, the 56-page report  recaps a number of important achievements during the period,…
Rank this Week: 485

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: 1708

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: 3811

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…
  • 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…
  • 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.
Rank this Week: 2838

Corporate Securities Law Blog

Corporate Securities Law Blog

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

http://www.corporatesecuritieslawblog.com/
Rank this Week: 465

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

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

    Feds Take Aim at Investment Adviser

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

    Wells Fargo Takes One on the Chin

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

    The Arbitration System

    The Arbitration System
    The premise that underlies the justification for the loss of rights in arbitration is simple:  both parties knowingly agreed to binding arbitration.  This presumption is based upon the presumptions that 1) signators read contracts…
Rank this Week: 1284

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/
  • Sep 3

    Dole Food: Two Officers Liable for $148 Million (But Investment Bank Not Liable)

    Dole Food: Two Officers Liable for $148 Million (But Investment Bank Not Liable)
    In our “Appraisal Rights” Practice Area, we’re posting memos about the recent Delaware Chancery Court opinion in Dole Food. Here’s an excerpt from Kevin LaCroix’s blog about the case: It turns out that there were…
  • Aug 27

    HSR “Investment-Only” Exemption: Lessons from Third Point’s Yahoo! Investment

    HSR “Investment-Only” Exemption: Lessons from Third Point’s Yahoo! Investment
    Here’s the intro from this Cooley memo: While acquisitions of up to 10% of the voting interest in a target that are made “solely for the purpose of investment” are in many circumstances exempt from Hart-Scott-Rodino (HSR)…
  • Aug 26

    How Carl Icahn Work

    How Carl Icahn Work
    Here’s an excerpt from this interesting blog from a while back by “The Activist Investor”: For one of the most-discussed investors these days, we know surprisingly little about Carl Icahn’s activist investing. Numerous…
Rank this Week: 585

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: 1852

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/
  • Sep 3

    Deleting emails isn’t always obstruction of justice, court rule

    Deleting emails isn’t always obstruction of justice, court rule
    Our colleagues at the Antitrust Law Source shared an overview today of a recent decision from the Ninth Circuit Court of Appeals. The court’s opinion states that deleting emails doesn’t necessarily translate to obstruction of…
  • Aug 21

    U.S. Court of Appeals reaffirms April 2014 decision on the conflict minerals rule

    U.S. Court of Appeals reaffirms April 2014 decision on the conflict minerals rule
    We reported previously in April 2014 on the ruling by the United States Court of Appeals for the District of Columbia Circuit striking down the part of the SEC’s conflict minerals rules that requires a registrant to describe its…
  • Aug 20

    Student internships basis for FCPA violation

    Student internships basis for FCPA violation
    The Securities and Exchange Commission (SEC) announced Tuesday that Bank of New York Mellon (BNY Mellon) had agreed to pay $14.8 million dollars to settle Foreign Corrupt Practices Act (FCPA) violations. The agreement arose out of BNY Mellon…
Rank this Week: 1009

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
  • Sep 3

    Former Florida Broker Pleads Guilty in $9 Million Investment Fraud

    Former Florida Broker Pleads Guilty in $9 Million Investment Fraud
    From the Desk of Jim Eccleston at Eccleston Law LLC:Gignesh Movalia, a former Florida based registered broker, has pled guilty to an investment fraud.Movalia was the founder and manager of OM Global Investment Fund LLC, an investment fund…
  • Sep 1

    Mediocre Performance of Hedge Funds Hidden By Reporting Biase

    Mediocre Performance of Hedge Funds Hidden By Reporting Biase
    From the Desk of Jim Eccleston at Eccleston Law LLC:According to a recent study, the average annualized return for the hedge fund industry since 1996 decreases from 12.6 percent to just 6.3 percent after the biases that hedge funds used to…
  • Aug 28

    Edward Jones Fines $20M for Municipal Bond Overcharge

    Edward Jones Fines $20M for Municipal Bond Overcharge
    From the Desk of Jim Eccleston at Eccleston Law LLC: The SEC has ordered Missouri based brokerage firm Edward Jones to pay $20 million as a fine for overcharging retail customers in new municipal bond sales.According to the SEC, Edward Jones…
Rank this Week: 148

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Aug 31

    WFP Broker Matthew Francis Deline: Barred by FINRA

    WFP Broker Matthew Francis Deline: Barred by FINRA
    Former WFP Securities broker, Matthew Francis Deline has been permanently barred from associating with any FINRA member firm in any capacity.The securities and fraud law firm Fitapelli Kurta is interested in speaking to investors who have…
  • Aug 31

    Former Omni Brokerage’s Byron Anton Meo has Complaint

    Former Omni Brokerage’s Byron Anton Meo has Complaint
    According to the Financial Industry Regulatory Authority (FINRA), former California-based Resourcive broker Byron Anton Meo is currently not licensed to act as a broker or an investment adviser. The securities and investment fraud law firm…
  • Aug 28

    WFP Broker John Evan Schooler

    WFP Broker John Evan Schooler
    The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Arizona-based First Financial Equity broker/adviser John Evan Schooler (CRD# 2368308). John Evan Schooler has…
Rank this Week: 2317

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: 4174

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/
  • Aug 25

    How Liquid are Your Bonds?

    How Liquid are Your Bonds?
    Recent turmoil in the financial markets may have you considering whether to sell or ride things out.  If your portfolio contains individual bonds, you should factor in the liquidity of the bonds you hold when making that decision.…
  • Aug 18

    Citigroup Will Pay $180 Million to Settle SEC Case

    Citigroup Will Pay $180 Million to Settle SEC Case
    The Securities and Exchange Commission (“SEC”) announced that Citigroup Global Markets, Inc. (“CGMI”) and Citigroup Alternative Investments LLC (“CAI”) have agreed to settle charges concerning two…
  • Aug 17

    Aegis Fined for Selling Unregistered Penny Stock

    Aegis Fined for Selling Unregistered Penny Stock
    The Financial Industry Regulatory Authority (“FINRA”) announced that is has settled enforcement actions with Aegis Capital Corp. (“Aegis”), two of its chief compliance officers, and its CEO.  Aegis, based in New…
Rank this Week: 807

Footnoted

Footnoted

Reports on actionable information in SEC filings.

http://www.footnoted.com/
  • Sep 3

    PVH Corp.

    PVH Corp.
    Ten years later, being Vice Chairman is still the best job in business.
  • Jul 30

    And now: the game changer bonu

    And now: the game changer bonu
    Reynolds American has come up with our new favorite name for a bonus: the game-changer.
  • Jul 17

    Will Hertz’ former CEO wind up having to clawback?

    Will Hertz’ former CEO wind up having to clawback?
    Hertz blamed its former CEO for creating a pressurized environment at the company that led to overly aggressive accounting.
Rank this Week: 4413

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

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

    Hedge Fund Events August 2015

    Hedge Fund Events August 2015
    The following are various hedge fund events happening this month.  Please email us if you would like us to add your event to this list. **** Date: August 1, 2015 Sponsor: HFC Event: 10th Annual West Coast Ride for the Children Location:…
  • Jul 1

    Hedge Fund Events July 2015

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

    Hedge Fund Events June 2015

    Hedge Fund Events June 2015
    The following are various hedge fund events happening this month.  Please email us if you would like us to add your event to this list. **** Date: May 31-June 2, 2015 Sponsor: WITI Event: The Women in Technology International (WITI)…
Rank this Week: 814

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: 1213

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/
  • Aug 28

    Shareholders Can Sue Barclays Over Libor Rigging, Rules Judge

    Shareholders Can Sue Barclays Over Libor Rigging, Rules Judge
    A U.S. Judge says that the shareholder lawsuit suing Barclays PLC (BCS) for inflating its stock price by manipulating the London Interbank Offered Rate can proceed. According to lead plaintiffs, the St. Clair Shores Police & Fire…
  • Aug 27

    FDIC Sues Bank of NY Mellon, Citigroup, and US Bancorp for soured RMBSs Purchased by Guaranty Bank

    FDIC Sues Bank of NY Mellon, Citigroup, and US Bancorp for soured RMBSs Purchased by Guaranty Bank
    The Federal Deposit Insurance Corp. is suing Bank of New York Mellon Corp. (BK), Citigroup (C), and US Bancorp (USB) for residential mortgage-backed securities that were purchased by the former Guaranty Bank. The Texas-based bank closed…
  • Aug 26

    Former Merrill Lynch Broker Must Pay $1.4M for Insider Trading

    Former Merrill Lynch Broker Must Pay $1.4M for Insider Trading
    Gary Yin, an ex-Bank of America Merrill Lynch (BAC) broker, must pay $1.4M in restitution for helping a client launder money made from insider trading. Yin admitted to helping former Qualcomm Inc. president Jing Wang conceal hundreds of…
Rank this Week: 1102

Investment Fraud Attorney Blog

Investment Fraud Attorney Blog

Covers securities law. By Pratt Davis.

http://www.investmentfraudattorneyblog.com/
  • Aug 21

    Finra Checks into Potential Broker Compensation Conflicts of Interest

    Finra Checks into Potential Broker Compensation Conflicts of Interest
    As recently reported in InvestmentNews the Financial Industry Regulatory Authority (“Finra”) is taking a closer look at potential conflicts of interest in how firms pay their brokers. As stated in the article, in the targeted exam…
  • Aug 5

    FINRA Fines Aegis Capital $950,000 over Penny Stock Sale

    FINRA Fines Aegis Capital $950,000 over Penny Stock Sale
    According to a recent article in InvestmentNews, Aegis Capital Corp., a New York-based broker-dealer with over 400 registered brokers, has agreed to pay $950,000 as part of a settlement with the Financial Industry Regulatory Authority Inc.…
  • Aug 1

    SEC Announces $3 million Whistleblower Award

    SEC Announces $3 million Whistleblower Award
    As recently noted in a press release, The Securities and Exchange Commission (“SEC”) announced a whistleblower award of more than $3 million to a company insider whose information helped the SEC crack a complex fraud. …
Rank this Week: 4857

InvestorLawyers.net

InvestorLawyers.net

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

http://www.investorlawyers.net/blog/
Rank this Week: 1861

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Sep 3

    U.S. Leads the Way in Reform of Money Market Fund Regulation, IOSCO Find

    U.S. Leads the Way in Reform of Money Market Fund Regulation, IOSCO Find
    By John Filar AtwoodOf the five countries that dominate the global money market fund (MMF) market, only the U.S. has implemented reform measures in all of the eight areas recommended by the International Organization of Securities Commissions…
  • Sep 2

    Validation of Defective Stock Warranted, but Final Judgment Premature

    Validation of Defective Stock Warranted, but Final Judgment Premature
    By Amy Leisinger, J.D.The Delaware Chancery Court granted a motion for partial judgment on the pleadings, finding that shares of putative stock of the CertiSign Holding, Inc. are valid despite being issued before the certificate authorizing…
  • Sep 1

    Board Members Accused of Coercing Shareholders to Increase Their Compensation Win Appeal

    Board Members Accused of Coercing Shareholders to Increase Their Compensation Win Appeal
    By Matthew Garza, J.D.Members of the board of directors of mobile technology company QualComm, Inc. were victorious in a legal battle launched by an investor over amendments made by the company’s compensation committee to increase stock…
Rank this Week: 141

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: 2789

May Law, PC Blog

May Law, PC Blog

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

http://www.maylawpc.net/category/blog/
Rank this Week: 4673

New York Securities Lawyer Blog

New York Securities Lawyer Blog

Covers securities law. By Lax & Neville LLP.

http://www.newyorksecuritieslawyerblog.com/
Rank this Week: 4741

New York Securities Lawyers Blog

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

http://www.newyorksecuritieslawyersblog.com/
Rank this Week: 2491

North Carolina Business Litigation…

North Carolina Business Litigation Report

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

http://www.ncbusinesslitigationreport.com/
Rank this Week: 511

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: 271

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…
  • 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…
  • 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…
Rank this Week: 2323

Ponzitracker

Ponzitracker

Covers Ponzi schemes. By Jordan Maglich.

http://www.ponzitracker.com/
  • Jan 27

    SEC Charges Wisconsin Man With $10.4 Million Ponzi Scheme

    SEC Charges Wisconsin Man With $10.4 Million Ponzi Scheme
    A Wisconsin man was charged by the Securities and Exchange Commission with operating a Ponzi scheme that took in more than $10 million from at least 122 investors.  Loren Holzhueter, 69, was the subject of an emergency enforcement action…
  • Jan 26

    Ohio CPA Gets 21 Years For Role In $40 Million Ponzi Scheme

    Ohio CPA Gets 21 Years For Role In $40 Million Ponzi Scheme
    An Ohio man was sentenced to serve twenty-one years in federal prison for his role in funnelling investors to the massive "Black Diamond" Ponzi scheme that ultimately duped over 400 investors out of at least $40 million.  Jonathan…
  • Jan 26

    California Men Plead Guilty To $100 Million ATM Ponzi Scheme

    California Men Plead Guilty To $100 Million ATM Ponzi Scheme
    Two California men have entered guilty pleas to operating a massive Ponzi scheme that allegedly caused losses of over $100 million to victims who thought they were investing in a profitable ATM leasing operation.  Joel Barry Gillis, 74,…
Rank this Week: 706

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: 1689

Recover Investment Losses Blog

Recover Investment Losses Blog

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

http://blog.rexsecuritieslaw.com
  • Sep 1

    Harrison Schumacher & Quantum Energy Named In SEC Action

    Harrison Schumacher & Quantum Energy Named In SEC Action
    August 27, 2015 The Securities and Exchange Commission (SEC) has alleged that Harrison Schumacher and his two Los Angeles companies, Quantum Energy LLC and Quaneco LLC, raised over $12.3 million from some 300 investors in connection with oil…
  • Sep 1

    SEC Names West Palm Beach Man in Boiler Room Securities Fraud

    SEC Names West Palm Beach Man in Boiler Room Securities Fraud
    August 20, 2015-West Palm Beach, FL Moshe Yehuda Dunoff was charged by the Securities and Exchange Commission (SEC) with participating in a boiler room fraud that raised over $1.5 million from 58 investors in 14 countries. Victims were led to…
  • Sep 1

    Iowa Regulators Name Austin Texas Residents In Oil & Gas Securities Fraud Action

    Iowa Regulators Name Austin Texas Residents In Oil & Gas Securities Fraud Action
    August 28, 2015 Iowa Insurance Commissioner Nick Gerhart issued a cease and desist order to the following Austin, Texas residents: Carson Energy, Inc.                        …
Rank this Week: 3961

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
Rank this Week: 554

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

http://www.seclawyersblog.com/
  • Sep 4

    Sonn|Erez Investigating Claims Involving Former LPL Financial Broker Julius Kenney

    Sonn|Erez Investigating Claims Involving Former LPL Financial Broker Julius Kenney
    Sonn|Erez is investigating claims regarding Julius Franklin Kenney IV (CRD #5500248, Calhoun, Georgia). Kenney recently submitted an Acceptance, Waiver & Consent ("AWC") in which he was barred from association with any FINRA member in…
  • Sep 2

    Sonn|Erez Investigating Claims Involving Michael J. Howard

    Sonn|Erez Investigating Claims Involving Michael J. Howard
    Sonn|Erez is investigating claims regarding Michael John Howard (CRD #2966446, Frankfort, Illinois). Howard recently submitted an Acceptance, Waiver & Consent ("AWC") in which he was assessed a deferred fine of $15,000 and suspended from…
  • Aug 31

    Sonn|Erez Investigating Claims Involving Justin Amaral

    Sonn|Erez Investigating Claims Involving Justin Amaral
    Sonn|Erez is investigating claims regarding Justin Amaral (CRD #4440980, Boston, Massachusetts). Amaral recently submitted an Acceptance, Waiver & Consent ("AWC") in which he was barred from association with any FINRA member in any…
Rank this Week: 1108

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: 3608