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100 F Street

100 F Street

Covers securities law for growing businesses. By Vanessa Schoenthaler.

http://100fstreet.com/
  • Jul 9

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

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

    Chair White Offers Insight Into How the SEC Views Director

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

    Automatic Disqualification Waivers: A Recurring Theme

    Automatic Disqualification Waivers: A Recurring Theme
    Last Thursday Senator Sherrod Brown (D-Ohio), Chairman of the Banking Subcommittee on Financial Institutions and Consumer Protection, penned a letter to Chair White questioning the Commission’s practices and…
Rank this Week: 3213

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: 498

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: 4547

Amato Law Firm, LLC Blog

Amato Law Firm, LLC Blog

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

http://www.ramatolaw.com/blog1
  • Jul 17

    FINRA Seeks to Delay Implementation of REIT Pricing Rule

    FINRA Seeks to Delay Implementation of REIT Pricing Rule
    According to recent reports, FINRA has sought to delay the implementation of a new rule that would provide greater clarity for investors in non-traded REITs as to the value of their shares.  The proposed rule filing would require firms…
  • Jul 10

    FINRA Pulls Controversial Recruiting Bonus Disclosure Rule

    FINRA Pulls Controversial Recruiting Bonus Disclosure Rule
    As recently reported in the financial press, FINRA late last month filed a notice with the Securities and Exchange Commission indicating that it is pulling its proposed Rule 2243.  The controversial proposed rule — which was…
  • Mar 27

    LPL Hammered by FINRA in Connection with Sales of Alternative

    LPL Hammered by FINRA in Connection with Sales of Alternative
    Independent broker-dealer LPL Financial – a leading seller of alternative investments such as non-traded real estate investment trusts (REITs) – once again is in trouble with regulators, as FINRA announced on Monday that it has…
Rank this Week: 3928

Andrew Abramowitz, PLLC

Andrew Abramowitz, PLLC

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

http://aalegalnyc.com/blog/
  • Nov 7

    SEC Crackdown on Undisclosed Unregistered Offering

    SEC Crackdown on Undisclosed Unregistered Offering
    I blogged recently about an SEC crackdown on failure to make required filings under Sections 13 and 16 of the Exchange Act, and continuing with that theme, the SEC recently announced a enforcement program against several public companies for…
  • Oct 22

    Virtual Law Office

    Virtual Law Office
    I live in the quaint seaside town of Port Washington, Long Island (at least, it’s as quaint as is possible 20 miles from Manhattan). Local residents have, in the past year or so, been much more likely to see me around town running…
  • Oct 21

    Interesting Reads for the Week of Oct 20

    Interesting Reads for the Week of Oct 20
    Some interesting legal reads for the week of October 20, 2014: DealBook on a trend in private equity to open investments to individual investors, not just institutional investors, though there are still relatively high minimum investments and…
Rank this Week: 4569

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/
  • Dec 9

    SEC Sanctions Audit Firm

    SEC Sanctions Audit Firm
    The SEC announced settled administrative proceedings against eight audit firms for alleged violations of the auditor independence rules in connection with audits of broker-dealers. According to the SEC's press release, in agreeing to settle…
  • Nov 11

    The Basics of Rule 2510 - Discretionary Account

    The Basics of Rule 2510 - Discretionary Account
    NASD Rule 2510 governs discretionary accounts. It details how discretionary accounts are to be established and also sets forth the requirements for the use of time and price discretion. In this short video, Joel Beck provides an overview of…
  • Nov 10

    The Basics of Rule 3050 - Outside Accounts for Stockbrokers & Associated Person

    The Basics of Rule 3050 - Outside Accounts for Stockbrokers & Associated Person
    NASD Rule 3050 governs transactions by or for associated persons and it requires associated persons of a FINRA-member broker-dealer to disclose their outside securities accounts to their firm, and to disclose their status as an associated…
Rank this Week: 1145

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
  • Dec 11

    Email Request For A Wire Clotheslines Stockbroker

    Email Request For A Wire Clotheslines Stockbroker
    The road to Hell is paved with good intentions and a recent FINRA regulatory settlement involving a customer's email request for a wire transfer certainly proves that point. Presented for your consideration is a stockbroker who appears to…
  • Dec 11

    EMPLOYMENT TUESDAY at BrokeAndBroker.com

    EMPLOYMENT TUESDAY at BrokeAndBroker.com
    A Personal Note From Bill Singer:It is with great sadness that I note the passing of my friend and veteran industry compliance professional Richard Berenger, who died on Sunday, December 14th.  Rich and I first met in 1986 during our…
  • Dec 11

    Economic Suicide Raised In Citigroup Settlement

    Economic Suicide Raised In Citigroup Settlement
    If a public customer wants to place an idiotic order or insists on engaging in trading that seems destined to commit "economic suicide," what, if any, obligation does the servicing stockbroker and the brokerage firm have? Similarly, what…
Rank this Week: 1453

Business Blog

Business Blog

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

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

    New Court Rule to Protect Personal Information in Court Filing

    New Court Rule to Protect Personal Information in Court Filing
    Given the growing risk of identity theft, the New York State Office of Court Administration (OCA) is taking additional steps to protect personal information included in court filings. The OCA recently announced changes to the Uniform Civil…
  • Dec 16

    NJ Supreme Court Hold Leaflet Ban Is Unconstitutional

    NJ Supreme Court Hold Leaflet Ban Is Unconstitutional
    If you live in a New Jersey condominium complex, you may notice an increase in flyers, advertisements, and other promotional material in your common areas. In Dublirer v. 200 Linwood Avenue Owners, the state’s highest court recently…
  • Dec 15

    NY Businesses Must Comply With New Debt Collection Regulations in 2015

    NY Businesses Must Comply With New Debt Collection Regulations in 2015
    Earlier this month, the New York Department of Financial Services issued rules regarding new debt collection regulations. The regulations represent the first use of “gap authority” under the New York Financial Services Law,…
Rank this Week: 783

Business Law Post

Business Law Post

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

http://www.businesslawpost.com
  • Oct 6

    CPOs Can Now Engage in General Solicitation

    CPOs Can Now Engage in General Solicitation
    The big legal news in September was that the staff at the Commodity Futures Trading Commission (CFTC) published an exemptive letter No. 14-116 (available here) that allows certain commodity pool operators (CPOs) to engage in general…
  • Aug 22

    New Seed Financing Documents (500 Startups and Y Combinator)

    New Seed Financing Documents (500 Startups and Y Combinator)
    The startup industry keeps on coming up with new innovative solutions to seed financing.  The latest trend is convertible equity.  Two startup venture funds and incubators, 500 Startups and Y Combinator, recently released their…
  • Aug 22

    Unregistered IPOs of Bitcoin Companies Do Not Go Unnoticed By the SEC

    Unregistered IPOs of Bitcoin Companies Do Not Go Unnoticed By the SEC
    As I previously discussed in my blog here, the SEC does not have a mandate to regulate Bitcoin. Not unless it is used in a securities offering, especially in an unregistered initial public offering conducted over the Internet in violation of…
Rank this Week: 2177

Cady Bar the Door

Cady Bar the Door

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

http://www.secmiscellany.com
Rank this Week: 2486

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/
  • Dec 17

    Ninth Circuit Requires Particularity In All Elements Of Securities Fraud Pleading

    Ninth Circuit Requires Particularity In All Elements Of Securities Fraud Pleading
    Sometimes, I find it useful to take a step back and review the legal standard applicable to securities fraud claims under Section 10(b) and Rule 10b-5.  To stay in court, and securities litigation all about surviving motions to dismiss,…
  • Dec 16

    In Texas Can Some Shares Be More Equal Than Others?

    In Texas Can Some Shares Be More Equal Than Others?
    Although Rome before Augustus is often described as a republic, it was in many respects ruled by the wealthy who jealously guarded their power.  So it was with Rome’s comitia…
  • Dec 15

    SEC Seeks To “Overrule” Fifth Circuit Whistleblower Interpretation

    SEC Seeks To “Overrule” Fifth Circuit Whistleblower Interpretation
    In Asadi v. G.E. Energy United States, L.L.C., 720 F.3d 620 (5th Cir. 2013), the Fifth Circuit Court of Appeals held that an employee who reported a suspected Foreign Corrupt Practices Act violation internally but not to the Securities and…
Rank this Week: 383

California Securities Fraud Lawyer…

California Securities Fraud Lawyer Blog

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

http://www.californiasecuritiesfraudlawyerblog.com/
  • May 1

    March - April 2014 Disciplinary Action

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

    Update: Charles Schwab to Allow Customer Class Action

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

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

    Regulators Fine LPL Financial LLC $950,000 Over Unsuitable Alternative Investments Sale
    Today, LPL Financial LLC reached a settlement with the Financial Industry Regulatory Authority (FINRA) over the firm's failure to adequately supervise the sale of non-traded REITs and other risky alternative investments. LPL's settlement…
Rank this Week: 1240

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/
  • Dec 17

    IIROC releases guidance regarding definition of foreign organized regulated market

    IIROC releases guidance regarding definition of foreign organized regulated market
    The Investment Industry Regulatory Organization of Canada earlier this week published guidance reminding dealers that trades executed off-marketplace in reliance of the exemption to execute trades on a foreign…
  • Dec 12

    IIROC proposes transaction-based debt market regulation fee model

    IIROC proposes transaction-based debt market regulation fee model
    The Investment Industry Regulatory Organization of Canada yesterday proposed a new transaction-based debt market regulation fee model.  While IIROC considered a number of options, it ultimately proposed a fee model based on primary…
  • Dec 11

    CSA propose amendments to recognize Aequitas as senior exchange

    CSA propose amendments to recognize Aequitas as senior exchange
    The Canadian Securities Administrators today published proposed amendments to a number of national and multilateral instruments, including NI 41-101, NI 44-101 and MI 61-101, intended to ensure that the rules applicable to…
Rank this Week: 469

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: 1729

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: 3822

Corporate Law and Democracy

Corporate Law and Democracy

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

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

    Whither State Securities Enforcement?

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

    Bailout-palooza

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

    What a Difference a Year Make

    What a Difference a Year Make
    One year ago discussions surrounding corporate law policy were driven by the Sarbanes-Oxley ‘backlash.”  The Paulson Committee and others were warning about how excessive regulation and litigation would lead to the ruin of Wall Street. …
Rank this Week: 2829

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/
  • Dec 11

    Second Circuit Limits “Tippee” Insider Trading Liability

    Second Circuit Limits “Tippee” Insider Trading Liability
    In United States v. Newman, No. 13-1837 (2d Cir. Dec. 10, 2014), the United States Court of Appeals for the Second Circuit reversed the 2013 convictions of Anthony Chiasson and Todd Newman on charges of conspiracy to commit insider trading…
  • Dec 5

    Recent SEC Enforcement Actions Highlight Importance of Robust Insider Trading Compliance Policie

    Recent SEC Enforcement Actions Highlight Importance of Robust Insider Trading Compliance Policie
    Recently the SEC announced enforcement actions which highlight the importance of complying with the beneficial ownership reporting requirements under Sections 13(d), 13(g) and 16(a) of the Securities Exchange Act of 1934, or the Exchange Act.…
  • Nov 24

    How Will the White House Announcement on Immigration Affect Your Company?

    How Will the White House Announcement on Immigration Affect Your Company?
    Most companies will be impacted by the immigration initiatives announced by the White House this week.  It will take up to several months for the initiatives to be implemented in order to give the U.S. Department of Homeland Security…
Rank this Week: 464

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • Dec 16

    Are You Stuck in a REIT?

    Are You Stuck in a REIT?
    Realty Capital Securities, LLC (RCS) is a Boston-based unit of American Realty Capital (ARC).  According to its website, ARC is a “full service investment advisory firm sponsoring a series of investment programs with an emphasis on…
  • Nov 30

    What Will be on the SEC’s 2015 Exam Priorities for Investment Advisers?

    What Will be on the SEC’s 2015 Exam Priorities for Investment Advisers?
    Each January, The SEC’s National Exam Program (“NEP”) issues examination priorities for the year ahead.  The priorities are based upon the SEC’s evaluation of those areas in the financial markets that it believes…
  • Nov 30

    Business Torts in the Financial Industry Arena

    Business Torts in the Financial Industry Arena
    The attorneys at Cosgrove Law Group, LLC frequently handle business disputes on a contingent fee basis in arbitrations and the courts.  We are typically litigating in the financial industry arena where slashing, cross-checking and…
Rank this Week: 1290

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/
  • Dec 17

    The Comverge Case: Fiduciary Duties and Break-Up Fees in M&A

    The Comverge Case: Fiduciary Duties and Break-Up Fees in M&A
    Here’s a blog by Richard Renck of Duane Morris: In In re Comverge, Inc. Shareholders Litig., C.A. No. 7368-VCP, a decision on a motion to dismiss by Court of Chancery, Vice Chancellor Parsons provided practitioners and clients with a…
  • Dec 16

    M&A Communications Challenges Posed by Tax Inversion Deal

    M&A Communications Challenges Posed by Tax Inversion Deal
    Here’s a blog by Kal Goldberg & Charles Nathan of Finsbury: Tax inversion deals are clearly the most talked about M&A deal structure we have seen for many years. Unlike other hot-topic M&A deal structures (think LBOs or…
  • Dec 11

    2014 MAC Survey

    2014 MAC Survey
    Recently, Nixon Peabody posted its “2014 MAC Survey.” Here is an excerpt: Our inaugural survey, which studied 2001 to 2002, reflected the effects on dealmaking of the September 11, 2001, attacks. The following year’s study…
Rank this Week: 582

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: 1871

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/
  • Dec 3

    A compliance problem truly “Made in the USA”

    A compliance problem truly “Made in the USA”
    Following the expiration of a public comment period last week, the ink is now dry on the Federal Trade Commission’s consent decree against Made in USA Brand, LLC, settling charges that the Columbus, Ohio-based company sold its…
  • Nov 25

    FCPA to increasingly target individual

    FCPA to increasingly target individual
    The head of the Department of Justice (DOJ) Criminal Division warned Friday that Foreign Criminal Practices Act (FCPA) prosecutions will increasingly target individuals wrongdoers, rather than corporations. Assistant Attorney General Leslie…
  • Oct 10

    “The Bandits’ Club” gets its due

    “The Bandits’ Club” gets its due
    Our colleagues at Antitrust Law Source posted an interesting update about probable charges alleging that traders at approximately a dozen global banks – including Deutsche Bank, JPMorgan Chase, Barclays, and USB – fixed the…
Rank this Week: 1048

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
  • Dec 15

    Former MidAmerica Financial Broker Fined for Outside Business Activity

    Former MidAmerica Financial Broker Fined for Outside Business Activity
    From the Desk of Jim Eccleston at Eccleston Law Offices: FINRA has fined Brian G. Wolf, a former broker from MidAmerica Financial Services, Inc. (“MFS”) for being involved in an outside business…
  • Dec 12

    Ex-New York Islanders Owners Sentenced for Securities Fraud

    Ex-New York Islanders Owners Sentenced for Securities Fraud
    From the Desk of Jim Eccleston at Eccleston Law Offices: Paul Greenwood and Stephen Walsh, former executives at WG Trading Co., were sentenced to 10 years in prison for participating in a fraud valued at roughly $554…
  • Dec 11

    FINRA Fines Ameriprise for Arbitration Discovery Abuse

    FINRA Fines Ameriprise for Arbitration Discovery Abuse
    From the Desk of Jim Eccleston at Eccleston Law Offices: FINRA has sanctioned Ameriprise and one of its brokers for altering documents and refusing to produce documents in an arbitration proceeding. According…
Rank this Week: 149

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Dec 16

    Investor Warning: FS Energy & Power Fund

    Investor Warning: FS Energy & Power Fund
    The nationally acclaimed stock fraud law firm, Fitapelli Kurta, is investigating potential claims against FS2 Capital Partners, LPL Financial, Ameriprise Financial, and any other broker-dealer firm who recommended FS Energy & Power…
  • Dec 16

    FINRA Complaint Report: Week Ending December 12, 2014

    FINRA Complaint Report: Week Ending December 12, 2014
    The following are complaints filed with FINRA against brokers or broker-dealer firms for the week ending December 12, 2014. The post FINRA Complaint Report: Week Ending December 12, 2014 appeared first on Stock Fraud News & Information.
  • Dec 12

    GT Advanced Technologies (GTAT) – Bankrupt – Stock fraud attorneys investigate

    GT Advanced Technologies (GTAT) – Bankrupt – Stock fraud attorneys investigate
    As millions held their breath and awaited the much anticipated release of Apple’s IPhone 6, GT Advanced Technologies (GTAT) cringed and awaited the inevitable – bankruptcy. The post GT Advanced Technologies (GTAT) – Bankrupt…
Rank this Week: 3349

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: 4210

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/
  • Dec 5

    FINRA Increases Arbitrator Pay- Passes Costs to Partie

    FINRA Increases Arbitrator Pay- Passes Costs to Partie
    According to Regulatory Notice 14-49 (“RN 14-49”) issued by the Financial Industry Regulatory Authority (“FINRA”), FINRA is increasing the pay for arbitrators assigned to hear FINRA cases and passing the costs of the…
  • Nov 20

    Former Florida Broker Permanently Barred for Alleged Theft

    Former Florida Broker Permanently Barred for Alleged Theft
    According to his BrokerCheck Report, Jeffrey Brian Grove of Melbourne, Florida has been permanently barred from the financial services industry by the Financial Industry Regulatory Authority (“FINRA”).   According to…
  • Oct 16

    SEC Approves Rule to Help Non-Traded REIT Investor

    SEC Approves Rule to Help Non-Traded REIT Investor
    The Securities and Exchange Commission has approved the Financial Industry Regulatory Authority’s (“FINRA”) proposed revisions to NASD Rule 2340 regarding per share estimated valuations of unlisted REITs held by…
Rank this Week: 833

Footnoted

Footnoted

Reports on actionable information in SEC filings.

http://www.footnoted.com/
Rank this Week: 4456

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

http://www.hedgefundlawblog.com
  • Dec 4

    Hedge Fund Events December 2014

    Hedge Fund Events December 2014
    The following are various hedge fund events happening this month. Please email us if you would like us to add your event to this list. **** Date: December 3, 2014 Sponsor: Morgan Stanley Event: Dive into New Portfolio Strategies Location: New…
  • Nov 11

    3rd Annual Alternative Investments Summit – November 20th

    3rd Annual Alternative Investments Summit – November 20th
    Please see below information on the Seattle Investment Association event on November 20th. **** The Seattle Alternative Investment Association, together with the CFA Society of Seattle, invites you to join us on November 20th, 2014 for the…
  • Oct 26

    Cole-Frieman & Mallon LLP 2014 Third Quarter Update

    Cole-Frieman & Mallon LLP 2014 Third Quarter Update
    www.colefrieman.com October 23, 2014 Clients and Friends: It has already been a busy fourth quarter, but we would like to take this opportunity to provide you with a brief overview of some of the legal, business and regulatory updates from…
Rank this Week: 807

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: 1237

Institutional Investor Securities…

Institutional Investor Securities Blog

Covers investment fraud involving auction-rate securities, credit rating agencies, hedge funds and mortgage-backed securities. By Shepherd Smith Edwards & Kantas.

http://www.institutionalinvestorsecuritiesblog.com/
Rank this Week: 1135

InvestorLawyers.net

InvestorLawyers.net

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

http://www.investorlawyers.net/blog/
Rank this Week: 1956

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Dec 17

    Yale Prof Defends Harvard Activist Clinic against Gallagher Paper

    Yale Prof Defends Harvard Activist Clinic against Gallagher Paper
    [This story previously appeared in Securities Regulation Daily.]By Anne Sherry, J.D.A Yale University law professor has stepped in to challenge SEC Commissioner Daniel Gallagher’s argument that the Harvard Shareholder Rights…
  • Dec 16

    Staff Grants Relief to Combat Advisers’ Reluctance to Provide Documents to CFP Board

    Staff Grants Relief to Combat Advisers’ Reluctance to Provide Documents to CFP Board
    [This story previously appeared in Securities Regulation Daily.]By John Filar AtwoodThe staff of the SEC’s Division of Trading and Markets has expanded a March 2011 no-action position to help the Certified Financial Planner Board of…
  • Dec 15

    SEC Asks for Chevron Deference to Whistleblower Rule

    SEC Asks for Chevron Deference to Whistleblower Rule
    [This story previously appeared in Securities Regulation Daily.]By Anne Sherry, J.D.The SEC has filed another brief asking an appeals court to defer to its rulemaking extending Dodd-Frank’s whistleblower protections to employees who…
Rank this Week: 140

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/
  • Nov 24

    The Impact FINRA’s CARDS Plan Will Have on the Financial Industry

    The Impact FINRA’s CARDS Plan Will Have on the Financial Industry
    The largest independent regulator of securities firms in the U.S., the Financial Industry Regulatory Authority (FINRA) purports to protect investors by making sure brokerage firms play by…
  • Nov 14

    The Top 5 Financial Crimes of the 21st Century

    The Top 5 Financial Crimes of the 21st Century
    At a time when violent crime rates are reaching historic lows, a different kind of criminal was getting filthy rich by fleecing others in America. Instead of…
  • Sep 25

    When Brokers Should Call a FINRA Defense Attorney

    When Brokers Should Call a FINRA Defense Attorney
    According to the results of a recent Gallup poll, stockbrokers rank along with members of Congress, car salesmen, and marketing executives as the least-trusted professionals in America.…
Rank this Week: 4700

New York Securities Lawyers Blog

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

http://www.newyorksecuritieslawyersblog.com/
  • Dec 16

    Merrill Lynch Fined For Fair Pricing and Supervisory Violation

    Merrill Lynch Fined For Fair Pricing and Supervisory Violation
    The Financial Industry Regulatory Authority (FINRA) has announced that Merrill Lynch has been fined $1.9 million and ordered to pay restitution in the amount of $540,000 for fair pricing violations as well as supervisory violations related to…
  • Dec 15

    Citigroup Fined for ETF Prospectus Failure

    Citigroup Fined for ETF Prospectus Failure
    Citigroup, Inc. has reportedly agreed to pay a $3 million fine for failing to properly deliver prospectuses to some customers.  Specifically, according to the Financial Industry Regulatory Authority (FINRA), Citigroup failed to deliver…
  • Dec 8

    Malecki Law is Investigating Possible Claims Related to the Sale of Shares of Amarin

    Malecki Law is Investigating Possible Claims Related to the Sale of Shares of Amarin
    Malecki Law is investigating possible unsuitability claims against stock brokers and financial advisors who sold shares of Amarin to investors for whom the stock was not appropriate. Amarin is a biopharmaceutical company based out of New…
Rank this Week: 2558

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: 502

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: 270

Perry Krumsiek & Jack Law Blog

Perry Krumsiek & Jack Law Blog

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

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

    Here’s One Government Program Worth HARPing On

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

    The Lincoln Lawyer

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

    Cornell Scores in Forum Case

    Cornell Scores in Forum Case
    PKJ’s Timothy Cornell scored a significant victory Friday, when U.S. District Judge Richard G. Stearns dismissed a multimillion case against an Internet company, finding that the plaintiff was bound by his contract’s forum selection…
Rank this Week: 2410

Ponzitracker

Ponzitracker

Covers Ponzi schemes. By Jordan Maglich.

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

    Ponzi Schemes Remain Prevalent In 2014; Over $1 Billion In New Schemes Uncovered

    Ponzi Schemes Remain Prevalent In 2014; Over $1 Billion In New Schemes Uncovered
    Nearly six years after the word "Ponzi scheme" became a household name thanks to Bernard Madoff, Ponzi schemes continue to proliferate and leave a trail of financial destruction in their wake as demonstrated by newly-compiled data showing…
  • Aug 20

    Former Attorney Gets 10-Year Sentence For $4 Million Ponzi Scheme

    Former Attorney Gets 10-Year Sentence For $4 Million Ponzi Scheme
    A now-disbarred Minnesota attorney who swindled victims out of more than $4 million in an elaborate Ponzi scheme was sentenced to serve 10 years in federal prison.  Mark Holt, 45, received the sentence from U.S. District Judge Susan…
  • Aug 20

    California Men Sentenced For $5 Million Real Estate Ponzi Scheme

    California Men Sentenced For $5 Million Real Estate Ponzi Scheme
    Two California men will each serve at least a decade in prison for operating a real estate Ponzi scheme that duped victims out of nearly $5 million.  Terrance Brown, of San Jose, California, and Antranik Kabajouzian, of Morgan City,…
Rank this Week: 704

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: 1661

Recover Investment Losses Blog

Recover Investment Losses Blog

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

http://blog.rexsecuritieslaw.com
  • Dec 17

    James Purtle, Feltl and Company Broker, Sanctioned by FINRA

    James Purtle, Feltl and Company Broker, Sanctioned by FINRA
    October 10, 2014-Ramsey, Minnesota James Harrison Purtle entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from February…
  • Dec 17

    Ralph Pence of Hornor, Townsend & Kent Sanctioned by Securities Regulator

    Ralph Pence of Hornor, Townsend & Kent Sanctioned by Securities Regulator
    October 7, 2014-Coppell, Texas  Ralph Irwin Pence entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he engaged in two…
  • Dec 17

    Christopher Miller UBS Financial Broker Sanctioned by FINRA

    Christopher Miller UBS Financial Broker Sanctioned by FINRA
    October 1, 2014-The Woodlands, Texas  Christopher I. Miller entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that…
Rank this Week: 4969

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
  • Dec 16

    10 Wall Street Banks in Trouble for Offering Encouraging Research to Win IPO

    10 Wall Street Banks in Trouble for Offering Encouraging Research to Win IPO
    Citigroup Inc., Goldman Sachs Group Inc. and eight other securities firms were fined $43.5 million by regulators who said the companies presented favorable stock research in hopes of winning underwriting business in an initial public offering…
  • Dec 12

    Fredrick Griffin v. Rockwell Global Capital LLC FINRA Dispute Resolution Award

    Fredrick Griffin v. Rockwell Global Capital LLC FINRA Dispute Resolution Award
    Griffin requested compensatory damages of approximately $200,000.00, attorneys’ fees, interest, costs, punitive damages, and such in a claim against Rockwell Global Capital LLC in January 2013. Griffin stated that Rockwell Global…
  • Dec 3

    Whistle-Blower Programs Earning Support as Positive Results Increase

    Whistle-Blower Programs Earning Support as Positive Results Increase
    In 2011, the S.E.C. created the Office of the Whistleblower to coordinate its new program, which can award 10 percent to 30 percent of any amount over $1 million recovered based on the information provided. The federal government is boasting…
Rank this Week: 566

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

http://www.seclawyersblog.com/
Rank this Week: 1156

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: 3615

Securities Arbitration Blog

Securities Arbitration Blog

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

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

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

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

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

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

    Investment Fraudsters: You have a friend in Pennsylvania

    Investment Fraudsters: You have a friend in Pennsylvania
    What does a big firm commercial defense lawyer, a banker, a healthcare lobbyist, a parking authority commissioner and an Allegheny parks commissioner all have in common? andnbsp; Apparently, they are all friends of Pennsylvania Governor Tom…
Rank this Week: 1254

Securities Attorney Law Blog

Securities Attorney Law Blog

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

http://securitiesattorneys.us/
Rank this Week: 1948