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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: 2046

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: 681

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: 3001

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: 3405

Andrew Abramowitz, PLLC

Andrew Abramowitz, PLLC

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

http://aalegalnyc.com/blog/
  • Sep 5

    The SEC’s Guide to Avoiding Investor Scam

    The SEC’s Guide to Avoiding Investor Scam
    Last month, the SEC issued a user-friendly guide for potential investors in avoiding fraudulent unregistered offerings.  I highly recommend the advice given here, but I have a few specific clarifications: In point 1, the SEC identifies…
  • Aug 25

    Some Interesting Legal Reads for the Week of August 25, 2014

    Some Interesting Legal Reads for the Week of August 25, 2014
    Morrison & Foerster on the continuing delay in the SEC’s finalization of the crowdfunding rules.  And Joe Wallin on the issues with relying on intrastate exemptions in the absence of action from the SEC. An investor alert from…
  • Jul 28

    Some Interesting Legal Reads for the Week of July 28 2014

    Some Interesting Legal Reads for the Week of July 28 2014
    From Keith Higgins, the SEC’s Director of the Division of Corporation Finance, some testimony to a Congressional subcommittee on the state of the various rule-making initiatives.  And here is Jim Hamilton’s summary of the…
Rank this Week: 2265

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/
  • Oct 15

    A Milestone, I suppose. 500 posts.

    A Milestone, I suppose. 500 posts.
    I didn't notice it, but when I hit the publish button on the post immediately before this one today, I published the 500th post here on BDLawBlog.com. 500 posts in a little over seven years. I doubt that most of...
  • Oct 15

    FINRA Cautions Firms on Confidentiality Provisions In Settlement Agreements and Arbitration Discovery Stipulation

    FINRA Cautions Firms on Confidentiality Provisions In Settlement Agreements and Arbitration Discovery Stipulation
    FINRA recently issued Regulatory Notice 14-40, cautioning broker-dealer firms (and associated persons) against including overly restrictive confidentiality language in both settlement agreements and in arbitration discovery stipulations.…
  • Oct 8

    PIABA Report: FINRA Arbitrator Pool for Lack of Diversity, Fails to Detect Biase

    PIABA Report: FINRA Arbitrator Pool for Lack of Diversity, Fails to Detect Biase
    In a report and press release issued this week, the Public Investors Arbitration Bar Association (PIABA) issued a report asserting that FINRA's arbitration panel pool lacks diversity and also took issue with the "almost total lack of…
Rank this Week: 1171

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
  • Oct 15

    FINRA Alarm Bells Awaken Sleepwalking Supervisor

    FINRA Alarm Bells Awaken Sleepwalking Supervisor
    Once upon a time, Wall Street's regulators seemed to view so-called "Failure To Supervise" matters as a last resort -- the final arrow in a quiver.  Whether benign neglect or a considered policy, those supervising the industry's…
  • Oct 15

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
    Athena No Goddess Says SEC in HFT SettlementOctober 17, 2014In an effort to cultivate an orderly daily closing, ten minutes before the close at 3:50:00 p.m., NASDAQ releases a Net Order Imbalance Indicator, whi...Read OnCommissioner Piwowar…
  • Oct 8

    Athena No Goddess Says SEC in HFT Settlement

    Athena No Goddess Says SEC in HFT Settlement
    In an effort to cultivate an orderly daily closing, ten minutes before the close at 3:50:00 p.m., NASDAQ releases a Net Order Imbalance Indicator, which is updated every five seconds until the last message at 3:59:55 p.m.  It sounds…
Rank this Week: 574

Business Blog

Business Blog

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

http://www.businesslawnews.com/
  • Oct 20

    U.S. Supreme Court Adds to Growing Business Docket

    U.S. Supreme Court Adds to Growing Business Docket
    The U.S. Supreme Court may not consider same-sex marriage this term, but it will address a number of important cases impacting the business community. Reuters reports that, at last tally, more than half the 48 cases on the Court’s…
  • Oct 17

    Does the Accredited Investor Definition Need a Makeover?

    Does the Accredited Investor Definition Need a Makeover?
    Does the Accredited Investor Definition Need a Makeover? The definition of “accredited investor” may be headed for some significant changes. The Securities and Exchange Commission’s (SEC) Investor Advisory Committee is the…
  • Oct 16

    The Key to a Successful Start-Up? Practice Makes Perfect

    The Key to a Successful Start-Up? Practice Makes Perfect
    While it may seem that some entrepreneurs are destined to succeed, a new study confirms that hard work and experience play a key role. In fact, researchers found that the most successful entrepreneurs had done it all before. As detailed by…
Rank this Week: 1489

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: 1163

Cady Bar the Door

Cady Bar the Door

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

http://www.secmiscellany.com
  • Oct 15

    Wrapping up Securities Enforcement Forum 2014

    Wrapping up Securities Enforcement Forum 2014
    I was lucky enough to spend Tuesday at Bruce Carton’s Securities Enforcement Forum 2014.  In three years, it has gone from zero to the preeminent securities enforcement law conference anywhere.  I blogged it hurriedly…
  • Oct 14

    Securities Enforcement Forum 2014 — Current Developments in Trials, Testimony, Wells, APs and Settlement

    Securities Enforcement Forum 2014 — Current Developments in Trials, Testimony, Wells, APs and Settlement
    This is a rough and not verbatim transcript. Phil Khinda at Steptoe & Johnson moderating. Brad Karp at Paul Weiss:  We represented Citi in its case with the SEC.  The model had worked just fine for JPMorgan, but our case landed…
  • Oct 14

    Securities Forum 2014: SEC/FINRA Investigations & Cybersecurity Prioritie

    Securities Forum 2014: SEC/FINRA Investigations & Cybersecurity Prioritie
    This is a rough, not verbatim transcript. Jacob Frenkel at Shulman Rogers moderating: Stephanie Avakian, SEC’s Deputy Director of Enforcement: An array of cases against IAs.  Misrepresentations, undisclosed conflicts and fees.…
Rank this Week: 2131

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/
  • Oct 20

    This Hobby Lobby Proposal Is Much Mistaken

    This Hobby Lobby Proposal Is Much Mistaken
    Suzanne Weakley, editor-in-chief of the CEB Business Law Practitioner, recently called my attention to this letter from six professors at U.C. Berkeley (Robert P. Bartlett III, Richard Buxbaum, Stavros Gadinis, Justin McCrary, Steven…
  • Oct 17

    The Point Of An Unenforceable Noncompete May Be Very Sharp Indeed

    The Point Of An Unenforceable Noncompete May Be Very Sharp Indeed
    Writing for Mother Jones, Kevin Drum recently asked “What’s the point of an unenforceable noncompete agreement?”  He posits two possible answers: First, it’s just boilerplate language they don’t really care…
  • Oct 16

    Why Including The Year Of Enactment Can Be Important

    Why Including The Year Of Enactment Can Be Important
    Several provisions of the California Corporate Securities Law of 1968 need to be brought up to date.  Section 25100(i) is one of them.  That section exempts from the qualification requirements of Sections 25110, 25120 and 25130…
Rank this Week: 166

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: 1971

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/
Rank this Week: 816

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: 4779

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: 3428

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: 4069

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/
  • Oct 8

    Sixth Circuit Narrows Scope of Liability Under ICA Sections 36(a) and (b)

    Sixth Circuit Narrows Scope of Liability Under ICA Sections 36(a) and (b)
    In Laborers’ Local 265 Pension Fund v. iShares Trust, No. 13-6486, 2014 U.S. App. LEXIS 18627 (6th Cir. Sept. 30, 2014), the United States Court of Appeals for the Sixth Circuit affirmed the dismissal of claims alleging violations of…
  • Sep 22

    Second Circuit Holds Forum Selection Clause Supersedes FINRA’s Mandatory Arbitration Rule

    Second Circuit Holds Forum Selection Clause Supersedes FINRA’s Mandatory Arbitration Rule
    In Goldman, Sachs & Co. v. Golden Empire Schools Financing Authority, No. 13-797-cv, 2014 WL 4099289 (2d Cir. Aug. 21, 2014), the United States Court of Appeals for the Second Circuit held that a forum selection clause in a broker-dealer…
  • Sep 9

    NASDAQ Proposes The Adoption Of A New All-Inclusive Annual Listing Fee

    NASDAQ Proposes The Adoption Of A New All-Inclusive Annual Listing Fee
    On August 26, 2014, The NASDAQ Stock Market LLC (“NASDAQ”) filed with the Securities and Exchange Commission (the “SEC”) certain proposed amendments to the NASDAQ Stock Market Rules (the “Amendments”) to…
Rank this Week: 287

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • Sep 6

    New FINRA Rule Limits usage of Expungement Requests in Arbitration

    New FINRA Rule Limits usage of Expungement Requests in Arbitration
    The SEC has approved FINRA Rule 2081 that would disallow brokers from conditioning settlement of a customer dispute on a customer’s consent to the broker’s request for expungment from the Central Registration Depository…
  • Aug 12

    Does your Investment Adviser Firm Have a Social Media Policy?

    Does your Investment Adviser Firm Have a Social Media Policy?
    Social media such as Facebook, Twitter, LinkedIn, or blogs have become popular mechanisms for companies to communicate with the public. Social media allows companies to communicate with clients and prospective clients, market their services,…
  • Aug 1

    Who has the Right to Enforce Your Promissory Note?

    Who has the Right to Enforce Your Promissory Note?
    A customary practice in the securities industry is for financial advisors to receive a transition bonus above and beyond an advisor’s standard commission compensation upon joining to a new firm. The bonus amount is usually determined…
Rank this Week: 1307

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/
  • Oct 20

    SEC Commissioner: 13D Reform Unlikely Next Year

    SEC Commissioner: 13D Reform Unlikely Next Year
    Since the SEC Chair typically sets the agenda for the agency, I was a little surprised to see this WSJ blog stating that SEC Commissioner Gallagher said that we shouldn’t expect changes to the 13D window “this year or next.”…
  • Oct 17

    Canadian Shareholder Activism

    Canadian Shareholder Activism
    In this podcast, Amy Freedman of Kingsdale Shareholder Services discusses her firm’s new report on Canadian shareholder activism-related developments & trends, including: – Can you describe the level of proxy contest activity…
  • Oct 15

    Canadian Regulators Keep Early Warning Threshold at 10%

    Canadian Regulators Keep Early Warning Threshold at 10%
    Here’s news from Davies Ward: In an update issued last week, the CSA announced that it will not be lowering Canada’s early warning reporting threshold from 10% ownership to 5% as previously proposed. The CSA had proposed lowering…
Rank this Week: 823

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: 1856

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/
  • 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…
  • Oct 7

    Supreme Court refuses to review FCPA challenge

    Supreme Court refuses to review FCPA challenge
    By W. Kelly Johnson The U.S. Supreme Court on Monday refused to review the first Foreign Corrupt Practices Act (FCPA) case appealed to the highest Court. The appeal sought to limit the scope of the FCPA by narrowing the law’s definition…
  • Sep 18

    Whistleblowers wanted; Holder seeks increased compensation for financial crime informant

    Whistleblowers wanted; Holder seeks increased compensation for financial crime informant
    By W. Kelly Johnson In the first major public comment about white collar crime in more than a year, the Department of Justice (DOJ) called for an increase in compensation for whistleblowers under the Financial Institutions Reform, Recovery…
Rank this Week: 389

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
  • Oct 8

    SEC Warns Investors of The Risks of Private Placement

    SEC Warns Investors of The Risks of Private Placement
    From the Desk of Jim Eccleston at Eccleston Law Offices: In a recent Investor Bulletin as well as an Investor Alert, the Securities and Exchange Commission (SEC) has issued warnings to investors as to the risks…
  • Oct 7

    Former Merrill Lynch Brokers Fired for Promoting Outside Hedge Fund

    Former Merrill Lynch Brokers Fired for Promoting Outside Hedge Fund
    From the Desk of Jim Eccleston at Eccleston Law Offices: Two former Merrill Lynch brokers, Stephen S. Brown and James P. Goetz, were fired for selling away hedge funds outside of the brokerage firm. “Selling…
  • Oct 2

    Former VSR Broker Made Unsuitable Recommendations on Non-Traded REIT

    Former VSR Broker Made Unsuitable Recommendations on Non-Traded REIT
    From the Desk of Jim Eccleston at Eccleston Law Offices: Since the real estate crisis of 2008, non-traded real estate investment trusts have been in the regulators’ sights because of questions about their fees,…
Rank this Week: 142

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
Rank this Week: 448

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: 4046

Florida Securities Fraud Lawyer…

Florida Securities Fraud Lawyer Blog

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

http://www.floridasecuritiesfraudlawyerblog.com/
Rank this Week: 578

Footnoted

Footnoted

Reports on actionable information in SEC filings.

http://www.footnoted.com/
Rank this Week: 2852

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

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

    Hedge Fund Events October 2014

    Hedge Fund Events October 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: October 1, 2014 Sponsor: iGlobal Forum Event: Global REIT Summit 2014 Location: New York, NY…
  • Sep 5

    Hedge Fund Events September 2014

    Hedge Fund Events September 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: September 8, 2014 Sponsor: NYSSA Event: Russian and Central & Eastern European Capital…
  • Aug 6

    NFA Action Against Firm for Inadequate 1101 Investigation

    NFA Action Against Firm for Inadequate 1101 Investigation
    Doing Business with Non-Members – NFA Action Raises Compliance Questions Under NFA Bylaw 1101, NFA members are restricted from doing business with individuals or entities that should be, but are not, registered with the CFTC and members…
Rank this Week: 1253

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: 1997

Institutional Investor Securities…

Institutional Investor Securities Blog

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

http://www.institutionalinvestorsecuritiesblog.com/
  • Dec 29

    Wells Fargo Reaches $591 Million Mortgage Deal with Fannie Mae

    Wells Fargo Reaches $591 Million Mortgage Deal with Fannie Mae
    Wells Fargo & Co. (WFC) has arrived at a $591 million mortgage settlement with Fannie Mae (FNMA). The arrangement resolves claims that the banking institution sold faulty mortgages to the government run-home loan financier and covers…
  • Oct 14

    Barclays to Pay $20M To Settle Libor Manipulation

    Barclays to Pay $20M To Settle Libor Manipulation
    Barclays PLC (BARC) has consented to pay $20 million to settle complaints over the manipulation of the London interbank offered rate benchmark. As part of the accord, the bank will cooperate with a group of Eurodollar-futures traders that…
  • Oct 11

    Credit Suisse, Goldman Sachs, JPMorgan, and 16 Other Banks Agree to Swaps Contract Modifications to Assist Failed Firm

    Credit Suisse, Goldman Sachs, JPMorgan, and 16 Other Banks Agree to Swaps Contract Modifications to Assist Failed Firm
    JPMorgan Chase & Co. (JPM), HSBC Holdings Plc (HSBA), Goldman Sachs Group Inc. (GS), Credit Suisse (CS), and fourteen other big banks have agreed to changes that will be made to swaps contracts. The modifications are designed to assist in…
Rank this Week: 219

InvestorLawyers.net

InvestorLawyers.net

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

http://www.investorlawyers.net/blog/
Rank this Week: 603

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Oct 19

    PCAOB Panel Discusses Valuations of Financial Asset

    PCAOB Panel Discusses Valuations of Financial Asset
    The PCAOB Standing Advisory Group (SAG) discussed one of the most controversial and complex issues of financial accounting and auditing, estimates and measurements of financial assets, at a special meeting today. This discussion came against…
  • Oct 18

    Chairman Massad Addresses the CFTC’s Most Pressing Issue

    Chairman Massad Addresses the CFTC’s Most Pressing Issue
    [This story previously appeared in Securities Regulation Daily.]By Matthew Garza, J.D.In remarks before the Outlook 2014 conference, sponsored by the Managed Funds Association, CFTC Chairman Timothy Massad shared his views on two of the most…
  • Oct 16

    Maryland Adopts Intrastate Small Business Exemption

    Maryland Adopts Intrastate Small Business Exemption
    [This story previously appeared in Securities Regulation Daily.]By Jay Fishman, J.D.The Maryland Legislature adopted, effective October 1, 2014, a non-crowdfunding intrastate small business exemption. Legislation. The exemption covers…
Rank this Week: 355

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: 3602

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/
  • 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.…
  • Sep 24

    The Arbitration Process, Start to Finish

    The Arbitration Process, Start to Finish
    Because nearly all brokerage customer agreements contain an arbitration clause, it is often the only option open to aggrieved investors. But what actually occurs in these proceedings…
  • Aug 25

    Why Mediation May Be the Best Option in Securities Industry Dispute

    Why Mediation May Be the Best Option in Securities Industry Dispute
    When an investor suffers losses because of the miscounduct or mistakes of his or her stock broker, they can attempt to recover money through arbitration. More expeditious…
Rank this Week: 3442

New York Securities Lawyers Blog

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

http://www.newyorksecuritieslawyersblog.com/
  • Sep 15

    Malecki Law is Investigating Possible Claims Against Craig Scott Capital

    Malecki Law is Investigating Possible Claims Against Craig Scott Capital
    Malecki Law is investigating possible claims against Craig Scott Capital, based in Long Island, NY. According to FINRA BrokerCheck, some customers of the firm have recently filed arbitrations related to the conduct of the firm's brokers…
  • Sep 12

    SEC Charges Robare Group with Fraud For Failing to Disclose Fee Arrangement with Broker-Dealer

    SEC Charges Robare Group with Fraud For Failing to Disclose Fee Arrangement with Broker-Dealer
    How do you know your investment adviser is solely acting in your best interest? Sadly, even when it comes to picking mutual funds, your investment adviser may still only be thinking of himself or herself. Take for example the allegations in…
  • Aug 15

    Are Some Customers Paying Too Much In Fees? The SEC Cracks Down on Linkbroker

    Are Some Customers Paying Too Much In Fees? The SEC Cracks Down on Linkbroker
    "Is my stockbroker charging me too much in commissions and fees?" This is a common question many investors frequently have. Unfortunately, all too often, the answer to this question is "Yes." In fact, just yesterday, the SEC announced…
Rank this Week: 3784

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/
  • Oct 15

    The Interrogatory That Does Not Warrant An Objection Based On Privilege

    The Interrogatory That Does Not Warrant An Objection Based On Privilege
    There was enough worth talking about in Judge Bledsoe's opinion in National Financial Partners Corp. v. Ray, 2014 NCBC 49, which I posted about yesterday, to warrant a second post. What I didn't discuss yesterday was the question answered in…
  • Oct 14

    Don't Throw The Kitchen Sink Of Defenses Into Your Answer

    Don't Throw The Kitchen Sink Of Defenses Into Your Answer
    Say you are filing an Answer to a Complaint.  NC Rule of Civil Procedure 8(c)  lists a host of affirmative defenses you might raise.  They are: accord and satisfaction, arbitration and award, assumption of risk, contributory…
  • Oct 14

    One Superior Court Judge Overruling Another?

    One Superior Court Judge Overruling Another?
    You are all familiar with the old adage that "one Superior Court Judge cannot overrule another Superior Court Judge."  But apparently there is at least a little bend in that rule, as illustrated by Judge Bledsoe's opinion this past…
Rank this Week: 993

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: 482

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: 1822

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: 254

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: 2777

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
  • Sep 26

    Artificial Inflation in Question for an ETF at Bill Gross’s Firm

    Artificial Inflation in Question for an ETF at Bill Gross’s Firm
    Pacific Investment Management Company is under SEC investigation for possibly artificially boosting the returns of a popular fund aimed at small investors. The heady performance of the ETF raised questions among some of Pimco’s clients…
  • Sep 19

    Nation’s Biggest Pension Fund makes Big Decision

    Nation’s Biggest Pension Fund makes Big Decision
    Concerns that investments are too complicated and expensive, the nation’s largest pension fund, the California Public Employees’ Retirement System, will eliminate all of its hedge fund investments over the next year. Overseeing…
  • Aug 29

    FINRA has Citigroup Global Markets Inc. in Hot Water

    FINRA has Citigroup Global Markets Inc. in Hot Water
    Citigroup Global Markets Inc. is being fined $1.85 million for best execution and supervisory violations in non-convertible preferred securities transactions. They also ordered Citigroup to pay more than $638,000 in compensation, plus…
Rank this Week: 1604

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

http://www.seclawyersblog.com/
  • Oct 14

    Sonn|Erez Investigating Claims of Selling Away Involving Houston Broker James "Jeb" Bashaw

    Sonn|Erez Investigating Claims of Selling Away Involving Houston Broker James "Jeb" Bashaw
    Sonn|Erez is investigating claims regarding James "Jeb" Bashaw (CRD #1251491, Houston, Texas). Bashaw was registered with LPL Financial LLC in Houston from November 2001 until his termination in September 2014. Investment News reports that…
  • Oct 13

    UBS Settles Claims with Puerto Rico Regulator

    UBS Settles Claims with Puerto Rico Regulator
    Puerto Rico's Office of the Commissioner of Financial Institutions recently announced a settlement with UBS regarding the offering and sale of Puerto Rico closed-end mutual funds. Under the settlement, UBS will offer $1.7 million restitution…
  • Oct 9

    Sonn|Erez Investigating Excessive Trading Claims Involving Newport Coast Securities, Inc.

    Sonn|Erez Investigating Excessive Trading Claims Involving Newport Coast Securities, Inc.
    Sonn|Erez is investigating claims regarding Newport Coast Securities, Inc. (CRD #16944, New York, New York), Marc Anthony Arena (CRD #2754309, Hicksville, New York), Donald Andrew Bartelt (CRD #1377935, Cave Creek, Arizona), Antonio Costanzo…
Rank this Week: 294

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: 4045

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: 452

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: 1863

Securities Class Action &…

Securities Class Action & Arbitration Law

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

http://securitiesattorneys.us/
Rank this Week: 1629