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100 F Street

100 F Street

Covers securities law for growing businesses. By Vanessa Schoenthaler.

http://100fstreet.com/
  • Feb 20

    ISS Releases FAQs Related to Its 2015 Proxy Voting Policie

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

    Catching Up on All Things Proxy Related From Last Week

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

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

    The SEC Issues Proposed Rules Regarding Disclosure of Hedging by Employees and Director
    Yesterday the Securities and Exchange Commission announced the adoption of proposed rules to implement Section 955 of the Dodd-Frank Wall Street Reform and Consumer Protection Act which addresses disclosure of company policies…
Rank this Week: 577

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: 1290

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: 2303

Amato Law Firm, LLC Blog

Amato Law Firm, LLC Blog

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

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

    Ronald Amato Quoted in IA Watch Article Regarding Broker U5 Issue

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

    FINRA Re-examines Need for Broker Recruiting Bonus Disclosure

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

    FINRA Seeks to Delay Implementation of REIT Pricing Rule

    FINRA Seeks to Delay Implementation of REIT Pricing Rule
    According to recent reports, FINRA has sought to delay the implementation of a new rule that would provide greater clarity for investors in non-traded REITs as to the value of their shares.  The proposed rule filing would require firms…
Rank this Week: 1787

Andrew Abramowitz, PLLC

Andrew Abramowitz, PLLC

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

http://aalegalnyc.com/blog/
  • Jul 8

    Interesting Legal Reads of the Week

    Interesting Legal Reads of the Week
    Some interesting legal reads for the week of July 6, 2015: The New York Times on the pitfalls of having too many angel investors. The SEC proposed new rules on “clawbacks” of executive compensation following the issuance of…
  • Jun 17

    Interesting Legal Reads of the Week

    Interesting Legal Reads of the Week
    Some interesting legal reads for the week of June 15, 2015: DealBook on how late-stage venture capital investors will invest at high valuations but with very favorable provisions like anti-dilution protection that can ultimately come at the…
  • Jun 12

    The Distinction Between Entity Name and Trademark

    The Distinction Between Entity Name and Trademark
    When I assist clients in setting up entities, one of the threshold matters, of course, is the selection of a name for the entity.  Once that is settled, and the entity is set up, many clients assume the job is complete as far as…
Rank this Week: 1420

BD Law Blog

BD Law Blog

Features news, updates and thoughts regarding broker-dealer and investment adviser regulation and legal and compliance issues. By the Beck Law Firm, LLC.

http://www.bdlawblog.com/
  • Feb 13

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

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

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

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

    Lessons learned from putting on "the Suit."

    Lessons learned from putting on "the Suit."
    Every now and then I use my blog to share with you things not necessarily related to the law, or to our practice areas of financial markets law, estate planning or business law. Today's one of those days, and I...
Rank this Week: 582

Broke and Broker

Broke and Broker

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

http://brokeandbroker.com/index.php
  • Jul 27

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
    Stockbroker Disqualified For Non Disclose Of Grand Jury InvestigationDo you know what a Target Letter is? If you don't and you're a Wall Street employee, you might want to take a few minutes and read about one registered person's tale of woe.…
  • Jul 20

    Stockbroker Disqualified For Non Disclose Of Grand Jury Investigation

    Stockbroker Disqualified For Non Disclose Of Grand Jury Investigation
    Do you know what a Target Letter is? If you don't and you're a Wall Street employee, you might want to take a few minutes and read about one registered person's tale of woe. During the relevant times, he wasn't charged with failing to…
  • Jul 20

    Bond Parking For Net Capital Benefit Disqualifies Brokerage Executive

    Bond Parking For Net Capital Benefit Disqualifies Brokerage Executive
    Wall Street is the financial capital of legerdemain, which is a fancy term for "sleight of hand." I mean, c'mon, what lawyer isn't going to use a fancy-schmanzy ten-dollar word instead of a penny-ante one? Whether it's high-stakes trading…
Rank this Week: 1407

Business Blog

Business Blog

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

http://www.businesslawnews.com/
  • Jul 31

    NJ Supreme Court Rules Watchdog Employees Entitled Whistleblower Protection

    NJ Supreme Court Rules Watchdog Employees Entitled Whistleblower Protection
    The Supreme Court of New Jersey recently held that a plaintiff who reports conduct as part of his or her job is entitled to the whistle-blowing protections afforded under the Conscientious Employee Protection Act (CEPA). In light of the…
  • Jul 30

    Are Performance Reviews Becoming Passé? Five Tips for Re-tooling Your Policy

    Are Performance Reviews Becoming Passé? Five Tips for Re-tooling Your Policy
    For supervisors and their reports, the requirement for conducting performance reviews has been an annual rite that both sides have endured at sufferance. The quality of the process and its purpose is rarely evaluated or questioned. …
  • Jul 29

    DOL Warns “Most” Independent Contractors Are Misclassified Worker

    DOL Warns “Most” Independent Contractors Are Misclassified Worker
    On July 15, 2015, the Department of Labor (DOL) published guidance on the increasing number of misclassified workers. The agency’s broad interpretation of “employee” under the Fair Labor Standards Act (FLSA) suggests that…
Rank this Week: 3917

Business Law Post

Business Law Post

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

http://www.businesslawpost.com
Rank this Week: 708

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: 1429

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/
  • Jul 31

    CalPERS And Pay Equity

    CalPERS And Pay Equity
    The Securities and Exchange Commission has given notice of its intent to adopt final pay ratio disclosure rules at its meeting next week.  In applauding the SEC’s proposed rules, the California Public Employees’ Retirement…
  • Jul 30

    Senate Appropriations Committee Is Next Stop For California Finders Bill

    Senate Appropriations Committee Is Next Stop For California Finders Bill
    AB 667 (Wagner) continues to wend its way through the California legislature.  The bill, which was sponsored by the Corporations Committee of the Business Law Section of the California State Bar, defines a finder as a natural person who,…
  • Jul 29

    California Crowdfunding Bill In Suspense

    California Crowdfunding Bill In Suspense
    Yesterday, Broc Romanek published several posts regarding crowdfunding.  Meanwhile here in California, crowd funding has stalled in the legislature.  AB 722 (Perea) passed unanimously out the Assembly Committee on Judiciary…
Rank this Week: 451

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: 525

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: 546

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: 417

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: 3675

Corporate Law and Democracy

Corporate Law and Democracy

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

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

    Whither State Securities Enforcement?

    Whither State Securities Enforcement?
    Susan Antilla of Bloomberg news published a recent column  revisiting the question of the continued viability of state securities regulators’ enforcement authority.  I spoke to Susan about my research  on the issue and I am quoted in…
  • Nov 18

    Whither State Securities Enforcement?

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

    Bailout-palooza

    Bailout-palooza
    The federal goverment’s proposal for a bailout of the financial industry sounded somewhat familiar to me.  I remembered that I had blogged about a similar proposal about a year ago on Conglomerate.
Rank this Week: 4789

Corporate Securities Law Blog

Corporate Securities Law Blog

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

http://www.corporatesecuritieslawblog.com/
Rank this Week: 1268

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

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

    Feds Take Aim at Investment Adviser

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

    Wells Fargo Takes One on the Chin

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

    The Arbitration System

    The Arbitration System
    The premise that underlies the justification for the loss of rights in arbitration is simple:  both parties knowingly agreed to binding arbitration.  This presumption is based upon the presumptions that 1) signators read contracts…
Rank this Week: 1253

DealLawyers.com Blog

DealLawyers.com Blog

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

http://www.deallawyers.com/Blog/
  • Jul 30

    Rite Aid Shareholders Vote to Take Wind Out of CEO’s Golden Parachute

    Rite Aid Shareholders Vote to Take Wind Out of CEO’s Golden Parachute
    As noted in this Reuters article, last month, nearly 60% of Rite Aid shareholders supported a non-binding shareholder proposal at the company’s annual meeting that asks that the company to limit the CEO’s golden parachute. This is…
  • Jul 29

    Rural/Metro: Appellees’ Answering Brief & Cross-Appellant’s Opening Brief

    Rural/Metro: Appellees’ Answering Brief & Cross-Appellant’s Opening Brief
    We have posted the Appellees’ Answering Brief & Cross-Appellant’s Opening Brief in the Rural/Metro appeal (here’s a prior blog with other documents)…
  • Jul 22

    July-August Issue: Deal Lawyers Print Newsletter

    July-August Issue: Deal Lawyers Print Newsletter
    This July-August issue of the Deal Lawyers print newsletter was posted a few weeks ago – & also sent to the printers – and includes articles on: – Reflections on the DuPont Proxy Contest: What Happens Next? –…
Rank this Week: 1426

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: 4503

Federal Securities Law Blog

Federal Securities Law Blog

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

http://www.fedseclaw.com/
  • Jul 24

    SEC proposed rules for compensation clawback policie

    SEC proposed rules for compensation clawback policie
    The SEC has proposed rules that require the securities exchanges to adopt rules that in turn require listed companies to adopt, disclose and comply with a clawback policy for executive compensation based on erroneous financial statements. The…
  • Jun 29

    What types of companies might use Regulation A+ to raise capital?

    What types of companies might use Regulation A+ to raise capital?
    Recently finalized Regulation A+ allows most private companies to raise up to $50 million by selling securities to the public. Companies using Regulation A+ can advertise the offering and solicit investors, and anyone can invest (subject…
  • May 22

    World’s top banks plead guilty to gaming foreign-currency market

    World’s top banks plead guilty to gaming foreign-currency market
    Scandal roiled the banking industry Wednesday as four of the world’s largest banks — Citigroup, JPMorgan Chase, Barclays and Royal Bank of Scotland — pleaded guilty to federal antitrust violations for conspiring to…
Rank this Week: 1150

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
  • Jul 29

    Cabot Investment Properties Under Investigation

    Cabot Investment Properties Under Investigation
    From the Desk of Jim Eccleston at Eccleston Law LLC:Timothy J. Kroll and business partner Carlton P. Cabot were arrested for allegedly defrauding investors in various Cabot Investment Properties LLC-sponsored real estate investments.The men…
  • Jul 28

    SEC Announces Cherry-Picking Charges Against Mark Welhouse

    SEC Announces Cherry-Picking Charges Against Mark Welhouse
    From the Desk of Jim Eccleston at Eccleston Law LLC:The SEC announced charges against Mark P. Welhouse. Welhouse is accused of “cherry-picking,” allocating appreciated in value options trades to personal accounts, while allocating…
  • Jul 24

    FINRA Fines Morgan Stanley And Scottrade For Failing to Detect Fraudulent Wire Transfer

    FINRA Fines Morgan Stanley And Scottrade For Failing to Detect Fraudulent Wire Transfer
    From the Desk of Jim Eccleston at Eccleston Law LLC:Morgan Stanley and Scottrade Inc. agreed to pay $950,000 to FINRA after the regulatory authority deemed that the two firms failed to monitor wire transfers of customer funds to third-party…
Rank this Week: 227

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Jul 27

    $2 mil. complaint pending against Morgan Stanley broker Craig Patrick Cunningham

    $2 mil. complaint pending against Morgan Stanley broker Craig Patrick Cunningham
    A $2.8 million dollar customer complaint is currently pending arbitration against Morgan Stanley broker Craig Patrick Cunningham of Orland Park, Illinois. The post $2 mil. complaint pending against Morgan Stanley broker Craig Patrick…
  • Jul 27

    Roric Eugene Griffith: REIT Complaint

    Roric Eugene Griffith: REIT Complaint
    The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Milwaukee-based Princor broker/adviser Roric Eugene Griffith. Roric Eugene Griffith has spent seventeen years in…
  • Jul 27

    ETF Complaint: Robert James Batchen (Uhlmann Price)

    ETF Complaint: Robert James Batchen (Uhlmann Price)
    The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Illinois-based Uhlmann Price broker/adviser Robert James Batchen. Robert James Batchen has spent twenty-four…
Rank this Week: 80

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: 4702

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/
  • Jul 29

    Reverse Mortgages: What You Need to Know

    Reverse Mortgages: What You Need to Know
    The TV is full of upbeat ads pitching reverse mortgages as an easy, cost–free way to generate income.  What many ads don’t say, is that reverse mortgages come with risk, including the risk of foreclosure. A reverse mortgage…
  • May 28

    FIFA Officials Indicted for Racketeering and Fraud

    FIFA Officials Indicted for Racketeering and Fraud
    The Department of Justice announced that high-ranking officials of the governing body for soccer worldwide – referred to as “football” outside of the United States – the Fédération Internationale de…
  • May 12

    SEC Sues Retirement Planners who Sold Life Settlement

    SEC Sues Retirement Planners who Sold Life Settlement
    According to the Securities and Exchange Commission (“SEC”), it has filed suit against a Texas retirement planning firm and its principals in connection with their practices in the sales of life settlement investments.  The…
Rank this Week: 372

Footnoted

Footnoted

Reports on actionable information in SEC filings.

http://www.footnoted.com/
Rank this Week: 1978

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

http://www.hedgefundlawblog.com
  • Jul 1

    Hedge Fund Events July 2015

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

    Hedge Fund Events June 2015

    Hedge Fund Events June 2015
    The following are various hedge fund events happening this month.  Please email us if you would like us to add your event to this list. **** Date: May 31-June 2, 2015 Sponsor: WITI Event: The Women in Technology International (WITI)…
  • May 26

    Cole-Frieman & Mallon LLP 2015 First Quarter Update

    Cole-Frieman & Mallon LLP 2015 First Quarter Update
     www.colefrieman.com May 13, 2015 Clients and Friends: The first quarter of 2015 was a busy period for investment managers and service providers alike and we find ourselves sending out this update very late.  As a variety of filing…
Rank this Week: 95

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: 1400

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/
  • Jul 28

    FINRA Orders Morgan Stanley to Pay $2.4M Over Ex-Broker’s Trades, Bars Former Merrill Lynch Trader from the Industry

    FINRA Orders Morgan Stanley to Pay $2.4M Over Ex-Broker’s Trades, Bars Former Merrill Lynch Trader from the Industry
    A Financial Industry Regulatory Authority panel arbitration panel says that Morgan Stanley (MS) must pay at least $2.4M to settle the latest client claims accusing its former broker, Steven Mark Wyatt, of mishandling their investments. The…
  • Jul 24

    Ex-Oppenheimer Employees Resolve SEC Charges Over Unregistered Penny Stock Sale

    Ex-Oppenheimer Employees Resolve SEC Charges Over Unregistered Penny Stock Sale
    The Securities and Exchange Commission said that Scott A. Einsler, Arthur W. Lewis, and Robert Okin, three former Oppenheimer & Co. (OPY) employees, have settled charges involving the unregistered sales of billions of shares of penny…
  • Jul 24

    SEC Awards Over $3M to Whistleblower

    SEC Awards Over $3M to Whistleblower
    In the third highest award that the Securities and Exchange Commission has issued under its whistleblower program, the regulator is giving one individual $3 million for providing information that helped expose a complex fraud. The tip…
Rank this Week: 158

Investment Fraud Attorney Blog

Investment Fraud Attorney Blog

Covers securities law. By Pratt Davis.

http://www.investmentfraudattorneyblog.com/
  • Jul 31

    SEC Announces $3 million Whistleblower Award

    SEC Announces $3 million Whistleblower Award
    As recently noted in a press release, The Securities and Exchange Commission (“SEC”) announced a whistleblower award of more than $3 million to a company insider whose information helped the SEC crack a complex fraud. …
  • Jul 7

    Former Stockbroker Charged By SEC With Conducting Ponzi Scheme

    Former Stockbroker Charged By SEC With Conducting Ponzi Scheme
    The Securities and Exchange Commission (“SEC”) recently charged a former stockbroker in Pennsylvania with conducting a Ponzi scheme and stealing investor money to purchase a condominium in Florida and pay for his own vacations and…
  • Jun 24

    SEC Charges Investment Advisor with Placing 17 million in Client funds in Penny Stock Companies in which he Allegedly has Interest

    SEC Charges Investment Advisor with Placing 17 million in Client funds in Penny Stock Companies in which he Allegedly has Interest
    The Securities and Exchange Commission recently announced fraud charges against a Massachusetts-based investment advisory firm and its owner for placing more than $17 million in client assets into four financially troubled Canadian penny…
Rank this Week: 1969

InvestorLawyers.net

InvestorLawyers.net

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

http://www.investorlawyers.net/blog/
Rank this Week: 556

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Jul 31

    NASAA Backs Extending Fiduciary Duty to IRA

    NASAA Backs Extending Fiduciary Duty to IRA
    By John M. Jascob, J.D.NASAA has expressed support for a proposal by the Department of Labor that would extend the fiduciary duty standard of care to persons who provide investment advice to Individual Retirement Accounts (IRAs). In a comment…
  • Jul 30

    Human Trafficking Bill Would Add to Supply Chain Dutie

    Human Trafficking Bill Would Add to Supply Chain Dutie
    By Mark S. Nelson, J.D.A bill introduced by Rep. Carolyn Maloney (D-NY) would create new socially-themed disclosure obligations under the federal securities laws for many companies. The Business Supply Chain Transparency on Trafficking and…
  • Jul 29

    New Hampshire Adopts Uniform Securities Act

    New Hampshire Adopts Uniform Securities Act
    By Jay Fishman, J.D.New Hampshire’s Governor, Maggie Hassan, signed Senate Bill 266, comprising a new uniform securities act. The bill was spurred by the Governor’s Live Free and Start Initiative and has had bipartisan legislative…
Rank this Week: 397

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: 4888

May Law, PC Blog

May Law, PC Blog

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

http://www.maylawpc.net/category/blog/
Rank this Week: 1527

New York Securities Lawyer Blog

New York Securities Lawyer Blog

Covers securities law. By Lax & Neville LLP.

http://www.newyorksecuritieslawyerblog.com/
Rank this Week: 2081

New York Securities Lawyers Blog

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

http://www.newyorksecuritieslawyersblog.com/
  • Jul 31

    Broker Brian Berger Barred From Securities Industry Over Questions Concerning Misappropriation of Customer Fund

    Broker Brian Berger Barred From Securities Industry Over Questions Concerning Misappropriation of Customer Fund
    According to a recent Acceptance, Waiver & Consent (“AWC”) submitted by broker Brian Berger with the Financial Industry Regulatory Authority (FINRA), Mr. Berger has been banned from associating with a broker-dealer in the…
  • Jul 31

    This Week at Malecki Law

    This Week at Malecki Law
      It was an eventful week at Malecki Law with prominent stories in the press, speaking engagements at legal educational organizations, appointments to bar association committees, and introduction to securities fraud in different…
  • Jul 30

    Former Securities America, Inc. Broker Adrian S. Lauer Suspended and Fined

    Former Securities America, Inc. Broker Adrian S. Lauer Suspended and Fined
    A Letter of Acceptance, Waiver and Consent (AWC) was recently accepted by Financial Industry Regulatory Authority’s (FINRA’s) Department of Enforcement from Adrian S. Lauer.  Mr. Lauer was accused of failing to disclose…
Rank this Week: 639

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: 1127

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: 519

Perry Krumsiek & Jack Law Blog

Perry Krumsiek & Jack Law Blog

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

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

    Here’s One Government Program Worth HARPing On

    Here’s One Government Program Worth HARPing On
    If you are one of the hundreds of thousands of Americans permanently traumatized by the government’s highly lauded, but horribly executed, loan modification program, take heart.  I’m here to tell you that there’s another government…
  • Feb 2

    Here’s One Government Program Worth HARPing On

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

    The Lincoln Lawyer

    The Lincoln Lawyer
    Before Abraham Lincoln became our greatest president, he was a great corporate lawyer.  And before he was a corporate lawyer, he was a brilliant trial lawyer. In the 1840s, Lincoln represented a Revolutionary War widow who had been bilked…
Rank this Week: 1455

Ponzitracker

Ponzitracker

Covers Ponzi schemes. By Jordan Maglich.

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

    SEC Charges Wisconsin Man With $10.4 Million Ponzi Scheme

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

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

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

    California Men Plead Guilty To $100 Million ATM Ponzi Scheme

    California Men Plead Guilty To $100 Million ATM Ponzi Scheme
    Two California men have entered guilty pleas to operating a massive Ponzi scheme that allegedly caused losses of over $100 million to victims who thought they were investing in a profitable ATM leasing operation.  Joel Barry Gillis, 74,…
Rank this Week: 595

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: 2779

Recover Investment Losses Blog

Recover Investment Losses Blog

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

http://blog.rexsecuritieslaw.com
Rank this Week: 329

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
Rank this Week: 1289

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

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

    Sonn|Erez Investigating Claims Involving James Madden

    Sonn|Erez Investigating Claims Involving James Madden
    Sonn|Erez is investigating claims regarding James Michael Madden (CRD #1086380, Indianapolis, Indiana). Madden recently submitted a Letter of Acceptance, Waiver and Consent ("AWC") in which he was fined $5,000 and suspended from association…
  • Jul 22

    Sonn|Erez Investigating Claims Involving Former Wells Fargo Broker Randall Girton

    Sonn|Erez Investigating Claims Involving Former Wells Fargo Broker Randall Girton
    Sonn|Erez is investigating claims regarding Randall Layne Girton (CRD #5807758, Orland Park, Illinois). Girton recently submitted a Letter of Acceptance, Waiver and Consent ("AWC") in which he was assessed a deferred fine of $12,500, which…
  • Jul 20

    Sonn|Erez Investigating Claims Involving City Securities Broker Leonard Tanner

    Sonn|Erez Investigating Claims Involving City Securities Broker Leonard Tanner
    Sonn|Erez is investigating claims regarding Leonard Eugene Tanner (CRD #442470, Indianapolis, Indiana). Tanner recently submitted a Letter of Acceptance, Waiver and Consent ("AWC") in which he was fined $15,000 and suspended from association…
Rank this Week: 522

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: 4697