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The Race to the Bottom

The Race to the Bottom

A faculty-student collaboration on corporate governance. By Professor J. Robert Brown, Jr.

http://www.theracetothebottom.org/
  • Jul 23

    The Affordable Care Act, the DC Circuit, and the SEC

    The Affordable Care Act, the DC Circuit, and the SEC
    Yesterday, two circuit courts issued opposite decisions on the Affordable Care Act. The Fourth Circuit held that individuals could obtain subsidies through the federal healthcare site. The D.C. Circuit, by a vote of 2-1 held the reverse. The…
  • Jul 22

    Tagging, Extensions, and Ensuring Comparability: The Role of the SEC (Part 2)

    Tagging, Extensions, and Ensuring Comparability: The Role of the SEC (Part 2)
    DERA (Division of Economic and Risk Analysis) conducted a study of XBRL files to assess the quality. As part of the examination, DERA analyzed the use of "custom tags." The news was at best mixed or, as DERA put it, "[o]ur assessment suggests…
  • Jul 21

    Tagging, Extensions, and Ensuring Comparability: The Role of the SEC (Part 1)

    Tagging, Extensions, and Ensuring Comparability: The Role of the SEC (Part 1)
    Issuers have been required to "tag" their financial statements since 2009 (although the requirement was phased in for issuers over a number of years, with the last group becoming subject to the requirements in 2011).  Tagging the…
Rank this Week: 34

Securities Lawyer 101

Securities Lawyer 101

Covers securities enforcement, securities law and going public matters. By Hamilton & Associates.

http://www.securitieslawyer101.com/blog/
  • Sep 10

    Corporate Hijackings 101 l Securities Lawyer 101 Blog

    Corporate Hijackings 101 l Securities Lawyer 101 Blog
    Securities Lawyer 101 Blog Corporate hijackings, also known as corporate identity theft, of public shell companies has been around for more than a decade.  It  is a growing method used by fraudsters to acquire…
  • Feb 26

    George Theodule Sentenced to 150 Month

    George Theodule Sentenced to 150 Month
    On February 26, 2014, the FBI announced George Louis Theodule, 52, a former resident of Wellington, Florida was sentenced to 150 months in prison, to be followed by three years of supervised release. Theodule previously pled guilty to wire…
  • Feb 26

    SEC Charges Arizona-Based Equity Fund l Securities Lawyer 101

    SEC Charges Arizona-Based Equity Fund l Securities Lawyer 101
    Securities Lawyer 101 Blog On February 26, 2014, the Securities and Exchange Commission (the “SEC”) announced charges against an Arizona-based private equity fund manager and his investment advisory firm for…
Rank this Week: 73

Ponzitracker

Ponzitracker

Covers Ponzi schemes. By Jordan Maglich.

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

    Florida Cop Gets 5-Year Sentence For Rothstein Ties, Including Illegal Arrest

    Florida Cop Gets 5-Year Sentence For Rothstein Ties, Including Illegal Arrest
    "Mr. Benjamin, while wearing the cloak of BSO authority, engineered the arrest and incarceration of an innocent citizen.  This was done purely for financial gain. This conduct is deplorable — it is unconscionable." - U.S. District…
  • Jul 18

    Appeals Court Rules Stanford Victims Ineligible For SIPC Coverage

    Appeals Court Rules Stanford Victims Ineligible For SIPC Coverage
    A federal appeals court affirmed that victims of Allen Stanford's massive $7 billion Ponzi scheme - the second largest scheme in history behind only Bernard Madoff's scheme - are not "customers" of Stanford's American-based bank and thus not…
  • Jul 17

    Florida Radio Host Charged In $3.1 Million Ponzi Scheme Targeting Haitian

    Florida Radio Host Charged In $3.1 Million Ponzi Scheme Targeting Haitian
    Florida law enforcement officials raided the office of a Florida radio personality Thursday morning and later arrested the man on charges that he ran a $3.1 million Ponzi scheme that targeted Haitian-Americans.  Philippe Bourciquot faces…
Rank this Week: 75

The White Law Group's Securities…

The White Law Group's Securities Fraud Blog

Covers securities fraud cases, investment fraud practices and securities industry regulations.

http://www.whitesecuritieslaw.com/securities-fraud/blog/
  • Jul 22

    New Jersey Broker Allegedly Diverts $900,000 to Personal Bank Account

    New Jersey Broker Allegedly Diverts $900,000 to Personal Bank Account
    Did you suffer investment losses as a result of your dealings with former New Jersey broker, John Montague? If so, The White Law Group may be able to help recoup some of your investment losses. According to a press release from the U.S.…
  • Jul 22

    Berle Lorenzo Stocks barred from securities industry.

    Berle Lorenzo Stocks barred from securities industry.
    According to a FINRA disciplinary action announcement, Berle Lorenzo Stocks (CRD #1513263, Charlotte, North Carolina) recently submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member…
  • Jul 22

    Gabriel Nelson Smith barred from securities industry.

    Gabriel Nelson Smith barred from securities industry.
    According to a FINRA disciplinary action announcement, Gabriel Nelson Smith (CRD #2950071, Nashville, Tennessee) recently was barred from association with any FINRA member in any capacity and ordered to pay $200,000, plus interest, in…
Rank this Week: 125

Stock Broker Fraud Blog

Stock Broker Fraud Blog

Covers broker fraud, investor fraud, marketing timing, and securities fraud. By Shepherd Smith Edwards & Kantas.

http://www.stockbrokerfraudblog.com/
  • Jul 17

    FINRA Wants To Delay Implementing Rule Impacting Nontraded REIT Customers' Statement

    FINRA Wants To Delay Implementing Rule Impacting Nontraded REIT Customers' Statement
    The Financial Industry Regulatory Authority wants the Securities and Exchange Commission to grant a delay in the implementation of proposed changes to rule 2340, which impacts customer account statements. The self-regulatory organization had…
  • Jul 16

    Natural Blue Resources Inc. & Microcap Stock Scammers Accused of Hiding Previous Violation

    Natural Blue Resources Inc. & Microcap Stock Scammers Accused of Hiding Previous Violation
    The Securities and Exchange Commission has filed charges against microcap company Natural Blue Resources Inc. and four persons for purportedly hiding from investors that two of them had previously broken the law. The regulator has suspended…
  • Jul 15

    FINRA May Expel Ex-Broker For $6M Hedge Fund

    FINRA May Expel Ex-Broker For $6M Hedge Fund
    Dean Mustaphalli, an ex-Sterne Agee Financial Services Inc. broker, could be barred from the industry over allegations that he ran a $6 million hedge fund on the side. According to the Financial Industry Regulatory Authority Inc., Mustaphalli…
Rank this Week: 139

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
Rank this Week: 145

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
  • Jul 18

    Attorney Mark Maddox named to FINRA’s Arbitrartion Task Force

    Attorney Mark Maddox named to FINRA’s Arbitrartion Task Force
    We are proud to share that Attorney Mark Maddox will be part of FINRA’s new arbitration task force. Click this link for details: http://www.finra.org/Newsroom/NewsReleases/2014/P554192The post Attorney Mark Maddox named to FINRA’s…
  • Jul 16

    Know the risks of “Liquid-alternative funds” before you invest!

    Know the risks of “Liquid-alternative funds” before you invest!
    Liquid-alternative funds are increasing rapidly in popularity, with investors pouring $40 billion into them in 2013, according to Morningstar. This year through June, they have taken in $14.6 billion. “Liquid alternative” mutual…
  • Jul 11

    FINRA Fines Merrill Lynch $8 Million & Millions Repaid to Retirement Accounts and Charitie

    FINRA Fines Merrill Lynch $8 Million & Millions Repaid to Retirement Accounts and Charitie
    FINRA announced last month that they fined Merrill Lynch, Pierce, Fenner & Smith, Inc. $8 million for failing to waive mutual fund sales charges for certain charities and retirement accounts. Merrill Lynch was ordered to pay $24.4 million…
Rank this Week: 172

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

http://www.seclawyersblog.com/
  • Jun 17

    Sonn|Erez Investigating Claims Involving Richard Ohlhaber and Sales of Life Partners Investment

    Sonn|Erez Investigating Claims Involving Richard Ohlhaber and Sales of Life Partners Investment
    Sonn|Erez is investigating claims regarding Richard Ohlhaber (CRD #2154794). Ohlhaber accepted FINRA's Offer of Settlement, in which he was barred from association with any FINRA member in any capacity. See FINRA Case #2012032077901.Ohlhaber…
  • Jun 10

    Sonn|Erez Investigating Claims Involving Florlena Cortez (Brownsville, Texas)

    Sonn|Erez Investigating Claims Involving Florlena Cortez (Brownsville, Texas)
    Sonn|Erez is investigating claims regarding Florlena Cortez (CRD #4339441, Brownsville, Texas). Cortez submitted a Letter of Acceptance, Waiver and Consent in which she was barred from association with any FINRA member in any capacity. See…
  • Jun 2

    FINRA Cautions Investors on the Risks of High Yield CD

    FINRA Cautions Investors on the Risks of High Yield CD
    FINRA recently issued an Investor Alert, "High Yield CDs: Red Flags That Signal a Scam" warning investors about promotions of certificates of deposit (CDs) promising interest rates substantially higher than current averages. In the Alert,…
Rank this Week: 207

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: 204

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: 215

The D & O Diary

The D & O Diary

News and commentary on Directors and Officers Liability. By Kevin M. LaCroix.

http://www.dandodiary.com/
  • Jul 23

    Advisen Releases 2014 First Half Corporate and Securities Litigation Report

    Advisen Releases 2014 First Half Corporate and Securities Litigation Report
    The level of all corporate and securities filings continued to decline in the second quarter of 2014 as filing activity returns to levels that prevailed before the financial crisis, according to the latest quarterly D&O claims activity…
  • Jul 23

    Management Liability Insurance and Immigration Enforcement

    Management Liability Insurance and Immigration Enforcement
    In a May 1, 2014 opinion (here), District of Kansas Judge Sam A. Crow, applying Illinois law, held that neither the EPL insurance coverage part nor the D&O insurance coverage part of a restaurant company’s management liability…
  • Jul 22

    Guest Post: Bylaws and Arbitration

    Guest Post: Bylaws and Arbitration
    For many years, business groups and corporate representatives have tried to reform shareholder litigation through legislation and case law development, with mixed success. However, in more recent years an interesting new initiative has…
Rank this Week: 220

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/
  • Jul 22

    Delaware Court of Chancery Rejects Indemnification Sleight of Hand

    Delaware Court of Chancery Rejects Indemnification Sleight of Hand
    In Branin v. Stein Roe Inv. Counsel, LLC, C.A. 8481-VCN, 2014 WL 2961084 (Del. Ch. June 30, 2014), the Delaware Court of Chancery held that a vested right to indemnification may not be rescinded by a subsequent amendment to the governing…
  • Jul 15

    Is Your Out-of-State LLC “Doing Business” in California?

    Is Your Out-of-State LLC “Doing Business” in California?
    Individuals and entities, including those from outside California, who invest in or do business through an out-of-state limited liability company (“LLC”) may be surprised to find out that they have filing obligations and tax…
  • Jul 7

    Second Circuit Overturns District Court’s Rejection of SEC-Citigroup Fraud Settlement

    Second Circuit Overturns District Court’s Rejection of SEC-Citigroup Fraud Settlement
    In a closely-watched decision involving judicial review of agency settlements, the Unites States Court of Appeals for the Second Circuit vacated United States District Court Judge Jed Rakoff’s 2011 order rejecting a proposed $285…
Rank this Week: 224

Sharesleuth.com

Sharesleuth.com

Offers investigative reporting aimed at exposing securities fraud. By Chris Carey.

http://sharesleuth.com/
Rank this Week: 268

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
Rank this Week: 316

Securities Law Prof Blog

Securities Law Prof Blog

Covers securities arbitration, state securities law, court decisions and law review articles. By Eric C. Chaffee.

http://lawprofessors.typepad.com/securities/
  • Jul 17

    Chan, Chan & Ho on Insider Trading Law in Hong Kong

    Chan, Chan & Ho on Insider Trading Law in Hong Kong
    Hon Kiu Chan, Raymond Siu Yeung Chan, and Kong Shan John Ho have posted Enforcement of Insider Trading Law in Hong Kong: What Insights Can We Learn from Recent Convictions? on SSRN with the following abstract: This study analyzes all...
  • Jul 17

    Rapp on SOX and Dodd-Frank

    Rapp on SOX and Dodd-Frank
    Geoffrey Christopher Rapp has posted Are SOX and Dodd-Frank Securities Laws? The Answer is 'Up in the Air' on SSRN with the following abstract: This contribution to the 2013 Instittue for Investor Protection Conference poses and addresses the…
  • Jul 17

    Wang & Sallehu on Available-for-Sale Securities of US Bank

    Wang & Sallehu on Available-for-Sale Securities of US Bank
    Richard Zhe Wang and Menghistu Sallehu have posted The Hidden Message in AFS Securities of US Banks on SSRN with the following abstract: We examine US banks’ use of available-for-sale (“AFS”) securities to smooth their earnings during…
Rank this Week: 343

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: 379

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Jul 23

    Shareholder Engagement: Should Directors Be Politicians? 10 Things to Consider

    Shareholder Engagement: Should Directors Be Politicians? 10 Things to Consider
    I know the title of this particular blog sounds sensational – but the opening of this DealBook column by Andrew Ross Sorkin about shareholder engagement is “What if lawmakers never spoke to their constituents?” So let me…
  • Jul 22

    How to Make Video Interviews With Director

    How to Make Video Interviews With Director
    In this podcast, John Seethoff of Microsoft explains how the company has showcased its directors through video interviews, including: - Why did Microsoft decide to tape videos of the directors? - How do I find the videos? - What typically is…
  • Jul 21

    Proxy Advisors: How Investors Can Diligence ISS

    Proxy Advisors: How Investors Can Diligence ISS
    In response to the SEC’s recent Staff Legal Bulletin that deals with the responsibilities of investment advisers to vote and hire proxy advisors, ISS has posted a host of resources to help investors conduct due diligence, including this…
Rank this Week: 468

InvestorLawyers.net

InvestorLawyers.net

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

http://www.investorlawyers.net/blog/
  • Jun 23

    Investor Files FINRA Arbitration Claim Against First Allied Regarding Private Equitie

    Investor Files FINRA Arbitration Claim Against First Allied Regarding Private Equitie
    Stockbroker arbitration lawyers are looking into accusations made against First Allied Securities, Inc. and broker Rami Yahalom regarding risky investments in AE Luxtera Investments II, LLC, a private technology start-up company. According to…
  • Jun 18

    FINRA Bars Wade James Lawrence from Financial Industry

    FINRA Bars Wade James Lawrence from Financial Industry
    Recently, Wade James Lawrence was barred from the financial industry by the Financial Industry Regulatory Authority (FINRA). Investors’ rights lawyers are exploring accusations made against Lawrence regarding misappropriation of funds…
  • Jun 16

    Ameriprise Told to Pay $1.17 Million to Elderly Couple after Unsuitable Real Estate Investment

    Ameriprise Told to Pay $1.17 Million to Elderly Couple after Unsuitable Real Estate Investment
    Investors’ rights lawyers are advising senior investors to stay alert when looking at potential investment opportunities.  Recently,  a Financial Industry Regulatory Authority (FINRA) panel entered an arbitration award in…
Rank this Week: 452

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 23

    Facebook/Oculus VR Acquisition Raises Pseudo-Foreign Corporation Question

    Facebook/Oculus VR Acquisition Raises Pseudo-Foreign Corporation Question
    Yesterday, The Guardian reported that Facebook had acquired Oculus VR using a combination of cash and stock.  Facebook avoided SEC registration by availing itself of a fairness hearing before the Department of Business Oversight.…
  • Jul 22

    California Dividend Statutes Found To Preempt Common Law Claim

    California Dividend Statutes Found To Preempt Common Law Claim
    Chapter 5 of the California Corporations Code imposes specific limitations on “distributions to shareholders”, a term defined in Corporations Code section 166.  Directors who approve the making of any distribution to…
  • Jul 21

    Californians To Vote On Stripping Common Cause Of Its First Amendment Right

    Californians To Vote On Stripping Common Cause Of Its First Amendment Right
    I recently wrote about SB 1272 (Lieu) which calls a special election for this November 4 at which California voters will be able to cast an advisory vote on whether the U.S. Constitution should be amended to overturn the U.S. Supreme…
Rank this Week: 554

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 15

    Should entrepreneurs care about crowdfunding? It depends on the crowd.

    Should entrepreneurs care about crowdfunding? It depends on the crowd.
    By Jack J. Gravelle It has been more than two years since the JOBS Act was passed and almost nine months since the SEC proposed crowdfunding rules — but still no final rules. Should entrepreneurs care? Probably not. The proposed SEC…
  • Jul 14

    Citigroup’s $7 billion settlement allows them to “focus on the future”

    Citigroup’s $7 billion settlement allows them to “focus on the future”
    By W. Kelly Johnson U.S. Attorney General Eric Holder and Citigroup announced today that Citigroup will pay $7 billion to settle a U.S. Department of Justice (DOJ) investigation into allegations that it defrauded investors by selling shoddy…
  • Jul 2

    Beware of antitrust laws’ extraterritorial reach

    Beware of antitrust laws’ extraterritorial reach
    By Jay Levine and Jason Starling In an increasingly global economy, it is becoming more and more common for a product to be sold outside of the U.S. but find its way to the U.S., either as a resale or as part of a finished downstream product.…
Rank this Week: 513

Tim O'Connor's Blog

Tim O'Connor's Blog

Covers stockbroker fraud.

http://stockbrokerlaw.com/tim-oconnors-blog
  • Jul 21

    New York State Deferred Compensation Plan Beneficiary Designation

    New York State Deferred Compensation Plan Beneficiary Designation
    The New York State Deferred Compensation Plan is presently administered through Nationwide, and curiously, beneficiary designation forms must be mailed to an address in Ohio, not New York State. The New York State Deferred Compensation Plan…
  • Jun 30

    FINRA Investor Alert: IRA Rollover Tip

    FINRA Investor Alert: IRA Rollover Tip
    The Financial Industry Regulatory Authority (FINRA) issued an investor alert entitled The IRA Rollover: Ten Tips to Making Sound Decision. As many Americans face the decision to either keep their retirement nest egg with a former employer…
  • Jan 6

    Become a FINRA Arbitrator

    Become a FINRA Arbitrator
    The Office of Dispute Resolution of the Financial Industry Regulatory Authority (FINRA) is currently seeking experienced professionals, citizens, and members of the community to serve as arbitrators on FINRA arbitration panels.  Notably,…
Rank this Week: 624

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/
  • Jul 18

    An Important Tip On Appealing A Decision From The NC Business Court

    An Important Tip On Appealing A Decision From The NC Business Court
    The Business Court is electronic.  Paper copies of documents are not filed with the Business Court.  So when you e-file a Notice of Appeal, is that sufficient for purposes of Rule 3 of the NC Rules of Appellate Procedure? Let's look…
  • Jul 8

    Pro Se Defendant Wins Trial On Breach Of Fiduciary Duty Claims In Business Court

    Pro Se Defendant Wins Trial On Breach Of Fiduciary Duty Claims In Business Court
    When I was a young pup preparing to go to court against the uncommon adversary who was proceeding without a lawyer, I would joke that "I hope I don't lose."  Luckily, I never did. But the Plaintiff in Seraph Garrison, LLC v. Garrison,…
  • Jul 3

    Business Court Refuses To Admit University Of Maryland's Lawyers On A Pro Hac Basi

    Business Court Refuses To Admit University Of Maryland's Lawyers On A Pro Hac Basi
    The lawsuit filed by the Atlantic Coast Conference against the University of Maryland continues to percolate in the North Carolina Business Court.  But the University will have to proceed without its chosen attorneys, as the Court last…
Rank this Week: 621

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 18

    Stockbroker Failed To Timely Disclose Attempted Child Rape Felony Charge

    Stockbroker Failed To Timely Disclose Attempted Child Rape Felony Charge
    This one ain't pretty and there's sure as hell nothing here to laugh about. In 2012, a stockbroker finds himself charged with felony child molestation and felony attempted rape of a child. Eventually, he pleads to three misdemeanors of…
  • Jul 18

    EMPLOYMENT TUESDAY at BrokeAndBroker.com

    EMPLOYMENT TUESDAY at BrokeAndBroker.com
    Stockbroker, Compliance, Legal, and Regulatory JobsEmployment Page BrokeAndBroker.com Jobs...
  • Jul 17

    Authorized Signing of Customer's Name Derails Stockbroker

    Authorized Signing of Customer's Name Derails Stockbroker
    The customer says: Listen, I'm on the road and can't do it. Go ahead and sign my name. It's okay. The stockbroker is uneasy and asks: You sure that you can't sign it and return it to me? With a bit of rising annoyance, the…
Rank this Week: 575

William Carleton, Counselor @ Law

William Carleton, Counselor @ Law

Covers legal and investment issues facing emerging tech companies.

http://www.wac6.com/wac6/
  • Jun 25

    Where I've been

    Where I've been
    Friends, I want to thank you for all the support you've given this blog over the past three or four years. It's been a good run. Two or three years ago, I started blogging every day, and that was the...
  • Jun 18

    The world is not totally fucked up: Exhibit A

    The world is not totally fucked up: Exhibit A
    Here is Exhibit A for the proposition that the world is not, in fact, totally and completely fucked up: sculpture being readied, as we speak, at Jefferson Park in Seattle. What's more, this public art is to be "skateable." I...
  • May 20

    If it ain't broke, don't fix it

    If it ain't broke, don't fix it
    Time again to safeguard the current accredited investor standard.
Rank this Week: 656

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: 637

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Jul 22

    Broker Richard Lewis Suspended for Complaints of Unauthorized Trading

    Broker Richard Lewis Suspended for Complaints of Unauthorized Trading
    The investment fraud attorneys at Fitapelli Kurta are investigating claims involving Richard Lewis.   He is also known as Rick Lewis.  Richard, or Rick, Lewis is currently employed with J.W. Cole Financial, Inc. but was previously…
  • Jul 21

    REIT Investigation: Strategic Realty Trust, Inc. (Formerly TNP Strategic Realty Trust)

    REIT Investigation: Strategic Realty Trust, Inc. (Formerly TNP Strategic Realty Trust)
    Fitapelli Kurta is investigating claims on behalf of investors of Strategic Realty Trust, Inc., formerly known as the TNP Strategic Realty Trust Inc.  Strategic Realty Trust (TNP Strategic Realty Trust) is a non-traded REIT, which means…
  • Jul 21

    Attorney Investigation: Jason Muskey & Muskey Financial Service

    Attorney Investigation: Jason Muskey & Muskey Financial Service
    Fitapelli Kurta is investigating complaints against Mossic, PA based financial advisor, Jason Muskey and his company, Muskey Financial Services.  Both Jason Muskey and Muskey Financial Services were associated with Ameritas Investment…
Rank this Week: 782

Securities Law Blog

Securities Law Blog

Features news, commentary and thoughts on the law of the securities markets. By Mark Astarita.

http://seclaw.blogspot.com/
  • Jul 17

    FINRA Announces Arbitration Task Force

    FINRA Announces Arbitration Task Force
    FINRA announced today the formation of a 13-member Arbitration Task Force to consider possible enhancements to its arbitration forum to improve the transparency, impartiality and efficiency of FINRA's securities arbitration forum for all…
  • Jul 15

    Citigroup 7 Billion Dollar Mortgage Backed Securities Settlement

    Citigroup 7 Billion Dollar Mortgage Backed Securities Settlement
    Citigroup Inc. (C) agreed to pay $7 billion in fines and consumer relief to resolve government claims that it misled investors about the quality of mortgage-backed bonds sold before the 2008 financial crisis. The bank took a $3.7 billion…
  • Jul 14

    Jennifer Pacella: Bounties for Bad Behavior: Rewarding Culpable Whistleblowers under the Dodd-Frank Act and Internal Revenue Code

    Jennifer Pacella: Bounties for Bad Behavior: Rewarding Culpable Whistleblowers under the Dodd-Frank Act and Internal Revenue Code
    Abstract:     In 2012, Bradley Birkenfeld received a $104 million reward or “bounty” from the Internal Revenue Service (“IRS”) for blowing the whistle on his employer, UBS, which facilitated a major…
Rank this Week: 793

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: 843

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • Jul 23

    SEC RARELY SEEKS TO POSSESS ELECTRONIC DEVICES

    SEC RARELY SEEKS TO POSSESS ELECTRONIC DEVICES
    SEC staff has been instructed to seek subpoenas for devices such as computer hard drives and cell phones only rarely. In many cases, there could be unintended consequences, such as exposing authorities to other sensitive materials on a device…
  • Jul 22

    NEW YORK AG PUSHES FOR COLLABORATION TO COMBAT NEW FORMS OF INSIDER TRADING

    NEW YORK AG PUSHES FOR COLLABORATION TO COMBAT NEW FORMS OF INSIDER TRADING
    New York Attorney General Eric Schneiderman is pushing for better cooperation with the financial industry and federal lawmakers to combat emerging insider-trading threats.  While he commended competition among financial services firms,…
  • Jul 21

    What Are You Doing About Cyber-Security

    What Are You Doing About Cyber-Security
    It was apparently not enough that the SEC and FINRA made cyber-security an exam priority for 2014, but the Department of the Treasury has now focused on this pervasive issue.  In recent comments, Treasury Secretary Lew has urged…
Rank this Week: 1070

White Collar Fraud

White Collar Fraud

Covers white collar crime, securities fraud, the accounting profession, internal controls and Sarbanes-Oxley. By Sam E. Antar.

http://whitecollarfraud.blogspot.com/
  • Jul 22

    Do Nu Skin Inventory Red Flags Spell Trouble Ahead?

    Do Nu Skin Inventory Red Flags Spell Trouble Ahead?
    Last Friday morning, a comment posted on Twitter by Marc Cohodes about Nu Skin Enterprises (NYSE: NUS), a Utah based multi-level marketing company, caught my curiosity. Cohodes is a legendary short-seller with an excellent track record and…
  • Jul 16

    Indicted Former Utah Attorney General Mark Shurtleff was bribed by Overstock.com too

    Indicted Former Utah Attorney General Mark Shurtleff was bribed by Overstock.com too
    My experience in dealing with former Utah Attorney General Mark Shurtleff goes way back. On October 30, 2007, Overstock.com (NASDAQ: OSTK) paid him $5,000 purportedly as a "campaign contribution." Two weeks later, Overstock.com issued a press…
  • Jul 8

    A Felon’s View of White-Collar Crime - Why Society is Very Vulnerable to Fraud

    A Felon’s View of White-Collar Crime - Why Society is Very Vulnerable to Fraud
    White-collar crime is more brutal than violent crime. The actions of one or a few corrupt public officials and corrupt businessmen can affect the livelihoods of thousands, even millions of people. Fraudsters use a combination of persuasion…
Rank this Week: 1008

Cady Bar the Door

Cady Bar the Door

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

http://www.secmiscellany.com
  • Jul 20

    Foreign Pink Sheets Companies and the FCPA

    Foreign Pink Sheets Companies and the FCPA
    Penny stock companies have been much in the news recently.  They can be tough entities for law enforcement to look into given that their officers and directors are often not inclined to cooperate with government investigations. …
  • Jul 14

    Three Thoughts about FINRA’s Weird Japanese Insider Trading Case

    Three Thoughts about FINRA’s Weird Japanese Insider Trading Case
    One of the things you’re not supposed to do if you’re in the securities business – or any business, really – is buy and sell securities on the basis of material, nonpublic information in breach of a duty not to do…
  • Jun 29

    D.C. Circuit Bolsters Attorney-Client Privilege in Internal Investigation

    D.C. Circuit Bolsters Attorney-Client Privilege in Internal Investigation
    You may remember that in March, the U.S. District Court in D.C. threw the corporate world into a bit of a tizzy with a ruling that documents related to an internal investigation at Kellogg Brown & Root were not privileged and subject to…
Rank this Week: 1066

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: 881

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • Mar 28

    Defamation v. Tortious Interference

    Defamation v. Tortious Interference
    Most of us have at least a “street-level” understanding of defamation. Individuals that hear or read damaging false statements about themselves or their business typically think: “I need to find a defamation lawyer.”…
  • Mar 19

    Defamation Reputation Damage Management

    Defamation Reputation Damage Management
    In 1378, the Statute of Scandalum Magnatum granted judges and church officials in England a legal right to compensation if they had been insulted or defamed. The first Common Law defamation action on record was filed in England in 1507. …
  • Mar 12

    Missouri Supreme Court Rejects Trade Secret Claim Over Client List

    Missouri Supreme Court Rejects Trade Secret Claim Over Client List
    Troy Kennedy (Kennedy”) left his position as director and executive officer of a trust and investment company when that company was bought by Central Trust & Investment Company (“CTI”). Kennedy left to found a competing…
Rank this Week: 878

Wall Street Investment Fraud…

Wall Street Investment Fraud Lawyer Blog

Covers Ponzi schemes, investment fraud, and other scams. By The Doss Firm.

http://www.wallstreetinvestmentfraudlawyer.com/
  • Jan 13

    STIFEL NICOLAUS AND CENTURY SECURITIES CONSENT TO FINES OVER IMPROPER SALES OF LEVERAGED AND INVERSE ETFS

    STIFEL NICOLAUS AND CENTURY SECURITIES CONSENT TO FINES OVER IMPROPER SALES OF LEVERAGED AND INVERSE ETFS
    According to a recent news release, the Financial Industry Regulatory Authority (FINRA) has fined Stifel, Nicolaus & Company, Incorporated and an affiliate $550,000 ordered them to pay approximately $475,000 in restitution to 65 customers…
  • Jan 9

    J. P. Morgan Chase Avoids Criminal Prosecution for Hosting Madoff Fraud

    J. P. Morgan Chase Avoids Criminal Prosecution for Hosting Madoff Fraud
    Banking giant J. P. Morgan Chase has reached a deal with federal prosecutors to avoid criminal prosecution for its role in the Bernard Madoff Ponzi scheme. According to the prosecutors, J. P. Morgan, which had custody of Madoff accounts,…
  • Jan 9

    FINRA IDENTIFIES AREAS OF CONCERN FOR INVESTORS

    FINRA IDENTIFIES AREAS OF CONCERN FOR INVESTORS
    Each year, the Financial Industry Regulatory Authority (FINRA) publishes a letter to the financial services industry identifying its regulatory and examination priorities. FINRA is the industry's "self-regulatory organization," which is…
Rank this Week: 1104

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: 1103

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…
  • Jul 18

    Bank of America Settles RMBS Allegations with AIG for $650M

    Bank of America Settles RMBS Allegations with AIG for $650M
    Bank of America Corp. (BAC) has paid American International Group Inc. (AIG) $650 million to settle residential mortgage-backed securities fraud claims. The insurer had originally asked for $10 billion when it filed its RMBS fraud lawsuit in…
  • Jul 17

    Barclays and Deutsche Bank Under Scrutiny Over Barrier Options Transaction

    Barclays and Deutsche Bank Under Scrutiny Over Barrier Options Transaction
    The U.S. Senate Permanent Subcommittee on Investigations plans to conduct a hearing over what it believes are abusive transactions made by financial institutions. Bloomberg is reporting that Deutsche Bank AG (DBK), Barclays PLC (BARC), and…
Rank this Week: 1218

Business Blog

Business Blog

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

http://www.businesslawnews.com/
  • Jul 23

    Will Uber Win the Battle of the Taxi or Succumb to Business Regulation?

    Will Uber Win the Battle of the Taxi or Succumb to Business Regulation?
    Uber records approximately one million ride requests each week and is now valued at an estimated $18.2 billion. Despite its surging popularity with riders, the company continues to face strong resistance from regulators and traditional taxis…
  • Jul 22

    NJ “Ban the Box” Bill Headed to Gov. Christie’s Desk

    NJ “Ban the Box” Bill Headed to Gov. Christie’s Desk
    New Jersey may soon be the latest state to “ban the box.” Late last month, the state legislature passed the Opportunity to Compete Act, which would restrict the use of criminal background checks by New Jersey employers. The bill…
  • Jul 21

    ERISA Class Action Settlement Results in Business Reforms (Not Payment)

    ERISA Class Action Settlement Results in Business Reforms (Not Payment)
    Horizon Blue Cross Blue Shield of New Jersey Inc. (Horizon) will alter its business practices and pay $2.5 million in attorney’s fees under the terms of a class action settlement approved in federal court last week. The suit alleged the…
Rank this Week: 1558

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
Rank this Week: 1363

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 23

    Exclusive Forum Bylaws: California State Court Follows Delaware

    Exclusive Forum Bylaws: California State Court Follows Delaware
    Here’s news excerpted from this Ropes & Gray newsletter: State and federal courts in California have gone different directions on whether to follow Delaware’s lead in enforcing forum selection provisions in bylaws. In 2011,…
  • Jul 18

    Court Finds CFIUS Violated Company’s Due Process Right

    Court Finds CFIUS Violated Company’s Due Process Right
    As noted in this Skadden memo: “On July 15, 2014, the U.S. Court of Appeals for the District of Columbia ruled that President Obama and CFIUS unconstitutionally deprived Ralls Corporation of its property rights by forcing it to divest…
  • Jul 16

    July-August Issue: Deal Lawyers Print Newsletter

    July-August Issue: Deal Lawyers Print Newsletter
    This July-August Issue of the Deal Lawyers print newsletter includes: - Materiality Scrapes Trending Upward in Private Deals - Hushmail: Are Activist Hedge Funds Breaking Bad? - Recent Trends: Antitrust & Regulatory Risk-Shifting in…
Rank this Week: 1354

Business Law Post

Business Law Post

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

http://www.businesslawpost.com
  • Jul 22

    Should Startups Have Boards of Directors?

    Should Startups Have Boards of Directors?
    All corporations are required to have a board of directors by law. LLCs are not. However, an LLC can be structured so as to have a board of managers (some even refer to managers as directors). At formation, founders become the sole…
  • Jul 19

    The SEC Will Likely Update its Definition of “Accredited Investors” Very Soon

    The SEC Will Likely Update its Definition of “Accredited Investors” Very Soon
    Most of the startup capital comes from accredited investors through investments made in reliance upon Rule 506 of Regulation D.  According to a study by the University of New Hampshire’s Center for Venture Research, in 2013, almost…
  • Jul 11

    How to Verify That Your Investor is Accredited - The SEC Provides New Explanations Regarding Rule 506(c) Offering

    How to Verify That Your Investor is Accredited - The SEC Provides New Explanations Regarding Rule 506(c) Offering
    On July 3, 2014 (right on my birthday), the SEC issued six compliance and disclosure interpretations (“CD&Is”) regarding the use of verification methods for determining whether a prospective investor is accredited. First, a…
Rank this Week: 1205

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Jul 18

    Doubling Down

    Doubling Down
    In Spitzberg v. Houston American Energy Corp., 2014 WL 3442515 (5th Cir. July 15, 2014), the Fifth Circuit reversed the dismissal of a securities class action based on alleged false statements concerning oil and gas reserves. The decision…
  • Jul 11

    Comparing Lychee

    Comparing Lychee
    Securities class actions brought against China-based companies often allege discrepancies between the company's Chinese regulatory filings and SEC filings. In that type of case, the plaintiff must allege at least some facts to support that…
  • Jun 23

    Halliburton Decided

    Halliburton Decided
    The U.S. Supreme Court has issued a decision in the Halliburton case holding that defendants can rebut the fraud-on-the-market presumption of reliance at the class certification stage with evidence of a lack of stock price impact. It is a…
Rank this Week: 1279

Startup Law Blog

Startup Law Blog

Covers legal and regulatory developments in startup, securities law and regulation. By Joe Wallin.

http://www.startuplawblog.com/
  • Jun 29

    Is Title III Equity Crowdfunding Going to Work?

    Is Title III Equity Crowdfunding Going to Work?
    I was invited to appear on HuffPost TV the other day, to talk about crowdfunding. The conversation quickly turned into a discussion of the potential negatives of crowdfunding, and the risks. Then there was this article in Salon, with the…
  • Jun 27

    How to Design for Human

    How to Design for Human
    by Bryce Merrill, SVP Fast Pitch Marketing Team The first SVP Fast Pitch Jumpstart Workshop, “How to Design for Humans” took place at Impact Hub Seattle on Wednesday, June 11. The Jumpstart Workshop series is…
  • Jun 19

    Come Meet Dan Levitan of Maveron

    Come Meet Dan Levitan of Maveron
    Seattle is privileged to have a number of outstanding VCs. In the select group that have put our community on the national/global map for venture capital is Dan Levitan. If you are not familiar with Dan, he’s the guy who ……
Rank this Week: 1541

New York Securities Lawyers Blog

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

http://www.newyorksecuritieslawyersblog.com/
  • May 9

    Bitcoin Update: Alerts and Guidance Issued by the SEC, FINRA and IRS

    Bitcoin Update: Alerts and Guidance Issued by the SEC, FINRA and IRS
    It's Buyer Beware, according to guidance and alerts issued recently by the SEC, FINRA and IRS concerning risks inherent in Bitcoin. Bitcoin is described by all three offices as a decentralized, peer-to-peer virtual currency that can be used…
  • Apr 25

    Oil and Gas Limited Partnerships Can Be Extremely Risky Investment

    Oil and Gas Limited Partnerships Can Be Extremely Risky Investment
    Much has been made in the recent months about supposed growth in the oil and gas markets, including speculation, such as the recent article on www.forbes.com that increasing demand will be preceded by increased investment in infrastructure…
  • Apr 25

    Is Your Broker Charging You A Fair Commission?

    Is Your Broker Charging You A Fair Commission?
    Is your broker charging you a fair commission? Not surprisingly, many investors do not fully understand how much they are paying in fees and commissions to their broker-dealer, and disparities from firm to firm can be wide and difficult to…
Rank this Week: 1509

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: 1307

Securities Law Blog

Securities Law Blog

News and comments on securities law. By The Frankowski Firm, LLC

http://www.securitieslaw-blog.com/
  • Jul 23

    Citigroup Avoids FINRA Arbitration, Still To Pay $590M

    Citigroup Avoids FINRA Arbitration, Still To Pay $590M
    A federal judge in New York ruled this week that Citigroup would not have to face FINRA arbitration regarding claims that its stock dropped precipitously after it hid securitized-loan losses because an arbitration would violate an already…
  • Jul 22

    Company Cofounded By Nancy Pelosi’s Son Charged With Securities Fraud

    Company Cofounded By Nancy Pelosi’s Son Charged With Securities Fraud
    Natural Blue Resources Inc., a company cofounded by Nancy Pelosi’s son, Paul Pelosi Jr., was charged with securities fraud last week after the SEC discovered that two convicted criminals were at the company’s helm. Pelosi Jr. was…
  • Jul 21

    Golfing Buddies Charged With Insider Trading

    Golfing Buddies Charged With Insider Trading
    Earlier this month, the SEC charged a group of golfing buddies with trading on inside information about American Superconductor Corporation, an energy technology company out of Massachusetts. The group allegedly received more than $554,000 in…
Rank this Week: 1916