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Securities Litigation and…

Securities Litigation and Regulatory Enforcement Blog

Covers SEC investigations, insider trading, derivative actions, white collar defense, and whistleblowers. By Orrick, Herrington & Sutcliffe LLP.

http://blogs.orrick.com/securities-litigation/
  • May 16

    What’s the Right Way to Respond to a Shareholder Books and Records Request?

    What’s the Right Way to Respond to a Shareholder Books and Records Request?
    Delaware law gives shareholders the right to request corporate books and records in order to investigate issues that are of interest to them. For several decades now, Delaware courts have encouraged shareholders to take advantage of this…
  • May 15

    A Look Ahead at SEC Enforcement Actions – with Orrick’s Jim Meyer

    A Look Ahead at SEC Enforcement Actions – with Orrick’s Jim Meyer
    Orrick partner Jim Meyers provides his perspective to JD Supra in the May 14, 2013 article, “A Look Ahead at SEC Enforcement Actions – with Orrick’s Jim Meyers.” Jim comments on trends in Securities and Exchange…
  • May 14

    Where There’s Smoke, There’s FIRREA

    Where There’s Smoke, There’s FIRREA
    Few can ignite a legal firestorm like U.S. District Judge Jed Rakoff of the Southern District of New York. Last week, in a mortgage fraud suit against Bank of America and Countrywide, Judge Rakoff refused to dismiss a novel claim for civil…
Rank this Week: 28

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/home/
  • May 20

    Public Benefit Corporations in Colorado: PBCs As Compared to Benefit Corporation

    Public Benefit Corporations in Colorado: PBCs As Compared to Benefit Corporation
    Colorado has adopted, effective April 1, 2014, the public benefit corporation act of Colorado (the “PBCA”) that is similar to legislation being considered in Delaware, but completely different from the model benefit corporation…
  • May 20

    Public Benefit Corporations in Colorado: The Shareholder’s Right to Enforce

    Public Benefit Corporations in Colorado: The Shareholder’s Right to Enforce
    Colorado has adopted, effective April 1, 2014, the public benefit corporation act of Colorado (the “PBCA”) that is similar to legislation being considered in Delaware, but completely different from the model benefit corporation…
  • May 18

    Concession Theory and Listeners’ Right

    Concession Theory and Listeners’ Right
    Two weeks ago I posted the abstract from the most recent draft of my latest paper, Rehabilitating Concession Theory, ___ OKLA. L. REV. ___ (forthcoming).  Last week I highlighted one of the key arguments I make in the paper, which is a…
Rank this Week: 67

William Carleton, Counselor @ Law

William Carleton, Counselor @ Law

Covers legal and investment issues facing emerging tech companies.

http://www.wac6.com/wac6/
Rank this Week: 72

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/
  • May 20

    VSR Financial Services Inc. Fined by FINRA for Alternative Investment Recommendation

    VSR Financial Services Inc. Fined by FINRA for Alternative Investment Recommendation
    According to Investment News, the Financial Industry Regulatory Authority (FINRA) has fined VSR Financial Services Inc. $550,000, in addition to a 45-day suspension of their chairman, Don Berry, for over concentrating client portfolios in…
  • May 16

    FINRA recently announced that Adrienne…

    FINRA recently announced that Adrienne Marie Llamas, a former financial advisor with Wells Fargo in Long Beach, California, has been barred from the association with any FINRA member in any capacity. Without admitting or denying the findings,…
  • May 16

    Broker barred from securities industry for alleged theft.

    Broker barred from securities industry for alleged theft.
    FINRA recently announced that Joseph Mahmud, a registered representative in Lafayette, Louisiana has been barred from the securities industry. Without admitting or denying the findings, Mahmud consented to the described sanction and to the…
Rank this Week: 93

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • May 20

    D&O Insurance: Untimely Notice Precludes Coverage

    D&O Insurance: Untimely Notice Precludes Coverage
    In a May 16, 2013 decision (here), Eastern District of Missouri Magistrate Judge Terry Adelman, applying Missouri law, determined that the failure of an insured under a management liability insurance policy to provide timely notice of claim…
  • May 17

    The Travel Issue: Madrid Edition

    The Travel Issue: Madrid Edition
    The D&O Diary’s European sojourn concluded with a brief stop earlier this week for business meetings in Madrid. I had never been to Madrid before. Like many Americans, I have a deep attachment to Paris, a city I have visited many…
  • May 14

    Motion to Dismiss Granted in Barclays Libor-Scandal Securities Suit

    Motion to Dismiss Granted in Barclays Libor-Scandal Securities Suit
    In a May 13, 2013 order (here), Southern District of New York Judge Shira Scheindlin granted defendants’ motion to dismiss the Libor-scandal related securities suit that had been filed against Barclays and two of its former executives…
Rank this Week: 97

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

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

    UK FRC Proposes Guidance on Financial Instruments for Outside Auditors of Company Financial Statement

    UK FRC Proposes Guidance on Financial Instruments for Outside Auditors of Company Financial Statement
    In light of the financial crisis and changes to international auditing and accounting standards, the UK Financial Reporting Council proposed revisions to its guidance for outside auditors of company financial statements on financial…
  • May 18

    House Passes SEC Regulatory Accountability Act

    House Passes SEC Regulatory Accountability Act
    By a vote of 235 to 161 the House of Representatives passed the SEC Regulatory Accountability Act, H.R. 1062. Seventeen Democrats voted to pass the bill. Rep. Scott Garrett (R-NJ), Chairman of the Financial Services Subcommittee on Capital…
  • May 15

    House Panel Approves Legislation Directing FSOC Study on Derivatives Credit Valuation Adjustment

    House Panel Approves Legislation Directing FSOC Study on Derivatives Credit Valuation Adjustment
    The House Financial Services Committee approved legislation requiring the Financial Stability Oversight Council (FSOC) to conduct a study and report to Congress on the likely effects that differences between the U.S. and other…
Rank this Week: 147

Startup Law Blog

Startup Law Blog

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

http://startuplawblog.com
  • May 20

    Washington State to Regulate Fund Manager

    Washington State to Regulate Fund Manager
    This article is appearing simultaneously on The Venture Alley and on Startup Law Blog. Readers may feel free to re-post this content elsewhere as well. The world is changing for venture funds and similar funds in Washington…
  • May 17

    SEC Fires Another Salvo in the “Finder” Debate

    SEC Fires Another Salvo in the “Finder” Debate
    The SEC recently issued orders against two individuals and a company and, in doing so, continued the debate over what conduct requires someone acting as a “finder” to be registered as a broker or dealer or associated with a…
  • May 17

    Young Entrepreneur Social Charity Auction

    Young Entrepreneur Social Charity Auction
    Do you want to make a local impact right now? Are you someone interested in encouraging young entrepreneurs and leaders here in Seattle? Or, are you a young leader yourself who is interested in building a better community locally? On June…
Rank this Week: 169

Stock Broker Fraud Blog

Stock Broker Fraud Blog

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

http://www.stockbrokerfraudblog.com/
Rank this Week: 235

Ponzitracker

Ponzitracker

Covers Ponzi schemes. By Jordan Maglich.

http://www.ponzitracker.com/
  • May 18

    Death Sentence for Chinese Woman Convicted of $70 Million Ponzi Scheme

    Death Sentence for Chinese Woman Convicted of $70 Million Ponzi Scheme
    A Chinese woman who masterminded a $70 million Ponzi scheme has been sentenced to death by a Chinese court - possibly by firing squad.  Lin Haiyan, 39, from the Wenzhou province, received the sentence as part of a broader push by Chinese…
  • May 13

    California Man Guilty in $250 Million Ponzi Scheme

    California Man Guilty in $250 Million Ponzi Scheme
    A federal jury has returned a guilty verdict against a California man for masterminding a massive Ponzi scheme that bilked investors out of over $250 million.  James Stanley Koenig, 60, was found guilty of all but one of the three…
  • May 12

    Petters Wants 50-Year Sentence Overturned

    Petters Wants 50-Year Sentence Overturned
    The man responsible for the third-largest Ponzi scheme in history has filed papers seeking to have his fifty-year sentence overturned, claiming that his former attorney failed to disclose that prosecutors had previously offered a 30-year…
Rank this Week: 269

California Corporate & Securities…

California Corporate & Securities Law

Covers California securities law, corporate governance, mergers & acquisitions and securities litigation. By Keith Paul Bishop.

http://www.calcorporatelaw.com/
  • May 20

    Bitcoin And The Corporations Code

    Bitcoin And The Corporations Code
    I’ve been seeing an increasing number of references to Bitcoin and other forms of virtual or crypto currencies in the news.  For example, Jeffrey Sparshott and Robin Sidel of the Wall Street Journal reported last…
  • May 17

    If You’re Relying On The Signature Of Two Officers, You May Want To Think Again

    If You’re Relying On The Signature Of Two Officers, You May Want To Think Again
    It is widely assumed that if a contract, note or other instrument is signed by a corporation’s president and its secretary, it will not be invalidated as to the corporation by any lack of authority of the signing officers. …
  • May 16

    Court Explicates Scope of Usury Exemption For Real Estate Broker

    Court Explicates Scope of Usury Exemption For Real Estate Broker
    Artistotle didn’t think much of the idea of paying interest:  εὐλογώτατα μισεῖται ἡ…
Rank this Week: 282

Securities Law Prof Blog

Securities Law Prof Blog

Covers securities arbitration, state securities law, court decisions and law review articles. By Professor Barbara Black.

http://lawprofessors.typepad.com/securities/
  • May 20

    NASAA Releases Report on IA Switch

    NASAA Releases Report on IA Switch
    NASAA released a report on the regulatory transfer of more than 2100 investment advisers from federal to state oversight, IA Switch Report, The IA Switch: A Successful Collaboration to Enhance Investor Protection. According to NASAA, the IA…
  • May 19

    SEC Charges Atlanta Resident with Fraud in Prime Bank Investment Scheme

    SEC Charges Atlanta Resident with Fraud in Prime Bank Investment Scheme
    The SEC recently filed an emergency action in federal court in Atlanta, charging Robert Fowler (Fowler) and his company, US Capital Funding Series II Trust 1 (US Capital), with violations of the federal securities laws for defrauding…
  • May 19

    Bullard on the 401(k) Plan Large Menu Defense

    Bullard on the 401(k) Plan Large Menu Defense
    The Social Costs of Choice, Free Market Ideology and the Empirical Consequences of the 401(k) Plan Large Menu Defense, by Mercer Bullard, University of Mississippi - School of Law, was recently posted on SSRN. Here is the abstract: Regulatory…
Rank this Week: 313

Securities Law Practice Center

Securities Law Practice Center

Covers news, analysis and resources in the securities field. By the Practicing Law Institute (PLI).

http://seclawcenter.pli.edu
  • Apr 5

    Tweet This! SEC Addresses Application of Regulation FD to Social Media

    Tweet This! SEC Addresses Application of Regulation FD to Social Media
    On April 2nd, the SEC issued a report of investigation that makes clear public companies may use social media such as Twitter and Facebook to announce information in compliance with Regulation FD as long as the companies made investors aware…
  • Apr 3

    Simpson Thacher: March Securities Law Alert

    Simpson Thacher: March Securities Law Alert
    We are pleased to share the most recent edition of the Simpson Thacher Securities Law Alert, edited by litigation Partners Jonathan Youngwood, Peter Kazanoff, and Paul Gluckow. The following is a summary of the March 2013 edition of the…
  • Apr 1

    Delaware Court of Chancery Enjoins Board from Resisting Insurgent Director Slate

    Delaware Court of Chancery Enjoins Board from Resisting Insurgent Director Slate
    In Kallick v. SandRidge Energy, Inc. the Delaware Court of Chancery preliminarily enjoined the board of SandRidge Energy, Inc. from impeding a consent solicitation by one of the Company’s largest stockholders to replace the incumbent…
Rank this Week: 379

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • May 20

    Corp Fin Issues 15 New & Revised CDIs: Spring Cleaning

    Corp Fin Issues 15 New & Revised CDIs: Spring Cleaning
    Corp Fin Issues 15 New & Revised CDIs: Spring Cleaning Last week, Corp Fin issued a batch of 15 new and revised Compliance & Disclosure Interpretations in both the '33 and '34 Act contexts. Sort of a hodge podge. Here...
  • May 17

    The SEC Staff Speaks on Whistleblower Development

    The SEC Staff Speaks on Whistleblower Development
    The SEC Staff Speaks on Whistleblower Developments In this half-hour podcast, Sean McKessy, Chief of the SEC's Office of the Whistleblower brings us up-to-date on what is happening in his Office, including: - How do you like the job so...
  • May 16

    Corp Fin's New Director: The Mighty Keith Higgins! (& Lona Nallengara Becomes SEC's Chief of Staff)

    Corp Fin's New Director: The Mighty Keith Higgins! (& Lona Nallengara Becomes SEC's Chief of Staff)
    Corp Fin's New Director: The Mighty Keith Higgins! (& Lona Nallengara Becomes SEC's Chief of Staff) It couldn't happen to two nicer guys. Keith Higgins was tapped yesterday to become Corp Fin's Director - and Acting Director Lona…
Rank this Week: 397

The Law Planet Blog

The Law Planet Blog

Discusses investment, labor, and employment law, as well as securities arbitration, stockbroker issues, and legal technology. By LaBovick Law Group.

http://www.thelawplanetblog.com/
  • May 20

    Is Signing an Affidavit Naming Paternity a Double-Edged Sword?

    Is Signing an Affidavit Naming Paternity a Double-Edged Sword?
    There are now more children born to single parents than to parents who are married. Florida has a statute dealing with unmarried parents that lists the father on the birth certificate. A lot of unmarried couples end up breaking up and having…
  • May 17

    What Are Back Benefits For Social Security Disability (SSD) and Supplemental Security Income (SSI)?

    What Are Back Benefits For Social Security Disability (SSD) and Supplemental Security Income (SSI)?
    Back benefits can be one of the more confusing aspects of Social Security disability for claimants. Although back benefits are confusing, they are also extremely important to the claimant because these benefits can reach to the tens of…
  • May 17

    The Legal Limit for Blood Alcohol Content (BAC) Levels May be Reduced

    The Legal Limit for Blood Alcohol Content (BAC) Levels May be Reduced
    On May 14, the National Transportation Safety Board (NTSB) recommended that the legal limit for drinking and driving be lowered from .08% blood alcohol content to .05%. Every state in the union has laws on the books that a person is legally…
Rank this Week: 404

FinancialCounsel

FinancialCounsel

Features podcasts on compliance, employment and industry intelligence for investment professionals and investment, planning and regulatory intelligence for investors. By James J. Eccleston.

http://financialcounsel.typepad.com/financialcounsel/
  • May 15

    SEC Charges Municipality With Issuing Misleading Statements Outside Securities Disclosure Document

    SEC Charges Municipality With Issuing Misleading Statements Outside Securities Disclosure Document
    On May 6, 2013, the SEC charged the City of Harrisburg, PA with securities fraud for its misleading public statements when its financial condition was deteriorating and financial information available to municipal bond investors was either…
  • May 13

    Morgan Stanley Forgivable Loan Practices Under Scrutiny

    Morgan Stanley Forgivable Loan Practices Under Scrutiny
    Brokerage firms often offer financial advisers loans, which are payments to lure advisers, and thus their clients, to the firm and keep them there. If the financial adviser meets various performance requirements and does not defect to a rival…
  • May 6

    The SEC will be more aggressive in the…

    The SEC will be more aggressive in the next couple of years with efforts to bar securities law violators from financial firms. In particular, the SEC will use its powers under The Dodd-Frank Wall Street Reform and Consumer Protection Act...
Rank this Week: 441

Business Blog

Business Blog

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

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

    Supreme Court Sides With Monsanto

    Supreme Court Sides With Monsanto
    The U.S. Supreme Court recently sided with Monsanto Co. in a closely watched case involving patented soybean seeds. The Court concluded that an Indiana farmer could not copy patented seeds through planting and harvesting without…
  • May 17

    “Gentlemen’s Club” Loses NYC Wage Lawsuit

    “Gentlemen’s Club” Loses NYC Wage Lawsuit
    As a New York City “gentlemen’s club” can attest, wage lawsuits can be costly for employers. The Penthouse Executive Club recently agreed to pay its dancers a total of $8 million to resolve allegations that it failed to pay…
  • May 16

    U.S. Supreme Court Has the Back of Businesses Large & Small: Study Shows Court Leans Pro-Busine

    U.S. Supreme Court Has the Back of Businesses Large & Small: Study Shows Court Leans Pro-Busine
    It is always good to have powerful friends, and a new study shows that the business community has a powerful ally in the U.S. Supreme Court.   Evidence shows the current Court strongly favors business interests, according to a new…
Rank this Week: 493

Institutional Investor Securities…

Institutional Investor Securities Blog

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

http://www.institutionalinvestorsecuritiesblog.com/
Rank this Week: 476

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

http://www.seclawyersblog.com/
Rank this Week: 507

Strictly Business

Strictly Business

Covers business law for entrepreneurs, emerging companies and the investment management industry. By Alexander J. Davie.

http://blog.alexanderdavie.com/
Rank this Week: 516

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. Published by Porter, Wright,

http://www.fedseclaw.com/
  • May 15

    SEC and CFTC Red Flag Rules Become Effective May 20, 2013

    SEC and CFTC Red Flag Rules Become Effective May 20, 2013
    The Securities and Exchange Commission and the Commodity Futures Trading Commission have adopted rules that require most broker-dealers, mutual funds, investment advisers, and certain other regulated entities to create programs to prevent…
  • May 7

    The Timken Board: Between a Rock and a Hard Place

    The Timken Board: Between a Rock and a Hard Place
    On May 7, 2013, Timken Co. announced that its shareholders approved a nonbinding proposal from activist shareholders (Relational Investors and Calstrs—California State Teachers' Retirement System, who together own 7.28% of the…
  • Apr 25

    Zillow, Inc. To Use Twitter For Earnings Call

    Zillow, Inc. To Use Twitter For Earnings Call
    The real estate website company Zillow, Inc. announced it would use Twitter and Facebook to field questions on its first quarter earnings call.  The company claims that it is the first to take questions in this manner, but will continue…
Rank this Week: 537

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
  • May 17

    B-Ds Address Sales of Alternative Investment

    B-Ds Address Sales of Alternative Investment
    Alternative investments like non-traded REITs and private placements have levied financial havoc on many investors in recent years. Now, facing pressure from regulators, some broker/dealers are making changes to how they sell these kinds of…
  • May 16

    Report: Senior Designations Can Confuse the Elderly

    Report: Senior Designations Can Confuse the Elderly
    A May 7 story by NPR highlights some of the ways in which bogus financial advisers use the “art of confusion” to siphon money from unsuspecting elder Americans. A contributing factor to this type of elder fraud is the myriad of…
  • May 15

    B-D Accused of Allegedly Misusing Investors’ Money

    B-D Accused of Allegedly Misusing Investors’ Money
    The Financial Industry Regulatory Authority (FINRA) has filed a complaint against Kimberly Springsteen-Abbott, owner, chief executive and head of compliance for Commonwealth Capital Securities Corp., for allegedly misusing…
Rank this Week: 547

Perry Krumsiek & Jack Law Blog

Perry Krumsiek & Jack Law Blog

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

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

    Here’s One Government Program Worth HARPing On

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

    The Lincoln Lawyer

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

    Cornell Scores in Forum Case

    Cornell Scores in Forum Case
    PKJ’s Timothy Cornell scored a significant victory Friday, when U.S. District Judge Richard G. Stearns dismissed a multimillion case against an Internet company, finding that the plaintiff was bound by his contract’s forum selection…
Rank this Week: 670

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/
  • May 20

    Safe Harbor: Del Monte in a Minor Key

    Safe Harbor: Del Monte in a Minor Key
    Safe Harbor: Del Monte in a Minor Key Here is an article from "The Deal": Corporate directors and their outside advisers would seem to have fulfilled their fiduciary duties to shareholders handsomely by agreeing to sell a company…
  • May 14

    In re Plains Exploration: A Revlon Review & the Kitchen Sink

    In re Plains Exploration: A Revlon Review & the Kitchen Sink
    In re Plains Exploration: A Revlon Review & the Kitchen Sink John Grossbauer of Potter Anderson notes: In In re Plains Exploration & Production Co. Shareholder Litigation, Delaware Vice Chancellor Noble rejected claims for breach of…
  • May 13

    The Resurgence of Japanese Outbound M&A

    The Resurgence of Japanese Outbound M&A
    The Resurgence of Japanese Outbound M&A Here's an excerpt from this Skadden Arps' memo about Japanese M&A: The Nikkei has skyrocketed more than 50 percent over the last six months. Goldman Sachs has issued a report predicting a…
Rank this Week: 755

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/
  • May 16

    Chicago Mercantile Exchange applies for exemption from clearing agency recognition requirement

    Chicago Mercantile Exchange applies for exemption from clearing agency recognition requirement
    The Ontario Securities Commission announced today that Chicago Mercantile Exchange Inc. has applied for an exemption from the requirement to be recognized as a clearing agency on the basis that it is subject to an appropriate regulatory…
  • May 15

    OSC to hold crowdfunding roundtable

    OSC to hold crowdfunding roundtable
    The Ontario Securities Commission has announced that it will be hosting a roundtable discussion on June 11 to obtain input from investors regarding investing in small and medium sized enterprises and start-ups. As we discussed in…
  • May 14

    Budget bill would prohibit attempts to engage in fraudulent conduct under commodities legislation

    Budget bill would prohibit attempts to engage in fraudulent conduct under commodities legislation
    As we discussed in a recent post, Ontario's recently-proposed budget bill would amend the Securities Act to tighten up provisions respecting insider trading.  In respect of commodities, section 59.1 of the Commodity Futures…
Rank this Week: 875

Investment Fraud Lawyer Blog

Investment Fraud Lawyer Blog

Covers common securities broker abuses, early retirement scams, elder abuses, subprime mortages & collateralized debt obligation problems, and variable annuities and equity-indexed annuities. By Atlanta, Georgia stockbroker fraud attoneys, Page Perry.

http://www.investmentfraudlawyerblog.com/
  • Jan 8

    Today's 'Alternative Investments' Resemble 'Limited Partnerships' of the Past

    Today's 'Alternative Investments' Resemble 'Limited Partnerships' of the Past
    Wall Street’s recent promotion of alternative investments should warrant serious concern among investors. It serves as an unpleasant example of history repeating itself. In the mid-1980s, Wall Street firms became enamored with limited…
  • Jan 7

    Hedge Funds Under Regulatory Scrutiny

    Hedge Funds Under Regulatory Scrutiny
    The SEC has hired hedge fund industry professionals to assist in its investigation of problems and abuses in the hedge fund industry. Three SEC enforcement units are involved in the investigations: the Asset Management unit headed by Bruce…
  • Jan 7

    Approach Actively Traded ETFs with Caution

    Approach Actively Traded ETFs with Caution
    A recent change in policy by the SEC could have a significant impact on the risk profile of some ETFs. In response to pressure from the industry, the SEC has lifted its moratorium on the use of derivatives by certain exchange traded funds. …
Rank this Week: 865

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/
  • May 16

    Happy birthday to u

    Happy birthday to u
    Tonight in Singapore we are hosting our first of two anniversary parties.  ComplianceAsia is now 10.  Thanks to all of our clients, staff and partners who have supported us over the last decade. 10 years ago we set up the first…
  • May 16

    More from the ICAC

    More from the ICAC
    Today the HK ICAC announced a jail sentence for two insurance agents convicted of falsifying commissions.  The full ICAC is below: Ex-insurance agents jailed for accepting $563,000 bribes and deceiving commissions 16 May 2013 Two…
  • May 12

    HK ICAC secures conviction of ex securities firm staff member

    HK ICAC secures conviction of ex securities firm staff member
    Every now and then the HK Independent Commission Against Corruption secures a conviction against a licensed person for a breach which can be fashioned into a corruption case.  The latest announcement from the ICAC sets out one such…
Rank this Week: 909

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
  • May 19

    SEC Alleges Bank Guarantee Train Pulled Away From Trading Platform

    SEC Alleges Bank Guarantee Train Pulled Away From Trading Platform
    Standby Letters of Credit. Bank Guarantees. Trading Platforms. Oh the crap that gets pushed on the unsuspecting and the unasked questions that too many investors fail to voice. All of which usually ends with the collision of scam and failed…
  • May 17

    ProEquties Tagged in TIC Arbitration

    ProEquties Tagged in TIC Arbitration
    In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in March 2012, Claimants alleged causes of action including breach of fiduciary duty, fraud, and elder abuse pertaining to an investment in…
  • May 16

    Weekend Update by Bill Singer of BrokeAndBroker.com

    Weekend Update by Bill Singer of BrokeAndBroker.com
    The $2.6 Million Question In Goldman Sachs Suitability ArbitrationFINRA arbitration Decisions tend to be unanimous, but, with increasing frequency, we are seeing decisions by two of three arbitrators -- and ther...Read OnPublic Customer…
Rank this Week: 958

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: 968

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/
  • May 7

    Claims For Legal Malpractice Aren't Assignable In North Carolina

    Claims For Legal Malpractice Aren't Assignable In North Carolina
    Maybe you've wondered whether a claim for legal malpractice can be assigned. Maybe you haven't. But yesterday, the North Carolina Court of Appeals answered that question.  In Revolutionary Concepts, Inc. v. Clements Walker PLLC, the…
  • May 1

    Fourth Circuit Takes A Narrow View On Recovery Of E-Discovery Cost

    Fourth Circuit Takes A Narrow View On Recovery Of E-Discovery Cost
    You've undoubtedly prevailed in a federal case -- either at summary judgment or after a trial -- and you have probably struggled with what you are entitled to recover as costs under 28 U.S.C. §1920.  And recently, your client,…
  • Apr 29

    Arbitration Compelled Based On Unsigned Arbitration Agreement

    Arbitration Compelled Based On Unsigned Arbitration Agreement
    If you were thinking that an arbitration agreement needs to be signed in order to get an order compelling arbitration, your world may have been turned on its ear by the Order from the Business Court last week in Morton v. Ivey, McClellan,…
Rank this Week: 990

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: 977

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • May 17

    Shrug, Concur, and Move On

    Shrug, Concur, and Move On
    In a famous market manipulation that lead to multiple criminal convictions, the A.R. Baron brokerage engaged in a pump-and-dump scheme to induce customers to purchase the securities of small companies at artificially inflated prices. Among…
  • May 10

    What Next?

    What Next?
    Based on the Supreme Court's recent decisions, a plaintiff is not required to prove the existence of loss causation (Halliburton) or materiality (Amgen) to certify an investor class. In the Halliburton case, however, the defendants pursued a…
  • Apr 26

    Cornerstone Report On Accounting Case

    Cornerstone Report On Accounting Case
    Cornerstone Research has issued a study of 2012 securities class actions involving accounting allegations. The notable findings include: (1) The number of accounting filings fell from 78 in 2011 to 45 in 2012. Two factors that contributed to…
Rank this Week: 1079

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/
  • May 17

    Broker-Dealer Enforcement Roundup

    Broker-Dealer Enforcement Roundup
    FINRA has published the notice of disciplinary cases for April 2013 online. A few cases I think are worthy of discussion. In one case, a firm agreed to settle an action through an AWC and was censured and fined $150,000....
  • May 17

    Broker-Dealer Enforcement Roundup

    Broker-Dealer Enforcement Roundup
    FINRA has published the notice of disciplinary cases for April 2013 online. A few cases I think are worthy of discussion. In one case, a firm agreed to settle an action through an AWC and was censured and fined $150,000....
  • May 13

    Living Trusts: Do You Need One? Perhaps Not.

    Living Trusts: Do You Need One? Perhaps Not.
    Whenever I work with a client on estate planning issues, my tendency is to keep things as simple as possible. If the client doesn't need any complex planning, then we don't do it. And, in my practice, rarely does a...
Rank this Week: 1095

footnoted.org

footnoted.org

Guide to what's hiding in SEC filings. By Michelle Leder.

http://www.footnoted.org
  • Feb 11

    Google joins the DIY group…

    Google joins the DIY group…
    Late Friday, less than 20 minutes before the SEC closed for the week, Google (GOOG) filed this 8-K, which quickly had the interwebs a-buzzing. Within minutes of the filing, CNBC tweeted this alert. Two heavyweight tech sites, TechCrunch and…
  • Jan 30

    And then there were six: Copano gets acquired…

    And then there were six: Copano gets acquired…
    Everywhere you turn these days, people seem to be talking about the “long tail” — in entertainment, in search, in insurance (where it’s been used for years). Colloquially, it tends to mean that there’s a pattern…
  • Jan 18

    Too early for worst footnote of 2013?

    Too early for worst footnote of 2013?
    Given that it’s only 18 days after the year began, it may be a wee bit premature to declare a winner of the worst footnote for 2013. Still this 8-K filed by Apollo Group (APOL) last night, is already in the running. Now Apollo, the…
Rank this Week: 1051

The PSLRA Nugget

The PSLRA Nugget

Covers securities class action case law. By Christopher S. Jones.

http://pslranugget.blogspot.com/
  • Feb 3

    The Nugget is Moving to a New Home

    The Nugget is Moving to a New Home
    Please update your bookmarks, as the PSLRA Nugget is moving to a new easier to remember website address.  Also if you are getting this by email, and you would like to continue getting it that way, you just need to go to
  • Feb 2

    Yes Shorter is Better (at least in legal briefing)

    Yes Shorter is Better (at least in legal briefing)
    OK, you know who you are.  The serial page extension requesters.  But Judge, we have to have 100 pages to explain it.  I know, I know, we've all done it.  And yes I agree sometimes it's necessary.  But District Judge Joy Flowers Conti…
  • Mar 18

    Confidential Sources Still Alive & Kicking

    Confidential Sources Still Alive & Kicking
    What's that? You thought Tellabs banned confidential witnesses? Well, let's not get carried away here, as there's certainly at least two ways to read that opinion. Of course, after the 7th Circuit decided Higginbotham v. Baxter, it was…
Rank this Week: 1077

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • May 20

    What Investment Advisers Need To Know About The SEC

    What Investment Advisers Need To Know About The SEC
    The SEC recently announced that its top priority is to increase the number of investment adviser examinations it conducts on an annual basis.  Considering that the SEC only examined 8% of all investment advisers in 2012 (where 40% have…
  • May 17

    Self-Funding And The SEC

    Self-Funding And The SEC
    This has been the week of scandals.  With political forces, lobbyist and lots of deep pockets, our government is a breeding ground for scandals.  The SEC has certainly not been immune.  A few years ago, the SEC made headlines…
  • May 16

    So is it now really the beginning of the end of arbitration

    So is it now really the beginning of the end of arbitration
    The North American Securities Administrators Association on behalf of state securities regulators, following 37 members of Congress, recently asked the SEC to exercise its authority under Dodd-Frank and do away with mandatory arbitration…
Rank this Week: 1133

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/
  • May 17

    FL Court Rules Statute of Limitations Apply in Arbitration

    FL Court Rules Statute of Limitations Apply in Arbitration
    We finally have a ruling on the questionable argument that is often advanced that the statute of limitations does not apply in arbitration. The argument is premised on a contorted interpretation of a Florida statute and requires one to…
  • May 14

    SEC, FINRA Issue Investor Alert On Pension or Settlement Income Stream

    SEC, FINRA Issue Investor Alert On Pension or Settlement Income Stream
    The SEC and FINRA issued an investor alert entitled Pension or Settlement Income Streams – What You Need to Know Before Buying or Selling Them. The investor alert informs investors about the risks involved when selling their rights to…
  • Apr 23

    FINRA Wants Your Facebook Account

    FINRA Wants Your Facebook Account
    You read that right, just as the SEC is embracing social media, FINRA wants access to brokers' Facebook accounts.We all know that an employer's demand for access to an employees Facebook account is illegal in many states, and probably illegal…
Rank this Week: 1165

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/
  • May 16

    Ranbaxy USA, Inc. Agrees to $500 Million Settlement

    Ranbaxy USA, Inc. Agrees to $500 Million Settlement
    Ranbaxy USA, Inc., a division of generic drug manufacturer Ranbaxy Laboratories Limited based in India, has agreed with the U.S. to settle criminal and civil charges. The charges relate to the manufacture and distribution of allegedly…
  • May 14

    C.R. Bard Agrees to Settle Qui Tam Suit

    C.R. Bard Agrees to Settle Qui Tam Suit
    New Jersey-based C.R. Bard, Inc. ("Bard"), a manufacturer and marketer of medical products, has agreed to settle a qui tam action for $48.26 million. According to the Justice Department, the suit relates to Bard's sales of brachytherapy…
  • May 6

    False Claims Act Used in Florida Section 8 Housing Case

    False Claims Act Used in Florida Section 8 Housing Case
    Two landlords accused of shaking down low-income tenants for excess rent payments were recently sued under the federal False Claims Act. According to the U.S. Attorney for the Southern District of Florida and Legal Services of Greater Miami,…
Rank this Week: 1163

Chicago Securities Lawyer Blog

Chicago Securities Lawyer Blog

Covers FINRA and securities fraud. By Thomas F. Burke, P.C.

http://www.chicagosecuritieslawyerblog.com/
Rank this Week: 1197

The Securities Edge

The Securities Edge

Covers securities law topics of interest to executives of middle market businesses. By Gunster.

http://www.thesecuritiesedge.com/
  • May 14

    Are new Iran-related disclosure requirements turning public companies into tattletales?

    Are new Iran-related disclosure requirements turning public companies into tattletales?
    Posted By: Gustav L. Schmidt In other breaking news that many may have missed, Orbitz Worldwide, Inc. recently reported in its most recent 10-Q that a handful of employees of a Hilton-branded hotel were paid wages via direct deposit into…
  • May 9

    Social media as a disclosure channel – slow but steady

    Social media as a disclosure channel – slow but steady
    Posted By: Robert C. White Jr. Public companies are beginning to cautiously adopt social media as a disclosure channel. This area has experienced substantial changes lately as the SEC moved from a posture of threatening action against…
  • May 3

    Securities Law 101 (Part V): Issuing shares of stock for mergers and acquisition

    Securities Law 101 (Part V): Issuing shares of stock for mergers and acquisition
    Posted By: Gregory K. Bader This is the fifth part of our Securities Law 101 series.  Because capital raising is such a critical function for middle market companies, we designed this series to introduce their management teams to some…
Rank this Week: 1269

Business Law Post

Business Law Post

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

http://www.businesslawpost.blogspot.com/
  • May 18

    Crowdfunding Update

    Crowdfunding Update
    We are still patiently waiting for the SEC to develop rules implementing the crowdfunding provisions of the JOBS Act. While we are waiting, the industry prepares for the crowdfunding transactions. Recently, two interesting articles about…
  • May 12

    Who Owns #Hashtags?

    Who Owns #Hashtags?
    Proliferation of social media continues to stretch the boundaries of the law and its definitions. It prompts us to apply the proven legal concepts to new technological and social phenomena with no clear and well-defined answers.A good…
  • Apr 23

    What is Regulation FD and Does it Prohibit the Use of Social Media?

    What is Regulation FD and Does it Prohibit the Use of Social Media?
    Regulation Fair Disclosure (known as “Regulation FD”) was enacted in 2000 by the Securities and Exchange Commission (the “SEC”) to prohibit selective disclosure of material non-public information by the public…
Rank this Week: 1420

Inside Sarbanes Oxley

Inside Sarbanes Oxley

Covers Sarbanes-Oxley and compliance.

http://www.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: 1540

Securities Attorney Law Blog

Securities Attorney Law Blog

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

http://securitiesattorneylaw.com/
Rank this Week: 1680

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/
  • May 16

    TLG Attorney to Speak on Ethics at “Accounting 101 for Attorneys” Presentation

    TLG Attorney to Speak on Ethics at “Accounting 101 for Attorneys” Presentation
    Brian A. Lebrecht, founder and President of The Lebrecht Group, APLC, will be among the presenters at a seminar on May 16, 2013 by the National Business Institute entitled Accounting 101 for Attorneys.  Specific topic will be Complying…
  • May 9

    Listing a Reverse Merger Company on NASDAQ

    Listing a Reverse Merger Company on NASDAQ
    NASDAQ has special rules for companies that went public via a reverse merger.  By: Brian A. Lebrecht, Esq. NASDAQ Markets Overview NASDAQ has three different U.S. markets, the NASDAQ Global Select Market, the NASDAQ Global Market, and…
  • May 8

    SEC Asks for a 26% Raise

    SEC Asks for a 26% Raise
    The new chair of the SEC, Mary Jo White, testified before Congress this week and asked to have the SEC’s budget increased by 26%, to $1.67 billion.  A few of the highlights: - she reiterated her commitment to completing the rule…
Rank this Week: 1624

Sharesleuth.com

Sharesleuth.com

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

http://sharesleuth.com/
  • Oct 15

    Rockwell Medical countersues former drug-development executive

    Rockwell Medical countersues former drug-development executive
    Rockwell Medical Inc. (Nasdaq: RMTI) has filed a countersuit against its former chief medical officer, alleging that he overstated his qualifications, breached a confidentiality agreement and made false and defamatory statements about the…
  • Oct 2

    Houston American says SEC probing its Colombian resource claim

    Houston American says SEC probing its Colombian resource claim
    Houston American Corp. (AMEX: HUSA) says the Securities and Exchange Commission’s investigation into the company appears to be focused on disclosures about the potential of its CPO-4 prospect in Colombia in late 2009 and early 2010.…
  • Jun 20

    Former Rockwell Medical executive alleges SEC violation

    Former Rockwell Medical executive alleges SEC violation
    The former head of drug development at Rockwell Medical Technologies Inc. (Nasdaq: RMTI) says the company and its chief executive knowingly issued false and misleading press releases and violated other securities laws. Dr. Richard C. Yocum,…
Rank this Week: 1686

Institutional Shareholder Services…

Institutional Shareholder Services - Insight

Covers corporate governance, accounting and securities law issues. From Institutional Shareholder Services Inc.

http://blog.issgovernance.com/
Rank this Week: 1643