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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…
  • Jan 1

    Going Public Blog l Securities Lawyer 101

    Going Public Blog l Securities Lawyer 101
    Going Public Lawyer  Securities Lawyer 101 Blog Going public is a big step for any company.  The process of “going public” is complex and at times precarious.  While going public offers many benefits it also comes…
  • Jan 1

    Going Public Blog l Securities Lawyer 101

    Going Public Blog l Securities Lawyer 101
      Securities Lawyer 101 Blog Going public is a big step for any company.  The process of “going public” is complex and at times precarious.  While going public offers many benefits it also comes with risks and…
Rank this Week: 34

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/
  • Aug 28

    The SEC and Administrative Proceedings (Part 2)

    The SEC and Administrative Proceedings (Part 2)
    We are discussing some of the issues raised by Peter Henning in his DealBook column, The S.E.C.’s Use of the ‘Rocket Docket’ Is Challenged.   In any event, the limits on discovery, the fact that ALJ decisions are…
  • Aug 26

    The SEC and Administrative Proceedings (Part 1)

    The SEC and Administrative Proceedings (Part 1)
    Peter Henning wrote an interesting piece over at DealBook on the SEC's use of administrative proceedings in place of actions in federal district court.  See The S.E.C.’s Use of the ‘Rocket Docket’ Is Challenged.…
  • Aug 26

    Morrison, the Second Circuit, and the Reverse Effects Test: ParkCentral Global Hub Limited v. Porsche Automobile Holdings (Part 2)

    Morrison, the Second Circuit, and the Reverse Effects Test: ParkCentral Global Hub Limited v. Porsche Automobile Holdings (Part 2)
    We are discussing the Second Circuit's decision in ParkCentral Global Hub Limited v. Porsche Automobile Holdings, a case that effectively created a "reverse effects test" that was contrary to the Supreme Court's analysis…
Rank this Week: 52

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Jan 26

    Update: First Allied Securities’ William “Bill” Tatro complaint

    Update: First Allied Securities’ William “Bill” Tatro complaint
    According to FINRA’s BrokerCheck Report, William L. Tatro has had an astounding 48 investor complaints filed against him in his 35 years in the securities industry. The post Update: First Allied Securities’ William…
  • Jan 23

    Securities fraud attorneys investigating suspended broker, Randy L. Bostick

    Securities fraud attorneys investigating suspended broker, Randy L. Bostick
    The securities and investment fraud law firm, Fitapelli Kurta, is investigating potential claims against currently suspended Janney Montgomery Scott stockbroker, Randy L. Bostick. The post Securities fraud attorneys investigating suspended…
  • Jan 23

    Investors Capital Corp. broker, Stephen Y. Dealy fined and suspended from financial industry

    Investors Capital Corp. broker, Stephen Y. Dealy fined and suspended from financial industry
    On January 21, 2015, Port Orange, Florida based Investors Capital Corp. broker, Stephen Y. Dealy was fined $10,000 and suspended from the financial industry to four months for failing to report customer complaints. The post Investors Capital…
Rank this Week: 121

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
  • Jan 22

    Florida Based Investment Advisor Firm Is Charged in Ponzi Scheme

    Florida Based Investment Advisor Firm Is Charged in Ponzi Scheme
    From the Desk of Jim Eccleston at Eccleston Law Offices: The SEC has charged a Florida based investment advisor firm, Elm Tree Investment Advisors LLC, its founder Frederic Elm, and its private funds Elm…
  • Jan 21

    Wheat Ridge, Colorado Man Pleads Guilty to Orchestrating a $4.8 Million Ponzi Scheme

    Wheat Ridge, Colorado Man Pleads Guilty to Orchestrating a $4.8 Million Ponzi Scheme
    From the Desk of Jim Eccleston at Eccleston Law Offices: Perry Sawano pled guilty to swindling investors in a $4.8 million Ponzi scheme between 2007 and 2013. Sawano was accused of running the scheme…
  • Jan 21

    UBS’ Richest Clients Chase After Dollars and Scrap Swiss Franc

    UBS’ Richest Clients Chase After Dollars and Scrap Swiss Franc
    From the Desk of Jim Eccleston at Eccleston Law Offices: Last week, the Swiss National Bank abolished the franc’s three year-old cap of 1.20 per euro, which caused the currency to soar as much as 41 percent against…
Rank this Week: 133

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: 160

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/
  • Jan 23

    Investigation into Alpha Natural Resources LLC

    Investigation into Alpha Natural Resources LLC
    Have you suffered losses in Alpha Natural Resources, LLC.,a subsidiary of Alpha Natural Resource Inc. (NYSE: ANR)? If so, the White Law Group may be able to help you recover your investment losses. Alpha Natural Resources is a leading…
  • Jan 23

    Recovery of First Trust ISE Global Engineering and Construction Index Fund Losse

    Recovery of First Trust ISE Global Engineering and Construction Index Fund Losse
    Have you suffered losses investing in First Trust ISE Global Engineering and Construction Index Fund?  If so, the securities attorneys of The White Law Group may be able to help you recover your losses in a FINRA arbitration…
  • Jan 23

    Recovery of First Trust Germany AlphaDEX Fund Losse

    Recovery of First Trust Germany AlphaDEX Fund Losse
    Have you suffered losses investing in First Trust Germany AlphaDEX Fund?  If so, the securities attorneys of The White Law Group may be able to help you recover your losses in a FINRA arbitration claim against the brokerage…
Rank this Week: 177

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

http://www.seclawyersblog.com/
  • Jan 23

    Sonn|Erez Investigating Claims Involving Arque Capital, Ltd., and GWG Renewable Debenture

    Sonn|Erez Investigating Claims Involving Arque Capital, Ltd., and GWG Renewable Debenture
    Sonn|Erez is investigating claims regarding Arque Capital, Ltd. (CRD #121192, Scottsdale, AZ) and sales of GWG Renewable Debentures. Arque Capital recently submitted an AWC in which the firm was censured and fined $50,000. See FINRA Case…
  • Jan 21

    SEC Charges Elm Tree Investment Adviser and Manager in Fort Lauderdale, Florida-Based Fraud

    SEC Charges Elm Tree Investment Adviser and Manager in Fort Lauderdale, Florida-Based Fraud
    The Securities and Exchange Commission today announced fraud charges and an asset freeze against Fort Lauderdale, Florida-based investment advisory firm, its manager, and three related funds in a scheme that raised more than $17 million since…
  • Jan 19

    FINRA Cautions Investors Regarding E-Cigarette Stock Scam

    FINRA Cautions Investors Regarding E-Cigarette Stock Scam
    FINRA recently issued an Investor Alert, "E-Cigarette Stock Scams: New Smoking Technology Could Light Up Pump-and-Dump Fraud." In the Alert, FINRA warns investors of aggressive promotions advertising stocks that allegedly capitalize on the…
Rank this Week: 191

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: 189

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

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

    FINRA Fines Sigma Financial Over Supervisory Failures Part II

    FINRA Fines Sigma Financial Over Supervisory Failures Part II
    This post continues our prior report on the Financial Industry Regulatory Authority’s (FINRA) recently sanctions against Sigma Financial Corporation (Sigma Financial) alleging from April 25, 2011, through June 24, 2012, supervisory…
  • Jan 26

    FINRA Fines Sigma Financial Over Supervisory Failures Part I

    FINRA Fines Sigma Financial Over Supervisory Failures Part I
    The Financial Industry Regulatory Authority (FINRA) recently sanctioned Sigma Financial Corporation (Sigma Financial) alleging from April 25, 2011, through June 24, 2012, supervisory deficiencies existed at Sigma in specific areas of…
  • Jan 23

    FINRA Bars Broker Chase Casson For Failing to Respond to Inquiries Over Private Transaction

    FINRA Bars Broker Chase Casson For Failing to Respond to Inquiries Over Private Transaction
    The Financial Industry Regulatory Authority (FINRA) recently barred broker Chase Casson (Casson) alleging that Casson failed to provide documents and information to FINRA in response to demands made to investigate the broker’s…
Rank this Week: 260

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Jan 26

    NAM Backs Wal-Mart's ‘Ordinary Business’ Argument

    NAM Backs Wal-Mart's ‘Ordinary Business’ Argument
    [This story previously appeared in Securities Regulation Daily.]By Rodney F. Tonkovic, J.D.The National Association of Manufacturers (NAM) has filed an amicus brief in support of Wal-Mart Stores, Inc.'s appeal regarding a shareholder…
  • Jan 23

    FSOC Considers Greater Transparency in Nonbank Designation Proce

    FSOC Considers Greater Transparency in Nonbank Designation Proce
    [This story previously appeared in Securities Regulation Daily.]By Jacquelyn LumbSEC Chair Mary Jo White signaled her support for enhancing the transparency of the Financial Stability Oversight Council’s process for considering nonbank…
  • Jan 22

    Chairman Massad Praises Progress by U.S., Japan on Cross-Border Issue

    Chairman Massad Praises Progress by U.S., Japan on Cross-Border Issue
    [This story previously appeared in Securities Regulation Daily.]By Lene Powell, J.D.In an address to the Futures Industry Association in Tokyo, CFTC Chairman Timothy Massad talked about the interconnectedness of the global derivatives…
Rank this Week: 270

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Jan 27

    Corp Fin: New CDI on Filing Non-Searchable Graphics & Image

    Corp Fin: New CDI on Filing Non-Searchable Graphics & Image
    One of the goals of Corp Fin’s “Disclosure Effectiveness” project is to modernize its filing framework, EDGAR. Not an easy thing to do, but it definitely could use a look. For example, use of multimedia in SEC filings poses…
  • Jan 26

    Proxy Access Punt: Glass Lewis’ New Policy on Counterproposal

    Proxy Access Punt: Glass Lewis’ New Policy on Counterproposal
    On Friday, Glass Lewis issued a statement about how it will treat proxy access shareholder proposals through this WSJ article. The article opens with: Proxy advisory firm Glass, Lewis & Co. is considering recommending shareholders vote…
  • Jan 23

    Our New “Proxy Advisors Handbook”

    Our New “Proxy Advisors Handbook”
    Spanking brand new. By popular demand, this comprehensive “Proxy Advisors Handbook” covers all you need to know about dealing with ISS and Glass Lewis (it’s now posted on our “Proxy Advisors” Practice Area). This…
Rank this Week: 325

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/
  • Jan 27

    Victims Of Corporate Fraud Compensation Fund

    Victims Of Corporate Fraud Compensation Fund
    In the waning days of the 2001-2002 legislative session, then Assemblymember Kevin Shelley gutted and amended AB 55. As introduced, AB 55 would have amended the Elections Code. Instead, AB 55 became the vehicle for the enactment of the deeply…
  • Jan 26

    Commissioner Ponders Whether To Exempt Real Estate Brokers From Investment Adviser Registration

    Commissioner Ponders Whether To Exempt Real Estate Brokers From Investment Adviser Registration
    Last week, the Commissioner of Business Oversight issued an invitation for comment on whether to exempt real estate brokers from the investment adviser certification requirement under the Corporate Securities Law of 1968.  The exemption…
  • Jan 23

    Magna Carta Friday – King John Guarantees The Freedom Of The English Church

    Magna Carta Friday – King John Guarantees The Freedom Of The English Church
    As I’ve mentioned, this year marks the 800th anniversary of the sealing of the Magna Carta by King John at Runnymede.  I previously posted the introduction and my translation of the original Latin of the 1215 version.  Today,…
Rank this Week: 343

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • Jan 27

    Cornerstone Research: Securities Suit Filings Holding Steady But Cases Are Smaller and Involve Smaller Companie

    Cornerstone Research: Securities Suit Filings Holding Steady But Cases Are Smaller and Involve Smaller Companie
    The number of securities class action lawsuit filings in 2014 was about the same as in 2013, but the cases that were filed were smaller than in the past, according to the annual securities litigation report from Cornerstone Research. However,…
  • Jan 27

    Germany in January

    Germany in January
    The D&O Diary was on assignment in Germany this past week, with stops for meetings in Cologne and for a conference in Frankfurt. January, it turns out, is a less than optimal month in which to visit Northern Europe. The conditions are…
  • Jan 22

    Executive Compensation: Do Clawbacks Lead to Certain Types of Earnings Manipulation?

    Executive Compensation: Do Clawbacks Lead to Certain Types of Earnings Manipulation?
    When Congress enacted stiff executive compensation clawbacks as part of the Dodd-Frank Act, the assumption was that the adoption of these kinds of measures would reduce the number of corporate restatements and increase investor confidence in…
Rank this Week: 416

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/
  • Jan 23

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: David K. Brown & Derek B. Swanson, Securities Regulation, 65 Mercer L. Rev. 1087 (2014). Winthrop N. Brown, With This ring, I Thee…
  • Jan 23

    Jackson, Jiang & Mitts on Information Dissemination

    Jackson, Jiang & Mitts on Information Dissemination
    Robert J. Jackson Jr., Wei Jiang, and Joshua Mitts have posted How Quickly Do Markets Learn? Private Information Dissemination in a Natural Experiment on SSRN with the following abstract: Using data from a unique episode in which the SEC…
  • Jan 23

    Heese on SEC Enforcement

    Heese on SEC Enforcement
    Jonas Heese has posted Government Preferences and SEC Enforcement on SSRN with the following abstract: I examine whether political pressure by the government as a response to voters’ general interest in protecting employment is reflected in…
Rank this Week: 368

InvestorLawyers.net

InvestorLawyers.net

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

http://www.investorlawyers.net/blog/
Rank this Week: 365

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/
  • Jan 20

    FINRA Fines Fidelity $350K for Overcharging Over 20,000 Clients $2.4M

    FINRA Fines Fidelity $350K for Overcharging Over 20,000 Clients $2.4M
    The Financial Industry Regulatory Authority says that Fidelity Investments must pay $350,000 for overcharging thousands of clients $2.4 million for transactions involving fee-based accounts in its Institutional Wealth Services Group. The…
  • Jan 16

    UBS Settles SEC Dark Pool Case for $14M

    UBS Settles SEC Dark Pool Case for $14M
    A UBS AG (UBS) subsidiary has consented to pay $14.4 million to resolve Securities and Exchange Commission claims that the firm committed violations involving the marketing and operation of its dark pool. The subsidiary, UBS Securities LLC,…
  • Jan 15

    SEC Accuses Canadian Man of Fraudulent Trading Scam, Use of “Layering” Strategy

    SEC Accuses Canadian Man of Fraudulent Trading Scam, Use of “Layering” Strategy
    The Securities and Exchange Commission is charging a Canadian citizen with running a market manipulation scam that involved making orders to trick others into selling or purchasing U.S. publicly traded stocks at prices that were depressed or…
Rank this Week: 441

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/
  • Jan 20

    Comment by Feb. 16 on proposed uniform state model rule for M&A broker

    Comment by Feb. 16 on proposed uniform state model rule for M&A broker
    The Broker-Dealer Section of the North American Securities Administrators Association is seeking comments no later than Feb. 16, 2015, on a proposed uniform state model rule exempting certain merger and acquisition brokers from registration…
  • Dec 29

    Bill governing M&A brokers should resurface in 2015

    Bill governing M&A brokers should resurface in 2015
    During 2014, Congress has gained momentum toward creating an exemption from federal broker-dealer registration for “M&A brokers” who facilitate mergers, acquisitions, sales and similar transactions involving privately held…
  • Dec 3

    A compliance problem truly “Made in the USA”

    A compliance problem truly “Made in the USA”
    Following the expiration of a public comment period last week, the ink is now dry on the Federal Trade Commission’s consent decree against Made in USA Brand, LLC, settling charges that the Columbus, Ohio-based company sold its…
Rank this Week: 458

Sharesleuth.com

Sharesleuth.com

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

http://sharesleuth.com/
  • Dec 31

    Kandi Technologies Group Inc.: Where are the Go-Karts?

    Kandi Technologies Group Inc.: Where are the Go-Karts?
    When the global economy collapsed in the fall of 2008, the sharp drop in consumer spending threw the power sports industry into a steep decline. Sales of motorcycles, go-karts and all-terrain vehicles each plunged by 30 percent or more,…
  • Oct 7

    Kandi Technologies Group Inc.: The return of the cyber shill

    Kandi Technologies Group Inc.: The return of the cyber shill
    Last June, shares of Kandi Technologies Group Inc. (Nasdaq: KNDI) doubled in the space of a week, spurred on by a mysterious network of social-media touters who later deleted their posts or shut down their accounts…
  • Jun 17

    Telestone Technologies revisited: SEC letters reveal doubts about revenues and receivable

    Telestone Technologies revisited: SEC letters reveal doubts about revenues and receivable
    Recently released letters between the Securities and Exchange Commission and Telestone Technologies Corp. (Pink Sheets: TSTC) show that regulators have significant concerns about the Chinese wireless communication company’s reported…
Rank this Week: 466

Florida Securities Fraud Lawyer…

Florida Securities Fraud Lawyer Blog

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

http://www.floridasecuritiesfraudlawyerblog.com/
  • Dec 5

    FINRA Increases Arbitrator Pay- Passes Costs to Partie

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

    Former Florida Broker Permanently Barred for Alleged Theft

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

    SEC Approves Rule to Help Non-Traded REIT Investor

    SEC Approves Rule to Help Non-Traded REIT Investor
    The Securities and Exchange Commission has approved the Financial Industry Regulatory Authority’s (“FINRA”) proposed revisions to NASD Rule 2340 regarding per share estimated valuations of unlisted REITs held by…
Rank this Week: 465

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/
  • Sep 8

    Nu Skin Inventory Red Flags Remain Even After $50 Million Impairment Charge

    Nu Skin Inventory Red Flags Remain Even After $50 Million Impairment Charge
    On July 22, 2014, I warned investors that Utah-based multi-level marketing company Nu Skin Enterprises' (NYSE: NUS) surging inventory levels might lead it "to recognize a material impairment charge against inventory in a future period." On…
  • Aug 4

    Why Nu Skin Must Come Clean on Troubling Inventory Red Flag

    Why Nu Skin Must Come Clean on Troubling Inventory Red Flag
    Co-authored by Sam E. Antar and Zachary PrenskyThis coming Wednesday morning, Utah based multi-level marketing company Nu Skin Enterprises (NYSE: NUS) is scheduled to report its second quarter earnings. In its Q1 2014 10-Q report issued in…
  • 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…
Rank this Week: 456

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/
  • Jan 26

    10 ETFs To Be Excited About In 2015

    10 ETFs To Be Excited About In 2015
    Investors were introduced to more than 180 new exchange-traded products in 2014, as well as a handful of ETF issuer newcomers.While the majority of new offerings offer more traditional investment objectives, there are a passel of funds that…
  • Jan 26

    Good News - FINRA Chief Says FINRA Won't Be Piling On.

    Good News - FINRA Chief Says FINRA Won't Be Piling On.
    In discussing the state of FINRA enforcement's activities, FINRA Enforcement Director Brad Bennett said he will not pursue a violator if the Securities and Exchange Commission or state regulators are going after the same individuals and…
  • Jan 22

    Investor Alert - Owen Li crashes Canarsie Capital in New York

    Investor Alert - Owen Li crashes Canarsie Capital in New York
    Owen Li, the manager of Canarsie Capital has apparently lost nearly 100 million dollars in what he calls overzealous investments, which caused devastating losses.Fund managers who invest the funds assets in an inappropriate manner are liable…
Rank this Week: 530

Representing Investors

Representing Investors

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

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

    WHITE HOUSE TAKING NOTICE OF FINACIAL ADVISORS COSTING WORKERS BILLIONS IN RETIREMENT SAVINGS

    WHITE HOUSE TAKING NOTICE OF FINACIAL ADVISORS COSTING WORKERS BILLIONS IN RETIREMENT SAVINGS
    A top economic adviser under President Obama is calling for stricter rules on Wall Street after finding some bad broker practices costing investors $8 billion to $17 billion a year. Chairman of President Obama’s Council of Economic…
  • Jan 23

    WHAT HAPPENS WHEN YOUR BROKERS AGE CATCHES UP WITH THEM?

    WHAT HAPPENS WHEN YOUR BROKERS AGE CATCHES UP WITH THEM?
    Just like an average person who ages, an older financial adviser is more likely to show signs of aging. Red flags that a financial adviser might be suffering from senior moments: forgetfulness, a tendency to repeat things, a disregard for…
  • Jan 20

    SEC Compliance Inspections and Examinations Office Released Examination Priorities for 2015

    SEC Compliance Inspections and Examinations Office Released Examination Priorities for 2015
    The Examination priorities for 2015 address issues across a variety of financial institutions, including investment advisers, investment companies, broker-dealers, transfer agents, clearing agencies, and national securities exchanges. …
Rank this Week: 613

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/
  • Jan 26

    Corp Fin’s No-Action Relief: 5-Business Day Debt Tender Offers Allowed

    Corp Fin’s No-Action Relief: 5-Business Day Debt Tender Offers Allowed
    On Friday, Corp Fin’s Office of Mergers & Acquisitions issued a no-action response as fleshed out by this Gibson Dunn blog by Jim Moloney & Andrew Fabens (we’re posting memos about this in our “Tender Offers”…
  • Jan 22

    M&A Retention Plans: Market Trends & Best Practice

    M&A Retention Plans: Market Trends & Best Practice
    Here’s an excerpt from this recent Towers Watson memo from Scott Oberstaedt and Mary Chico: When we dissected the responses to identify retention plan design features and practices that were most effective in enhancing retention,…
  • Jan 21

    Model Rule Exempting M&A Brokers Proposed by NASAA

    Model Rule Exempting M&A Brokers Proposed by NASAA
    Here’s news from this blog by David Jenson of Stinson Leonard Street: The Broker-Dealer section of the North American Securities Administrators Association (NASAA) has proposed a model uniform state rule (the “Model Rule”)…
Rank this Week: 518

William Carleton, Counselor @ Law

William Carleton, Counselor @ Law

Covers legal and investment issues facing emerging tech companies.

http://www.wac6.com/wac6/
  • Jan 25

    One Thousand Things Worth Knowing

    One Thousand Things Worth Knowing
    This weekend I've read Paul Muldoon's newly published collection of poems, "One Thousand Things Worth Knowing." (The dust jacket sports a very pleasing design by the ubiquitous Quemadura, a brilliant designer and a kind man I will…
  • Nov 16

    ACA Webinar on Accredited Investor Definition and Established Angel Group Certification

    ACA Webinar on Accredited Investor Definition and Established Angel Group Certification
    I've just listened to an archived recording of an excellent webinar presented by the Angel Capital Association last week (I had intended to listen in real time, but got pulled away): ACA Webinar on Accredited Investor Definition and…
  • Nov 4

    A Sestina About Copyright

    A Sestina About Copyright
    Sestinas are all about copyright!
Rank this Week: 538

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: 564

Cady Bar the Door

Cady Bar the Door

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

http://www.secmiscellany.com
  • Jan 26

    The SEC Totally Cares about Its Injunction

    The SEC Totally Cares about Its Injunction
    Last week I wrote a post discussing the injunctions the SEC typically obtains against defendants in federal court.  I noted the oddity of these obey-the-law injunctions and wondered aloud why the Commission never pursues findings of…
  • Jan 20

    Retrench of DOJ’s Equitable Sharing Program Could be Boon to N.C. School

    Retrench of DOJ’s Equitable Sharing Program Could be Boon to N.C. School
    “Equitable Sharing” sounds so reasonable.  Who could argue with it?  Here’s what it is, and what it does:  The Justice Department’s Equitable Sharing program allows federal law enforcement agencies to…
  • Jan 19

    The SEC Does Not Care about Its Injunction

    The SEC Does Not Care about Its Injunction
    It won’t surprise you to learn that the U.S. Code includes this provision: “A court of the United States shall have power to punish by fine or imprisonment, or both, at its discretion, such contempt of its authority . . . as . . .…
Rank this Week: 787

Business Blog

Business Blog

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

http://www.businesslawnews.com/
  • Jan 26

    Affidavit of Merit in Negligence Suit Must Be From Like-Licensed Professional

    Affidavit of Merit in Negligence Suit Must Be From Like-Licensed Professional
    The Appellate Division recently held that New Jersey’s Affidavit of Merit (AOM) statute requires a supporting AOM from a “like-licensed” professional in all malpractice or negligence cases within the scope of the statute.…
  • Jan 23

    Eat More Kale Trademark Dispute Is A David vs. Goliath Situation

    Eat More Kale Trademark Dispute Is A David vs. Goliath Situation
    The battle over the Eat More Kale trademark appears to be over. After a much-publicized dispute with fast-food company Chick-fil-A, a Vermont small business owner can now take the final steps to perfect his federal trademark. The trademark…
  • Jan 22

    President’s Initiatives Regarding Cybersecurity and Data Protection

    President’s Initiatives Regarding Cybersecurity and Data Protection
    On January 20, President Barak Obama made his State of the Union Address. Among the “tasks that lie ahead,” the President’s initiatives involve cybersecurity and data privacy. In his address, the President’s…
Rank this Week: 661

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
  • Jan 23

    EMPLOYMENT TUESDAY at BrokeAndBroker.com

    EMPLOYMENT TUESDAY at BrokeAndBroker.com
    Seems to me that Wall Street is quite a bit like weather forecasts. Take today, for example -- in NYC, we were supposed to awake to Snowmageddon with close to three feet of snow and a howlin' storm. There wasn't much doubt according to all…
  • Jan 21

    SEC Sings You're Gonna Have To Serve Somebody With A Proper Brief

    SEC Sings You're Gonna Have To Serve Somebody With A Proper Brief
    Imagine that you're broke and can't afford a fabulous but high-priced regulatory lawyer like me and you need to submit a brief in response to some absolutely outrageous allegations made against you by the Securities and Exchange Commission…
  • Jan 20

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
    Chinese Pharma Private Securities TransactionsAs the economy recovers from the Great Recession, a number of regulatory violations that had been somewhat dormant for the past few years are once again showing up on the radar screen. With…
Rank this Week: 793

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

http://www.hedgefundlawblog.com
  • Jan 5

    Cole-Frieman & Mallon LLP 2014 Fourth Quarter Update

    Cole-Frieman & Mallon LLP 2014 Fourth Quarter Update
    www.colefrieman.com December 29, 2014 Clients, Friends, Associates: December is the busiest month of the year for most private fund managers. In addition to end of year administrative upkeep, the regulatory landscape has shifted dramatically…
  • Dec 4

    Hedge Fund Events December 2014

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

    3rd Annual Alternative Investments Summit – November 20th

    3rd Annual Alternative Investments Summit – November 20th
    Please see below information on the Seattle Investment Association event on November 20th. **** The Seattle Alternative Investment Association, together with the CFA Society of Seattle, invites you to join us on November 20th, 2014 for the…
Rank this Week: 749

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/
  • Jan 23

    A Couple Of Things To Know Before Bringing A Piercing The Corporate Veil Claim

    A Couple Of Things To Know Before Bringing A Piercing The Corporate Veil Claim
    You might remember the case of  Cold Springs Ventures, LLC v. Gilead Sciences, Inc..  Last year, Judge Jolly stayed an arbitration proceeding pending a ruling on a piercing the corporate veil claim.  If you are a reader of this…
  • Jan 16

    Reading Before Signing Is Advisable

    Reading Before Signing Is Advisable
    It's pretty basic that your clients should read the agreements that they sign before they sign them.  Or you should at least explain to your client the key provisions in what they are going to sign, if they are not going to read it. In…
  • Jan 6

    Do You Have To Be The Owner Of A Trade Secret To Sue For Misappropriation?

    Do You Have To Be The Owner Of A Trade Secret To Sue For Misappropriation?
    Can an exclusive licensee of a trade secret sue for its misappropriation?  Maybe, even though North Carolina's version of the Uniform Trade Secrets Protection Act reserves the right to sue to an "owner."  N.C. Gen. Stat.…
Rank this Week: 858

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • Jan 21

    What Is Big Brother Focused On In 2015

    What Is Big Brother Focused On In 2015
    It is that time of year again.  The SEC Office of Compliance and Inspection (OCIE) has announced its examination priorities for 2015.  Knowing what these priorities are will help firms gauge their compliance and supervision efforts…
  • Jan 20

    Why You Need To Think Twice About That New Hire

    Why You Need To Think Twice About That New Hire
    Starting July 1, member firms are required to have written procedures to verify the accuracy and completeness of the information in a registered representative’s U-4 within 30 days of the U-4 being filed with FINRA.  The question…
  • Dec 23

    Whistleblower Tips Continue to Rise in 2014

    Whistleblower Tips Continue to Rise in 2014
    The number of whistleblower tips to the Securities and Exchange Commission (SEC) continues to rise, according to the SEC’s 2014 Annual Report to Congress on the Dodd-Frank Whistleblower Program.  In the November 17, 2014 report,…
Rank this Week: 1138

Business Law Post

Business Law Post

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

http://www.businesslawpost.com
  • Jan 19

    How to Comply with New York Blue Sky Laws?

    How to Comply with New York Blue Sky Laws?
    As I previously explained here, Rule 506 private placements involve the filing of a Form D with the SEC as well as complying with blue sky notice filings requirements in each state where the investors participating in the offering reside.…
  • Jan 19

    The SEC Increases Focus On Digital Currencie

    The SEC Increases Focus On Digital Currencie
    It is clear that the SEC has been focusing on securities fraud involving digital currencies.  In July 2013, the SEC charged Trendon T. Shavers, the founder and operator of Bitcoin Savings and Trust, with defrauding investors in a…
  • Dec 26

    Blue Sky Filings Made Easy?

    Blue Sky Filings Made Easy?
    One of the reasons that explains why Rule 506 offerings have been so popular as a means of conducting a private placement is because they are exempt from state regulation.  In 1996, the National Securities Markets Improvement Act…
Rank this Week: 987

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: 1109

Perry Krumsiek & Jack Law Blog

Perry Krumsiek & Jack Law Blog

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

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

    Here’s One Government Program Worth HARPing On

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

    Here’s One Government Program Worth HARPing On

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

    The Lincoln Lawyer

    The Lincoln Lawyer
    Before Abraham Lincoln became our greatest president, he was a great corporate lawyer.  And before he was a corporate lawyer, he was a brilliant trial lawyer. In the 1840s, Lincoln represented a Revolutionary War widow who had been bilked…
Rank this Week: 1163

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: 869

May Law, PC Blog

May Law, PC Blog

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

http://www.maylawpc.net/category/blog/
  • Jan 26

    The Riskiest Financial Products for the Average Investor

    The Riskiest Financial Products for the Average Investor
    The United States Securities and Exchange Commission (SEC) has launched a new public investor watchdog to look out for the interests of mom and pop investors around…
  • Dec 18

    Is Arbitration Cheaper than Litigation?

    Is Arbitration Cheaper than Litigation?
    Many think that arbitration is less expensive than litigation. As a result, many aggrieved investors begin the process with unrealistic expectations about how much it will cost.…
  • Nov 24

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

    The Impact FINRA’s CARDS Plan Will Have on the Financial Industry
    The largest independent regulator of securities firms in the U.S., the Financial Industry Regulatory Authority (FINRA) purports to protect investors by making sure brokerage firms play by…
Rank this Week: 1321

100 F Street

100 F Street

Covers securities law for growing businesses. By Vanessa Schoenthaler.

http://100fstreet.com/
Rank this Week: 1852

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/
  • Jan 23

    TSX proposes additional listing exemptions for interlisted issuer

    TSX proposes additional listing exemptions for interlisted issuer
    Jonah Mann -  The Toronto Stock Exchange yesterday proposed amendments to its Company Manual that would adopt a broader deference model in respect of certain exchange requirements where an interlisted issuer is subject to the…
  • Jan 23

    Regulators adopt changes to CRM2 project

    Regulators adopt changes to CRM2 project
    Earlier this week, the Investment Industry Regulatory Organization of Canada announced that Phase 2 of its Client Relationship Model amendments (CRM2) have been approved by the applicable securities regulatory authorities and will come…
  • Jan 23

    CSA issue guidance on structured notes filing

    CSA issue guidance on structured notes filing
    The Canadian Securities Administrators yesterday issued a notice setting out the views of CSA staff concerning the offering of structured notes under the shelf prospectus system. Structured (or linked) notes are specified derivatives…
Rank this Week: 1240

Subject to Inquiry

Subject to Inquiry

Looks at white collar, congressional, SEC, energy enforcement and other government inquiries. By McGuireWoods.

http://www.subjecttoinquiry.com/
  • Jan 22

    White House Proposes Expansive Data Breach Notification Bill

    White House Proposes Expansive Data Breach Notification Bill
    Last week, President Obama proposed wide-reaching legislation to establish a uniform, nationwide standard for data breach notifications that envisions a significant enforcement role for the Consumer Financial Protection Bureau (CFPB). The…
  • Jan 16

    House Takes Action to Delay Volcker Rule

    House Takes Action to Delay Volcker Rule
    On Wednesday, the House passed a bill that would further delay the full implementation of the Volcker Rule – a highly controversial rule introduced under the Dodd-Frank Wall Street Reform and Consumer Protection Act that prohibits banks…
  • Jan 14

    CFPB Director Cordray Touts Mortgage Servicing Progress, New Consumer Tool

    CFPB Director Cordray Touts Mortgage Servicing Progress, New Consumer Tool
    At a January 13 Brookings Institution event, Consumer Financial Protection Bureau (CFPB) Director Richard Cordray delivered remarks on the current state of the mortgage market.Touting the recently enacted CFPB mortgage rules as evidence of…
Rank this Week: 1690

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • Jan 7

    Arbitration's Cancer – The Systemic Bias Created by the Co-existence of Paid Arbitrators, Arbitrator Strikes, and Award Historie

    Arbitration's Cancer – The Systemic Bias Created by the Co-existence of Paid Arbitrators, Arbitrator Strikes, and Award Historie
    One of the cornerstones of the rules of judicial ethics is that bias is to be avoided or ferreted out.  The intolerance for bias in our judiciary is not limited to overt bias.  Indeed, it has been said: “because bias is so…
  • Dec 16

    Are You Stuck in a REIT?

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

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

    What Will be on the SEC’s 2015 Exam Priorities for Investment Advisers?
    Each January, The SEC’s National Exam Program (“NEP”) issues examination priorities for the year ahead.  The priorities are based upon the SEC’s evaluation of those areas in the financial markets that it believes…
Rank this Week: 1624

Ponzitracker

Ponzitracker

Covers Ponzi schemes. By Jordan Maglich.

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

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

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

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

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

    California Men Sentenced For $5 Million Real Estate Ponzi Scheme

    California Men Sentenced For $5 Million Real Estate Ponzi Scheme
    Two California men will each serve at least a decade in prison for operating a real estate Ponzi scheme that duped victims out of nearly $5 million.  Terrance Brown, of San Jose, California, and Antranik Kabajouzian, of Morgan City,…
Rank this Week: 1752

Tim O'Connor's Blog

Tim O'Connor's Blog

Covers stockbroker fraud.

http://stockbrokerlaw.com/tim-oconnors-blog
  • Aug 12

    ERISA Plan Trustees Subject to Offsets for Prohibited Transactions as Functional Fiduciarie

    ERISA Plan Trustees Subject to Offsets for Prohibited Transactions as Functional Fiduciarie
    ERISA-Qualified Pension Plans The past decade has seen an explosion of new investment products being purchased in ERISA-qualified pension plans. These products, including structured products, auction rate notes, private placements, managed…
  • Jul 31

    Tenants-in-Common Investments: An Accident Waiting to Happen

    Tenants-in-Common Investments: An Accident Waiting to Happen
    The most common form of tenancy-in-common interests involves ownership interests in real property, with two or more persons possessing undivided interests in the property. Section 1031 of the Internal Revenue Code codified permissible…
  • 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…
Rank this Week: 1294

Alixe Cormick: Small Cap Lawyer

Alixe Cormick: Small Cap Lawyer

Focuses on Canadian and United States securities law matters of interest to micro and small cap companies.

http://www.alixecormick.com
  • Apr 30

    Welcome to Canada! Using Regulation A+ to List on the CSE, TSX or TSX Venture Exchange

    Welcome to Canada! Using Regulation A+ to List on the CSE, TSX or TSX Venture Exchange
     By Alixe Cormick Using Regulation A in conjunction with listing on the CSE, TSX, or TSX Venture Exchange in Canada is an option that will become more practical for United States (US) based issuers once proposed changes to Regulation A…
  • Apr 21

    How Much Does an Offering Memorandum Cost?

    How Much Does an Offering Memorandum Cost?
    By Alixe Cormick Asking what the “all-in-costs” are for preparing an offering memorandum (an OM) is like asking how much it costs to build a house. A new 4,000 square foot custom-built house in West Vancouver, BC will cost more…
  • Apr 17

    Where You Can Find the Proposed Canadian Equity Crowdfunding Rules and Form

    Where You Can Find the Proposed Canadian Equity Crowdfunding Rules and Form
      By Alixe Cormick In Canada, two crowdfunding specific exemption proposals are out for public comment: a start-up crowdfunding exemption and an integrated crowdfunding exemption. Six provinces (including Saskatchewan) are…
Rank this Week: 1605

Corporate Law and Democracy

Corporate Law and Democracy

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

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

    Whither State Securities Enforcement?

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

    Bailout-palooza

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

    What a Difference a Year Make

    What a Difference a Year Make
    One year ago discussions surrounding corporate law policy were driven by the Sarbanes-Oxley ‘backlash.”  The Paulson Committee and others were warning about how excessive regulation and litigation would lead to the ruin of Wall Street. …
Rank this Week: 1810

Recover Investment Losses Blog

Recover Investment Losses Blog

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

http://blog.rexsecuritieslaw.com
  • Jan 26

    Mervyn Phelan, Loan Broker, Sentenced in Investment Scam

    Mervyn Phelan, Loan Broker, Sentenced in Investment Scam
    January 26, 2015 Mervyn Phelan, Sr. , 74, of California was sentenced to five years in prison and ordered to pay restitution of $17.4 million. Court documents indicate that Phelan operated IAG Underwriters and worked with the McCloskey Group…
  • Jan 26

    Lewis Hunter, Former HD Vest Broker in Katy, Texas, Facing Wire Fraud Charges in Michigan

    Lewis Hunter, Former HD Vest Broker in Katy, Texas, Facing Wire Fraud Charges in Michigan
    January 21, 2015- Grand Rapids, MI Lewis Joseph Hunter, formerly a stockbroker and financial advisor in Grand Rapids, is charged with wire fraud and is accused of contacting former clients and convincing them to invest in worthless stocks.…
  • Jan 26

    Former Yankee Pitcher Ted Lilly Charged with Insurance Fraud

    Former Yankee Pitcher Ted Lilly Charged with Insurance Fraud
    January 24, 2015-San Luis Obispo, California The Wall Street Journal reports that former NY Yankee Ted Lilly has been charged with three felonies related to insurance fraud connected to false claims Lilly filed last year for his damaged RV.…
Rank this Week: 2220