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The Race to the Bottom

The Race to the Bottom

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

http://www.theracetothebottom.org/
  • 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: 56

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…
  • Oct 21

    By: SEC Releases Regulation A Proposal

    By: SEC Releases Regulation A Proposal
    […] 416-8956, by email at info@securitieslawyer101.com or visit www.jobact101.com.   This securities law blog post is provided as a general informational service to clients and friends…
  • Oct 14

    By: Transparency in Direct Public Offerings | Ghotala Bank

    By: Transparency in Direct Public Offerings | Ghotala Bank
    […] as a general informational service to clients and friends of Hamilton & Associates Law Group Securities Law Blog and should not be construed as, and does not constitute, legal and compliance advice on any […]
Rank this Week: 64

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/
Rank this Week: 136

Financial Counsel

Financial Counsel

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

http://financialcounselblog.com
  • Oct 22

    Former TD Executive Indicted in Connection with Florida Ponzi Scheme

    Former TD Executive Indicted in Connection with Florida Ponzi Scheme
    From the Desk of Jim Eccleston at Eccleston Law Offices: Frank Spinosa, a former regional vice president of TD Bank, has been charged for his involvement in jailed attorney Scott Rothstein’s $1.4 billion…
  • Oct 8

    SEC Warns Investors of The Risks of Private Placement

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

    Former Merrill Lynch Brokers Fired for Promoting Outside Hedge Fund

    Former Merrill Lynch Brokers Fired for Promoting Outside Hedge Fund
    From the Desk of Jim Eccleston at Eccleston Law Offices: Two former Merrill Lynch brokers, Stephen S. Brown and James P. Goetz, were fired for selling away hedge funds outside of the brokerage firm. “Selling…
Rank this Week: 156

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/
  • Oct 21

    Recovery of Rainer Preferred Income Partners IV

    Recovery of Rainer Preferred Income Partners IV
    Have you suffered losses as a result of your purchase of Prefered Income Partners IV, LLC? If so, The White Law Group may be able to help you recover your investment losses. According to marketing material, Prefered Income Partners IV was the…
  • Oct 17

    Recovery of United Mortgage Trust Investment Losse

    Recovery of United Mortgage Trust Investment Losse
    Did you suffer losses investing in United Mortgage Trust? If so, The White Law Group may be able to help recover your investment loss through a FINRA dispute resolution claim against the broker dealer that sold you the investment.…
  • Oct 17

    Recovery of TIER REIT Investment Losse

    Recovery of TIER REIT Investment Losse
    Did you suffer losses investing in TIER REIT? If so, The White Law Group may be able to help recover your investment loss through a FINRA dispute resolution claim against the broker dealer that sold you the investment. According to…
Rank this Week: 149

Institutional Investor Securities…

Institutional Investor Securities Blog

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

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

    Wells Fargo Reaches $591 Million Mortgage Deal with Fannie Mae

    Wells Fargo Reaches $591 Million Mortgage Deal with Fannie Mae
    Wells Fargo & Co. (WFC) has arrived at a $591 million mortgage settlement with Fannie Mae (FNMA). The arrangement resolves claims that the banking institution sold faulty mortgages to the government run-home loan financier and covers…
  • Oct 16

    DOJ Charges Another Two Ex-Rabobank Traders Over Libor Manipulation

    DOJ Charges Another Two Ex-Rabobank Traders Over Libor Manipulation
    The U.S. Department of Justice has indicted another two ex-Rabobank (RABO) traders over their alleged involvement in a London interbank offered rate manipulation scam. The charges widen the Federal Bureau of Investigation’s probe into…
  • Oct 14

    Barclays to Pay $20M To Settle Libor Manipulation

    Barclays to Pay $20M To Settle Libor Manipulation
    Barclays PLC (BARC) has consented to pay $20 million to settle complaints over the manipulation of the London interbank offered rate benchmark. As part of the accord, the bank will cooperate with a group of Eurodollar-futures traders that…
Rank this Week: 193

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Oct 21

    CFTC Global Roundtable Examines Clearing for Non-Deliverable Forward

    CFTC Global Roundtable Examines Clearing for Non-Deliverable Forward
    As the CFTC readies a proposal on the clearing of non-deliverable  forwards, the Commission convened a global meeting to discuss whether mandatory clearing should be required of NDF swaps contracts. The meeting was under the…
  • Oct 21

    E.U. Set to Resume Work on Money Market Fund Legislation

    E.U. Set to Resume Work on Money Market Fund Legislation
    The new E.U. Parliament and the new Financial Services Commissioner signaled their  intent to resume work on legislation enhancing the regulation of money market funds, an effort that stalled in the last Parliament and Commission. In a…
  • Oct 21

    Parliamentary Panel Approves Lord Hill as E.U. Financial Services Commissioner

    Parliamentary Panel Approves Lord Hill as E.U. Financial Services Commissioner
    After two contentious hearings, the E.U. Parliamentary Committee on Economic and Monetary Affairs favorably reported out the nomination of Lord Jonathan Hill of the U.K. as Commissioner for Financial Services and Financial Stability by a vote…
Rank this Week: 209

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/
Rank this Week: 211

California Corporate & Securities…

California Corporate & Securities Law

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

http://calcorporatelaw.com/
  • Oct 22

    Can An Employment Agreement Be A Wee Bit Too Integrated?

    Can An Employment Agreement Be A Wee Bit Too Integrated?
    The Bylaws of many public companies provide for mandatory indemnification of directors and officers (and sometimes other agents as well).  Often, Bylaws describe these indemnity obligations as contract rights.  For example the…
  • Oct 21

    Forum Selection Clauses Were Here Before They Were In Bylaw

    Forum Selection Clauses Were Here Before They Were In Bylaw
    Recent rulings by judges in Delaware and other states have given impetus to the adoption of exclusive forum bylaws.  To the casual observer, the idea might seem entirely novel.  But as Koheleth (the Gatherer) wrote “What has…
  • Oct 20

    This Hobby Lobby Proposal Is Much Mistaken

    This Hobby Lobby Proposal Is Much Mistaken
    Suzanne Weakley, editor-in-chief of the CEB Business Law Practitioner, recently called my attention to this letter from six professors at U.C. Berkeley (Robert P. Bartlett III, Richard Buxbaum, Stavros Gadinis, Justin McCrary, Steven…
Rank this Week: 236

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

http://www.seclawyersblog.com/
Rank this Week: 267

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: 262

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: 264

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
Rank this Week: 280

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Oct 22

    FINRA Fines Feltl & Company $1 Million Conerning the Firm’s Penny Stock Busine

    FINRA Fines Feltl & Company $1 Million Conerning the Firm’s Penny Stock Busine
    The Financial Industry Regulatory Authority (FINRA) has sanctioned brokerage firm Feltl & Company (Feltl) and fined the firm $1,000,000 concerning allegations that the firm, between January 2008, and February 2012. failed to comply with…
  • Oct 21

    Non-Traded REITs Sales Grow As Shown in Second Quarter 2014 Ranking

    Non-Traded REITs Sales Grow As Shown in Second Quarter 2014 Ranking
    Since the financial crisis the non-traded real estate investment trust (REIT) market has been a financial boon for the brokerage industry. A REIT is a security that invests typically in real estate related assets. Generally, REITs can be…
  • Oct 20

    Top 10 Signs of Investment Fraud

    Top 10 Signs of Investment Fraud
    Every year dozens of investors contact our firm seeking to recover losses due to sham or bogus investments. Only a fraction of those defrauded people were fortunate enough to working with a licensed broker who wasn’t being properly…
Rank this Week: 277

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Oct 22

    Posted: Archive Video from the “Usable Proxy Workshop”

    Posted: Archive Video from the “Usable Proxy Workshop”
    Last month, I co-hosted a “Usable Proxy Workshop” with Addison in NYC for a group of in-house folks. The panels were video-taped (thanks to the host of our location, Simpson Thacher!) – and I have now posted those video…
  • Oct 21

    Clawbacks & The New Revenue Recognition Rules: On a Collision Course?

    Clawbacks & The New Revenue Recognition Rules: On a Collision Course?
    Here’s something I just blogged on CompensationStandards.com’s “The Advisors Blog“: As companies are staffing & gearing up for the FASB/IASB’s new revenue recognition rules, it dawned on me that folks in the…
  • Oct 20

    When Will the SEC’s EDGAR Get Hacked? (Or Has It Already?)

    When Will the SEC’s EDGAR Get Hacked? (Or Has It Already?)
    About a decade ago, I blogged: “Personally, I am always amazed that there have not been any reported hacks of the EDGAR system – as that has to be one of the most popular targets of the hacking community, even for the youngsters…
Rank this Week: 331

Corporate Securities Law Blog

Corporate Securities Law Blog

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

http://www.corporatesecuritieslawblog.com/
  • Oct 8

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

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

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

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

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

    NASDAQ Proposes The Adoption Of A New All-Inclusive Annual Listing Fee
    On August 26, 2014, The NASDAQ Stock Market LLC (“NASDAQ”) filed with the Securities and Exchange Commission (the “SEC”) certain proposed amendments to the NASDAQ Stock Market Rules (the “Amendments”) to…
Rank this Week: 334

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/
  • Oct 22

    Is Dodd-Frank Responsible For Market Volatility?

    Is Dodd-Frank Responsible For Market Volatility?
    Last week’s market gyrations sparked questions about whether bank regulations implemented after the 2008 financial crisis exacerbated price declines by limiting the ability of Wall Street banks to make markets.Read More - Did Bank Rules…
  • Oct 17

    Customer Hit with $80,000 in Respondents' Attorney's Fee

    Customer Hit with $80,000 in Respondents' Attorney's Fee
    It is not often that a public customer is forced to pay a respondent's attorneys fees, but in a recent FINRA arbitration, that is exactly what happened.According to the description in the FINRA arbitration award it appears that a public…
  • Oct 16

    Third Party Bene is Not a Customer for Arbitration Purpose

    Third Party Bene is Not a Customer for Arbitration Purpose
    A FINRA arbitration panel has dismissed a $32 million claim because the claimant was not a customer of the brokerage firms, and did not have an account with the Respondents.The Claimant had alleged that he was an undisclosed third-party…
Rank this Week: 434

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • Oct 22

    Barclays Libor-Scandal Securities Suit Survives Renewed Dismissal Motion

    Barclays Libor-Scandal Securities Suit Survives Renewed Dismissal Motion
    The Libor-scandal based securities suit filed against Barclays and certain of its directors and offices will now be going forward. The case was initially dismissed, but on appeal the Second Circuit vacated a part of the dismissal ruling and…
  • Oct 21

    Dismissal Granted in Cyber Breach-Related Derivative Suit Filed Against Wyndham Official

    Dismissal Granted in Cyber Breach-Related Derivative Suit Filed Against Wyndham Official
     Along with the separate derivative lawsuit filed against Target Corporation’s board, the cyber breach-related derivate action filed against Wyndham Worldwide Corporation’s board has been closely watched as representative of…
  • Oct 20

    A Whole Bunch of Interesting Litigation and Enforcement Statistics and Analyse

    A Whole Bunch of Interesting Litigation and Enforcement Statistics and Analyse
    A single case may involve a host of interesting issues but sometimes the important lessons can only be discerned when many cases are considered collectively. This past week saw the release of some interesting analyses of aggregate litigation…
Rank this Week: 444

Broke and Broker

Broke and Broker

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

http://brokeandbroker.com/index.php
  • Oct 15

    Bill Singer Criticizes FINRA Outside Business Activity Case

    Bill Singer Criticizes FINRA Outside Business Activity Case
    FINRA has this thing about registered representatives engaging in so-called "Outside Business Activities" ("OBA"). Frankly, I don't agree with certain aspects of the FINRA's OBA Rule. None of which is to suggest -- even remotely -- that the…
  • Oct 15

    EMPLOYMENT TUESDAY at BrokeAndBroker

    EMPLOYMENT TUESDAY at BrokeAndBroker
    Stockbroker, Compliance, Legal, and Regulatory JobsEmployment Page BrokeAndBroker.com Jobs...
  • Oct 15

    FINRA Alarm Bells Awaken Sleepwalking Supervisor

    FINRA Alarm Bells Awaken Sleepwalking Supervisor
    Once upon a time, Wall Street's regulators seemed to view so-called "Failure To Supervise" matters as a last resort -- the final arrow in a quiver.  Whether benign neglect or a considered policy, those supervising the industry's…
Rank this Week: 423

Federal Securities Law Blog

Federal Securities Law Blog

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

http://www.fedseclaw.com/
  • Oct 10

    “The Bandits’ Club” gets its due

    “The Bandits’ Club” gets its due
    Our colleagues at Antitrust Law Source posted an interesting update about probable charges alleging that traders at approximately a dozen global banks – including Deutsche Bank, JPMorgan Chase, Barclays, and USB – fixed the…
  • Oct 7

    Supreme Court refuses to review FCPA challenge

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

    Whistleblowers wanted; Holder seeks increased compensation for financial crime informant

    Whistleblowers wanted; Holder seeks increased compensation for financial crime informant
    By W. Kelly Johnson In the first major public comment about white collar crime in more than a year, the Department of Justice (DOJ) called for an increase in compensation for whistleblowers under the Financial Institutions Reform, Recovery…
Rank this Week: 413

Sharesleuth.com

Sharesleuth.com

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

http://sharesleuth.com/
  • 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…
  • Jun 3

    Guanwei Recycling Corp. and Kandi Technologies Group Inc.: The Rui Wang Connection

    Guanwei Recycling Corp. and Kandi Technologies Group Inc.: The Rui Wang Connection
    A Chinese businessman who figures into a fraud case involving Guanwei Recycling Corp. (Nasdaq: GPRC) also has an intriguing connection to Kandi Technologies Group Inc. (Nasdaq: KNDI), whose shares were allegedly manipulated by the same group.…
Rank this Week: 426

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: 523

North Carolina Business Litigation…

North Carolina Business Litigation Report

Reports on judicial decisions of significance to business and shareholders. By Mack Sperling of Brooks Pierce LLP.

http://www.ncbusinesslitigationreport.com/
  • Oct 22

    Trade Secrets Cases In The NC Business Court: You Show Me Yours Before I'll Show You Mine

    Trade Secrets Cases In The NC Business Court: You Show Me Yours Before I'll Show You Mine
    There's a new roadblock for plaintiffs in the Business Court suing over trade secrets.  It was imposed last week by Judge Bledsoe in DSM Dyneema, LLC v. Thagard, 2014 NCBC 50, and it bars the plaintiff from proceeding with discovery…
  • Oct 15

    The Interrogatory That Does Not Warrant An Objection Based On Privilege

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

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

    Don't Throw The Kitchen Sink Of Defenses Into Your Answer
    Say you are filing an Answer to a Complaint.  NC Rule of Civil Procedure 8(c)  lists a host of affirmative defenses you might raise.  They are: accord and satisfaction, arbitration and award, assumption of risk, contributory…
Rank this Week: 625

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

Florida Securities Fraud Lawyer…

Florida Securities Fraud Lawyer Blog

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

http://www.floridasecuritiesfraudlawyerblog.com/
Rank this Week: 662

InvestorLawyers.net

InvestorLawyers.net

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

http://www.investorlawyers.net/blog/
Rank this Week: 882

William Carleton, Counselor @ Law

William Carleton, Counselor @ Law

Covers legal and investment issues facing emerging tech companies.

http://www.wac6.com/wac6/
  • Oct 16

    Changing the rules for who is allowed to invest in startup

    Changing the rules for who is allowed to invest in startup
    By now, you've probably heard that the SEC is considering making changes to the accredited investor definition. The definition is important to entrepreneurs, angel investors, and the startups they work on together, because it defines the…
  • Jun 25

    Where I've been

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

    The world is not totally fucked up: Exhibit A

    The world is not totally fucked up: Exhibit A
    Here is Exhibit A for the proposition that the world is not, in fact, totally and completely fucked up: sculpture being readied, as we speak, at Jefferson Park in Seattle. What's more, this public art is to be "skateable." I...
Rank this Week: 982

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

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

    Hedge Fund Events October 2014

    Hedge Fund Events October 2014
    The following are various hedge fund events happening this month. Please email us if you would like us to add your event to this list. **** Date: October 1, 2014 Sponsor: iGlobal Forum Event: Global REIT Summit 2014 Location: New York, NY…
  • Sep 5

    Hedge Fund Events September 2014

    Hedge Fund Events September 2014
    The following are various hedge fund events happening this month. Please email us if you would like us to add your event to this list. **** Date: September 8, 2014 Sponsor: NYSSA Event: Russian and Central & Eastern European Capital…
  • Aug 6

    NFA Action Against Firm for Inadequate 1101 Investigation

    NFA Action Against Firm for Inadequate 1101 Investigation
    Doing Business with Non-Members – NFA Action Raises Compliance Questions Under NFA Bylaw 1101, NFA members are restricted from doing business with individuals or entities that should be, but are not, registered with the CFTC and members…
Rank this Week: 934

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: 848

Securities Law Blog

Securities Law Blog

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

http://www.securitieslaw-blog.com/
  • Oct 22

    Should The SEC Update Its Definition Of Accredited Investors?

    Should The SEC Update Its Definition Of Accredited Investors?
    Currently, the SEC defines an accredited investor a someone who either has an income of at least $200,000 ($300,000 for couples) or a net worth of at least $1 million, without including the individual or couple’s primary residence. Some…
  • Oct 21

    SCOTUS Rejects Duane Reade Executives’ Appeal

    SCOTUS Rejects Duane Reade Executives’ Appeal
    The U.S. Supreme Court decided yesterday that it would not hear appeals from two former senior executives of Duane Reade Inc. The appeals follow the executives’ 2010 securities fraud convictions for inflating earnings at the New…
  • Oct 20

    Florida Investment Company VP Sentenced To 14 Years Imprisonment

    Florida Investment Company VP Sentenced To 14 Years Imprisonment
    Louis Gallo, former vice president of Commodities Online LLC, a Florida-based investment company, was sentenced last week to fourteen years imprisonment and ordered to pay nearly $20 million in restitution for his participation in a $21…
Rank this Week: 1432

DealLawyers.com Blog

DealLawyers.com Blog

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

http://www.deallawyers.com/Blog/
  • Oct 22

    Heightened Sensitivity Over Change-in-Control Payout

    Heightened Sensitivity Over Change-in-Control Payout
    Here’s news from Carol Bowie, Head of ISS Americas Research: Some key developments this proxy season suggest that investor sensitivity is growing in regard to perceived windfalls accruing to executives in connection with change in…
  • Oct 21

    Webcast: “Anatomy of a Proxy Contest: Process, Tactics & Strategies”

    Webcast: “Anatomy of a Proxy Contest: Process, Tactics & Strategies”
    Tune in tomorrow for the webcast – “Anatomy of a Proxy Contest: Process, Tactics & Strategies” – during which experts with different perspectives on proxy contests will catch us up on all the latest: ISS’…
  • Oct 20

    SEC Commissioner: 13D Reform Unlikely Next Year

    SEC Commissioner: 13D Reform Unlikely Next Year
    Since the SEC Chair typically sets the agenda for the agency, I was a little surprised to see this WSJ blog stating that SEC Commissioner Gallagher said that we shouldn’t expect changes to the 13D window “this year or next.”…
Rank this Week: 1164

BD Law Blog

BD Law Blog

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

http://www.bdlawblog.com/
  • Oct 21

    Restrictive Covenants in Georgia: A Tale of the Calendar

    Restrictive Covenants in Georgia: A Tale of the Calendar
    Prior to May 11, 2011, the law in Georgia tended to favor former employees of a business when a dispute arose about the enforceability of restrictive covenants such as covenants not to compete, covenants for non-solicitation, etc. If one…
  • Oct 15

    A Milestone, I suppose. 500 posts.

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

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

    FINRA Cautions Firms on Confidentiality Provisions In Settlement Agreements and Arbitration Discovery Stipulation
    FINRA recently issued Regulatory Notice 14-40, cautioning broker-dealer firms (and associated persons) against including overly restrictive confidentiality language in both settlement agreements and in arbitration discovery stipulations.…
Rank this Week: 1426

Startup Law Blog

Startup Law Blog

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

http://www.startuplawblog.com/
  • Oct 17

    SEC Advisory Committee Makes Accredited Investor Recommendation

    SEC Advisory Committee Makes Accredited Investor Recommendation
    Summary SEC Investor Advisory Committee makes recommendations to the SEC regarding “accredited investor” definition and related considerations No specific changes to financial thresholds recommended New “financial…
  • Oct 8

    Crowdfunding! @ Seattle Startup Week

    Crowdfunding! @ Seattle Startup Week
    My team at Davis Wright Tremaine and I are excited and honored to be able to help kick off the first day of Seattle Startup Week 2014 with an intensive meetup about the legal ins-and-outs surrounding Washington State Equity Crowdfunding.…
  • Sep 29

    FAA Grants Limited Exemptions Allowing Hollywood to Film With Drone

    FAA Grants Limited Exemptions Allowing Hollywood to Film With Drone
    By Diana Marina Cooper In a surprising move last week, the Federal Aviation Administration (FAA) granted permission to six Hollywood companies to film using unmanned aerial vehicles (UAVs). The FAA is currently developing rules to integrate…
Rank this Week: 1511

Business Law Post

Business Law Post

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

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

    CPOs Can Now Engage in General Solicitation

    CPOs Can Now Engage in General Solicitation
    The big legal news in September was that the staff at the Commodity Futures Trading Commission (CFTC) published an exemptive letter No. 14-116 (available here) that allows certain commodity pool operators (CPOs) to engage in general…
  • Aug 22

    New Seed Financing Documents (500 Startups and Y Combinator)

    New Seed Financing Documents (500 Startups and Y Combinator)
    The startup industry keeps on coming up with new innovative solutions to seed financing.  The latest trend is convertible equity.  Two startup venture funds and incubators, 500 Startups and Y Combinator, recently released their…
  • Aug 22

    Unregistered IPOs of Bitcoin Companies Do Not Go Unnoticed By the SEC

    Unregistered IPOs of Bitcoin Companies Do Not Go Unnoticed By the SEC
    As I previously discussed in my blog here, the SEC does not have a mandate to regulate Bitcoin. Not unless it is used in a securities offering, especially in an unregistered initial public offering conducted over the Internet in violation of…
Rank this Week: 1115

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: 1203

California Securities Fraud Lawyer…

California Securities Fraud Lawyer Blog

Covers securities regulation, fiduciaries, and securities disputes news and updates. Published By Alcala Law Firm.

http://www.californiasecuritiesfraudlawyerblog.com/
  • May 1

    March - April 2014 Disciplinary Action

    March - April 2014 Disciplinary Action
    William Jeffrey Austin (WBB Securitiies, Redlands, California) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $7,500 and suspended from association with any FINRA member in any capacity for 30 business days. The…
  • Apr 24

    Update: Charles Schwab to Allow Customer Class Action

    Update: Charles Schwab to Allow Customer Class Action
    Today, Charles Schwab agreed to end a long standing dispute over their customer's right to participate in securities class action lawsuits. In a settlement reached with the Financial Industry Regulatory Authority (FINRA), Charles Schwab…
  • Mar 24

    Regulators Fine LPL Financial LLC $950,000 Over Unsuitable Alternative Investments Sale

    Regulators Fine LPL Financial LLC $950,000 Over Unsuitable Alternative Investments Sale
    Today, LPL Financial LLC reached a settlement with the Financial Industry Regulatory Authority (FINRA) over the firm's failure to adequately supervise the sale of non-traded REITs and other risky alternative investments. LPL's settlement…
Rank this Week: 1481

Securities Class Action &…

Securities Class Action & Arbitration Law

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

http://securitiesattorneys.us/
Rank this Week: 1457

Wall Street Investment Fraud…

Wall Street Investment Fraud Lawyer Blog

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

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

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

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

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

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

    FINRA IDENTIFIES AREAS OF CONCERN FOR INVESTORS

    FINRA IDENTIFIES AREAS OF CONCERN FOR INVESTORS
    Each year, the Financial Industry Regulatory Authority (FINRA) publishes a letter to the financial services industry identifying its regulatory and examination priorities. FINRA is the industry's "self-regulatory organization," which is…
Rank this Week: 1279

Securities Fraud Attorney Blog

Securities Fraud Attorney Blog

Covers securities fraud, and other areas of securities law and banking and finance law. By Rich, Intelisano & Katz, LLP.

http://www.securitiesfraudattorneyblog.com/
  • Oct 25

    UBS in Web of Puerto Rico Bond Funds Suffering Massive Losse

    UBS in Web of Puerto Rico Bond Funds Suffering Massive Losse
    Puerto Rico bond funds have been suffering massive losses recently and regulators have already taken action. According to the SEC, UBS Financial Services of Puerto Rico Inc. (“UBS”) misled thousands of its retail investors in 23…
  • Dec 9

    Bloomberg Update on $383M Client Case v. Citigroup

    Bloomberg Update on $383M Client Case v. Citigroup
    Below is a piece by Bloomberg on our firm's $383 million claim against Citigroup. There's more on this case on the firm's website at http://www.riklawfirm.com/ Citigroup’s Mathur Said to Depart With Hybrid Traders as Pandit Cuts Jobs By…
  • Dec 1

    American Lawyer Piece on Firm's Citigroup Case

    American Lawyer Piece on Firm's Citigroup Case
    Below is an American Lawyer piece which explains our clients' pending $383 million FINRA arbitration against Citigroup. It goes on to talk about how there are more and more large and complex cases at FINRA. It's true. As partner John Rich…
Rank this Week: 1354

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
  • Oct 22

    High-Risk and High-Fee Exposure for Public Employee

    High-Risk and High-Fee Exposure for Public Employee
    A recent New York Times article (“Behind Private Equity’s Curtain,” October 18, 2014), has exposed the all too often insidious relationship between public pension funds and the private equity firms that are entrusted with…
  • Sep 26

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

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

    Nation’s Biggest Pension Fund makes Big Decision

    Nation’s Biggest Pension Fund makes Big Decision
    Concerns that investments are too complicated and expensive, the nation’s largest pension fund, the California Public Employees’ Retirement System, will eliminate all of its hedge fund investments over the next year. Overseeing…
Rank this Week: 1729

Business Blog

Business Blog

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

http://www.businesslawnews.com/
  • Oct 22

    Will NJ Be Latest State to Combat Patent Trolls With Legislation?

    Will NJ Be Latest State to Combat Patent Trolls With Legislation?
    New Jersey is the latest state to contemplate legislation to combat patent trolls, more neutrally referred to as non-practicing entities (NPEs). Critics use the term “patent trolls” because these firms often collect patent rights…
  • Oct 21

    NJ Supreme Court Rules Hospital’s Internal Error Report Is Privileged Under Patient Safety Act

    NJ Supreme Court Rules Hospital’s Internal Error Report Is Privileged Under Patient Safety Act
    The Supreme Court of New Jersey recently held that an internal memorandum prepared by a hospital in the course of a medical error investigation was not discoverable pursuant to the Patient Safety Act. The ruling should be good news for both…
  • Oct 20

    U.S. Supreme Court Adds to Growing Business Docket

    U.S. Supreme Court Adds to Growing Business Docket
    The U.S. Supreme Court may not consider same-sex marriage this term, but it will address a number of important cases impacting the business community. Reuters reports that, at last tally, more than half the 48 cases on the Court’s…
Rank this Week: 2188

Cady Bar the Door

Cady Bar the Door

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

http://www.secmiscellany.com
  • Oct 21

    DOJ’s Marshall Miller: You’re All FCPA Lawyers Now

    DOJ’s Marshall Miller: You’re All FCPA Lawyers Now
    Marshall Miller, the Justice Department’s  principal Deputy Assistant Attorney General for the Criminal Division, has been heating up the compliance conference circuit in recent weeks.  On September 17th, it was the Global…
  • Oct 15

    Wrapping up Securities Enforcement Forum 2014

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

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

    Securities Enforcement Forum 2014 — Current Developments in Trials, Testimony, Wells, APs and Settlement
    This is a rough and not verbatim transcript. Phil Khinda at Steptoe & Johnson moderating. Brad Karp at Paul Weiss:  We represented Citi in its case with the SEC.  The model had worked just fine for JPMorgan, but our case landed…
Rank this Week: 2106

Subject to Inquiry

Subject to Inquiry

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

http://www.subjecttoinquiry.com/
  • Oct 21

    A Question of Ethics: Are Members Permitted to Help Companies in Which They Own Stock?

    A Question of Ethics: Are Members Permitted to Help Companies in Which They Own Stock?
    Roll Call October 14, 2014 Q. I heard that Rep. Tom Petri, R-Wis., may face ethics discipline because he assisted companies in which he owned stock. I know that Members are not supposed to use their position for their own personal gain, but I…
  • Oct 20

    Taking Aim – the SEC’s Continued Focus on Hedge Fund

    Taking Aim – the SEC’s Continued Focus on Hedge Fund
    “It is difficult to overstate how much the regulatory landscape for hedge fund managers has changed over the past four years.” So said Norm Champ, director of the Securities and Exchange Commission’s Division of Investment…
  • Oct 17

    Update: Supreme Court Declines to Define Instrumentality under FCPA

    Update: Supreme Court Declines to Define Instrumentality under FCPA
    On October 6, 2014, the U.S. Supreme Court denied an August 14, 2014, petition for writ of certiorari by Joel Esquenazi and Carlos Rodriquez, former owners of Terra Communications (Terra). The petition asked the court to define who counts as…
Rank this Week: 2411

White Collar Alert

White Collar Alert

Provides news and insight to counsel and legal observers concerning white collar criminal defense, internal investigations, government litigation and regulatory compliance. By Montgomery McCracken.

http://whitecollarblog.mmwr.com
  • Oct 20

    Of Dropbox and Data Breaches: Highlighting the need for increased cyber-security at home and in the workplace

    Of Dropbox and Data Breaches: Highlighting the need for increased cyber-security at home and in the workplace
    This guest post is authored by Michael B. Hayes. Hayes’ practice concentrates on commercial litigation, government and corporate investigations. Hayes is frequently called upon by clients and colleagues to provide legal expertise and…
  • Oct 15

    DOJ Policy Shift: No Waiver for Ineffective Assistance of Counsel Claim

    DOJ Policy Shift: No Waiver for Ineffective Assistance of Counsel Claim
    Back in January, we wrote about the challenge facing counsel when the United States Attorney’s Office requires a defendant to waive his or her Sixth Amendment claims of ineffective assistance of counsel as part of any plea deal. Today,…
  • Oct 14

    Supreme Court Denies Review of “Acquitted Conduct” Sentence

    Supreme Court Denies Review of “Acquitted Conduct” Sentence
    A defendant exercises his constitutional right to a jury trial and is proven guilty by a jury of his peers. The jury, confronted with multiple charges against the defendant, weighs the evidence and acquits on all counts, save one for ……
Rank this Week: 1985

The Securities Edge

The Securities Edge

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

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

    My inaugural Uptick: How about never? Does never work for you?

    My inaugural Uptick: How about never? Does never work for you?
    Posted By: Robert B. Lamm I have read several reports quoting Mary Jo White, Chair of the SEC, as saying that the remaining Dodd-Frank corporate governance rulemakings will be out by year-end.  Admittedly, the reports aren’t clear…
  • Oct 17

    No more secret identities: Broker-dealers may soon be required to identify beneficial owners of legal entity customer

    No more secret identities: Broker-dealers may soon be required to identify beneficial owners of legal entity customer
    Posted By: Stephanie Quiñones As we blogged about in May, the Bank Secrecy Act (“BSA”), which requires financial institutions in the United States to assist U.S. government agencies to detect and prevent money laundering,…
  • Oct 9

    10 nuggets on corporate governance hot topic

    10 nuggets on corporate governance hot topic
    Posted By: Robert B. Lamm On September 30, Bob Lamm moderated a panel at a “Say-on-Pay Workshop” held during the 11th Annual Executive Compensation Conference in Las Vegas, Nevada.  The Conference is an annual event…
Rank this Week: 2349