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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: 66

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/
  • Dec 31

    Puerto Rico Will Make $330M in Bond Payments, Defaults on About $37M

    Puerto Rico Will Make $330M in Bond Payments, Defaults on About $37M
    The U.S. Commonwealth of Puerto Rico will pay about $330 million of what it owes on general obligation bonds, while defaulting on bonds of approximately $37 million that are mostly owed to the Puerto Rico Infrastructure Financing Authority…
  • Dec 26

    Man Released from Prison Faces New Fraud Charges in $11M Investor Stock Scam

    Man Released from Prison Faces New Fraud Charges in $11M Investor Stock Scam
    The Securities and Exchange Commission is charging Edward Durante with bilking investors once again. Durante, who already served a 10-year sentence for a previous securities fraud conviction, is accused of using different aliases to defraud…
  • Apr 30

    Oppenheimer Still Has Substantial Funds in Puerto Rico Municipal Bond Debt

    Oppenheimer Still Has Substantial Funds in Puerto Rico Municipal Bond Debt
    According to InvestmentNews, even with Puerto Rico heading toward default on its $72 billion in municipal debt, there are a number of funds that continue to hold the U.S. Territory’s bonds in their portfolios, such as the: · …
Rank this Week: 313

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/
  • May 3

    Simple Majority Voting And The Magna Carta

    Simple Majority Voting And The Magna Carta
    Some activists are continuing to submit stockholder proposals seeking the implementation of “simple majority voting”.  For example,  Morgan Stanley’s 2016 proxy statement includes the following…
  • May 2

    Why Delaware Corporations Should Worry About California Law When Making Dividend

    Why Delaware Corporations Should Worry About California Law When Making Dividend
    When paying a dividend to shareholders, California corporations are subject to Chapter 5 of the California Corporations Code.  Corporations incorporated in Delaware and other states may also be subject to Chapter 5 if they meet the…
  • Apr 29

    Plaintiffs Find California Courts Congenial To Section 11 Action

    Plaintiffs Find California Courts Congenial To Section 11 Action
    Muttering About Mottoes The official motto of the State of California is “Eureka”.  Cal. Gov’t Code § 420.5.  The word is a transliteration of the Greek word εὕρηκα which is…
Rank this Week: 284

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • May 2

    Kenley Brisard Terminated from Ridgeway & Conger

    Kenley Brisard Terminated from Ridgeway & Conger
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on April 28, 2016 indicate that former New York-based Ridgeway & Conger broker Kenley Brisard is currently not licensed to act as a broker or an…
  • May 2

    David Lockey Terminated from Edward Jone

    David Lockey Terminated from Edward Jone
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on April 28, 2016 indicate that former Texas-based SWS Financial Services broker/adviser David Lockey is the subject of a pending regulatory complaint.…
  • May 2

    Ciro Cavazos Discharged from Raymond Jame

    Ciro Cavazos Discharged from Raymond Jame
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on April 28, 2016 indicate that former California-based Raymond James broker Ciro Cavazos, also known as Nicholas Cavazos, is currently not licensed…
Rank this Week: 279

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
  • Apr 29

    CFP Board Introduces Mandatory Arbitration Plan

    CFP Board Introduces Mandatory Arbitration Plan
    From the Desk of Jim Eccleston at Eccleston Law LLC:Recently, the CFP Board announced that it would make revisions to its Terms and Conditions of Certification agreement with CFPs. The changes have focused primarily on a new provision for…
  • Apr 28

    DOL Amends Final Fiduciary Rule in Bid to Ease Industry Concern

    DOL Amends Final Fiduciary Rule in Bid to Ease Industry Concern
    From the Desk of Jim Eccleston at Eccleston Law LLC:The Labor Department has finalized an amended version of its fiduciary rule, which will provide wealth management firms a lengthier timeline for implementation in addition to relaxing…
  • Apr 27

    SEC charges four with fraudulent free-dinner scheme in Florida that targeted the elderly

    SEC charges four with fraudulent free-dinner scheme in Florida that targeted the elderly
    From the Desk of Jim Eccleston at Eccleston Law LLC:A large amount of money raised through “free dinner” investment seminars in Florida was never invested, the SEC alleges. The complaint states that four individuals invited…
Rank this Week: 281

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
Rank this Week: 306

Securities Law Blog

Securities Law Blog

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

http://seclaw.blogspot.com/
  • May 2

    Silicon Valley Executive Settles Insider Trading Charge

    Silicon Valley Executive Settles Insider Trading Charge
    The Securities and Exchange Commission today announced that a Silicon Valley executive has agreed to pay more than a half-million dollars to settle charges that he traded on inside information received from a board member at a Minnesota-based…
  • Apr 30

    Facebook Crushes Revenue Projections as Mobile Ad Sales Surge

    Facebook Crushes Revenue Projections as Mobile Ad Sales Surge
    Facebook's quarterly revenue rose more than 50 percent, beating Wall Street expectations as its wildly popular mobile app and a push into live video lured new advertisers and encouraged existing ones to boost spending.The company's shares…
  • Apr 30

    FINRA Reports on Effective Practices for Digital Investment Advice

    FINRA Reports on Effective Practices for Digital Investment Advice
    FINRA has issued a press release stating that financial services "firms' offerings of digital investment advice need sound governance and supervision, including effective means of overseeing suitability of recommendations, conflicts of…
Rank this Week: 362

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 28

    Delaware Courts continue scrutiny of “disclosure only” settlements in M&A litigation

    Delaware Courts continue scrutiny of “disclosure only” settlements in M&A litigation
    On Jan. 22, 2016, the Delaware Court of Chancery released its opinion in In re Trulia Stockholder Litigation in which it rejected a “disclosure only” settlement of a shareholders’ suit challenging an M&A transaction.…
  • Jan 22

    Supreme Court to review insider trading case

    Supreme Court to review insider trading case
    The Supreme Court has agreed to consider something that lies at the center of nearly every insider trading case: what prosecutors need to prove an insider trading conviction. This case aims to determine exactly what benefits corporate…
  • Jan 6

    Article sheds light on practice of private equity

    Article sheds light on practice of private equity
    Andrew Ross Sorkin wrote an interesting article in Tuesday’s New York Times regarding the practice of private equity firms designating the legal counsel to be used by its lenders in a leveraged buyout financing. In other words, the…
Rank this Week: 333

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • May 2

    Private Company Management Liability Insurance Tune-Up Tip

    Private Company Management Liability Insurance Tune-Up Tip
    The private company management liability insurance environment is constantly changing. The liability environment is constantly evolving. Because of the changes in liabilities and exposures and because of the competitive nature of the…
  • May 1

    The Yates Memo: What Impact So Far?

    The Yates Memo: What Impact So Far?
    It has now been seven months since the U.S. Department of Justice announced — in the form of a September 9, 2015 memo from Deputy Attorney General Sally Yates — that it was adopting a policy focused on individual accountability…
  • Apr 28

    Despite Swiss Forum Selection Clause, U.S. Court Orders FIFA’s Insurers to Advance Insured’s Defense Expense

    Despite Swiss Forum Selection Clause, U.S. Court Orders FIFA’s Insurers to Advance Insured’s Defense Expense
    One of the key current concerns in the global D&O insurance marketplace involves questions of cross-border implementation of insurance policy responsibilities and requirements. This concern is usually presented as a problem for…
Rank this Week: 408

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/
  • Apr 25

    Be Wary of Zika-Related Investment

    Be Wary of Zika-Related Investment
    The SEC has issued an Investor Alert regarding fraudsters attempting to profit by exploiting the dangers associated with the Zika virus.  For those not following the news, Zika is a tropical disease transmitted by mosquitoes. …
  • Apr 22

    The Elderly – Vulnerable to Stockbroker Abuse

    The Elderly – Vulnerable to Stockbroker Abuse
    In our law firm, we frequently represent elderly clients in claims against brokerage firms and financial advisors.  These claims usually include allegations that the broker took advantage of the elderly client, or recommended improper…
  • Apr 14

    Giving Someone Else Power Over Your Investment

    Giving Someone Else Power Over Your Investment
    As the investing population ages, it becomes more and more likely that investors will suffer failing physical and/or mental health.  Your permanent – or even temporary – incapacity could make managing your own investment…
Rank this Week: 428

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: 436

New York Securities Lawyer Blog

New York Securities Lawyer Blog

Covers securities law. By Lax & Neville LLP.

http://www.newyorksecuritieslawyerblog.com/
Rank this Week: 443

William Carleton, Counselor @ Law

William Carleton, Counselor @ Law

Covers legal and investment issues facing emerging tech companies.

http://www.wac6.com/wac6/
  • Mar 16

    Secondary Sales and An Investor Covenant You Don’t Want To Mi

    Secondary Sales and An Investor Covenant You Don’t Want To Mi
    Dear Readers: This is a post I co-wrote with Joe Wallin, who has published the almost identical post here. If you are investing in early stage companies, there are certain deal terms you want. Most you probably know already: if...
  • Mar 11

    A Gift from Congress to Angel

    A Gift from Congress to Angel
    The picture here was taken by Joe Wallin, who was on a panel with me, Gary Kocher of K&L Gates, Tom Alberg of Madrona Ventures, and Dan Rosen of the Alliance of Angels, talking to the Angel Capital Association's NW...
  • Mar 3

    Looking for Mr. 506(c)

    Looking for Mr. 506(c)
    "On a relative basis, issuances claiming the new Rule 506(c) exemption have accounted for only 2.1% of the reported capital raised pursuant to Rule 506 since becoming effective in September 2014." So reads a key finding of a report,…
Rank this Week: 442

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/
  • Mar 30

    Overstock.com Hatchet Man Judd Bagley's Downward Spiral: Junkie, Confessed Criminal, Admitted Adulterer

    Overstock.com Hatchet Man Judd Bagley's Downward Spiral: Junkie, Confessed Criminal, Admitted Adulterer
    In the years that I’ve written extensively about Overstock.com (NASDAQ: OSTK), I have always been amazed about its bizarre CEO Patrick Byrne and the gang of misfits he has surrounded himself with. By far, the worst was a real loser…
  • Feb 5

    Crook vs. Crook: Why Former Congressman Michael Grimm is a Dumb Crook

    Crook vs. Crook: Why Former Congressman Michael Grimm is a Dumb Crook
    In my first segment of a series of Op-ed articles about white-collar crime on CNBC, I examine the case of former Republican Congressman Michael Grimm who recently pleaded guilty to income tax evasion and awaits sentencing on June 8, 2015.New…
  • Dec 31

    White Collar Fraud List of Blog Posts for 2014

    White Collar Fraud List of Blog Posts for 2014
    December 19, 2014: Cleveland.com - Crazy Eddie CFO shares how companies trick auditors and fleece investors: Plain Dealing, by Sheryl HarrisDecember 3, 2014: Going Concern - Ex-Crazy Eddie CFO's 10 Tips for Advancing Your Accounting Career by…
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: 417

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • May 3

    Blockchain protocol for financial firms released as open source software

    Blockchain protocol for financial firms released as open source software
    By Anne Sherry, J.D.The blockchain protocol developed for financial firms over the last 18 months is now available to the wider financial community. Chain, Inc., which developed the protocol in partnership with Nasdaq, Fidelity, Citi, and…
  • May 2

    Agency officials give views on derivatives enforcement trend

    Agency officials give views on derivatives enforcement trend
    By Lene Powell, J.D.In a discussion panel hosted by the Practising Law Institute, enforcement officials from the CFTC, SEC, Department of Justice, and other agencies talked about new types of cases their agencies are bringing in the…
  • Apr 29

    House passes bill easing solicitation restrictions on angel investor

    House passes bill easing solicitation restrictions on angel investor
    By Amanda Maine, J.D.The House of Representatives has passed a bill aimed at encouraging investments from “angel” investors by exempting certain investor events from being considered “general solicitation” under the…
Rank this Week: 568

Securities Law Attorneys Blog

Securities Law Attorneys Blog

Covers securities law. By Fitapelli | Kurta.

http://www.securitieslawattorneys.net/
  • May 2

    Darrach Bourke Terminated from Firm

    Darrach Bourke Terminated from Firm
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on April 28, 2016 indicate that California-based Summit Brokerage Services broker/adviser Darrach Bourke is the subject of customer complaints. The…
  • May 2

    Citigroup’s Seth Marcus Facing Customer Complaint

    Citigroup’s Seth Marcus Facing Customer Complaint
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on April 28, 2016 indicate that New York-based Citigroup Global Markets broker/adviser Seth Marcus is the subject of settled or pending customer…
  • May 2

    Matthew Hurley Facing Customer Complaint

    Matthew Hurley Facing Customer Complaint
    Public records published by the Financial Industry Regulatory Authority (FINRA) on April 28, 2016 indicate that California-based Wells Fargo broker/adviser Matthew Hurley is the subject of settled or pending customer complaints. The…
Rank this Week: 510

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

http://www.seclawyersblog.com/
  • Apr 29

    The Department of Labor’s New Fiduciary Duty Rule

    The Department of Labor’s New Fiduciary Duty Rule
    On April 6, 2016, the Department of Labor (DOL) issued its final rule regarding financial advisors’ fiduciary duty in investors’ retirement accounts. This new rule takes partial effect in April 2017, and by January 2018…
  • Apr 29

    Sonn|Erez Investigating Claims Regarding St. Petersburg, Florida, Broker Jason Sayle

    Sonn|Erez Investigating Claims Regarding St. Petersburg, Florida, Broker Jason Sayle
    Sonn|Erez is investigating claims related to Jason Daniel Sayles (CRD #4140191, St. Petersburg, Florida). Sayles recently submitted a FINRA Letter of Acceptance, Waiver and Consent (“AWC”) in which he was assessed a deferred fine…
  • Apr 28

    Sonn|Erez Investigating Claims Regarding Former NFP Advisor Services Broker Robert Joseph Regan

    Sonn|Erez Investigating Claims Regarding Former NFP Advisor Services Broker Robert Joseph Regan
    Sonn|Erez is investigating claims related to Robert Joseph Regan (CRD #2322096, Alamo, California). Regan was associated with NFP Advisor Services, LLC (“NFP”) from September 2005 to January 2016, since which he has not been…
Rank this Week: 482

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/
  • Apr 28

    Call for Papers AALS Section on Securities Regulation - 2017 AALS Annual Meeting

    Call for Papers AALS Section on Securities Regulation - 2017 AALS Annual Meeting
    The AALS Section on Securities Regulation invites papers for its program on “Securities Regulation and Technological Change” at the 2017 AALS annual meeting. TOPIC DESCRIPTION: This panel discussion will explore the intersection of…
  • Apr 28

    Save the Date: Central States Law Schools Scholarship Conference

    Save the Date: Central States Law Schools Scholarship Conference
    The Central States Law Schools Association 2016 Scholarship Conference will be held on Friday, September 23 and Saturday, September 24 at the University of North Dakota School of Law in Grand Forks, ND. CSLSA is an organization of law…
  • Apr 28

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: Ivet A. Bell, Note, The Constitutionality of the SEC Pay to Play Rule: Why 206(4)-5 Survives the Deregulatory Trend in Campaign Finance, 49…
Rank this Week: 531

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Apr 28

    Suitability Complaints Against Merrill Lynch Broker Heather Weber

    Suitability Complaints Against Merrill Lynch Broker Heather Weber
    The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Heather Weber (Weber).  According to BrokerCheck records Weber has been subject to at…
  • Apr 28

    Broker Investigation: Allegations that David Ferland Solicited Private Loans From Customer

    Broker Investigation: Allegations that David Ferland Solicited Private Loans From Customer
    The investment lawyers of Gana LLP are investigating a customer complaint brought before the Financial Industry Regulatory Authority (FINRA) against David Ferland (Ferland) working out of the York, Maine office allegedly received a loan of…
  • Apr 27

    FINRA Bars Former National Securities Corporation Broker John Labarca

    FINRA Bars Former National Securities Corporation Broker John Labarca
    The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against former National Securities Corporation (National Securities) broker John Labarca (Labarca). …
Rank this Week: 538

Securities Lawyer 101

Securities Lawyer 101

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

https://www.securitieslawyer101.com/blog/
  • 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…
  • May 1

    Court Enters Final Judgments in Sky Capital Boiler Room Case

    Court Enters Final Judgments in Sky Capital Boiler Room Case
    Going Public LawyerThe Securities and Exchange Commission (“SEC”) announced that on April 8th the Honorable Paul A. Crotty of the United States District Court for the Southern District of New York entered final judgments on…
Rank this Week: 610

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 31

    SEC’s Report Evaluates The Definition of An Accredited Investor

    SEC’s Report Evaluates The Definition of An Accredited Investor
    The U.S. Securities and Exchange Commission (SEC) has put out a report assessing the definition of who qualifies as an accredited investor. The 2010 Dodd-Frank Act mandates that this definition be reevaluated every four years. Accredited…
  • Dec 29

    Wells Fargo Sued by Commerz Bank in Mortgage-Backed Securities Case

    Wells Fargo Sued by Commerz Bank in Mortgage-Backed Securities Case
    Commerzbank is suing Wells Fargo (WFC) for losses sustained on failed mortgage-backed securities (MBS). The German finance firm claims the California lending giant did not properly supervise MBS during the housing bubble, which Commerzbank…
  • Apr 26

    Hedge Fund Investors Want to Withdraw $1.4 Billion from Brevan Howard Master Fund

    Hedge Fund Investors Want to Withdraw $1.4 Billion from Brevan Howard Master Fund
    According to Bloomberg sources say that investors in Brevan Howard Asset Management’s primary hedge fund are asking to withdraw about $1.4M from the fund in the wake of successive yearly declines and losses from the first quarter.The…
Rank this Week: 786

DealLawyers.com Blog

DealLawyers.com Blog

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

http://www.deallawyers.com/Blog/
  • May 3

    A Novel One: Gannett’s “Just Vote No” Campaign = Merger Talks?

    A Novel One: Gannett’s “Just Vote No” Campaign = Merger Talks?
    Is it novel for a wannabe acquiror to put pressure on a target by running a ‘withhold’ campaign? Yes, it’s very unusual. There may have been others, but not that I can think of. The intro from this WSJ article explains the…
  • May 2

    Webcast: “M&A Research – Nuts & Bolts”

    Webcast: “M&A Research – Nuts & Bolts”
    Tune in tomorrow for the webcast – “M&A Research: Nuts & Bolts” – to hear Cooley’s Mutya Harsch; Wachtell Lipton’s Susan Hesse; White & Case’s Dan Kessler; Foley & Lardner’s Ben…
  • Apr 28

    Shareholder Activism: Trend Towards Targeting Larger Companie

    Shareholder Activism: Trend Towards Targeting Larger Companie
    Here’s a recent report from FactSet that shows the trend toward activism at large- and mega-cap companies. Here’s an excerpt from the report: The number of activist campaigns launched against Mega cap (greater than $50 billion in…
Rank this Week: 660

The White Law Group's Securities…

The White Law Group's Securities Fraud Blog

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

http://www.whitesecuritieslaw.com/securities-fraud/blog/
  • May 2

    Ultra Petroleum Corp Files Bankruptcy

    Ultra Petroleum Corp Files Bankruptcy
    Ultra Petroleum Corp joins the growing list of energy companies that have filed for bankruptcy in recent years. On Friday April 30, 2016 the company filed for chapter 11 bankruptcy protection. Based in Houston, Texas, Ultra Petroleum is an…
  • Apr 29

    Investor Alert: RK Hall, LLC

    Investor Alert: RK Hall, LLC
    Have you suffered investment losses in RK Hall, LLC? If so, The White Law Group may be able to help you recover your losses by filing a FINRA Dispute Resolution claim against the brokerage firm that sold you the investment. According to their…
  • Apr 29

    Investor Alert: RK Opportunity Fund III

    Investor Alert: RK Opportunity Fund III
    Have you suffered investment losses in RK Opportunity Fund III, LLC? If so, The White Law Group may be able to help you recover your losses by filing a FINRA Dispute Resolution claim against the brokerage firm that sold you the investment.…
Rank this Week: 657

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/
  • Feb 3

    A Couple Of Things Not To Do In The NC Business Court

    A Couple Of Things Not To Do In The NC Business Court
    The NC Business Court's decision last month in Krawiec v. Manly, 2016 NCBC 7, illustrates a couple of things not to do in the Court. Don't Make "Aiding and Abetting" Claims The Plaintiff made a claim against some of the Defendants for aiding…
  • Jan 18

    Arbitration Provision Which Completely Prohibited Any Discovery Enforced By NC Business court.

    Arbitration Provision Which Completely Prohibited Any Discovery Enforced By NC Business court.
    I don't draft arbitration provisions in agreements, but if I did I would not draft one like the one in Taggart v. Physicians Pharmacy Alliance, Inc.  Not because it turned out to be unenforceable, but because it was found to be…
  • Jan 12

    NC Business Court Revokes Pro Hac Vice Admission Of Out Of State Lawyer

    NC Business Court Revokes Pro Hac Vice Admission Of Out Of State Lawyer
    Judge McGuire came down pretty hard on a Florida attorney admitted pro hac vice (meaning "for this one particular occasion") by another Superior Court Judge, in McCarthy v. Hampton, 2016NCBC 4.  He revoked the lawyer's admission and…
Rank this Week: 677

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: 759

Securities Attorney Law Blog

Securities Attorney Law Blog

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

http://securitiesattorneys.us/
Rank this Week: 626

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • May 3

    Trust Indentures: 28-Firm White Paper

    Trust Indentures: 28-Firm White Paper
    This 28-Firm White Paper provides guidance that should facilitate the closing of certain debt restructurings and indenture amendments in the wake of two recent court decisions that interpreted Section 316(b) of the Trust Indenture Act as…
  • May 2

    Registration Statement Due Diligence: What Are Current Practices?

    Registration Statement Due Diligence: What Are Current Practices?
    Brink Dickerson of Troutman Sanders was wondering about how practices have evolved – or eroded – for bolstering the “due diligence” defense available to directors under Section 11(b)(3) of the 1933 Act. It seems that…
  • Apr 29

    Non-GAAP Disclosures: The Gloves Are Off

    Non-GAAP Disclosures: The Gloves Are Off
    Companies have been making non-GAAP disclosures for quite some time now. Perhaps spurred by recent remarks from SEC Chair White, SEC Commissioner Stein (remarks during PCAOB budget meeting) and SEC Chief Accountant Schnurr, it appears that…
Rank this Week: 837

Recover Investment Losses Blog

Recover Investment Losses Blog

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

http://blog.rexsecuritieslaw.com
Rank this Week: 1107

Sharesleuth.com

Sharesleuth.com

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

http://sharesleuth.com/
  • Nov 22

    SEC expands fraud case to include Lenco Mobile, subject of a prior Sharesleuth investigation

    SEC expands fraud case to include Lenco Mobile, subject of a prior Sharesleuth investigation
    The Securities and Exchange Commission has quietly expanded its fraud case against financier Izak Zirk De Maison, adding seven more people as codefendants and identifying five more stocks he used in his schemes. According to the SEC’s…
  • Feb 4

    Trick Play: Memorabilia company peddled Patriots, Seahawks gear with forged player autograph

    Trick Play: Memorabilia company peddled Patriots, Seahawks gear with forged player autograph
      Just days after the Seattle Seahawks and New England Patriots claimed their spots in Super Bowl XLIX, a memorabilia company called The Highland Mint contacted customers with a tantalizing list of autographed collectibles. Highland…
  • 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,…
Rank this Week: 835

Ponzitracker

Ponzitracker

Covers Ponzi schemes. By Jordan Maglich.

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

    SEC Charges Wisconsin Man With $10.4 Million Ponzi Scheme

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

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

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

    California Men Plead Guilty To $100 Million ATM Ponzi Scheme

    California Men Plead Guilty To $100 Million ATM Ponzi Scheme
    Two California men have entered guilty pleas to operating a massive Ponzi scheme that allegedly caused losses of over $100 million to victims who thought they were investing in a profitable ATM leasing operation.  Joel Barry Gillis, 74,…
Rank this Week: 1119

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: 981

ComplianceAsia News

ComplianceAsia News

Provides information for compliance professionals dealing with issues in financial regulation with a focus on the Asian region.

http://www.compliance.asia/
  • Feb 6

    WSJ report highlights significant concerns about the nature of global AML system

    WSJ report highlights significant concerns about the nature of global AML system
    Finally there is some reporting about the dirty little secret of global AML enforcement - it might not work.  The following was reported in the Wall Street Journal today and we recommend you read the full article: The Morning Risk…
  • Oct 27

    New FATF announcements regarding the progress various countries are making on AML CFT

    New FATF announcements regarding the progress various countries are making on AML CFT
    On Friday the SFC sent around a circular to licensed firms with details of a number of additions to the AML sanctions regime and this included advice from the FATF that some countries were not doing enough to improve their AML CFT…
  • Oct 23

    Mary Jo White sets out her views on the role of compliance

    Mary Jo White sets out her views on the role of compliance
    SEC Chair, Mary Jo White, recently spoke to an industry association in the United States and talked about the importance of the rule of compliance officers.  Here is the speech: Remarks at National Society of Compliance Professionals…
Rank this Week: 1099

The PSLRA Nugget

The PSLRA Nugget

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

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

    The Nugget is Moving to a New Home

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

    Yes Shorter is Better (at least in legal briefing)

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

    Confidential Sources Still Alive & Kicking

    Confidential Sources Still Alive & Kicking
    What's that? You thought Tellabs banned confidential witnesses? Well, let's not get carried away here, as there's certainly at least two ways to read that opinion. Of course, after the 7th Circuit decided Higginbotham v. Baxter, it was…
Rank this Week: 836

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
Rank this Week: 1555

New York Securities Lawyers Blog

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

http://www.newyorksecuritieslawyersblog.com/
  • Apr 8

    New Fiduciary Rule to Protect Retirement Investment

    New Fiduciary Rule to Protect Retirement Investment
    This week, it has been reported that the Department of Labor proposed tougher laws after issuing new regulations requiring financial advisors and brokers managing 401k and retirement accounts to act in the best interest of their clients.…
  • Mar 21

    New Study Reveals: 7% of Financial Advisers Are Guilty of Misconduct. How Safe Are You?

    New Study Reveals: 7% of Financial Advisers Are Guilty of Misconduct. How Safe Are You?
    In February 2016, academics Mark Egan, Gregor Matvos and Amit Seru at the University of Minnesota and University of Chicago business schools released a report titled “The Market for Financial Adviser…
  • Feb 29

    BROKER REPORT: Several Complaints Against Broker and Financial Advisor David E. Mickey

    BROKER REPORT: Several Complaints Against Broker and Financial Advisor David E. Mickey
    We are investigating customer complaints against broker David E. Mickey, who is currently barred from acting as a broker or otherwise associating with firms that sell securities to the public, as per FINRA’s BrokerCheck. According to…
Rank this Week: 1772

Stock Attorneys Blog

Stock Attorneys Blog

Covers FINRA arbitration, securities litigation, and stockbroker misconduct. By Blum Law Group.

http://www.stockattorneysblog.com/
  • Mar 14

    FINRA Questioning Brokerage Firm “Culture”

    FINRA Questioning Brokerage Firm “Culture”
    FINRA has made brokerage firm “culture” one of its top priorities for 2016. FINRA refers to “culture” as how management sets the bar for the firm and how culture effects their brokers interaction with clients and their…
  • Aug 18

    LPL Financial Fraught with Allegations of Supervisory Failure

    LPL Financial Fraught with Allegations of Supervisory Failure
    Advisor Independence Achilles Heel for Gigantic Investment Organization LPL Financial is one of the nation’s largest broker/dealer investment firms, yet it is not an investment firm in the traditional sense. Whereas most investment…
  • Aug 12

    Total Wealth Management Sanctions Kickback

    Total Wealth Management Sanctions Kickback
    Top Executives Foster Flagrant Fraud Practices It goes without saying that there is a lot of money to be made in the investment industry. Even when investment firms and advisors follow the rules that govern the industry, they stand to earn…
Rank this Week: 1264

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/
  • Mar 10

    Greenville Broker Claus Foerster Indicted in $2.8 Million Ponzi Scheme

    Greenville Broker Claus Foerster Indicted in $2.8 Million Ponzi Scheme
    A South Carolina grand jury has indicted a Greenville broker named Claus Foerster for defrauding his clients out of $2.8 million.  According to news reports, the indictments states that Foerster persuaded clients to invest in a…
  • Mar 1

    Broker Dealers That Sold United Development Funding REIT

    Broker Dealers That Sold United Development Funding REIT
    Following up on our previous blog post, broker dealers that sold UDF non-traded REITs to investors include, but are not limited to, IMS Securities Inc., Berthel Fisher & Co. Financial Services Inc., Centaurus Financial Inc., and VSR…
  • Feb 25

    More on United Development Funding REIT

    More on United Development Funding REIT
    Following up on our previous blog post, United Development Funding IV was organized on May 28, 2008.  UDF IV shares began trading on the NASDAQ under the symbol “UDF” on June 4, 2014.  Prior to June 4, 2012, UDF IV was a…
Rank this Week: 1372

Amato Law Firm, LLC Blog

Amato Law Firm, LLC Blog

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

http://www.ramatolaw.com/blog1
  • Feb 24

    United Development Funding Investment Losse

    United Development Funding Investment Losse
    The securities law firm of Amato Law Firm, LLC is investigating potential securities law claims involving United Development Funding (UDF) and its real estate investment trusts (REITs) including United Development Funding IV (UDF IV), a…
  • Feb 24

    Oil and Gas Investments Rack Up Large Losse

    Oil and Gas Investments Rack Up Large Losse
    The securities law firm of Amato Law Firm, LLC is investigating large losses in oil and gas related investments, such as publicly-traded master limited partnerships (MLPs) and private placements (limited partnerships that do not trade on a…
  • Jan 29

    New Pricing Rule for Non-Traded REITs Will Impact Independent Broker-Dealers and Their Customer

    New Pricing Rule for Non-Traded REITs Will Impact Independent Broker-Dealers and Their Customer
    At long last, FINRA’s revisions to Rules 2340 and 2310 (originally proposed in 2014) have been approved by the SEC and will go into effect on April 11, 2016.  In short, the purpose of the new rules is to provide increased…
Rank this Week: 1809

InvestorLawyers.net

InvestorLawyers.net

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

http://www.investorlawyers.net/blog/
  • Feb 19

    Former InterSecurities Broker Harry Hammond Suspended For Unapproved PIPE Transaction

    Former InterSecurities Broker Harry Hammond Suspended For Unapproved PIPE Transaction
    According to the Financial Industry Regulatory Authority (FINRA), former InterSecurities, Inc (InterSecurities), now known as Transamerica Financial Advisors, Inc. (Transamerica), broker Harry Hammond (Hammond) was suspended from the…
  • Feb 19

    36 Oil and Gas Companies Filed For Bankruptcy In 2015

    36 Oil and Gas Companies Filed For Bankruptcy In 2015
    Law Office of Christopher J. Gray wishes to alert investors to the possibility that recommendations of oil and gas investments by broker-dealers may be unsuitable, depending on the individual characteristics of investors and whether the…
  • Feb 19

    Customer Complaints Made Against Broker Robyn H. Lee Regarding TIC

    Customer Complaints Made Against Broker Robyn H. Lee Regarding TIC
    According to the Financial Industry Regulatory Authority (FINRA), former Independent Financial Group (Independent), broker Robyn H. Lee (Lee) has had at least thirteen (13) customer complaints made against him, mostly involving sales of…
Rank this Week: 1285

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/
Rank this Week: 1595

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: 1917

Inside Sarbanes Oxley

Inside Sarbanes Oxley

Covers Sarbanes-Oxley and compliance.

http://insidesarbanesoxley.com/
  • Sep 10

    Whistleblowing – What you need to know about the Dodd-Frank Act

    Whistleblowing – What you need to know about the Dodd-Frank Act
    If your organization isn’t already offering incentives to ferret out inappropriate behaviors, the new Dodd-Frank Act and whistleblowing rewards just might (and could make your company the next public spectacle). Deloitte’s…
  • May 26

    Internal Audit: The Continuous Conundrum

    Internal Audit: The Continuous Conundrum
    The department painstakingly went through its inventory of SOX controls to determine which ones could be assessed just by analyzing data in company systems. Then data-analytic scripts were written to allow exceptions to be found. Now, for…
  • May 26

    How to choose the right nonexecutive board leader

    How to choose the right nonexecutive board leader
    Ever since stock-listing requirements prompted many US companies to name an independent director to serve as the chairman, lead director, or presiding director of the board, these companies have been grappling with what, exactly, this board…
Rank this Week: 1773

Proxyland

Proxyland

Covers corporate governance.

http://proxyland.blogspot.com/
  • Mar 6

    One Blog Closes, Another Open

    One Blog Closes, Another Open
    Big news, dear readers.
  • Feb 17

    Stimulus Plan Attacks Executive Compensation: Stay Tuned

    Stimulus Plan Attacks Executive Compensation: Stay Tuned
    Everyone knows about the freaky fireball that plummeted through the Texas sky last weekend. In an unrelated development, a fireball suddenly appeared in the skies over Proxyland on Friday. That one, however, has been identified: it’s Title…
  • Feb 11

    Geithner's Financial Stability Plan, Or Whatever

    Geithner's Financial Stability Plan, Or Whatever
    C’mon now, everyone. Cheer up. At least Tim Geithner is easier on the eyes than Hank Paulson, whose face seemed to have the words “we’re all gonna die” written on it no matter what he was saying.
Rank this Week: 1369

Business Blog

Business Blog

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

http://www.businesslawnews.com/
  • May 3

    New Jersey Supreme Court Addresses Use of Metadata in Electronic Document

    New Jersey Supreme Court Addresses Use of Metadata in Electronic Document
    New Jersey Supreme Court Addresses Use of Metadata in Electronic Documents The Supreme Court of New Jersey recently issued an administrative determination regarding whether a lawyer who receives an electronic document may, consistent with…
  • Apr 20

    Amended NY Law Expands Shareholder Liability for Unpaid Wage

    Amended NY Law Expands Shareholder Liability for Unpaid Wage
    Amended NY Law Expands Shareholder Liability for Unpaid Wages The State of New York recently amended its corporate law to expand shareholder liability for unpaid wages of a privately held corporation. Section 630 of New York Business…
  • Apr 18

    Does Your New Jersey Business Need a Chief Culture Officer?

    Does Your New Jersey Business Need a Chief Culture Officer?
    Does Your New Jersey Business Need a Chief Culture Officer? Businesses are increasingly becoming more “creative” when awarding titles to corporate executives. Examples include chief experience officers, chief customer…
Rank this Week: 3945