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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 11

    Disappearing Women

    Disappearing Women
    How quickly things change—and not for the better.  In June, Fortune magazine reported that woman were “making strides” because a whopping 6.4% of CEOs were female.  As sad as that figure is, it just got much…
  • Apr 21

    Aztec Oil & Gas, Inc. v. Fisher: The Issue of Representative Shareholder

    Aztec Oil & Gas, Inc. v. Fisher: The Issue of Representative Shareholder
    In Aztec Oil & Gas, Inc. v. Fisher, 2016 BL 16110 (S.D. Tex. Jan. 21, 2016), third party plaintiffs Frank Fisher (“Fisher”), Robert Sonfield (“Sonfield”), and the Livingston Growth Fund Trust…
  • Apr 19

    No-Action Letter for Equinix, Inc. Allowed Exclusion of Proxy Access Bylaw

    No-Action Letter for Equinix, Inc. Allowed Exclusion of Proxy Access Bylaw
    In Equinix, Inc., 2016 WL 110889 (April 7, 2016), Equinix, Inc. (“Equinix”) requested the staff of the Securities and Exchange Commission permit the omission of a proposal submitted by John Chevedden (the…
Rank this Week: 19

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Aug 17

    Eric Snow Was sanctioned Following Allegations he Submitted False Expense Report

    Eric Snow Was sanctioned Following Allegations he Submitted False Expense Report
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 15, 2017 indicate that former Illinois-based Horace Mann Investors broker Eric Snow has been sanctioned by FINRA and barred from…
  • Aug 17

    Robert Travis Has Been Sanctioned by FINRA After Allegedly Submitting False Expense Report

    Robert Travis Has Been Sanctioned by FINRA After Allegedly Submitting False Expense Report
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 15, 2017 indicate that former Massachusetts-based Fidelity Brokerage Services broker Robert Travis has been sanctioned by FINRA…
  • Aug 17

    Matthew Smith Was Sanctioned Following Allegations of Rule Violation

    Matthew Smith Was Sanctioned Following Allegations of Rule Violation
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 15, 2017 indicate that South Carolina-based First Heartland Capital broker/adviser Matthew Smith has been sanctioned by FINRA…
Rank this Week: 90

McEldrew Young Blog

McEldrew Young Blog

Covers whistleblower law and wage theft for employees.

http://www.mceldrewyoung.com/blog/
  • Aug 14

    Disturbingly High Number of Hostile and Threatening Workplace

    Disturbingly High Number of Hostile and Threatening Workplace
    A study of 3,066 U.S. workers found that nearly one in five employees face a hostile or threatening environment at work. The unemployment rate may be at a 16-year low in 2017, but the study indicates everything is not well on the job front.…
  • Aug 10

    WSJ Reports Ontario Securities Whistleblower Tips Against Major Private Equity Firm

    WSJ Reports Ontario Securities Whistleblower Tips Against Major Private Equity Firm
    Since the Ontario Securities Commission opened its whistleblower program to tips, at least four individuals have filed complaints against one of Canada’s largest private equity firms according to the Wall Street Journal. Officials at…
  • Aug 10

    Carbon Monoxide Poisoning of Philadelphia Firefighters Reminds of Danger

    Carbon Monoxide Poisoning of Philadelphia Firefighters Reminds of Danger
    Five Philadelphia firefighters were rushed to the hospital after suffering carbon monoxide poisoning while fighting an underground electrical fire in West Chester yesterday. Six other firefighters were evaluated and monitored on the scene…
Rank this Week: 127

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Aug 2

    Broker David Menashe Sanctioned For Excessive and Unauthorized Trading

    Broker David Menashe Sanctioned For Excessive and Unauthorized Trading
    Gana LLP is investigating claims made by Financial Industry Regulatory Authority (FINRA) against broker David Menashe (Menashe). According to BrokerCheck records, Menashe was ordered to pay a restitution of $15,000 by the state of Montana for…
  • Aug 2

    Broker Dan Droeg Subject to Unsuitability Complaint

    Broker Dan Droeg Subject to Unsuitability Complaint
    Our law firm, Gana LLP, is investigating claims made by Financial Industry Regulatory Authority (FINRA) against broker Dan Droeg (Droeg). According to BrokerCheck, Droeg’s record contains two customer complaints filed against him…
  • Jul 31

    Financial Advisor Gregory Pease Subject to Multiple Customer Complaint

    Financial Advisor Gregory Pease Subject to Multiple Customer Complaint
    The investment fraud lawyers of Gana LLP are examining multiple customer disputes filed with the Financial Industry Regulatory Authority (FINRA) against financial advisor Gregory Pease (Pease). According to BrokerCheck, Pease has a multitude…
Rank this Week: 138

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/
  • Jan 31

    I Inherited an IRA Account. Now What?

    I Inherited an IRA Account. Now What?
    Ira Account Inheritance The answer to that question depends on whether you inherited the IRA account from your spouse or someone other than your spouse, such as your parent, sibling, or close friend.  You have more options if you…
  • Jan 27

    SEC Whistleblower Program is Gaining Momentum and Paying Big Bountie

    SEC Whistleblower Program is Gaining Momentum and Paying Big Bountie
    SEC Whistleblowers On January 23, the SEC announced that its whistleblower program will pay out to three whistleblowers a combined award of $7 million.  The whistleblowers’ awards were for helping the SEC pursue an investment…
  • Jan 19

    What are the pros and cons of taking a 401K loan?

    What are the pros and cons of taking a 401K loan?
    Many employers provide 401k plans for their employees.  A 401k plan is a retirement savings plan where employees can save a portion of their pre-tax earnings. Taxes aren’t paid on the money until it is withdrawn from the account.…
Rank this Week: 129

Securities Law Attorneys Blog

Securities Law Attorneys Blog

Covers securities law. By Fitapelli | Kurta.

http://www.securitieslawattorneys.net/
  • Aug 17

    Donald Bergeron Was Discharged From Two Former Employer

    Donald Bergeron Was Discharged From Two Former Employer
    Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 16, 2017 indicate that former North Carolina-based Capital Guardian broker/adviser Donald Bergeron has been sanctioned by FINRA and…
  • Aug 17

    Christopher Pollard Has Been Sanctioned by FINRA

    Christopher Pollard Has Been Sanctioned by FINRA
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 15, 2017 indicate that former Georgia-based Morgan Stanley broker/adviser Christopher Pollard has been sanctioned by FINRA and…
  • Aug 17

    Jason Likens Has Been Terminated From Two Former Employer

    Jason Likens Has Been Terminated From Two Former Employer
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 15, 2017 indicate that former Florida-based International Assets Advisory broker/adviser Jason Likens has been sanctioned by…
Rank this Week: 178

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/
  • Aug 17

    Update: UDF Funds Unable to File Periodic Report

    Update: UDF Funds Unable to File Periodic Report
    UDF Funds haven’t filed financial statements since 2015 Have you suffered losses investing in UDF Funds? If so, the securities attorneys at The White Law Group may be able to help you recover your losses by filing a FINRA Arbitration…
  • Aug 16

    Former Advisor Mark C. Koehler Barred from Securities Industry

    Former Advisor Mark C. Koehler Barred from Securities Industry
    FINRA Sanctions Former Advisor Mark C. Koehler According to the Financial Industry Regulatory Authority, on June 29, 2017, Mark C. Koehler (CRD #2873947, Chadds Ford, Pennsylvania) was issued an AWC in which Koehler was barred from…
  • Aug 16

    Legend Securities to Pay Restitution to Customer

    Legend Securities to Pay Restitution to Customer
    Legend Securities Censured and Fined According to the Financial Industry Regulatory Authority, on June 22, 2017, an OHO Decision became final in which Legend Securities, Inc. (CRD #44952, New York, New York) was fined a total of $475,000 and…
Rank this Week: 183

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/
  • Aug 11

    Ex-Investment Banker is Sentenced for Tribal Bond Fraud

    Ex-Investment Banker is Sentenced for Tribal Bond Fraud
    Jason Galanis, an ex-investment banker, who is already serving eleven years behind bars for stock rigging, has been sentenced to five years in prison for fraud involving a Native American tribal bond. He must forfeit over $43M and pay nearly…
  • Aug 9

    Madoff Ponzi Scam Caused Investors to Pull $363B in Investments, Reports Study

    Madoff Ponzi Scam Caused Investors to Pull $363B in Investments, Reports Study
    According to a new study recently published in The Review of Financial Studies, the Bernie Madoff Ponzi Scam not only bilked over 10,000 investors of billions of dollars, but it also caused many in the investing public to stop trusting the…
  • Aug 7

    Aurelius Capital Files Lawsuit Seeking To Have Puerto Rico Bankruptcy Case Dismissed

    Aurelius Capital Files Lawsuit Seeking To Have Puerto Rico Bankruptcy Case Dismissed
    In the United States District Court in San Juan, the hedge fund Aurelius Capital has filed a lawsuit seeking to have Puerto Rico’s bankruptcy case dismissed. Aurelius Capital is the holder of more than $470 million of Puerto Rico…
Rank this Week: 156

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/
  • Aug 8

    New Securities Law Articles in Print

    New Securities Law Articles in Print
    The following law review articles relating to securities regulation are now available in paper format: Janet Austin, What Exactly Is Market Integrity? An Analysis of One of the Core Objectives of Securities Regulation, 8 Wm. & Mary Bus.…
  • Aug 1

    New Securities Law Articles in Print

    New Securities Law Articles in Print
    The following law review articles relating to securities regulation are now available in paper format: Eric C. Chaffee, A Call for Legislative Reform: Expanding the Extraterritorial Application of the Private Rights Action under Federal…
  • Jul 22

    Trump to Nominate Former Senate Aide Peirce for SEC Commissioner

    Trump to Nominate Former Senate Aide Peirce for SEC Commissioner
    Eric Beech (Reuters), Trump to Nominate Former Senate Aide Peirce for SEC Commissioner: U.S. President Donald Trump intends to nominate former Senate Republican aide Hester Maria Peirce to be a member of the Securities and Exchange…
Rank this Week: 381

Subject to Inquiry

Subject to Inquiry

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

http://www.subjecttoinquiry.com/
  • Aug 7

    Recent Privilege Decision Raises Questions for Internal Investigation

    Recent Privilege Decision Raises Questions for Internal Investigation
    A recent federal district court case raises significant issues regarding privilege that should be on the radar of any in-house or outside counsel conducting an internal investigation with the goal of producing a public report. As discussed in…
  • Jul 28

    Ninth Circuit Ruling Weakens Materiality Standard under the FCA

    Ninth Circuit Ruling Weakens Materiality Standard under the FCA
    Last year in Universal Health Services, Inc. v. United States ex rel. Escobar et al. (discussed on this blog), the Supreme Court reminded litigants that the False Claims Act “is not an all-purpose antifraud statute.” In that case,…
  • Jul 21

    DOJ Takes Down AlphaBay, the World’s Largest Dark Web Marketplace

    DOJ Takes Down AlphaBay, the World’s Largest Dark Web Marketplace
    The U.S. Department of Justice has announced the seizure of AlphaBay, the largest criminal marketplace on the Internet, which was used to sell stolen financial information, identification documents and other personal data, computer hacking…
Rank this Week: 278

Securities Lawyer 101

Securities Lawyer 101

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

https://www.securitieslawyer101.com/blog/
  • Jan 23

    SEC Final Judgment Entered Against Graduate Leverage

    SEC Final Judgment Entered Against Graduate Leverage
    Going Public LawyerOn December 23, 2016, the United States District Court for the District of Massachusetts entered final judgments against Graduate Leverage, LLC, GL Capital Partners, LLC, GL Investment Services, LLC, Taft Financial…
  • Jan 22

    Final Judgment Entered Against Gregg Mulholland Posted by Brenda Hamilton

    Final Judgment Entered Against Gregg Mulholland Posted by Brenda Hamilton
    Going Public LawyerOn January 11, 2017, the U.S. District Court for the Eastern District of New York entered a final judgment against defendant Gregg R. Mulholland, a penny stock promoter charged in an SEC action with illegally selling more…
  • Jan 21

    Final Judgment Entered in “Prime Bank” Fraud – By: Brenda Hamilton

    Final Judgment Entered in “Prime Bank” Fraud – By: Brenda Hamilton
    Going Public LawyerOn January 13, 2017, the U.S. District Court for the District of Minnesota entered a final judgment against Minnesota resident James M. Louks and his company, FiberPoP Solutions, Inc. Louks and FiberPoP are defendants in an…
Rank this Week: 288

Institutional Investor Securities…

Institutional Investor Securities Blog

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

http://www.institutionalinvestorsecuritiesblog.com/
Rank this Week: 601

Classified: The Class Action Blog

Classified: The Class Action Blog

A blog focused on the latest class action developments and trends by the attorneys of Carlton Fields Jorden Burt.

http://classifiedclassaction.com/
Rank this Week: 905

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Aug 17

    Repeal of FSOC’s SIFI designation authority urged

    Repeal of FSOC’s SIFI designation authority urged
    By J. Preston Carter, J.D., LL.M.The Financial Stability Oversight Council’s Dodd-Frank Act authority to designate nonbank financial companies as systemically important financial institutions (SIFIs) should be repealed, according to the…
  • Aug 16

    Revised opinion expands list of vacated pre-Dodd-Frank bar

    Revised opinion expands list of vacated pre-Dodd-Frank bar
    By Rodney F. Tonkovic, J.D.A petition for rehearing by the SEC has resulted in the 11th Circuit vacating and revising a month-old opinion. The panel had previously denied an unregistered broker's petition for review of a lifetime bar from the…
  • Aug 15

    ISDA opposes EC’s proposed amendments on harmonization of moratoria power

    ISDA opposes EC’s proposed amendments on harmonization of moratoria power
    By Amanda Maine, J.D.The International Swaps and Derivatives Association (ISDA) has published a position paper outlining its concerns with the European Commission’s proposed amendments to its Bank Recovery and Resolution Directive…
Rank this Week: 422

Investment Fraud Information

Investment Fraud Information

By Andrew Stoltmann.

http://www.investmentfraudtimes.com/securities-fraud-attorneys/
  • Aug 17

    Gabriel Hynes Entered Into An AWC With FINRA: What Investors Can Do

    Gabriel Hynes Entered Into An AWC With FINRA: What Investors Can Do
    According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), Gabriel Hynes allegedly purchased securities in four different companies through private offerings conducted…
  • Aug 17

    Bae Keun Yu; SH Investment & Securities; Los Angeles, California

    Bae Keun Yu; SH Investment & Securities; Los Angeles, California
    According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), Bae Keun Yu violated securities laws. Mr. Yu allegedly formed Optima Koam Investment Inc. in September 2013 in…
  • Aug 16

    Update For Investors on Bakken Drilling Fund and How To Recover Losse

    Update For Investors on Bakken Drilling Fund and How To Recover Losse
    According to a recent InvestmentNews article, the Securities and Exchange Commission (SEC) accused Denver-based Coachman Energy Partners and its CEO, Randall D. Kenworthy of miscalculating and inadequately disclosing approximately $1.1…
Rank this Week: 891

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • Aug 16

    Ninth Circuit’s Standing Ruling in Remanded Spokeo Case Could Boost Plaintiff

    Ninth Circuit’s Standing Ruling in Remanded Spokeo Case Could Boost Plaintiff
    As courts have wrestled with standing issues in a variety of kinds of cases, the central question has been whether or not under the standard the U.S. Supreme Court enunciated in the Spokeo case the plaintiff alleged an injury that is…
  • Aug 15

    Shareholders File Climate Change Disclosure Lawsuit in Australian Court

    Shareholders File Climate Change Disclosure Lawsuit in Australian Court
    In the wake of President Donald Trump’s June 1, 2017 announcement that the United States will withdraw from the Paris Climate Accord, one of the things I predicted was that the administration’s action likely would trigger a host…
  • Aug 14

    Gambling Acceptance and Propensity for Financial Misreporting

    Gambling Acceptance and Propensity for Financial Misreporting
    What factors might indicate a likelihood of financial misreporting? There might be markers in companies’ financial statements, for example, with respect to reserving practices or practices with respect to other estimated items. There…
Rank this Week: 697

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
  • Aug 14

    A Stockbroker, Her LLC, And Her Customers' Loans (Or Investment?)

    A Stockbroker, Her LLC, And Her Customers' Loans (Or Investment?)
    Today's BrokeAndBroker.com Blog is akin to the Sunday crossword puzzle. There are some killer questions and arcane references and that word "Polish," which you thought had something to do with the Eastern European country, was actually a word…
  • Aug 14

    VOTE FOR STEPHEN KOHN for 2017 FINRA Small Firm Governor

    VOTE FOR STEPHEN KOHN for 2017 FINRA Small Firm Governor
    On August 22, 2017, the Financial Industry Regulatory Authority ("FINRA") will conduct its annual meeting, at which time the self-regulatory organization will elect one small firm Governor (up to 150 registered representatives) and one large…
  • Aug 11

    7th Circuit Affirms Spoofing Conviction

    7th Circuit Affirms Spoofing Conviction
    In 2014, Michael Coscia, the manager and sole owner of Panther Energy Trading LLC, was indicted by a federal Grand Jury for his alleged $1.4 million spoofing and commodities fraud scheme, which occurred in 2011 and  involved gold,…
Rank this Week: 882

The Securities Edge

The Securities Edge

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

http://www.thesecuritiesedge.com/
  • Aug 8

    Class Acts: Stock Indices Bar Differential Voting Right

    Class Acts: Stock Indices Bar Differential Voting Right
    In late July, S&P Dow Jones and FTSE Russell announced that they were changing or proposing to change the standards that govern whether a company is included in their indices.  Although their approaches differ, the changes would…
  • Jul 25

    RIP XBRL?

    RIP XBRL?
    Some of you may remember Christopher Cox, who served as SEC Chair from 2005 to early 2009, when he was succeeded by Mary Schapiro.  His name doesn’t come up often, perhaps because his legacy was a weakened Commission tarnished by,…
  • Jul 12

    On the subject of effective disclosure…

    On the subject of effective disclosure…
    The young ones among you may not be familiar with Harvey Pitt, but he is an incredibly smart man and a gifted attorney who chaired the SEC some years back.  He made some political gaffes in that role, but that doesn’t diminish his…
Rank this Week: 723

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
  • May 3

    Former PNC Investments Advisor Obtains $1.8 Million Award Against the Firm

    Former PNC Investments Advisor Obtains $1.8 Million Award Against the Firm
    As reported in Investment News, a FINRA arbitration panel recently ruled against PNC Investments LLC, the broker-dealer subsidiary of PNC Bank, and in favor of a former financial advisor, awarding her $1.8 million.  The Award is notable…
  • Feb 15

    FINRA Bars Former Wells Fargo Advisors Broker Matthew Maczko

    FINRA Bars Former Wells Fargo Advisors Broker Matthew Maczko
    The securities law firm of Amato Law Firm, LLC is investigating potential securities law claims involving former Wells Fargo Advisors, LLC representative Matthew Maczko.  Mr. Maczko, who worked in Wells Fargo Advisors’ Oak Brook,…
  • Jan 19

    Large Raiding Award Against Robert W. Baird & Co. Underscores Issues with Team Transition

    Large Raiding Award Against Robert W. Baird & Co. Underscores Issues with Team Transition
    A notable (due to its size) $23.5 million FINRA arbitration award against broker-dealer Robert W. Baird & Co. (Baird) and some of its representatives, issued by a three-member FINRA panel in Kansas last week, underscores the issues that…
Rank this Week: 600

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • Apr 17

    REPRESENTING ELDERS AND ATHLETES

    REPRESENTING ELDERS AND ATHLETES
    It wouldn’t seem likely that elders and athletes would have much, if anything, in common.  But they do.  They are frequently blessed with substantial semi-liquid assets, and are therefore the targets of fraudulent or reckless…
  • Mar 24

    Kokesh v. SEC: Implications for the Statute of Limitations for Missouri Securities Enforcement Action

    Kokesh v. SEC: Implications for the Statute of Limitations for Missouri Securities Enforcement Action
     Kokesh v. SEC, Docket No. 16-529 (oral argument date April 18, 2017) – Implications for the Statute of Limitations for Missouri State Securities Enforcement Actions.By John R. Phillips, Counsel for Cosgrove Law Group, LLC and…
  • Feb 24

    Get Your Own Lawyer, Darn It!

    Get Your Own Lawyer, Darn It!
    Financial advisors facing an arbitration claim or regulatory inquiry often count on their broker-dealer or registered investment advisor for legal counsel. These “employers” will frequently provide them with an ostensibly…
Rank this Week: 751

Sharesleuth.com

Sharesleuth.com

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

http://sharesleuth.com/
Rank this Week: 424

Investment Fund Law Blog

Investment Fund Law Blog

Provides updates and insights on legal issues facing fund managers and investors. By Pillsbury Winthrop Shaw Pittman LLP.

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

    HFMWEEK AWARDS PILLSBURY INVESTMENT MANAGEMENT PRACTICE FOR SERVICE TO HEDGE FUND STARTUPS

    HFMWEEK AWARDS PILLSBURY INVESTMENT MANAGEMENT PRACTICE FOR SERVICE TO HEDGE FUND STARTUPS
    NEW YORK—Pillsbury has been named Best Onshore Law Firm for Hedge Fund Startups by HFMWeek at its HFM U.S. Hedge Fund Services Awards 2016.  Partner Ildiko Duckor, who is co-leader of the firm’s Investment Funds &…
  • Oct 4

    New Law Mandates Disclosure of Alternative Fund Fees By California Public Pension

    New Law Mandates Disclosure of Alternative Fund Fees By California Public Pension
    To increase the transparency of fees and expenses paid to alternative funds, every California public pension plan must require each alternative fund in which they invest to make various disclosures, and California public pension plans are…
  • Sep 21

    Higher Qualified Client Net Worth Threshold Effective August 15, 2016

    Higher Qualified Client Net Worth Threshold Effective August 15, 2016
    3(c)(1) funds should update their offering documents to reflect $2.1 million net worth requirement. Assets under management threshold remains unchanged at $1 million. Only new client relationships entered and new investors admitted in private…
Rank this Week: 516

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: 884

The Lebrecht Group, APLC Blog

The Lebrecht Group, APLC Blog

Discusses corporate securities law .

http://www.thelebrechtgroup.com/blog/
  • Jul 11

    SEC Allows Solicitation in Private Offering

    SEC Allows Solicitation in Private Offering
    At long last, the SEC has approved general solicitation in 506 offerings.  I have previously blogged on the subject here and here. It seems each stakeholder group is claiming it as their own victory.  Hedge funds, crowdfunders,…
  • Jun 19

    Sponsored Research. When Is It Independent?

    Sponsored Research. When Is It Independent?
    This week, Fox Business News contributor Tobin Smith was terminated because he violated their policy that “no contributor to FBN [Fox Business Network], nor his/her firm, and/or family members are allowed to accept financial…
  • Jun 6

    When Is It a Good Strategy To Lie to the SEC?

    When Is It a Good Strategy To Lie to the SEC?
    This, of course, is a misleading question.  The answer is never.  In case you need some law to back up that conclusion, take a look at the recent case of Robert J. Vitale.  Mr. Vitale was the subject of an SEC enforcement…
Rank this Week: 576

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: 860

Securities Law Blog

Securities Law Blog

Covers securities law. By Fitapelli | Kurta.

https://www.securities-law-attorney.com/
  • Aug 17

    Christopher Hawn Was Recently Sanctioned Following Allegations of Rule Violation

    Christopher Hawn Was Recently Sanctioned Following Allegations of Rule Violation
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 16, 2017 indicate that former California-based Alps Distributors broker/adviser Christopher Hawn has been sanctioned by FINRA…
  • Aug 17

    Roy Woehrman Was Recently Sanctioned by FINRA

    Roy Woehrman Was Recently Sanctioned by FINRA
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 16, 2017 indicate that California-based LPL Financial broker/adviser Roy Woehrman has been sanctioned by FINRA. Fitapelli Kurta…
  • Aug 16

    David Gott Has Received Two FINRA Sanction

    David Gott Has Received Two FINRA Sanction
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 15, 2017 indicate that former Iowa-based Ausdal Financial Partners broker/adviser David Gott has been sanctioned by FINRA and…
Rank this Week: 2311

Securities Fraud Lawyer Blog

Securities Fraud Lawyer Blog

Covers securities law. By The Law Office of David Liebrader, Inc.

https://www.securitiesfraudlawyerblog.net/
  • Aug 17

    Ernest Romer Barred by FINRA: Pending Investigation

    Ernest Romer Barred by FINRA: Pending Investigation
    Ernest Romer has been barred by FINRA; Update August, 2017: Michigan seeks cease and desist, intent to bar. On August 16, 2017 the state of Michigan’s Securities Division issued a notice of intent to revoke the securities licensing of…
  • Aug 17

    William Jordan Investments Investigation

    William Jordan Investments Investigation
    William Jordan Investments Barred by California DBO; Bankruptcy Filing! On August 16, 2017 the State of California’s Department of Business Oversight announced a consent order and issued a bar which prevents William Jordan Investments…
  • Aug 14

    Kevin Wanner barred over CD Sale

    Kevin Wanner barred over CD Sale
    Kevin Wanner barred over CD sales In January, 2016 FINRA barred broker Kevin Wanner formerly of Questar Capital Corporation and Woodbury Financial for his role in brokering certificates of deposit and selling unregistered securities. In…
Rank this Week: 2504

Strictly Business

Strictly Business

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

http://www.strictlybusinesslawblog.com/
  • Aug 17

    Accredited Investors vs. Qualified Clients vs. Qualified Purchasers: Understanding Investor Qualification

    Accredited Investors vs. Qualified Clients vs. Qualified Purchasers: Understanding Investor Qualification
    Private funds, such has hedge funds, private equity funds, and venture capital funds, are governed by a host of intersecting federal laws that impact who can invest in these fund, including the Securities Act of 1933, the Securities Exchange…
  • Jul 20

    New Options for Raising Capital for Startups and Growth Companie

    New Options for Raising Capital for Startups and Growth Companie
    Traditionally, when raising capital, an overwhelming majority of businesses have used Rule 506 of Regulation D, also often known as the “private placement exemption” as their exemption from securities registration requirements. In…
  • Jun 29

    The Life Cycle of a Private Equity or Venture Capital Fund

    The Life Cycle of a Private Equity or Venture Capital Fund
    Unlike most hedge funds, the investment holdings of private equity and venture capital funds typically are not liquid. Consequently, private equity and venture capital funds usually do not have any redemption rights and are organized to have…
Rank this Week: 2737

Regulation tomorrow

Regulation tomorrow

By Norton Rose Fulbright. Offers resources on the global financial services regulatory environment. It reports on financial services regulatory developments and provides insights and commentary across Africa, Asia, Australia, Canada, Europe and the United States.

http://www.regulationtomorrow.com/
  • Aug 17

    A comparison of bail-in regimes – Canada and the UK

    A comparison of bail-in regimes – Canada and the UK
    We have published a new briefing note comparing the bail-in regimes in Canada and the UK. The guide can be found here.… Continue Reading
  • Aug 17

    Responses to ESMA’s consultation on CRA endorsement guideline

    Responses to ESMA’s consultation on CRA endorsement guideline
    The European Securities and Markets Authority (ESMA) has published responses to its Consultation Paper: Update of the guidelines on the application of the endorsement regime under Article 4(3) of the Credit Rating Agencies Regulation…
  • Aug 17

    Preparing for Brexit: “The clock is ticking”

    Preparing for Brexit: “The clock is ticking”
    The European Central Bank (ECB) has published an interview with Sabine Lautenschlager, Member of the Executive Board of the ECB and Vice-Chair of the Supervisory Board of the ECB. In her interview there is a discussion about developments in…
Rank this Week: 2599

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Aug 17

    Links to Exhibits: How to Link to A Very Old Exhibit

    Links to Exhibits: How to Link to A Very Old Exhibit
    We’ve blogged several times since the SEC adopted a rule requiring companies to link to exhibits in their filings. My latest blog predicted that we would see guidance from Corp Fin ahead of the September 1st effective date of that rule.…
  • Aug 16

    Should Passive Shareholders Not Be Allowed to Vote?

    Should Passive Shareholders Not Be Allowed to Vote?
    Recently, Liz blogged about an article that indicates that some investors that are considered “passive” may be more on auto-pilot than some would think. Now we have a paper that wants passive funds to be restricted from voting in…
  • Aug 15

    Climate Change: Vanguard to Provide More On Its Voting Record

    Climate Change: Vanguard to Provide More On Its Voting Record
    As we’ve blogged (also see this article), Vanguard recently received a shareholder proposal requesting additional disclosure about its climate change voting record – but Vanguard announced yesterday that it had negotiated the…
Rank this Week: 2694

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/
  • Aug 17

    M&A Value Creation: Time to Rethink the “Winner’s Curse”?

    M&A Value Creation: Time to Rethink the “Winner’s Curse”?
    When I taught law school, I’d always spend some time discussing the “winner’s curse” – the idea that because of competition among bidders for deals, most mergers didn’t create much value for the…
  • Aug 16

    Joint Ventures: Antitrust Issue

    Joint Ventures: Antitrust Issue
    This Orrick blog is the first in a series addressing antitrust issues in joint ventures.  Since joint ventures frequently involve collaborations between competitors or potential competitors, antitrust concerns can be…
  • Aug 15

    Tomorrow’s Webcast: “Structuring, Negotiating & Litigating Public Deals – Has the Pendulum Moved?”

    Tomorrow’s Webcast: “Structuring, Negotiating & Litigating Public Deals – Has the Pendulum Moved?”
    Tune in tomorrow for the webcast – “Structuring, Negotiating & Litigating Public Deals: Has the Pendulum Moved?” – to hear Richards Layton’s Ray DiCamillo, Greenberg Traurig’s Cliff Neimeth…
Rank this Week: 2688

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/
  • Aug 16

    SEC Uncovers Wide-Reaching Insider Trading Scheme

    SEC Uncovers Wide-Reaching Insider Trading Scheme
    The Securities and Exchange Commission today announced insider trading charges against seven individuals who generated millions in profits by trading on confidential information about dozens of impending mergers and acquisitions.  Data…
  • Aug 15

    SEC Charges KPMG with Audit Failure

    SEC Charges KPMG with Audit Failure
    The Securities and Exchange Commission today announced that KPMG has agreed to pay more than $6.2 million to settle charges that it failed to properly audit the financial statements of an oil and gas company, resulting in investors being…
  • Aug 11

    SEC Files Charges in Oil Drilling Investment Scheme

    SEC Files Charges in Oil Drilling Investment Scheme
    The Securities and Exchange Commission today charged two Tennessee men and an accomplice in Fort Lauderdale with allegedly defrauding investors they lured by false promises of high returns from an oil drilling investment opportunity.According…
Rank this Week: 2692

Stock Attorneys Blog

Stock Attorneys Blog

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

http://www.stockattorneysblog.com/
  • Aug 16

    Burris Suspended by FINRA for Five Business Day

    Burris Suspended by FINRA for Five Business Day
    (FINRA Case #2015044921601) Johnny Earl Burris (CRD #2850953, Surprise, Arizona) submitted an Offer of Settlement in which he was assessed a deferred fine of $5,000 and suspended from association with any FINRA member in all capacities for…
  • Aug 10

    Bullock Censured and Fined by FINRA

    Bullock Censured and Fined by FINRA
    (FINRA Case #2016051902901) Robert Michael Bulloch (CRD #2541075, Raleigh, North Carolina) An AWC (Accept, Waiver & Consent) was issued in which Bulloch was censured and fined $10,000. Without admitting or denying the findings, Bulloch…
  • Aug 8

    Cetera Advisors LLC Sanctioned by FINRA

    Cetera Advisors LLC Sanctioned by FINRA
    (FINRA Case #2016050259001) Cetera Advisors LLC (CRD #10299, Denver, Colorado) – An AWC (Accept, Waiver & Consent) was issued in which the firm was censured and required to provide a remediation plan to FINRA to remediate eligible…
Rank this Week: 4333

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/
  • Aug 16

    A Subsidiary Post

    A Subsidiary Post
    Not too long ago, I wrote about the Securities and Exchange Commission’s confusing classification of subsidiaries.  See The Case Of The Wholly Owned, But Not Totally Held, Subsidiary That May Or May Not Be 100% Owned.…
  • Aug 16

    Under The Public Records Act, A Losing Party May Be The Prevailing Party

    Under The Public Records Act, A Losing Party May Be The Prevailing Party
    When the California legislature enacted the Public Records Act,  it declared “access to information concerning the conduct of the people’s business is a fundamental and necessary right of every person in this state”.…
  • Aug 15

    California Supreme Court Declines To Rehear Documentary Transfer Tax Appeal

    California Supreme Court Declines To Rehear Documentary Transfer Tax Appeal
    In June, I wrote about the California Supreme Court’s disappointing decision in 926 N. Ardmore Ave. v. County of L.A., 2017 Cal. LEXIS 4768 (Cal. 2017).  See California Supreme Court Affirms Novel M&A Tax. Readers may…
Rank this Week: 3812

Securities Litigation and…

Securities Litigation and Regulatory Enforcement Blog

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

http://blogs.orrick.com/securities-litigation/
  • Aug 15

    Second Circuit Ruling Creates Challenge for Securities Class Action Plaintiff

    Second Circuit Ruling Creates Challenge for Securities Class Action Plaintiff
    The Second Circuit recently considered the extraterritorial application of the U.S. securities laws in the private securities class action context, bringing some clarity to an area of the law that is increasingly important given the…
  • Aug 8

    The “Pharma Bro” Trial—Who Really Won?

    The “Pharma Bro” Trial—Who Really Won?
    After a five-week trial, a jury of five men and seven women convicted notorious pharmaceutical executive Martin Shkreli of securities fraud on August 4, 2017. Shkreli had been charged with two counts of securities fraud, three counts of…
  • Aug 1

    On the Chopping Block: The Effort to Repeal the CFPB’s New Rule on Consumer Class Action

    On the Chopping Block: The Effort to Repeal the CFPB’s New Rule on Consumer Class Action
    On July 19, 2017, the Consumer Financial Protection Bureau (“CFPB”) published a new rule that has the potential to significantly increase the number of class action lawsuits brought by consumers against their financial services…
Rank this Week: 3291

White Collar Wire

White Collar Wire

Covers news, cases, judicial opinions, practical tips and scholarly work regarding white-collar criminal and civil enforcement, grand jury investigations and regulatory compliance. By Jackson R. Sharman, III.

http://jacksharman.com/
  • Aug 15

    White-Collar Motive, Gun Crazy Movie

    White-Collar Motive, Gun Crazy Movie
    In 1950, producers Frank and Maurice King released Gun Crazy, a sometimes surreal Bonnie-and-Clyde story with an introverted, pacifist gun lover (Barton Tare, played by John Dall) and an English femme fatale sharpshooter …
  • Aug 14

    Search Warrants and Russia Raid

    Search Warrants and Russia Raid
    The execution of a search warrant on a residence owned by Paul Manafort, President Trump’s former campaign director, raises some interesting questions.  Search warrants are rarely necessary in white-collar cases, yet their use…
  • Jul 21

    Summer Crime, “Young Lawyers,” Martini

    Summer Crime, “Young Lawyers,” Martini
    Summer’s heat is fully upon us.  Let us take a moment for crime fiction and cocktails. For recent crime-fiction releases, take a look at Midmonth Book Notes  from The Poisoned Pen bookstore. Also, here is a useful…
Rank this Week: 2184

Canadian Securities Law Online

Canadian Securities Law Online

Covers Canadian securities law topics, including disclosures, corporate governance, mergers, registration and compliance. By Stikeman Elliott.

http://www.canadiansecuritieslaw.com/
  • Aug 11

    The Equity Margin Project: IIROC Withdraws Phase II of the Main Proposal for the New Methodology for Margining Equity Securitie

    The Equity Margin Project: IIROC Withdraws Phase II of the Main Proposal for the New Methodology for Margining Equity Securitie
     On July 13, 2017, the Investment Industry Regulatory Organization of Canada published IIROC Notice 17-0144 Withdrawal of the New Methodology for Margining Equity Securities-Dealer Member Rule 100 and Form 1 withdrawing Phase II of…
  • Aug 3

    IIROC Best Execution Amendments and Guidance

    IIROC Best Execution Amendments and Guidance
    Darin Renton -  On July 6, 2017, the Investment Industry Regulatory Organization of Canada (IIROC) published final amendments to the Universal Market Integrity Rules (UMIR) and the Dealer Member Rules (DMR) related to best execution…
  • Aug 3

    NI 31-103 Amendments: EMDs Banned from Prospectus Offering

    NI 31-103 Amendments: EMDs Banned from Prospectus Offering
    Alix d’Anglejan-Chatillon and Darin Renton -  New custody rules for non-SRO registrants also introduced Under a series of amendments to National Instrument 31-103 – Registration Requirements, Exemptions and Ongoing…
Rank this Week: 4745

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
  • Aug 10

    FBI Investigating Former Boston Morgan Stanley Broker James Polese

    FBI Investigating Former Boston Morgan Stanley Broker James Polese
    According to AdvisorHub, the Federal Bureau of Investigation has interviewed at least one client of James Polese, a Boston-area broker who Morgan Stanley fired for allegedly misappropriating client assets. Morgan Stanley recently fired Polese…
  • Aug 10

    FBI Investigating Former Boston Morgan Stanley Broker James Polese

    FBI Investigating Former Boston Morgan Stanley Broker James Polese
    According to AdvisorHub, the Federal Bureau of Investigation has interviewed at least one client of James Polese, a Boston-area broker who Morgan Stanley fired for allegedly misappropriating client assets. Morgan Stanley recently fired Polese…
  • Aug 2

    FINRA Suspends and Fines Former Cleveland Wells Fargo Broker John Dettelbach

    FINRA Suspends and Fines Former Cleveland Wells Fargo Broker John Dettelbach
    FINRA recently suspended former Wells Fargo broker John Dettelbach for unauthorized trading in client accounts. Without admitting or denying the findings, Dettelbach consented to the sanctions and to the entry of findings that he exercised…
Rank this Week: 4731

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • Aug 9

    Cybersecurity Insights from the SEC

    Cybersecurity Insights from the SEC
      Over the last several months, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) has been conducting a “sweep examination” of over 70 broker-dealers and investment advisers to…
  • Aug 9

    Cybersecurity — What are you doing

    Cybersecurity — What are you doing
    The SEC recently issued an alert for investment advisors regarding cybersecurity.  Here is a link to a story on the alert.  Are you doing enough to fight this risk?  If you do not have an answer, then the answer is probably no.…
  • Jul 26

    Rogue Brokers Beware

    Rogue Brokers Beware
      FINRA is ever-increasing its focus on rogue brokers.  For the latest on this issue, check out this recent post.Continue Reading…
Rank this Week: 3806

Recover Investment Losses Blog

Recover Investment Losses Blog

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

http://blog.rexsecuritieslaw.com
  • Aug 8

    Losses on Cole Capital REITs ?

    Losses on Cole Capital REITs ?
    Brokerage firms nationwide sold a number real estate investment trusts (REITs) sponsored by Cole Capital, including: Cole Office and Industrial Cole Advisor Corporate Income Cole Advisor Retail Income REIT Cole Credit Property Trust Cole…
  • Aug 8

    Losses on Cole Office and Industrial REIT ?

    Losses on Cole Office and Industrial REIT ?
    If you have suffered losses on your investment in Cole Office & Industrial REIT, contact us to learn how you may be able to recover damages from the brokerage firm that sold you the investment. Brokers often fail to disclose the risks…
  • Aug 8

    Investigation of Capital Financial Services Brokers-Mark & Herminia Sitter-The Woodlands, TX

    Investigation of Capital Financial Services Brokers-Mark & Herminia Sitter-The Woodlands, TX
    August 2017- Boca Raton, FL We are investigating  Capital Financial Services stockbroker Mark Raymond Sitter of the Woodlands, TX, and  his wife Herminia C. Sitter, who until June 2017, was also a  broker with…
Rank this Week: 2387

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/
Rank this Week: 4167

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/
  • Aug 8

    Retaining key employees in an acquisition

    Retaining key employees in an acquisition
    Imagine identifying an acquisition target that looks great on paper: strong earnings, efficient operations and good workplace environment. But after acquiring the target, a key employee leaves, taking with him or her key customers and…
  • Aug 4

    Learning from Yahoo!’s missteps: Meeting SEC disclosure obligations after a cyber-attack

    Learning from Yahoo!’s missteps: Meeting SEC disclosure obligations after a cyber-attack
    In July 2016, Verizon announced it would buy Yahoo! for an unprecedented $4.83 billion. Several months later, Yahoo! disclosed two massive data breaches that affected 1.5 billion people, threatening to scuttle the agreement. Although Verizon…
  • Jul 21

    Non-competition agreements: Ensuring enforceability

    Non-competition agreements: Ensuring enforceability
    A non-competition agreement raises state-law public policy concerns. As a result, states often restrict the scope of non-competition agreements before they will enforce them. The protectable interests that states will recognize, the rules of…
Rank this Week: 4224

Special Situations Law

Special Situations Law

By Norton Rose Fulbright. Covers shareholder activist and defence mandates, as well as complex reorganization transactions.

http://www.specialsituationslaw.com/
  • Aug 8

    Alberta Securities Commission declines to exercise public interest jurisdiction to terminate soliciting dealer arrangement in proxy fight

    Alberta Securities Commission declines to exercise public interest jurisdiction to terminate soliciting dealer arrangement in proxy fight
    In its recent PointNorth Capital Inc. decision, the Alberta Securities Commission (ASC) was called upon to consider the appropriateness of a soliciting dealer arrangement that had been entered into by the issuer, Liquor Stores N.A. Ltd., in…
  • Aug 1

    Social Media: Shareholder Activism in 140 Characters or Le

    Social Media: Shareholder Activism in 140 Characters or Le
    Social media has changed how we live. We have access to extensive information and global connections at our finger tips.  Given its already well-established presence in our personal lives, it comes as no surprise that social media has…
  • Jul 26

    How independent are independent directors?

    How independent are independent directors?
    Board independence is a pillar of good corporate governance. It ensures that a corporation’s management is properly monitored and that the corporation’s decisions effectively balance the various stakeholders’ interests. Over…
Rank this Week: 2595

New York Securities Lawyers Blog

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

http://www.newyorksecuritieslawyersblog.com/
  • Aug 7

    What Can We Learn About Investing from NBA-Legend Tim Duncan? – Part 2 of 2

    What Can We Learn About Investing from NBA-Legend Tim Duncan? – Part 2 of 2
    This is Part 2 of an article we posted last week on former NBA-great, Tim Duncan, where we introduced the investing lessons that could be gleaned from Duncan’s relationship with his former financial adviser, Charles A. Banks, who was…
  • Jul 28

    What Can We Learn About Investing from NBA Legend Tim Duncan? – Part 1 of 2

    What Can We Learn About Investing from NBA Legend Tim Duncan? – Part 1 of 2
    Last month we learned that Tim Duncan’s financial adviser was sentenced by a federal court to four years in prison for defrauding the NBA legend of $7.5 million.  Duncan earned over $220 million during his playing career, so he is…
  • Jul 14

    What is There to Gain From Being a Whistleblower?

    What is There to Gain From Being a Whistleblower?
    It takes a lot of courage to report illegal or fraudulent misconduct by one’s own employer.  This is because being a whistleblower carries significant risks.  Whistleblowers not only risk their current employment, but possible…
Rank this Week: 2732

SEC Whistleblower Lawyer Blog

SEC Whistleblower Lawyer Blog

Covers securities law. By Silver Law Group & The Law Firm of David R. Chase, P.A.

http://www.secwhistleblowerlawyers.net/
Rank this Week: 1761