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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: 37

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Feb 13

    Broker Investigation: Customer Complaints Against Scott Palmer

    Broker Investigation: Customer Complaints Against Scott Palmer
    The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Scott Palmer (Palmer). According to BrokerCheck records, Palmer is subject to at least five…
  • Feb 13

    Broker Investigation: Customer Complaints Against Scott Palmer

    Broker Investigation: Customer Complaints Against Scott Palmer
    The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Scott Palmer (Palmer). According to BrokerCheck records, Palmer is subject to at least five…
  • Feb 13

    Advisor Robert Estevez Subject to Multiple Regulatory Action

    Advisor Robert Estevez Subject to Multiple Regulatory Action
    The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Robert Estevez (Estevez). According to BrokerCheck records there are at least 9…
Rank this Week: 58

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/
  • Mar 30

    Are Structured Notes Worth the Risk?

    Are Structured Notes Worth the Risk?
    What are Structured Notes? A Structured Note is an IOU from an investment bank that uses derivatives to create the desired exposure to one or more investments. According to the SEC, while structured notes may…
  • Mar 29

    SEC Charges Daniel H. Glick with Defrauding Senior

    SEC Charges Daniel H. Glick with Defrauding Senior
    Recovery of Investment Losses with Daniel H. Glick Have you suffered losses investing with Daniel H. Glick (CRD #2175655, Chicago, Illinois)? If so, The White Law Group may be able to help you recover your losses through FINRA Arbitration.…
  • Mar 28

    SEC Alert on Red flags of excessive trading, churning

    SEC Alert on Red flags of excessive trading, churning
    NY Brokers charged the same day in churning scheme The Securities and Exchange Commission issued an investor alert In January warning investors about excessive trading and churning in brokerage accounts the same day it charged two New York…
Rank this Week: 89

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Mar 28

    David Page Has Received Two Customer Complaint

    David Page Has Received Two Customer Complaint
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on March 27, 2017 indicate that former New York-based PHX Financial broker David Page has been the subject of customer disputes and is currently not…
  • Mar 28

    Anthony Mediate: Two Regulatory Sanction

    Anthony Mediate: Two Regulatory Sanction
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on March 27, 2017 indicate that former New York-based Legend Securities broker has been the subject of several resolved or pending customer disputes…
  • Mar 28

    Donald Wojnowski Has Received Five Customer Complaint

    Donald Wojnowski Has Received Five Customer Complaint
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on March 27, 2017 indicate that New York-based Paulson Investment Company broker/adviser Donald Wojnowski has been the subject of several customer…
Rank this Week: 101

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: 107

Stock Broker Fraud Blog

Stock Broker Fraud Blog

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

http://www.stockbrokerfraudblog.com/
Rank this Week: 185

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
  • Mar 14

    Unsuspecting Investors May Owe Taxes on Their Individual Retirement Accounts (IRAs)

    Unsuspecting Investors May Owe Taxes on Their Individual Retirement Accounts (IRAs)
    As described in a recent article in The Wall Street Journal (“Are Taxes Lurking in Your Tax-Free Retirement Account”), many Americans are now receiving notices informing them that they owe additional taxes on their traditional…
  • Mar 7

    Steven B. Caruso Selected to Speak at 2017 New York City Bar Association Arbitration Program

    Steven B. Caruso Selected to Speak at 2017 New York City Bar Association Arbitration Program
    Steven B. Caruso, the Resident Partner in the New York City office of Maddox Hargett & Caruso, P.C., has been invited to participate as a speaker at the 2017 “Hot Topics in Securities Arbitration” program that will be offered…
  • Feb 16

    Morgan Stanley Smith Barney to Pay $8M Penalty

    Morgan Stanley Smith Barney to Pay $8M Penalty
    Morgan Stanley Smith Barney has agreed to pay an $8 million penalty and admit wrongdoing to settle SEC charges that the firm made unsuitable recommendations about single inverse exchange traded fund (“ ETF”)  investments to…
Rank this Week: 184

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/
  • Mar 28

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: Robert B. Ahdieh, Notes from the Border: Writing Across the Administrative Law/Financial Regulation Divide, 66 J. Legal Educ. 64 (2016).…
  • Mar 28

    Call for Participants: Proposed AALS Discussion Group - A New Era for Business Regulation?

    Call for Participants: Proposed AALS Discussion Group - A New Era for Business Regulation?
    Proposed Discussion Group A New Era for Business Regulation? Joan MacLeod Heminway, The University of Tennessee College of Law Anne Tucker, Georgia State University College of Law 2018 AALS Annual Meeting San Diego, CA January 3-6, 2018 This…
  • Feb 27

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: John P. Anderson, When Does Corporate Criminal Liability for Insider Trading Make Sense?, 46 Stetson L. Rev. 147 (2016). Maria Babajanian,…
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
  • Mar 28

    Ex-Adviser Gets 7 Years in Prison for Running a $21M Ponzi Scheme

    Ex-Adviser Gets 7 Years in Prison for Running a $21M Ponzi Scheme
    From the Desk of Jim Eccleston at Eccleston Law LLC: A federal judge in Rhode Island sentenced adviser, Patrick Churchville, to 7 years in prison for conducting a $21 million dollar Ponzi scheme with 100 of his clients. According to the…
  • Mar 24

    New Recommendations by the FINRA Dispute Resolution Task Force (12th Article)

    New Recommendations by the FINRA Dispute Resolution Task Force (12th Article)
    From the Desk of Jim Eccleston at Eccleston Law LLC:This is the twelfth in a series of posts to discuss the 51 recommendations that the FINRA Dispute Resolution Task Force (Task Force) has made to the National Arbitration and Mediation…
  • Mar 21

    New Recommendations by the FINRA Dispute Resolution Task Force (11th Article)

    New Recommendations by the FINRA Dispute Resolution Task Force (11th Article)
    From the Desk of Jim Eccleston at Eccleston Law LLC:This is the eleventh in a series of posts to discuss the 51 recommendations that the FINRA Dispute Resolution Task Force (Task Force) has made to the National Arbitration and Mediation…
Rank this Week: 225

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: 242

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/
  • Feb 7

    FTC revises HSR and interlocking directorate threshold

    FTC revises HSR and interlocking directorate threshold
    The Federal Trade Commission has announced annual filing threshold revisions under the Hart-Scott-Rodino (HSR) Antitrust Improvements Act that set new antitrust reporting standards. Jay Levine, our colleague at Antitrust Law Source, provides…
  • Jan 23

    SEC enforces rules regarding use of non-GAAP measures and undisclosed perk

    SEC enforces rules regarding use of non-GAAP measures and undisclosed perk
    Last week, the Securities and Exchange Commission (SEC) made good on its promises to enforce violations of its non-GAAP financial measure disclosure rules. MDC Partners agreed to pay a $1.5 million dollar penalty to settle the SEC’s…
  • Dec 9

    Supreme Court affirms family insider trading conviction

    Supreme Court affirms family insider trading conviction
    On Tuesday, The United States Supreme Court unanimously affirmed an insider trading conviction by finding that inside information exchanged between relatives violates federal security laws. The case is Salman v. United States. The decision…
Rank this Week: 273

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Mar 30

    PCAOB staff issues white paper on emerging growth companie

    PCAOB staff issues white paper on emerging growth companie
    By Jacquelyn LumbThe PCAOB’s Office of Research and Analysis has issued a white paper on the characteristics of emerging growth companies (EGCs) to help inform the board in its rulemaking releases about the impact of applying new…
  • Mar 29

    Morrison precludes application of Rule 105 to purchase after short sale

    Morrison precludes application of Rule 105 to purchase after short sale
    By Rodney F. Tonkovic, J.D.In a question of first impression, the district court sitting in Manhattan has applied Morrison's extraterritoriality analysis to Rule 105 of Regulation M. At minimum, the court concluded a purchase must satisfy…
  • Mar 28

    Broker petitions SEC for rules on digital assets and blockchain tech

    Broker petitions SEC for rules on digital assets and blockchain tech
    By Anne Sherry, J.D.A broker-dealer that operates an alternative trading system (ATS) petitioned the SEC for guidance on when digital assets will be deemed securities and whether firms that facilitate their trading must register as a…
Rank this Week: 498

Investment Fraud Information

Investment Fraud Information

By Andrew Stoltmann.

http://www.investmentfraudtimes.com/securities-fraud-attorneys/
  • Mar 30

    How To Sue VFG Securities For Macquarie Equipment Leasing Fund Private Placement Sale

    How To Sue VFG Securities For Macquarie Equipment Leasing Fund Private Placement Sale
    Did your VFG Securities broker recommend and/or sell investments in Macquarie Equipment Leasing Fund? If so, you may be able to recover those losses by calling our Chicago-based law firm at 312-332-4200 today. Macquarie is an open ended fixed…
  • Mar 30

    Troy Baldridge; Capitol Securities Management; Glen Allen, Virginia

    Troy Baldridge; Capitol Securities Management; Glen Allen, Virginia
    Stoltmann Law Offices is investigating Troy Baldridge, a former registered investment advisor with Capitol Securities Management. Baldridge pleaded guilty in December 2016 to mail fraud. He allegedly transferred funds from client accounts…
  • Mar 30

    Update For Investors With VGTel, Christopher Cervino and Sheik Khan

    Update For Investors With VGTel, Christopher Cervino and Sheik Khan
    Stoltmann Law Offices continues to investigate Christopher Cervino and Sheik Khan, who were each convicted of one count of conspiracy to commit securities fraud, one count of securities fraud, one count of conspiracy to commit wire fraud and…
Rank this Week: 500

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/
  • Mar 29

    Brexit and Article 50: a financial services video update

    Brexit and Article 50: a financial services video update
    Following the UK Government’s delivery to the EU of the letter triggering Article 50, Jonathan Herbst provides a brief update from a financial services perspective. Our video can be found here. To read our previous publications on…
  • Mar 29

    Basel Committee report on progress in adopting the ‘Principles for effective risk data aggregation and risk reporting’

    Basel Committee report on progress in adopting the ‘Principles for effective risk data aggregation and risk reporting’
    The Basel Committee on Banking Supervision has issued its fourth report on progress in adopting the principles for effective risk data aggregation and risk reporting. The report reviews globally systemically important banks’ (G-SIBs)…
  • Mar 29

    HM Treasury revises special resolution regime code of practice

    HM Treasury revises special resolution regime code of practice
    HM Treasury has published a revised version of the Banking Act 2009 (the Act) special resolution regime (SRR) code of practice (the Code). The Code, issued in accordance with sections 5 and 6 of the Act, supports the legal framework of the…
Rank this Week: 509

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/
  • Mar 17

    SEC Adopts Rule Requiring Hyperlinks to Exhibits and HTML Formatting

    SEC Adopts Rule Requiring Hyperlinks to Exhibits and HTML Formatting
    On March 1, 2017, the Securities and Exchange Commission (“SEC”) announced the adoption of amendments that will require registrants that file certain registration statements and reports subject to the exhibit requirements of Item…
  • Mar 9

    Delaware Court of Chancery Holds that Cancellation of Shares Through Merger Deprives Stockholder of Standing in Section 220 Action

    Delaware Court of Chancery Holds that Cancellation of Shares Through Merger Deprives Stockholder of Standing in Section 220 Action
    In Weingarten v. Monster Worldwide, Inc., C.A. No. 12931-VCG, 2017 WL 752179 (Del. Ch. Feb. 27, 2017), the Delaware Court of Chancery (Glasscock, V.C.) clarified when a plaintiff has standing to vitiate inspection rights under Delaware…
  • Mar 3

    SNAP IPO Debuts On NYSE

    SNAP IPO Debuts On NYSE
    SNAP Inc., the parent company of Snapchat, went public yesterday with a valuation of approximately $33.4 billion. The Company raised $3.4 billion at $17 per share, and is now trading well above the IPO price. While SNAP has reported…
Rank this Week: 571

InvestorLawyers.net

InvestorLawyers.net

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

http://www.investorlawyers.net/blog/
  • Oct 13

    Former NEXT Financial Broker Douglas P. Simanski Barred for Alleged Theft

    Former NEXT Financial Broker Douglas P. Simanski Barred for Alleged Theft
      Financial Industry Regulatory Authority (FINRA) records indicate that Douglas P. Simanski (Simanski), a former stockbroker who was associated with NEXT Financial Group, has been permanently barred from the brokerage…
  • Oct 13

    Platinum Partners Hedge Funds Under Scrutiny

    Platinum Partners Hedge Funds Under Scrutiny
    Platinum Partners LP Funds are under scrutiny after federal agents reportedly raided the funds’ New York offices in July 2016.  Hedge fund entities sponsored by Platinum Partners include the Platinum Partners Value Arbitrage Funds,…
  • Oct 13

    FINRA Fines Investors Capital Over Unit Investment Trust Sale

    FINRA Fines Investors Capital Over Unit Investment Trust Sale
    The Financial Industry Regulatory Authority (FINRA) recently fined Investors Capital Corporation $250,000 over the sale of unit investment trusts (UITs).  Investors Capital did not admit or deny the allegations leading to the fine, but…
Rank this Week: 540

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: 492

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…
  • 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…
Rank this Week: 629

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Mar 30

    More on “Snap: The Debate Over Voting Rights Continues”

    More on “Snap: The Debate Over Voting Rights Continues”
    It’s all about the “index.” A few weeks ago, John blogged about the debate over the dual class voting structure of Snap. This Vox article is entitled “Snap offered shareholders a terrible deal. Lots of people signed up…
  • Mar 29

    SCOTUS: Forward-Looking Information Case Is a “Go”!

    SCOTUS: Forward-Looking Information Case Is a “Go”!
    Here’s the news from this WSJ article by Andrew Ackerman about the US Supreme Court granting certiorari to a case that might impact liability for “known trends and uncertainties” disclosure: The U.S. Supreme Court on Monday…
  • Mar 28

    Pay Ratio: Comments Received So Far

    Pay Ratio: Comments Received So Far
    Back in early February, the SEC’s Acting Chair – Mike Piwowar issued a statement directing the Corp Fin Staff to revisit the pay ratio rule & requested public comment about any challenges in complying with the rule. Comments…
Rank this Week: 833

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/
  • Mar 30

    Financial Advisors: Merger Vote Enjoined Pending Conflict & Fee Disclosure

    Financial Advisors: Merger Vote Enjoined Pending Conflict & Fee Disclosure
    The Delaware Chancery Court hasn’t issued many preliminary injunctions in M&A transactions in recent years – but this Shearman blog reports on one issued earlier this month by Chancellor Bouchard.  As this…
  • Mar 29

    Activism: Navigating the Challenges of a Quick Settlement

    Activism: Navigating the Challenges of a Quick Settlement
    Quick settlements involving major concessions to activists have prompted a skeptical response from major institutions – who often think that board’s desire to avoid the disruption of a proxy fight may take priority…
  • Mar 28

    Study: Cross-Border M&A

    Study: Cross-Border M&A
    This Deloitte study surveyed 500 global executives with cross-border M&A experience.  Despite caution about political instability and the global economy, the study says that the appetite for cross-border deals remains…
Rank this Week: 911

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/
  • Mar 30

    What, Pray Tell, Is A “Foreign Corporation”?

    What, Pray Tell, Is A “Foreign Corporation”?
    Earlier this week, I wrote about Wellisch v. Pa. Higher Educ. Assistance Agency, 2017 U.S. Dist. LEXIS 40831 (N.D. Cal. Mar. 21, 2017).  The issue was whether the defendant, Pennsylvania Higher Education Assistance Agency, was required…
  • Mar 29

    Department Of Business Oversight Proposes Changes To Proposed Finders Rule

    Department Of Business Oversight Proposes Changes To Proposed Finders Rule
    Last July, the California Department of Business Oversight proposed regulations to implement the provisions of AB 667 (Wagner).  The bill, which was enacted in 2015 and took effect last year, created a new…
  • Mar 28

    Interstate Versus Intrastate Business – What’s The Difference?

    Interstate Versus Intrastate Business – What’s The Difference?
    Some words are easily confused such as hyperthermia and hypothermia.  In the case of the former, one is overheated and in the case of the latter, one is not warm enough.  The difference becomes more understandable…
Rank this Week: 742

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • Mar 29

    D&O Insurance: When Is a Claim a “Securities Claim”?

    D&O Insurance: When Is a Claim a “Securities Claim”?
    Public company D&O insurance policies typically provide coverage for the corporate entity only for “Securities Claims.” A recent case in the Delaware Superior Court involved the question of whether a bankruptcy trustee’s…
  • Mar 28

    Brazilian Energy Company’s Corruption-Related U.S. Securities Suit Survives Dismissal Motion

    Brazilian Energy Company’s Corruption-Related U.S. Securities Suit Survives Dismissal Motion
    As I have frequently noted (most recently here), Brazil’s ever-expanding corruption investigation that initially focused on Petrobras, the country’s state-run oil company, has swept up an increasing number of companies across the…
  • Mar 27

    U.S. Supreme Court to Decide Whether Item 303 Creates Actionable Disclosure Duty

    U.S. Supreme Court to Decide Whether Item 303 Creates Actionable Disclosure Duty
    The U.S. Supreme Court has agreed to take up a case that will address a recurring issue that has arisen in the securities class action litigation arena – that is, whether or not the alleged failure to make a disclosure required…
Rank this Week: 1291

Strictly Business

Strictly Business

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

http://www.strictlybusinesslawblog.com/
  • Mar 28

    Guide to Starting a Hedge Fund

    Guide to Starting a Hedge Fund
    As an investment manager looking into starting a hedge fund, you know that a successful launch is critical to standing out in the increasingly competitive investment management business. If you want to attract capital from the right…
  • Mar 15

    Understanding the Common Investment Structures for a Seed or Angel Round

    Understanding the Common Investment Structures for a Seed or Angel Round
    I’ve previously written about the steps that startups and emerging companies need to take to prepare for an angel or seed round, one of which is becoming familiar with the popular investment structures that are available. With the…
  • Feb 15

    Legal Considerations for Selling Your Emerging Growth Company Part 7: The Closing

    Legal Considerations for Selling Your Emerging Growth Company Part 7: The Closing
    We’ve come to the end of our 7-part series on selling an emerging growth company, and now it’s time to seal the deal. The closing is the crucial final step in the sale, where ownership of your company officially changes hands. The…
Rank this Week: 1211

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: 740

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
Rank this Week: 668

New York Securities Lawyers Blog

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

http://www.newyorksecuritieslawyersblog.com/
  • Mar 23

    You May Know About Your Broker, But How Much Do You Know About Your Brokerage Firm?

    You May Know About Your Broker, But How Much Do You Know About Your Brokerage Firm?
    There is an interesting point in this week’s Wall Street Journal titled “Brokerage Files Don’t Give The Full Pictures,” which talks about the how brokerage firms and individual brokers are held to different standards,…
  • Mar 20

    Rhode Island Financial Advisor Sentenced to 7 Years in Prison for Ponzi Scheme

    Rhode Island Financial Advisor Sentenced to 7 Years in Prison for Ponzi Scheme
    Patrick Churchville of Rhode Island has been accused of orchestrating a $21 million Ponzi scheme and was recently sentenced to 7 years in prison by a federal judge, according to an Investment News report. Mr. Churchville is the owner and…
  • Mar 2

    AARP Fraud Watch Network Publishes a New Study About Who Is Vulnerable To Elder Fraud

    AARP Fraud Watch Network Publishes a New Study About Who Is Vulnerable To Elder Fraud
    According to the Consumer Financial Protection Bureau, 17 percent of Americans 65 and older, have already been the victims of financial exploitation. A new study by the AARP Fraud Watch Network reveals that Americans who lose money to fraud…
Rank this Week: 677

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
  • Mar 21

    Stockbroker Barred For Abusive Conduct Deemed Threat to Public and Industry

    Stockbroker Barred For Abusive Conduct Deemed Threat to Public and Industry
    After 35 years on Wall Street, I'd like to say that I've seen it all; however,  I'm wise enough to know that everyday will bring something new. During my career prosecuting and defending the biz, I've handled cases involving fistfights,…
  • Mar 21

    Expunging Customer Dispute Information Under FINRA Rule 2080

    Expunging Customer Dispute Information Under FINRA Rule 2080
    This is the second installment of Bill Singer, Esq’s analysis of FINRA’s expungement rules. See: "Bill Singer Analyzes FINRA Expungement Rules 2080 And 2081"(BrokeAndBroker.com Blog, March 27, 2017). Download a PDF copy of the…
  • Mar 20

    Where There's Willfulness There's No Way At FINRA

    Where There's Willfulness There's No Way At FINRA
    Few issues appear more frequently on the regulatory docket of the Financial Industry Regulatory Authority than allegations about a registered representative's failure to timely disclose tax liens. In recent years, the BrokeAndBroker.com Blog…
Rank this Week: 972

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 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…
  • Jan 12

    JPMorgan Found to Have Retaliated Against Adviser, Filed Defamatory U5

    JPMorgan Found to Have Retaliated Against Adviser, Filed Defamatory U5
    A recent investigation by the U.S. Occupational Safety and Health Administration (OSHA) has resulted in an award of more than $160,000 for back pay and “reputational damage” to a former JPMorgan Chase & Co. financial adviser.…
Rank this Week: 867

Tim O'Connor's Blog

Tim O'Connor's Blog

Covers stockbroker fraud.

http://stockbrokerlaw.com/tim-oconnors-blog
  • Jan 20

    Whistleblower Anonymity, Protection & Award

    Whistleblower Anonymity, Protection & Award
    Learn About Whistleblower Protection, Anonymity & AwardsAn Attorney for Whistleblowers Securities Whistleblower Incentives and Protection (15 USC 78u-6) The Federal Securities Whistleblower Incentives and Protection…
  • Jan 5

    Looking for Your Lost Retirement Account?

    Looking for Your Lost Retirement Account?
    In our mobile society, millions of Americans have lost track of former pension accounts over the past half century. Where did they go? There are a number of resources at your fingertips which could help locate your lost plan. These…
  • Nov 30

    Problems at the Family Office

    Problems at the Family Office
    The past decade has seen an explosion in the number of family offices set up by families seeking to coordinate and organize family wealth and assets, as well as issues involving the intergenerational transfer of family legacies. This growth…
Rank this Week: 940

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: 829

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: 1240

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: 1029

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: 871

Securities Class Action &…

Securities Class Action & Arbitration Law

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

http://securitiesattorneys.us/
Rank this Week: 613

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: 1208

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: 1034

McEldrew Young Blog

McEldrew Young Blog

Covers whistleblower law and wage theft for employees.

http://www.mceldrewyoung.com/blog/
  • Mar 29

    IRS Whistleblower Retaliation Protections Proposed in Senate

    IRS Whistleblower Retaliation Protections Proposed in Senate
    Senators Chuck Grassley and Ron Wyden have proposed the IRS Whistleblower Improvements Act of 2017 in the U.S. Senate today.  If adopted, the law will provide for (1) enhanced communications between the Internal Revenue Service and…
  • Mar 27

    Massive Amount of Insider Trading, Front-Running and Ponzi Schemes, Says Former CFTC Enforcement Chief

    Massive Amount of Insider Trading, Front-Running and Ponzi Schemes, Says Former CFTC Enforcement Chief
    The former head of enforcement at the U.S. Commodity Futures Trading Commission (CFTC) told Reuters that there is a “massive amount of misconduct” in futures, options and swaps markets. This fraud, which includes prohibited market…
  • Mar 14

    Federal Medical Malpractice Reform Hurts Health Care Patient

    Federal Medical Malpractice Reform Hurts Health Care Patient
    Congress is considering a bill to reform medical malpractice lawsuits called the Protecting Access to Care Act. Despite its well-intentioned name, the legislation would gut patient’s rights here in Pennsylvania and around the country.…
Rank this Week: 2119

Oil & Gas Investment Fraud Lawyer…

Oil & Gas Investment Fraud Lawyer Blog

Covers securities issues with a focus on oil & gas investment fraud. By Silver Law Group, The Law Firm of David R. Chase, P.A., and Ciklin Lubitz & O'Connell.

http://www.oilgasinvestmentfraudlawyer.com/
Rank this Week: 2205

The Securities Edge

The Securities Edge

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

http://www.thesecuritiesedge.com/
  • Mar 29

    Shore patrol

    Shore patrol
    Posted By: Robert B. Lamm Even as we speculate about the likelihood and potential impact of massive deregulation here in the US, the EU is going in the opposite direction.  Earlier this month, the European Parliament passed a…
  • Mar 19

    Beware when the legislature is in session

    Beware when the legislature is in session
    Posted By: Robert B. Lamm New York Surrogate Gideon Tucker (1826-1899) is credited with originating the maxim that “no man’s life, liberty or property are safe while the legislature is in session.”  Were Surrogate…
  • Mar 17

    The missing (hyper) link

    The missing (hyper) link
    Posted By: Robert B. Lamm If you have ever had to search for an exhibit originally filed with the SEC years ago, you know it can take forever, particularly when the exhibit consists of an original document that has been amended several times,…
Rank this Week: 3702

Securities Law Attorneys Blog

Securities Law Attorneys Blog

Covers securities law. By Fitapelli | Kurta.

http://www.securitieslawattorneys.net/
  • Mar 28

    Minish Hede: Received a Customer Complaint

    Minish Hede: Received a Customer Complaint
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on March 27, 2017 indicate that New York-based Paulson Investment Company broker Minish Hede, also known as Joe Hede, has been the subject of a…
  • Mar 28

    Laura Stees: Received Three Customer Complaint

    Laura Stees: Received Three Customer Complaint
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on March 27, 2017 indicate that California-based Woodbury Financial Services broker/adviser Laura Stees has been the subject of several customer…
  • Mar 28

    James Pecoraro Issued a 30 Day Suspension and a Fine

    James Pecoraro Issued a 30 Day Suspension and a Fine
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on March 27, 2017 indicate that New York-based Salomon Whitney Financial broker James Pecoraro has been the subject of numerous customer disputes and…
Rank this Week: 2344

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/
  • Mar 28

    OSC publishes draft 2017-2018 statement of prioritie

    OSC publishes draft 2017-2018 statement of prioritie
    The Ontario Securities Commission (OSC) will seek opportunities to reduce the regulatory burden on market participants while maintaining investor protections as one of the 14 priority areas further described in the OSC’s draft Statement…
  • Mar 24

    Climate change disclosure gets its day in the sun

    Climate change disclosure gets its day in the sun
    The Canadian Securities Administrators will review TSX-listed issuers’ disclosure of the material risks and financial impacts associated with climate change and related governance processes as part of a disclosure review project…
  • Mar 20

    TSX publishes guidance on advance notice policie

    TSX publishes guidance on advance notice policie
    The Toronto Stock Exchange (TSX) has reviewed 25 randomly selected advance notice policies adopted by TSX-listed issuers and has identified a number of its concerns in a Staff Notice published on March 9, 2017. The Staff Notice acknowledges…
Rank this Week: 4263

Subject to Inquiry

Subject to Inquiry

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

http://www.subjecttoinquiry.com/
  • Mar 27

    CFPB Fails to State Case Against Payment Processor

    CFPB Fails to State Case Against Payment Processor
    The United States District Court for the District of North Dakota recently dismissed the Consumer Financial Protection Bureau’s (CFPB) complaint against a payment processor, Intercept, in a case McGuireWoods has been monitoring. …
  • Mar 20

    President’s Proposed Budget Increases Healthcare Fraud Enforcement Funding

    President’s Proposed Budget Increases Healthcare Fraud Enforcement Funding
    Much of the discussion surrounding President Trump’s 2018 budget blueprint has focused on cuts, but one proposed budget increase shows the new administration is likely to continue focusing on healthcare fraud enforcement.  Among…
  • Mar 13

    SEC Opens Cease-and-Desist Order Proceeding against Broker-Dealer and Chief Compliance / AML Officer

    SEC Opens Cease-and-Desist Order Proceeding against Broker-Dealer and Chief Compliance / AML Officer
    As we have highlighted in prior posts, regulators of financial institutions, including FinCEN, FINRA and SEC, have increasingly brought actions to bring organizations – and individuals – into compliance with AML / BSA…
Rank this Week: 2002

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: 1872

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

http://www.hedgefundlawblog.com
  • Mar 24

    Hedge Fund Bits and Pieces for March 24, 2017

    Hedge Fund Bits and Pieces for March 24, 2017
    Happy Friday from rainy San Francisco. As a reminder, there is one week left for investment advisers to complete the annual ADV update. **** Notes on cryptocurrency and blockchain – earlier this week Coinbase added a new margin…
  • Mar 17

    Hedge Fund Bits and Pieces for March 17, 2017

    Hedge Fund Bits and Pieces for March 17, 2017
    Happy Friday. This week’s updates below. **** Bitcoin ETF Rejected by SEC – an application to establish an ETF which would be based on a basket of Bitcoins was rejected by the SEC on March 10. The Winklevoss brothers, noted…
  • Mar 16

    Bitcoin Hedge Funds (Cryptocurrency / AltCurrency Funds)

    Bitcoin Hedge Funds (Cryptocurrency / AltCurrency Funds)
    Overview of Blockchain Based Digital Currency Investment Fund Structures Bitcoin has recently been in the news again due to strong results over the last couple of months. Bitcoin and other digital currencies have been a bit of a fringe…
Rank this Week: 4556

New York Securities Lawyer Blog

New York Securities Lawyer Blog

Covers securities law. By Lax & Neville LLP.

http://www.newyorksecuritieslawyerblog.com/
Rank this Week: 1809