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Securities Law Prof Blog

Securities Law Prof Blog

Covers securities arbitration, state securities law, court decisions and law review articles. By Professor Barbara Black.

http://lawprofessors.typepad.com/securities/
  • May 21

    Lew Reiterates Need for Money Market Fund Reform in Senate Testimony

    Lew Reiterates Need for Money Market Fund Reform in Senate Testimony
    Treasury Secretary Lew testified today before the Senate Banking Committee on the Financial Stability Oversight Council (FSOC) Annual Report to Congress. His written testimony identified seven areas of risks to U.S. financial stability: ·…
  • May 21

    SEC's Walter: No Review of Mandatory Arbitration Before 2014

    SEC's Walter: No Review of Mandatory Arbitration Before 2014
    SEC Commissioner Elisse Walter personally thinks that the SEC should take a hard look at mandatory arbitration of investors disputes with their broker-dealers and financial advisers, but says that the SEC will not have time to undertake a…
  • May 21

    FINRA Fines LPL for Systemic Email Failures & Misstatements to FINRA

    FINRA Fines LPL for Systemic Email Failures & Misstatements to FINRA
    FINRA fined LPL Financial LLC (LPL) $7.5 million for 35 separate, significant email system failures, which prevented LPL from accessing hundreds of millions of emails and reviewing tens of millions of other emails. Additionally, LPL made…
Rank this Week: 90

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/home/
  • May 21

    Public Benefit Corporations in Colorado: Unanswered Question

    Public Benefit Corporations in Colorado: Unanswered Question
    Colorado has adopted, effective April 1, 2014, the public benefit corporation act of Colorado (the “PBCA”) that is similar to legislation being considered in Delaware, but completely different from the model benefit corporation…
  • May 21

    Public Benefit Corporations in Colorado: Why A Public Benefit Corporation Rather Than A Non-PBC?

    Public Benefit Corporations in Colorado: Why A Public Benefit Corporation Rather Than A Non-PBC?
    Colorado has adopted, effective April 1, 2014, the public benefit corporation act of Colorado (the “PBCA”) that is similar to legislation being considered in Delaware, but completely different from the model benefit corporation…
  • May 20

    Public Benefit Corporations in Colorado: PBCs As Compared to Benefit Corporation

    Public Benefit Corporations in Colorado: PBCs As Compared to Benefit Corporation
    Colorado has adopted, effective April 1, 2014, the public benefit corporation act of Colorado (the “PBCA”) that is similar to legislation being considered in Delaware, but completely different from the model benefit corporation…
Rank this Week: 113

William Carleton, Counselor @ Law

William Carleton, Counselor @ Law

Covers legal and investment issues facing emerging tech companies.

http://www.wac6.com/wac6/
Rank this Week: 118

Stock Broker Fraud Blog

Stock Broker Fraud Blog

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

http://www.stockbrokerfraudblog.com/
Rank this Week: 128

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • May 21

    D&O Insurance: Separate Claims Deemed a Single Claim--What Are the Implications?

    D&O Insurance: Separate Claims Deemed a Single Claim--What Are the Implications?
    As I have previously noted (refer for example here), one of the most vexing issues in the D&O claims arena is the questions of whether or not two claims are or are not interrelated. If the two are interrelated, they are deemed a single…
  • May 20

    D&O Insurance: Untimely Notice Precludes Coverage

    D&O Insurance: Untimely Notice Precludes Coverage
    In a May 16, 2013 decision (here), Eastern District of Missouri Magistrate Judge Terry Adelman, applying Missouri law, determined that the failure of an insured under a management liability insurance policy to provide timely notice of claim…
  • May 17

    The Travel Issue: Madrid Edition

    The Travel Issue: Madrid Edition
    The D&O Diary’s European sojourn concluded with a brief stop earlier this week for business meetings in Madrid. I had never been to Madrid before. Like many Americans, I have a deep attachment to Paris, a city I have visited many…
Rank this Week: 129

FinancialCounsel

FinancialCounsel

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

http://financialcounsel.typepad.com/financialcounsel/
Rank this Week: 142

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

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

    Obama Administration Opposes SEC Regulatory Accountability Act

    Obama Administration Opposes SEC Regulatory Accountability Act
    While reaffirming its commitment to smart and effective regulations and the value of cost-benefit analysis, the Obama Administration opposes passage of the SEC Accountability Act, H.R. 1062, because its burdensome and disruptive new…
  • May 19

    UK FRC Proposes Guidance on Financial Instruments for Outside Auditors of Company Financial Statement

    UK FRC Proposes Guidance on Financial Instruments for Outside Auditors of Company Financial Statement
    In light of the financial crisis and changes to international auditing and accounting standards, the UK Financial Reporting Council proposed revisions to its guidance for outside auditors of company financial statements on financial…
  • May 18

    House Passes SEC Regulatory Accountability Act

    House Passes SEC Regulatory Accountability Act
    By a vote of 235 to 161 the House of Representatives passed the SEC Regulatory Accountability Act, H.R. 1062. Seventeen Democrats voted to pass the bill. Rep. Scott Garrett (R-NJ), Chairman of the Financial Services Subcommittee on Capital…
Rank this Week: 157

footnoted.org

footnoted.org

Guide to what's hiding in SEC filings. By Michelle Leder.

http://www.footnoted.org
  • Feb 11

    Google joins the DIY group…

    Google joins the DIY group…
    Late Friday, less than 20 minutes before the SEC closed for the week, Google (GOOG) filed this 8-K, which quickly had the interwebs a-buzzing. Within minutes of the filing, CNBC tweeted this alert. Two heavyweight tech sites, TechCrunch and…
  • Jan 30

    And then there were six: Copano gets acquired…

    And then there were six: Copano gets acquired…
    Everywhere you turn these days, people seem to be talking about the “long tail” — in entertainment, in search, in insurance (where it’s been used for years). Colloquially, it tends to mean that there’s a pattern…
  • Jan 18

    Too early for worst footnote of 2013?

    Too early for worst footnote of 2013?
    Given that it’s only 18 days after the year began, it may be a wee bit premature to declare a winner of the worst footnote for 2013. Still this 8-K filed by Apollo Group (APOL) last night, is already in the running. Now Apollo, the…
Rank this Week: 255

Investment Fraud Lawyer Blog

Investment Fraud Lawyer Blog

Covers common securities broker abuses, early retirement scams, elder abuses, subprime mortages & collateralized debt obligation problems, and variable annuities and equity-indexed annuities. By Atlanta, Georgia stockbroker fraud attoneys, Page Perry.

http://www.investmentfraudlawyerblog.com/
  • Jan 8

    Today's 'Alternative Investments' Resemble 'Limited Partnerships' of the Past

    Today's 'Alternative Investments' Resemble 'Limited Partnerships' of the Past
    Wall Street’s recent promotion of alternative investments should warrant serious concern among investors. It serves as an unpleasant example of history repeating itself. In the mid-1980s, Wall Street firms became enamored with limited…
  • Jan 7

    Hedge Funds Under Regulatory Scrutiny

    Hedge Funds Under Regulatory Scrutiny
    The SEC has hired hedge fund industry professionals to assist in its investigation of problems and abuses in the hedge fund industry. Three SEC enforcement units are involved in the investigations: the Asset Management unit headed by Bruce…
  • Jan 7

    Approach Actively Traded ETFs with Caution

    Approach Actively Traded ETFs with Caution
    A recent change in policy by the SEC could have a significant impact on the risk profile of some ETFs. In response to pressure from the industry, the SEC has lifted its moratorium on the use of derivatives by certain exchange traded funds. …
Rank this Week: 256

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • May 21

    The Battle Over JPMorgan's CEO/Chair Split Proposal: The Gloves Are Off!

    The Battle Over JPMorgan's CEO/Chair Split Proposal: The Gloves Are Off!
    The Battle Over JPMorgan's CEO/Chair Split Proposal: The Gloves Are Off! Today is the vote for what looks to be the most contentious battle of the proxy season - at least if the metric is ink spilt - here is...
  • May 20

    Corp Fin Issues 15 New & Revised CDIs: Spring Cleaning

    Corp Fin Issues 15 New & Revised CDIs: Spring Cleaning
    Corp Fin Issues 15 New & Revised CDIs: Spring Cleaning Last week, Corp Fin issued a batch of 15 new and revised Compliance & Disclosure Interpretations in both the '33 and '34 Act contexts. Sort of a hodge podge. Here...
  • May 17

    The SEC Staff Speaks on Whistleblower Development

    The SEC Staff Speaks on Whistleblower Development
    The SEC Staff Speaks on Whistleblower Developments In this half-hour podcast, Sean McKessy, Chief of the SEC's Office of the Whistleblower brings us up-to-date on what is happening in his Office, including: - How do you like the job so...
Rank this Week: 277

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/
Rank this Week: 399

Institutional Shareholder Services…

Institutional Shareholder Services - Insight

Covers corporate governance, accounting and securities law issues. From Institutional Shareholder Services Inc.

http://blog.issgovernance.com/
Rank this Week: 436

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/
  • May 16

    Chicago Mercantile Exchange applies for exemption from clearing agency recognition requirement

    Chicago Mercantile Exchange applies for exemption from clearing agency recognition requirement
    The Ontario Securities Commission announced today that Chicago Mercantile Exchange Inc. has applied for an exemption from the requirement to be recognized as a clearing agency on the basis that it is subject to an appropriate regulatory…
  • May 15

    OSC to hold crowdfunding roundtable

    OSC to hold crowdfunding roundtable
    The Ontario Securities Commission has announced that it will be hosting a roundtable discussion on June 11 to obtain input from investors regarding investing in small and medium sized enterprises and start-ups. As we discussed in…
  • May 14

    Budget bill would prohibit attempts to engage in fraudulent conduct under commodities legislation

    Budget bill would prohibit attempts to engage in fraudulent conduct under commodities legislation
    As we discussed in a recent post, Ontario's recently-proposed budget bill would amend the Securities Act to tighten up provisions respecting insider trading.  In respect of commodities, section 59.1 of the Commodity Futures…
Rank this Week: 448

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: 470

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/
  • May 7

    Claims For Legal Malpractice Aren't Assignable In North Carolina

    Claims For Legal Malpractice Aren't Assignable In North Carolina
    Maybe you've wondered whether a claim for legal malpractice can be assigned. Maybe you haven't. But yesterday, the North Carolina Court of Appeals answered that question.  In Revolutionary Concepts, Inc. v. Clements Walker PLLC, the…
  • May 1

    Fourth Circuit Takes A Narrow View On Recovery Of E-Discovery Cost

    Fourth Circuit Takes A Narrow View On Recovery Of E-Discovery Cost
    You've undoubtedly prevailed in a federal case -- either at summary judgment or after a trial -- and you have probably struggled with what you are entitled to recover as costs under 28 U.S.C. §1920.  And recently, your client,…
  • Apr 29

    Arbitration Compelled Based On Unsigned Arbitration Agreement

    Arbitration Compelled Based On Unsigned Arbitration Agreement
    If you were thinking that an arbitration agreement needs to be signed in order to get an order compelling arbitration, your world may have been turned on its ear by the Order from the Business Court last week in Morton v. Ivey, McClellan,…
Rank this Week: 480

Securities Law Blog

Securities Law Blog

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

http://seclaw.blogspot.com/
  • May 17

    FL Court Rules Statute of Limitations Apply in Arbitration

    FL Court Rules Statute of Limitations Apply in Arbitration
    We finally have a ruling on the questionable argument that is often advanced that the statute of limitations does not apply in arbitration. The argument is premised on a contorted interpretation of a Florida statute and requires one to…
  • May 14

    SEC, FINRA Issue Investor Alert On Pension or Settlement Income Stream

    SEC, FINRA Issue Investor Alert On Pension or Settlement Income Stream
    The SEC and FINRA issued an investor alert entitled Pension or Settlement Income Streams – What You Need to Know Before Buying or Selling Them. The investor alert informs investors about the risks involved when selling their rights to…
  • Apr 23

    FINRA Wants Your Facebook Account

    FINRA Wants Your Facebook Account
    You read that right, just as the SEC is embracing social media, FINRA wants access to brokers' Facebook accounts.We all know that an employer's demand for access to an employees Facebook account is illegal in many states, and probably illegal…
Rank this Week: 517

The White Law Group's Securities…

The White Law Group's Securities Fraud Blog

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

http://www.whitesecuritieslaw.com/securities-fraud/blog/
  • May 21

    vFinance Investments Sanctioned by FINRA

    vFinance Investments Sanctioned by FINRA
    According to The Southern Florida Business Journal, a Boca Raton brokerage firm, vFinance Investments Inc., was fined $65,000 by the Financial Industry Regulatory Authority (FINRA) for “conducting a $5.95 million private…
  • May 20

    VSR Financial Services Inc. Fined by FINRA for Alternative Investment Recommendation

    VSR Financial Services Inc. Fined by FINRA for Alternative Investment Recommendation
    According to Investment News, the Financial Industry Regulatory Authority (FINRA) has fined VSR Financial Services Inc. $550,000, in addition to a 45-day suspension of their chairman, Don Berry, for over concentrating client portfolios in…
  • May 16

    FINRA recently announced that Adrienne…

    FINRA recently announced that Adrienne Marie Llamas, a former financial advisor with Wells Fargo in Long Beach, California, has been barred from the association with any FINRA member in any capacity. Without admitting or denying the findings,…
Rank this Week: 528

Corporate Securities Law Blog

Corporate Securities Law Blog

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

http://www.corporatesecuritieslawblog.com/
Rank this Week: 531

Securities Law Practice Center

Securities Law Practice Center

Covers news, analysis and resources in the securities field. By the Practicing Law Institute (PLI).

http://seclawcenter.pli.edu
  • Apr 5

    Tweet This! SEC Addresses Application of Regulation FD to Social Media

    Tweet This! SEC Addresses Application of Regulation FD to Social Media
    On April 2nd, the SEC issued a report of investigation that makes clear public companies may use social media such as Twitter and Facebook to announce information in compliance with Regulation FD as long as the companies made investors aware…
  • Apr 3

    Simpson Thacher: March Securities Law Alert

    Simpson Thacher: March Securities Law Alert
    We are pleased to share the most recent edition of the Simpson Thacher Securities Law Alert, edited by litigation Partners Jonathan Youngwood, Peter Kazanoff, and Paul Gluckow. The following is a summary of the March 2013 edition of the…
  • Apr 1

    Delaware Court of Chancery Enjoins Board from Resisting Insurgent Director Slate

    Delaware Court of Chancery Enjoins Board from Resisting Insurgent Director Slate
    In Kallick v. SandRidge Energy, Inc. the Delaware Court of Chancery preliminarily enjoined the board of SandRidge Energy, Inc. from impeding a consent solicitation by one of the Company’s largest stockholders to replace the incumbent…
Rank this Week: 569

DealLawyers.com Blog

DealLawyers.com Blog

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

http://www.deallawyers.com/Blog/
  • May 20

    Safe Harbor: Del Monte in a Minor Key

    Safe Harbor: Del Monte in a Minor Key
    Safe Harbor: Del Monte in a Minor Key Here is an article from "The Deal": Corporate directors and their outside advisers would seem to have fulfilled their fiduciary duties to shareholders handsomely by agreeing to sell a company…
  • May 14

    In re Plains Exploration: A Revlon Review & the Kitchen Sink

    In re Plains Exploration: A Revlon Review & the Kitchen Sink
    In re Plains Exploration: A Revlon Review & the Kitchen Sink John Grossbauer of Potter Anderson notes: In In re Plains Exploration & Production Co. Shareholder Litigation, Delaware Vice Chancellor Noble rejected claims for breach of…
  • May 13

    The Resurgence of Japanese Outbound M&A

    The Resurgence of Japanese Outbound M&A
    The Resurgence of Japanese Outbound M&A Here's an excerpt from this Skadden Arps' memo about Japanese M&A: The Nikkei has skyrocketed more than 50 percent over the last six months. Goldman Sachs has issued a report predicting a…
Rank this Week: 580

California Corporate & Securities…

California Corporate & Securities Law

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

http://www.calcorporatelaw.com/
  • May 21

    Ever Wonder What Money Is? California Has Some Answers And I Have Some Question

    Ever Wonder What Money Is? California Has Some Answers And I Have Some Question
    Yesterday’s post discussed virtual currencies (e.g., Bitcoin) and the General Corporation’s law prohibition on issuing or putting into circulation money.  But what exactly is money?  The General…
  • May 20

    Bitcoin And The Corporations Code

    Bitcoin And The Corporations Code
    I’ve been seeing an increasing number of references to Bitcoin and other forms of virtual or crypto currencies in the news.  For example, Jeffrey Sparshott and Robin Sidel of the Wall Street Journal reported last…
  • May 17

    If You’re Relying On The Signature Of Two Officers, You May Want To Think Again

    If You’re Relying On The Signature Of Two Officers, You May Want To Think Again
    It is widely assumed that if a contract, note or other instrument is signed by a corporation’s president and its secretary, it will not be invalidated as to the corporation by any lack of authority of the signing officers. …
Rank this Week: 604

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
  • May 17

    B-Ds Address Sales of Alternative Investment

    B-Ds Address Sales of Alternative Investment
    Alternative investments like non-traded REITs and private placements have levied financial havoc on many investors in recent years. Now, facing pressure from regulators, some broker/dealers are making changes to how they sell these kinds of…
  • May 16

    Report: Senior Designations Can Confuse the Elderly

    Report: Senior Designations Can Confuse the Elderly
    A May 7 story by NPR highlights some of the ways in which bogus financial advisers use the “art of confusion” to siphon money from unsuspecting elder Americans. A contributing factor to this type of elder fraud is the myriad of…
  • May 15

    B-D Accused of Allegedly Misusing Investors’ Money

    B-D Accused of Allegedly Misusing Investors’ Money
    The Financial Industry Regulatory Authority (FINRA) has filed a complaint against Kimberly Springsteen-Abbott, owner, chief executive and head of compliance for Commonwealth Capital Securities Corp., for allegedly misusing…
Rank this Week: 608

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

http://www.hedgefundlawblog.com
  • May 17

    Regulation A+ Deadline Passed by Congre

    Regulation A+ Deadline Passed by Congre
    Part of JOBS Act Regulations to be Finalized by October 31, 2013 On Wednesday May 15, the House of Representatives passed H.R. 701 which requires the SEC to finalize regulations with respect to “Regulation A+” of the JOBS Act.…
  • May 7

    SALT Conference 2013

    SALT Conference 2013
    Today the SALT conference starts in Las Vegas.  Continuing through the end of the week, the hedge fund industry will be descending upon the Bellagio for scheduled speakers, general information sessions and, of course, networking.…
  • May 5

    Hedge Fund Events May 2013

    Hedge Fund Events May 2013
    The following are various hedge fund events happening this month. Please email us if you would like us to add your event to this list. **** May 1-3 Sponsor: IAA Event: 2013 Annual Conference Location: New Orleans, LA May 6-7 Sponsor: Schwartz…
Rank this Week: 796

The Law Planet Blog

The Law Planet Blog

Discusses investment, labor, and employment law, as well as securities arbitration, stockbroker issues, and legal technology. By LaBovick Law Group.

http://www.thelawplanetblog.com/
  • May 20

    Is Signing an Affidavit Naming Paternity a Double-Edged Sword?

    Is Signing an Affidavit Naming Paternity a Double-Edged Sword?
    There are now more children born to single parents than to parents who are married. Florida has a statute dealing with unmarried parents that lists the father on the birth certificate. A lot of unmarried couples end up breaking up and having…
  • May 17

    What Are Back Benefits For Social Security Disability (SSD) and Supplemental Security Income (SSI)?

    What Are Back Benefits For Social Security Disability (SSD) and Supplemental Security Income (SSI)?
    Back benefits can be one of the more confusing aspects of Social Security disability for claimants. Although back benefits are confusing, they are also extremely important to the claimant because these benefits can reach to the tens of…
  • May 17

    The Legal Limit for Blood Alcohol Content (BAC) Levels May be Reduced

    The Legal Limit for Blood Alcohol Content (BAC) Levels May be Reduced
    On May 14, the National Transportation Safety Board (NTSB) recommended that the legal limit for drinking and driving be lowered from .08% blood alcohol content to .05%. Every state in the union has laws on the books that a person is legally…
Rank this Week: 869

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/
  • Jan 29

    Overstock.com CEO Patrick Byrne Sleeps With a Gun

    Overstock.com CEO Patrick Byrne Sleeps With a Gun
    In numerous blog posts in the past, and in widespread media coverage, evidence has accumulated for years that Overstock.com CEO (NASDAQ: OSTK) Patrick Byrne has shown signs of being mentally unbalanced and paranoid. Byrne has blamed his…
  • Jan 22

    Patrick Byrne: Armed, Dangerous, and Delusional

    Patrick Byrne: Armed, Dangerous, and Delusional
    Last Wednesday, Overstock.com (NASDAQ: OSTK) CEO Patrick Byrne was arrested after Transportation Security Administration (TSA) officers found a loaded pistol concealed in his carry-on bag at an airport security checkpoint. He spent several…
  • Dec 28

    What Indicted SAC Capital Portfolio Manager Mathew Martoma Can Learn from Crazy Eddie

    What Indicted SAC Capital Portfolio Manager Mathew Martoma Can Learn from Crazy Eddie
    Back in March 1989, I faced an agonizing decision: Either cooperate with the F.B.I. and S.E.C. investigations of fraud at Crazy Eddie or spend a long time in prison behind bars. Likewise, former SAC Capital Advisors portfolio manager Mathew…
Rank this Week: 876

Business Blog

Business Blog

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

http://www.businesslawnews.com/
  • May 21

    New York City Businesses Must Provide Mandatory Sick Leave

    New York City Businesses Must Provide Mandatory Sick Leave
    Businesses in New York City will soon have to provide paid sick days to employees under legislation recently passed by the New York City Council. While Mayor Michael Bloomberg does not support the measure, it passed by a…
  • May 20

    Supreme Court Sides With Monsanto

    Supreme Court Sides With Monsanto
    The U.S. Supreme Court recently sided with Monsanto Co. in a closely watched case involving patented soybean seeds. The Court concluded that an Indiana farmer could not copy patented seeds through planting and harvesting without…
  • May 17

    “Gentlemen’s Club” Loses NYC Wage Lawsuit

    “Gentlemen’s Club” Loses NYC Wage Lawsuit
    As a New York City “gentlemen’s club” can attest, wage lawsuits can be costly for employers. The Penthouse Executive Club recently agreed to pay its dancers a total of $8 million to resolve allegations that it failed to pay…
Rank this Week: 897

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • May 17

    Shrug, Concur, and Move On

    Shrug, Concur, and Move On
    In a famous market manipulation that lead to multiple criminal convictions, the A.R. Baron brokerage engaged in a pump-and-dump scheme to induce customers to purchase the securities of small companies at artificially inflated prices. Among…
  • May 10

    What Next?

    What Next?
    Based on the Supreme Court's recent decisions, a plaintiff is not required to prove the existence of loss causation (Halliburton) or materiality (Amgen) to certify an investor class. In the Halliburton case, however, the defendants pursued a…
  • Apr 26

    Cornerstone Report On Accounting Case

    Cornerstone Report On Accounting Case
    Cornerstone Research has issued a study of 2012 securities class actions involving accounting allegations. The notable findings include: (1) The number of accounting filings fell from 78 in 2011 to 45 in 2012. Two factors that contributed to…
Rank this Week: 929

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/
  • May 16

    Ranbaxy USA, Inc. Agrees to $500 Million Settlement

    Ranbaxy USA, Inc. Agrees to $500 Million Settlement
    Ranbaxy USA, Inc., a division of generic drug manufacturer Ranbaxy Laboratories Limited based in India, has agreed with the U.S. to settle criminal and civil charges. The charges relate to the manufacture and distribution of allegedly…
  • May 14

    C.R. Bard Agrees to Settle Qui Tam Suit

    C.R. Bard Agrees to Settle Qui Tam Suit
    New Jersey-based C.R. Bard, Inc. ("Bard"), a manufacturer and marketer of medical products, has agreed to settle a qui tam action for $48.26 million. According to the Justice Department, the suit relates to Bard's sales of brachytherapy…
  • May 6

    False Claims Act Used in Florida Section 8 Housing Case

    False Claims Act Used in Florida Section 8 Housing Case
    Two landlords accused of shaking down low-income tenants for excess rent payments were recently sued under the federal False Claims Act. According to the U.S. Attorney for the Southern District of Florida and Legal Services of Greater Miami,…
Rank this Week: 1060

Wall Street Investment Fraud…

Wall Street Investment Fraud Lawyer Blog

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

http://www.wallstreetinvestmentfraudlawyer.com/
  • Apr 23

    Co-Directors of SEC's Enforcement Division Named

    Co-Directors of SEC's Enforcement Division Named
    On April 22, 2013, George Canellos and Andrew Ceresney were named as SEC's Division of Enforcement co-directors. Both have ties to SEC's new chairman Mary Jo White. Canellos worked as an assistant attorney to Ms. White while she was the…
  • Apr 23

    Co-Directors of SEC's Enforcement Division Named

    Co-Directors of SEC's Enforcement Division Named
    On April 22, 2013, George Canellos and Andrew Ceresney were named as SEC's Division of Enforcement co-directors. Both have ties to SEC's new chairman Mary Jo White. Canellos worked as an assistant attorney to Ms. White while she was the...
  • Apr 22

    FINRA Approves Proposed Rule Changes to Arbitration for Submission to SEC

    FINRA Approves Proposed Rule Changes to Arbitration for Submission to SEC
    On April 19, 2013, the FINRA Board of Governors approved several proposed rule changes that now will be submitted to the SEC for review and approval. Two that center on the FINRA arbitration process are detailed below: First, the Board…
Rank this Week: 1069

Ponzitracker

Ponzitracker

Covers Ponzi schemes. By Jordan Maglich.

http://www.ponzitracker.com/
Rank this Week: 1139

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. Published by Porter, Wright,

http://www.fedseclaw.com/
  • May 15

    SEC and CFTC Red Flag Rules Become Effective May 20, 2013

    SEC and CFTC Red Flag Rules Become Effective May 20, 2013
    The Securities and Exchange Commission and the Commodity Futures Trading Commission have adopted rules that require most broker-dealers, mutual funds, investment advisers, and certain other regulated entities to create programs to prevent…
  • May 7

    The Timken Board: Between a Rock and a Hard Place

    The Timken Board: Between a Rock and a Hard Place
    On May 7, 2013, Timken Co. announced that its shareholders approved a nonbinding proposal from activist shareholders (Relational Investors and Calstrs—California State Teachers' Retirement System, who together own 7.28% of the…
  • Apr 25

    Zillow, Inc. To Use Twitter For Earnings Call

    Zillow, Inc. To Use Twitter For Earnings Call
    The real estate website company Zillow, Inc. announced it would use Twitter and Facebook to field questions on its first quarter earnings call.  The company claims that it is the first to take questions in this manner, but will continue…
Rank this Week: 1209

BD Law Blog

BD Law Blog

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

http://www.bdlawblog.com/
  • May 21

    Florida Supreme Court Rules Statute of Limitations Applies to Arbitration

    Florida Supreme Court Rules Statute of Limitations Applies to Arbitration
    This month, the Florida Supreme Court held that Florida's statutes of limitations apply in arbitration proceedings. In the case of Raymond James Financial Services, Inc. v. Barbara J. Phillips, etc. et. al., (No. SC11-2513), the Court held…
  • May 17

    Broker-Dealer Enforcement Roundup

    Broker-Dealer Enforcement Roundup
    FINRA has published the notice of disciplinary cases for April 2013 online. A few cases I think are worthy of discussion. In one case, a firm agreed to settle an action through an AWC and was censured and fined $150,000....
  • May 17

    Broker-Dealer Enforcement Roundup

    Broker-Dealer Enforcement Roundup
    FINRA has published the notice of disciplinary cases for April 2013 online. A few cases I think are worthy of discussion. In one case, a firm agreed to settle an action through an AWC and was censured and fined $150,000....
Rank this Week: 1216

Inside Sarbanes Oxley

Inside Sarbanes Oxley

Covers Sarbanes-Oxley and compliance.

http://www.insidesarbanesoxley.com/
  • Sep 10

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

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

    Internal Audit: The Continuous Conundrum

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

    How to choose the right nonexecutive board leader

    How to choose the right nonexecutive board leader
    Ever since stock-listing requirements prompted many US companies to name an independent director to serve as the chairman, lead director, or presiding director of the board, these companies have been grappling with what, exactly, this board…
Rank this Week: 1300

California Securities Fraud Lawyer…

California Securities Fraud Lawyer Blog

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

http://www.californiasecuritiesfraudlawyerblog.com/
  • Apr 26

    Securities America Fined $100,000 Over IMH Secured Loan Fund & Medical Capital Sales Practice

    Securities America Fined $100,000 Over IMH Secured Loan Fund & Medical Capital Sales Practice
    Securities America, Inc. has entered into a settlement with the Financial Industry Regulatory Authority (FINRA) and will pay a fine of $100,000 in connection with the sale of two private placements. As part of the settlement, Securities…
  • Apr 2

    UBS Willow Fund L.L.C. Class Action Update

    UBS Willow Fund L.L.C. Class Action Update
    On December 20, 2012, a class action complaint was filed on behalf of all investors who purchased or held the UBS Willow Fund L.L.C. at any time after January 1, 2008. The matter of Ken Boudreau vs. UBS Willow Management L.L.C, UBS…
  • Feb 27

    Update: FINRA Appeals Charles Schwab Class Action Ban

    Update: FINRA Appeals Charles Schwab Class Action Ban
    This is an update to our February 21, 2013, blog post: Charles Schwab Allowed to Prevent Customer Class Action Lawsuits. Yesterday, a spokesperson for the Financial Industry Regulatory Authority (FINRA) announced that an appeal had been…
Rank this Week: 1360

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: 1363

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • May 20

    What Investment Advisers Need To Know About The SEC

    What Investment Advisers Need To Know About The SEC
    The SEC recently announced that its top priority is to increase the number of investment adviser examinations it conducts on an annual basis.  Considering that the SEC only examined 8% of all investment advisers in 2012 (where 40% have…
  • May 17

    Self-Funding And The SEC

    Self-Funding And The SEC
    This has been the week of scandals.  With political forces, lobbyist and lots of deep pockets, our government is a breeding ground for scandals.  The SEC has certainly not been immune.  A few years ago, the SEC made headlines…
  • May 16

    So is it now really the beginning of the end of arbitration

    So is it now really the beginning of the end of arbitration
    The North American Securities Administrators Association on behalf of state securities regulators, following 37 members of Congress, recently asked the SEC to exercise its authority under Dodd-Frank and do away with mandatory arbitration…
Rank this Week: 1455

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: 1543

Securities Arbitration Blog

Securities Arbitration Blog

Covers the happenings in the Securities and Investment Fraud Sector. By Guiliano Law Firm.

http://www.securitiesarbitrations.com
  • May 7

    Charles Schwab’s Class Action Prohibition Antics May Inspire Death Knell to Mandatory Securities Arbitration.

    Charles Schwab’s Class Action Prohibition Antics May Inspire Death Knell to Mandatory Securities Arbitration.
    Will the SEC Listen to Congress or NAASA and act Under Dodd-Frank Wall Street Reform and Consumer Protection Act to prohibit the use of mandatory securities arbitration ? On Monday, thirty seven members of Congress wrote to the SEC to end…
  • Apr 26

    The Retirement Gamble Facing Us All

    The Retirement Gamble Facing Us All
    If youandrsquo;ve been watching any commercial television lately, you are well aware that the financial services industry is very busy running expensive ads imploring us to worry about our retirement futures. Open a new account today, they…
  • Apr 11

    FINRA Offers Injured Investors Do it Yourself Litigation Resources.

    FINRA Offers Injured Investors Do it Yourself Litigation Resources.
    According to FINRA Dispute Resolution Statistics, so far in 2013, only 44% of investorsandnbsp;bringing claims against their stockbroker or brokerage firm recover any damages, and on average, even those that win, only recover 50% of…
Rank this Week: 1578

Proxyland

Proxyland

Covers corporate governance.

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

    One Blog Closes, Another Open

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

    Stimulus Plan Attacks Executive Compensation: Stay Tuned

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

    Geithner's Financial Stability Plan, Or Whatever

    Geithner's Financial Stability Plan, Or Whatever
    C’mon now, everyone. Cheer up. At least Tim Geithner is easier on the eyes than Hank Paulson, whose face seemed to have the words “we’re all gonna die” written on it no matter what he was saying.
Rank this Week: 1706

Startup Law Blog

Startup Law Blog

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

http://startuplawblog.com
  • May 20

    Washington State to Regulate Fund Manager

    Washington State to Regulate Fund Manager
    This article is appearing simultaneously on The Venture Alley and on Startup Law Blog. Readers may feel free to re-post this content elsewhere as well. The world is changing for venture funds and similar funds in Washington…
  • May 17

    SEC Fires Another Salvo in the “Finder” Debate

    SEC Fires Another Salvo in the “Finder” Debate
    The SEC recently issued orders against two individuals and a company and, in doing so, continued the debate over what conduct requires someone acting as a “finder” to be registered as a broker or dealer or associated with a…
  • May 17

    Young Entrepreneur Social Charity Auction

    Young Entrepreneur Social Charity Auction
    Do you want to make a local impact right now? Are you someone interested in encouraging young entrepreneurs and leaders here in Seattle? Or, are you a young leader yourself who is interested in building a better community locally? On June…
Rank this Week: 1726

With Vigour and Zeal

With Vigour and Zeal

Features a European's views on securities litigation. By Werner Kranenburg.

http://kranenburgesq.com/blog
  • Feb 26

    Transatlantic Litigation: “I sue first”

    Transatlantic Litigation: “I sue first”
    On Wednesday earlier this week, the New York State Bar Association’s International Section held a seminar in London on the topic of Transatlantic Litigation. I was one of the co-organisers and one of the two speakers.
  • Mar 31

    Cornerstone’s Class Actions Reviews 2009

    Cornerstone’s Class Actions Reviews 2009
    Last week and in January, the Stanford Law School Securities Class Action Clearinghouse, in cooperation with Cornerstone Research, published two annual securities class action reviews: Filings 2009 and
  • Feb 25

    Where to go in March

    Where to go in March
    In the next few weeks I will be attending the following events: an LSE lecture and Weil Gotshal webcast on the 4th, Barroway Topaz’ annual conference on the 11th and the NYSBA’s litigation roundtable on the 16th.
Rank this Week: 1760

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
  • May 20

    A Family Affair In FINRA Discretion Settlement

    A Family Affair In FINRA Discretion Settlement
    You might not think it would be a big deal for a registered person to handle the brokerage account of a family member -- but, then again, not a lot of Wall Street regulation is intuitive and this is one of those issues that trips up many…
  • May 20

    EMPLOYMENT TUESDAY at BrokeAndBroker.com

    EMPLOYMENT TUESDAY at BrokeAndBroker.com
    EMPLOYMENT TUESDAY AT BROKEANDBROKER.COMVisit the BrokeAndBroker Employment Page BrokeAndBroker.com Jobs...
  • May 19

    SEC Alleges Bank Guarantee Train Pulled Away From Trading Platform

    SEC Alleges Bank Guarantee Train Pulled Away From Trading Platform
    Standby Letters of Credit. Bank Guarantees. Trading Platforms. Oh the crap that gets pushed on the unsuspecting and the unasked questions that too many investors fail to voice. All of which usually ends with the collision of scam and failed…
Rank this Week: 1963

Sharesleuth.com

Sharesleuth.com

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

http://sharesleuth.com/
  • Oct 15

    Rockwell Medical countersues former drug-development executive

    Rockwell Medical countersues former drug-development executive
    Rockwell Medical Inc. (Nasdaq: RMTI) has filed a countersuit against its former chief medical officer, alleging that he overstated his qualifications, breached a confidentiality agreement and made false and defamatory statements about the…
  • Oct 2

    Houston American says SEC probing its Colombian resource claim

    Houston American says SEC probing its Colombian resource claim
    Houston American Corp. (AMEX: HUSA) says the Securities and Exchange Commission’s investigation into the company appears to be focused on disclosures about the potential of its CPO-4 prospect in Colombia in late 2009 and early 2010.…
  • Jun 20

    Former Rockwell Medical executive alleges SEC violation

    Former Rockwell Medical executive alleges SEC violation
    The former head of drug development at Rockwell Medical Technologies Inc. (Nasdaq: RMTI) says the company and its chief executive knowingly issued false and misleading press releases and violated other securities laws. Dr. Richard C. Yocum,…
Rank this Week: 1982

Dividends and Preferences Blawg

Dividends and Preferences Blawg

Musings on Venture Capital, Technology and Entrepreneurship. By Hank J. Heyming.

http://dividendsandpreferences.blogspot.com/
  • Jan 24

    Microsoft/Skype -- Putting Things into Perspective

    Microsoft/Skype -- Putting Things into Perspective
    {EAV:984c4a016f17013d} Microsoft acquires Skype! Largest Microsoft acquisition ever!! Facebook jilted!!! Google jilted!!!! Wait, Facebook wins through Microsoft!!!!! Wait, Microsoft overpaid by $4 billion with a B!!!!!! OMG Google just…
  • May 10

    Nerd Chic

    Nerd Chic
    Lately, I've noticed a new twist to the typical ebb and flow of the fashion wars.  It occurred to me that, for perhaps the first time in my lifetime, it is cool right now to be a nerd.
  • Apr 25

    Out and About

    Out and About
    Hey folks -- I'm getting ready to head down to the RTP area for the annual CED Venture Conference.  This year it is in downtown Raleigh, instead of Pinehurst, and looks to be bigger and better than ever. So, if anyone happens to be in the…
Rank this Week: 1992

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

http://www.seclawyersblog.com/
Rank this Week: 2056