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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 Eric C. Chaffee.

http://lawprofessors.typepad.com/securities/
  • Jul 17

    Chan, Chan & Ho on Insider Trading Law in Hong Kong

    Chan, Chan & Ho on Insider Trading Law in Hong Kong
    Hon Kiu Chan, Raymond Siu Yeung Chan, and Kong Shan John Ho have posted Enforcement of Insider Trading Law in Hong Kong: What Insights Can We Learn from Recent Convictions? on SSRN with the following abstract: This study analyzes all...
  • Jul 17

    Rapp on SOX and Dodd-Frank

    Rapp on SOX and Dodd-Frank
    Geoffrey Christopher Rapp has posted Are SOX and Dodd-Frank Securities Laws? The Answer is 'Up in the Air' on SSRN with the following abstract: This contribution to the 2013 Instittue for Investor Protection Conference poses and addresses the…
  • Jul 17

    Wang & Sallehu on Available-for-Sale Securities of US Bank

    Wang & Sallehu on Available-for-Sale Securities of US Bank
    Richard Zhe Wang and Menghistu Sallehu have posted The Hidden Message in AFS Securities of US Banks on SSRN with the following abstract: We examine US banks’ use of available-for-sale (“AFS”) securities to smooth their earnings during…
Rank this Week: 94

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/
  • Jul 25

    Records Requests and the Caremark Standard At Issue in Delaware

    Records Requests and the Caremark Standard At Issue in Delaware
    Flying somewhat below the radar, the on-going case of Indiana Electrical Workers Pension Trust Fund IBEW v. Wal-Mart Stores Inc. may prove to be one worthy of closer consideration. The case stems from the alleged involvement of Wal-Mart in a…
  • Jul 24

    Market Structure Reform and the SEC (Part 1)

    Market Structure Reform and the SEC (Part 1)
    John Coffee has an interesting piece on the Columbia CLS Blue Sky Blog, High Frequency Trading Reform: The Short Term and the Longer Term.   The article highlights two cases, one brought by (but yet to be resolved) N.Y.…
  • Jul 23

    The Affordable Care Act, the DC Circuit, and the SEC

    The Affordable Care Act, the DC Circuit, and the SEC
    Yesterday, two circuit courts issued opposite decisions on the Affordable Care Act. The Fourth Circuit held that individuals could obtain subsidies through the federal healthcare site. The D.C. Circuit, by a vote of 2-1 held the reverse. The…
Rank this Week: 105

William Carleton, Counselor @ Law

William Carleton, Counselor @ Law

Covers legal and investment issues facing emerging tech companies.

http://www.wac6.com/wac6/
  • Jun 25

    Where I've been

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

    The world is not totally fucked up: Exhibit A

    The world is not totally fucked up: Exhibit A
    Here is Exhibit A for the proposition that the world is not, in fact, totally and completely fucked up: sculpture being readied, as we speak, at Jefferson Park in Seattle. What's more, this public art is to be "skateable." I...
  • May 20

    If it ain't broke, don't fix it

    If it ain't broke, don't fix it
    Time again to safeguard the current accredited investor standard.
Rank this Week: 113

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • Jul 23

    Advisen Releases 2014 First Half Corporate and Securities Litigation Report

    Advisen Releases 2014 First Half Corporate and Securities Litigation Report
    The level of all corporate and securities filings continued to decline in the second quarter of 2014 as filing activity returns to levels that prevailed before the financial crisis, according to the latest quarterly D&O claims activity…
  • Jul 23

    Management Liability Insurance and Immigration Enforcement

    Management Liability Insurance and Immigration Enforcement
    In a May 1, 2014 opinion (here), District of Kansas Judge Sam A. Crow, applying Illinois law, held that neither the EPL insurance coverage part nor the D&O insurance coverage part of a restaurant company’s management liability…
  • Jul 22

    Guest Post: Bylaws and Arbitration

    Guest Post: Bylaws and Arbitration
    For many years, business groups and corporate representatives have tried to reform shareholder litigation through legislation and case law development, with mixed success. However, in more recent years an interesting new initiative has…
Rank this Week: 135

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
Rank this Week: 137

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/
  • Jul 23

    Investors Pursue UBS's Puerto Rico Brokerage Over Closed-End Bond Fund

    Investors Pursue UBS's Puerto Rico Brokerage Over Closed-End Bond Fund
    The Financial Industry Regulatory Authority is reporting that roughly 400 claims have already been filed against UBS Financial Services Inc. of Puerto Rico (UBS) and other brokerage firms over the fallout of municipal bonds and bond funds…
  • Jul 22

    Net Asset Value of Tony Thompson's Former Nontraded REIT Strategic Realty Trust Plunge

    Net Asset Value of Tony Thompson's Former Nontraded REIT Strategic Realty Trust Plunge
    Investors in Strategic Realty Trust Inc. have been notified that the NAV of the nontraded real estate investment trust has dropped almost 30% from $10/share to $7.11/share. The REIT, previously known as TNP Strategic Realty Trust Inc., has a…
  • Jul 17

    FINRA Wants To Delay Implementing Rule Impacting Nontraded REIT Customers' Statement

    FINRA Wants To Delay Implementing Rule Impacting Nontraded REIT Customers' Statement
    The Financial Industry Regulatory Authority wants the Securities and Exchange Commission to grant a delay in the implementation of proposed changes to rule 2340, which impacts customer account statements. The self-regulatory organization had…
Rank this Week: 146

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
Rank this Week: 150

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: 266

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Jul 25

    Corp Fin Director Keith Higgins Testifies: State of the Division’s Rulemaking

    Corp Fin Director Keith Higgins Testifies: State of the Division’s Rulemaking
    Yesterday, Corp Fin Director Keith Higgins delivered this testimony before the House Financial Services Committee’s Capital Markets Subcommittee – talking about the state of the Division, with an emphasis on the status of…
  • Jul 24

    Charts: Intrastate Crowdfunding Exemption

    Charts: Intrastate Crowdfunding Exemption
    As the result of a collaborative effort between Ginsberg Jacobs’ Anthony Zeoli, Crowdcheck and Seyfarth Shaw’s Georgia Quinn, here is a comparative summary chart where you can go to compare all of the enacted instrastate…
  • Jul 23

    Shareholder Engagement: Should Directors Be Politicians? 10 Things to Consider

    Shareholder Engagement: Should Directors Be Politicians? 10 Things to Consider
    I know the title of this particular blog sounds sensational – but the opening of this DealBook column by Andrew Ross Sorkin about shareholder engagement is “What if lawmakers never spoke to their constituents?” So let me…
Rank this Week: 283

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: 303

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/
  • Jul 24

    Raymond James Lawsuit Against Former Employee

    Raymond James Lawsuit Against Former Employee
    According to FA Magazine, Raymond James Financial Services (RJFS) has filed a lawsuit against former broker, Jo Ellen Fisher, for allegedly diverting nearly $1.5 million away from an elderly client’s brokerage account. RJFS accused…
  • Jul 23

    Broker Runs $6 million Hedge Fund

    Broker Runs $6 million Hedge Fund
    Have you suffered investment losses as a result of your dealings with former Sterne Agee Financial Services broker, Dean Mustaphalli? If so, The White Law Group may be able to help recovery some of your losses. According to Investment News,…
  • Jul 22

    New Jersey Broker Allegedly Diverts $900,000 to Personal Bank Account

    New Jersey Broker Allegedly Diverts $900,000 to Personal Bank Account
    Did you suffer investment losses as a result of your dealings with former New Jersey broker, John Montague? If so, The White Law Group may be able to help recoup some of your investment losses. According to a press release from the U.S.…
Rank this Week: 387

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/
Rank this Week: 390

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/
  • Jul 22

    MFDA publishes guidance on use of investor questionnaire

    MFDA publishes guidance on use of investor questionnaire
    Earlier this week, the MFDA released a discussion paper intended to provide guidance on the use by mutual fund dealers of investor questionnaires to assist in the know-your-client process. Among other things, the paper discusses topics such…
  • Jul 18

    CSA intend to publish national rule for clearing agencie

    CSA intend to publish national rule for clearing agencie
    Alix d'Anglejan-Chatillon - The Canadian Securities Administrators yesterday released an update on the proposed local rules designed to set out certain requirements in relation to the application process for seeking recognition as a…
  • Jul 18

    CSA adopt changes to auditor oversight rule

    CSA adopt changes to auditor oversight rule
    The Canadian Securities Administrators yesterday released changes to auditor oversight rules designed to enhance the integrity of financial reporting by reporting issuers by repealing and replacing National Instrument 52-108 Auditor…
Rank this Week: 449

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/
  • Jul 22

    Delaware Court of Chancery Rejects Indemnification Sleight of Hand

    Delaware Court of Chancery Rejects Indemnification Sleight of Hand
    In Branin v. Stein Roe Inv. Counsel, LLC, C.A. 8481-VCN, 2014 WL 2961084 (Del. Ch. June 30, 2014), the Delaware Court of Chancery held that a vested right to indemnification may not be rescinded by a subsequent amendment to the governing…
  • Jul 15

    Is Your Out-of-State LLC “Doing Business” in California?

    Is Your Out-of-State LLC “Doing Business” in California?
    Individuals and entities, including those from outside California, who invest in or do business through an out-of-state limited liability company (“LLC”) may be surprised to find out that they have filing obligations and tax…
  • Jul 7

    Second Circuit Overturns District Court’s Rejection of SEC-Citigroup Fraud Settlement

    Second Circuit Overturns District Court’s Rejection of SEC-Citigroup Fraud Settlement
    In a closely-watched decision involving judicial review of agency settlements, the Unites States Court of Appeals for the Second Circuit vacated United States District Court Judge Jed Rakoff’s 2011 order rejecting a proposed $285…
Rank this Week: 475

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: 486

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/
  • Jul 18

    An Important Tip On Appealing A Decision From The NC Business Court

    An Important Tip On Appealing A Decision From The NC Business Court
    The Business Court is electronic.  Paper copies of documents are not filed with the Business Court.  So when you e-file a Notice of Appeal, is that sufficient for purposes of Rule 3 of the NC Rules of Appellate Procedure? Let's look…
  • Jul 8

    Pro Se Defendant Wins Trial On Breach Of Fiduciary Duty Claims In Business Court

    Pro Se Defendant Wins Trial On Breach Of Fiduciary Duty Claims In Business Court
    When I was a young pup preparing to go to court against the uncommon adversary who was proceeding without a lawyer, I would joke that "I hope I don't lose."  Luckily, I never did. But the Plaintiff in Seraph Garrison, LLC v. Garrison,…
  • Jul 3

    Business Court Refuses To Admit University Of Maryland's Lawyers On A Pro Hac Basi

    Business Court Refuses To Admit University Of Maryland's Lawyers On A Pro Hac Basi
    The lawsuit filed by the Atlantic Coast Conference against the University of Maryland continues to percolate in the North Carolina Business Court.  But the University will have to proceed without its chosen attorneys, as the Court last…
Rank this Week: 491

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/
Rank this Week: 498

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
  • Jul 25

    Leveraged and Inverse Exchange-Traded Funds are a Ticking Bomb!

    Leveraged and Inverse Exchange-Traded Funds are a Ticking Bomb!
    Leveraged ETFs are designed to provide investors with a certain percentage return over the movement of a market over the span of a day. Inverse funds are supposed to move in the opposite direction of a specific index, to provide protection…
  • Jul 23

    Nontraded Real-Estate Investments mean Risky Busine

    Nontraded Real-Estate Investments mean Risky Busine
    Nontraded REITs have been growing in popularity lately. Through June of this year, nontraded REITs have raised $8.8 billion. These real-estate investment trusts are similar to their public counterparts, which trade like stocks and allow…
  • Jul 18

    Attorney Mark Maddox named to FINRA’s Arbitrartion Task Force

    Attorney Mark Maddox named to FINRA’s Arbitrartion Task Force
    We are proud to share that Attorney Mark Maddox will be part of FINRA’s new arbitration task force. Click this link for details: http://www.finra.org/Newsroom/NewsReleases/2014/P554192The post Attorney Mark Maddox named to FINRA’s…
Rank this Week: 573

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/
  • Jul 25

    Sample Reps & Warranties: Conflict Mineral

    Sample Reps & Warranties: Conflict Mineral
    Recently, we got the question from a member who was marking up a definitive agreement for the purchase of target company – a manufacturer of metal products – whom they believed to be utilizing conflict minerals. The member asked…
  • Jul 24

    Examples of Social Media in M&A Transaction

    Examples of Social Media in M&A Transaction
    In his blog, Stinson Leonard Street’s Steve Quinlivan provides examples from 4 recent deals that used social media…
  • Jul 23

    Exclusive Forum Bylaws: California State Court Follows Delaware

    Exclusive Forum Bylaws: California State Court Follows Delaware
    Here’s news excerpted from this Ropes & Gray newsletter: State and federal courts in California have gone different directions on whether to follow Delaware’s lead in enforcing forum selection provisions in bylaws. In 2011,…
Rank this Week: 578

Ponzitracker

Ponzitracker

Covers Ponzi schemes. By Jordan Maglich.

http://www.ponzitracker.com/
  • Jul 24

    Second Florida Cop Sentenced For Rothstein Tie

    Second Florida Cop Sentenced For Rothstein Tie
    A former Broward County detective was sentenced to serve a year and a day in federal prison for his role in carrying out a wrongful arrest of a south Florida woman at the direction of convicted Ponzi schemer Scott Rothstein.  Jeff Poole,…
  • Jul 23

    TelexFree Founders Indicted On Fraud Charge

    TelexFree Founders Indicted On Fraud Charge
    A Massachusetts grand jury indicted TelexFree co-founders James Merrill and Carlos Wanzeler on multiple fraud charges in what authorities have alleged was a massive Pyramid/Ponzi scheme that may have defrauded victims out of hundreds of…
  • Jul 21

    Florida Cop Gets 5-Year Sentence For Rothstein Ties, Including Illegal Arrest

    Florida Cop Gets 5-Year Sentence For Rothstein Ties, Including Illegal Arrest
    "Mr. Benjamin, while wearing the cloak of BSO authority, engineered the arrest and incarceration of an innocent citizen.  This was done purely for financial gain. This conduct is deplorable — it is unconscionable." - U.S. District…
Rank this Week: 710

Business Blog

Business Blog

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

http://www.businesslawnews.com/
  • Jul 25

    Amendments to NY Wage Theft Law Head to Governor’s Desk

    Amendments to NY Wage Theft Law Head to Governor’s Desk
    A bill that would amend New York’s Wage Theft Prevention Act (the “Act”) awaits Gov. Andrew Cuomo’s signature. The changes offer both good news and bad news for New York employers. Originally enacted into law in 2011,…
  • Jul 24

    Should You Be Protecting Your Business Emails from Prying Eyes?

    Should You Be Protecting Your Business Emails from Prying Eyes?
    Would you send an important communication on a postcard? For most businesses, the answer is likely no. Yet companies send unsecured business emails every day, which share many of the same characteristics as postcards. These messages can be…
  • Jul 23

    Will Uber Win the Battle of the Taxi or Succumb to Business Regulation?

    Will Uber Win the Battle of the Taxi or Succumb to Business Regulation?
    Uber records approximately one million ride requests each week and is now valued at an estimated $18.2 billion. Despite its surging popularity with riders, the company continues to face strong resistance from regulators and traditional taxis…
Rank this Week: 765

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

http://www.hedgefundlawblog.com
  • Jul 18

    New IA Rules in Washington State

    New IA Rules in Washington State
    Amendments to Investment Adviser Rules in Washington State Washington State Department of Financial Institutions has amended the rules governing the registration and activities of investment advisers set forth in Chapter 460-24A WAC.…
  • Jul 18

    Cole-Frieman & Mallon LLP 2014 Second Quarter Update

    Cole-Frieman & Mallon LLP 2014 Second Quarter Update
    COLE-FRIEMAN & MALLON LLP www.colefrieman.com July 10, 2014 FATCA Transitional Period. The IRS and U.S. Treasury Department issued a notice (the “Notice”) announcing that calendar years 2014 and 2015 will…
  • Jul 1

    Hedge Fund Events July 2014

    Hedge Fund Events July 2014
    The following are various hedge fund events happening this month.  Please email us if you would like us to add your event to this list. **** Date: July 2, 2014 Sponsor: exane asset management Event: Education Session No 484 –…
Rank this Week: 791

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/
  • Jul 22

    Do Nu Skin Inventory Red Flags Spell Trouble Ahead?

    Do Nu Skin Inventory Red Flags Spell Trouble Ahead?
    Last Friday morning, a comment posted on Twitter by Marc Cohodes about Nu Skin Enterprises (NYSE: NUS), a Utah based multi-level marketing company, caught my curiosity. Cohodes is a legendary short-seller with an excellent track record and…
  • Jul 16

    Indicted Former Utah Attorney General Mark Shurtleff was bribed by Overstock.com too

    Indicted Former Utah Attorney General Mark Shurtleff was bribed by Overstock.com too
    My experience in dealing with former Utah Attorney General Mark Shurtleff goes way back. On October 30, 2007, Overstock.com (NASDAQ: OSTK) paid him $5,000 purportedly as a "campaign contribution." Two weeks later, Overstock.com issued a press…
  • Jul 8

    A Felon’s View of White-Collar Crime - Why Society is Very Vulnerable to Fraud

    A Felon’s View of White-Collar Crime - Why Society is Very Vulnerable to Fraud
    White-collar crime is more brutal than violent crime. The actions of one or a few corrupt public officials and corrupt businessmen can affect the livelihoods of thousands, even millions of people. Fraudsters use a combination of persuasion…
Rank this Week: 849

Florida Securities Fraud Lawyer…

Florida Securities Fraud Lawyer Blog

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

http://www.floridasecuritiesfraudlawyerblog.com/
Rank this Week: 853

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Jul 25

    Too Tangential

    Too Tangential
    In its recent Chadbourne decision, the U.S. Supreme Court held that to be "in connection with" the purchase or sale of a security, an alleged securities fraud must involve "victims who took, who tried to take, who divested…
  • Jul 18

    Doubling Down

    Doubling Down
    In Spitzberg v. Houston American Energy Corp., 2014 WL 3442515 (5th Cir. July 15, 2014), the Fifth Circuit reversed the dismissal of a securities class action based on alleged false statements concerning oil and gas reserves. The decision…
  • Jul 11

    Comparing Lychee

    Comparing Lychee
    Securities class actions brought against China-based companies often allege discrepancies between the company's Chinese regulatory filings and SEC filings. In that type of case, the plaintiff must allege at least some facts to support that…
Rank this Week: 879

Wall Street Investment Fraud…

Wall Street Investment Fraud Lawyer Blog

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

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

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

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

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

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

    FINRA IDENTIFIES AREAS OF CONCERN FOR INVESTORS

    FINRA IDENTIFIES AREAS OF CONCERN FOR INVESTORS
    Each year, the Financial Industry Regulatory Authority (FINRA) publishes a letter to the financial services industry identifying its regulatory and examination priorities. FINRA is the industry's "self-regulatory organization," which is…
Rank this Week: 1032

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/
  • Jul 24

    SEC adopts money market fund reform

    SEC adopts money market fund reform
    By Robert J. Tannous On July 23, 2014, the Securities and Exchange Commission announced that it adopted amendments to the rules governing money market mutual funds. Read a copy of the final rules. These amendments complete some…
  • Jul 15

    Should entrepreneurs care about crowdfunding? It depends on the crowd.

    Should entrepreneurs care about crowdfunding? It depends on the crowd.
    By Jack J. Gravelle It has been more than two years since the JOBS Act was passed and almost nine months since the SEC proposed crowdfunding rules — but still no final rules. Should entrepreneurs care? Probably not. The proposed SEC…
  • Jul 14

    Citigroup’s $7 billion settlement allows them to “focus on the future”

    Citigroup’s $7 billion settlement allows them to “focus on the future”
    By W. Kelly Johnson U.S. Attorney General Eric Holder and Citigroup announced today that Citigroup will pay $7 billion to settle a U.S. Department of Justice (DOJ) investigation into allegations that it defrauded investors by selling shoddy…
Rank this Week: 1079

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/
  • Jul 24

    Sanctions in FINRA Enforcement Matters: An Overview

    Sanctions in FINRA Enforcement Matters: An Overview
    A question I get from time to time from clients and others is along the lines of, "What exactly can happen to me if FINRA thinks I did something wrong?" The follow-up questions concern the different types of sanctions that...
  • Jul 22

    Update on FINRA's July Board of Governors Meeting

    Update on FINRA's July Board of Governors Meeting
    Earlier this month, FINRA's Board of Governors met for their July meeting. Chair Richard Ketchum and lead governor Jack Brennan prepared a short video overview of the results of that meeting. That can be found online here. Of note, they...
  • Jul 15

    Basics of the Georgia Durable Power of Attorney

    Basics of the Georgia Durable Power of Attorney
    In our view, a durable power of attorney is a key piece of a basic estate planning package that includes a last will and testament and a Georgia advance directive for healthcare. Often, people have questions about what this document...
Rank this Week: 1133

Institutional Investor Securities…

Institutional Investor Securities Blog

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

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

    Wells Fargo Reaches $591 Million Mortgage Deal with Fannie Mae

    Wells Fargo Reaches $591 Million Mortgage Deal with Fannie Mae
    Wells Fargo & Co. (WFC) has arrived at a $591 million mortgage settlement with Fannie Mae (FNMA). The arrangement resolves claims that the banking institution sold faulty mortgages to the government run-home loan financier and covers…
  • Jul 18

    Bank of America Settles RMBS Allegations with AIG for $650M

    Bank of America Settles RMBS Allegations with AIG for $650M
    Bank of America Corp. (BAC) has paid American International Group Inc. (AIG) $650 million to settle residential mortgage-backed securities fraud claims. The insurer had originally asked for $10 billion when it filed its RMBS fraud lawsuit in…
  • Jul 17

    Barclays and Deutsche Bank Under Scrutiny Over Barrier Options Transaction

    Barclays and Deutsche Bank Under Scrutiny Over Barrier Options Transaction
    The U.S. Senate Permanent Subcommittee on Investigations plans to conduct a hearing over what it believes are abusive transactions made by financial institutions. Bloomberg is reporting that Deutsche Bank AG (DBK), Barclays PLC (BARC), and…
Rank this Week: 1201

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

http://www.seclawyersblog.com/
  • Jun 17

    Sonn|Erez Investigating Claims Involving Richard Ohlhaber and Sales of Life Partners Investment

    Sonn|Erez Investigating Claims Involving Richard Ohlhaber and Sales of Life Partners Investment
    Sonn|Erez is investigating claims regarding Richard Ohlhaber (CRD #2154794). Ohlhaber accepted FINRA's Offer of Settlement, in which he was barred from association with any FINRA member in any capacity. See FINRA Case #2012032077901.Ohlhaber…
  • Jun 10

    Sonn|Erez Investigating Claims Involving Florlena Cortez (Brownsville, Texas)

    Sonn|Erez Investigating Claims Involving Florlena Cortez (Brownsville, Texas)
    Sonn|Erez is investigating claims regarding Florlena Cortez (CRD #4339441, Brownsville, Texas). Cortez submitted a Letter of Acceptance, Waiver and Consent in which she was barred from association with any FINRA member in any capacity. See…
  • Jun 2

    FINRA Cautions Investors on the Risks of High Yield CD

    FINRA Cautions Investors on the Risks of High Yield CD
    FINRA recently issued an Investor Alert, "High Yield CDs: Red Flags That Signal a Scam" warning investors about promotions of certificates of deposit (CDs) promising interest rates substantially higher than current averages. In the Alert,…
Rank this Week: 1229

California Securities Fraud Lawyer…

California Securities Fraud Lawyer Blog

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

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

    March - April 2014 Disciplinary Action

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

    Update: Charles Schwab to Allow Customer Class Action

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

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

    Regulators Fine LPL Financial LLC $950,000 Over Unsuitable Alternative Investments Sale
    Today, LPL Financial LLC reached a settlement with the Financial Industry Regulatory Authority (FINRA) over the firm's failure to adequately supervise the sale of non-traded REITs and other risky alternative investments. LPL's settlement…
Rank this Week: 1231

Inside Sarbanes Oxley

Inside Sarbanes Oxley

Covers Sarbanes-Oxley and compliance.

http://insidesarbanesoxley.com/
  • Sep 10

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

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

    Internal Audit: The Continuous Conundrum

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

    How to choose the right nonexecutive board leader

    How to choose the right nonexecutive board leader
    Ever since stock-listing requirements prompted many US companies to name an independent director to serve as the chairman, lead director, or presiding director of the board, these companies have been grappling with what, exactly, this board…
Rank this Week: 1232

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • Mar 28

    Defamation v. Tortious Interference

    Defamation v. Tortious Interference
    Most of us have at least a “street-level” understanding of defamation. Individuals that hear or read damaging false statements about themselves or their business typically think: “I need to find a defamation lawyer.”…
  • Mar 19

    Defamation Reputation Damage Management

    Defamation Reputation Damage Management
    In 1378, the Statute of Scandalum Magnatum granted judges and church officials in England a legal right to compensation if they had been insulted or defamed. The first Common Law defamation action on record was filed in England in 1507. …
  • Mar 12

    Missouri Supreme Court Rejects Trade Secret Claim Over Client List

    Missouri Supreme Court Rejects Trade Secret Claim Over Client List
    Troy Kennedy (Kennedy”) left his position as director and executive officer of a trust and investment company when that company was bought by Central Trust & Investment Company (“CTI”). Kennedy left to found a competing…
Rank this Week: 1285

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • Jul 25

    Vilar Will Not Hinder U.S. Attorney From Pursuing Global Fraud

    Vilar Will Not Hinder U.S. Attorney From Pursuing Global Fraud
    The U.S. Attorney’s Office for the Southern District of New York has announced that its prosecutors will not be significantly impacted by a recent appellate court decision concluding that Morrison’s proscription against…
  • Jul 24

    Court Remands Dispute Over Expungement of CRD Data

    Court Remands Dispute Over Expungement of CRD Data
    The U.S. District Court for the Central District of California remanded to a California state court a stockbroker’s lawsuit against the Financial Industry Regulatory Authority for expungement of certain allegedly harmful disclosures…
  • Jul 23

    SEC RARELY SEEKS TO POSSESS ELECTRONIC DEVICES

    SEC RARELY SEEKS TO POSSESS ELECTRONIC DEVICES
    SEC staff has been instructed to seek subpoenas for devices such as computer hard drives and cell phones only rarely. In many cases, there could be unintended consequences, such as exposing authorities to other sensitive materials on a device…
Rank this Week: 1300

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: 1307

Startup Law Blog

Startup Law Blog

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

http://www.startuplawblog.com/
  • Jun 29

    Is Title III Equity Crowdfunding Going to Work?

    Is Title III Equity Crowdfunding Going to Work?
    I was invited to appear on HuffPost TV the other day, to talk about crowdfunding. The conversation quickly turned into a discussion of the potential negatives of crowdfunding, and the risks. Then there was this article in Salon, with the…
  • Jun 27

    How to Design for Human

    How to Design for Human
    by Bryce Merrill, SVP Fast Pitch Marketing Team The first SVP Fast Pitch Jumpstart Workshop, “How to Design for Humans” took place at Impact Hub Seattle on Wednesday, June 11. The Jumpstart Workshop series is…
  • Jun 19

    Come Meet Dan Levitan of Maveron

    Come Meet Dan Levitan of Maveron
    Seattle is privileged to have a number of outstanding VCs. In the select group that have put our community on the national/global map for venture capital is Dan Levitan. If you are not familiar with Dan, he’s the guy who ……
Rank this Week: 1319

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
  • Jul 23

    Broker Slips And Counter Punches Public Customer

    Broker Slips And Counter Punches Public Customer
    If you've been a stockbroker long enough, it's likely that some customer will file a lawsuit against you and your firm. Frankly, you may have screwed up and, in all fairness, you should be named as a defendant or respondent. There are times,…
  • Jul 21

    Schwab Accused Of Altering Client Forms In Options Trading Dispute

    Schwab Accused Of Altering Client Forms In Options Trading Dispute
    In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in May 2013, public customer Claimant Meadows asserted causes of action including breaches of fiduciary duty and contract, negligence, and…
  • Jul 18

    Stockbroker Failed To Timely Disclose Attempted Child Rape Felony Charge

    Stockbroker Failed To Timely Disclose Attempted Child Rape Felony Charge
    This one ain't pretty and there's sure as hell nothing here to laugh about. In 2012, a stockbroker finds himself charged with felony child molestation and felony attempted rape of a child. Eventually, he pleads to three misdemeanors of…
Rank this Week: 1510

Sharesleuth.com

Sharesleuth.com

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

http://sharesleuth.com/
Rank this Week: 1524

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: 1625

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: 1666

ComplianceAsia News

ComplianceAsia News

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

http://www.compliance.asia/
  • Feb 6

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

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

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

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

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

    Mary Jo White sets out her views on the role of compliance
    SEC Chair, Mary Jo White, recently spoke to an industry association in the United States and talked about the importance of the rule of compliance officers.  Here is the speech: Remarks at National Society of Compliance Professionals…
Rank this Week: 1748

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: 1783

Dividends and Preferences

Dividends and Preferences

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

http://www.dividendsandpreferences.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: 1862

The PSLRA Nugget

The PSLRA Nugget

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

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

    The Nugget is Moving to a New Home

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

    Yes Shorter is Better (at least in legal briefing)

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

    Confidential Sources Still Alive & Kicking

    Confidential Sources Still Alive & Kicking
    What's that? You thought Tellabs banned confidential witnesses? Well, let's not get carried away here, as there's certainly at least two ways to read that opinion. Of course, after the 7th Circuit decided Higginbotham v. Baxter, it was…
Rank this Week: 1934

Securities Attorney Law Blog

Securities Attorney Law Blog

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

http://securitiesattorneys.us/
Rank this Week: 1969