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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/
  • Oct 30

    A NASAA Presidential Conversation: William Beatty and Andrea Seidt

    A NASAA Presidential Conversation: William Beatty and Andrea Seidt
    The North American Securities Administrator Association has posted remarks given at NASAA’s Annual Conference on September 16, 2014 by William Beatty, NASAA President and Washington Securities Director, and Andrea Seidt, NASAA Past…
  • Oct 30

    NASAA Insight, Fall 2014

    NASAA Insight, Fall 2014
    The North American Securities Administrators Association has published its fall 2014 issue of Insight. According to the press release, this issue of the newsletter contains the information about the following: William Beatty Elected NASAA…
  • Oct 30

    NASAA Cautions Investors to Guard Against Ebola-Related Scam

    NASAA Cautions Investors to Guard Against Ebola-Related Scam
    Details available here.
Rank this Week: 96

The Race to the Bottom

The Race to the Bottom

A faculty-student collaboration on corporate governance. By Professor J. Robert Brown, Jr.

http://www.theracetothebottom.org/
  • Aug 28

    The SEC and Administrative Proceedings (Part 2)

    The SEC and Administrative Proceedings (Part 2)
    We are discussing some of the issues raised by Peter Henning in his DealBook column, The S.E.C.’s Use of the ‘Rocket Docket’ Is Challenged.   In any event, the limits on discovery, the fact that ALJ decisions are…
  • Aug 26

    The SEC and Administrative Proceedings (Part 1)

    The SEC and Administrative Proceedings (Part 1)
    Peter Henning wrote an interesting piece over at DealBook on the SEC's use of administrative proceedings in place of actions in federal district court.  See The S.E.C.’s Use of the ‘Rocket Docket’ Is Challenged.…
  • Aug 26

    Morrison, the Second Circuit, and the Reverse Effects Test: ParkCentral Global Hub Limited v. Porsche Automobile Holdings (Part 2)

    Morrison, the Second Circuit, and the Reverse Effects Test: ParkCentral Global Hub Limited v. Porsche Automobile Holdings (Part 2)
    We are discussing the Second Circuit's decision in ParkCentral Global Hub Limited v. Porsche Automobile Holdings, a case that effectively created a "reverse effects test" that was contrary to the Supreme Court's analysis…
Rank this Week: 104

William Carleton, Counselor @ Law

William Carleton, Counselor @ Law

Covers legal and investment issues facing emerging tech companies.

http://www.wac6.com/wac6/
  • Oct 26

    Alan Bennett's anthology of six English poet

    Alan Bennett's anthology of six English poet
    Thanks to a London nephew, I'm reading Six Poets: Hardy to Larkin, an anthology of poems by Hardy, Housman, Betjeman, Auden, MacNeice and Larkin, chosen by the English playwright Alan Bennett, with commentary by Bennett between each presented…
  • Oct 22

    Weight as Volume as Displacement of Space

    Weight as Volume as Displacement of Space
    A brilliant, young sculptor has just arrived in Seattle. Her name is Francesca Lohmann. I saw these pieces at the Vignette gallery this evening on Yale Avenue in Capitol Hill. What a talent. The small-scale "sandbags" (I'll call…
  • Oct 16

    Changing the rules for who is allowed to invest in startup

    Changing the rules for who is allowed to invest in startup
    By now, you've probably heard that the SEC is considering making changes to the accredited investor definition. The definition is important to entrepreneurs, angel investors, and the startups they work on together, because it defines the…
Rank this Week: 119

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • Oct 30

    Three Astonishing Thing

    Three Astonishing Thing
    Here at The D&O Diary we read everything so you don’t have to. It was in this spirit that we read the article on page C-3 of yesterday’s Wall Street Journal that in the print version was entitled “Congo Opening Its Doors…
  • Oct 28

    O.K., So Here’s the First Ebola Outbreak-Related D&O Lawsuit

    O.K., So Here’s the First Ebola Outbreak-Related D&O Lawsuit
    Like everyone else, I have been following the Ebola outbreak news with a mixture of horror and fascination. I never in a million years imagined that I would have occasion to write about the Ebola outbreak on this blog. Perhaps due to a lack…
  • Oct 28

    Perhaps This Really Is the Last Round of Mug Shots?

    Perhaps This Really Is the Last Round of Mug Shots?
    I know I have previously declared (twice now) that we have reached the end of the publication of readers’ mug shots, but the pictures just keep arriving. I have been holding some late arriving pictures on the chance that still others…
Rank this Week: 138

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Oct 29

    Assistant AG Lauds Cybersecurity Planning, Cooperation

    Assistant AG Lauds Cybersecurity Planning, Cooperation
    [This story previously appeared in Securities Regulation Daily.]By Amy Leisinger, J.D.In remarks at the U.S. Chamber of Commerce’s Third Annual Cybersecurity Summit today, Assistant Attorney General John Carlin highlighted the…
  • Oct 28

    Entire Fairness Review Not Triggered Where Investment Firm Was Not Controlling Stockholder

    Entire Fairness Review Not Triggered Where Investment Firm Was Not Controlling Stockholder
    [This story previously appeared in Securities Regulation Daily.]By Lene Powell, J.D.The Delaware Chancery court dismissed a shareholder challenge to the merger of two oil and gas companies, finding that entire fairness review was not…
  • Oct 27

    Key Senators Say CFTC Must Work with FERC on Oversight of Energy Market

    Key Senators Say CFTC Must Work with FERC on Oversight of Energy Market
    Three U.S. Senators are profoundly disappointed by the CFTC’s settlement with a former hedge fund trader who sold massive volumes of futures contracts in order to manipulate the price of natural gas and make illicit profits. In a letter…
Rank this Week: 140

Stock Broker Fraud Blog

Stock Broker Fraud Blog

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

http://www.stockbrokerfraudblog.com/
Rank this Week: 144

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
  • Oct 30

    M&A Involving Advisors Continues at Steady Pace

    M&A Involving Advisors Continues at Steady Pace
    From the Desk of Jim Eccleston at Eccleston Law Offices: Mergers and acquisitions continue to rise. Total M&A deals through the first half of 2014 total $32.6 billion in assets. That total is double the assets during…
  • Oct 29

    Former CUSO Broker Pleads Guilty to Wire Fraud

    Former CUSO Broker Pleads Guilty to Wire Fraud
    From the Desk of Jim Eccleston at Eccleston Law Offices: Ismail Elmas, a former registered financial advisor with CUSO Financial, has pleaded guilty to defrauding his clients, many of whom were seniors and widows, of more…
  • Oct 28

    Massachusetts Fines LPL Financial for Faulty Variable Annuities Switche

    Massachusetts Fines LPL Financial for Faulty Variable Annuities Switche
    From the Desk of Jim Eccleston at Eccleston Law Offices: Massachusetts securities regulators have fined LPL Financial for oversight failure associated with its sales of variable annuities. LPL agreed to…
Rank this Week: 149

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: 269

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

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

    Board Leadership Debate

    Board Leadership Debate
    Stephen Bainbridge recently shared his comments opposing ISS’s proposed revised policy on independent board chair shareholder proposals. The proposal (issued in connection with draft policy changes) adds new…
  • Oct 29

    Our New “SEC Enforcement Handbook”

    Our New “SEC Enforcement Handbook”
    Spanking brand new. By popular demand, this comprehensive “SEC Enforcement Handbook” covers a topic that many have requested – what to do if your company – or someone working there – is investigated by the SEC.…
  • Oct 28

    Coming Next Year: SEC Concept Release on Audit Committee

    Coming Next Year: SEC Concept Release on Audit Committee
    For those practicing long enough, you will recall that the commencement of the SEC’s foray into modern corporate governance kicked off a few years before Sarbanes-Oxley – then-Chair Arthur Levitt focused on audit committees in the…
Rank this Week: 288

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: 313

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/
  • Oct 29

    Donald Overbey Sentenced to Prison

    Donald Overbey Sentenced to Prison
    Have you suffered losses in investments made through Donald Overbey? If so, The White Law Group may be able to help. According to the Chicago-Sun Times, former Illinois broker, Donald Overbey, was accused of defrauding more than 30 clients…
  • Oct 28

    Noah Myers Accused of “Cherry-Picking”

    Noah Myers Accused of “Cherry-Picking”
    According to the New Haven Register, a former Connecticut investment advisor pled guilty to one count of securities fraud in connection with a “cherry-picking” scheme. Noah Myers’ alleged scheme cost investors more than $2…
  • Oct 24

    Ismail Elmas Accused of Stealing from Seniors and Widow

    Ismail Elmas Accused of Stealing from Seniors and Widow
    According to the New Haven Register, Ismail Elmas plead guilty to one count of wire fraud in connection with an alleged scheme that solicited investment offerings from seniors and widows. Beginning in 2012, Ismail Elmas allegedly raised over…
Rank this Week: 379

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/
  • Oct 30

    Political Spending Disclosures – An Idea So Good That I Think You Should Pay For It

    Political Spending Disclosures – An Idea So Good That I Think You Should Pay For It
    In July 2011, a group of ten law professors filed a rulemaking petition with the Securities and Exchange Commission seeking adoption of a rule requiring disclosure of political spending by publicly traded companies.  In a post last…
  • Oct 29

    Who Is Adolf Berle, Jr. And Why Is Vice Chancellor Laster Quoting Him?

    Who Is Adolf Berle, Jr. And Why Is Vice Chancellor Laster Quoting Him?
    Adolf A. Berle, Jr. wrote Corporate Powers as Powers in Trust more than four score years ago, but Vice Chancellor J. Travis Laster cited the article yesterday as if the Harvard Law Review had published it last…
  • Oct 28

    The Proper Purpose Of Discovery In Derivative Suit

    The Proper Purpose Of Discovery In Derivative Suit
    A plaintiff holding less than 2000 shares files a derivative suit against a corporation’s current or former directors and officers.  The trial court finds the complaint to be internally inconsistent and that regulatory filings…
Rank this Week: 384

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/
  • Oct 30

    CCGG releases annual best practices for proxy circular disclosure

    CCGG releases annual best practices for proxy circular disclosure
    Kevin Smyth and Marshall Eidinger -  Recently, the Canadian Coalition for Good Governance (CCGG) released its 2014 Best Practices for Proxy Circular Disclosure. The annual publication, which is intended to provide issuers with…
  • Oct 30

    Amendments to Regulation 91-507 approved in Quebec

    Amendments to Regulation 91-507 approved in Quebec
     Quebec's Regulation to amend Regulation 91-507 respecting Repositories and Derivatives Data Reporting has now received Ministerial approval. As we wrote last week, the amended regulation comes into force tomorrow.
  • Oct 30

    Canadian rules on trade repositories and data reporting - Where we are on the eve of reporting

    Canadian rules on trade repositories and data reporting - Where we are on the eve of reporting
    Margaret Grottenthaler - The trade reporting rules of the securities regulatory authorities in Ontario, Manitoba and Quebec will require reporting beginning October 31. A number of changes to the rules have been made since they were first…
Rank this Week: 459

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: 462

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: 498

North Carolina Business Litigation…

North Carolina Business Litigation Report

Reports on judicial decisions of significance to business and shareholders. By Mack Sperling of Brooks Pierce LLP.

http://www.ncbusinesslitigationreport.com/
Rank this Week: 500

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/
  • Oct 22

    Is Dodd-Frank Responsible For Market Volatility?

    Is Dodd-Frank Responsible For Market Volatility?
    Last week’s market gyrations sparked questions about whether bank regulations implemented after the 2008 financial crisis exacerbated price declines by limiting the ability of Wall Street banks to make markets.Read More - Did Bank Rules…
  • Oct 17

    Customer Hit with $80,000 in Respondents' Attorney's Fee

    Customer Hit with $80,000 in Respondents' Attorney's Fee
    It is not often that a public customer is forced to pay a respondent's attorneys fees, but in a recent FINRA arbitration, that is exactly what happened.According to the description in the FINRA arbitration award it appears that a public…
  • Oct 16

    Third Party Bene is Not a Customer for Arbitration Purpose

    Third Party Bene is Not a Customer for Arbitration Purpose
    A FINRA arbitration panel has dismissed a $32 million claim because the claimant was not a customer of the brokerage firms, and did not have an account with the Respondents.The Claimant had alleged that he was an undisclosed third-party…
Rank this Week: 509

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
  • Oct 22

    High-Risk and High-Fee Exposure for Public Employee

    High-Risk and High-Fee Exposure for Public Employee
    A recent New York Times article (“Behind Private Equity’s Curtain,” October 18, 2014), has exposed the all too often insidious relationship between public pension funds and the private equity firms that are entrusted with…
  • Sep 26

    Artificial Inflation in Question for an ETF at Bill Gross’s Firm

    Artificial Inflation in Question for an ETF at Bill Gross’s Firm
    Pacific Investment Management Company is under SEC investigation for possibly artificially boosting the returns of a popular fund aimed at small investors. The heady performance of the ETF raised questions among some of Pimco’s clients…
  • Sep 19

    Nation’s Biggest Pension Fund makes Big Decision

    Nation’s Biggest Pension Fund makes Big Decision
    Concerns that investments are too complicated and expensive, the nation’s largest pension fund, the California Public Employees’ Retirement System, will eliminate all of its hedge fund investments over the next year. Overseeing…
Rank this Week: 570

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/
  • Oct 29

    Transcript: “The Art of Negotiation”

    Transcript: “The Art of Negotiation”
    We have posted the transcript for the recent webcast: “The Art of Negotiation.”
  • Oct 28

    Fee-Shifting Bylaws: Will The SEC Get Involved?

    Fee-Shifting Bylaws: Will The SEC Get Involved?
    In her blog, Cooley’s Cydney Posner notes how Professors John Coffee and Larry Hamermesh recently testified at the SEC’s recent Investor Advisory Committee meeting about whether the SEC should get involved in the debate over…
  • Oct 27

    KKR Financial: Preference for Business Judgment Review Whenever Possible

    KKR Financial: Preference for Business Judgment Review Whenever Possible
    In our “Minority Holders” Practice Area, we have posted a bunch of memos on the new KKR Financial opinion, including this one from Fried Frank, summarized below: In KKR Financial Holdings LLC Stockholder Litigation, the Delaware…
Rank this Week: 582

Ponzitracker

Ponzitracker

Covers Ponzi schemes. By Jordan Maglich.

http://www.ponzitracker.com/
  • Aug 21

    Ponzi Schemes Remain Prevalent In 2014; Over $1 Billion In New Schemes Uncovered

    Ponzi Schemes Remain Prevalent In 2014; Over $1 Billion In New Schemes Uncovered
    Nearly six years after the word "Ponzi scheme" became a household name thanks to Bernard Madoff, Ponzi schemes continue to proliferate and leave a trail of financial destruction in their wake as demonstrated by newly-compiled data showing…
  • Aug 20

    Former Attorney Gets 10-Year Sentence For $4 Million Ponzi Scheme

    Former Attorney Gets 10-Year Sentence For $4 Million Ponzi Scheme
    A now-disbarred Minnesota attorney who swindled victims out of more than $4 million in an elaborate Ponzi scheme was sentenced to serve 10 years in federal prison.  Mark Holt, 45, received the sentence from U.S. District Judge Susan…
  • Aug 20

    California Men Sentenced For $5 Million Real Estate Ponzi Scheme

    California Men Sentenced For $5 Million Real Estate Ponzi Scheme
    Two California men will each serve at least a decade in prison for operating a real estate Ponzi scheme that duped victims out of nearly $5 million.  Terrance Brown, of San Jose, California, and Antranik Kabajouzian, of Morgan City,…
Rank this Week: 702

Business Blog

Business Blog

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

http://www.businesslawnews.com/
  • Oct 30

    Is America’s Favorite Pastime Wreaking Havoc on Productivity?

    Is America’s Favorite Pastime Wreaking Havoc on Productivity?
    With the growing popularity of fantasy leagues, America's favorite pastime, football, is a full-time occupation that is no longer reserved for Sundays. Managing players and tracking statistics increasingly distracts workers from the…
  • Oct 29

    Voting Leave: Are Employers Required to Grant Employees Time Off to Cast Their Ballots?

    Voting Leave: Are Employers Required to Grant Employees Time Off to Cast Their Ballots?
    Election Day is Tuesday, November 4, 2014. While most employees are able to cast their ballots outside of their working hours, some may need to take time off to vote. State law dictates whether employers need to provide employees time off to…
  • Oct 28

    Driverless Cars: Balancing the Risks vs. the Reward

    Driverless Cars: Balancing the Risks vs. the Reward
    Audi recently made headlines when its driverless car reached speeds of nearly 150 miles per hour. Google also unveiled its latest iteration of the self-driving car this past summer. Unlike prior designs, which retained steering wheels,…
Rank this Week: 775

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

http://www.hedgefundlawblog.com
  • Oct 26

    Cole-Frieman & Mallon LLP 2014 Third Quarter Update

    Cole-Frieman & Mallon LLP 2014 Third Quarter Update
    www.colefrieman.com October 23, 2014 Clients and Friends: It has already been a busy fourth quarter, but we would like to take this opportunity to provide you with a brief overview of some of the legal, business and regulatory updates from…
  • Oct 6

    Hedge Fund Events October 2014

    Hedge Fund Events October 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: October 1, 2014 Sponsor: iGlobal Forum Event: Global REIT Summit 2014 Location: New York, NY…
  • Sep 5

    Hedge Fund Events September 2014

    Hedge Fund Events September 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: September 8, 2014 Sponsor: NYSSA Event: Russian and Central & Eastern European Capital…
Rank this Week: 801

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: 838

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/
  • Sep 8

    Nu Skin Inventory Red Flags Remain Even After $50 Million Impairment Charge

    Nu Skin Inventory Red Flags Remain Even After $50 Million Impairment Charge
    On July 22, 2014, I warned investors that Utah-based multi-level marketing company Nu Skin Enterprises' (NYSE: NUS) surging inventory levels might lead it "to recognize a material impairment charge against inventory in a future period." On…
  • Aug 4

    Why Nu Skin Must Come Clean on Troubling Inventory Red Flag

    Why Nu Skin Must Come Clean on Troubling Inventory Red Flag
    Co-authored by Sam E. Antar and Zachary PrenskyThis coming Wednesday morning, Utah based multi-level marketing company Nu Skin Enterprises (NYSE: NUS) is scheduled to report its second quarter earnings. In its Q1 2014 10-Q report issued in…
  • 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…
Rank this Week: 857

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Oct 24

    Middle Ground

    Middle Ground
    How to evaluate corporate scienter continues to be an unresolved issue in securities litigation.  Some courts, notably the Fifth Circuit (and arguably the Eleventh Circuit), have taken the position that a court can only “look…
  • Oct 10

    Confirmatory Information

    Confirmatory Information
    In its Halliburton II decision, the Supreme Court held that a securities fraud defendant can overcome the fraud-on-the-market presumption of reliance at the class certification stage of a case “through evidence that the…
  • Oct 3

    Duties to Disclose

    Duties to Disclose
    Item 303 of Regulation S-K requires issuers to disclose known trends or uncertainties “reasonably likely” to have a material effect on operations, capital, and liquidity.  Plaintiffs often contend that if the disclosure…
Rank this Week: 900

Securities Lawyer 101

Securities Lawyer 101

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

http://www.securitieslawyer101.com/blog/
  • Sep 10

    Corporate Hijackings 101 l Securities Lawyer 101 Blog

    Corporate Hijackings 101 l Securities Lawyer 101 Blog
    Securities Lawyer 101 Blog Corporate hijackings, also known as corporate identity theft, of public shell companies has been around for more than a decade.  It  is a growing method used by fraudsters to acquire…
  • Jan 1

    Going Public Blog l Securities Lawyer 101

    Going Public Blog l Securities Lawyer 101
      Securities Lawyer 101 Blog Going public is a big step for any company.  The process of “going public” is complex and at times precarious.  While going public offers many benefits it also comes with risks and…
  • Oct 29

    Attorney Kenneth Eade Barred from Practicing Before the SEC

    Attorney Kenneth Eade Barred from Practicing Before the SEC
    Securities Lawyers Gone Wild Series On October 28, 2014, the Securities and Exchange Commission (“SEC”) announced the settlement of an administrative proceeding brought by the agency against Kenneth G. Eade, an attorney licensed…
Rank this Week: 927

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: 1047

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/
  • Oct 10

    “The Bandits’ Club” gets its due

    “The Bandits’ Club” gets its due
    Our colleagues at Antitrust Law Source posted an interesting update about probable charges alleging that traders at approximately a dozen global banks – including Deutsche Bank, JPMorgan Chase, Barclays, and USB – fixed the…
  • Oct 7

    Supreme Court refuses to review FCPA challenge

    Supreme Court refuses to review FCPA challenge
    By W. Kelly Johnson The U.S. Supreme Court on Monday refused to review the first Foreign Corrupt Practices Act (FCPA) case appealed to the highest Court. The appeal sought to limit the scope of the FCPA by narrowing the law’s definition…
  • Sep 18

    Whistleblowers wanted; Holder seeks increased compensation for financial crime informant

    Whistleblowers wanted; Holder seeks increased compensation for financial crime informant
    By W. Kelly Johnson In the first major public comment about white collar crime in more than a year, the Department of Justice (DOJ) called for an increase in compensation for whistleblowers under the Financial Institutions Reform, Recovery…
Rank this Week: 1054

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/
  • Oct 21

    Restrictive Covenants in Georgia: A Tale of the Calendar

    Restrictive Covenants in Georgia: A Tale of the Calendar
    Prior to May 11, 2011, the law in Georgia tended to favor former employees of a business when a dispute arose about the enforceability of restrictive covenants such as covenants not to compete, covenants for non-solicitation, etc. If one…
  • Oct 15

    A Milestone, I suppose. 500 posts.

    A Milestone, I suppose. 500 posts.
    I didn't notice it, but when I hit the publish button on the post immediately before this one today, I published the 500th post here on BDLawBlog.com. 500 posts in a little over seven years. I doubt that most of...
  • Oct 15

    FINRA Cautions Firms on Confidentiality Provisions In Settlement Agreements and Arbitration Discovery Stipulation

    FINRA Cautions Firms on Confidentiality Provisions In Settlement Agreements and Arbitration Discovery Stipulation
    FINRA recently issued Regulatory Notice 14-40, cautioning broker-dealer firms (and associated persons) against including overly restrictive confidentiality language in both settlement agreements and in arbitration discovery stipulations.…
Rank this Week: 1141

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…
  • Oct 27

    European Commission Takes Action Against JPMorgan, UBS, RBS & Credit Swiss for Cartel Conduct

    European Commission Takes Action Against JPMorgan, UBS, RBS & Credit Swiss for Cartel Conduct
    The European Commission has found that Royal Bank of Scotland (RBS), JPMorgan (JPM), UBS AG (UBS) and Credit Suisse (CS) engaged in cartel behavior. Except for RBS, which received immunity from having to pay any fines by disclosing the cartel…
  • Oct 23

    SEC to Reject BlackRock Inc. Proposal for Nontransparent Exchange-Traded Fund

    SEC to Reject BlackRock Inc. Proposal for Nontransparent Exchange-Traded Fund
    In a preliminary ruling, The U.S. Securities and Exchange Commission said it expects to reject BlackRock Inc.’s (BLK) proposal to put out a nontransparent exchange-traded fund. BlackRock sought permission to sell the ETF from the…
Rank this Week: 1152

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

http://www.seclawyersblog.com/
  • Oct 27

    Sonn|Erez Investigating Claims Involving Thomas Blair Johnson, Victoria, Minnesota

    Sonn|Erez Investigating Claims Involving Thomas Blair Johnson, Victoria, Minnesota
    Sonn|Erez is investigating claims regarding Thomas Blair Johnston (CRD #4375657, Victoria, Minnesota). Johnson recently entered into a Letter of Acceptance, Waiver, and Consent ("AWC") in which he was assessed a deferred fine of $5,000 and…
  • Oct 23

    Sonn|Erez Investigating Claims Regarding AIC Promissory Notes and Stock

    Sonn|Erez Investigating Claims Regarding AIC Promissory Notes and Stock
    Sonn|Erez is investigating claims regarding claims regarding AIC promissory notes and stock. In a 2011 complaint filed by the SEC against AIC, Inc., Community Bankers Securities, LLC, and Nicholas D. Skaltsounis, the SEC alleged that…
  • Oct 21

    Sonn|Erez Investigating Claims Involving Reginald "Reggie" Berthiaume, Orlando, Florida

    Sonn|Erez Investigating Claims Involving Reginald "Reggie" Berthiaume, Orlando, Florida
    Sonn|Erez is investigating claims regarding Reginald Maurice Berthiaume Jr. (CRD #2702903, Orlando, Florida) , also known as Reggie Berthiaume. Berthiaume recently entered into a Letter of Acceptance, Waiver, and Consent ("AWC") in which he…
Rank this Week: 1183

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: 1239

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: 1242

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: 1264

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • Sep 6

    New FINRA Rule Limits usage of Expungement Requests in Arbitration

    New FINRA Rule Limits usage of Expungement Requests in Arbitration
    The SEC has approved FINRA Rule 2081 that would disallow brokers from conditioning settlement of a customer dispute on a customer’s consent to the broker’s request for expungment from the Central Registration Depository…
  • Aug 12

    Does your Investment Adviser Firm Have a Social Media Policy?

    Does your Investment Adviser Firm Have a Social Media Policy?
    Social media such as Facebook, Twitter, LinkedIn, or blogs have become popular mechanisms for companies to communicate with the public. Social media allows companies to communicate with clients and prospective clients, market their services,…
  • Aug 1

    Who has the Right to Enforce Your Promissory Note?

    Who has the Right to Enforce Your Promissory Note?
    A customary practice in the securities industry is for financial advisors to receive a transition bonus above and beyond an advisor’s standard commission compensation upon joining to a new firm. The bonus amount is usually determined…
Rank this Week: 1291

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • Oct 29

    Is the SEC that good? SEC Wins Every Administrative Case

    Is the SEC that good? SEC Wins Every Administrative Case
    In what is sure to add more “fuel to the fire,” it was recently reported that the SEC has won every case brought in its administrative courts over the last year.  The SEC has not been so successful with its federal…
  • Oct 28

    Forget Including A Bar Of Whistleblower Tips In Settlement Agreement

    Forget Including A Bar Of Whistleblower Tips In Settlement Agreement
    FINRA recently warned that firms could face disciplinary action if they enter into settlement agreements that bar customers or former employees from reporting wrongdoing at the firm.  Although FINRA recognized that confidentiality…
  • Oct 27

    Personal Email For Firm Business – Don’t Do That

    Personal Email For Firm Business – Don’t Do That
    As firm clients demand more and more access to their registered representatives, member firms must do more to make sure that their brokers do not run afoul of the firm communication written supervisory procedures.  One firm recently…
Rank this Week: 1311

Startup Law Blog

Startup Law Blog

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

http://www.startuplawblog.com/
  • Oct 17

    SEC Advisory Committee Makes Accredited Investor Recommendation

    SEC Advisory Committee Makes Accredited Investor Recommendation
    Summary SEC Investor Advisory Committee makes recommendations to the SEC regarding “accredited investor” definition and related considerations No specific changes to financial thresholds recommended New “financial…
  • Oct 8

    Crowdfunding! @ Seattle Startup Week

    Crowdfunding! @ Seattle Startup Week
    My team at Davis Wright Tremaine and I are excited and honored to be able to help kick off the first day of Seattle Startup Week 2014 with an intensive meetup about the legal ins-and-outs surrounding Washington State Equity Crowdfunding.…
  • Sep 29

    FAA Grants Limited Exemptions Allowing Hollywood to Film With Drone

    FAA Grants Limited Exemptions Allowing Hollywood to Film With Drone
    By Diana Marina Cooper In a surprising move last week, the Federal Aviation Administration (FAA) granted permission to six Hollywood companies to film using unmanned aerial vehicles (UAVs). The FAA is currently developing rules to integrate…
Rank this Week: 1348

Sharesleuth.com

Sharesleuth.com

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

http://sharesleuth.com/
  • Oct 7

    Kandi Technologies Group Inc.: The return of the cyber shill

    Kandi Technologies Group Inc.: The return of the cyber shill
    Last June, shares of Kandi Technologies Group Inc. (Nasdaq: KNDI) doubled in the space of a week, spurred on by a mysterious network of social-media touters who later deleted their posts or shut down their accounts…
  • Jun 17

    Telestone Technologies revisited: SEC letters reveal doubts about revenues and receivable

    Telestone Technologies revisited: SEC letters reveal doubts about revenues and receivable
    Recently released letters between the Securities and Exchange Commission and Telestone Technologies Corp. (Pink Sheets: TSTC) show that regulators have significant concerns about the Chinese wireless communication company’s reported…
  • Jun 3

    Guanwei Recycling Corp. and Kandi Technologies Group Inc.: The Rui Wang Connection

    Guanwei Recycling Corp. and Kandi Technologies Group Inc.: The Rui Wang Connection
    A Chinese businessman who figures into a fraud case involving Guanwei Recycling Corp. (Nasdaq: GPRC) also has an intriguing connection to Kandi Technologies Group Inc. (Nasdaq: KNDI), whose shares were allegedly manipulated by the same group.…
Rank this Week: 1440

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
  • Oct 23

    Odd History Of Stockbroker's Four Away Account

    Odd History Of Stockbroker's Four Away Account
    For one reason or another, stockbrokers may not want to maintain their personal accounts at their employer's brokerage firm. Some of the reasons are valid and often have to do with confidentiality and preventing an employer from freezing an…
  • Oct 23

    Can A Granddaughter Marry Her Uncle?

    Can A Granddaughter Marry Her Uncle?
    As with virtually every job, the practice of law often becomes mind-numbingly boring. Every so often, however, the profession presents you with a fascinating puzzle. A recent federal case may strike some as a religious question raising basic…
  • Oct 23

    EMPLOYMENT TUESDAY at BrokeAndBroker.com

    EMPLOYMENT TUESDAY at BrokeAndBroker.com
    Stockbroker, Compliance, Legal, and Regulatory JobsEmployment Page BrokeAndBroker.com Jobs...
Rank this Week: 1468

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: 1648

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: 1689

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: 1744

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: 1765

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: 1872

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: 1943