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The Race to the Bottom

The Race to the Bottom

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

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

    The SEC and Administrative Proceedings (Part 2)

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

    The SEC and Administrative Proceedings (Part 1)

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

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

    Morrison, the Second Circuit, and the Reverse Effects Test: ParkCentral Global Hub Limited v. Porsche Automobile Holdings (Part 2)
    We are discussing the Second Circuit's decision in ParkCentral Global Hub Limited v. Porsche Automobile Holdings, a case that effectively created a "reverse effects test" that was contrary to the Supreme Court's analysis…
Rank this Week: 96

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/
  • Jun 23

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: J.H. Dalhuisen, Globalization and the Transnationalization of Commercial and Financial Law, 67 Rutgers U. L. Rev. 19 (2015). Martin Gelter…
  • Jun 9

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: Norah C. Avellan, Note, The Securities and Exchange Commission and the Growing Need for Cybersecurity in Modern Corporate America, 54…
  • Jun 9

    Cheffins, Bank & Wells on Shareholder Protection

    Cheffins, Bank & Wells on Shareholder Protection
    Brian R. Cheffins, Steven A. Bank, and Harwell Wells have posted Shareholder Protection Across Time on SSRN with the following abstract: This Article offers the first systematic attempt to measure the development of shareholder protection in…
Rank this Week: 99

William Carleton, Counselor @ Law

William Carleton, Counselor @ Law

Covers legal and investment issues facing emerging tech companies.

http://www.wac6.com/wac6/
  • Feb 20

    First Cherry Blossom

    First Cherry Blossom
    Wet and temperate in Seattle this morning. And look, Spring!
  • Feb 9

    Lark & Environ

    Lark & Environ
    Interesting stuff going on at, let's call it 10th and Seneca, about a half block east of Broadway off Madison. Lark has recently moved there, and, based on one dinner experience at the new location, is as good or better...
  • Jan 25

    One Thousand Things Worth Knowing

    One Thousand Things Worth Knowing
    This weekend I've read Paul Muldoon's newly published collection of poems, "One Thousand Things Worth Knowing." (The dust jacket sports a very pleasing design by the ubiquitous Quemadura, a brilliant designer and a kind man I will…
Rank this Week: 122

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Jul 3

    Fifth Circuit Seeks Mulligan on Texas Law Question in Golf Channel case

    Fifth Circuit Seeks Mulligan on Texas Law Question in Golf Channel case
    By R. Jason Howard, J.D.On appeal from the District Court for the Northern District of Texas, the Fifth Circuit Court of Appeals has granted a petition for panel rehearing, vacated its original opinion, and substituted an opinion certifying a…
  • Jul 2

    District Court Lacks Jurisdiction Over Constitutional Claims Against SEC ALJ

    District Court Lacks Jurisdiction Over Constitutional Claims Against SEC ALJ
    By Amanda Maine, J.D. A district court dismissed a complaint because it did not have subject matter jurisdiction to address the plaintiffs’ constitutional claims that SEC administrative law judges do not have lawful authority to preside…
  • Jul 1

    Commissioners Piwowar, Stein United on Move to T+2 Settlement

    Commissioners Piwowar, Stein United on Move to T+2 Settlement
    By Mark S. Nelson, J.D.Commissioners Michael S. Piwowar and Kara M. Stein demonstrated solidarity in backing a proposal by the securities industry to shorten the settlement cycle from T+3 to T+2 days. The commissioners said the proposal, and…
Rank this Week: 140

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 2

    Of Time and Summer (A Reprise)

    Of Time and Summer (A Reprise)
    In recognition of the Independence Day holiday in the U.S., and in what is now something of an annual tradition, I am reprising here my 2012 essay about Time and Summer, which can be found here. Have a great Fourth of July holiday. Thank you…
  • Jun 30

    An Active First Half for Securities Class Action Litigation

    An Active First Half for Securities Class Action Litigation
    The first half of 2015 was an active period for new securities class action lawsuit filings. The filings through the year’s first six months suggest we are on pace for the highest annual number of new filings since 2011. The heightened…
  • Jun 29

    D&O Insurance: A Question of “Capacity”

    D&O Insurance: A Question of “Capacity”
    In  a recent post in which I discussed the “basic value proposition” of D&O insurance, I noted that among the five indispensable elements required in order for coverage under a D&O insurance policy to exist is the…
Rank this Week: 143

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
  • Jul 3

    SIFMA Unveils Cyber Securities Tip

    SIFMA Unveils Cyber Securities Tip
    From the Desk of Jim Eccleston at Eccleston Law LLC:A single security breach can have detrimental effects on a small advisory firm. Small firms often face more difficulty as they lack resources or technical expertise to implement a sound…
  • Jul 2

    Adviser Wins Care Brought by SEC

    Adviser Wins Care Brought by SEC
    From the Desk of Jim Eccleston at Eccleston Law LLC:A houston-based firm has won a rare victory against the SEC in a case focused on advisers, accepting payments from brokerage firms.The SEC judge dismissed the allegations that the firm…
  • Jul 1

    Morgan Stanley Restructures Number of Management Role

    Morgan Stanley Restructures Number of Management Role
    From the Desk of Jim Eccleston at Eccleston Law LLC:In its latest round of restructuring, Morgan Stanley has altered the number of management roles at their branch, complex and regional levels. The top positions affected are Associate Complex…
Rank this Week: 148

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: 151

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: 272

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Jul 2

    The SEC’s Clawback Proposing Release: 198 Page

    The SEC’s Clawback Proposing Release: 198 Page
    Yesterday, the SEC voted to approve – by the now-norm 3-2 vote – this 198-page proposing release to direct the stock exchanges to adopt clawback listing standards, as required by Section 954 of Dodd-Frank. Comments are due 60 days…
  • Jul 1

    PCAOB’s New Concept Release on Audit Quality Indicator

    PCAOB’s New Concept Release on Audit Quality Indicator
    Yesterday, the PCAOB agreed to issue a concept release about the content and possible uses of audit quality indicators, measures that may provide new insights into audit quality (the actual concept release isn’t posted yet –…
  • Jun 30

    Conflicting Shareholder Proposals: Are Companies Asking for a Trump Card?

    Conflicting Shareholder Proposals: Are Companies Asking for a Trump Card?
    Here’s a blog from Adam Kanzer of Domini Social Investments based on his recent comment letter sent to the SEC: According to a series of letters submitted on behalf of the issuer community, including a joint letter submitted by five…
Rank this Week: 289

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: 326

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 2

    Recovery of Oppenheimer Rochester CA Municipal A

    Recovery of Oppenheimer Rochester CA Municipal A
    Have you suffered investment losses in Oppenheimer Rochester CA Municipal A? If so, The White Law Group may be able to help you recover your losses through FINRA arbitration. The White Law Group is investigating potential securities fraud…
  • Jul 2

    Recovery of MainStay High Yield Municipal Bond A

    Recovery of MainStay High Yield Municipal Bond A
    Have you suffered investment losses in MainStay High Yield Municipal Bond A? If so, The White Law Group may be able to help you recover your losses through FINRA arbitration. The White Law Group is investigating potential securities fraud…
  • Jul 2

    Recovery of Oppenheimer Rochester Ltd Term CA MuniA

    Recovery of Oppenheimer Rochester Ltd Term CA MuniA
    Have you suffered investment losses in Oppenheimer Rochester Ltd Term CA MuniA? If so, The White Law Group may be able to help you recover your losses through FINRA arbitration. The White Law Group is investigating potential securities fraud…
Rank this Week: 371

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/
  • Jul 2

    Professor Bainbridge Takes On S.B. 75 And The Delaware Bar

    Professor Bainbridge Takes On S.B. 75 And The Delaware Bar
    UCLA Law Professor Stephen Bainbridge recently posted an article calling Delaware’s recently enacted S.B. 75 a “self-inflicted wound”.   SB 75, which was signed into law late last month, limits the ability of…
  • Jul 1

    Why Foreign Corporations Might Not Care Where You Live

    Why Foreign Corporations Might Not Care Where You Live
    I noticed the following description of California’s principal “pseudo-foreign” corporation statute in a recently filed registration statement: Section 2115(b) of the California Corporations Code imposes certain requirements…
  • Jun 30

    Unwaivable Statutes May Doom Forum Selection Provision

    Unwaivable Statutes May Doom Forum Selection Provision
    Nearly four years ago, I wrote this post asking whether California’s anti-waiver statute voids choice of forum agreements.  The statute in question was California Corporations Code Section 25701 which provides: Any condition,…
Rank this Week: 384

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: 465

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 3

    OSC announces compliance review of derivatives data reporting

    OSC announces compliance review of derivatives data reporting
    On July 2, 2015, the Ontario Securities Commission (OSC) announced that it intends to initiate a compliance review of the reporting requirements of OSC Rule 91-507 Trade Repositories and Derivatives Data Reporting in fiscal…
  • Jul 3

    ASC to automatically reciprocate other Canadian sanction order

    ASC to automatically reciprocate other Canadian sanction order
    Effective July 1, 2015, orders issued by and settlement agreements entered into with a Canadian securities regulatory authority will automatically be effective in Alberta. Pursuant to a new section 198.1 of the Alberta Securities Act, when a…
  • Jul 3

    CSA guidance on reports of exempt distribution revised

    CSA guidance on reports of exempt distribution revised
    The Canadian Securities Administrators (CSA) recently revised CSA Staff Notice 45-308 – Guidance for Preparing and Filing Reports of Exempt Distribution under National Instrument 45-106 Prospectus Exemptions Revised to conform the staff…
Rank this Week: 481

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: 505

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/
  • Jun 24

    There's A Difference Between "Confidential And Proprietary Information" And A Trade Secret

    There's A Difference Between "Confidential And Proprietary Information" And A Trade Secret
    I can't remember the last time that the Business Court granted a motion opposing the designation of a case as a mandatory complex business case.  And since the Business Court Modernization Act went into effect in October 2014?  I…
  • Jun 17

    Something That You Might Not Have Known About Injunction

    Something That You Might Not Have Known About Injunction
    I had always thought that you need to post a bond in order to obtain an injunction, both in federal and state court.  It turns out that I was wrong. The federal rule seems to require a bond.  It says: (c) Security. The court may…
  • Jun 15

    Business Court: High To Low Posting of ATM Debit Card Transactions Properly Disclosed By Bank

    Business Court: High To Low Posting of ATM Debit Card Transactions Properly Disclosed By Bank
    The meaning of the word "item" was the definitive factor in the Business Court's decision last week in Gay v. People's Bank, 2015 NCBC 59. The case was an attempted class action involving claims against the Bank for allegedly improperly…
Rank this Week: 508

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/
  • Jun 30

    FINRA Reports $1 Billion in Revenue, Shares Profit with Firm

    FINRA Reports $1 Billion in Revenue, Shares Profit with Firm
    The Financial Industry Regulatory Authority (FINRA) brought in $997 million in net revenues, up from $901 million in 2013. FINRA also lowered its expenses to $965 million, from $999 million in 2013. Revenues and other factors combined to…
  • Jun 29

    SEC News - Suspicious Activity, Unregistered Brokers, Defrauding Investor

    SEC News - Suspicious Activity, Unregistered Brokers, Defrauding Investor
    Microcap Promoter Charged With Illegally Selling Penny Stock SharesA microcap promoter has been charged with illegally selling more than 83 million penny stock shares that he secretly obtained through at least 10 different offshore front…
  • Jun 16

    SEC News - Insider Trading, Hedge Fund Theft, and Fraud

    SEC News - Insider Trading, Hedge Fund Theft, and Fraud
    Swiss Trader to Pay $2.8 Million to Settle Insider Trading ChargesA Swiss trader has agreed to pay more than $2.8 million to settle charges that he traded on nonpublic information ahead of a Florida-based biometrics company’s…
Rank this Week: 510

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
    Going Public LawyerGoing 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 quantities of…
  • Jan 1

    Going Public Blog l Securities Lawyer 101

    Going Public Blog l Securities Lawyer 101
    Going Public Lawyer  Securities Lawyer 101 Blog Going public is a big step for any company.  The process of “going public” is complex and at times precarious.  While going public offers many benefits it also comes…
Rank this Week: 546

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
  • Jul 3

    City Securities Broker John Miller Suspended and Fined

    City Securities Broker John Miller Suspended and Fined
    FINRA recently sanctioned an Indianapolis stock broker for failing to obtain written authorization from his clients before purchasing investments in their accounts.  According to his CRD, John Miller of City Securities was suspended for…
  • Jun 30

    Former Ovation CFO Alfred Talens Charged with Stealing About $600,000

    Former Ovation CFO Alfred Talens Charged with Stealing About $600,000
    As a result of, Alfred Talens being charged with stealing about $600,000 from Ovation where he was the CFO, along with other charges. We are looking into cases against Talens and LPL where he was employed as a stockbroker. For more on this…
  • Jun 25

    JP Morgan, SEC Talk Settlement over Investment-Recommendation Concern

    JP Morgan, SEC Talk Settlement over Investment-Recommendation Concern
    The SEC is examining J.P. Morgan for guiding clients to their own proprietary products and away from offerings by other firms. Generally leading to higher fees for the bank, the practice, while not banned, is closely watched by regulators.…
Rank this Week: 555

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/
  • Jun 30

    Delaware Bans “Loser Pays” Bylaws & Authorizes Exclusive Forum Bylaw

    Delaware Bans “Loser Pays” Bylaws & Authorizes Exclusive Forum Bylaw
    The Delaware Governor has signed the latest Delaware amendments into law, taking effect on August 1st. We’re posting memos in our “Exclusive Forum Bylaws” Practice Area (also see this blog about whether the new law impacts…
  • Jun 26

    SEC Chair Speaks: Universal Proxy Ballots Coming?

    SEC Chair Speaks: Universal Proxy Ballots Coming?
    As reported by this WSJ article, SEC Chair White delivered this speech yesterday at the Society’s National Conference. In her speech – which focused on proxy-related matters – Chair White advised that she “asked the…
  • Jun 23

    Proxy Contests: Activist Influence Rising Despite Higher Company Win Rate

    Proxy Contests: Activist Influence Rising Despite Higher Company Win Rate
    According to this analysis by FactSet, proxy fight statistics so far for 2015 reveals an ongoing increase in activist influence. While the company win rate for proxy contests is up, so are settlements and non-proxy fight campaigns resulting…
Rank this Week: 579

Ponzitracker

Ponzitracker

Covers Ponzi schemes. By Jordan Maglich.

http://www.ponzitracker.com/
  • Jan 27

    SEC Charges Wisconsin Man With $10.4 Million Ponzi Scheme

    SEC Charges Wisconsin Man With $10.4 Million Ponzi Scheme
    A Wisconsin man was charged by the Securities and Exchange Commission with operating a Ponzi scheme that took in more than $10 million from at least 122 investors.  Loren Holzhueter, 69, was the subject of an emergency enforcement action…
  • Jan 26

    Ohio CPA Gets 21 Years For Role In $40 Million Ponzi Scheme

    Ohio CPA Gets 21 Years For Role In $40 Million Ponzi Scheme
    An Ohio man was sentenced to serve twenty-one years in federal prison for his role in funnelling investors to the massive "Black Diamond" Ponzi scheme that ultimately duped over 400 investors out of at least $40 million.  Jonathan…
  • Jan 26

    California Men Plead Guilty To $100 Million ATM Ponzi Scheme

    California Men Plead Guilty To $100 Million ATM Ponzi Scheme
    Two California men have entered guilty pleas to operating a massive Ponzi scheme that allegedly caused losses of over $100 million to victims who thought they were investing in a profitable ATM leasing operation.  Joel Barry Gillis, 74,…
Rank this Week: 703

Business Blog

Business Blog

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

http://www.businesslawnews.com/
  • Jul 2

    Uber Highlights Employee Misclassification Issues in a High-Tech World

    Uber Highlights Employee Misclassification Issues in a High-Tech World
    Uber’s recent legal setback in California over employee misclassification issues highlights the dilemma faced by many employers across the country. As many other employers confront similar legal controversies, this as well as other…
  • Jul 1

    SEC Cracking Down on Adviser’s Retirement Advice

    SEC Cracking Down on Adviser’s Retirement Advice
    The Securities and Exchange Commission (SEC) recently announced a new compliance initiative that will target the retirement advice doled out by brokers and other financial advisers. Dubbed the “Retirement-Targeted Industry Reviews and…
  • Jun 30

    Could Your Cyber Insurance Policy Unexpectedly Let You Down?

    Could Your Cyber Insurance Policy Unexpectedly Let You Down?
    Cyber insurance policies are currently being heavily marketed amid highly publicized data breaches involving millions of records. But is having a cyber insurance policy a wise choice to protect your company in the wake of a costly data…
Rank this Week: 796

Florida Securities Fraud Lawyer…

Florida Securities Fraud Lawyer Blog

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

http://www.floridasecuritiesfraudlawyerblog.com/
  • May 28

    FIFA Officials Indicted for Racketeering and Fraud

    FIFA Officials Indicted for Racketeering and Fraud
    The Department of Justice announced that high-ranking officials of the governing body for soccer worldwide – referred to as “football” outside of the United States – the Fédération Internationale de…
  • May 12

    SEC Sues Retirement Planners who Sold Life Settlement

    SEC Sues Retirement Planners who Sold Life Settlement
    According to the Securities and Exchange Commission (“SEC”), it has filed suit against a Texas retirement planning firm and its principals in connection with their practices in the sales of life settlement investments.  The…
  • May 6

    LPL Financial Sanctioned for Supervisory Failure

    LPL Financial Sanctioned for Supervisory Failure
    According to the Financial Industry Regulatory Authority (“FINRA”), it has entered into a Letter of Acceptance, Waiver and Consent (“AWC”) with brokerage firm LPL Financial LLC for supervisory failures in a number of…
Rank this Week: 814

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

http://www.hedgefundlawblog.com
  • Jul 1

    Hedge Fund Events July 2015

    Hedge Fund Events July 2015
    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: June 29-July 1, 2015 Sponsor: Infocast Event: 2nd California Water Summit Location:…
  • Jun 1

    Hedge Fund Events June 2015

    Hedge Fund Events June 2015
    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: May 31-June 2, 2015 Sponsor: WITI Event: The Women in Technology International (WITI)…
  • May 26

    Cole-Frieman & Mallon LLP 2015 First Quarter Update

    Cole-Frieman & Mallon LLP 2015 First Quarter Update
     www.colefrieman.com May 13, 2015 Clients and Friends: The first quarter of 2015 was a busy period for investment managers and service providers alike and we find ourselves sending out this update very late.  As a variety of filing…
Rank this Week: 816

White Collar Fraud

White Collar Fraud

Covers white collar crime, securities fraud, the accounting profession, internal controls and Sarbanes-Oxley. By Sam E. Antar.

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

    Overstock.com Hatchet Man Judd Bagley's Downward Spiral: Junkie, Confessed Criminal, Admitted Adulterer

    Overstock.com Hatchet Man Judd Bagley's Downward Spiral: Junkie, Confessed Criminal, Admitted Adulterer
    In the years that I’ve written extensively about Overstock.com (NASDAQ: OSTK), I have always been amazed about its bizarre CEO Patrick Byrne and the gang of misfits he has surrounded himself with. By far, the worst was a real loser…
  • Feb 5

    Crook vs. Crook: Why Former Congressman Michael Grimm is a Dumb Crook

    Crook vs. Crook: Why Former Congressman Michael Grimm is a Dumb Crook
    In my first segment of a series of Op-ed articles about white-collar crime on CNBC, I examine the case of former Republican Congressman Michael Grimm who recently pleaded guilty to income tax evasion and awaits sentencing on June 8, 2015.New…
  • 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…
Rank this Week: 864

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Jun 19

    Big Verdicts and Big Appeal

    Big Verdicts and Big Appeal
    Securities class actions rarely go to trial.  When they do, as in the Household International case where the plaintiffs won a $2.46 billion verdict, they make the news.  But it is axiomatic that big verdicts lead to big…
  • May 22

    Adverse Interest

    Adverse Interest
    Is it possible for a securities class action based on alleged misrepresentations in a company’s public filings to proceed against an individual officer, but not the company (presuming the company is not otherwise immune from…
  • May 1

    Not Congress’s Concern

    Not Congress’s Concern
    The Securities Litigation Uniform Standards Act (“SLUSA”) is designed to limit the ability of plaintiffs to avoid the heightened pleading standards (and other procedural and substantive protections) applicable to federal…
Rank this Week: 914

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/
  • Jun 29

    What types of companies might use Regulation A+ to raise capital?

    What types of companies might use Regulation A+ to raise capital?
    Recently finalized Regulation A+ allows most private companies to raise up to $50 million by selling securities to the public. Companies using Regulation A+ can advertise the offering and solicit investors, and anyone can invest (subject…
  • May 22

    World’s top banks plead guilty to gaming foreign-currency market

    World’s top banks plead guilty to gaming foreign-currency market
    Scandal roiled the banking industry Wednesday as four of the world’s largest banks — Citigroup, JPMorgan Chase, Barclays and Royal Bank of Scotland — pleaded guilty to federal antitrust violations for conspiring to…
  • Apr 30

    SEC votes to propose executive compensation rule

    SEC votes to propose executive compensation rule
    On April 29, 2015, pursuant to the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, the Securities and Exchange Commission (SEC) voted 3 to 2 to approve a proposed amendment to executive compensation rules in Item 402…
Rank this Week: 1012

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: 1057

Institutional Investor Securities…

Institutional Investor Securities Blog

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

http://www.institutionalinvestorsecuritiesblog.com/
Rank this Week: 1107

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

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

    Puerto Rico Headed for Default

    Puerto Rico Headed for Default
    Puerto Rico's governor, Alejandro García Padilla, says he must pull the island out of a "death spiral," in which the commonwealth cannot pay its debts of approximately $72 billion, reports The New York Times. Governor Padilla and…
  • Jun 25

    Sonn|Erez Investigating Claims Involving Former LPL Broker Raymond Schmidt

    Sonn|Erez Investigating Claims Involving Former LPL Broker Raymond Schmidt
    Sonn|Erez is investigating claims regarding Raymond Daniel Schmidt (CRD #3258497, Oceanside, California). Schmidt recently submitted an AWC in which he was barred from association with any FINRA member in any capacity. See FINRA Case…
  • Jun 22

    Sonn|Erez Investigating Claims Involving Former Merrill Lynch Broker Joel Blum

    Sonn|Erez Investigating Claims Involving Former Merrill Lynch Broker Joel Blum
    Sonn|Erez is investigating claims regarding Joel Eziekel Blum (CRD #4905379, Goshen, New York). Blum recently submitted an AWC in which he was fined $10,000 and suspended from association with any FINRA member in any capacity for 20 days.…
Rank this Week: 1113

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/
  • Feb 13

    We've Moved. Great Content Still - But at New Site!

    We've Moved. Great Content Still - But at New Site!
    Posts here at BDLawBlog.com have been infrequent of late. We've been working to roll out a new online presence for The Beck Law Firm, LLC, that incorporates our blog. After more than seven years here, and more than 500 posts,...
  • Jan 7

    SEC Affirms FINRA Sanctions for Broker Taking Client Info. to New Firm

    SEC Affirms FINRA Sanctions for Broker Taking Client Info. to New Firm
    On December 15, 2014, the SEC affirmed a FINRA disciplinary action finding that a broker violated Conduct Rule 2110 when that broker downloaded certain confidential and nonpublic customer information for more than 2000 clients of his former…
  • Dec 19

    Lessons learned from putting on "the Suit."

    Lessons learned from putting on "the Suit."
    Every now and then I use my blog to share with you things not necessarily related to the law, or to our practice areas of financial markets law, estate planning or business law. Today's one of those days, and I...
Rank this Week: 1146

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: 1210

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: 1222

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: 1235

Sharesleuth.com

Sharesleuth.com

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

http://sharesleuth.com/
  • Feb 4

    Trick Play: Memorabilia company peddled Patriots, Seahawks gear with forged player autograph

    Trick Play: Memorabilia company peddled Patriots, Seahawks gear with forged player autograph
      Just days after the Seattle Seahawks and New England Patriots claimed their spots in Super Bowl XLIX, a memorabilia company called The Highland Mint contacted customers with a tantalizing list of autographed collectibles. Highland…
  • Dec 31

    Kandi Technologies Group Inc.: Where are the Go-Karts?

    Kandi Technologies Group Inc.: Where are the Go-Karts?
    When the global economy collapsed in the fall of 2008, the sharp drop in consumer spending threw the power sports industry into a steep decline. Sales of motorcycles, go-karts and all-terrain vehicles each plunged by 30 percent or more,…
  • 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…
Rank this Week: 1238

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • Jul 1

    Wells Fargo Takes One on the Chin

    Wells Fargo Takes One on the Chin
    A St. Louis County jury recently awarded over $70 million to the beneficiary of two trusts against Wells Fargo (WF).WF and its predecessors had served as the corporate trustee of one trust, and the custodian of the other. This firm…
  • Mar 11

    The Arbitration System

    The Arbitration System
    The premise that underlies the justification for the loss of rights in arbitration is simple:  both parties knowingly agreed to binding arbitration.  This presumption is based upon the presumptions that 1) signators read contracts…
  • Feb 10

    Did the Eastern District Just Void Financial Adviser Independent Contractor Arbitration Clauses?

    Did the Eastern District Just Void Financial Adviser Independent Contractor Arbitration Clauses?
    I think they may have done just that, at least in Missouri.  Us kids who work with or in the financial services industry know that brokers like Edward Jones frequently run to court when a broker leaves them.  They seek a TRO,…
Rank this Week: 1288

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • Jun 26

    So why is that you want to be a CCO

    So why is that you want to be a CCO
    Recent SEC enforcement actions suggest that being a CCO is not all that it’s cracked up to be; the SEC recently sanctioned two CCOs. SEC Commissioner Gallagher’s dissents and his recent comments regarding those dissents have…
  • Jun 25

    So who really thinks the SEC is not focused on elder investor

    So who really thinks the SEC is not focused on elder investor
    If there is any question that the SEC is focused on elder investor issues, look no further than its recent program announcement. The SEC initiated a program designed to examine retirement planning guidance. Under this program, the SEC intends…
  • Jun 18

    Twitter: More than just Social Media

    Twitter: More than just Social Media
    Since Al Gore invented the internet, we have had an unprecedented amount of information and data right at our fingertips.  However, given the immeasurable quantity of this information, it has always been a challenge to quickly and…
Rank this Week: 1296

Startup Law Blog

Startup Law Blog

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

http://www.startuplawblog.com/
  • Apr 27

    Join Us at Pacific Rim M&A Institute This Wednesday

    Join Us at Pacific Rim M&A Institute This Wednesday
    Please join us for the Pacific Rim M&A Institute’s next session. This quarter’s program features Port of Seattle CEO, Ted J. Fick, who will discuss how the Port contributes to our region’s economy. We look forward to…
  • Dec 18

    Revenue Lending

    Revenue Lending
    I recently had the chance to sit down with BJ Lackland, the CEO of Lighter Capital, to talk about life, revenue loans, and Lighter Capital. Below is a transcript of most of our talk. – JW: BJ, what’s the first … Continue…
  • Nov 28

    Current Funding Trends and Capital Raising Tip

    Current Funding Trends and Capital Raising Tip
    How Are You Planning to Fund Your Big Idea in 2015? Due to cheaper tools, the cost of getting a startup off the ground has markedly decreased over the past dozen or so years. However, despite lower costs, it can … Continue reading…
Rank this Week: 1392

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
  • Jun 29

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
    On Sunday July 5th, Greeks will be going to the polls -- at least as of the writing of this column -- and voting whether to accept the terms of the proposed European bail-out. This is what is on the ballot:Should the deal draft that was put…
  • Jun 29

    The Goose And Gander Of Forex Fraud Hypocrisy

    The Goose And Gander Of Forex Fraud Hypocrisy
    Offered for your consideration today in the BrokeAndBroker.com Blog is a thought piece. On one side, we have the goose: An individual human being convicted of FOREX-related fraud. On the other side, we have ganders: Five of the world's…
  • Jun 29

    Third Party Wires Clothesline Scottrade In FINRA Settlement

    Third Party Wires Clothesline Scottrade In FINRA Settlement
    If you're going to promise a Wall Street regulator that you will fix a problem, you better make certain -- in fact, you better make damn certain --  that you fix whatever the problem is. Few things are more certain in life…
Rank this Week: 1439

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: 1684

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: 1708

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: 1789

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: 1854

InvestorLawyers.net

InvestorLawyers.net

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

http://www.investorlawyers.net/blog/
Rank this Week: 1877

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: 1906