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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/
  • Jan 27

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: Zachary Ahonen, Note, The Recent Financial Crisis and Its Impact on Interest Rate Swaps: A Road to Recovery through the Frustration of…
  • Jan 27

    Park on Bondholders and Securities Class Action

    Park on Bondholders and Securities Class Action
    James J. Park has posted Bondholders and Securities Class Actions on SSRN with the following abstract: Prior studies of corporate and securities law litigation have focused almost entirely on cases filed by shareholder plaintiffs. Bondholders…
  • Jan 27

    Chen, Hope, Li & Wang on International Market

    Chen, Hope, Li & Wang on International Market
    Feng Chen, Ole-Kristian Hope, Qingyuan Li, and Xin Wang have posted Flight to Quality in International Markets: Political Uncertainty and Investors’ Demand for Financial Reporting Quality on SSRN with the following abstract: We examine…
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: 101

William Carleton, Counselor @ Law

William Carleton, Counselor @ Law

Covers legal and investment issues facing emerging tech companies.

http://www.wac6.com/wac6/
  • 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…
  • Nov 16

    ACA Webinar on Accredited Investor Definition and Established Angel Group Certification

    ACA Webinar on Accredited Investor Definition and Established Angel Group Certification
    I've just listened to an archived recording of an excellent webinar presented by the Angel Capital Association last week (I had intended to listen in real time, but got pulled away): ACA Webinar on Accredited Investor Definition and…
  • Nov 4

    A Sestina About Copyright

    A Sestina About Copyright
    Sestinas are all about copyright!
Rank this Week: 121

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • Jan 28

    Advisen Releases 2014 Corporate and Securities Litigation Report

    Advisen Releases 2014 Corporate and Securities Litigation Report
    New corporate and securities lawsuit filings and enforcement actions were down for the third consecutive year in 2014, according to the latest annual report from the insurance information firm, Advisen. According to the report, which is…
  • Jan 27

    Cornerstone Research: Securities Suit Filings Holding Steady But Cases Are Smaller and Involve Smaller Companie

    Cornerstone Research: Securities Suit Filings Holding Steady But Cases Are Smaller and Involve Smaller Companie
    The number of securities class action lawsuit filings in 2014 was about the same as in 2013, but the cases that were filed were smaller than in the past, according to the annual securities litigation report from Cornerstone Research. However,…
  • Jan 27

    Germany in January

    Germany in January
    The D&O Diary was on assignment in Germany this past week, with stops for meetings in Cologne and for a conference in Frankfurt. January, it turns out, is a less than optimal month in which to visit Northern Europe. The conditions are…
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/
  • Jan 28

    Government Asks Full Court to Rehear Newman Insider Trading Appeal

    Government Asks Full Court to Rehear Newman Insider Trading Appeal
    [This story previously appeared in Securities Regulation Daily.]By Anne Sherry, J.D.Criticizing last month’s opinion by a Second Circuit panel overturning two insider trading convictions based on a lack of personal benefit to the…
  • Jan 27

    With Judicial Challenge Looming, FSOC Will Be Under Scrutiny from House Panel

    With Judicial Challenge Looming, FSOC Will Be Under Scrutiny from House Panel
    Against the backdrop of a judicial challenge to the Financial Stability Oversight Council’s (FSOC) designation of  Met Life, Inc. as a systemically important financial institution (SIFI) under the Dodd-Frank Act, the House…
  • Jan 27

    House Panel Signals Strong Oversight of Dodd-Frank Derivatives Regulation

    House Panel Signals Strong Oversight of Dodd-Frank Derivatives Regulation
    The House Agriculture Committee will conduct intense oversight of the regulatory implementation of the Dodd-Frank Act derivatives provisions. An oversight plan approved by the Committee, which is chaired by Rep. K. Michael Conaway (R-TX),…
Rank this Week: 139

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/
  • Jan 22

    Texas State Securities Board Was Special Prosecutor in $1M Securities Fraud Case

    Texas State Securities Board Was Special Prosecutor in $1M Securities Fraud Case
    Alberto Alba Villareal was sentenced to five years behind bars for defrauding investors in a $1 million Texas securities fraud. Villareal was convicted of theft of property for stealing money. The funds he procured were supposed to go toward…
  • Jan 21

    Investment Adviser Fraud Cases Lead to Civil Charges, Criminal Convictions, and Investor Losse

    Investment Adviser Fraud Cases Lead to Civil Charges, Criminal Convictions, and Investor Losse
    SEC Accuses Elm Tree Investment Advisors, its Founder, of $17M Securities Fraud The Securities and Exchange Commission has filed fraud charges against Elm Tree Investment Advisors LLC and its founder Frederic Elm for running a Florida-based…
  • Jan 20

    FINRA Fines Fidelity $350K for Overcharging Over 20,000 Clients $2.4M

    FINRA Fines Fidelity $350K for Overcharging Over 20,000 Clients $2.4M
    The Financial Industry Regulatory Authority says that Fidelity Investments must pay $350,000 for overcharging thousands of clients $2.4 million for transactions involving fee-based accounts in its Institutional Wealth Services Group. The…
Rank this Week: 147

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
  • Jan 28

    Former Texas Financial Planner Facing Charges in $8 million Ponzi Scheme

    Former Texas Financial Planner Facing Charges in $8 million Ponzi Scheme
    From the Desk of Jim Eccleston at Eccleston Law Offices: Charles D. Jones, a former financial adviser from Texas, was charged with stealing at least $8 million from his clients in a Ponzi-typeinvestment…
  • Jan 22

    Florida Based Investment Advisor Firm Is Charged in Ponzi Scheme

    Florida Based Investment Advisor Firm Is Charged in Ponzi Scheme
    From the Desk of Jim Eccleston at Eccleston Law Offices: The SEC has charged a Florida based investment advisor firm, Elm Tree Investment Advisors LLC, its founder Frederic Elm, and its private funds Elm…
  • Jan 21

    Wheat Ridge, Colorado Man Pleads Guilty to Orchestrating a $4.8 Million Ponzi Scheme

    Wheat Ridge, Colorado Man Pleads Guilty to Orchestrating a $4.8 Million Ponzi Scheme
    From the Desk of Jim Eccleston at Eccleston Law Offices: Perry Sawano pled guilty to swindling investors in a $4.8 million Ponzi scheme between 2007 and 2013. Sawano was accused of running the scheme…
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: 272

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Jan 28

    Our New “Form 8-K Handbook”

    Our New “Form 8-K Handbook”
    Spanking brand new. By popular demand, this comprehensive “Form 8-K Handbook” covers all you need to know about “real time” disclosures via Form 8-K (it’s now posted on our “Form 8-K” Practice Area).…
  • Jan 27

    Corp Fin: New CDI on Filing Non-Searchable Graphics & Image

    Corp Fin: New CDI on Filing Non-Searchable Graphics & Image
    One of the goals of Corp Fin’s “Disclosure Effectiveness” project is to modernize its filing framework, EDGAR. Not an easy thing to do, but it definitely could use a look. For example, use of multimedia in SEC filings poses…
  • Jan 26

    Proxy Access Punt: Glass Lewis’ New Policy on Counterproposal

    Proxy Access Punt: Glass Lewis’ New Policy on Counterproposal
    On Friday, Glass Lewis issued a statement about how it will treat proxy access shareholder proposals through this WSJ article. The article opens with: Proxy advisory firm Glass, Lewis & Co. is considering recommending shareholders vote…
Rank this Week: 287

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/
  • Jan 27

    The Continuing Fall-Out from the Second Circuit’s Insider Trading Decision in Newman

    The Continuing Fall-Out from the Second Circuit’s Insider Trading Decision in Newman
    Last week, a New York federal judge struck another blow to prosecutorial efforts to secure insider trading convictions in tipper-tippee cases. As discussed in detail here, the U.S. Attorney’s Office for the Southern District of New York…
  • Jan 21

    New House Bill Aims to Reduce Some Dodd-Frank Regulatory Burden

    New House Bill Aims to Reduce Some Dodd-Frank Regulatory Burden
    On January 24, 2015, the U.S. House of Representatives passed a bill that loosens certain Dodd-Frank requirements and reduces the scope of the SEC’s regulatory authority over certain private equity firms, small businesses, and emerging…
  • Jan 13

    Corporate Whistleblowing: Key Issues In Responding to Possible Violation

    Corporate Whistleblowing: Key Issues In Responding to Possible Violation
    The need to detect and investigate reported allegations of wrongdoing within a corporation has long been a fact of corporate life. In the last 15 years, however, a combination of circumstances has contributed to an explosion of activity in…
Rank this Week: 317

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/
  • Jan 28

    Investigation into Boston Capital Tax Credit Fund IV

    Investigation into Boston Capital Tax Credit Fund IV
    Have you suffered investment losses in Boston Capital Tax Credit Fund? If so, the securities attorneys of The White Law Group may be able to help you recover your losses by filing a FINRA Dispute Resolution claim against the brokerage firm…
  • Jan 28

    Recovery of United States Diesel-Heating Oil ETF Losse

    Recovery of United States Diesel-Heating Oil ETF Losse
    Have you suffered losses investing in United States Diesel-Heating Oil ETF?  If so, the securities attorneys of The White Law Group may be able to help you recover your losses in a FINRA arbitration claim against the brokerage firm…
  • Jan 28

    Recovery of United States Gasoline ETF Losse

    Recovery of United States Gasoline ETF Losse
    Have you suffered losses investing in United States Gasoline ETF?  If so, the securities attorneys of The White Law Group may be able to help you recover your losses in a FINRA arbitration claim against the brokerage firm that…
Rank this Week: 378

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/
  • Jan 28

    California AG Declares Whistleblower Tally A State Secret

    California AG Declares Whistleblower Tally A State Secret
    Since 2004, the California Attorney General has been required to maintain a whistleblower hotline to receive calls from persons who have information regarding possible violations of state or federal statutes, rules, or regulations, or…
  • Jan 27

    Victims Of Corporate Fraud Compensation Fund

    Victims Of Corporate Fraud Compensation Fund
    In the waning days of the 2001-2002 legislative session, then Assemblymember Kevin Shelley gutted and amended AB 55. As introduced, AB 55 would have amended the Elections Code. Instead, AB 55 became the vehicle for the enactment of the deeply…
  • Jan 26

    Commissioner Ponders Whether To Exempt Real Estate Brokers From Investment Adviser Registration

    Commissioner Ponders Whether To Exempt Real Estate Brokers From Investment Adviser Registration
    Last week, the Commissioner of Business Oversight issued an invitation for comment on whether to exempt real estate brokers from the investment adviser certification requirement under the Corporate Securities Law of 1968.  The exemption…
Rank this Week: 382

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: 461

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/
  • Jan 23

    TSX proposes additional listing exemptions for interlisted issuer

    TSX proposes additional listing exemptions for interlisted issuer
    Jonah Mann -  The Toronto Stock Exchange yesterday proposed amendments to its Company Manual that would adopt a broader deference model in respect of certain exchange requirements where an interlisted issuer is subject to the…
  • Jan 23

    Regulators adopt changes to CRM2 project

    Regulators adopt changes to CRM2 project
    Earlier this week, the Investment Industry Regulatory Organization of Canada announced that Phase 2 of its Client Relationship Model amendments (CRM2) have been approved by the applicable securities regulatory authorities and will come…
  • Jan 23

    CSA issue guidance on structured notes filing

    CSA issue guidance on structured notes filing
    The Canadian Securities Administrators yesterday issued a notice setting out the views of CSA staff concerning the offering of structured notes under the shelf prospectus system. Structured (or linked) notes are specified derivatives…
Rank this Week: 472

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: 500

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/
  • Jan 23

    A Couple Of Things To Know Before Bringing A Piercing The Corporate Veil Claim

    A Couple Of Things To Know Before Bringing A Piercing The Corporate Veil Claim
    You might remember the case of  Cold Springs Ventures, LLC v. Gilead Sciences, Inc..  Last year, Judge Jolly stayed an arbitration proceeding pending a ruling on a piercing the corporate veil claim.  If you are a reader of this…
  • Jan 16

    Reading Before Signing Is Advisable

    Reading Before Signing Is Advisable
    It's pretty basic that your clients should read the agreements that they sign before they sign them.  Or you should at least explain to your client the key provisions in what they are going to sign, if they are not going to read it. In…
  • Jan 6

    Do You Have To Be The Owner Of A Trade Secret To Sue For Misappropriation?

    Do You Have To Be The Owner Of A Trade Secret To Sue For Misappropriation?
    Can an exclusive licensee of a trade secret sue for its misappropriation?  Maybe, even though North Carolina's version of the Uniform Trade Secrets Protection Act reserves the right to sue to an "owner."  N.C. Gen. Stat.…
Rank this Week: 505

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/
  • Jan 26

    10 ETFs To Be Excited About In 2015

    10 ETFs To Be Excited About In 2015
    Investors were introduced to more than 180 new exchange-traded products in 2014, as well as a handful of ETF issuer newcomers.While the majority of new offerings offer more traditional investment objectives, there are a passel of funds that…
  • Jan 26

    Good News - FINRA Chief Says FINRA Won't Be Piling On.

    Good News - FINRA Chief Says FINRA Won't Be Piling On.
    In discussing the state of FINRA enforcement's activities, FINRA Enforcement Director Brad Bennett said he will not pursue a violator if the Securities and Exchange Commission or state regulators are going after the same individuals and…
  • Jan 22

    Investor Alert - Owen Li crashes Canarsie Capital in New York

    Investor Alert - Owen Li crashes Canarsie Capital in New York
    Owen Li, the manager of Canarsie Capital has apparently lost nearly 100 million dollars in what he calls overzealous investments, which caused devastating losses.Fund managers who invest the funds assets in an inappropriate manner are liable…
Rank this Week: 511

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
  • Jan 26

    WHITE HOUSE TAKING NOTICE OF FINACIAL ADVISORS COSTING WORKERS BILLIONS IN RETIREMENT SAVINGS

    WHITE HOUSE TAKING NOTICE OF FINACIAL ADVISORS COSTING WORKERS BILLIONS IN RETIREMENT SAVINGS
    A top economic adviser under President Obama is calling for stricter rules on Wall Street after finding some bad broker practices costing investors $8 billion to $17 billion a year. Chairman of President Obama’s Council of Economic…
  • Jan 23

    WHAT HAPPENS WHEN YOUR BROKERS AGE CATCHES UP WITH THEM?

    WHAT HAPPENS WHEN YOUR BROKERS AGE CATCHES UP WITH THEM?
    Just like an average person who ages, an older financial adviser is more likely to show signs of aging. Red flags that a financial adviser might be suffering from senior moments: forgetfulness, a tendency to repeat things, a disregard for…
  • Jan 20

    SEC Compliance Inspections and Examinations Office Released Examination Priorities for 2015

    SEC Compliance Inspections and Examinations Office Released Examination Priorities for 2015
    The Examination priorities for 2015 address issues across a variety of financial institutions, including investment advisers, investment companies, broker-dealers, transfer agents, clearing agencies, and national securities exchanges. …
Rank this Week: 565

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/
  • Jan 28

    Webcast: “Proxy Solicitation Tactics in M&A”

    Webcast: “Proxy Solicitation Tactics in M&A”
    Tune in tomorrow for the webcast – “Proxy Solicitation Tactics in M&A” – to hear Okapi Partners’ Chuck Garske, Alliance Advisors’ Waheed Hassan, Managing Director and Innisfree’s Scott Winter…
  • Jan 26

    Corp Fin’s No-Action Relief: 5-Business Day Debt Tender Offers Allowed

    Corp Fin’s No-Action Relief: 5-Business Day Debt Tender Offers Allowed
    On Friday, Corp Fin’s Office of Mergers & Acquisitions issued a no-action response as fleshed out by this Gibson Dunn blog by Jim Moloney & Andrew Fabens (we’re posting memos about this in our “Tender Offers”…
  • Jan 22

    M&A Retention Plans: Market Trends & Best Practice

    M&A Retention Plans: Market Trends & Best Practice
    Here’s an excerpt from this recent Towers Watson memo from Scott Oberstaedt and Mary Chico: When we dissected the responses to identify retention plan design features and practices that were most effective in enhancing retention,…
Rank this Week: 581

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 Lawyer  Securities Lawyer 101 Blog Going public is a big step for any company.  The process of “going public” is complex and at times precarious.  While going public offers many benefits it also comes…
  • Jan 1

    Going Public Blog l Securities Lawyer 101

    Going Public Blog l Securities Lawyer 101
      Securities Lawyer 101 Blog Going public is a big step for any company.  The process of “going public” is complex and at times precarious.  While going public offers many benefits it also comes with risks and…
Rank this Week: 676

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/
  • Jan 28

    Women in Businesses: Where Do We Stand According to the UN Report?

    Women in Businesses: Where Do We Stand According to the UN Report?
    Though they run 30 % of it, women in businesses are noticeably absent at the top of the world’s largest corporations. In fact, women in businesses represent just five percent of the chief operating officers, according to a new report by…
  • Jan 26

    Affidavit of Merit in Negligence Suit Must Be From Like-Licensed Professional

    Affidavit of Merit in Negligence Suit Must Be From Like-Licensed Professional
    The Appellate Division recently held that New Jersey’s Affidavit of Merit (AOM) statute requires a supporting AOM from a “like-licensed” professional in all malpractice or negligence cases within the scope of the statute.…
  • Jan 23

    Eat More Kale Trademark Dispute Is A David vs. Goliath Situation

    Eat More Kale Trademark Dispute Is A David vs. Goliath Situation
    The battle over the Eat More Kale trademark appears to be over. After a much-publicized dispute with fast-food company Chick-fil-A, a Vermont small business owner can now take the final steps to perfect his federal trademark. The trademark…
Rank this Week: 788

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

http://www.hedgefundlawblog.com
  • Jan 5

    Cole-Frieman & Mallon LLP 2014 Fourth Quarter Update

    Cole-Frieman & Mallon LLP 2014 Fourth Quarter Update
    www.colefrieman.com December 29, 2014 Clients, Friends, Associates: December is the busiest month of the year for most private fund managers. In addition to end of year administrative upkeep, the regulatory landscape has shifted dramatically…
  • Dec 4

    Hedge Fund Events December 2014

    Hedge Fund Events December 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: December 3, 2014 Sponsor: Morgan Stanley Event: Dive into New Portfolio Strategies Location: New…
  • Nov 11

    3rd Annual Alternative Investments Summit – November 20th

    3rd Annual Alternative Investments Summit – November 20th
    Please see below information on the Seattle Investment Association event on November 20th. **** The Seattle Alternative Investment Association, together with the CFA Society of Seattle, invites you to join us on November 20th, 2014 for the…
Rank this Week: 809

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/
  • Dec 5

    FINRA Increases Arbitrator Pay- Passes Costs to Partie

    FINRA Increases Arbitrator Pay- Passes Costs to Partie
    According to Regulatory Notice 14-49 (“RN 14-49”) issued by the Financial Industry Regulatory Authority (“FINRA”), FINRA is increasing the pay for arbitrators assigned to hear FINRA cases and passing the costs of the…
  • Nov 20

    Former Florida Broker Permanently Barred for Alleged Theft

    Former Florida Broker Permanently Barred for Alleged Theft
    According to his BrokerCheck Report, Jeffrey Brian Grove of Melbourne, Florida has been permanently barred from the financial services industry by the Financial Industry Regulatory Authority (“FINRA”).   According to…
  • Oct 16

    SEC Approves Rule to Help Non-Traded REIT Investor

    SEC Approves Rule to Help Non-Traded REIT Investor
    The Securities and Exchange Commission has approved the Financial Industry Regulatory Authority’s (“FINRA”) proposed revisions to NASD Rule 2340 regarding per share estimated valuations of unlisted REITs held by…
Rank this Week: 823

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: 865

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

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

    Domestic Statu

    Domestic Statu
    Under the Morrison test for extraterritoriality, a Section 10(b) claim for securities fraud may only be brought if the transaction involved “the purchase or sale of a security listed on an American stock exchange” or “the…
  • Jan 15

    That Escalated Quickly

    That Escalated Quickly
    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 required…
  • Dec 31

    The Circumstances of Fraud

    The Circumstances of Fraud
    Federal Rule of Civil Procedure 9(b) states that “[i]n alleging fraud or mistake, a party must state with particularity the circumstances  fraud or mistake.”  Whether FRCP 9(b) applies to the…
Rank this Week: 909

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/
  • Jan 20

    Comment by Feb. 16 on proposed uniform state model rule for M&A broker

    Comment by Feb. 16 on proposed uniform state model rule for M&A broker
    The Broker-Dealer Section of the North American Securities Administrators Association is seeking comments no later than Feb. 16, 2015, on a proposed uniform state model rule exempting certain merger and acquisition brokers from registration…
  • Dec 29

    Bill governing M&A brokers should resurface in 2015

    Bill governing M&A brokers should resurface in 2015
    During 2014, Congress has gained momentum toward creating an exemption from federal broker-dealer registration for “M&A brokers” who facilitate mergers, acquisitions, sales and similar transactions involving privately held…
  • Dec 3

    A compliance problem truly “Made in the USA”

    A compliance problem truly “Made in the USA”
    Following the expiration of a public comment period last week, the ink is now dry on the Federal Trade Commission’s consent decree against Made in USA Brand, LLC, settling charges that the Columbus, Ohio-based company sold its…
Rank this Week: 1045

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: 1050

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/
  • Jan 23

    Former Canadian Broker’s Securities Fraud Conviction Involving U.S. Transactions is Upheld

    Former Canadian Broker’s Securities Fraud Conviction Involving U.S. Transactions is Upheld
    The United States Court of Appeals for the Third Circuit has upheld the securities fraud conviction of George Georgiou. The ex-Canadian broker was convicted of U.S. stock manipulation involving brokerage accounts in his native country and…
  • Jan 21

    Standard & Poor’s to Pay Almost $80 Million to Resolve SEC Charges Over Ratings Fraud Involving CMBS

    Standard & Poor’s to Pay Almost $80 Million to Resolve SEC Charges Over Ratings Fraud Involving CMBS
    Standard & Poor’s has agreed to settle U.S. Securities and Exchange Commission charges accusing the credit rating agency of fraudulent misconduct when rating certain commercial mortgage-backed securities. As part of the settlement,…
  • Jan 16

    MetLife Sues Regulators Over Systemic-Risk Designation

    MetLife Sues Regulators Over Systemic-Risk Designation
    MetLife Inc. (MET) has filed a lawsuit seeking to overturn a U.S. finding that forces the insurer to be subject tougher oversight under the Dodd-Frank Act. This case is the first challenge of its kind by a non-bank financial firm. MetLife,…
Rank this Week: 1133

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

http://www.seclawyersblog.com/
  • Jan 23

    Sonn|Erez Investigating Claims Involving Arque Capital, Ltd., and GWG Renewable Debenture

    Sonn|Erez Investigating Claims Involving Arque Capital, Ltd., and GWG Renewable Debenture
    Sonn|Erez is investigating claims regarding Arque Capital, Ltd. (CRD #121192, Scottsdale, AZ) and sales of GWG Renewable Debentures. Arque Capital recently submitted an AWC in which the firm was censured and fined $50,000. See FINRA Case…
  • Jan 21

    SEC Charges Elm Tree Investment Adviser and Manager in Fort Lauderdale, Florida-Based Fraud

    SEC Charges Elm Tree Investment Adviser and Manager in Fort Lauderdale, Florida-Based Fraud
    The Securities and Exchange Commission today announced fraud charges and an asset freeze against Fort Lauderdale, Florida-based investment advisory firm, its manager, and three related funds in a scheme that raised more than $17 million since…
  • Jan 19

    FINRA Cautions Investors Regarding E-Cigarette Stock Scam

    FINRA Cautions Investors Regarding E-Cigarette Stock Scam
    FINRA recently issued an Investor Alert, "E-Cigarette Stock Scams: New Smoking Technology Could Light Up Pump-and-Dump Fraud." In the Alert, FINRA warns investors of aggressive promotions advertising stocks that allegedly capitalize on the…
Rank this Week: 1143

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/
  • 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...
  • Dec 9

    SEC Sanctions Audit Firm

    SEC Sanctions Audit Firm
    The SEC announced settled administrative proceedings against eight audit firms for alleged violations of the auditor independence rules in connection with audits of broker-dealers. According to the SEC's press release, in agreeing to settle…
Rank this Week: 1149

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: 1235

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: 1243

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: 1249

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • Jan 7

    Arbitration's Cancer – The Systemic Bias Created by the Co-existence of Paid Arbitrators, Arbitrator Strikes, and Award Historie

    Arbitration's Cancer – The Systemic Bias Created by the Co-existence of Paid Arbitrators, Arbitrator Strikes, and Award Historie
    One of the cornerstones of the rules of judicial ethics is that bias is to be avoided or ferreted out.  The intolerance for bias in our judiciary is not limited to overt bias.  Indeed, it has been said: “because bias is so…
  • Dec 16

    Are You Stuck in a REIT?

    Are You Stuck in a REIT?
    Realty Capital Securities, LLC (RCS) is a Boston-based unit of American Realty Capital (ARC).  According to its website, ARC is a “full service investment advisory firm sponsoring a series of investment programs with an emphasis on…
  • Nov 30

    What Will be on the SEC’s 2015 Exam Priorities for Investment Advisers?

    What Will be on the SEC’s 2015 Exam Priorities for Investment Advisers?
    Each January, The SEC’s National Exam Program (“NEP”) issues examination priorities for the year ahead.  The priorities are based upon the SEC’s evaluation of those areas in the financial markets that it believes…
Rank this Week: 1289

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • Jan 21

    What Is Big Brother Focused On In 2015

    What Is Big Brother Focused On In 2015
    It is that time of year again.  The SEC Office of Compliance and Inspection (OCIE) has announced its examination priorities for 2015.  Knowing what these priorities are will help firms gauge their compliance and supervision efforts…
  • Jan 20

    Why You Need To Think Twice About That New Hire

    Why You Need To Think Twice About That New Hire
    Starting July 1, member firms are required to have written procedures to verify the accuracy and completeness of the information in a registered representative’s U-4 within 30 days of the U-4 being filed with FINRA.  The question…
  • Dec 23

    Whistleblower Tips Continue to Rise in 2014

    Whistleblower Tips Continue to Rise in 2014
    The number of whistleblower tips to the Securities and Exchange Commission (SEC) continues to rise, according to the SEC’s 2014 Annual Report to Congress on the Dodd-Frank Whistleblower Program.  In the November 17, 2014 report,…
Rank this Week: 1308

Sharesleuth.com

Sharesleuth.com

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

http://sharesleuth.com/
  • 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…
  • 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…
Rank this Week: 1336

Startup Law Blog

Startup Law Blog

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

http://www.startuplawblog.com/
  • 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…
  • Nov 4

    Crowdfunding Industry Panel

    Crowdfunding Industry Panel
    Earlier this year Governor Jay Inslee signed HB 2023 into law making equity Crowdfunding legal in Washington State and giving startups an innovative new way to raise funds. Under the bipartisan measure, a Washington business could raise up to…
Rank this Week: 1372

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
  • Jan 23

    Wells Fargo Associate Duped By Email Scam

    Wells Fargo Associate Duped By Email Scam
    Another day and another email disaster at another major FINRA member firm. In the end, however, the customer is made a whole -- but the registered person is made a bit less than whole by a fine and suspension.  Some good lessons embedded…
  • Jan 23

    EMPLOYMENT TUESDAY at BrokeAndBroker.com

    EMPLOYMENT TUESDAY at BrokeAndBroker.com
    Seems to me that Wall Street is quite a bit like weather forecasts. Take today, for example -- in NYC, we were supposed to awake to Snowmageddon with close to three feet of snow and a howlin' storm. There wasn't much doubt according to all…
  • Jan 21

    SEC Sings You're Gonna Have To Serve Somebody With A Proper Brief

    SEC Sings You're Gonna Have To Serve Somebody With A Proper Brief
    Imagine that you're broke and can't afford a fabulous but high-priced regulatory lawyer like me and you need to submit a brief in response to some absolutely outrageous allegations made against you by the Securities and Exchange Commission…
Rank this Week: 1454

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: 1671

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: 1706

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: 1729

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: 1774

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: 1868

InvestorLawyers.net

InvestorLawyers.net

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

http://www.investorlawyers.net/blog/
Rank this Week: 1925