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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…
  • Feb 26

    George Theodule Sentenced to 150 Month

    George Theodule Sentenced to 150 Month
    On February 26, 2014, the FBI announced George Louis Theodule, 52, a former resident of Wellington, Florida was sentenced to 150 months in prison, to be followed by three years of supervised release. Theodule previously pled guilty to wire…
  • Feb 26

    SEC Charges Arizona-Based Equity Fund l Securities Lawyer 101

    SEC Charges Arizona-Based Equity Fund l Securities Lawyer 101
    Securities Lawyer 101 Blog On February 26, 2014, the Securities and Exchange Commission (the “SEC”) announced charges against an Arizona-based private equity fund manager and his investment advisory firm for…
Rank this Week: 10

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 28

    Seattle Broker Pleads Guilty to Ponzi Scheme

    Seattle Broker Pleads Guilty to Ponzi Scheme
    From the Desk of Jim Eccleston at Eccleston Law Offices: Dennis Daugs Jr., who was the managing director of a Seattle advisory firm, Lakeside Capital Management, used assets from the portfolio of a senior citizen client to…
  • Jul 23

    Former Broker Barred from Security Industry Due to Sale of Alternative Investment

    Former Broker Barred from Security Industry Due to Sale of Alternative Investment
    From the Desk of Jim Eccleston at Eccleston Law Offices: Robert Christian Acri, a broker formerly with World Equity Group Inc., was barred from the securities industry. Acri allegedly was involved in the sale of…
  • Jul 21

    Ex-Broker from Transamerica Financial Barred from Securities Industry Amidst Forgery Allegation

    Ex-Broker from Transamerica Financial Barred from Securities Industry Amidst Forgery Allegation
    From the Desk of Jim Eccleston at Eccleston Law Offices: Daniel Howard Glick, a former broker from Transamerica Financial Advisors, Inc., was barred from the securities industry by FINRA for…
Rank this Week: 134

The Race to the Bottom

The Race to the Bottom

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

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

    Market Structure Reform and the SEC (Part 2)

    Market Structure Reform and the SEC (Part 2)
    Professor Coffee, in his piece in the Columbia CLS Blue Sky Blog, High Frequency Trading Reform: The Short Term and the Longer Term, raises structural concerns with the market and asserts that the SEC has been slow to implement…
  • Jul 25

    Records Requests and the Caremark Standard At Issue in Delaware

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

    Market Structure Reform and the SEC (Part 1)

    Market Structure Reform and the SEC (Part 1)
    John Coffee has an interesting piece on the Columbia CLS Blue Sky Blog, High Frequency Trading Reform: The Short Term and the Longer Term.   The article highlights two cases, one brought by (but yet to be resolved) N.Y.…
Rank this Week: 132

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: 123

Business Blog

Business Blog

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

http://www.businesslawnews.com/
  • Jul 28

    LGBT Workers Gain Rights Under Presidential Executive Order

    LGBT Workers Gain Rights Under Presidential Executive Order
    Studies show that more than 40 percent of lesbian, gay, and bisexual workers have suffered employment discrimination due to their sexual orientation. Moreover, 90 percent of transgender employees have experienced harassment, mistreatment, or…
  • Jul 25

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

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

    Should You Be Protecting Your Business Emails from Prying Eyes?

    Should You Be Protecting Your Business Emails from Prying Eyes?
    Would you send an important communication on a postcard? For most businesses, the answer is likely no. Yet companies send unsecured business emails every day, which share many of the same characteristics as postcards. These messages can be…
Rank this Week: 184

The White Law Group's Securities…

The White Law Group's Securities Fraud Blog

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

http://www.whitesecuritieslaw.com/securities-fraud/blog/
  • Jul 24

    Raymond James Lawsuit Against Former Employee

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

    Broker Runs $6 million Hedge Fund

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

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

    New Jersey Broker Allegedly Diverts $900,000 to Personal Bank Account
    Did you suffer investment losses as a result of your dealings with former New Jersey broker, John Montague? If so, The White Law Group may be able to help recoup some of your investment losses. According to a press release from the U.S.…
Rank this Week: 230

Securities Law Prof Blog

Securities Law Prof Blog

Covers securities arbitration, state securities law, court decisions and law review articles. By Eric C. Chaffee.

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

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

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

    Rapp on SOX and Dodd-Frank

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

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

    Wang & Sallehu on Available-for-Sale Securities of US Bank
    Richard Zhe Wang and Menghistu Sallehu have posted The Hidden Message in AFS Securities of US Banks on SSRN with the following abstract: We examine US banks’ use of available-for-sale (“AFS”) securities to smooth their earnings during…
Rank this Week: 216

Florida Securities Fraud Lawyer…

Florida Securities Fraud Lawyer Blog

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

http://www.floridasecuritiesfraudlawyerblog.com/
Rank this Week: 204

William Carleton, Counselor @ Law

William Carleton, Counselor @ Law

Covers legal and investment issues facing emerging tech companies.

http://www.wac6.com/wac6/
  • Jun 25

    Where I've been

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

    The world is not totally fucked up: Exhibit A

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

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

    If it ain't broke, don't fix it
    Time again to safeguard the current accredited investor standard.
Rank this Week: 280

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: 324

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • Jul 28

    Are SEC Defense Lawyers the Problem?

    Are SEC Defense Lawyers the Problem?
    The SEC’s Enforcement Division has expressed concerns to the SEC’s General Counsel about defense lawyers possibly obstructing agency investigations – a practice that could lead to disciplinary proceedings. The Sarbanes-Oxley…
  • Jul 25

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

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

    Court Remands Dispute Over Expungement of CRD Data

    Court Remands Dispute Over Expungement of CRD Data
    The U.S. District Court for the Central District of California remanded to a California state court a stockbroker’s lawsuit against the Financial Industry Regulatory Authority for expungement of certain allegedly harmful disclosures…
Rank this Week: 375

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
Rank this Week: 348

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
Rank this Week: 362

Corporate Securities Law Blog

Corporate Securities Law Blog

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

http://www.corporatesecuritieslawblog.com/
  • Jul 22

    Delaware Court of Chancery Rejects Indemnification Sleight of Hand

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

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

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

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

    Second Circuit Overturns District Court’s Rejection of SEC-Citigroup Fraud Settlement
    In a closely-watched decision involving judicial review of agency settlements, the Unites States Court of Appeals for the Second Circuit vacated United States District Court Judge Jed Rakoff’s 2011 order rejecting a proposed $285…
Rank this Week: 353

Institutional Investor Securities…

Institutional Investor Securities Blog

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

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

    Wells Fargo Reaches $591 Million Mortgage Deal with Fannie Mae

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

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

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

    Barclays and Deutsche Bank Under Scrutiny Over Barrier Options Transaction

    Barclays and Deutsche Bank Under Scrutiny Over Barrier Options Transaction
    The U.S. Senate Permanent Subcommittee on Investigations plans to conduct a hearing over what it believes are abusive transactions made by financial institutions. Bloomberg is reporting that Deutsche Bank AG (DBK), Barclays PLC (BARC), and…
Rank this Week: 736

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
Rank this Week: 850

Representing Investors

Representing Investors

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

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

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

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

    Nontraded Real-Estate Investments mean Risky Busine

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

    Attorney Mark Maddox named to FINRA’s Arbitrartion Task Force

    Attorney Mark Maddox named to FINRA’s Arbitrartion Task Force
    We are proud to share that Attorney Mark Maddox will be part of FINRA’s new arbitration task force. Click this link for details: http://www.finra.org/Newsroom/NewsReleases/2014/P554192The post Attorney Mark Maddox named to FINRA’s…
Rank this Week: 629

Stock Attorneys Blog

Stock Attorneys Blog

Covers FINRA arbitration, securities litigation, and stockbroker misconduct. By Blum Law Group.

http://www.stockattorneysblog.com/
  • Jul 15

    Oppenheimer Advisor Targets Elderly Widow

    Oppenheimer Advisor Targets Elderly Widow
    With trillions of dollars being manipulated by investment advisors and brokerage firms on a daily or even hourly basis, the magnitude of the influence of financial markets on world economies is nearly incomprehensible. Every developed country…
  • Jul 1

    Barred Investment Advisor Swindles Clients for Nearly $9 Million

    Barred Investment Advisor Swindles Clients for Nearly $9 Million
    Whether it’s stocks, bonds, futures, derivatives, or any other type of security, the process of investing can be quite lucrative. The number of people who have become millionaires as a result their investment practices is incalculable,…
  • Jun 24

    UBS Continues to Face Controversy over Puerto Rico Muni Bond

    UBS Continues to Face Controversy over Puerto Rico Muni Bond
    $5 Million Class Action Just One More Headache for Embattled UBS It is certainly not uncommon to hear about the mishandling of investors’ funds by investment firms. Fraud, whether is it through omission of critical information or…
Rank this Week: 606

Strictly Business

Strictly Business

Covers business law for entrepreneurs, emerging companies and the investment management industry. By Alexander J. Davie.

http://www.strictlybusinesslawblog.com/
  • Jul 7

    Venture Capital Term Sheet Negotiation — Part 12: Preemptive Right

    Venture Capital Term Sheet Negotiation — Part 12: Preemptive Right
    This post is the twelfth in a series giving practical advice to startups with respect to understanding and negotiating a venture capital term sheet. In the prior eleven posts, we provided an introduction to negotiation of…
  • Jun 30

    Is it time for the JOBS Act, Part Two?

    Is it time for the JOBS Act, Part Two?
    When the JOBS Act was passed, a lot of people hoped that it would de-regulate startup finance, resulting in a boom of new startups being funded.  Through repealing the ban on general solicitation, allowing online angel investment…
  • Jun 29

    Venture Capital Term Sheet Negotiation — Part 11: Management and Information Right

    Venture Capital Term Sheet Negotiation — Part 11: Management and Information Right
    This post is the eleventh in a series giving practical advice to startups with respect to understanding and negotiating a venture capital term sheet. In the prior ten posts, we provided an introduction to negotiation of the term…
Rank this Week: 607

InvestorLawyers.net

InvestorLawyers.net

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

http://www.investorlawyers.net/blog/
  • Jun 23

    Investor Files FINRA Arbitration Claim Against First Allied Regarding Private Equitie

    Investor Files FINRA Arbitration Claim Against First Allied Regarding Private Equitie
    Stockbroker arbitration lawyers are looking into accusations made against First Allied Securities, Inc. and broker Rami Yahalom regarding risky investments in AE Luxtera Investments II, LLC, a private technology start-up company. According to…
  • Jun 18

    FINRA Bars Wade James Lawrence from Financial Industry

    FINRA Bars Wade James Lawrence from Financial Industry
    Recently, Wade James Lawrence was barred from the financial industry by the Financial Industry Regulatory Authority (FINRA). Investors’ rights lawyers are exploring accusations made against Lawrence regarding misappropriation of funds…
  • Jun 16

    Ameriprise Told to Pay $1.17 Million to Elderly Couple after Unsuitable Real Estate Investment

    Ameriprise Told to Pay $1.17 Million to Elderly Couple after Unsuitable Real Estate Investment
    Investors’ rights lawyers are advising senior investors to stay alert when looking at potential investment opportunities.  Recently,  a Financial Industry Regulatory Authority (FINRA) panel entered an arbitration award in…
Rank this Week: 825

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: 755

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: 591

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

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

    Document-Comparison Etiquette: A Lively “Redlining” Dialogue

    Document-Comparison Etiquette: A Lively “Redlining” Dialogue
    The numerous comments after this short “Adams Drafting” blog about high-stakes redlining practices is a dialogue that only a lawyer could love. Check it out. You can tell I’ve been “banking” this particular blog…
  • Jul 25

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

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

    Charts: Intrastate Crowdfunding Exemption

    Charts: Intrastate Crowdfunding Exemption
    As the result of a collaborative effort between Ginsberg Jacobs’ Anthony Zeoli, Crowdcheck and Seyfarth Shaw’s Georgia Quinn, here is a comparative summary chart where you can go to compare all of the enacted instrastate…
Rank this Week: 1424

California Corporate & Securities…

California Corporate & Securities Law

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

http://calcorporatelaw.com/
Rank this Week: 899

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

http://www.seclawyersblog.com/
Rank this Week: 1175

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Jul 25

    Fitapelli Kurta files complaint against Mark Lisser and Global Arena Capital Corp.

    Fitapelli Kurta files complaint against Mark Lisser and Global Arena Capital Corp.
    Fitapelli Kurta recently filed a complaint against Global Arena Capital Corp. and Mark Lisser on behalf of an elderly and terminally ill Delaware pastor and his wife, who teaches bible classes at the local church.  The claims stem from…
  • Jul 22

    Broker Richard Lewis Suspended for Complaints of Unauthorized Trading

    Broker Richard Lewis Suspended for Complaints of Unauthorized Trading
    The investment fraud attorneys at Fitapelli Kurta are investigating claims involving Richard Lewis.   He is also known as Rick Lewis.  Richard, or Rick, Lewis is currently employed with J.W. Cole Financial, Inc. but was previously…
  • Jul 21

    REIT Investigation: Strategic Realty Trust, Inc. (Formerly TNP Strategic Realty Trust)

    REIT Investigation: Strategic Realty Trust, Inc. (Formerly TNP Strategic Realty Trust)
    Fitapelli Kurta is investigating claims on behalf of investors of Strategic Realty Trust, Inc., formerly known as the TNP Strategic Realty Trust Inc.  Strategic Realty Trust (TNP Strategic Realty Trust) is a non-traded REIT, which means…
Rank this Week: 1413

Ponzitracker

Ponzitracker

Covers Ponzi schemes. By Jordan Maglich.

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

    Second Florida Cop Sentenced For Rothstein Tie

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

    TelexFree Founders Indicted On Fraud Charge

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

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

    Florida Cop Gets 5-Year Sentence For Rothstein Ties, Including Illegal Arrest
    "Mr. Benjamin, while wearing the cloak of BSO authority, engineered the arrest and incarceration of an innocent citizen.  This was done purely for financial gain. This conduct is deplorable — it is unconscionable." - U.S. District…
Rank this Week: 1541

Federal Securities Law Blog

Federal Securities Law Blog

FedSecLaw.com is devoted to highlighting current issues in securities laws, discussing the ramifications of those issues for today’s businesses, and providing bottom-line takeaways for busy owners, managers, and executives. By Porter Wright Morris & Arthur LLP.

http://www.fedseclaw.com/
  • Jul 24

    SEC adopts money market fund reform

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

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

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

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

    Citigroup’s $7 billion settlement allows them to “focus on the future”
    By W. Kelly Johnson U.S. Attorney General Eric Holder and Citigroup announced today that Citigroup will pay $7 billion to settle a U.S. Department of Justice (DOJ) investigation into allegations that it defrauded investors by selling shoddy…
Rank this Week: 1428

Canadian Securities Law Online

Canadian Securities Law Online

Covers Canadian securities law topics, including disclosures, corporate governance, mergers, registration and compliance. By Stikeman Elliott.

http://www.canadiansecuritieslaw.com/
  • Jul 22

    MFDA publishes guidance on use of investor questionnaire

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

    CSA intend to publish national rule for clearing agencie

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

    CSA adopt changes to auditor oversight rule

    CSA adopt changes to auditor oversight rule
    The Canadian Securities Administrators yesterday released changes to auditor oversight rules designed to enhance the integrity of financial reporting by reporting issuers by repealing and replacing National Instrument 52-108 Auditor…
Rank this Week: 1055

White Collar Fraud

White Collar Fraud

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

http://whitecollarfraud.blogspot.com/
  • Jul 22

    Do Nu Skin Inventory Red Flags Spell Trouble Ahead?

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

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

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

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

    A Felon’s View of White-Collar Crime - Why Society is Very Vulnerable to Fraud
    White-collar crime is more brutal than violent crime. The actions of one or a few corrupt public officials and corrupt businessmen can affect the livelihoods of thousands, even millions of people. Fraudsters use a combination of persuasion…
Rank this Week: 1484

Stock Broker Attorney Blog

Stock Broker Attorney Blog

Covers current investigations, opinions and industry news relating to securities arbitration, investment fraud, stockbroker or brokerage firm misconduct. By Levin Papantonio Thomas Mitchell Rafferty & Proctor, P.A.

http://www.stockbrokerattorney.com/blog
  • Jul 21

    Bond Prices Plummet for Puerto Rico Power Authority

    Bond Prices Plummet for Puerto Rico Power Authority
    Puerto Rico's power authority bonds dropped from trading at around 55 cents on the dollar to 45 cents on the dollar by the end of June as investors worry about the agency's inability to pay off its bonds and bank loans. The power authority is…
  • Jul 16

    Disciplinary Action Against BlackRock Advisors Recommended by SEC

    Disciplinary Action Against BlackRock Advisors Recommended by SEC
    The Securities and Exchange Commission (SEC) has recommend disciplinary action for possible securities violations, including the failure to disclose conflicts of interest, by BlackRock Advisors.
  • Jul 13

    FINRA seeks to narrow public arbitrator definition

    FINRA seeks to narrow public arbitrator definition
    In an effort to tighten the rules for resolving investor disputes in arbitration, the Financial Industry Regulatory Authority (FINRA) has proposed a rule to narrow the definition of public arbitrator. Currently, there are 3,555 public…
Rank this Week: 1328

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: 1142

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: 1146

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: 1493

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: 1659

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

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

    Defamation v. Tortious Interference

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

    Defamation Reputation Damage Management

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

    Missouri Supreme Court Rejects Trade Secret Claim Over Client List

    Missouri Supreme Court Rejects Trade Secret Claim Over Client List
    Troy Kennedy (Kennedy”) left his position as director and executive officer of a trust and investment company when that company was bought by Central Trust & Investment Company (“CTI”). Kennedy left to found a competing…
Rank this Week: 1107

Corporate Finance & Securities Law…

Corporate Finance & Securities Law Blog

Covers mergers and acquisitions, private to public transactions, public company disclosure, regulatory defense, and other financial issues. By The Lebrecht Group.

http://www.thelebrechtgroup.com/blog/
  • Jul 11

    SEC Allows Solicitation in Private Offering

    SEC Allows Solicitation in Private Offering
    At long last, the SEC has approved general solicitation in 506 offerings.  I have previously blogged on the subject here and here. It seems each stakeholder group is claiming it as their own victory.  Hedge funds, crowdfunders,…
  • Jun 19

    Sponsored Research. When Is It Independent?

    Sponsored Research. When Is It Independent?
    This week, Fox Business News contributor Tobin Smith was terminated because he violated their policy that “no contributor to FBN [Fox Business Network], nor his/her firm, and/or family members are allowed to accept financial…
  • Jun 6

    When Is It a Good Strategy To Lie to the SEC?

    When Is It a Good Strategy To Lie to the SEC?
    This, of course, is a misleading question.  The answer is never.  In case you need some law to back up that conclusion, take a look at the recent case of Robert J. Vitale.  Mr. Vitale was the subject of an SEC enforcement…
Rank this Week: 1329

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: 1283

White Collar Wire

White Collar Wire

Covers news, cases, judicial opinions, practical tips and scholarly work regarding white-collar criminal and civil enforcement, grand jury investigations and regulatory compliance. By Jackson R. Sharman, III.

http://jacksharman.com/
  • Jul 28

    “Compensation” | Paul Laurence Dunbar

    “Compensation” | Paul Laurence Dunbar
    Compensation is a matter dear to lawyers’ hearts, white-collar and otherwise.  Here’s a poem (via www.poets.org) by Paul Laurence Dunbar: Compensation Because I had loved so deeply, Because I had loved so long, God in His…
  • Jul 25

    “Appellate Jurisdiction” | Marianne Moore (1887-1972)

    “Appellate Jurisdiction” | Marianne Moore (1887-1972)
    For pondering our appeals of all sorts.   Appellate Jurisdiction by Marianne Moore Fragments of sin are a part of me. New brooms shall sweep clean the heart of me.       Shall they? Shall they? When this light life shall…
  • Jul 11

    It’s Okay To Smell A Rat: Internal Investigations, Attorney-Client Privilege and the KBR Decision

    It’s Okay To Smell A Rat: Internal Investigations, Attorney-Client Privilege and the KBR Decision
    Post-recession, we are living through an era of regulators’ grimaces and prosecutors’ giddiness. Editorialists and bloggers want business scalps, especially scalps of individuals (as opposed to simple monetary fines for…
Rank this Week: 1930

Securities Law Blog

Securities Law Blog

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

http://seclaw.blogspot.com/
Rank this Week: 2608

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

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

    Too Tangential

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

    Doubling Down

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

    Comparing Lychee

    Comparing Lychee
    Securities class actions brought against China-based companies often allege discrepancies between the company's Chinese regulatory filings and SEC filings. In that type of case, the plaintiff must allege at least some facts to support that…
Rank this Week: 2625

Securities Law Blog

Securities Law Blog

News and comments on securities law. By The Frankowski Firm, LLC

http://www.securitieslaw-blog.com/
  • Jul 25

    Staten Island Broker To Pay $1.3M For Scam

    Staten Island Broker To Pay $1.3M For Scam
    Wayne Burmaster, a broker from Staten Island, New York, will pay $1.3 million in disgorgement to the SEC for selling unregistered penny stock. Burmaster, together with his partner Edward Hayter, sold unregistered shares to investors. Further,…
  • Jul 24

    SEC Approves FINRA Rule To Limit Expungement

    SEC Approves FINRA Rule To Limit Expungement
    The SEC approved a new FINRA rule that will make it hard for brokers to delete customer complaints from their records in arbitration cases. Rule 2081 will prevent brokers from making settlements with customers requiring the claimant to accept…
  • Jul 24

    SEC Approves FINRA Rule To Limit Expungement

    SEC Approves FINRA Rule To Limit Expungement
    The SEC approved a new FINRA rule that will make it hard for brokers to delete customer complaints from their records in arbitration cases. Rule 2081 will prevent brokers from making settlements with customers requiring the claimant to accept…
Rank this Week: 2442

Subject to Inquiry

Subject to Inquiry

Looks at white collar, congressional, SEC, energy enforcement and other government inquiries. By McGuireWoods.

http://www.subjecttoinquiry.com/
Rank this Week: 1915

DealLawyers.com Blog

DealLawyers.com Blog

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

http://www.deallawyers.com/Blog/
  • Jul 25

    Sample Reps & Warranties: Conflict Mineral

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

    Examples of Social Media in M&A Transaction

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

    Exclusive Forum Bylaws: California State Court Follows Delaware

    Exclusive Forum Bylaws: California State Court Follows Delaware
    Here’s news excerpted from this Ropes & Gray newsletter: State and federal courts in California have gone different directions on whether to follow Delaware’s lead in enforcing forum selection provisions in bylaws. In 2011,…
Rank this Week: 2594

White Collar Alert

White Collar Alert

Provides news and insight to counsel and legal observers concerning white collar criminal defense, internal investigations, government litigation and regulatory compliance. By Montgomery McCracken.

http://whitecollarblog.mmwr.com
  • Jul 24

    If You are Subpoenaed to Appear Before a Pennsylvania Grand Jury, Learn from Graham Spanier’s Mistake: Take Your Lawyer

    If You are Subpoenaed to Appear Before a Pennsylvania Grand Jury, Learn from Graham Spanier’s Mistake: Take Your Lawyer
    We wrote about the ongoing fallout from the Jerry Sandusky scandal in January, and whether former Penn State General Counsel Cynthia Baldwin made some critical missteps by appearing at the grand jury with former President Graham Spanier, Vice…
  • Jul 22

    Managing an Environmental Enforcement Investigation

    Managing an Environmental Enforcement Investigation
    Although environmental prosecution is not a new trend, criminal enforcement of environmental laws is on the rise.  The recent expansion of tools and referral mechanisms to support a heightened level of criminal enforcement have led to…
  • Jul 18

    Debating Unlawful Command Influence in the Military

    Debating Unlawful Command Influence in the Military
    As readers of this blog know, Montgomery McCracken successfully represented Brigadier General Jeffrey Sinclair in his court-martial in March. General Sinclair was sentenced only to a reprimand and a $20,000 fine. Montgomery McCracken defense…
Rank this Week: 1854