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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/
Rank this Week: 27

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: 83

Stock Broker Fraud Blog

Stock Broker Fraud Blog

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

http://www.stockbrokerfraudblog.com/
Rank this Week: 187

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/
Rank this Week: 155

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Sep 22

    Broker Ismail Elmas Terminated Over Outside Business Activitie

    Broker Ismail Elmas Terminated Over Outside Business Activitie
    According to broker Ismail Elmas’ (Elmas) Financial Industry Regulatory Authority (FINRA) BrokerCheck records the representative was recently discharged from CUSO Financial Services, LP (CUSO Financial) concerning allegations that the…
  • Sep 19

    Broker Spotlight – Joseph Biondolillo of Woodstock Financial Group

    Broker Spotlight – Joseph Biondolillo of Woodstock Financial Group
    According to The Financial Industry Regulatory Authority’s (FINRA) BrokerCheck system financial advisor Joseph Biondolillo (Biondolillo) has been subject to numerous regulatory complaints, customer complaints, and terminated by one…
  • Sep 18

    Gana LLP Investigation – Former RBC Capital Markets Broker Michael Zukowski

    Gana LLP Investigation – Former RBC Capital Markets Broker Michael Zukowski
    The Financial Industry Regulatory Authority (FINRA) sanctioned broker Michael Zukowski (Zukowski) concerning allegations that Zukowski recommended unsuitable transactions in inverse and inverse-leveraged Exchange Traded Funds (Non-Traditional…
Rank this Week: 181

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
  • Sep 16

    FINRA Issues New Investor Alert Regarding “Frontier Fund” Investment

    FINRA Issues New Investor Alert Regarding “Frontier Fund” Investment
    From the Desk of Jim Eccleston at Eccleston Law Offices:  FINRA has issued a new investor alert called, “Frontier Funds-Travel With Care”.  The alert cautions investors who are seeking potentially…
  • Sep 12

    SEC Examines Fund Payments to Brokerage Firm

    SEC Examines Fund Payments to Brokerage Firm
    From the Desk of Jim Eccleston at Eccleston Law Offices:  The SEC has begun a review of fees paid by mutual funds to brokerages and their financial advisors to encourage fund sales. Unfortunately, the SEC has…
  • Sep 5

    PennsylvaniaBroker Found to Have Sold Unsuitable Investment

    PennsylvaniaBroker Found to Have Sold Unsuitable Investment
    From the Desk of Jim Eccleston at Eccleston Law Offices:  Anthony Diaz, a broker from Pennsylvania has agreed to charges by the FINRA that he made unsuitable investments. Since 2000, Diaz worked for 11…
Rank this Week: 189

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/
  • Sep 22

    Second Circuit Holds Forum Selection Clause Supersedes FINRA’s Mandatory Arbitration Rule

    Second Circuit Holds Forum Selection Clause Supersedes FINRA’s Mandatory Arbitration Rule
    In Goldman, Sachs & Co. v. Golden Empire Schools Financing Authority, No. 13-797-cv, 2014 WL 4099289 (2d Cir. Aug. 21, 2014), the United States Court of Appeals for the Second Circuit held that a forum selection clause in a broker-dealer…
  • Sep 9

    NASDAQ Proposes The Adoption Of A New All-Inclusive Annual Listing Fee

    NASDAQ Proposes The Adoption Of A New All-Inclusive Annual Listing Fee
    On August 26, 2014, The NASDAQ Stock Market LLC (“NASDAQ”) filed with the Securities and Exchange Commission (the “SEC”) certain proposed amendments to the NASDAQ Stock Market Rules (the “Amendments”) to…
  • Sep 4

    Second Circuit Defines “Customer” for Mandatory FINRA Arbitration

    Second Circuit Defines “Customer” for Mandatory FINRA Arbitration
    In a case of first impression, the United States Court of Appeals for the Second Circuit in Citigroup Global Markets, Inc. v. Abbar, No. 13-2172, 2014 WL 3765867 (2d Cir. Aug. 1, 2014), established a bright-line definition of…
Rank this Week: 243

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/
  • Sep 22

    SEC Advisory Committee To Consider Fee-Shifting Bylaws, But Why?

    SEC Advisory Committee To Consider Fee-Shifting Bylaws, But Why?
    One agenda item for the upcoming meeting of the Investor Advisory Committee is a “Discussion of Issuer Adoption of Fee-Shifting Bylaws for Intra-Corporate Litigation”.  This is indeed an interesting and timely topic…
  • Sep 19

    Nevada Supreme Court Upholds Fraud Verdict Against The California Franchise Tax Board

    Nevada Supreme Court Upholds Fraud Verdict Against The California Franchise Tax Board
    The Franchise Tax Board’s Shande This is case that has been more than two decades in the making.  It began in the 1990s when inventor Gilbert Hyatt filed a California tax return showing that he relocated from California to Nevada.…
  • Sep 18

    Oxfam America Sues The SEC (Again) For Dilatory Rule Making

    Oxfam America Sues The SEC (Again) For Dilatory Rule Making
    Recently, I wrote of the shamelessness of the Securities and Exchange Commission targeting late filers even while it continues to miss many legal deadlines itself.  In that post, I mentioned that the SEC adopted resource extraction rules…
Rank this Week: 244

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: 229

InvestorLawyers.net

InvestorLawyers.net

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

http://www.investorlawyers.net/blog/
  • Jul 30

    New York Brokerage Firm Newport Coast Securities, Representatives Charged with $1 Million Churning Violation

    New York Brokerage Firm Newport Coast Securities, Representatives Charged with $1 Million Churning Violation
    FINRA has filed charges against five stockbrokers formerly employed by Newport Coast Securities Inc., as well as the firm itself and two supervisors, alleging that the firm excessively traded customer accounts for the purpose of generating…
  • 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…
Rank this Week: 371

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: 277

Sharesleuth.com

Sharesleuth.com

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

http://sharesleuth.com/
Rank this Week: 361

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: 415

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Sep 22

    The House’s New JOBS Act Bill: A Closer Look

    The House’s New JOBS Act Bill: A Closer Look
    Buried at the end of a long blog last week was a note that the House passed HR 2274, a JOBS Act-related bill called the “Promoting Job Creation & Reducing Small Business Burdens Act.” HR 2274 is a collection of 10 bills plus…
  • Sep 19

    Corp Fin Comment Letters: Insiders Selling Ahead of Their Public Availability?

    Corp Fin Comment Letters: Insiders Selling Ahead of Their Public Availability?
    Geez, I don’t know what to make of this Forbes article – which describes this study that found an abnormal level of selling by insiders in the days before Corp Fin comment letters that contained revenue recognition comments were…
  • Sep 18

    Corp Fin’s Comment Letters: WSJ Peeks Under the Hood

    Corp Fin’s Comment Letters: WSJ Peeks Under the Hood
    It was bound to happen. I just thought it would happen much sooner. It’s been just over a decade since Corp Fin began posting its comment letters (and the related responses) – but yet there has been scant mass media attention paid…
Rank this Week: 392

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: 546

Institutional Investor Securities…

Institutional Investor Securities Blog

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

http://www.institutionalinvestorsecuritiesblog.com/
Rank this Week: 719

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/
  • Sep 22

    Business Court Resolves A Trio Of Discovery Issue

    Business Court Resolves A Trio Of Discovery Issue
    Three interesting discovery issues were resolved last week by Judge Bledsoe's Order in Gay v. Peoples Bank.  First, can you obtain in discovery in a class action the fee arrangement between the plaintiff and his  lawyers? …
  • Sep 16

    Trade Secrets Claims Can Be Tough To Succeed On In The Business Court

    Trade Secrets Claims Can Be Tough To Succeed On In The Business Court
    If you want to pursue a trade secrets claim in the Business Court, you've got to disclose the details of your trade secret.  The Opinion last week in Unimin Corp. v. Gallo, 2014 NCBC 43 illustrates that point in detail.  It seems at…
  • Sep 12

    The Delaware Court Of Chancery Can See Forever On A Clear Day (Even To North Carolina)

    The Delaware Court Of Chancery Can See Forever On A Clear Day (Even To North Carolina)
    I don't usually write about decisions from the Delaware Court of Chancery because it's rare for that Court to even mention North Carolina.  But a decision by that Court this week -- in City of Providence v. First Citizens Bancshares,…
Rank this Week: 1008

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/
  • Sep 22

    SEC Obtains Asset Freeze Against Company in Turks and Caicos Islands Behind South Florida-Based Ponzi Scheme

    SEC Obtains Asset Freeze Against Company in Turks and Caicos Islands Behind South Florida-Based Ponzi Scheme
    The SEC announced an emergency asset freeze against a company located in Turks and Caicos Islands in connection with its operation of a South Florida-based Ponzi scheme.The SEC’s request for the emergency asset freeze against Abatement…
  • Sep 22

    Alibaba Is Largest IPO in History - $25 Billion

    Alibaba Is Largest IPO in History - $25 Billion
    Alibaba issues additional shares to raise IPO total to $25 billion - report | ReutersThe underwriters of Alibaba Group Holding Ltd's IPO have issued additional shares, according to the Wall Street Journal, bringing the IPO's size to about $25…
  • Sep 22

    SEC Charges IT Employee at Law Firm With Insider Trading Ahead of Merger Announcement

    SEC Charges IT Employee at Law Firm With Insider Trading Ahead of Merger Announcement
    The SEC charged an employee in an international law firm’s IT department with insider trading ahead of several mergers and acquisitions involving firm clients being advised on the deals.The SEC alleges that the employee, a senior…
Rank this Week: 900

Cady Bar the Door

Cady Bar the Door

Provides insight and commentary on SEC enforcement actions. By Brooks Pierce.

http://www.secmiscellany.com
  • Sep 22

    Speech by DOJ’s Marshall Miller Could Be Harbinger of Bad Things to Come

    Speech by DOJ’s Marshall Miller Could Be Harbinger of Bad Things to Come
    So here’s a thing.  Last week Marshall Miller, the No. 2 official in the Justice Department’s Criminal Division, made a speech urging corporations to focus its investigations into misconduct on individual malefactors and…
  • Sep 3

    One More Thing about Liu v. Siemens, the Foreign Whistleblower Case

    One More Thing about Liu v. Siemens, the Foreign Whistleblower Case
    Last week I wrote about the Second Circuit’s recent decision in Liu v. Siemens AG, in which the court held that the Dodd-Frank Act’s anti-retaliation provisions do not apply to whistleblowers overseas.  As I think about it,…
  • Aug 26

    Freedom to Retaliate against Foreign Whistleblowers May Not Be as Much Fun as It First Appear

    Freedom to Retaliate against Foreign Whistleblowers May Not Be as Much Fun as It First Appear
    What I’m about to say is grossly oversimplified, but here goes: The Dodd-Frank Act’s whistleblower provisions have two primary prongs.  The first says that an individual who voluntarily provides the SEC with original…
Rank this Week: 1117

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/
  • Sep 22

    September-October Issue: Deal Lawyers Print Newsletter

    September-October Issue: Deal Lawyers Print Newsletter
    This September-October Issue of the Deal Lawyers print newsletter includes: - Much Ado About … Conflict Minerals in M&A? - Exclusive Forum Provisions: A New Item for Corporate Governance and M&A Checklists - Checklist: Special…
  • Sep 18

    Delaware: Outside Directors’ Motion to Dismiss in Entire Fairness Transaction Denied

    Delaware: Outside Directors’ Motion to Dismiss in Entire Fairness Transaction Denied
    Here’s news from Steven Haas of Hunton & Williams: In In re Cornerstone Therapeutics Inc. S’holders Litig., Consol. C.A. No. 8922-VCG (Del. Ch. Sept. 10, 2014), Vice Chancellor Glasscock denied a motion to dismiss filed by…
  • Sep 17

    House Judiciary Committee Acts to Harmonize Antitrust Review Standards & Processe

    House Judiciary Committee Acts to Harmonize Antitrust Review Standards & Processe
    As noted in this Akin Gump memo, on September 10, the House Judiciary Committee passed, by voice vote, legislation to eliminate certain disparities to antitrust review by the DOJ and FTC. The Standard Merger and Acquisition Reviews Through…
Rank this Week: 872

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.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: 1172

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/
  • Sep 18

    Whistleblowers wanted; Holder seeks increased compensation for financial crime informant

    Whistleblowers wanted; Holder seeks increased compensation for financial crime informant
    By W. Kelly Johnson In the first major public comment about white collar crime in more than a year, the Department of Justice (DOJ) called for an increase in compensation for whistleblowers under the Financial Institutions Reform, Recovery…
  • Sep 18

    Sixth Circuit case specifies additional language required in indemnification survival clauses in M&A agreement

    Sixth Circuit case specifies additional language required in indemnification survival clauses in M&A agreement
    By Daniel M. Bauer A recent Sixth Circuit case, interpreting Ohio law, found that a merger agreement stating that the representations and warranties “shall survive…the Closing until… the second anniversary date of the…
  • Sep 11

    Late Form 4s aren’t just embarrassing anymore

    Late Form 4s aren’t just embarrassing anymore
    By Jack J. Gravelle Yesterday, the SEC announced penalties totaling approximately $2.6 million against directors, officers, beneficial owners and issuers for failure to promptly report information about holdings and transactions in company…
Rank this Week: 1066

Footnoted

Footnoted

Reports on actionable information in SEC filings.

http://www.footnoted.com/
Rank this Week: 855

New York Securities Lawyers Blog

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

http://www.newyorksecuritieslawyersblog.com/
  • Sep 15

    Malecki Law is Investigating Possible Claims Against Craig Scott Capital

    Malecki Law is Investigating Possible Claims Against Craig Scott Capital
    Malecki Law is investigating possible claims against Craig Scott Capital, based in Long Island, NY. According to FINRA BrokerCheck, some customers of the firm have recently filed arbitrations related to the conduct of the firm's brokers…
  • Sep 12

    SEC Charges Robare Group with Fraud For Failing to Disclose Fee Arrangement with Broker-Dealer

    SEC Charges Robare Group with Fraud For Failing to Disclose Fee Arrangement with Broker-Dealer
    How do you know your investment adviser is solely acting in your best interest? Sadly, even when it comes to picking mutual funds, your investment adviser may still only be thinking of himself or herself. Take for example the allegations in…
  • Aug 15

    Are Some Customers Paying Too Much In Fees? The SEC Cracks Down on Linkbroker

    Are Some Customers Paying Too Much In Fees? The SEC Cracks Down on Linkbroker
    "Is my stockbroker charging me too much in commissions and fees?" This is a common question many investors frequently have. Unfortunately, all too often, the answer to this question is "Yes." In fact, just yesterday, the SEC announced…
Rank this Week: 1094

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: 1072

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

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

    Hedge Fund Events September 2014

    Hedge Fund Events September 2014
    The following are various hedge fund events happening this month. Please email us if you would like us to add your event to this list. **** Date: September 8, 2014 Sponsor: NYSSA Event: Russian and Central & Eastern European Capital…
  • Aug 6

    NFA Action Against Firm for Inadequate 1101 Investigation

    NFA Action Against Firm for Inadequate 1101 Investigation
    Doing Business with Non-Members – NFA Action Raises Compliance Questions Under NFA Bylaw 1101, NFA members are restricted from doing business with individuals or entities that should be, but are not, registered with the CFTC and members…
  • Aug 1

    Hedge Fund Events August 2014

    Hedge Fund Events August 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. **** August 4-5, 2014 Sponsor: InVida Events Event: Ship Energy Management in Practice Location:…
Rank this Week: 949

Ponzitracker

Ponzitracker

Covers Ponzi schemes. By Jordan Maglich.

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

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

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

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

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

    California Men Sentenced For $5 Million Real Estate Ponzi Scheme

    California Men Sentenced For $5 Million Real Estate Ponzi Scheme
    Two California men will each serve at least a decade in prison for operating a real estate Ponzi scheme that duped victims out of nearly $5 million.  Terrance Brown, of San Jose, California, and Antranik Kabajouzian, of Morgan City,…
Rank this Week: 1139

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: 982

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: 821

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Sep 22

    FINRA: Former Cape Fear Securities broker, Ricky Eugene Bell barred for borrowing money from client

    FINRA: Former Cape Fear Securities broker, Ricky Eugene Bell barred for borrowing money from client
    Ricky Eugene Bell engaged in private security transactions, receiving unauthorized loans from customers and failed to provide information and testimony to FINRA. Ricky Eugene Bell was also ordered to pay restitution to his customers. The post…
  • Sep 22

    FINRA fines Global Brokerage Services, Inc. $25,000 for failure to supervise

    FINRA fines Global Brokerage Services, Inc. $25,000 for failure to supervise
    The securities and investment fraud law firm of Fitapelli Kurta is investigating claims against brokerage and investment advisor firm, Global Brokerage Services, Inc. On September 8, 2014 the Financial Industry Regulatory Authority (FINRA)…
  • Sep 19

    Intercoastal Capital Markets, Inc. fails to report transaction

    Intercoastal Capital Markets, Inc. fails to report transaction
    On September 11, 2014, the Financial Industry Regulatory Authority (FINRA) Department of Enforcement fined Boca Raton, Florida based investment company, Intercoastal Capital Markets, Inc. $7,500 for failing to report 19 transactions that it…
Rank this Week: 2835

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/
  • Sep 22

    Investigation into Labock Technologie

    Investigation into Labock Technologie
    Have did you suffer losses investing in Labock Technologies? If so, The White Law Group may be able to help recover your losses through a FINRA arbitration claim against the broker that sold the investment. According to files with the…
  • Sep 18

    Investigation into NNN Oak Park Office

    Investigation into NNN Oak Park Office
    Did you invest in NNN Oak Park Office and suffer losses? If so, The White Law Group may be able to help. The firm is investigating the potential recovery of investment losses through FINRA arbitration claims against the brokerage firms that…
  • Sep 18

    Recovery of Geneva Exchange Fund XXII Investment Losse

    Recovery of Geneva Exchange Fund XXII Investment Losse
    Have you suffered losses investing in the tenant-in-common (TIC), Geneva Exchange Fund XXII? The White Law Group is investigating potential FINRA arbitration claims to recover investment losses. According to files with the Securities and…
Rank this Week: 4650

The Securities Edge

The Securities Edge

Covers securities law topics of interest to executives of middle market businesses. By Gunster.

http://www.thesecuritiesedge.com/
  • Sep 19

    The JOBS Act – Any results yet?

    The JOBS Act – Any results yet?
    Posted By: Robert C. White Jr. President Obama signed the JOBS Act into law on April 5, 2012 amid much fanfare and optimism. Small and medium sized fast-growing technology companies and their executives were especially sanguine about this…
  • Sep 12

    Nasdaq annual listing fees are going up, up (but not away)

    Nasdaq annual listing fees are going up, up (but not away)
    Posted By: David C. Scileppi In late August, Nasdaq announced changes to their annual listing fees.  Generally, the fees will increase effective January 1, 2015, but Nasdaq is also adopting an all-inclusive annual fee and eliminating…
  • Sep 3

    Despite First Amendment concerns, the conflict minerals rule is here to stay

    Despite First Amendment concerns, the conflict minerals rule is here to stay
    Posted By: Gregory K. Bader A few months ago, the U.S. Court of Appeals for the D.C. Circuit upheld portions of Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act, known as the “conflicts mineral rule.”…
Rank this Week: 2172

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/
  • Sep 19

    Ontario court interprets proviso in advance notice policy to permit late nomination

    Ontario court interprets proviso in advance notice policy to permit late nomination
    Sean Vanderpol and Ramandeep K. Grewal - While advance notice policies have been utilized by issuers in the U.S. for quite some time, they are still relatively new to the Canadian market. As a result, the Canadian jurisprudence on…
  • Sep 19

    Adoption of new Alberta OTC derivatives order to reflect pending legislative change

    Adoption of new Alberta OTC derivatives order to reflect pending legislative change
    Keith Chatwin - Earlier this week, Alberta Securities Commission staff proposed replacing ASC Blanket Order 91-505 Over-the-Counter Derivatives Transactions, with a new blanket order aimed at conforming the prospectus and dealer…
  • Sep 19

    OSC proposes changes to participation fee calculation

    OSC proposes changes to participation fee calculation
    The OSC yesterday published for comment proposed amendments to its rules that set out the fees to be paid by market participants. The proposed amendments involve changes to the calculation of participation fees, which apply to reporting…
Rank this Week: 4916

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
  • Sep 19

    Nation’s Biggest Pension Fund makes Big Decision

    Nation’s Biggest Pension Fund makes Big Decision
    Concerns that investments are too complicated and expensive, the nation’s largest pension fund, the California Public Employees’ Retirement System, will eliminate all of its hedge fund investments over the next year. Overseeing…
  • Aug 29

    FINRA has Citigroup Global Markets Inc. in Hot Water

    FINRA has Citigroup Global Markets Inc. in Hot Water
    Citigroup Global Markets Inc. is being fined $1.85 million for best execution and supervisory violations in non-convertible preferred securities transactions. They also ordered Citigroup to pay more than $638,000 in compensation, plus…
  • Aug 29

    FINRA has Citigroup Global Markets Inc. in Hot Water

    FINRA has Citigroup Global Markets Inc. in Hot Water
    Citigroup Global Markets Inc. is being fined $1.85 million for best execution and supervisory violations in non-convertible preferred securities transactions. They also ordered Citigroup to pay more than $638,000 in compensation, plus…
Rank this Week: 4585

Securities Law Blog

Securities Law Blog

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

http://www.securitieslaw-blog.com/
  • Sep 19

    Four Charged In Penny Stock Fraud Scheme Plead Not Guilty

    Four Charged In Penny Stock Fraud Scheme Plead Not Guilty
    The Frankowski Firm is investigating a penny stock fraud scheme that allegedly defrauded $290 million from thousands of investors, involving eight people who are facing criminal charges. Four of the eight charged in the pump-and-dump scheme…
  • Sep 18

    Alabama Supreme Court Affirms Class-Action Status In $3.2 Billion Lawsuit

    Alabama Supreme Court Affirms Class-Action Status In $3.2 Billion Lawsuit
    Last week, the Alabama Supreme Court upheld a Jefferson County judge’s ruling that a lawsuit against CVS Caremark Corp. can proceed as a class-action to represent roughly 70,000 investors who assert that they lost $3.2 billion in a…
  • Sep 16

    7th Circuit Upholds Ponzi Scheme Conviction

    7th Circuit Upholds Ponzi Scheme Conviction
    The Frankowski Firm is investigating a Ponzi scheme involving the owners of Fair Finance, which was once a legitimate company that had provided financial services since the Great Depression. The United States Court of Appeals for the Seventh…
Rank this Week: 2856

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
  • Sep 19

    SEC Awards Foreign Whistleblower $30 Million. FULL TEXT ORDER ONLINE

    SEC Awards Foreign Whistleblower $30 Million. FULL TEXT ORDER ONLINE
    On September 22, 2014, the Securities and Exchange Commission ("SEC")announced the awward of $30 million to a whistleblower that is now the largest made under the SEC's Dodd-Frank Whistleblower program.  READ the FULL-TEXT ORDER.The…
  • Sep 17

    Doctor, Doctor Give Me The New

    Doctor, Doctor Give Me The New
    The dog ate my homework. My alarm clock didn't go off. I'm sick and can't get out of bed. Oh my, how many of you have resorted to one of those legendary excuses . . . or, perhaps, crafted an ingenious one of your own?  In a recent Wall…
  • Sep 17

    BrokeAndBroker.com Blog by Bill Singer Week In Review

    BrokeAndBroker.com Blog by Bill Singer Week In Review
    Citigroup Stockbroker Mauled In Strip Mall DealSeptember 19, 2014Action -- it's an interesting concept when it comes to both gambling and investing. Some folks love it. Crave it. Need it. Others are looking for a wa...Read OnUPDATE: USA To…
Rank this Week: 4163

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
  • Sep 18

    Former UBS Broker Charged for Defrauding Elderly with Ponzi Scheme

    Former UBS Broker Charged for Defrauding Elderly with Ponzi Scheme
    The Securities and Exchange Commission (SEC) recently charged former UBS Wealth Management America broker Donna Tucker with misappropriating over $730,000 from clients between January 2008 and April 2013. 
  • Sep 15

    Broker Deposits Thousands of Dollars of Misdirected Check

    Broker Deposits Thousands of Dollars of Misdirected Check
    FINRA recently fined securities broker Richard Harvey Peress $5,000 for misconduct and suspended him for 90 days. Peress pocketed 37 quarterly dividend client checks between 2002 and 2011 totaling $11,460.
  • Sep 5

    Increased Complex Investment and Insurance Sales Put State Regulators on High Alert

    Increased Complex Investment and Insurance Sales Put State Regulators on High Alert
    State securities regulators at the Insured Retirement Institute's Government, Legal and Regulatory conference this summer expressed concern over the amount of unlicensed products being sold by agents. Products of particular concern…
Rank this Week: 3831

Startup Law Blog

Startup Law Blog

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

http://www.startuplawblog.com/
  • Sep 18

    Intellectual Property and Crowdfunding: Practice Safe Crowdfunding®

    Intellectual Property and Crowdfunding: Practice Safe Crowdfunding®
    By Mary Juetten, Founder and CEO of Traklight Crowdfunding, despite its popularity, is still misunderstood. Many people are familiar with rewards crowdfunding sites like Kickstarter and Indiegogo based on widely publicized campaigns such as…
  • Sep 3

    Revenue Based Financing

    Revenue Based Financing
    Why It Works For Growing Technology Companies There are multiple options to funding to fuel your growing technology business, but what if you need to: A) get funded fast, B) keep you in control of your company and, C) not risk ……
  • Aug 27

    Startup Public Policy with Congressman Adam Smith

    Startup Public Policy with Congressman Adam Smith
    Congressman Adam Smith (D-WA) will be joining us to discuss some of the very exciting state and federal public policy issues being bandied about both in Olympia and on Capital Hill in Washington D.C. A skilled lawyer and a…
Rank this Week: 2637

TRACE Blog

TRACE Blog

Covers anti-bribery compliance.

http://traceblog.org/
  • Sep 18

    TRACE’s List of Top 5 Most Colorful Projects to Raise Anti-Bribery Awarene

    TRACE’s List of Top 5 Most Colorful Projects to Raise Anti-Bribery Awarene
    Raising awareness about bribery doesn’t always have to be serious business.  In fact, sometimes it can even be fun.  That’s why here at TRACE, we are interested in learning about unique campaigns designed to raise…
  • Aug 28

    What was this month’s biggest anti-bribery story?

    What was this month’s biggest anti-bribery story?
    Take a moment to read our poll and vote for which headline you think was most newsworthy this month: China announces Investigation into Volkswagen AG’s China Joint Venture: China’s anti-corruption authority — the…
  • Aug 19

    The Role of Academia in Anti-Corruption Collective Action

    The Role of Academia in Anti-Corruption Collective Action
    Last week TRACE joined leading anti-corruption experts and academics from all over the world in Vienna, Austria to discuss effective teaching and pedagogy in anti-corruption studies within institutions of higher learning. The workshop, which…
Rank this Week: 2262

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
  • Sep 18

    DOJ Hopes to Prosecute More Criminal Cases Arising Out of False Claims Act

    DOJ Hopes to Prosecute More Criminal Cases Arising Out of False Claims Act
    On Wednesday, Assistant Attorney General for the Criminal Division Leslie R. Caldwell spoke at the Taxpayers Against Fraud Education Fund annual conference in Washington D.C., and announced that the DOJ is closely examining civil False Claims…
  • Sep 10

    Goldman Sachs Case: Know and Understand Your Corporate By-Laws Concerning Legal Fee

    Goldman Sachs Case: Know and Understand Your Corporate By-Laws Concerning Legal Fee
    Goldman Sachs Group Inc. has recently garnered a lot of press on the ongoing litigation on former Goldman programmer and vice president Sergey Aleynikov’s demands for indemnification and advancement of attorneys’ fees. These fees…
  • Sep 8

    Criminal Plea, Civil Liability: Aftermath of the BP Deepwater Horizon Catastrophe

    Criminal Plea, Civil Liability: Aftermath of the BP Deepwater Horizon Catastrophe
    Perhaps the most infamous environmental litigation case in history, the 2010 Deepwater Horizon catastrophe has resulted in approximately 3,000 lawsuits (both criminal and civil) and over 100,000 named claimants in federal and state courts…
Rank this Week: 2505

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/
  • Sep 16

    Restrictive Covenants in Retail Lease Affirmed by Georgia Court of Appeal

    Restrictive Covenants in Retail Lease Affirmed by Georgia Court of Appeal
    Last week, the Court of Appeals of Georgia affirmed a trial court decision finding that a restrictive covenant in a retail lease was not overly ambiguous and was not therefore unenforceable, and thereafter affirmed the trial court ruling in…
  • Sep 8

    Statutory Disqualification: An Overview of the MC400 Application

    Statutory Disqualification: An Overview of the MC400 Application
    In this second installment on understanding statutory disqualifications, I'll provide an overview of the MC400 application. In a nutshell, if a person is statutorily disqualified, then he or she must find a broker-dealer firm wanting the…
  • Sep 5

    Statutory Disqualification: An Overview

    Statutory Disqualification: An Overview
    What does it mean when it is said that a person is subject to a statutory disqualification and cannot be associated with a broker-dealer, or an RIA? In a nutshell, it means that the person is not eligible to work...
Rank this Week: 1716

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/
  • Sep 16

    Is Your Bank Stressed Out? OCC Follows Fed on Proposed Stress-Test Change

    Is Your Bank Stressed Out? OCC Follows Fed on Proposed Stress-Test Change
    On September 10, the Office of the Comptroller of the Currency (“OCC”) published proposed revisions to its information collecting regulations related to the Dodd-Frank Act’s “stress test” for large national banks…
  • Sep 9

    The MCDC Initiative: Round One Is Underway

    The MCDC Initiative: Round One Is Underway
    The clock will strike on the first self-report deadline under the SEC’s Municipalities Continuing Disclosure Cooperation Initiative (the “MCDC Initiative”) at 12:00 a.m. EST on September 10, 2014.  Under the MCDC…
  • Sep 3

    Does Being an ‘Expert’ Make You an Expert?

    Does Being an ‘Expert’ Make You an Expert?
    Earlier this month, Judge Victor Marrero of the Southern District of New York issued his opinion certifying a class of buyers of the common stock of a company created by a Chinese reverse merger.  McIntire v. China MediaExpress Holdings,…
Rank this Week: 1410

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Sep 12

    Fervent Belief

    Fervent Belief
    Next term, the U.S. Supreme Court will hear argument in the Omnicare case.  The issue is the pleading standard for an allegedly false or misleading opinion under Section 11 of the Securities Act.  While the Second, Third, and Ninth…
  • Sep 10

    Freshening Up

    Freshening Up
    Regular visitors to The 10b-5 Daily will notice that the look and format of the blog has undergone a change.  A few items of note: (1) To receive e-mail notifications of new posts (even if you have previously…
  • Sep 9

    The 10b-5 Daily Gets A Makeover

    The 10b-5 Daily Gets A Makeover
    After eleven years (has it really been that long?), The 10b-5 Daily is moving to a new platform, updating its look, clearing out dead links, and generally becoming a more user-friendly blog. For most visitors, the transition will be…
Rank this Week: 2640

Subject to Inquiry

Subject to Inquiry

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

http://www.subjecttoinquiry.com/
  • Sep 9

    Don’t Turn a Blind Eye – Individual Liability for Failure to Comply with BSA Reporting Requirement

    Don’t Turn a Blind Eye – Individual Liability for Failure to Comply with BSA Reporting Requirement
    The Financial Crimes Enforcement Network (FinCEN) announced on August 20, 2014, that it had reached an agreement with a casino official permanently barring him from working in financial institutions as a result of his willful violations of…
  • Aug 26

    The SEC Waives Eligibility Requirement and Awards Whistleblower $400,000

    The SEC Waives Eligibility Requirement and Awards Whistleblower $400,000
    Waiving one of the whistleblower award eligibility requirements, the Securities and Exchange Commission recently awarded more than $400,000 to a whistleblower who reported a fraud to the SEC after the company failed to address the issue…
  • Aug 21

    Unpacking OFAC’s Revised Guidance Regarding its “50 Percent Rule”

    Unpacking OFAC’s Revised Guidance Regarding its “50 Percent Rule”
    On August 14, 2014, the Department of the Treasury’s Office of Foreign Assets Control (OFAC) published revised guidance regarding entities owned by persons whose property and interests in property are blocked pursuant to an…
Rank this Week: 2340