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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…
  • Aug 15

    By: EAkHCuax

    By: EAkHCuax
    <strong>EAkHCuax</strong>Securities Law and Going Public Blog
  • Aug 5

    By: lexutilispl - bookmarks.blogme24.com

    By: lexutilispl - bookmarks.blogme24.com
    […] is gonna kill meDrum Building Secrets!Make Your Mark Online With These Design Tips : BACKLINKSSecurities Lawyer101 l Securities Law Blog l Hamilton & AssociatesPennySaverUSA.com Blog - The Best Resource for Online Classifieds,…
Rank this Week: 6

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/
Rank this Week: 23

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Aug 26

    Financial Advisor Sanctioned Over Allegations of Unsuitable Overconcentrations of Private Placement

    Financial Advisor Sanctioned Over Allegations of Unsuitable Overconcentrations of Private Placement
    The Financial Industry Regulatory Authority (FINRA) sanctioned and barred financial advisor Stephen Lard (Lard) concerning allegations that Lard recommended and sold various private-placement securities, that were speculative, high risk, and…
  • Aug 25

    Matthew Davis Barred Over Allegations of Conversion of Funds and Unauthorized Trading

    Matthew Davis Barred Over Allegations of Conversion of Funds and Unauthorized Trading
    The Financial Industry Regulatory Authority (FINRA) sanctioned and barred financial advisor Matthew Davis (Davis) concerning allegations that in connection with a FINRA investigation into allegations of misconduct in several customer…
  • Aug 23

    IRS Brings Charges Against Barred Broker William Bucci

    IRS Brings Charges Against Barred Broker William Bucci
    Back in Decmeber 2013, the law offices of Gana LLP reported that “Former Ryan Beck and Oppenheimer Financial Advisor William Bucci Barred From the Financial Industry” where we reported that The Financial Industry Regulatory…
Rank this Week: 80

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

http://www.seclawyersblog.com/
  • Aug 18

    FINRA Cautions Investors on Viral Disease Stock Scam

    FINRA Cautions Investors on Viral Disease Stock Scam
    FINRA recently issued an Investor Alert, "Viral Disease Stock Scams: Don't Let Them Infect Your Portfolio." In the Alert, FINRA warns that dramatic news stories viral outbreaks, such as Ebola and Middle Eastern Respiratory Syndrome ("MERS"),…
  • Aug 15

    Sonn|Erez Investigating Claims Involving Paul Gerard Chiampa

    Sonn|Erez Investigating Claims Involving Paul Gerard Chiampa
    Sonn|Erez is investigating claims regarding Paul Gerard Chiampa (CRD #1133609, East Longmeadow, Massachusetts). Chiampa recently entered into a Letter of Acceptance, Waiver, and Consent ("AWC") in which he was fined $7,500 and suspended from…
  • Jul 27

    SEC Approves FINRA Rule to Prohibit Conditioning Settlements on Expungement

    SEC Approves FINRA Rule to Prohibit Conditioning Settlements on Expungement
    The Securities and Exchange Commission recently approved the implementation of FINRa Rule 2081, which prohibits brokers from making settlements of customer disputes contingent on the claimant's agreement not to oppose expungement of the…
Rank this Week: 107

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Aug 26

    SEC Will Vote on New ABS and NRSRO Rule

    SEC Will Vote on New ABS and NRSRO Rule
    [This story previously appeared in Securities Regulation Daily.]By Jacquelyn LumbThe SEC has scheduled an open meeting for Wednesday, August 27, at which it will consider the adoption of rules to revise the disclosure, reporting, and offering…
  • Aug 25

    House Oversight Chair Cautions SEC on Leaks from Closed Meeting

    House Oversight Chair Cautions SEC on Leaks from Closed Meeting
    The House SEC Oversight Chair has asked the Commission to provide, by September 5, its plans to implement all of the recommendations made by an Inspector General report on leaks of confidential information from SEC closed meetings, including…
  • Aug 25

    Washington Proposes Crowdfunding Rule

    Washington Proposes Crowdfunding Rule
    [This story previously appeared in Securities Regulation Daily.]By Jay Fishman, J.D.The Washington Department of Financial Institutions, Securities Division, has proposed crowdfunding rules for October 1 implementation so that issuers may…
Rank this Week: 166

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Aug 26

    ABA: Throwing Stones in Glass Houses?

    ABA: Throwing Stones in Glass Houses?
    Jim Brashear of Zix Corporation addresses cybersecurity issues in this guest post: At the ABA’s 2014 annual meeting earlier this month, delegates approved a resolution that “encourages all private and public sector…
  • Aug 25

    MD&A: SEC Brings “Known Uncertainties” Case Against BofA

    MD&amp;A: SEC Brings &ldquo;Known Uncertainties&rdquo; Case Against BofA
    Last week, it was big news that DOJ announced a record $16.7 billion settlement with Bank of America to put its mortgage-backed issues – part of the ’07 financial crash – behind it. This civil action from the DOJ was brought…
  • Aug 22

    Shareholder Proposals: 10 Things About NY Times’ “Gadflies” Column

    Shareholder Proposals: 10 Things About NY Times’ “Gadflies” Column
    A few days ago, the NY Times ran this DealBook column – “Grappling With the Cost of Corporate Gadflies” – by Professor Steven Davidoff Solomon. Here are 10 thoughts that I had right off the bat: 1. Never Use the Loaded…
Rank this Week: 180

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: 135

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…
  • Aug 23

    Bank of America to Pay $16.65 Billion to Settle DOJ Mortgage Probe

    Bank of America to Pay $16.65 Billion to Settle DOJ Mortgage Probe
    Bank of America (BAC) and the U.S. Department of Justice have arrived at a $16.65 billion mortgage settlement. Under the agreement, the lender will pay $9.65 billion to the DOJ, the SEC, other government agencies, and six states. The…
  • Aug 21

    Lehman Brothers' Unsecured Creditors to Get $4.6B Payout

    Lehman Brothers' Unsecured Creditors to Get $4.6B Payout
    Pension funds, former employees, investment firms, and banks with unsecured claims against Lehman Brothers Holdings are finally getting an initial payout of $4.6 billion. That’s about 71% of the unsecured claims against the…
Rank this Week: 212

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/
  • Aug 26

    Indiana Broker, Lynn Simon, Pleads Guilty to Securities Fraud

    Indiana Broker, Lynn Simon, Pleads Guilty to Securities Fraud
    According to www.theindychannel.com, Indiana broker, Lynn A. Simon plead guilty to charges stemming from allegations that he defrauded investors of more than $1 million. The report said that law enforcement agents began investigating Simon…
  • Aug 25

    DBSI President Sentenced to Federal Prison

    DBSI President Sentenced to Federal Prison
    According to the Associated press, the president of DBSI, David Swenson, was sentence to 20 years in federal prison by District Judge B. Lynn Winmill. The company’s former legal counsel, Mark Ellison, was sentenced to five years.…
  • Aug 22

    TNP Attempts to Restructure Debt

    TNP Attempts to Restructure Debt
    Have you purchased investments with Thompson National Properties (TNP)? If so, the following information may be of value to you. According to InvestmentNews,Tony Thompson and his company are offering to exchange TNP notes for a new stock…
Rank this Week: 265

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/
  • Aug 26

    Company Sues Former Officer For Failing To File Form 4

    Company Sues Former Officer For Failing To File Form 4
    A complaint filed in the Central District of California caught my eye because it involved the rather unusual circumstance of a corporation suing a former director and officer for, among other things, failing to file reports under Section…
  • Aug 25

    Court Rules LLC Form Provided No Fiduciary Shield To Personal Jurisdiction

    Court Rules LLC Form Provided No Fiduciary Shield To Personal Jurisdiction
    Last Friday’s post concerned whether a plaintiff could establish jurisdiction by tagging a corporate officer attending a conference in California.  The question was whether a corporation is present wherever its officers are…
  • Aug 22

    Ninth Circuit Finds No Tag Jurisdiction Over Foreign Corporation

    Ninth Circuit Finds No Tag Jurisdiction Over Foreign Corporation
    When a corporation sends an officer to a conference in California, is the corporation present in California?  A corporation can only act through its officers.  Thus, it might be said that the corporation is present wherever their…
Rank this Week: 194

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
  • Aug 24

    Expectations v. Reality of Unconstrained Bond

    Expectations v. Reality of Unconstrained Bond
    Investors’ fears of rising interest rates of traditional bonds, have shown an influx in these “go anywhere” funds. With a focus on returns, many investors don’t understand the risk. In the category of a nontraditional…
  • Aug 24

    The Complications of Structured Note

    The Complications of Structured Note
    A complicated investment to begin with, structured notes have grown more complex the last few years and are best to be avoided. They commonly claim to limit instability in a down market. A debt instrument whose return hinges on the price…
  • 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…
Rank this Week: 302

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: 202

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: 226

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: 217

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Aug 26

    August 26, 2014 FINRA Disciplinary Action

    August 26, 2014 FINRA Disciplinary Action
    August 26, 2014 FINRA Disciplinary Actions: Richard Happle (CRD 1095540):  Richard Happle was suspended for 10 business days and fined $5,000 by the Financial Industry Regulatory Authority for failing to execute a customer trade order in…
  • Aug 26

    Investigation: Former Clients of Joseph Jayne

    Investigation: Former Clients of Joseph Jayne
    Fitapelli Kurta is investigating complaints against former Ameriprise Financial Services broker, Joseph Jayne.  Joseph Jayne was recently barred from the securities industry by the Financial Industry Regulatory Authority, or FINRA, for…
  • Aug 20

    Buffalo Financial Advisor Raymond Clark Suspended

    Buffalo Financial Advisor Raymond Clark Suspended
    On August 5, 2014, the Financial Industry Regulatory Authority, or FINRA, announced that it was suspending Financial Advisor Raymond Clark.   Raymond Clark is a broker associated with Dynasty Capital Partners in Buffalo, New…
Rank this Week: 715

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
  • Aug 26

    Financial Planner Charged In $10 Million Ponzi Scheme

    Financial Planner Charged In $10 Million Ponzi Scheme
    From the Desk of Jim Eccleston at Eccleston Law Offices: Sean Meadows, an unregistered Minneapolis financial planner, has been charged with orchestrating a $10 million Ponzi scheme. From 2007 to 2014, Meadows raised at…
  • Aug 22

    FINRA Charges Newport Coast and Five Brokers with Churning

    FINRA Charges Newport Coast and Five Brokers with Churning
    (Original article can be found here) From the Desk of Jim Eccleston at Eccleston Law Offices: New York-based Newport Coast Securities Inc. and five brokers from the firm allegedly churned customer…
  • Aug 19

    SEC Announces Sweeping Examinations of Brokerage Firm

    SEC Announces Sweeping Examinations of Brokerage Firm
    From the Desk of Jim Eccleston at Eccleston Law Offices: The SEC is planning to examine brokerages in 2015 with a focus on sales of expensive mutual funds as well as problem brokers. Sales of expensive…
Rank this Week: 590

Cady Bar the Door

Cady Bar the Door

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

http://www.secmiscellany.com
  • 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…
  • Aug 20

    Unregistered Brokers: Watch out for Shortcut

    Unregistered Brokers: Watch out for Shortcut
    One of the things I’ve learned since returning to private practice three years ago is that people like to raise money for profitable enterprises when they can.  And why not?  It can be lucrative.  And if the people…
  • Jul 28

    Guns and More Guns: SEC Hits Smith & Wesson for FCPA Violation

    Guns and More Guns: SEC Hits Smith &amp; Wesson for FCPA Violation
    One thing the SEC likes to do is bring cases with a lot of deterrent value.  That is, cases that it hopes will scare other people and companies into complying with the law.  Often that means cases with large price tags…
Rank this Week: 759

North Carolina Business Litigation…

North Carolina Business Litigation Report

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

http://www.ncbusinesslitigationreport.com/
Rank this Week: 659

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/
  • Aug 26

    HSR: FTC Levies $900k Fine for File Failure Over Incremental Note Conversion

    HSR: FTC Levies $900k Fine for File Failure Over Incremental Note Conversion
    Last week, the FTC fined Berkshire Hathaway in the amount of $896,000 to settle allegations for HSR file failures in connection with acquisitions of USG Corporation shares when it converted notes over time. The FTC alleged that Berkshire…
  • Aug 20

    M&A: Bankruptcy-Proofing a License

    M&amp;A: Bankruptcy-Proofing a License
    In this video, Jeff Bell of Morrison & Foerster uses an IP portfolio as an example when explaining how to make that acquisition more valuable by insuring financial stability and lowering the risk of insolvency.
  • Aug 19

    U.S. Mid Year Activism Review: Slow Start, Big Finish

    U.S. Mid Year Activism Review: Slow Start, Big Finish
    From ISS: The resurgence in proxy contest activism that began in 2012 appeared to have stalled by Q1 of 2014 when only two contested situations went to a shareholder vote, compared to eight in the first quarter of 2013. Both of these…
Rank this Week: 354

Startup Law Blog

Startup Law Blog

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

http://www.startuplawblog.com/
  • Aug 22

    Crowdlending for Businesse

    Crowdlending for Businesse
    By Tabitha Creighton Finding capital for a startup can be as tough as any other part business and sometimes emotionally draining, since everyone seems to have an opinion on your concept. Borrowing money from a bank can be just as ……
  • Aug 16

    Intrastate Crowdfunding and the 499 Shareholder Problem

    Intrastate Crowdfunding and the 499 Shareholder Problem
    In prior posts I have lamented the problems with the federal crowdfunding law.  The SEC is still behind on finalizing rules implementing the crowdfunding provisions of the JOBS Act. In the meantime, Washington State and a handful of…
  • Aug 16

    Intrastate Crowdfunding and the 499 Unaccredited Shareholder Problem

    Intrastate Crowdfunding and the 499 Unaccredited Shareholder Problem
    In prior posts I have lamented the problems with the federal crowdfunding law.  The SEC is still behind on finalizing rules implementing the crowdfunding provisions of the JOBS Act. In the meantime, Washington State and a handful of…
Rank this Week: 747

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Aug 21

    No Bright Line

    No Bright Line
    In its Morrison decision, the U.S. Supreme Court addressed the extraterritorial application of Section 10(b) and held that the statute only applies to "transactions in securities listed on our domestic exchanges, and domestic…
  • Aug 15

    Cornerstone Releases Midyear Report

    Cornerstone Releases Midyear Report
    Cornerstone Research (in conjunction with the Stanford Securities Class Action Clearinghouse) has released its 2014 midyear report on federal securities class action filings. The findings for the first half of 2014 include: (1) There were 78…
  • 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…
Rank this Week: 349

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: 348

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/
  • Aug 18

    Chu on Credit Rating

    Chu on Credit Rating
    Chenghuan Sean Chu has posted Empirical Analysis of Credit Ratings Inflation as a Game of Incomplete Information on SSRN with the following abstract: This paper models competition among credit rating agencies as an auction. Equilibrium…
  • Aug 18

    Rapp on the Office of Market Intelligence

    Rapp on the Office of Market Intelligence
    Geoffrey Christopher Rapp has posted Intelligence Design: An Analysis of the SEC's New Office of Market Intelligence and its Goal of Using Big Data to Improve Securities Enforcement on SSRN with the following abstract: This contribution to…
  • Aug 18

    NASAA Annual Conference to Focus on Meeting Tomorrow’s Challenges Today

    NASAA Annual Conference to Focus on Meeting Tomorrow’s Challenges Today
    Details available here.
Rank this Week: 515

Stock Attorneys Blog

Stock Attorneys Blog

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

http://www.stockattorneysblog.com/
  • Aug 18

    LPL Financial Fraught with Allegations of Supervisory Failure

    LPL Financial Fraught with Allegations of Supervisory Failure
    Advisor Independence Achilles Heel for Gigantic Investment Organization LPL Financial is one of the nation’s largest broker/dealer investment firms, yet it is not an investment firm in the traditional sense. Whereas most investment…
  • Aug 12

    Total Wealth Management Sanctions Kickback

    Total Wealth Management Sanctions Kickback
    Top Executives Foster Flagrant Fraud Practices It goes without saying that there is a lot of money to be made in the investment industry. Even when investment firms and advisors follow the rules that govern the industry, they stand to earn…
  • Aug 4

    U.S. Attorney’s Office Files Parallel Action in Response to Previous CFTC Fraud Charge

    U.S. Attorney’s Office Files Parallel Action in Response to Previous CFTC Fraud Charge
    The types of investments that one can invest in are nearly as diverse as the brokers who trade them and the investors who invest in them. One such investment practice is commodity futures pools. This type of investment is a private…
Rank this Week: 469

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

http://www.hedgefundlawblog.com
  • 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:…
  • Jul 18

    New IA Rules in Washington State

    New IA Rules in Washington State
    Amendments to Investment Adviser Rules in Washington State Washington State Department of Financial Institutions has amended the rules governing the registration and activities of investment advisers set forth in Chapter 460-24A WAC.…
Rank this Week: 525

Stock Market Loss

Stock Market Loss

Covers misconduct by brokerage firms or financial advisors. By Hermann, Cahn & Schneider, LLP.

http://www.stockmarketloss.com/news/
  • Jul 28

    VARIABLE LIFE INSURANCE ALERT!

    VARIABLE LIFE INSURANCE ALERT!
    This article was originally posted on Stock Market Loss The lawyers of stockmarketloss.com, a practice group of Cleveland, OH law firm Hermann, Cahn & Schneider LLC, are receiving a growing number of inquiries from victims of variable…
  • Jul 24

    Why Do Variable Life Insurance Policies Fail?

    Why Do Variable Life Insurance Policies Fail?
    This article was originally posted on Stock Market Loss Purchasers of Variable Life and Variable Universal Life Insurance Policies often don’t understand that the values of the sub-account investments determine the sustainability of the…
  • Jul 23

    How Do Brokers and Insurance Agents Mislead You Into Buying VL and VUL Insurance Policies?

    How Do Brokers and Insurance Agents Mislead You Into Buying VL and VUL Insurance Policies?
    This article was originally posted on Stock Market Loss Brokers and agents who sell variable insurance products are supposed to comply both with state securities or insurance regulations and with regulations issued by the Securities and…
Rank this Week: 761

The PSLRA Nugget

The PSLRA Nugget

Covers securities class action case law. By Christopher S. Jones.

http://pslranugget.blogspot.com/
  • Feb 3

    The Nugget is Moving to a New Home

    The Nugget is Moving to a New Home
    Please update your bookmarks, as the PSLRA Nugget is moving to a new easier to remember website address.  Also if you are getting this by email, and you would like to continue getting it that way, you just need to go to
  • Feb 2

    Yes Shorter is Better (at least in legal briefing)

    Yes Shorter is Better (at least in legal briefing)
    OK, you know who you are.  The serial page extension requesters.  But Judge, we have to have 100 pages to explain it.  I know, I know, we've all done it.  And yes I agree sometimes it's necessary.  But District Judge Joy Flowers Conti…
  • Mar 18

    Confidential Sources Still Alive & Kicking

    Confidential Sources Still Alive & Kicking
    What's that? You thought Tellabs banned confidential witnesses? Well, let's not get carried away here, as there's certainly at least two ways to read that opinion. Of course, after the 7th Circuit decided Higginbotham v. Baxter, it was…
Rank this Week: 350

Securities Litigation and…

Securities Litigation and Regulatory Enforcement Blog

Covers SEC investigations, insider trading, derivative actions, white collar defense, and whistleblowers. By Orrick, Herrington & Sutcliffe LLP.

http://blogs.orrick.com/securities-litigation/
Rank this Week: 3255

Securities Law Blog

Securities Law Blog

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

http://www.securitieslaw-blog.com/
  • Aug 26

    Ponzi Schemes Year In Review: Volume II

    Ponzi Schemes Year In Review: Volume II
    Throughout the year, the Frankowski Firm has investigated a number of Ponzi schemes. Thousands of investors have lost millions of dollars by unwittingly putting their money into Ponzi schemes all across the country. This second installment of…
  • Aug 25

    Colorado Resident Charged With Offering Fraud In Atlanta

    Colorado Resident Charged With Offering Fraud In Atlanta
    Heidi Ann Gamer was charged last week by the SEC with operating a $771,900 offering fraud involving two companies, one of which was based in Atlanta, Georgia. Gamer’s victims included people who participated in substance-abuse programs.…
  • Aug 22

    Ponzi Schemes Year In Review: Volume I

    Ponzi Schemes Year In Review: Volume I
    Throughout the year, the Frankowski Firm has investigated a number of Ponzi schemes. Thousands of investors have lost millions of dollars by unwittingly putting their money into Ponzi schemes all across the country. This Year In Review…
Rank this Week: 2118

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: 1293

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/
  • Aug 26

    Record Number of FINRA Enforcement Cases Expected

    Record Number of FINRA Enforcement Cases Expected
    Last month we learned that FINRA Enforcement fines were up, and set to surpass last year's fines. If you need any more convincing that now is the time to insure that your policies and procedures are compliant, FINRA is saying that it is on…
  • Aug 25

    California-Based Telecommunications Equipment Firm and Two Former Executives Charged in Revenue Recognition Scheme

    California-Based Telecommunications Equipment Firm and Two Former Executives Charged in Revenue Recognition Scheme
    The SEC announced charges against a Newport Beach, Calif.-based telecommunications equipment company and two former executives accused of improperly recognizing as revenue more than a million dollars’ worth of inventory that was shipped…
  • Aug 25

    Bank of America Admits Disclosure Failures to Settle SEC Charge

    Bank of America Admits Disclosure Failures to Settle SEC Charge
    The SEC announced a settlement in which Bank of America admits that it failed to inform investors during the financial crisis about known uncertainties to future income from its exposure to repurchase claims on mortgage loans.Bank of America…
Rank this Week: 1943

Business Blog

Business Blog

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

http://www.businesslawnews.com/
  • Aug 26

    Monkey “Selfie” at Center of Copyright Dispute

    Monkey “Selfie” at Center of Copyright Dispute
    A recent copyright dispute highlights that even the animal kingdom is not immune from the “selfie” craze. British photographer David Slater contends that he owns a photograph taken by an Indonesian macaque that stole his camera.…
  • Aug 25

    Return to Sender: Third Circuit Says USPS Can’t Be Trusted With FMLA Notice

    Return to Sender: Third Circuit Says USPS Can’t Be Trusted With FMLA Notice
    New Jersey employers typically send required legal notices by regular mail via the U.S. Postal Service (USPS). And for good reason — the “mailbox rule” of the courts has long held that a letter sent to the correct address…
  • Aug 22

    Do a CEO’s Marital Woes Belong in the Boardroom?

    Do a CEO’s Marital Woes Belong in the Boardroom?
    In today’s fast-paced digital news environment, very little is off limits, and stories can spread like wildfire. The Donald Sterling saga is just one recent example. While interest in the actions of a company’s chief executive…
Rank this Week: 3680

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
  • Aug 25

    Puerto Rico Bonds Downgraded

    Puerto Rico Bonds Downgraded
    Moody's Investors Service recently cut its Puerto Rican bonds grade by three notches from B2 to Ba2. This leaves the bonds five notches below investment grade.
  • Aug 12

    How to file a UBS Puerto Rico fund lawsuit?

    How to file a UBS Puerto Rico fund lawsuit?
    Losing your life savings because of unsuitable investment advice by your financial advisor can leave you feeling helpless and wondering where to turn. You want answers and justice. A UBS Puerto Rico fund lawsuit may be able to give you both.…
  • 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…
Rank this Week: 3099

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/
  • Aug 25

    Merging? Making an acquisition? Be careful out there.

    Merging? Making an acquisition? Be careful out there.
    By Jetta Sandin and Jay Levine Almost 40 years ago, Congress passed the Hart-Scott-Rodino Antitrust Improvements Act of 1976 (the “HSR Act”). The HSR Act provided a mechanism pursuant to which partied to an acquisition of assets…
  • 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…
Rank this Week: 880

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • Aug 25

    INDIVIDUAL MAY ACT AS SOLICITOR DESPITE SEC ADMINISTRATIVE ORDER

    INDIVIDUAL MAY ACT AS SOLICITOR DESPITE SEC ADMINISTRATIVE ORDER
    The SEC Division of Investment Management determined that a solictor may receive a fee for the soliciation of clients for registered investment advisers notwithstanding a Commission administrative order against her.  See Matter of…
  • Aug 22

    What are Knowledgeable Employees?

    What are Knowledgeable Employees?
    The SEC’s Division of Investment Management issued updated guidance regarding the definition of “knowledgeable employees” under Rule 3c-5 of the Investment Company Act of 1940.  See Managed Funds Ass’n, SEC…
  • Aug 21

    Cash Solicitations Allowed Despite Court Bar

    Cash Solicitations Allowed Despite Court Bar
    The SEC’s Division of Investment Management said it will not object if an investment adviser pays a cash fee for the solicitation of advisory clients, although a federal district court injunctive order precluded it.  RBS Sec. Inc.,…
Rank this Week: 3593

May Law, PC Blog

May Law, PC Blog

Covers investment law, securities laws the requirements of the Financial Industry Regulatory Authority (FINRA).

http://www.maylawpc.net/category/blog/
Rank this Week: 2602

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • Aug 24

    The Travel Issue: Singapore (Second Edition)

    The Travel Issue: Singapore (Second Edition)
    The D&O Diary is on assignment in Asia this week, with the first stop in Singapore. I was very happy to be in Singapore this past week and not just because the Professional Liability Underwriting Society (PLUS) Regional Professional…
  • Aug 22

    Guest Post: The Director Risks Posed by a UK Subsidiary

    Guest Post: The Director Risks Posed by a UK Subsidiary
    Because I am based in the United States and because my experience has been concentrated in the U.S., my focus in this blog has primarily been on issues and developments in the U.S. — although I do enjoy the occasional opportunity to…
  • Aug 19

    Another Environmental Disclosures Securities Suit Survives Initial Pleading Hurdle

    Another Environmental Disclosures Securities Suit Survives Initial Pleading Hurdle
    In recent months, there have been a number of securities class action lawsuits filed based on alleged misrepresentations of the defendant company’s environmental compliance. On August 7, 2014, the securities suit filed against Exide…
Rank this Week: 936

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/
  • Aug 22

    OSC publishes The Investment Funds Practitioner for July 2014

    OSC publishes The Investment Funds Practitioner for July 2014
    Darin Renton - The Investment Funds and Structured Products Branch of the Ontario Securities Commission recently released the July 2014 issue of The Investments Funds Practitioner, which provides an overview of recent issues…
  • Aug 22

    Delaware Chancery provides important guidance to boards of directors and financial advisor

    Delaware Chancery provides important guidance to boards of directors and financial advisor
    Stéphane Rousseau and Benoît Dubord - The recent Rural Metro decision in the Delaware Court of Chancery provides important guidance to boards of directors and financial advisors in change of control situations. Specifically, the…
  • Aug 20

    New UK measures to counter avoidance schemes involving transfer of corporate profit

    New UK measures to counter avoidance schemes involving transfer of corporate profit
    Jeffrey Keey -  A new section 1305A of the UK Corporation Tax Act 2009 (CTA 2009) has been introduced by the UK Finance Act 2014 that applies to payments made from March 19, 2014 under avoidance schemes involving the transfer of…
Rank this Week: 4263

Business Law Post

Business Law Post

Covers corporate law, securities law, intellectual property, and social entrepreneurship. By Arina Shulga.

http://www.businesslawpost.com
  • Aug 22

    New Seed Financing Documents (500 Startups and Y Combinator)

    New Seed Financing Documents (500 Startups and Y Combinator)
    The startup industry keeps on coming up with new innovative solutions to seed financing.  The latest trend is convertible equity.  Two startup venture funds and incubators, 500 Startups and Y Combinator, recently released their…
  • Aug 22

    Unregistered IPOs of Bitcoin Companies Do Not Go Unnoticed By the SEC

    Unregistered IPOs of Bitcoin Companies Do Not Go Unnoticed By the SEC
    As I previously discussed in my blog here, the SEC does not have a mandate to regulate Bitcoin. Not unless it is used in a securities offering, especially in an unregistered initial public offering conducted over the Internet in violation of…
  • Aug 6

    Crowdfunding Right Now (Fund Model, Broker-Dealer Model, Lending Platforms and Intrastate Offerings)

    Crowdfunding Right Now (Fund Model, Broker-Dealer Model, Lending Platforms and Intrastate Offerings)
    We are still waiting for the SEC to issue final rules with respect to the Title III crowdfunding that will allow the U.S. companies to issue up to $1 million in securities to non-accredited investors through the online funding portals. So,…
Rank this Week: 4419

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/
  • Aug 21

    The #ALSIceBucketChallenge

    The #ALSIceBucketChallenge
    I was challenged to the ALS Ice Bucket Challenge last night by some family members, who I thought loved me. It's all good - and it's all for a good cause, to raise awareness, and funds, to help fight ALS....
  • Aug 21

    Investor Alert Roundup

    Investor Alert Roundup
    Some investor alerts have been in the news lately, including those recently issued, and those re-issued to warn folks of continuing threats or issues as seen by the regulators. Here's a few: FINRA Investor Alert: Viral Disease Stock Scams.…
  • Aug 8

    The Power of Connections: Finding Good Advisors for your Busine

    The Power of Connections: Finding Good Advisors for your Busine
    I had lunch today with a new friend who has recently left a career in the corporate world and started his own business. Though quite an experienced and knowledgeable guy, he's new to running his own business, and, while looking...
Rank this Week: 1205

Strictly Business

Strictly Business

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

http://www.strictlybusinesslawblog.com/
  • Aug 19

    Venture Capital Term Sheet Negotiation — Part 13: Drag-Along Right

    Venture Capital Term Sheet Negotiation — Part 13: Drag-Along Right
    This post is the thirteenth in a series giving practical advice to startups with respect to understanding and negotiating a venture capital term sheet. In the prior twelve posts, we provided an introduction to negotiation of the…
  • 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…
Rank this Week: 3133

TRACE Blog

TRACE Blog

Covers anti-bribery compliance.

http://traceblog.org/
  • 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…
  • Aug 11

    Demystifying Anti-Bribery Certification

    Demystifying Anti-Bribery Certification
    Over the past few weeks, we here at TRACEblog have noticed a few interesting critiques of anti-bribery certifications. Harvard Law Professor Matthew Stephenson writes on his blog that he holds “a fair amount of skepticism”…
  • Aug 6

    Research Call for Case Studies to Advance Third Party Due Diligence

    Research Call for Case Studies to Advance Third Party Due Diligence
    Until now, if ten companies all work with the same ten distributors, these relationships generated a total of 100 due diligence reports.   Each company paid ten times and each distributor completed ten labor-intensive…
Rank this Week: 2471

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
  • Aug 18

    The Gov. Rick Perry Indictment: Another Weak Case that Shouldn’t Have Been Charged

    The Gov. Rick Perry Indictment: Another Weak Case that Shouldn’t Have Been Charged
    The news outlets exploded this weekend with commentary on the Gov. Rick Perry indictment, and the criticism was fast and swift to deem it a very weak case. On Friday, Perry was indicted on two felony counts that arose from … Continue…
  • Aug 14

    Federal Lawsuit Highlights Powerful Civil Forfeiture Tool

    Federal Lawsuit Highlights Powerful Civil Forfeiture Tool
    This post was co-authored by White Collar Alert contributor, Erin Dougherty. In a federal complaint filed on Monday, three Philadelphia homeowners whose homes have been targeted for state civil forfeiture have sued the city of Philadelphia,…
  • Aug 6

    Public Officials: Don’t Drive the Ferrari and Don’t Take the Rolex

    Public Officials: Don’t Drive the Ferrari and Don’t Take the Rolex
    Whether or not prosecutors will prove the 14 count indictment against former Governor Bob McDonnell of Virginia and his wife, Maureen, remains to be seen. The public corruption trial is currently into the second week, and the New York Times…
Rank this Week: 942

The Securities Edge

The Securities Edge

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

http://www.thesecuritiesedge.com/
  • Aug 18

    Bob Lamm joins The Securities Edge (and returns to Gunster)

    Bob Lamm joins The Securities Edge (and returns to Gunster)
    Posted By: David C. Scileppi The Securities Edge is excited to announce a new blogger to the fold: Bob Lamm!  After a 12-year “hiatus”, Bob has rejoined Gunster.   Bob is widely considered a national…
  • Aug 17

    Trying to save its own neck? ISS works to assure “data integrity”

    Trying to save its own neck? ISS works to assure “data integrity”
    Posted By: David C. Scileppi On Thursday, Institutional Shareholder Services Inc. (ISS) announced the launch of a new data verification portal to be used for equity-based compensation plans that U.S. companies submit for approval by their…
  • Jul 30

    Delaware vs Florida: Where should you incorporate?

    Delaware vs Florida: Where should you incorporate?
    Posted By: Gustav L. Schmidt There is an attraction for companies to incorporate in Delaware, likely due to the abundance of well-known publicly traded corporations that have chosen to incorporate there. However, it is not necessarily true…
Rank this Week: 3421

Footnoted

Footnoted

Reports on actionable information in SEC filings.

http://www.footnoted.com/
  • Aug 18

    From $1 to $675K for new LA Times chief!

    From $1 to $675K for new LA Times chief!
    When the LA Times named a new publisher and CEO last week, it was widely noted that he once took a $1 salary. Not anymore.
  • Aug 13

    EZCorp: The gift that keeps on giving

    EZCorp: The gift that keeps on giving
    Some companies filings are gifts that keep on giving. Take pawn shop company EZCORP for example.
  • Aug 7

    Walgreen’s CFOs: coming and going

    Walgreen’s CFOs: coming and going
    Lots of news out of Walgreens lately, but we still found details in an 8-K that haven't received much coverage.
Rank this Week: 1021