Most Popular Securities Law Blawgs Expanded View List View

Blogs 1 - 45 of 90
Sorted by Popularity | Sort by Name | Sort by Last Post Date
Today | This Week | This Month | All Time |

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Jul 21

    Robert Wamhoff: Received 4 Customer Complaints, Most Recently For Violating Regulatory Rule

    Robert Wamhoff: Received 4 Customer Complaints, Most Recently For Violating Regulatory Rule
    Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 20, 2017 indicate that Missouri-based Calton & Associates broker/adviser Robert Wamhoff has received several resolved or pending customer…
  • Jul 21

    Nicholas Toadvine Has Received Eleven Customer Comlaint

    Nicholas Toadvine Has Received Eleven Customer Comlaint
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 20, 2017 indicate that Florida-based Calton & Associates broker/adviser Nicholas Toadvine has received several resolved or pending customer…
  • Jul 20

    Kory Keath Has Been Named in a Pending FINRA Complaint

    Kory Keath Has Been Named in a Pending FINRA Complaint
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 19, 2017 indicate that former Washington-based Edward Jones broker/adviser Kory Keath has been named in a pending FINRA complaint.…
Rank this Week: 37

Securities Lawyer 101

Securities Lawyer 101

Covers securities enforcement, securities law and going public matters. By Hamilton & Associates.

https://www.securitieslawyer101.com/blog/
  • Jan 23

    SEC Final Judgment Entered Against Graduate Leverage

    SEC Final Judgment Entered Against Graduate Leverage
    Going Public LawyerOn December 23, 2016, the United States District Court for the District of Massachusetts entered final judgments against Graduate Leverage, LLC, GL Capital Partners, LLC, GL Investment Services, LLC, Taft Financial…
  • Jan 22

    Final Judgment Entered Against Gregg Mulholland Posted by Brenda Hamilton

    Final Judgment Entered Against Gregg Mulholland Posted by Brenda Hamilton
    Going Public LawyerOn January 11, 2017, the U.S. District Court for the Eastern District of New York entered a final judgment against defendant Gregg R. Mulholland, a penny stock promoter charged in an SEC action with illegally selling more…
  • Jan 21

    Final Judgment Entered in “Prime Bank” Fraud – By: Brenda Hamilton

    Final Judgment Entered in “Prime Bank” Fraud – By: Brenda Hamilton
    Going Public LawyerOn January 13, 2017, the U.S. District Court for the District of Minnesota entered a final judgment against Minnesota resident James M. Louks and his company, FiberPoP Solutions, Inc. Louks and FiberPoP are defendants in an…
Rank this Week: 76

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/
  • Jul 17

    Two More Texans Plead Guilty in $6.5M Diamond Investment Scam

    Two More Texans Plead Guilty in $6.5M Diamond Investment Scam
    Jay Bruce Heimburger, a Dallas man, has pleaded guilty to mail fraud over his involvement in a $6.4M investment scam that allegedly took place from about March 2011 to November 2013. He faces up to more than 20 years in prison, has to pay a…
  • Jul 15

    Financier Who Bilked Family and Friends of $23M Investment Fraud Gets Three Years in Prison

    Financier Who Bilked Family and Friends of $23M Investment Fraud Gets Three Years in Prison
    Haena Park, the Harvard-educated financier who pleaded guilty to the commodities fraud that bilked over 40 investors of more than $23M, is sentenced to three years in prison. Park defrauded friends and family over six years, beginning in…
  • Jul 13

    14 People Charged In $14.7M Stock Rigging Fraud That Bilked Senior Investor

    14 People Charged In $14.7M Stock Rigging Fraud That Bilked Senior Investor
    According to prosecutors, criminal charges have been brought against 14 people over their alleged involvement in a $14.7M investment scam that primarily targeted older investors. The US Attorney’s office alleges that between 1/2014 and…
Rank this Week: 105

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Jul 21

    Broker Clay Hoffman Barred by FINRA

    Broker Clay Hoffman Barred by FINRA
    The investment lawyers of Gana LLP are investigating the allegations made by The Financial Industry Regulatory Authority (FINRA) against barred broker Clay Hoffman. In June 2016, Hoffman was suspended by FINRA for his alleged failure to…
  • Jul 21

    Broker Alan Rose Receives Customer Complaints over Unsuitable Trade

    Broker Alan Rose Receives Customer Complaints over Unsuitable Trade
    Our law firm, Gana LLP, is investigating claims made by Financial Industry Regulatory Authority (FINRA) against broker Alan Rose. The customer complaints allege that Rose engaged in securities law violations, including making unsuitable…
  • Jul 20

    Financial Advisor Gary Kenneth Rasmussen Receives Customer Complaints Over Unsuitability

    Financial Advisor Gary Kenneth Rasmussen Receives Customer Complaints Over Unsuitability
    Our law firm, Gana LLP, is investigating claims made by Financial Industry Regulatory Authority (FINRA) against advisor Gary Kenneth Rasmussen. Rasmussen’s BrokerCheck records show customer complaints that allege that Rasmussen engaged…
Rank this Week: 132

DealLawyers.com Blog

DealLawyers.com Blog

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

http://www.deallawyers.com/Blog/
  • Jul 21

    Private Equity: Institutions Offer “Subscription Credit Line” Guideline

    Private Equity: Institutions Offer “Subscription Credit Line” Guideline
    This Weil Gotshal blog discusses the Institutional Limited Partners Association’s new guidelines on the use of subscription credit lines by fund managers.  These credit arrangements – which originally were used to…
  • Jul 20

    Preferred Stock: Charter Provision Gives Vote, Not Preference

    Preferred Stock: Charter Provision Gives Vote, Not Preference
    It’s been a tough year in Delaware for preferred stockholders – & according to this K&L Gates blog, they just took another hit in Chancery Court: In In re Appraisal of GoodCents Holdings, Inc., C.A. No.…
  • Jul 19

    Earnouts: Yes, They Can Be Securitie

    Earnouts: Yes, They Can Be Securitie
    Convincing business people that an earnout can be a “security” for purposes of the Securities Act is often a challenge.  Fortunately, this recent Cooley blog provides some help. Here’s an excerpt:…
Rank this Week: 176

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
  • Jun 23

    Destructive Impact of Fund Fee

    Destructive Impact of Fund Fee
    A retiree living off her portfolio may lose hundreds of dollars a year in income for each added basis point of fund expense ratio — or adviser fee. BY CRAIG L. ISRAELSENFEES DIRECTLY REDUCE PORTFOLIO RETURNS … AND that comes…
  • Apr 7

    Customer Sues Merrill Lynch for Fraud in Connection with Its Use of Funds in a Reserve Account

    Customer Sues Merrill Lynch for Fraud in Connection with Its Use of Funds in a Reserve Account
    From the Desk of Jim Eccleston at Eccleston Law LLC: A former customer of Merrill Lynch has sued the firm in California civil court for engaging in fraud. According to the lawsuit, Merrill Lynch misused the customer’s cash that…
  • Apr 5

    New Recommendations by the FINRA Dispute Resolution Task Force (15th Article)

    New Recommendations by the FINRA Dispute Resolution Task Force (15th Article)
    From the Desk of Jim Eccleston at Eccleston Law LLC:This is the fifteenth in a series of posts to discuss the 51 recommendations that the FINRA Dispute Resolution Task Force (Task Force) has made to the National Arbitration and Mediation…
Rank this Week: 167

Securities Law Prof Blog

Securities Law Prof Blog

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

http://lawprofessors.typepad.com/securities/
  • Jul 22

    Trump to Nominate Former Senate Aide Peirce for SEC Commissioner

    Trump to Nominate Former Senate Aide Peirce for SEC Commissioner
    Eric Beech (Reuters), Trump to Nominate Former Senate Aide Peirce for SEC Commissioner: U.S. President Donald Trump intends to nominate former Senate Republican aide Hester Maria Peirce to be a member of the Securities and Exchange…
  • Jul 22

    Call for Papers: Symposium on Personalized Law

    Call for Papers: Symposium on Personalized Law
    I received the following conference announcement: Call for Papers: Symposium on Personalized Law Presented by the University of Chicago Law Review and the Coase-Sandor Institute for Law and Economics April 27-28, 2018 We are pleased to…
  • Jul 17

    New Securities Law Articles in Print

    New Securities Law Articles in Print
    The following law review articles relating to securities regulation are now available in paper format: Jesus Garcia Aparicio, Note, Enhancing Shareholder Rights in Intermediated Securities Holding Structures Across Borders, 13 N.Y.U. J.L.…
Rank this Week: 461

Securities Law Blog

Securities Law Blog

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

http://seclaw.blogspot.com/
Rank this Week: 315

California Securities Fraud Lawyer…

California Securities Fraud Lawyer Blog

Covers securities regulation, fiduciaries, and securities disputes news and updates. Published By Alcala Law Firm.

http://www.californiasecuritiesfraudlawyerblog.com/
  • Jun 26

    Morgan Stanley Smith Barney Liable for Aiding and Abetting Financial Elder Abuse

    Morgan Stanley Smith Barney Liable for Aiding and Abetting Financial Elder Abuse
    Last week, a securities arbitration panel in Los Angeles, California, found Morgan Stanley Smith Barney (“MSSB”) liable for elder financial abuse by aiding and abetting an unaffiliated individual’s financial…
  • Jun 14

    A Securities Lawyer’s Advice to Would be Whistleblower

    A Securities Lawyer’s Advice to Would be Whistleblower
    Whistleblower Tips are on the Rise Increased public awareness of the SEC’s Whistleblower Program has lead to a tremendous growth in whistleblower tips and complaints.  In Fiscal Year 2016, the SEC received a record number of tips…
  • Dec 31

    A Securities Lawyer's Top 10 Tips for Senior Investor

    A Securities Lawyer's Top 10 Tips for Senior Investor
    Reject aggressive salespeople. Don't feel pressured to act quickly. Give yourself time to do your homework. Don't be afraid to say "no." Request to be put on the "do not call" list. Ask questions. Ask what licenses the salesperson has. Get…
Rank this Week: 260

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
  • Jun 15

    Lafayette, IN based Bison Financial Group Forced Out By Wells Fargo

    Lafayette, IN based Bison Financial Group Forced Out By Wells Fargo
    A large group of stockbrokers previously with Wells Fargo were “permitted to resign” because of annuity sales practices, according to some of their Brokercheck reports. According to Ameriprise, approximately 15 of the Bison…
  • Jun 11

    RBC Wealth Management (RBC) Pays Huge $3.5 Million Settlement

    RBC Wealth Management (RBC) Pays Huge $3.5 Million Settlement
    In April of 2017, RBC settled a case involving Indianapolis broker James Wilson for $3.5 Million. The investors alleged that Wilson and RBC had overtraded in many accounts and excessively sold their family various closed end funds that…
  • May 30

    ENERGY MASTER LIMITED PARTNERSHIPS (MLPs)

    ENERGY MASTER LIMITED PARTNERSHIPS (MLPs)
    Some investors lost considerable amounts of money by investing in Energy MLPs. Recommended by many financial advisors in 2014-2015, investors were misled to believe these investments carried far less risk than was true. A common…
Rank this Week: 228

Securities Fraud Attorney Blog

Securities Fraud Attorney Blog

Covers securities fraud, and other areas of securities law and banking and finance law. By Rich, Intelisano & Katz, LLP.

http://www.securitiesfraudattorneyblog.com/
  • Oct 27

    Private Share Litigation Cases are Challenging

    Private Share Litigation Cases are Challenging
    In a very high profile private share litigation, Theranos, a privately held health-technology and medical-laboratory-services company worth $9 billion as of 2014, has been sued this Monday by one of its largest and trusted financial backers,…
  • Jun 19

    Split Decision on Arbitration in Bank of America Case

    Split Decision on Arbitration in Bank of America Case
    This week, a Florida appeals court partially reversed a ruling denying Bank of America’s efforts to arbitrate various claims related to the Scott Rothstein Ponzi scheme. Bank of America, N.A. v. Beverly, Nos. 4D14-3167, 4D14-3168 (Fla.…
  • Jun 19

    Split Decision on Arbitration in Bank of America Case

    Split Decision on Arbitration in Bank of America Case
    This week, a Florida appeals court partially reversed a ruling denying Bank of America’s efforts to arbitrate various claims related to the Scott Rothstein Ponzi scheme. Bank of America, N.A. v. Beverly, Nos. 4D14-3167, 4D14-3168 (Fla.…
Rank this Week: 227

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • Jul 23

    U.K. Court Halts Effort to Use New Opt-Out Class Action Procedure

    U.K. Court Halts Effort to Use New Opt-Out Class Action Procedure
    The highest-profile attempt to utilize the new U.K. regime for consumer class actions has come to a grinding halt. The case involved a claim alleging that MasterCard’s fee structure had resulted in overcharges to tens of millions of…
  • Jul 20

    D&O Insurance: Securing Coverage for Books and Records Request

    D&O Insurance: Securing Coverage for Books and Records Request
    The right of shareholders to demand inspection of companies’ books and records is of course nothing new. What is new is the increased frequency of books and records demands, often as a result of courts’ requirement for prospective…
  • Jul 19

    Up Next: Mandatory Securities Claim Arbitration Provisions?

    Up Next: Mandatory Securities Claim Arbitration Provisions?
    For a while a few years ago, litigation reform bylaws were all the rage – including forum selection bylaws, fee shifting bylaws, even mandatory arbitration bylaws. More recently, discussion of the topic quieted down, in part because the…
Rank this Week: 586

Recover Investment Losses Blog

Recover Investment Losses Blog

Covers investment scams, broker fraud and broker negligence. By Rex Securities Law.

http://blog.rexsecuritieslaw.com
Rank this Week: 1602

Regulation tomorrow

Regulation tomorrow

By Norton Rose Fulbright. Offers resources on the global financial services regulatory environment. It reports on financial services regulatory developments and provides insights and commentary across Africa, Asia, Australia, Canada, Europe and the United States.

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

    US regulators reviewing Volcker Rule applicability to certain non-US fund

    US regulators reviewing Volcker Rule applicability to certain non-US fund
    On July 21, 2017, the Federal Reserve Board, Office of the Comptroller of the Currency, and Federal Deposit Insurance Corporation (the “US Banking Agencies”), along with the Securities and Exchange Commission and the Commodity…
  • Jul 21

    Latest issue of Global Asset Management Quarterly now available

    Latest issue of Global Asset Management Quarterly now available
    The sixth issue of our Global Asset Management Quarterly is now available. You can also register to automatically receive each issue as it is released. This publication highlights key developments that will be of interest to, and affect, our…
  • Jul 21

    Global Asset Management Quarterly – latest issue

    Global Asset Management Quarterly – latest issue
    The latest issue of Global Asset Management Quarterly is now available. EU / UK articles Quarterly update Cross-jurisdictional AIFMD guides 2017 FCA publishes asset management market study: not quite an earthquake but beware of the…
Rank this Week: 1862

White Collar Wire

White Collar Wire

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

http://jacksharman.com/
  • Jul 21

    Summer Crime, “Young Lawyers,” Martini

    Summer Crime, “Young Lawyers,” Martini
    Summer’s heat is fully upon us.  Let us take a moment for crime fiction and cocktails. For recent crime-fiction releases, take a look at Midmonth Book Notes  from The Poisoned Pen bookstore. Also, here is a useful…
  • Jul 14

    Booze Beats Law: Subscribe to White Collar Wire

    Booze Beats Law: Subscribe to White Collar Wire
    Please take a moment to subscribe to White Collar Wire’s email newsletter.  You’ll get notice of articles before anyone else in the Western world. Just look to the left where it says, very helpfully: Subscribe to our…
  • Jun 22

    13 Books Every White-Collar Lawyer Should Read

    13 Books Every White-Collar Lawyer Should Read
    Of the making of lists of books, there shall be no end. Nevertheless, here is one more. Set out below are 13 works that every white-collar lawyer – defense counsel, prosecutor or judge – should read. Why take on such a…
Rank this Week: 2430

Federal Securities Law Blog

Federal Securities Law Blog

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

http://www.fedseclaw.com/
  • Jul 21

    Non-competition agreements: Ensuring enforceability

    Non-competition agreements: Ensuring enforceability
    A non-competition agreement raises state-law public policy concerns. As a result, states often restrict the scope of non-competition agreements before they will enforce them. The protectable interests that states will recognize, the rules of…
  • Jul 7

    The importance of reading the document

    The importance of reading the document
    One of the most important things lawyers and clients should do in every merger & acquisition transaction is to read the documents, and be clear on the central facts of their transaction. This seems so profoundly simple and obvious that it…
  • Jul 5

    Data breaches and due diligence

    Data breaches and due diligence
    Chances are that you or someone you know has been the victim of a data breach. The high number of cyberattacks and data breaches, now reported almost daily, calls attention to the importance of addressing these areas in the due diligence…
Rank this Week: 822

Canadian Securities Law Online

Canadian Securities Law Online

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

http://www.canadiansecuritieslaw.com/
  • Jul 21

    Alberta, Manitoba and New Brunswick Adopt MI 61-101

    Alberta, Manitoba and New Brunswick Adopt MI 61-101
    Minority security holders in Alberta, Manitoba and New Brunswick will enjoy enhanced protections as the result of the adoption by their respective provincial securities regulators of Multilateral Instrument 61-101 Protection of Minority…
  • Jul 21

    TSX Ex-Dates Transition to T+2

    TSX Ex-Dates Transition to T+2
    In connection with the settlement cycles in Canadian and U.S. capital markets being shortened to trade date plus two business days (T+2) from trade date plus three business days (T+3), 2017, the TSX is making certain amendments to the TSX…
  • Jul 21

    TSX Adopts Housekeeping Amendments to Company Manual

    TSX Adopts Housekeeping Amendments to Company Manual
    On May 11, 2017, the TSX published housekeeping amendments to the TSX Company Manual related to non-public interest changes. The amendments include fixing typographical errors, clarifying provisions, updating references to securities…
Rank this Week: 4128

McEldrew Young Blog

McEldrew Young Blog

Covers whistleblower law and wage theft for employees.

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

    Without Whistleblower Rewards, British Tips Decline

    Without Whistleblower Rewards, British Tips Decline
    A report earlier this month by the Financial Conduct Authority detailed the declining number of whistleblower tips reported to the British authorities. From 2014-15 to 2016-17, the number of reports has declined each year, resulting in just…
  • Jul 20

    Record Award Predicted for SEC Whistleblowers from JPMorgan Fine

    Record Award Predicted for SEC Whistleblowers from JPMorgan Fine
    A media outlet, Financial Planning, is predicting that a pair of SEC whistleblowers will share an award of approximately $70.6 million out of the $307 million in regulatory fines against JPMorgan in 2015. Another outlet, Advisor Hub, put the…
  • Jul 19

    SEC, CFTC Directors Speak on Whistleblower Program

    SEC, CFTC Directors Speak on Whistleblower Program
    The Chief of the SEC’s Office of the Whistleblower, Jane Norberg, and the Director of the CFTC Whistleblower Office, Christopher Ehrman, spoke recently at the Practicing Law Institute’s program on June 28, 2017, titled Corporate…
Rank this Week: 1961

Securities Law Attorneys Blog

Securities Law Attorneys Blog

Covers securities law. By Fitapelli | Kurta.

http://www.securitieslawattorneys.net/
  • Jul 21

    Abraham Heimann Has Three Pending Customer Complaint

    Abraham Heimann Has Three Pending Customer Complaint
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 20, 2017 indicate that former Georgia-based Cetera Advisors broker Abraham Heimann has received several pending customer disputes.…
  • Jul 21

    Mike Milne Received a FINRA Sanction

    Mike Milne Received a FINRA Sanction
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 20, 2017 indicate that former Florida-based Kovack Securities broker/adviser Mike Milne has received a pending customer dispute…
  • Jul 21

    Jeb Bonner Was Discharged From a Former Employer in Connection to Alleged Rule Violation

    Jeb Bonner Was Discharged From a Former Employer in Connection to Alleged Rule Violation
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 20, 2017 indicate that former Alabama-based Raymond James & Associates broker/adviser Jeb Bonner was recently discharged from…
Rank this Week: 1680

Subject to Inquiry

Subject to Inquiry

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

http://www.subjecttoinquiry.com/
  • Jul 21

    DOJ Takes Down AlphaBay, the World’s Largest Dark Web Marketplace

    DOJ Takes Down AlphaBay, the World’s Largest Dark Web Marketplace
    The U.S. Department of Justice has announced the seizure of AlphaBay, the largest criminal marketplace on the Internet, which was used to sell stolen financial information, identification documents and other personal data, computer hacking…
  • Jul 11

    CFPB Issues Game-Changing Rule On Arbitration Clause

    CFPB Issues Game-Changing Rule On Arbitration Clause
    On Monday, July 10, 2017, the Consumer Financial Protection Bureau (CFPB) issued a game-changing final rule regarding the use of arbitration clauses in consumer contracts.  The Rule is effective 60 days following its publication in the…
  • Jul 6

    Treasury Department Recommends Broad Reforms to CFPB

    Treasury Department Recommends Broad Reforms to CFPB
    The Department of the Treasury recently cited the CFPB’s “unaccountable structure and unduly broad regulatory powers,” in suggesting reforms to address the CFPB’s “regulatory abuses and excesses.” The…
Rank this Week: 2445

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Jul 21

    Piwowar engages in Q&A session on capital formation initiative

    Piwowar engages in Q&A session on capital formation initiative
    By Jacquelyn LumbCommissioner Michael Piwowar participated in a question-and-answer session hosted by the Heritage Foundation titled “SEC, Entrepreneurship and Economic Growth.” David Burton, a senior fellow in economic policy,…
  • Jul 20

    Hester Peirce again gets nod for SEC post

    Hester Peirce again gets nod for SEC post
    By Mark S. Nelson, J.D.President Trump has nominated Hester Peirce to be an SEC commissioner. This will be the second time Peirce has received a presidential nod to join the Commission, the first having been under the Obama administration.…
  • Jul 19

    House panel mulls reforms to fixed income market structure

    House panel mulls reforms to fixed income market structure
    By John M. Jascob, J.D., LL.M.The House Subcommittee on Capital Markets, Securities, and Investment held a hearing on July 14 to review the state of the U.S. fixed income markets and the need for reform of the current market structure. Aimed…
Rank this Week: 2187

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Jul 21

    Proxy Voting: Increase in Directors Getting “No” Vote

    Proxy Voting: Increase in Directors Getting “No” Vote
    It looks like investors used their votes to send a message to some directors during this year’s proxy season – and it wasn’t “keep up the good work.”  This excerpt from a recent Bloomberg…
  • Jul 20

    IPOs: Commissioner Piwowar Favors Allowing Mandatory Arbitration

    IPOs: Commissioner Piwowar Favors Allowing Mandatory Arbitration
    Speaking at the Heritage Foundation earlier this week, SEC Commissioner Mike Piwowar said that the SEC might be receptive to requests by IPO companies to include mandatory arbitration clauses in their charters. Here’s an excerpt from…
  • Jul 19

    Tomorrow’s Pre-Conference Webcast: “Pay Ratio Workshop – What You Need to Do Now”

    Tomorrow’s Pre-Conference Webcast: “Pay Ratio Workshop – What You Need to Do Now”
    For those registered for the upcoming “Pay Ratio & Proxy Disclosure Conference,” tune in tomorrow – noon eastern (audio archive goes up when the program ends; transcript available in a week or so) – for the first…
Rank this Week: 2212

California Corporate & Securities…

California Corporate & Securities Law

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

http://calcorporatelaw.com/
  • Jul 21

    Shares of Foreign Subsidiarie

    Shares of Foreign Subsidiarie
    I expect that little or no thought is given to the possible application of California’s Corporate Securities Law of 1968 when a corporation incorporates a subsidiary under the laws of a foreign country.  However, the…
  • Jul 20

    The Case Of The Wholly Owned, But Not Totally Held, Subsidiary That May Or May Not Be 100% Owned

    The Case Of The Wholly Owned, But Not Totally Held, Subsidiary That May Or May Not Be 100% Owned
    When someone says that a subsidiary is “wholly owned”, I believe that the common understanding is that the parent company owns all of the issued and outstanding equity of the subsidiary.  What if the statement is that the…
  • Jul 19

    Court Declines To Impose Alter Ego Liability On LLC’s President

    Court Declines To Impose Alter Ego Liability On LLC’s President
    In general, the debts, obligations, or other liabilities of a California limited liability company do not become the debts, obligations, or other liabilities of a member or manager solely by reason of the member acting as a member or…
Rank this Week: 4607

The White Law Group's Securities…

The White Law Group's Securities Fraud Blog

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

http://www.whitesecuritieslaw.com/securities-fraud/blog/
  • Jul 20

    Goldman Sachs Fined $2.5 Million for Reporting Issue

    Goldman Sachs Fined $2.5 Million for Reporting Issue
    FINRA censures and fines Goldman Sachs for Reporting Issues According to the Financial Industry Regulatory Authority (FINRA) Goldman Sachs & Co. LLC did not account for numerous conventional options positions between January 2010 and July…
  • Jul 20

    Trident Partners LTD Censured and Fined

    Trident Partners LTD Censured and Fined
    FINRA sanctions Trident Partners LTD for Violations Relating to Sale of Steepeners The Financial Industry Regulatory Authority Inc. has censured Trident Partners LTD and fined it $50,000 for supervisory system violations relating to…
  • Jul 19

    ARC New York City REIT Shareholders Postpone Vote on Charter Provision

    ARC New York City REIT Shareholders Postpone Vote on Charter Provision
    Recovery of Investment Losses in ARC New York City REIT Have you suffered investment losses in ARC New York City REIT? If so, The White Law Group may be able to help you recover your losses by filing FINRA Arbitration claim against…
Rank this Week: 2793

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
Rank this Week: 2566

Investment Fraud Information

Investment Fraud Information

By Andrew Stoltmann.

http://www.investmentfraudtimes.com/securities-fraud-attorneys/
Rank this Week: 1884

Securities Law Blog

Securities Law Blog

Covers securities law. By Fitapelli | Kurta.

https://www.securities-law-attorney.com/
  • Jul 20

    James Schaedler: Sanctioned by FINRA Following an Investigation into Alleged Rule Violation

    James Schaedler: Sanctioned by FINRA Following an Investigation into Alleged Rule Violation
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 19, 2017 indicate that former California-based Wells Fargo Clearing Services broker/adviser James Schaedler has been sanctioned by…
  • Jul 20

    Dale Wright Has Received Two Customer Complaint

    Dale Wright Has Received Two Customer Complaint
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 18, 2017 indicate that Virginia-based Cambridge Investment Research broker/adviser Dale Wright has received resolved or pending…
  • Jul 19

    Customer Seeking $2.5 Million in Damages From Broker Daniel Haugh

    Customer Seeking $2.5 Million in Damages From Broker Daniel Haugh
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 18, 2017 indicate that Chicago-based PTI Securities & Futures LP broker/adviser Daniel Haugh has received a regulatory…
Rank this Week: 1833

Stock Attorneys Blog

Stock Attorneys Blog

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

http://www.stockattorneysblog.com/
  • Jul 20

    Cagle Fined and Suspended for Two Months by FINRA

    Cagle Fined and Suspended for Two Months by FINRA
    (FINRA Case #2016051146801) Adriane L. Cagle (CRD #6236929, Fayetteville, Georgia) submitted an AWC (Accept, Waiver & Consent) in which she was assessed a deferred fine of $5,000 and suspended from association with any FINRA member in all…
  • Jul 19

    Scott Sibley Barred from FINRA

    Scott Sibley Barred from FINRA
    (FINRA Case #2015044123501) Scott Allen Sibley (CRD #1523981, Fort Lauderdale, Florida) submitted an AWC (Accept, Waiver & Consent) in which he was barred from association with any FINRA member in all capacities. Without admitting or…
  • Jul 18

    FSC Securities Corporation censured and Fined by FINRA

    FSC Securities Corporation censured and Fined by FINRA
    (FINRA Case #2012034037602) FSC Securities Corporation (CRD #7461, Atlanta, Georgia) submitted an AWC (Accept, Waiver & Consent) in which the firm was censured and fined $200,000. Without admitting or denying the findings, the firm…
Rank this Week: 4209

Strictly Business

Strictly Business

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

http://www.strictlybusinesslawblog.com/
  • Jul 20

    New Options for Raising Capital for Startups and Growth Companie

    New Options for Raising Capital for Startups and Growth Companie
    Traditionally, when raising capital, an overwhelming majority of businesses have used Rule 506 of Regulation D, also often known as the “private placement exemption” as their exemption from securities registration requirements. In…
  • Jun 29

    The Life Cycle of a Private Equity or Venture Capital Fund

    The Life Cycle of a Private Equity or Venture Capital Fund
    Unlike most hedge funds, the investment holdings of private equity and venture capital funds typically are not liquid. Consequently, private equity and venture capital funds usually do not have any redemption rights and are organized to have…
  • Jun 12

    Convertible Equity Options for Startups: SAFEs and KISSe

    Convertible Equity Options for Startups: SAFEs and KISSe
    When it comes to raising capital to get your new business off the ground, there’s a range of investment structures available, from common stock to exchangeable shares. One of the newer and most popular forms of financing for startups is…
Rank this Week: 2626

Special Situations Law

Special Situations Law

By Norton Rose Fulbright. Covers shareholder activist and defence mandates, as well as complex reorganization transactions.

http://www.specialsituationslaw.com/
  • Jul 19

    Trends and Strategies for Companies Involved in M&A Transaction

    Trends and Strategies for Companies Involved in M&A Transaction
    In a report entitled “M&A Activism: A Special Report”[1] (the Report), the editor-in-chief of Activist Insight describes the types of companies most at risk of being targeted by shareholder demands, providing steps that can be…
  • Jul 10

    Fasten Your Seatbelts: Preparing for the Globalization of Hedge Fund Activist

    Fasten Your Seatbelts: Preparing for the Globalization of Hedge Fund Activist
    Activist hedge funds have grown up and gone global, reinforcing the need for companies of all shapes and sizes to plan ahead for the possibility of an attack. A recent article by Martin Lipton in the Harvard Law School Forum of Corporate…
  • Jul 4

    The drivers and consequences of settlement agreements in proxy fight

    The drivers and consequences of settlement agreements in proxy fight
    Activist interventions are being increasingly resolved by way of settlement agreements, with 3% of activist interventions in 2000 having resulted in a settlement agreement versus 16% in 2011.[1] In light of this emerging trend, the Columbia…
Rank this Week: 1913

Tim O'Connor's Blog

Tim O'Connor's Blog

Covers stockbroker fraud.

http://stockbrokerlaw.com/tim-oconnors-blog
  • Jul 19

    State Regulators – The State-by-State Resource for Victimized Senior

    State Regulators – The State-by-State Resource for Victimized Senior
    Where do North American investors go when looking for their state or province specific securities regulators? The organization ServeOurSeniors.org maintains a state-by-state resource for consumers and investors in all fifty states, as well as…
  • Jul 6

    SEC Whistleblower Award of More Than One Half Million Dollars Paid to Whistleblower Insider

    SEC Whistleblower Award of More Than One Half Million Dollars Paid to Whistleblower Insider
    In a Press Release dated May 2, 2017, the SEC announced the payment of a Whistleblower award in excess of one half million dollars to a company employee who provided specific information disclosing a fraudulent practice.  In the release,…
  • May 23

    FINRA Issues Guidance on SEC Approved Rules to Prevent Exploitation of Senior Citizen

    FINRA Issues Guidance on SEC Approved Rules to Prevent Exploitation of Senior Citizen
    The Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 17-11 offering guidance on new SEC guidelines and approvals, including the adoption of FINRA Rule 2165 (Financial Exploitation of Specified Adults). This new…
Rank this Week: 3630

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/
  • Jul 18

    Chairman Clayton Sets New SEC Agenda

    Chairman Clayton Sets New SEC Agenda
    On Wednesday July 12, 2017, in his first public speech as Chairman of the SEC, SEC Chairman Jay Clayton laid out a set of eight priorities that will guide his SEC Chairmanship.[1] He said his priorities are consistent with and complimentary…
  • Jun 27

    Time’s Up: Supreme Court Affirms Three-Year Deadline for Opting Out of Section 11 Class Action

    Time’s Up: Supreme Court Affirms Three-Year Deadline for Opting Out of Section 11 Class Action
    On June 26, 2017, the U.S. Supreme Court issued a decision that will have a significant effect on securities class action litigation, changing the strategic calculus for both institutional plaintiffs and defendants. In California Public…
  • Jun 20

    Report Shows 2016 Record-Setting Year for Class Action and SEC Settlement

    Report Shows 2016 Record-Setting Year for Class Action and SEC Settlement
    Last week, proxy advisory firm Institutional Shareholders Services (“ISS”) published its semi-annual report of the top 100 U.S. securities class action settlements and top 50 SEC settlements of all time, as of December 31, 2016.…
Rank this Week: 3236

Stock Market Loss

Stock Market Loss

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

http://www.stockmarketloss.com/news/
Rank this Week: 3340

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
  • Jul 18

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
    A FINRA JP Morgan Arbitration,Jamie Dimon's Embarrassment And Bill Singer's Apoplexy http://www.brokeandbroker.com/3533/finra-arbitration-u5/BrokeAndBroker.com Blog publisher Bill Singer, Esq. lives and works in New York City. The Big…
  • Jul 17

    A FINRA JP Morgan Arbitration,Jamie Dimon's Embarrassment and Bill Singer's Apoplexy

    A FINRA JP Morgan Arbitration,Jamie Dimon's Embarrassment and Bill Singer's Apoplexy
    BrokeAndBroker.com Blog publisher Bill Singer, Esq. lives and works in New York City. The Big Apple has become the Baked Apple the last few days as it is stewing in the midst of a heat wave. Bill doesn't like 90 degree weather. Frankly, Bill…
  • Jul 17

    Elder Abuse Allegations Arise In Wedbush Arbitration

    Elder Abuse Allegations Arise In Wedbush Arbitration
    The roughly 75 million Millennials recently passed the number of Baby Boomers with Generation Xers projected to exceed the latter's numbers sometime in 2028. As such, a large chunk of our population is now elderly. Unfortunately, elder abuse…
Rank this Week: 3613

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: 3031

Securities Fraud Lawyer Blog

Securities Fraud Lawyer Blog

Covers securities law. By The Law Office of David Liebrader, Inc.

https://www.securitiesfraudlawyerblog.net/
  • Jul 16

    Vincent Mehdizadeh agrees to $12MM settlement with SEC

    Vincent Mehdizadeh agrees to $12MM settlement with SEC
    Vincent Mehdizadeh agrees to a ban, and a $12 million fine to settle SEC charges related to Medbox. In March, 2017 entrepreneur Vincent Mehdizadeh agreed to settle charges brought by the SEC against him and his company Medbox, a legal…
  • Jul 15

    Bart Ellis pleads guilty to fraud

    Bart Ellis pleads guilty to fraud
    Bart Ellis pleads guilty to defrauding clients In July, 2017 former Ameriprise Financial broker Bart Ellis plead guilty to money laundering and defrauding his clients in a case involving over one million dollars. Ellis will be sentenced on…
  • Jul 14

    Charles Laverty hit with $1.3MM arbitration award

    Charles Laverty hit with $1.3MM arbitration award
    In May, 2017, a FINRA arbitrator panel sitting in Los Angeles issued a $1,378,800 binding arbitration award against Charles Laverty in a case involving personal loans that the clients made to Laverty. The underlying matter involved…
Rank this Week: 1805

New York Securities Lawyers Blog

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

http://www.newyorksecuritieslawyersblog.com/
  • Jul 14

    What is There to Gain From Being a Whistleblower?

    What is There to Gain From Being a Whistleblower?
    It takes a lot of courage to report illegal or fraudulent misconduct by one’s own employer.  This is because being a whistleblower carries significant risks.  Whistleblowers not only risk their current employment, but possible…
  • Jul 7

    Can I Sue My Financial Advisor for Elder Abuse?

    Can I Sue My Financial Advisor for Elder Abuse?
    Financial exploitation of the elderly by a financial advisor can take many shapes and forms, and, though sometimes hard to prove, it is indeed possible to recover one’s financial losses from the broker or financial institution who…
  • Jun 22

    Can I Sue My Brokerage Firm for Filing a False Form U5?

    Can I Sue My Brokerage Firm for Filing a False Form U5?
    Can I Sue My Brokerage Firm for Filing a False Form U5? Financial firms that deal in securities do carry legal liability for filing a Form U5 with false information, and financial advisors can indeed sue their former firms for filing an…
Rank this Week: 2764

Corporate Securities Law Blog

Corporate Securities Law Blog

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

http://www.corporatesecuritieslawblog.com/
Rank this Week: 1027

Classified: The Class Action Blog

Classified: The Class Action Blog

A blog focused on the latest class action developments and trends by the attorneys of Carlton Fields Jorden Burt.

http://classifiedclassaction.com/
Rank this Week: 1383

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • Jul 13

    FINRA Notice to Members; Enhanced Confirmation Disclosure

    FINRA Notice to Members; Enhanced Confirmation Disclosure
    FINRA has recently issued a notice to members regarding to the enhancement of confirmation disclosures.  Here is a link to that notice.    Continue Reading…
  • Jul 12

    Ransomware; don’t be held hostage

    Ransomware; don’t be held hostage
    Ransomware is an ever increasing problem.  To learn more about it and to avoid its impact, check out this blog.Continue Reading…
  • Jun 29

    The tale of the recidivist broker

    The tale of the recidivist broker
      The CEO of FINRA recently announced that FINRA plans to provide firms with additional resources to deal with recidivist brokers. So what does this mean? For years, FINRA’s exam priorities have focused on, among other things,…
Rank this Week: 3768

The Securities Edge

The Securities Edge

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

http://www.thesecuritiesedge.com/
  • Jul 12

    On the subject of effective disclosure…

    On the subject of effective disclosure…
    The young ones among you may not be familiar with Harvey Pitt, but he is an incredibly smart man and a gifted attorney who chaired the SEC some years back.  He made some political gaffes in that role, but that doesn’t diminish his…
  • Jun 13

    Don’t stop B-lievin’: A “Journey” into benefit corporation

    Don’t stop B-lievin’: A “Journey” into benefit corporation
    When you think of corporations, you think “maximize profits for shareholders”. This notion is being turned on its head as a growing sustainable business movement asks: “Can we look to factors in addition to profit to measure…
  • Jun 12

    The CAMs are coming and other enlightened enhancements courtesy of the PCAOB

    The CAMs are coming and other enlightened enhancements courtesy of the PCAOB
    Earlier this month, after seven years of threats, the PCAOB adopted rules to drastically change the standard auditor’s report. In adopting the rules, the PCAOB noted that the standard auditor’s report had largely remained…
Rank this Week: 3421

SEC Whistleblower Lawyer Blog

SEC Whistleblower Lawyer Blog

Covers securities law. By Silver Law Group & The Law Firm of David R. Chase, P.A.

http://www.secwhistleblowerlawyers.net/
  • Jul 11

    Despite Trump Administration Uncertainty, SEC Whistleblower Program Reports Business as Usual

    Despite Trump Administration Uncertainty, SEC Whistleblower Program Reports Business as Usual
    Even with political clouds of uncertainty from the Trump administration, the head of U.S Securities and Exchange Commission is moving the agency full speed ahead, all the while chastising companies that retaliate or discourage their employees…
  • Jun 27

    CFTC Website Launches News Portal for Whistleblower Program

    CFTC Website Launches News Portal for Whistleblower Program
    The CFTC Whistleblower program today announced the launch of a news portal, event schedule, and FAQ for its whistleblower program on its website This new portal will contain industry news, CFTC Events and a FAQ covering the Whistleblower…
  • Jun 13

    SEC Declines Paying a Whistleblower Because the Tip Was Provided Prior to Dodd-Frank

    SEC Declines Paying a Whistleblower Because the Tip Was Provided Prior to Dodd-Frank
    The SEC recently declined to pay a whistleblower award to a claimant that sought the SEC’s review of its stance on payouts stemming from information provided prior to the Dodd-Frank Act’s enactment in 2010. In an SEC Order, the…
Rank this Week: 1745

Oil & Gas Investment Fraud Lawyer…

Oil & Gas Investment Fraud Lawyer Blog

Covers securities issues with a focus on oil & gas investment fraud. By Silver Law Group, The Law Firm of David R. Chase, P.A., and Ciklin Lubitz & O'Connell.

http://www.oilgasinvestmentfraudlawyer.com/
Rank this Week: 1743

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/
  • Jul 5

    Incorporating By Reference In Your NC Business Court Brief? Don't Do It!

    Incorporating By Reference In Your NC Business Court Brief? Don't Do It!
    If you have ever drafted a Complaint, you have undoubtedly used the words that your previous numbered allegations were "incorporated by reference."  It's a way of not having to repeat yourself.  That  shortcut is specifically…
  • Jun 16

    Joint Defense Agreements Are Not Protected By The Attorney-Client Privilege

    Joint Defense Agreements Are Not Protected By The Attorney-Client Privilege
    Why would any lawyer think that his Joint Defense Agreement, entered into with a co-defendant, was protected from production by the attorney-client privilege?  Well, the lawyer for one of the Defendants in AP Atlantic, Inc., v. Crescent…
  • Jun 6

    Deposition, My Office Or Yours? NC Business Court: Neither

    Deposition, My Office Or Yours? NC Business Court: Neither
    You probably don't think much, when you are noticing a deposition, about where it should take place.  Ideally, you probably want it to happen in your own office. The NC Rule of Civil Procedure on depositions, Rule 30, says that the…
Rank this Week: 491

Securities Fraud Lawyer Blog

Securities Fraud Lawyer Blog

Covers securities law. By Forman Law Firm.

https://www.securitiesfraudlawyerblog.com/
  • Jun 26

    “A Recovery Checklist For Victims of Investment Fraud”

    “A Recovery Checklist For Victims of Investment Fraud”
    Checklist For Victims of Investment Fraud should include hiring a competent attorney. FINRA's Checklist offers a lot of good advice and resources, but perhaps the most important advice for someone that has been a victim of a financial crime…
  • Jun 19

    FINRA Statistics-What Do They Tell Us About FINRA’s Arbitration Process and Its Fairness?

    FINRA Statistics-What Do They Tell Us About FINRA’s Arbitration Process and Its Fairness?
    FINRA Arbitration Statistics-What do they tell us about fairness of the arbitration process? In reality, not much. Advocates for the public investor community argue that mandatory arbitration is not fair, as it robs the consumer of choice,…
  • Jun 12

    Can I Sue My Stockbroker?

    Can I Sue My Stockbroker?
    Can I Sue My Stockbroker? Well, yes and no.  The question is more appropriately “How do I sue my stockbroker?” or “Where can I sue my stockbroker?”  As I will explain shortly, the common denominator to all of…
Rank this Week: 1770