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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 31

    SEC’s Report Evaluates The Definition of An Accredited Investor

    SEC’s Report Evaluates The Definition of An Accredited Investor
    The U.S. Securities and Exchange Commission (SEC) has put out a report assessing the definition of who qualifies as an accredited investor. The 2010 Dodd-Frank Act mandates that this definition be reevaluated every four years. Accredited…
  • Dec 29

    Wells Fargo Sued by Commerz Bank in Mortgage-Backed Securities Case

    Wells Fargo Sued by Commerz Bank in Mortgage-Backed Securities Case
    Commerzbank is suing Wells Fargo (WFC) for losses sustained on failed mortgage-backed securities (MBS). The German finance firm claims the California lending giant did not properly supervise MBS during the housing bubble, which Commerzbank…
  • Apr 26

    Hedge Fund Investors Want to Withdraw $1.4 Billion from Brevan Howard Master Fund

    Hedge Fund Investors Want to Withdraw $1.4 Billion from Brevan Howard Master Fund
    According to Bloomberg sources say that investors in Brevan Howard Asset Management’s primary hedge fund are asking to withdraw about $1.4M from the fund in the wake of successive yearly declines and losses from the first quarter.The…
Rank this Week: 78

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/
  • Apr 25

    Be Wary of Zika-Related Investment

    Be Wary of Zika-Related Investment
    The SEC has issued an Investor Alert regarding fraudsters attempting to profit by exploiting the dangers associated with the Zika virus.  For those not following the news, Zika is a tropical disease transmitted by mosquitoes. …
  • Apr 22

    The Elderly – Vulnerable to Stockbroker Abuse

    The Elderly – Vulnerable to Stockbroker Abuse
    In our law firm, we frequently represent elderly clients in claims against brokerage firms and financial advisors.  These claims usually include allegations that the broker took advantage of the elderly client, or recommended improper…
  • Apr 14

    Giving Someone Else Power Over Your Investment

    Giving Someone Else Power Over Your Investment
    As the investing population ages, it becomes more and more likely that investors will suffer failing physical and/or mental health.  Your permanent – or even temporary – incapacity could make managing your own investment…
Rank this Week: 86

The Race to the Bottom

The Race to the Bottom

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

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

    The SEC and Administrative Proceedings (Part 2)

    The SEC and Administrative Proceedings (Part 2)
    We are discussing some of the issues raised by Peter Henning in his DealBook column, The S.E.C.’s Use of the ‘Rocket Docket’ Is Challenged.   In any event, the limits on discovery, the fact that ALJ decisions are…
  • Aug 26

    The SEC and Administrative Proceedings (Part 1)

    The SEC and Administrative Proceedings (Part 1)
    Peter Henning wrote an interesting piece over at DealBook on the SEC's use of administrative proceedings in place of actions in federal district court.  See The S.E.C.’s Use of the ‘Rocket Docket’ Is Challenged.…
  • Aug 26

    Morrison, the Second Circuit, and the Reverse Effects Test: ParkCentral Global Hub Limited v. Porsche Automobile Holdings (Part 2)

    Morrison, the Second Circuit, and the Reverse Effects Test: ParkCentral Global Hub Limited v. Porsche Automobile Holdings (Part 2)
    We are discussing the Second Circuit's decision in ParkCentral Global Hub Limited v. Porsche Automobile Holdings, a case that effectively created a "reverse effects test" that was contrary to the Supreme Court's analysis…
Rank this Week: 90

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: 110

Securities Lawyer 101

Securities Lawyer 101

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

https://www.securitieslawyer101.com/blog/
  • Jan 1

    Going Public Blog l Securities Lawyer 101

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

    Going Public Blog l Securities Lawyer 101

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

    Court Enters Final Judgments in Sky Capital Boiler Room Case

    Court Enters Final Judgments in Sky Capital Boiler Room Case
    Going Public LawyerThe Securities and Exchange Commission (“SEC”) announced that on April 8th the Honorable Paul A. Crotty of the United States District Court for the Southern District of New York entered final judgments on…
Rank this Week: 250

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • May 2

    Kenley Brisard Terminated from Ridgeway & Conger

    Kenley Brisard Terminated from Ridgeway & Conger
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on April 28, 2016 indicate that former New York-based Ridgeway & Conger broker Kenley Brisard is currently not licensed to act as a broker or an…
  • May 2

    David Lockey Terminated from Edward Jone

    David Lockey Terminated from Edward Jone
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on April 28, 2016 indicate that former Texas-based SWS Financial Services broker/adviser David Lockey is the subject of a pending regulatory complaint.…
  • May 2

    Ciro Cavazos Discharged from Raymond Jame

    Ciro Cavazos Discharged from Raymond Jame
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on April 28, 2016 indicate that former California-based Raymond James broker Ciro Cavazos, also known as Nicholas Cavazos, is currently not licensed…
Rank this Week: 259

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/
  • May 2

    Ultra Petroleum Corp Files Bankruptcy

    Ultra Petroleum Corp Files Bankruptcy
    Ultra Petroleum Corp joins the growing list of energy companies that have filed for bankruptcy in recent years. On Friday April 30, 2016 the company filed for chapter 11 bankruptcy protection. Based in Houston, Texas, Ultra Petroleum is an…
  • Apr 29

    Investor Alert: RK Hall, LLC

    Investor Alert: RK Hall, LLC
    Have you suffered investment losses in RK Hall, LLC? If so, The White Law Group may be able to help you recover your losses by filing a FINRA Dispute Resolution claim against the brokerage firm that sold you the investment. According to their…
  • Apr 29

    Investor Alert: RK Opportunity Fund III

    Investor Alert: RK Opportunity Fund III
    Have you suffered investment losses in RK Opportunity Fund III, LLC? If so, The White Law Group may be able to help you recover your losses by filing a FINRA Dispute Resolution claim against the brokerage firm that sold you the investment.…
Rank this Week: 283

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/
  • May 2

    Silicon Valley Executive Settles Insider Trading Charge

    Silicon Valley Executive Settles Insider Trading Charge
    The Securities and Exchange Commission today announced that a Silicon Valley executive has agreed to pay more than a half-million dollars to settle charges that he traded on inside information received from a board member at a Minnesota-based…
  • Apr 30

    Facebook Crushes Revenue Projections as Mobile Ad Sales Surge

    Facebook Crushes Revenue Projections as Mobile Ad Sales Surge
    Facebook's quarterly revenue rose more than 50 percent, beating Wall Street expectations as its wildly popular mobile app and a push into live video lured new advertisers and encouraged existing ones to boost spending.The company's shares…
  • Apr 30

    FINRA Reports on Effective Practices for Digital Investment Advice

    FINRA Reports on Effective Practices for Digital Investment Advice
    FINRA has issued a press release stating that financial services "firms' offerings of digital investment advice need sound governance and supervision, including effective means of overseeing suitability of recommendations, conflicts of…
Rank this Week: 161

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
  • Apr 29

    CFP Board Introduces Mandatory Arbitration Plan

    CFP Board Introduces Mandatory Arbitration Plan
    From the Desk of Jim Eccleston at Eccleston Law LLC:Recently, the CFP Board announced that it would make revisions to its Terms and Conditions of Certification agreement with CFPs. The changes have focused primarily on a new provision for…
  • Apr 28

    DOL Amends Final Fiduciary Rule in Bid to Ease Industry Concern

    DOL Amends Final Fiduciary Rule in Bid to Ease Industry Concern
    From the Desk of Jim Eccleston at Eccleston Law LLC:The Labor Department has finalized an amended version of its fiduciary rule, which will provide wealth management firms a lengthier timeline for implementation in addition to relaxing…
  • Apr 27

    SEC charges four with fraudulent free-dinner scheme in Florida that targeted the elderly

    SEC charges four with fraudulent free-dinner scheme in Florida that targeted the elderly
    From the Desk of Jim Eccleston at Eccleston Law LLC:A large amount of money raised through “free dinner” investment seminars in Florida was never invested, the SEC alleges. The complaint states that four individuals invited…
Rank this Week: 343

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: 153

William Carleton, Counselor @ Law

William Carleton, Counselor @ Law

Covers legal and investment issues facing emerging tech companies.

http://www.wac6.com/wac6/
  • Mar 16

    Secondary Sales and An Investor Covenant You Don’t Want To Mi

    Secondary Sales and An Investor Covenant You Don’t Want To Mi
    Dear Readers: This is a post I co-wrote with Joe Wallin, who has published the almost identical post here. If you are investing in early stage companies, there are certain deal terms you want. Most you probably know already: if...
  • Mar 11

    A Gift from Congress to Angel

    A Gift from Congress to Angel
    The picture here was taken by Joe Wallin, who was on a panel with me, Gary Kocher of K&L Gates, Tom Alberg of Madrona Ventures, and Dan Rosen of the Alliance of Angels, talking to the Angel Capital Association's NW...
  • Mar 3

    Looking for Mr. 506(c)

    Looking for Mr. 506(c)
    "On a relative basis, issuances claiming the new Rule 506(c) exemption have accounted for only 2.1% of the reported capital raised pursuant to Rule 506 since becoming effective in September 2014." So reads a key finding of a report,…
Rank this Week: 144

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/
  • Dec 31

    Puerto Rico Will Make $330M in Bond Payments, Defaults on About $37M

    Puerto Rico Will Make $330M in Bond Payments, Defaults on About $37M
    The U.S. Commonwealth of Puerto Rico will pay about $330 million of what it owes on general obligation bonds, while defaulting on bonds of approximately $37 million that are mostly owed to the Puerto Rico Infrastructure Financing Authority…
  • Dec 26

    Man Released from Prison Faces New Fraud Charges in $11M Investor Stock Scam

    Man Released from Prison Faces New Fraud Charges in $11M Investor Stock Scam
    The Securities and Exchange Commission is charging Edward Durante with bilking investors once again. Durante, who already served a 10-year sentence for a previous securities fraud conviction, is accused of using different aliases to defraud…
  • Apr 30

    Oppenheimer Still Has Substantial Funds in Puerto Rico Municipal Bond Debt

    Oppenheimer Still Has Substantial Funds in Puerto Rico Municipal Bond Debt
    According to InvestmentNews, even with Puerto Rico heading toward default on its $72 billion in municipal debt, there are a number of funds that continue to hold the U.S. Territory’s bonds in their portfolios, such as the: · …
Rank this Week: 530

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • May 2

    Private Company Management Liability Insurance Tune-Up Tip

    Private Company Management Liability Insurance Tune-Up Tip
    The private company management liability insurance environment is constantly changing. The liability environment is constantly evolving. Because of the changes in liabilities and exposures and because of the competitive nature of the…
  • May 1

    The Yates Memo: What Impact So Far?

    The Yates Memo: What Impact So Far?
    It has now been seven months since the U.S. Department of Justice announced — in the form of a September 9, 2015 memo from Deputy Attorney General Sally Yates — that it was adopting a policy focused on individual accountability…
  • Apr 28

    Despite Swiss Forum Selection Clause, U.S. Court Orders FIFA’s Insurers to Advance Insured’s Defense Expense

    Despite Swiss Forum Selection Clause, U.S. Court Orders FIFA’s Insurers to Advance Insured’s Defense Expense
    One of the key current concerns in the global D&O insurance marketplace involves questions of cross-border implementation of insurance policy responsibilities and requirements. This concern is usually presented as a problem for…
Rank this Week: 1249

Securities Law Attorneys Blog

Securities Law Attorneys Blog

Covers securities law. By Fitapelli | Kurta.

http://www.securitieslawattorneys.net/
  • May 2

    Darrach Bourke Terminated from Firm

    Darrach Bourke Terminated from Firm
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on April 28, 2016 indicate that California-based Summit Brokerage Services broker/adviser Darrach Bourke is the subject of customer complaints. The…
  • May 2

    Citigroup’s Seth Marcus Facing Customer Complaint

    Citigroup’s Seth Marcus Facing Customer Complaint
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on April 28, 2016 indicate that New York-based Citigroup Global Markets broker/adviser Seth Marcus is the subject of settled or pending customer…
  • May 2

    Matthew Hurley Facing Customer Complaint

    Matthew Hurley Facing Customer Complaint
    Public records published by the Financial Industry Regulatory Authority (FINRA) on April 28, 2016 indicate that California-based Wells Fargo broker/adviser Matthew Hurley is the subject of settled or pending customer complaints. The…
Rank this Week: 1781

Footnoted

Footnoted

Reports on actionable information in SEC filings.

http://www.footnoted.com/
  • May 2

    Yahoo gets defensive on compensation

    Yahoo gets defensive on compensation
    A late Friday filing by Yahoo attempts to explain -- over and over -- why compensation was so high in 2015.
  • Apr 5

    On tax inversions and relocation allowance

    On tax inversions and relocation allowance
    The current crop of proxies show how so-called tax inversion companies are not only avoiding taxes -- they're paying hefty amounts for their executives to live here in the U.S.
  • Mar 18

    Transocean’s $10m dollar footnote

    Transocean’s $10m dollar footnote
    A footnote to a footnote spells out $10.2m in severance for Transocean's former CEO.
Rank this Week: 1541

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/
  • May 2

    Regulation of fixed income market: the CSA issues an update

    Regulation of fixed income market: the CSA issues an update
    The Canadian Securities Administrators (CSA) recently published a staff notice describing the next steps in its plan to enhance the regulation of the fixed income market.  CSA Staff Notice 21-317 Next Steps in Implementation of a Plan to…
  • May 2

    Additional Canadian securities regulators enter into MOU with CFTC

    Additional Canadian securities regulators enter into MOU with CFTC
    The securities regulators in New Brunswick (FCNB), Nova Scotia (NSSC) and Saskatchewan (FCAA) have announced that that they have signed counterparts to a Memorandum of Understanding (MOU) with the U.S. CFTC in regards to cooperation…
  • May 2

    Progress made on the TSXV revitalization plan

    Progress made on the TSXV revitalization plan
    Simon Romano and Tracy Chen - In a recent progress report (the Report), the TSX Venture Exchange (TSXV) has provided an update to the initiatives outlined in its December 2015 white paper which detailed a revitalization plan for the exchange.…
Rank this Week: 3929

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • May 2

    Agency officials give views on derivatives enforcement trend

    Agency officials give views on derivatives enforcement trend
    By Lene Powell, J.D.In a discussion panel hosted by the Practising Law Institute, enforcement officials from the CFTC, SEC, Department of Justice, and other agencies talked about new types of cases their agencies are bringing in the…
  • Apr 29

    House passes bill easing solicitation restrictions on angel investor

    House passes bill easing solicitation restrictions on angel investor
    By Amanda Maine, J.D.The House of Representatives has passed a bill aimed at encouraging investments from “angel” investors by exempting certain investor events from being considered “general solicitation” under the…
  • Apr 28

    Delaware justice league disclaims idea of 'super-directors'

    Delaware justice league disclaims idea of 'super-directors'
    By Anne Sherry, J.D.As sanctions for their misconduct during the litigation, the Delaware Court of Chancery dismissed the claims of OptimisCorp and its CEO against three directors and the CFO. The Delaware Supreme Court affirmed, but its…
Rank this Week: 2050

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • May 2

    Registration Statement Due Diligence: What Are Current Practices?

    Registration Statement Due Diligence: What Are Current Practices?
    Brink Dickerson of Troutman Sanders was wondering about how practices have evolved – or eroded – for bolstering the “due diligence” defense available to directors under Section 11(b)(3) of the 1933 Act. It seems that…
  • Apr 29

    Non-GAAP Disclosures: The Gloves Are Off

    Non-GAAP Disclosures: The Gloves Are Off
    Companies have been making non-GAAP disclosures for quite some time now. Perhaps spurred by recent remarks from SEC Chair White, SEC Commissioner Stein (remarks during PCAOB budget meeting) and SEC Chief Accountant Schnurr, it appears that…
  • Apr 28

    Survey Results: Auditing Standard #18: D&O Questionnaire

    Survey Results: Auditing Standard #18: D&O Questionnaire
    Here’s the survey results from this survey about how Auditing Standard #18 is impacting D&O questionnaires: 1. Did you update your D&O questionnaire in response to the PCAOB’s new Audit Standard #18 regarding related-party…
Rank this Week: 2048

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/
  • May 2

    Webcast: “M&A Research – Nuts & Bolts”

    Webcast: “M&A Research – Nuts & Bolts”
    Tune in tomorrow for the webcast – “M&A Research: Nuts & Bolts” – to hear Cooley’s Mutya Harsch; Wachtell Lipton’s Susan Hesse; White & Case’s Dan Kessler; Foley & Lardner’s Ben…
  • Apr 28

    Shareholder Activism: Trend Towards Targeting Larger Companie

    Shareholder Activism: Trend Towards Targeting Larger Companie
    Here’s a recent report from FactSet that shows the trend toward activism at large- and mega-cap companies. Here’s an excerpt from the report: The number of activist campaigns launched against Mega cap (greater than $50 billion in…
  • Apr 26

    How Bill Ackman Work

    How Bill Ackman Work
    Here’s another fine profile from “The Activist Investor,” this one about Bill Ackman…
Rank this Week: 2063

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/
  • May 2

    Why Delaware Corporations Should Worry About California Law When Making Dividend

    Why Delaware Corporations Should Worry About California Law When Making Dividend
    When paying a dividend to shareholders, California corporations are subject to Chapter 5 of the California Corporations Code.  Corporations incorporated in Delaware and other states may also be subject to Chapter 5 if they meet the…
  • Apr 29

    Plaintiffs Find California Courts Congenial To Section 11 Action

    Plaintiffs Find California Courts Congenial To Section 11 Action
    Muttering About Mottoes The official motto of the State of California is “Eureka”.  Cal. Gov’t Code § 420.5.  The word is a transliteration of the Greek word εὕρηκα which is…
  • Apr 28

    Inspecting Foreign Corporation Shareholder List

    Inspecting Foreign Corporation Shareholder List
    Recently, I’ve written about the “absolute” right of shareholders to inspect the shareholders list pursuant to California Corporations Code Section 1600.  Readers at, or representing, foreign corporations may have…
Rank this Week: 4435

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

http://www.seclawyersblog.com/
  • Apr 29

    The Department of Labor’s New Fiduciary Duty Rule

    The Department of Labor’s New Fiduciary Duty Rule
    On April 6, 2016, the Department of Labor (DOL) issued its final rule regarding financial advisors’ fiduciary duty in investors’ retirement accounts. This new rule takes partial effect in April 2017, and by January 2018…
  • Apr 29

    Sonn|Erez Investigating Claims Regarding St. Petersburg, Florida, Broker Jason Sayle

    Sonn|Erez Investigating Claims Regarding St. Petersburg, Florida, Broker Jason Sayle
    Sonn|Erez is investigating claims related to Jason Daniel Sayles (CRD #4140191, St. Petersburg, Florida). Sayles recently submitted a FINRA Letter of Acceptance, Waiver and Consent (“AWC”) in which he was assessed a deferred fine…
  • Apr 28

    Sonn|Erez Investigating Claims Regarding Former NFP Advisor Services Broker Robert Joseph Regan

    Sonn|Erez Investigating Claims Regarding Former NFP Advisor Services Broker Robert Joseph Regan
    Sonn|Erez is investigating claims related to Robert Joseph Regan (CRD #2322096, Alamo, California). Regan was associated with NFP Advisor Services, LLC (“NFP”) from September 2005 to January 2016, since which he has not been…
Rank this Week: 3252

Cady Bar the Door

Cady Bar the Door

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

http://www.secmiscellany.com
Rank this Week: 3715

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/
  • Apr 28

    Call for Papers AALS Section on Securities Regulation - 2017 AALS Annual Meeting

    Call for Papers AALS Section on Securities Regulation - 2017 AALS Annual Meeting
    The AALS Section on Securities Regulation invites papers for its program on “Securities Regulation and Technological Change” at the 2017 AALS annual meeting. TOPIC DESCRIPTION: This panel discussion will explore the intersection of…
  • Apr 28

    Save the Date: Central States Law Schools Scholarship Conference

    Save the Date: Central States Law Schools Scholarship Conference
    The Central States Law Schools Association 2016 Scholarship Conference will be held on Friday, September 23 and Saturday, September 24 at the University of North Dakota School of Law in Grand Forks, ND. CSLSA is an organization of law…
  • Apr 28

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: Ivet A. Bell, Note, The Constitutionality of the SEC Pay to Play Rule: Why 206(4)-5 Survives the Deregulatory Trend in Campaign Finance, 49…
Rank this Week: 956

Securities Compliance Sentinel

Securities Compliance Sentinel

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

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

    Hey, what ever happened to the telephone

    Hey, what ever happened to the telephone
    Believe it or not, the old fashioned telephone may be one of your best defenses to a data breach and corresponding fraud. How so, you may ask. One of the greatest data security risks that firms have is not necessarily a hack into your IT…
  • Apr 18

    Why are face to face meetings necessary for proper supervision

    Why are face to face meetings necessary for proper supervision
    In this day and age of instant information and overstretched supervisory personnel, you have to be careful to avoid forgoing a very useful supervisory tool. Meeting face to face with those associated persons under your supervision on a…
  • Apr 11

    Why A Free Dinner Is Never Really Free

    Why A Free Dinner Is Never Really Free
    The SEC recently charged four investment advisors who allegedly used free dinners to entice older clients to their firm. At these dinners, these individuals allegedly provided fraudulent marketing materials to the attendees and ultimately did…
Rank this Week: 3732

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Apr 28

    Suitability Complaints Against Merrill Lynch Broker Heather Weber

    Suitability Complaints Against Merrill Lynch Broker Heather Weber
    The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Heather Weber (Weber).  According to BrokerCheck records Weber has been subject to at…
  • Apr 28

    Broker Investigation: Allegations that David Ferland Solicited Private Loans From Customer

    Broker Investigation: Allegations that David Ferland Solicited Private Loans From Customer
    The investment lawyers of Gana LLP are investigating a customer complaint brought before the Financial Industry Regulatory Authority (FINRA) against David Ferland (Ferland) working out of the York, Maine office allegedly received a loan of…
  • Apr 27

    FINRA Bars Former National Securities Corporation Broker John Labarca

    FINRA Bars Former National Securities Corporation Broker John Labarca
    The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against former National Securities Corporation (National Securities) broker John Labarca (Labarca). …
Rank this Week: 1587

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
Rank this Week: 3805

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: 1941

Subject to Inquiry

Subject to Inquiry

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

http://www.subjecttoinquiry.com/
  • Apr 27

    Buyer Beware: Noncompliant Electronic I-9 Software Risks Customer Company Fine

    Buyer Beware: Noncompliant Electronic I-9 Software Risks Customer Company Fine
    Electronic I-9 software can be very attractive to companies looking for efficiency and ensuring compliance. Not to mention the elimination of file drawers that once housed these voluminous paper I-9 files. However, buyers beware, not all…
  • Apr 14

    Oral Arguments in PHH Case Signal Trouble for CFPB

    Oral Arguments in PHH Case Signal Trouble for CFPB
    The D.C. Circuit held oral arguments on April 12, 2016 in the case PHH Corp v. Consumer Financial Protection Bureau (CFPB), a case challenging the CFPB’s constitutionality as well as its interpretations of the Real Estate Procedures…
  • Apr 7

    Split Supreme Court Affirms Eighth Circuit Equal Credit Opportunity Act Ruling

    Split Supreme Court Affirms Eighth Circuit Equal Credit Opportunity Act Ruling
    “The judgment is affirmed by an equally divided Court.”  One sentence, published by the United State Supreme Court on March 22, 2016 sealed the fate of two plaintiffs seeking to expand protections under the Equal Credit…
Rank this Week: 1497

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: 3184

Tim O'Connor's Blog

Tim O'Connor's Blog

Covers stockbroker fraud.

http://stockbrokerlaw.com/tim-oconnors-blog
  • Apr 26

    Broker Rights in Promissory Note and Forgivable Loan Case

    Broker Rights in Promissory Note and Forgivable Loan Case
    Brokerage firms have used forgivable loan and promissory note agreements as inducements to either hire new brokers and/or compel their current brokers to keep their book of business with their firms. Notably, these agreements oftentimes…
  • Apr 21

    Follow Up: SEC Issues Report on Definition of Accredited Investor

    Follow Up: SEC Issues Report on Definition of Accredited Investor
    On December 18, 2015 the Securities Exchange Commission issued a comprehensive report including the clarification of the definition of Accredited investor. The financial markets have seen an explosion of the sale of Regulation D private…
  • Apr 12

    SEC Division of Enforcement Warns Against Pyramid Scheme

    SEC Division of Enforcement Warns Against Pyramid Scheme
    On March 2, 2016 Andrew Ceresney, Director of the Division of Enforcement of the U.S. Securities and Exchange Commission addressed the public on violations that target retail investors with pyramid schemes noting “we protect the…
Rank this Week: 2784

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
Rank this Week: 2777

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

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

    Tell Me Something New

    Tell Me Something New
    Plaintiffs often establish the existence of loss causation by pointing to a “corrective disclosure” that allegedly revealed the fraud and led to a stock price decline. What a disclosure must contain to be deemed…
  • Mar 16

    Don’t Tout

    Don’t Tout
    A number of years ago, the U. S. Court of Appeals for the Fourth Circuit addressed whether a company’s false statement about its CEO’s educational background was material.  The court found that the statement was…
  • Mar 16

    Don’t Tout

    Don’t Tout
    A number of years ago, the U. S. Court of Appeals for the Fourth Circuit addressed whether a company’s false statement about its CEO’s educational background was material.  The court found that the statement was…
Rank this Week: 2052

Strictly Business

Strictly Business

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

http://www.strictlybusinesslawblog.com/
  • Apr 25

    Hiring a Programmer? Get an Invention Assignment Agreement

    Hiring a Programmer? Get an Invention Assignment Agreement
    This post first appeared in Startup Southerner on March 23, 2016. Founders have a lot to think about when starting a new company, such as finding the right team, developing their strategy and getting the company’s legal structure in…
  • Mar 29

    Filing Is Not Enough: 6 Steps You Must Take to Incorporate

    Filing Is Not Enough: 6 Steps You Must Take to Incorporate
    This post first appeared in Startup Southerner on February 1, 2016. When it comes to incorporating a startup, founders often file articles of incorporation (a.k.a. a charter or a certificate of incorporation) with their state’s…
  • Feb 26

    Thoughts on the Apple iPhone Encryption Case

    Thoughts on the Apple iPhone Encryption Case
    Last week, US Magistrate Judge Sheri Pym ordered Apple to assist the FBI in unlocking an Apple iPhone used by Syed Rizwan Farook, one of the terrorists in December’s San Bernardino mass shooting. This story and its resulting…
Rank this Week: 2709

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/
  • Apr 22

    Handwriting On The Wall (And In The FBI’s Notes)

    Handwriting On The Wall (And In The FBI’s Notes)
    As the father of a college-bound high school senior and an eventually college-bound high school sophomore, I pass along to them helpful articles.  Whether, in the ancient words of Archbishop Cramner in the Anglican liturgy, they actually…
  • Mar 17

    “Fantastic Lies” and Corporate Criminal Prosecution

    “Fantastic Lies” and Corporate Criminal Prosecution
    When the past is dug up in documentaries (or docudramas), events are often sensationalized.  This practice is of long pedigree: Shakespeare was not above amping up an old story when it suited his needs.  Unfortunately, few…
  • Feb 12

    Where Did You Go, Batman? Martin Shkreli, Congress, the Fifth Amendment and You

    Where Did You Go, Batman? Martin Shkreli, Congress, the Fifth Amendment and You
    It does not help that the most recent symbol of the Fifth Amendment is The Joker:   There has been plenty of news coverage about Martin Shkreli, “pharma bro” and alleged securities fraudster, and his appearance before…
Rank this Week: 1494

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: 1189

New York Securities Lawyer Blog

New York Securities Lawyer Blog

Covers securities law. By Lax & Neville LLP.

http://www.newyorksecuritieslawyerblog.com/
Rank this Week: 1711

Business Blog

Business Blog

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

http://www.businesslawnews.com/
  • Apr 20

    Amended NY Law Expands Shareholder Liability for Unpaid Wage

    Amended NY Law Expands Shareholder Liability for Unpaid Wage
    Amended NY Law Expands Shareholder Liability for Unpaid Wages The State of New York recently amended its corporate law to expand shareholder liability for unpaid wages of a privately held corporation. Section 630 of New York Business…
  • Apr 18

    Does Your New Jersey Business Need a Chief Culture Officer?

    Does Your New Jersey Business Need a Chief Culture Officer?
    Does Your New Jersey Business Need a Chief Culture Officer? Businesses are increasingly becoming more “creative” when awarding titles to corporate executives. Examples include chief experience officers, chief customer…
  • Apr 11

    NYC Human Rights Commission Proposes Rules to Implement Fair Chance Act

    NYC Human Rights Commission Proposes Rules to Implement Fair Chance Act
    NYC Human Rights Commission Proposes Rules to Implement Fair Chance Act The New York City Human Rights Commission recently proposed rules to implement the Fair Chance Act (FCA), which took effect last fall. As New York City employers should…
Rank this Week: 3705

The Securities Edge

The Securities Edge

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

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

    Impact of accounting literature: Time to get out of the pool and other change

    Impact of accounting literature: Time to get out of the pool and other change
    Posted By: David C. Scileppi Over the past couple of months, the FASB has been busy. I wanted to point out one recent change and my thoughts on its impact. FASB has “simplified” share-based compensation accounting. I will always…
  • Apr 17

    Another SEC concept release

    Another SEC concept release
    Posted By: Robert B. Lamm   On April 13, the SEC authorized the issuance of a major concept release. Concept releases are trial balloons that the SEC publishes to elicit input on possible rulemaking, including whether rulemaking is…
  • Apr 3

    Governance by the number

    Governance by the number
    Posted By: Robert B. Lamm One of the hottest topics in governance today is director refreshment. (No, that doesn’t refer to what your board members have for lunch.)  Boards comprised of long-serving directors do, in fact, tend to…
Rank this Week: 3372

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • Apr 18

    “Lumpiness” insufficient When the Ship is Going Down

    “Lumpiness” insufficient When the Ship is Going Down
    Class action investors recently won a partial victory against Dolan Company in the 8th Circuit Court of Appeals.  I stress partial because, while the trial court’s dismissal was reversed, its severe limitation of the…
  • Apr 15

    DOL Fiduciary Rule: Part I

    DOL Fiduciary Rule: Part I
    After much nail-biting by many in the industry, the Department of Labor (DOL) recently released its anticipated and long-awaited final fiduciary rule, which it touts as the fulfillment of its mission to protect the retirement of investors…
  • Feb 11

    Even General Counsels Get Defamed

    Even General Counsels Get Defamed
    What happens when the media re-states bluntly what you tried to say cleverly? A jury might find you liable for defamation, even if your statement was made in a legal document. This observation is one of many take-aways from the litigation…
Rank this Week: 4282

Securities Mining Law

Securities Mining Law

Covers securities law affecting the mining industry in Canada.

http://www.securitiesmininglaw.com/
  • Apr 14

    Canadian Securities Administrators amend take-over bid rule

    Canadian Securities Administrators amend take-over bid rule
    Effective May 9, 2016, the Canadian Securities Administrators will implement new take-over bid rules that will introduce significant changes to bid mechanics, including lengthier minimum deposit periods.  For a description of the…
  • Mar 31

    Rush to conflict: Hurried transaction fails after British Columbia court finds conflicts of interest

    Rush to conflict: Hurried transaction fails after British Columbia court finds conflicts of interest
    A recent court decision led to the failure of an attempted acquisition of an exploration company by a listed issuer, in part due to conflicts of interest. We analyze the decision, and provide commentary on the law and practice of managing…
  • Mar 3

    Commentary: Deciding whether or not to use flow-through shares in Quebec

    Commentary: Deciding whether or not to use flow-through shares in Quebec
    Mining exploration activities in Canada have attracted widespread interest over the past few decades and is today considered by most as a sector in its own right. Flow-through shares financings have helped raise significant capital for mining…
Rank this Week: 3430

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: 3321

New York Securities Lawyers Blog

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

http://www.newyorksecuritieslawyersblog.com/
  • Apr 8

    New Fiduciary Rule to Protect Retirement Investment

    New Fiduciary Rule to Protect Retirement Investment
    This week, it has been reported that the Department of Labor proposed tougher laws after issuing new regulations requiring financial advisors and brokers managing 401k and retirement accounts to act in the best interest of their clients.…
  • Mar 21

    New Study Reveals: 7% of Financial Advisers Are Guilty of Misconduct. How Safe Are You?

    New Study Reveals: 7% of Financial Advisers Are Guilty of Misconduct. How Safe Are You?
    In February 2016, academics Mark Egan, Gregor Matvos and Amit Seru at the University of Minnesota and University of Chicago business schools released a report titled “The Market for Financial Adviser…
  • Feb 29

    BROKER REPORT: Several Complaints Against Broker and Financial Advisor David E. Mickey

    BROKER REPORT: Several Complaints Against Broker and Financial Advisor David E. Mickey
    We are investigating customer complaints against broker David E. Mickey, who is currently barred from acting as a broker or otherwise associating with firms that sell securities to the public, as per FINRA’s BrokerCheck. According to…
Rank this Week: 3073

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: 2398

Alixe Cormick: Small Cap Lawyer

Alixe Cormick: Small Cap Lawyer

Focuses on Canadian and United States securities law matters of interest to micro and small cap companies.

http://www.alixecormick.com
  • Mar 23

    Equity Crowdfunding Portal Update and Latest Presentation Slide Deck

    Equity Crowdfunding Portal Update and Latest Presentation Slide Deck
    By Alixe Cormick As of today’s date there are seventeen (17) equity crowdfunding portals active in Canada. There are also five (5) marketplace lending platforms aimed at small business. Canadians can expect other new equity and debt…
  • Mar 11

    The Cost of Listing on a Stock Exchange or Obtaining a Quote in North America

    The Cost of Listing on a Stock Exchange or Obtaining a Quote in North America
     By Alixe Cormick It is difficult to find information on the internet about the cost of listing on a stock exchange or obtaining a quote on an over the counter trading market in North America. It is equally difficult to find information…
  • Feb 11

    Recent Regulatory Developments in Equity Crowdfunding in Canada

    Recent Regulatory Developments in Equity Crowdfunding in Canada
     By Alixe Cormick Canada now has two crowdfunding specific exemptions: the Start-Up Crowdfunding Exemption (May 14, 2015 – BC, SK, MB, QU, NB, and NS), and the Integrated Crowdfunding Exemption (Jan. 25, 2016 -MB, ON, QU, NB, and…
Rank this Week: 1417

Stock Attorneys Blog

Stock Attorneys Blog

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

http://www.stockattorneysblog.com/
  • Mar 14

    FINRA Questioning Brokerage Firm “Culture”

    FINRA Questioning Brokerage Firm “Culture”
    FINRA has made brokerage firm “culture” one of its top priorities for 2016. FINRA refers to “culture” as how management sets the bar for the firm and how culture effects their brokers interaction with clients and their…
  • 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…
Rank this Week: 825