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Securities Lawyer 101

Securities Lawyer 101

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

http://www.securitieslawyer101.com/blog/
  • Sep 10

    Corporate Hijackings 101 l Securities Lawyer 101 Blog

    Corporate Hijackings 101 l Securities Lawyer 101 Blog
    Securities Lawyer 101 Blog Corporate hijackings, also known as corporate identity theft, of public shell companies has been around for more than a decade.  It  is a growing method used by fraudsters to acquire…
  • Feb 26

    George Theodule Sentenced to 150 Month

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

    SEC Charges Arizona-Based Equity Fund l Securities Lawyer 101

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

The Race to the Bottom

The Race to the Bottom

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

http://www.theracetothebottom.org/
  • Jul 24

    Market Structure Reform and the SEC (Part 1)

    Market Structure Reform and the SEC (Part 1)
    John Coffee has an interesting piece on the Columbia CLS Blue Sky Blog, High Frequency Trading Reform: The Short Term and the Longer Term.   The article highlights two cases, one brought by (but yet to be resolved) N.Y.…
  • Jul 23

    The Affordable Care Act, the DC Circuit, and the SEC

    The Affordable Care Act, the DC Circuit, and the SEC
    Yesterday, two circuit courts issued opposite decisions on the Affordable Care Act. The Fourth Circuit held that individuals could obtain subsidies through the federal healthcare site. The D.C. Circuit, by a vote of 2-1 held the reverse. The…
  • Jul 22

    Tagging, Extensions, and Ensuring Comparability: The Role of the SEC (Part 2)

    Tagging, Extensions, and Ensuring Comparability: The Role of the SEC (Part 2)
    DERA (Division of Economic and Risk Analysis) conducted a study of XBRL files to assess the quality. As part of the examination, DERA analyzed the use of "custom tags." The news was at best mixed or, as DERA put it, "[o]ur assessment suggests…
Rank this Week: 61

Ponzitracker

Ponzitracker

Covers Ponzi schemes. By Jordan Maglich.

http://www.ponzitracker.com/
  • Jul 23

    TelexFree Founders Indicted On Fraud Charge

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

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

    Florida Cop Gets 5-Year Sentence For Rothstein Ties, Including Illegal Arrest
    "Mr. Benjamin, while wearing the cloak of BSO authority, engineered the arrest and incarceration of an innocent citizen.  This was done purely for financial gain. This conduct is deplorable — it is unconscionable." - U.S. District…
  • Jul 18

    Appeals Court Rules Stanford Victims Ineligible For SIPC Coverage

    Appeals Court Rules Stanford Victims Ineligible For SIPC Coverage
    A federal appeals court affirmed that victims of Allen Stanford's massive $7 billion Ponzi scheme - the second largest scheme in history behind only Bernard Madoff's scheme - are not "customers" of Stanford's American-based bank and thus not…
Rank this Week: 83

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

    Advisen Releases 2014 First Half Corporate and Securities Litigation Report

    Advisen Releases 2014 First Half Corporate and Securities Litigation Report
    The level of all corporate and securities filings continued to decline in the second quarter of 2014 as filing activity returns to levels that prevailed before the financial crisis, according to the latest quarterly D&O claims activity…
  • Jul 23

    Management Liability Insurance and Immigration Enforcement

    Management Liability Insurance and Immigration Enforcement
    In a May 1, 2014 opinion (here), District of Kansas Judge Sam A. Crow, applying Illinois law, held that neither the EPL insurance coverage part nor the D&O insurance coverage part of a restaurant company’s management liability…
  • Jul 22

    Guest Post: Bylaws and Arbitration

    Guest Post: Bylaws and Arbitration
    For many years, business groups and corporate representatives have tried to reform shareholder litigation through legislation and case law development, with mixed success. However, in more recent years an interesting new initiative has…
Rank this Week: 84

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

http://www.seclawyersblog.com/
  • Jun 17

    Sonn|Erez Investigating Claims Involving Richard Ohlhaber and Sales of Life Partners Investment

    Sonn|Erez Investigating Claims Involving Richard Ohlhaber and Sales of Life Partners Investment
    Sonn|Erez is investigating claims regarding Richard Ohlhaber (CRD #2154794). Ohlhaber accepted FINRA's Offer of Settlement, in which he was barred from association with any FINRA member in any capacity. See FINRA Case #2012032077901.Ohlhaber…
  • Jun 10

    Sonn|Erez Investigating Claims Involving Florlena Cortez (Brownsville, Texas)

    Sonn|Erez Investigating Claims Involving Florlena Cortez (Brownsville, Texas)
    Sonn|Erez is investigating claims regarding Florlena Cortez (CRD #4339441, Brownsville, Texas). Cortez submitted a Letter of Acceptance, Waiver and Consent in which she was barred from association with any FINRA member in any capacity. See…
  • Jun 2

    FINRA Cautions Investors on the Risks of High Yield CD

    FINRA Cautions Investors on the Risks of High Yield CD
    FINRA recently issued an Investor Alert, "High Yield CDs: Red Flags That Signal a Scam" warning investors about promotions of certificates of deposit (CDs) promising interest rates substantially higher than current averages. In the Alert,…
Rank this Week: 123

Securities Arbitration Blog

Securities Arbitration Blog

Covers the happenings in the Securities and Investment Fraud Sector. By Guiliano Law Firm.

http://www.securitiesarbitrations.com
  • Jun 10

    Pittsburgh Area Stockbroker Patricia S. Miller Alleged to Have Stolen Millions from Customer

    Pittsburgh Area Stockbroker Patricia S. Miller Alleged to Have Stolen Millions from Customer
    andnbsp;Hairdressor, Marcy Salandra went to her stockbrokerandrsquo;s office at Investors Capital Corporation in McMurray Pennsylvania to withdraw money to buy a house. andnbsp;However, instead of meeting her broker Patricia S. Miller, she…
  • Apr 18

    Lawyers Tempt Fate Before Second Circuit and No One Likes What They May Get

    Lawyers Tempt Fate Before Second Circuit and No One Likes What They May Get
    Last year, a Connecticut based hedge fund, Turnberry Capital Management LP, filed a FINRA arbitration securities claim against SunTrust Banks, Inc. to recover $13 million it lost in 2007 by investing in mortgage backed securities. However,…
  • Mar 13

    Investment Fraudsters: You have a friend in Pennsylvania

    Investment Fraudsters: You have a friend in Pennsylvania
    What does a big firm commercial defense lawyer, a banker, a healthcare lobbyist, a parking authority commissioner and an Allegheny parks commissioner all have in common? andnbsp; Apparently, they are all friends of Pennsylvania Governor Tom…
Rank this Week: 99

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 23

    Broker Runs $6 million Hedge Fund

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

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

    New Jersey Broker Allegedly Diverts $900,000 to Personal Bank Account
    Did you suffer investment losses as a result of your dealings with former New Jersey broker, John Montague? If so, The White Law Group may be able to help recoup some of your investment losses. According to a press release from the U.S.…
  • Jul 22

    Berle Lorenzo Stocks barred from securities industry.

    Berle Lorenzo Stocks barred from securities industry.
    According to a FINRA disciplinary action announcement, Berle Lorenzo Stocks (CRD #1513263, Charlotte, North Carolina) recently submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member…
Rank this Week: 174

Page Perry LLC Blog

Page Perry LLC Blog

Covers securities broker abuses, early retirement scams, elder abuses, subprime mortages, collateralized debt obligations, and annuities.

http://www.pageperry.com/blog/
  • Jul 16

    CYNK Latest Wall Street Trap?

    CYNK Latest Wall Street Trap?
    Cynk is a social network company that has no revenue, no assets, and no profits. Until last week, it was the hottest stock on Wall Street, according to a Business Insider report by Hunter Walker and Julia La Roche (July 14, 2014).  Its…
  • Jul 14

    Former LPL Broker Jason Parker Leaves Trail Of Complaint

    Former LPL Broker Jason Parker Leaves Trail Of Complaint
    By law, a broker has to recommend suitable investments. To be considered suitable, an investment should align with the client’s investment objectives. Dumping all client funds into a single foreign stock, despite the client’s low…
  • Jun 13

    Pension Advisers Fall Under Scrutiny

    Pension Advisers Fall Under Scrutiny
    The problem of conflicts of interest for pension advisers attracted Congressional attention, according to a Wall Street Journal article by Dan Fitzpatrick  (June 9, 2014).  U.S. Representative George Miller (D., Calif.) has written…
Rank this Week: 183

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
Rank this Week: 320

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

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

    New IA Rules in Washington State

    New IA Rules in Washington State
    Amendments to Investment Adviser Rules in Washington State Washington State Department of Financial Institutions has amended the rules governing the registration and activities of investment advisers set forth in Chapter 460-24A WAC.…
  • Jul 18

    Cole-Frieman & Mallon LLP 2014 Second Quarter Update

    Cole-Frieman & Mallon LLP 2014 Second Quarter Update
    COLE-FRIEMAN & MALLON LLP www.colefrieman.com July 10, 2014 FATCA Transitional Period. The IRS and U.S. Treasury Department issued a notice (the “Notice”) announcing that calendar years 2014 and 2015 will…
  • Jul 1

    Hedge Fund Events July 2014

    Hedge Fund Events July 2014
    The following are various hedge fund events happening this month.  Please email us if you would like us to add your event to this list. **** Date: July 2, 2014 Sponsor: exane asset management Event: Education Session No 484 –…
Rank this Week: 223

Securities Class Action &…

Securities Class Action & Arbitration Law

Covers securities class action litigation and FINRA arbitrations, SEC regulatory developments and FINRA disciplinary decisions. By Jay Eng.

http://securitiesattorneys.us/
Rank this Week: 219

Securities Law Blog

Securities Law Blog

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

http://www.securitieslaw-blog.com/
  • Jul 24

    SEC Approves FINRA Rule To Limit Expungement

    SEC Approves FINRA Rule To Limit Expungement
    The SEC approved a new FINRA rule that will make it hard for brokers to delete customer complaints from their records in arbitration cases. Rule 2081 will prevent brokers from making settlements with customers requiring the claimant to accept…
  • Jul 23

    Citigroup Avoids FINRA Arbitration, Still To Pay $590M

    Citigroup Avoids FINRA Arbitration, Still To Pay $590M
    A federal judge in New York ruled this week that Citigroup would not have to face FINRA arbitration regarding claims that its stock dropped precipitously after it hid securitized-loan losses because an arbitration would violate an already…
  • Jul 22

    Company Cofounded By Nancy Pelosi’s Son Charged With Securities Fraud

    Company Cofounded By Nancy Pelosi’s Son Charged With Securities Fraud
    Natural Blue Resources Inc., a company cofounded by Nancy Pelosi’s son, Paul Pelosi Jr., was charged with securities fraud last week after the SEC discovered that two convicted criminals were at the company’s helm. Pelosi Jr. was…
Rank this Week: 865

BD Law Blog

BD Law Blog

Features news, updates and thoughts regarding broker-dealer and investment adviser regulation and legal and compliance issues. By the Beck Law Firm, LLC.

http://www.bdlawblog.com/
  • Jul 24

    Sanctions in FINRA Enforcement Matters: An Overview

    Sanctions in FINRA Enforcement Matters: An Overview
    A question I get from time to time from clients and others is along the lines of, "What exactly can happen to me if FINRA thinks I did something wrong?" The follow-up questions concern the different types of sanctions that...
  • Jul 22

    Update on FINRA's July Board of Governors Meeting

    Update on FINRA's July Board of Governors Meeting
    Earlier this month, FINRA's Board of Governors met for their July meeting. Chair Richard Ketchum and lead governor Jack Brennan prepared a short video overview of the results of that meeting. That can be found online here. Of note, they...
  • Jul 15

    Basics of the Georgia Durable Power of Attorney

    Basics of the Georgia Durable Power of Attorney
    In our view, a durable power of attorney is a key piece of a basic estate planning package that includes a last will and testament and a Georgia advance directive for healthcare. Often, people have questions about what this document...
Rank this Week: 382

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: 369

Business Blog

Business Blog

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

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

    Should You Be Protecting Your Business Emails from Prying Eyes?

    Should You Be Protecting Your Business Emails from Prying Eyes?
    Would you send an important communication on a postcard? For most businesses, the answer is likely no. Yet companies send unsecured business emails every day, which share many of the same characteristics as postcards. These messages can be…
  • Jul 23

    Will Uber Win the Battle of the Taxi or Succumb to Business Regulation?

    Will Uber Win the Battle of the Taxi or Succumb to Business Regulation?
    Uber records approximately one million ride requests each week and is now valued at an estimated $18.2 billion. Despite its surging popularity with riders, the company continues to face strong resistance from regulators and traditional taxis…
  • Jul 22

    NJ “Ban the Box” Bill Headed to Gov. Christie’s Desk

    NJ “Ban the Box” Bill Headed to Gov. Christie’s Desk
    New Jersey may soon be the latest state to “ban the box.” Late last month, the state legislature passed the Opportunity to Compete Act, which would restrict the use of criminal background checks by New Jersey employers. The bill…
Rank this Week: 723

Stock Market Loss

Stock Market Loss

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

http://www.stockmarketloss.com/news/
  • Jul 24

    Why Do Variable Life Insurance Policies Fail?

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

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

    How Do Brokers and Insurance Agents Mislead You Into Buying VL and VUL Insurance Policies?
    This article was originally posted on Stock Market Loss Brokers and agents who sell variable insurance products are supposed to comply both with state securities or insurance regulations and with regulations issued by the Securities and…
  • Jun 19

    Proposed FINRA Rule Would Keep Former Industry Insiders Off Public Arbitrator List

    Proposed FINRA Rule Would Keep Former Industry Insiders Off Public Arbitrator List
    This article was originally posted on Stock Market Loss FINRA has filed with the Securities and Exchange Commission a proposal to narrow the definition of a public arbitrator, precluding anyone with financial industry experience from…
Rank this Week: 908

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 23

    Investors Pursue UBS's Puerto Rico Brokerage Over Closed-End Bond Fund

    Investors Pursue UBS's Puerto Rico Brokerage Over Closed-End Bond Fund
    The Financial Industry Regulatory Authority is reporting that roughly 400 claims have already been filed against UBS Financial Services Inc. of Puerto Rico (UBS) and other brokerage firms over the fallout of municipal bonds and bond funds…
  • Jul 22

    Net Asset Value of Tony Thompson's Former Nontraded REIT Strategic Realty Trust Plunge

    Net Asset Value of Tony Thompson's Former Nontraded REIT Strategic Realty Trust Plunge
    Investors in Strategic Realty Trust Inc. have been notified that the NAV of the nontraded real estate investment trust has dropped almost 30% from $10/share to $7.11/share. The REIT, previously known as TNP Strategic Realty Trust Inc., has a…
  • Jul 17

    FINRA Wants To Delay Implementing Rule Impacting Nontraded REIT Customers' Statement

    FINRA Wants To Delay Implementing Rule Impacting Nontraded REIT Customers' Statement
    The Financial Industry Regulatory Authority wants the Securities and Exchange Commission to grant a delay in the implementation of proposed changes to rule 2340, which impacts customer account statements. The self-regulatory organization had…
Rank this Week: 395

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
Rank this Week: 755

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
Rank this Week: 377

Business Law Post

Business Law Post

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

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

    Should Startups Have Boards of Directors?

    Should Startups Have Boards of Directors?
    All corporations are required to have a board of directors by law. LLCs are not. However, an LLC can be structured so as to have a board of managers (some even refer to managers as directors). At formation, founders become the sole…
  • Jul 19

    The SEC Will Likely Update its Definition of “Accredited Investors” Very Soon

    The SEC Will Likely Update its Definition of “Accredited Investors” Very Soon
    Most of the startup capital comes from accredited investors through investments made in reliance upon Rule 506 of Regulation D.  According to a study by the University of New Hampshire’s Center for Venture Research, in 2013, almost…
  • Jul 11

    How to Verify That Your Investor is Accredited - The SEC Provides New Explanations Regarding Rule 506(c) Offering

    How to Verify That Your Investor is Accredited - The SEC Provides New Explanations Regarding Rule 506(c) Offering
    On July 3, 2014 (right on my birthday), the SEC issued six compliance and disclosure interpretations (“CD&Is”) regarding the use of verification methods for determining whether a prospective investor is accredited. First, a…
Rank this Week: 675

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 21

    Schwab Accused Of Altering Client Forms In Options Trading Dispute

    Schwab Accused Of Altering Client Forms In Options Trading Dispute
    In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in May 2013, public customer Claimant Meadows asserted causes of action including breaches of fiduciary duty and contract, negligence, and…
  • Jul 18

    Stockbroker Failed To Timely Disclose Attempted Child Rape Felony Charge

    Stockbroker Failed To Timely Disclose Attempted Child Rape Felony Charge
    This one ain't pretty and there's sure as hell nothing here to laugh about. In 2012, a stockbroker finds himself charged with felony child molestation and felony attempted rape of a child. Eventually, he pleads to three misdemeanors of…
  • Jul 18

    EMPLOYMENT TUESDAY at BrokeAndBroker.com

    EMPLOYMENT TUESDAY at BrokeAndBroker.com
    Stockbroker, Compliance, Legal, and Regulatory JobsEmployment Page BrokeAndBroker.com Jobs...
Rank this Week: 878

Florida Securities Fraud Lawyer…

Florida Securities Fraud Lawyer Blog

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

http://www.floridasecuritiesfraudlawyerblog.com/
Rank this Week: 687

InvestorLawyers.net

InvestorLawyers.net

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

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

    Investor Files FINRA Arbitration Claim Against First Allied Regarding Private Equitie

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

    FINRA Bars Wade James Lawrence from Financial Industry

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

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

    Ameriprise Told to Pay $1.17 Million to Elderly Couple after Unsuitable Real Estate Investment
    Investors’ rights lawyers are advising senior investors to stay alert when looking at potential investment opportunities.  Recently,  a Financial Industry Regulatory Authority (FINRA) panel entered an arbitration award in…
Rank this Week: 901

Florida Securities Fraud Attorney…

Florida Securities Fraud Attorney Blog

Covers Florida securities fraud cases and issues. By Ralph Behr, Esq. P.A.

http://www.floridasecuritiesfraudattorney.com/
  • Jun 4

    Scanning License Plates and Privacy

    Scanning License Plates and Privacy
    Fort Lauderdale police agencies have technology to read license plates. Once read, the plates are matched against outstanding traffic tickets. In addition, the owner’s name is matched against outstanding criminal warrants. At what…
  • Jun 2

    SEC Charges White Collar Crimes in Sarasota

    SEC Charges White Collar Crimes in Sarasota
    A fund manager in Sarasota, Florida was charged with defrauding investors of $3.8 million. The fund manager, Gaeton Della Penna, faces federal criminal charges in the Middle District of Florida for defrauding investors. Criminal charges,…
  • May 29

    Demands for Chemtrail Conspiracy Arrest

    Demands for Chemtrail Conspiracy Arrest
    The History Channel‘s broadcast of "Weather Warfare" focused international interest in The State of the Nation’s demand that the International Criminal Court begin a criminal investigation into what I have dubbed "The…
Rank this Week: 587

California Securities Fraud Lawyer…

California Securities Fraud Lawyer Blog

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

http://www.californiasecuritiesfraudlawyerblog.com/
  • May 1

    March - April 2014 Disciplinary Action

    March - April 2014 Disciplinary Action
    William Jeffrey Austin (WBB Securitiies, Redlands, California) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $7,500 and suspended from association with any FINRA member in any capacity for 30 business days. The…
  • Apr 24

    Update: Charles Schwab to Allow Customer Class Action

    Update: Charles Schwab to Allow Customer Class Action
    Today, Charles Schwab agreed to end a long standing dispute over their customer's right to participate in securities class action lawsuits. In a settlement reached with the Financial Industry Regulatory Authority (FINRA), Charles Schwab…
  • Mar 24

    Regulators Fine LPL Financial LLC $950,000 Over Unsuitable Alternative Investments Sale

    Regulators Fine LPL Financial LLC $950,000 Over Unsuitable Alternative Investments Sale
    Today, LPL Financial LLC reached a settlement with the Financial Industry Regulatory Authority (FINRA) over the firm's failure to adequately supervise the sale of non-traded REITs and other risky alternative investments. LPL's settlement…
Rank this Week: 890

Institutional Investor Securities…

Institutional Investor Securities Blog

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

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

    Wells Fargo Reaches $591 Million Mortgage Deal with Fannie Mae

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

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

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

    Barclays and Deutsche Bank Under Scrutiny Over Barrier Options Transaction

    Barclays and Deutsche Bank Under Scrutiny Over Barrier Options Transaction
    The U.S. Senate Permanent Subcommittee on Investigations plans to conduct a hearing over what it believes are abusive transactions made by financial institutions. Bloomberg is reporting that Deutsche Bank AG (DBK), Barclays PLC (BARC), and…
Rank this Week: 4630

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • Jul 24

    Court Remands Dispute Over Expungement of CRD Data

    Court Remands Dispute Over Expungement of CRD Data
    The U.S. District Court for the Central District of California remanded to a California state court a stockbroker’s lawsuit against the Financial Industry Regulatory Authority for expungement of certain allegedly harmful disclosures…
  • Jul 23

    SEC RARELY SEEKS TO POSSESS ELECTRONIC DEVICES

    SEC RARELY SEEKS TO POSSESS ELECTRONIC DEVICES
    SEC staff has been instructed to seek subpoenas for devices such as computer hard drives and cell phones only rarely. In many cases, there could be unintended consequences, such as exposing authorities to other sensitive materials on a device…
  • Jul 22

    NEW YORK AG PUSHES FOR COLLABORATION TO COMBAT NEW FORMS OF INSIDER TRADING

    NEW YORK AG PUSHES FOR COLLABORATION TO COMBAT NEW FORMS OF INSIDER TRADING
    New York Attorney General Eric Schneiderman is pushing for better cooperation with the financial industry and federal lawmakers to combat emerging insider-trading threats.  While he commended competition among financial services firms,…
Rank this Week: 3619

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 24

    Examples of Social Media in M&A Transaction

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

    Exclusive Forum Bylaws: California State Court Follows Delaware

    Exclusive Forum Bylaws: California State Court Follows Delaware
    Here’s news excerpted from this Ropes & Gray newsletter: State and federal courts in California have gone different directions on whether to follow Delaware’s lead in enforcing forum selection provisions in bylaws. In 2011,…
  • Jul 18

    Court Finds CFIUS Violated Company’s Due Process Right

    Court Finds CFIUS Violated Company’s Due Process Right
    As noted in this Skadden memo: “On July 15, 2014, the U.S. Court of Appeals for the District of Columbia ruled that President Obama and CFIUS unconstitutionally deprived Ralls Corporation of its property rights by forcing it to divest…
Rank this Week: 2504

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Jul 24

    Charts: Intrastate Crowdfunding Exemption

    Charts: Intrastate Crowdfunding Exemption
    As the result of a collaborative effort between Ginsberg Jacobs’ Anthony Zeoli, Crowdcheck and Seyfarth Shaw’s Georgia Quinn, here is a comparative summary chart where you can go to compare all of the enacted instrastate…
  • Jul 23

    Shareholder Engagement: Should Directors Be Politicians? 10 Things to Consider

    Shareholder Engagement: Should Directors Be Politicians? 10 Things to Consider
    I know the title of this particular blog sounds sensational – but the opening of this DealBook column by Andrew Ross Sorkin about shareholder engagement is “What if lawmakers never spoke to their constituents?” So let me…
  • Jul 22

    How to Make Video Interviews With Director

    How to Make Video Interviews With Director
    In this podcast, John Seethoff of Microsoft explains how the company has showcased its directors through video interviews, including: - Why did Microsoft decide to tape videos of the directors? - How do I find the videos? - What typically is…
Rank this Week: 2513

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 24

    In This Case, Placement Agent Status Was Better Than Underwriter Statu

    In This Case, Placement Agent Status Was Better Than Underwriter Statu
    As a general matter, California Corporations Code Section 25401 declares it unlawful to make an untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of…
  • Jul 23

    Facebook/Oculus VR Acquisition Raises Pseudo-Foreign Corporation Question

    Facebook/Oculus VR Acquisition Raises Pseudo-Foreign Corporation Question
    Yesterday, The Guardian reported that Facebook had acquired Oculus VR using a combination of cash and stock.  Facebook avoided SEC registration by availing itself of a fairness hearing before the Department of Business Oversight.…
  • Jul 22

    California Dividend Statutes Found To Preempt Common Law Claim

    California Dividend Statutes Found To Preempt Common Law Claim
    Chapter 5 of the California Corporations Code imposes specific limitations on “distributions to shareholders”, a term defined in Corporations Code section 166.  Directors who approve the making of any distribution to…
Rank this Week: 4431

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
  • Jul 23

    Nontraded Real-Estate Investments mean Risky Busine

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

    Attorney Mark Maddox named to FINRA’s Arbitrartion Task Force

    Attorney Mark Maddox named to FINRA’s Arbitrartion Task Force
    We are proud to share that Attorney Mark Maddox will be part of FINRA’s new arbitration task force. Click this link for details: http://www.finra.org/Newsroom/NewsReleases/2014/P554192The post Attorney Mark Maddox named to FINRA’s…
  • Jul 16

    Know the risks of “Liquid-alternative funds” before you invest!

    Know the risks of “Liquid-alternative funds” before you invest!
    Liquid-alternative funds are increasing rapidly in popularity, with investors pouring $40 billion into them in 2013, according to Morningstar. This year through June, they have taken in $14.6 billion. “Liquid alternative” mutual…
Rank this Week: 3976

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 22

    Accredited investors – potential changes and some helpful guidance

    Accredited investors – potential changes and some helpful guidance
    Posted By: Robert C. White Jr.   Potential changes. Accredited investors have long been critical participants in private financing transactions, and the success of most private financings is largely determined by the participation of…
  • Jun 26

    Congress to the rescue?: Congressman hints at legislation to reign in proxy advisory firm

    Congress to the rescue?: Congressman hints at legislation to reign in proxy advisory firm
    Posted By: David C. Scileppi Who says Congress isn’t popular?  Well, Congress may become much more popular with public company executives if Congressman Patrick McHenry (R-NC) can make good on his recent promise to challenge the…
  • Jun 20

    Fee-shifting bylaw proposal moved to the back burner pending further investigation

    Fee-shifting bylaw proposal moved to the back burner pending further investigation
    Posted By: Gustav L. Schmidt In a case of first impression, the Delaware Supreme Court held that provisions contained in a nonstock corporation’s bylaws, requiring a plaintiff stockholder to reimburse the corporation’s legal…
Rank this Week: 3472

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

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

    Broker Richard Lewis Suspended for Complaints of Unauthorized Trading

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

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

    REIT Investigation: Strategic Realty Trust, Inc. (Formerly TNP Strategic Realty Trust)
    Fitapelli Kurta is investigating claims on behalf of investors of Strategic Realty Trust, Inc., formerly known as the TNP Strategic Realty Trust Inc.  Strategic Realty Trust (TNP Strategic Realty Trust) is a non-traded REIT, which means…
  • Jul 21

    Attorney Investigation: Jason Muskey & Muskey Financial Service

    Attorney Investigation: Jason Muskey & Muskey Financial Service
    Fitapelli Kurta is investigating complaints against Mossic, PA based financial advisor, Jason Muskey and his company, Muskey Financial Services.  Both Jason Muskey and Muskey Financial Services were associated with Ameritas Investment…
Rank this Week: 1818

Canadian Securities Law Online

Canadian Securities Law Online

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

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

    MFDA publishes guidance on use of investor questionnaire

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

    CSA intend to publish national rule for clearing agencie

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

    CSA adopt changes to auditor oversight rule

    CSA adopt changes to auditor oversight rule
    The Canadian Securities Administrators yesterday released changes to auditor oversight rules designed to enhance the integrity of financial reporting by reporting issuers by repealing and replacing National Instrument 52-108 Auditor…
Rank this Week: 3948

Corporate Securities Law Blog

Corporate Securities Law Blog

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

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

    Delaware Court of Chancery Rejects Indemnification Sleight of Hand

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

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

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

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

    Second Circuit Overturns District Court’s Rejection of SEC-Citigroup Fraud Settlement
    In a closely-watched decision involving judicial review of agency settlements, the Unites States Court of Appeals for the Second Circuit vacated United States District Court Judge Jed Rakoff’s 2011 order rejecting a proposed $285…
Rank this Week: 1585

White Collar Alert

White Collar Alert

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

http://whitecollarblog.mmwr.com
  • Jul 22

    Managing an Environmental Enforcement Investigation

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

    Debating Unlawful Command Influence in the Military

    Debating Unlawful Command Influence in the Military
    As readers of this blog know, Montgomery McCracken successfully represented Brigadier General Jeffrey Sinclair in his court-martial in March. General Sinclair was sentenced only to a reprimand and a $20,000 fine. Montgomery McCracken defense…
  • Jul 11

    Supreme Court Checks in on Bank Fraud

    Supreme Court Checks in on Bank Fraud
    Lost amid the flurry of the Supreme Court’s end of term decisions on recess appointments, cell phone privacy and contraception coverage is the Court’s dip into the federal bank fraud statute, 18 U.S.C. § 1344, in…
Rank this Week: 2145

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: 3311

Subject to Inquiry

Subject to Inquiry

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

http://www.subjecttoinquiry.com/
Rank this Week: 2008

TRACE Blog

TRACE Blog

Covers anti-bribery compliance.

http://traceblog.org/
  • Jul 22

    A Royal Mess, Pt. 2: Non-Profits, Charitable Contributions and the FCPA

    A Royal Mess, Pt. 2: Non-Profits, Charitable Contributions and the FCPA
    In our previous post, we discussed the ongoing corruption case against Princess Cristina of Spain and her husband, Duke Iñaki Urdungarin. Urdangarin, a former Olympian, is accused of using his position to skim money from government…
  • Jul 15

    A Royal Mess, Pt. 1: Spanish Princess Charged with Corruption

    A Royal Mess, Pt. 1: Spanish Princess Charged with Corruption
    If there are perks to being a member of the Spanish royal family (undoubtedly there are), immunity from corruption prosecutions is not one of them. Last month, on June 25th, Princess Cristina of Spain was charged with tax fraud and money…
  • Jul 2

    AFTER ESQUENAZI, QUESTIONS STILL REMAIN

    AFTER ESQUENAZI, QUESTIONS STILL REMAIN
    Haiti in 2001 might have seemed like an entrepreneur’s playground — the kind of place where the stakes were high, the risks were big, and if you played your cards right, you might find fabulous riches. Sure, it was one of the…
Rank this Week: 1859

White Collar Fraud

White Collar Fraud

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

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

    Do Nu Skin Inventory Red Flags Spell Trouble Ahead?

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

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

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

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

    A Felon’s View of White-Collar Crime - Why Society is Very Vulnerable to Fraud
    White-collar crime is more brutal than violent crime. The actions of one or a few corrupt public officials and corrupt businessmen can affect the livelihoods of thousands, even millions of people. Fraudsters use a combination of persuasion…
Rank this Week: 1544

Stock Broker Attorney Blog

Stock Broker Attorney Blog

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

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

    Bond Prices Plummet for Puerto Rico Power Authority

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

    Disciplinary Action Against BlackRock Advisors Recommended by SEC

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

    FINRA seeks to narrow public arbitrator definition

    FINRA seeks to narrow public arbitrator definition
    In an effort to tighten the rules for resolving investor disputes in arbitration, the Financial Industry Regulatory Authority (FINRA) has proposed a rule to narrow the definition of public arbitrator. Currently, there are 3,555 public…
Rank this Week: 3192

Tim O'Connor's Blog

Tim O'Connor's Blog

Covers stockbroker fraud.

http://stockbrokerlaw.com/tim-oconnors-blog
  • Jul 21

    New York State Deferred Compensation Plan Beneficiary Designation

    New York State Deferred Compensation Plan Beneficiary Designation
    The New York State Deferred Compensation Plan is presently administered through Nationwide, and curiously, beneficiary designation forms must be mailed to an address in Ohio, not New York State. The New York State Deferred Compensation Plan…
  • Jun 30

    FINRA Investor Alert: IRA Rollover Tip

    FINRA Investor Alert: IRA Rollover Tip
    The Financial Industry Regulatory Authority (FINRA) issued an investor alert entitled The IRA Rollover: Ten Tips to Making Sound Decision. As many Americans face the decision to either keep their retirement nest egg with a former employer…
  • Jan 6

    Become a FINRA Arbitrator

    Become a FINRA Arbitrator
    The Office of Dispute Resolution of the Financial Industry Regulatory Authority (FINRA) is currently seeking experienced professionals, citizens, and members of the community to serve as arbitrators on FINRA arbitration panels.  Notably,…
Rank this Week: 2873

Cady Bar the Door

Cady Bar the Door

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

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

    Foreign Pink Sheets Companies and the FCPA

    Foreign Pink Sheets Companies and the FCPA
    Penny stock companies have been much in the news recently.  They can be tough entities for law enforcement to look into given that their officers and directors are often not inclined to cooperate with government investigations. …
  • Jul 14

    Three Thoughts about FINRA’s Weird Japanese Insider Trading Case

    Three Thoughts about FINRA’s Weird Japanese Insider Trading Case
    One of the things you’re not supposed to do if you’re in the securities business – or any business, really – is buy and sell securities on the basis of material, nonpublic information in breach of a duty not to do…
  • Jun 29

    D.C. Circuit Bolsters Attorney-Client Privilege in Internal Investigation

    D.C. Circuit Bolsters Attorney-Client Privilege in Internal Investigation
    You may remember that in March, the U.S. District Court in D.C. threw the corporate world into a bit of a tizzy with a ruling that documents related to an internal investigation at Kellogg Brown & Root were not privileged and subject to…
Rank this Week: 3798

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Jul 18

    Doubling Down

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

    Comparing Lychee

    Comparing Lychee
    Securities class actions brought against China-based companies often allege discrepancies between the company's Chinese regulatory filings and SEC filings. In that type of case, the plaintiff must allege at least some facts to support that…
  • Jun 23

    Halliburton Decided

    Halliburton Decided
    The U.S. Supreme Court has issued a decision in the Halliburton case holding that defendants can rebut the fraud-on-the-market presumption of reliance at the class certification stage with evidence of a lack of stock price impact. It is a…
Rank this Week: 2515

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 18

    An Important Tip On Appealing A Decision From The NC Business Court

    An Important Tip On Appealing A Decision From The NC Business Court
    The Business Court is electronic.  Paper copies of documents are not filed with the Business Court.  So when you e-file a Notice of Appeal, is that sufficient for purposes of Rule 3 of the NC Rules of Appellate Procedure? Let's look…
  • Jul 8

    Pro Se Defendant Wins Trial On Breach Of Fiduciary Duty Claims In Business Court

    Pro Se Defendant Wins Trial On Breach Of Fiduciary Duty Claims In Business Court
    When I was a young pup preparing to go to court against the uncommon adversary who was proceeding without a lawyer, I would joke that "I hope I don't lose."  Luckily, I never did. But the Plaintiff in Seraph Garrison, LLC v. Garrison,…
  • Jul 3

    Business Court Refuses To Admit University Of Maryland's Lawyers On A Pro Hac Basi

    Business Court Refuses To Admit University Of Maryland's Lawyers On A Pro Hac Basi
    The lawsuit filed by the Atlantic Coast Conference against the University of Maryland continues to percolate in the North Carolina Business Court.  But the University will have to proceed without its chosen attorneys, as the Court last…
Rank this Week: 1395