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Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
  • Feb 8

    Energy Related Bonds & Structured Notes – A Potential Wolf in Sheep’s Clothing?

    Energy Related Bonds & Structured Notes – A Potential Wolf in Sheep’s Clothing?
    As noted in a February 5, 2016 article in The Wall Street Journal (“The Oil Rout’s Surprise Victims”), the epic collapse in the price of oil, from more than $100 per barrel less than two years ago to below $30 last week, has…
  • Jan 28

    Breaking Bad, the Junk Bond Edition

    Breaking Bad, the Junk Bond Edition
    Junk bonds, better known as high-yeild debt have seen much better days and strategists say that investors may be focusing too much on the role energy has played in the decline while underestimating other risks. According to Matthew Mish,…
  • Jan 24

    SEC Releases Examination Priorities for 2016

    SEC Releases Examination Priorities for 2016
    Released by the Office of Compliance Inspections and Examinations of the Securities and Exchange Commission, Examination Priorities for 2016. The post SEC Releases Examination Priorities for 2016 appeared first on Maddox Hargett & Caruso.
Rank this Week: 54

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/
  • Jan 29

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: Weiling Chou, Note, Restoring Integrity in American Businesses: A Broad Interpretation of the Foreign Corrupt Practices Act, 60 Wayne L.…
  • Jan 29

    Candadian Crowdfunding Exemption

    Candadian Crowdfunding Exemption
    The securities regulatory authorities in Manitoba, Ontario, Québec, New Brunswick and Nova Scotia have adopted in final form Multilateral Instrument 45-108, which governs crowdfunding in those jurisdictions. The Canadian Securities…
  • Jan 29

    This Week in Securities Litigation

    This Week in Securities Litigation
    The SEC Actions Blog has compiled This Week In Securities Litigation (Week ending January 29, 2016).
Rank this Week: 98

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…
  • Feb 1

    Texas Securities Commissioner Orders Firm To Stop Selling Pension Stream

    Texas Securities Commissioner Orders Firm To Stop Selling Pension Stream
    John Morgan, the Texas securities commissioner, is ordering SoBell Corp. and its owner Andrew Gamber to stop selling its Pension Income Stream Program in the state of Texas. SoBell, which is based in Mississippi, executes agreements with…
Rank this Week: 106

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Feb 9

    Broker Investigation: Customer Complaints Against Broker Daniel McPherson

    Broker Investigation: Customer Complaints Against Broker Daniel McPherson
    The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Daniel McPherson (McPherson). According to BrokerCheck records McPherson is subject to two…
  • Feb 9

    FINRA Files Complaint Against Gopi Vungarala and Purshe Kaplan Sterling Over Fraudulent Commission Charge

    FINRA Files Complaint Against Gopi Vungarala and Purshe Kaplan Sterling Over Fraudulent Commission Charge
    The securities lawyers of Gana LLP are investigating a complaint filed by The Financial Industry Regulatory Authority (FINRA) against broker Gopi Krishna Vungarala (Vungarala) and his brokerage firm Purshe Kaplan Sterling Investments (Purshe…
  • Feb 8

    Investor Recovery Options for RAAM Global Energy Company Losse

    Investor Recovery Options for RAAM Global Energy Company Losse
    The investment attorneys with Gana LLP continue to report on investor related losses in oil and gas and commodities related investments. Investors may have potential legal remedies due to unsuitable recommendations by their broker to invest…
Rank this Week: 130

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/
  • Jan 21

    Higher Filing Thresholds for HSR Act Premerger Notifications and Interlocking Directorates Announced

    Higher Filing Thresholds for HSR Act Premerger Notifications and Interlocking Directorates Announced
    1. Higher Thresholds For HSR Filings On January 21, 2016, the Federal Trade Commission announced revised, higher thresholds for premerger filings under the Hart-Scott-Rodino Antitrust Improvements Act of 1976. The filing thresholds are…
  • Jan 14

    What You Need to Know About Mergers and Acquisitions Involving Government Contractors and Their Supplier

    What You Need to Know About Mergers and Acquisitions Involving Government Contractors and Their Supplier
    Volume 1 – The Structure of the Deal and Government Consent With today’s posting, we begin a ten-part series on unique issues that arise in connection with the acquisition or disposition of a company that performs government…
  • Dec 21

    FAST Act Speeds-Up Raising Capital

    FAST Act Speeds-Up Raising Capital
    On December 4, 2015, President Obama signed into law the Fixing America’s Surface Transportation Act, or FAST Act. Although primarily a transportation bill, the FAST Act also made changes to the federal securities laws as described…
Rank this Week: 128

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
  • Feb 10

    Texas Securities Commissioner Bans the Sale of Pension Stream

    Texas Securities Commissioner Bans the Sale of Pension Stream
    From the Desk of Jim Eccleston at Eccleston Law LLC:Andrew Gamber, through his Jackson, Mississippi-based Sobell Corp. offered a product to retail investors called “Pension Income Stream Program.” The program made agreements with…
  • Feb 7

    What to Expect In 2016 Examination

    What to Expect In 2016 Examination
    From the Desk of Jim Eccleston at Eccleston Law LLC:In considering the priorities for the upcoming year, The Office of Compliance Inspections and Examination (OCIE) of the SEC seeks to prevent potentially heightened risk for investors and the…
  • Feb 5

    Former Advisors Indicted in $35 Million Fraud Scheme

    Former Advisors Indicted in $35 Million Fraud Scheme
    From the Desk of Jim Eccleston at Eccleston Law LLC:Angelo Alleca and Mark Morrow were indicted for their alleged involvement in a scheme that defrauded more than 300 investors of $35 million. During the time of the scheme, Alleca was…
Rank this Week: 208

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/
Rank this Week: 196

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
  • Feb 8

    UPDATE: Pro Se Respondent Battles SEC to Standstill

    UPDATE: Pro Se Respondent Battles SEC to Standstill
    This is an UPDATE of "Pro Se Respondent Battles SEC to Standstill" (BrokeAndBroker.com Blog, January 20, 2016).Today's BrokeAndBroker.com Blog considers a fascinating Securities and Exchange Commission regulatory case that…
  • Feb 5

    The Houston Terrorist and The Order On Ineptitude

    The Houston Terrorist and The Order On Ineptitude
    On January 6, 2016, the United States Department of Justice filed a three-count Indictment Under Seal against Defendant Omar Faraj Saeed Al Hardan in the United States District Court for the Southern District of Texas (“SDTX”).…
  • Feb 4

    EMPLOYMENT TUESDAY at BrokeAndBroker.com

    EMPLOYMENT TUESDAY at BrokeAndBroker.com
    The BrokeAndBroker.com Employment PageStockbroker, Compliance, Legal, and Regulatory Jobssearch by title, skills, job, city, state, zip, and companyThe BrokeAndBroker.com Employment Page...
Rank this Week: 228

Federal Securities Law Blog

Federal Securities Law Blog

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

http://www.fedseclaw.com/
  • Jan 28

    Delaware Courts continue scrutiny of “disclosure only” settlements in M&A litigation

    Delaware Courts continue scrutiny of “disclosure only” settlements in M&A litigation
    On Jan. 22, 2016, the Delaware Court of Chancery released its opinion in In re Trulia Stockholder Litigation in which it rejected a “disclosure only” settlement of a shareholders’ suit challenging an M&A transaction.…
  • Jan 22

    Supreme Court to review insider trading case

    Supreme Court to review insider trading case
    The Supreme Court has agreed to consider something that lies at the center of nearly every insider trading case: what prosecutors need to prove an insider trading conviction. This case aims to determine exactly what benefits corporate…
  • Jan 6

    Article sheds light on practice of private equity

    Article sheds light on practice of private equity
    Andrew Ross Sorkin wrote an interesting article in Tuesday’s New York Times regarding the practice of private equity firms designating the legal counsel to be used by its lenders in a leveraged buyout financing. In other words, the…
Rank this Week: 177

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 LawyerGoing 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 quantities of…
  • 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…
Rank this Week: 394

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Feb 10

    Douglas Lamb Suspended by FINRA for ETF

    Douglas Lamb Suspended by FINRA for ETF
    According to records provided by the Financial Industry Regulatory Authority (FINRA), former Ohio-based Financial America Securities broker Douglas Lamb is currently not licensed to act as a broker or an investment adviser. The securities and…
  • Feb 10

    Norman Caris Faces Two Pending Complaint

    Norman Caris Faces Two Pending Complaint
    The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding California-based B. Riley & Company broker Norman Caris (CRD# 40535). Norman Caris has spent 46 years in…
  • Feb 9

    LPL Broker Brian Redders Faces Pending Complaint

    LPL Broker Brian Redders Faces Pending Complaint
    The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Missouri-based LPL Financial broker/adviser Brian Redders (CRD# 3119301). Brian Redders has spent seventeen…
Rank this Week: 486

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/
  • Feb 10

    SEC Adopts Cross-Border Security-Based Swap Rules Regarding Activity in the U.S.

    SEC Adopts Cross-Border Security-Based Swap Rules Regarding Activity in the U.S.
    The Securities and Exchange Commission today voted to adopt rules that require a non-U.S. company that uses personnel located in a U.S. branch or office to arrange, negotiate, or execute a security-based swap transaction in connection with…
  • Feb 9

    Electronic Storage Failure Results in $2.6 Million Fine

    Electronic Storage Failure Results in $2.6 Million Fine
    If your firm has not reviewed its electronic storage systems and programs recently, now may be the time. While this is a guess, it seems to me that oversights at one firm cost it $2.6 million in fines.As we all know, the…
  • Feb 9

    SEC Names C. Dabney O’Riordan and Alka Patel as Associate Regional Directors in Los Angeles Office

    SEC Names C. Dabney O’Riordan and Alka Patel as Associate Regional Directors in Los Angeles Office
    The Securities and Exchange Commission today announced that C. Dabney O’Riordan and Alka Patel have been named Associate Directors for Enforcement in the agency’s Los Angeles Regional Office.Ms. O’Riordan began working in…
Rank this Week: 364

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: 553

New York Securities Lawyers Blog

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

http://www.newyorksecuritieslawyersblog.com/
Rank this Week: 409

InvestorLawyers.net

InvestorLawyers.net

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

http://www.investorlawyers.net/blog/
  • Dec 9

    Vanguard Funds File Suit Against VEREIT

    Vanguard Funds File Suit Against VEREIT
    On October 27, 2015, Vanguard Funds (Vanguard) filed suit against VEREIT, Inc. (VEREIT), VEREIT Operating Partnership, AR Capital, ARC Properties Advisors, RCAP Holdings, RCS Capital Corporation, and five company executives in Arizona federal…
  • Dec 9

    Former Cadaret, Grant & Co. Broker William M. Pottetti Barred From Securities Industry

    Former Cadaret, Grant & Co. Broker William M. Pottetti Barred From Securities Industry
    According to the Financial Industry Regulatory Authority (FINRA), former Cadaret, Grant & Co. (Cadaret) broker William M. Pottetti (Pottetti) was barred from the securities industry after he agreed to sign a Letter of Acceptance, Waiver…
  • Dec 8

    Reef Oil and Gas Investments May Give Rise To Investor Arbitration Claim

    Reef Oil and Gas Investments May Give Rise To Investor Arbitration Claim
    Law Office of Christopher J. Gray wishes to alert investors to the possibility that recommendations of Reef Securities, Inc. (Reef) by broker-dealers may be unsuitable, depending on the individual characteristics of investors and whether the…
Rank this Week: 544

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/
  • Feb 13

    We've Moved. Great Content Still - But at New Site!

    We've Moved. Great Content Still - But at New Site!
    Posts here at BDLawBlog.com have been infrequent of late. We've been working to roll out a new online presence for The Beck Law Firm, LLC, that incorporates our blog. After more than seven years here, and more than 500 posts,...
  • Jan 7

    SEC Affirms FINRA Sanctions for Broker Taking Client Info. to New Firm

    SEC Affirms FINRA Sanctions for Broker Taking Client Info. to New Firm
    On December 15, 2014, the SEC affirmed a FINRA disciplinary action finding that a broker violated Conduct Rule 2110 when that broker downloaded certain confidential and nonpublic customer information for more than 2000 clients of his former…
  • Dec 19

    Lessons learned from putting on "the Suit."

    Lessons learned from putting on "the Suit."
    Every now and then I use my blog to share with you things not necessarily related to the law, or to our practice areas of financial markets law, estate planning or business law. Today's one of those days, and I...
Rank this Week: 443

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: 405

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: 420

Institutional Investor Securities…

Institutional Investor Securities Blog

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

http://www.institutionalinvestorsecuritiesblog.com/
Rank this Week: 4663

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/
  • Feb 10

    Three Firms Ordered to Pay $1.2M for UTI Sale

    Three Firms Ordered to Pay $1.2M for UTI Sale
    Three firms were ordered by the Financial Industry Regulatory Authority (FINRA) to pay more than $1 million in fines and restitution for failure to give certain clients discounts on large purchases of unit investment trusts, or UITs.…
  • Feb 10

    J.P. Turner & Company fined $140,000

    J.P. Turner & Company fined $140,000
    The Financial Industry Regulatory Authority (FINRA) sanctioned J.P. Turner & Company for rule violations involving municipal securities. According to CNBC.com, in the first action, FINRA alleged that transactions involving municipal…
  • Feb 9

    United Development Funding Accused of Ponzi-like Scheme

    United Development Funding Accused of Ponzi-like Scheme
    United Development Funding IV plummets after hedge fund manager announces he is shorting the company. Kyle Bass, of Dallas-based Hayman Capital, revealed Friday his short position on a website entitled UDF Exposed. According to Yahoo Finance,…
Rank this Week: 2852

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
Rank this Week: 965

Securities Law Attorneys Blog

Securities Law Attorneys Blog

Covers securities law. By Fitapelli | Kurta.

http://www.securitieslawattorneys.net/
  • Feb 10

    Richard Crockett (Brookville Capital Broker): Complaint

    Richard Crockett (Brookville Capital Broker): Complaint
    The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding New York-based RF Lafferty & Company broker Richard Crockett (CRD# 1209667). Richard Crockett has spent 23…
  • Feb 10

    Adam Newon (National Securities Broker) Faces Complaint

    Adam Newon (National Securities Broker) Faces Complaint
    The securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against New York-based National Securities Corporation broker Adam Newon (CRD# 5705166). Adam Newon has spent three years in the…
  • Feb 10

    Aegis Capital Broker Shadi Barakat Faces Complaint

    Aegis Capital Broker Shadi Barakat Faces Complaint
    The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding New York-based Aegis Capital broker Shadi Barakat (CRD# 5031281). Shadi “Sean” Barakat has spent…
Rank this Week: 1809

Business Blog

Business Blog

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

http://www.businesslawnews.com/
  • Feb 10

    FINRA & the Culture of Compliance

    FINRA & the Culture of Compliance
    FINRA examiners are looking for “Culture of Compliance” The Financial Industry Regulatory Authority (FINRA) recently published its 2016 Regulatory and Examination Priorities Letter. For firms under FINRA’s purview, the…
  • Jan 29

    Surviving the Hard Sell: The Pros and Cons of Timeshare Ownership

    Surviving the Hard Sell: The Pros and Cons of Timeshare Ownership
    What are the pros and cons of timeshare ownership? Is it worth it? After taking a dive during the recession, time share sales are heating up again. With more money available for leisure, many Americans are considering the benefits of a…
  • Jan 19

    FTC to Rely on Existing Laws to Police Corporate Use of Big Data

    FTC to Rely on Existing Laws to Police Corporate Use of Big Data
    FTC to Rely on Existing Laws to Police Corporate Use of Big Data The Federal Trade Commission (FTC) recently issued a report outlining a number of legal concerns for businesses to consider regarding their use of big data analytics –…
Rank this Week: 3721

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/
  • Feb 10

    Derivatives product determination rule to be adopted by remaining provinces on May 1, 2016

    Derivatives product determination rule to be adopted by remaining provinces on May 1, 2016
    Margaret Grottenthaler and William Scott - Members of the Canadian Securities Administrators (CSA) from the provinces and territories of Canada other than Ontario, Manitoba and Quebec recently published their product determination rule,…
  • Feb 4

    Canada's governance landscape - key issues for the 2016 proxy season

    Canada's governance landscape - key issues for the 2016 proxy season
    In this article, we highlight some key issues that we believe will be the focus of attention for Canadian boards and shareholders as the 2016 proxy season unfolds. While many of the issues are familiar from past years, some return with…
  • Feb 1

    Final rule for derivatives trade reporting proposed in remaining Canadian jurisdiction

    Final rule for derivatives trade reporting proposed in remaining Canadian jurisdiction
    William Scott and Margaret Grottenthaler - Securities regulators in all the remaining provinces and territories of Canada have now published final rules in the form of Multilateral Instrument 91-101 Derivatives: Product Determination (MI…
Rank this Week: 3919

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Feb 10

    GAO: SEC’s Priorities Have Changed Since Climate Change Disclosure Guidance

    GAO: SEC’s Priorities Have Changed Since Climate Change Disclosure Guidance
    By Amanda Maine, J.D. The Government Accountability Office issued a report on how companies disclose climate-related supply chain risks in SEC filings and through other channels. The report determined that the SEC has taken some action to…
  • Feb 9

    SEC Stands Up for Whistleblower Rule in Anti-Retaliation Appeal

    SEC Stands Up for Whistleblower Rule in Anti-Retaliation Appeal
    By Amy Leisinger, J.D.The SEC has filed an amicus brief urging the Sixth Circuit to defer to its rulemaking protecting employees from retaliation under the Dodd-Frank Act’s whistleblower provision regardless of whether they reported…
  • Feb 8

    Bebo Asks Justices to Take Case on SEC In-House Court

    Bebo Asks Justices to Take Case on SEC In-House Court
    By Mark S. Nelson, J.D.Laurie Bebo will give the Supreme Court another chance to take up a case disputing the SEC’s in-house enforcement apparatus by arguing in a certiorari petition that the Seventh Circuit misapplied the high…
Rank this Week: 2127

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Feb 10

    SEC Chair White on Activism & Board Diversity

    SEC Chair White on Activism & Board Diversity
    This Q&A interview with SEC Chair White conducted by Wilson Sonsini’s Steve Bochner is more useful than the typical speech (here’s a summary from Ning Chiu). Here’s an excerpt from near the end: STEVEN BOCHNER: We have a…
  • Feb 9

    SEC to Double Funding by 2021?

    SEC to Double Funding by 2021?
    Here’s an excerpt from this WSJ article: The Obama administration will call on lawmakers to double the budgets of the top U.S. market cops over the next several years, the White House announced Monday, a push almost certain to encounter…
  • Feb 8

    21 More Earnings Release Pet Peeves!

    21 More Earnings Release Pet Peeves!
    Recently, I ran a popular blog listing 31 pet peeves about earnings releases. In response, a number of folks sent in additional pet peeves – including Foley & Lardner’s Pat Quick and Morgan Lewis’ Alan Singer – so…
Rank this Week: 2129

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/
  • Feb 10

    Director Pay: Nasdaq Proposes Golden Leash Disclosure Requirement

    Director Pay: Nasdaq Proposes Golden Leash Disclosure Requirement
    A few weeks ago, Nasdaq proposed a rule change that would require listed companies to disclose “golden leash” arrangements. As noted in this Dorsey memo, the proposed rule would require listed companies to disclose on their…
  • Feb 9

    Joseph Slights Tapped as Next Delaware VC

    Joseph Slights Tapped as Next Delaware VC
    Here’s news from this DelawareOnline article: Gov. Jack Markell has nominated former Superior Court judge Joseph R. Slights III to be the next vice chancellor of the Delaware Court of Chancery. If confirmed, Slights will replace Vice…
  • Feb 8

    Secrets of the Activist Manager

    Secrets of the Activist Manager
    In “Secrets of the Activist Manager,” PwC’s Larry Jones and Joseph Duerr draw from a new analysis of 55 companies over the past 10 years in which shareholder activists had a significant impact on company governance and…
Rank this Week: 2121

Footnoted

Footnoted

Reports on actionable information in SEC filings.

http://www.footnoted.com/
  • Feb 9

    The red pen comes out for Apollo Education

    The red pen comes out for Apollo Education
    Apollo Education's deal, announced yesterday, will result in nice payoffs for senior executives.
  • Jan 21

    Is Warren Buffett trying to prop up oil?

    Is Warren Buffett trying to prop up oil?
    So far this year, Berkshire Hathaway has filed eight Form 4s on Phillips 66, compared with 3 Form 4s for all of 2015.
  • Jan 6

    SEC filings in 2015: a look back

    SEC filings in 2015: a look back
    More than 662,000 filings were made to the SEC in 2015, which is actually a slight decline from 2014.
Rank this Week: 1701

Tim O'Connor's Blog

Tim O'Connor's Blog

Covers stockbroker fraud.

http://stockbrokerlaw.com/tim-oconnors-blog
  • Feb 9

    SEC Issues Investor Bulliten on Variable Annuitie

    SEC Issues Investor Bulliten on Variable Annuitie
    On November 5, 2015 the Securities and Exchange Commission issued an Investor Bulletin entitled “Variable Annuities – An Introduction.” This publication of the SEC Office of Investor Education Advocacy follows on the heels…
  • Feb 2

    Best Execution Failure by Two Brokers Results in SEC Bar

    Best Execution Failure by Two Brokers Results in SEC Bar
    Their press release dated October 28, 2015 the SEC disclosed the bar of two brokers involved with favoring certain customers in certain securities purchase transactions while also garnering extra commissions for their firm in the process. As…
  • Jan 26

    FINRA Registered Stockbrokers and Representatives, Investment Advisor Representatives, or Both?

    FINRA Registered Stockbrokers and Representatives, Investment Advisor Representatives, or Both?
    Recent statistics of the Financial Industry Regulatory Authority (FINRA) indicates that there are over 637,000 individual registered representative associated person stockbrokers in the United States employed by over 4,000 FINRA broker dealer…
Rank this Week: 2821

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: 1966

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: 2450

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/
  • Feb 8

    How to Find the Right Financial Advisor for You

    How to Find the Right Financial Advisor for You
    Are you just starting to invest and ready to open your first brokerage account? Are unhappy with your current broker?  Here are some tips from the Financial Industry Regulatory Authority (FINRA) on how to find the right financial advisor…
  • Feb 4

    When Money Buys Stress, not Happine

    When Money Buys Stress, not Happine
    Many people work their entire lives to accumulate a nest egg of savings for retirement.   Others find financial success mid-career.  Either way, accumulating money can be surprising in one respect:  wealth often leads to…
  • Feb 1

    The Big Short: What is Short Selling Anyway?

    The Big Short: What is Short Selling Anyway?
     The recent release of the movie-version of the best-selling book, The Big Short, reminds us of the risky bets that some investors take when they anticipate the stock market, a particular industry, or a certain stock will decline in…
Rank this Week: 4973

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

http://www.seclawyersblog.com/
  • Feb 7

    Linn Energy Investors Brace for Bankruptcy

    Linn Energy Investors Brace for Bankruptcy
    The deep and extended drop in oil prices continues to negatively impact Linn Energy, LLC (NASDAQ:LINE). Shares of Linn Energy (NASDAQ:LINE) / LinnCo (NASDAQ:LNCO) dropped more than 50% on February 5 after Linn announced that it was going to…
  • Feb 6

    Sonn|Erez Investigating Claims Related to Credit Suisse X-Links Cushing MLP Infrastructure ETN

    Sonn|Erez Investigating Claims Related to Credit Suisse X-Links Cushing MLP Infrastructure ETN
    Sonn|Erez is investigating investment losses related to Credit Suisse X-Links Cushing MLP Infrastructure ETN (NYSE: MLPN). The X-Links Cushing MLP Infrastructure ETNs are senior, unsecured debt securities issued by Credit Suisse AG that are…
  • Feb 5

    Sonn|Erez Investigating Claims Related to Babson Capital Global Short Duration High Yield Fund (NYSE: BGH)

    Sonn|Erez Investigating Claims Related to Babson Capital Global Short Duration High Yield Fund (NYSE: BGH)
    Sonn|Erez is investigating investment losses related to Babson Capital Global Short Duration High Yield Fund (NYSE: BGH), a closed end short duration high yield bond fund managed by Babson Capital Management, LLC. The Fund “seeks to…
Rank this Week: 3264

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • Feb 3

    Are regulations regarding elder investors inevitable

    Are regulations regarding elder investors inevitable
    With the exception of those of you who have literally been asleep for the last few years, you are well-versed in the attention FINRA and the SEC are giving to issues surrounding elder investors. Among other things, there is a real focus on…
  • Feb 2

    Why system passwords are not as easy as 123

    Why system passwords are not as easy as 123
    As we all know, cybersecurity remains a top priority for the SEC and FINRA. Unfortunately, a recent Investment News article would suggest that firms do not take it as seriously, or, at least, firm employees do not. A recent study of passwords…
  • Jan 26

    SEC Exam Priorities; It Seems Like Deja Vu All Over Again

    SEC Exam Priorities; It Seems Like Deja Vu All Over Again
    Those famous words of the immortal Yogi Berra hold true when it comes to the SEC exam priorities for 2016. Among those at the top of the list are two familiar friends; protecting retail investors and investors saving for retirement. It is…
Rank this Week: 3749

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/
  • Feb 3

    A Couple Of Things Not To Do In The NC Business Court

    A Couple Of Things Not To Do In The NC Business Court
    The NC Business Court's decision last month in Krawiec v. Manly, 2016 NCBC 7, illustrates a couple of things not to do in the Court. Don't Make "Aiding and Abetting" Claims The Plaintiff made a claim against some of the Defendants for aiding…
  • Jan 18

    Arbitration Provision Which Completely Prohibited Any Discovery Enforced By NC Business court.

    Arbitration Provision Which Completely Prohibited Any Discovery Enforced By NC Business court.
    I don't draft arbitration provisions in agreements, but if I did I would not draft one like the one in Taggart v. Physicians Pharmacy Alliance, Inc.  Not because it turned out to be unenforceable, but because it was found to be…
  • Jan 12

    NC Business Court Revokes Pro Hac Vice Admission Of Out Of State Lawyer

    NC Business Court Revokes Pro Hac Vice Admission Of Out Of State Lawyer
    Judge McGuire came down pretty hard on a Florida attorney admitted pro hac vice (meaning "for this one particular occasion") by another Superior Court Judge, in McCarthy v. Hampton, 2016NCBC 4.  He revoked the lawyer's admission and…
Rank this Week: 1346

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/
  • Feb 3

    The Freedom of Little Joe Cartwright: Tax Crime, Edgar Allan Poe, Noir Film and Lacrosse

    The Freedom of Little Joe Cartwright: Tax Crime, Edgar Allan Poe, Noir Film and Lacrosse
    Notes for the week. Prosecuting Individuals Federal criminal tax lawyer Jack Townsend blogs at Federal Tax Crimes.  Here is his note on Prosecuting Corporate Employees, particularly in the tax context: I have previously blogged on…
  • Dec 24

    White (Collar) Christmas: Gin, Crime, Theology and the Rat Pack

    White (Collar) Christmas: Gin, Crime, Theology and the Rat Pack
      The hour is upon us, so herewith a few Christmas items. Cocktails Here from the archives is a recipe (via Garden & Gun magazine) for Milk Punch for Christmas Morning and a new recipe for An Old Old-Fashioned   . From…
  • Dec 12

    Why You Need More Email

    Why You Need More Email
    Actually, that’s not true.  You don’t need more email; rather, you need better email. Other than a missive alerting you to a sale on gin at your local booze-provider, what constitutes “better” email”?…
Rank this Week: 1570

The Securities Edge

The Securities Edge

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

http://www.thesecuritiesedge.com/
  • Feb 2

    Corporate venture capital investments – Good for startups?

    Corporate venture capital investments – Good for startups?
    Posted By: Robert C. White Jr. Corporate venture capital has quickly developed into a major funding source for startup companies. This type of startup funding is available to some innovative startups and early stage companies, and the dollars…
  • Jan 4

    My top 10 for 2015

    My top 10 for 2015
    Posted By: Robert B. Lamm This time I’m not writing about disclosure or governance. Rather, I’m posting my annual list of my 10 favorite books. For those of you who haven’t seen these lists before, (1) I apologize if this…
  • Jan 4

    They’re back…

    They’re back…
    Posted By: Robert B. Lamm Those of you who’ve been following my postings know that I’m not a fan of Congressional interference in the workings of the SEC. Well, those same wonderful folks who’ve garnered the lowest opinion…
Rank this Week: 3401

Amato Law Firm, LLC Blog

Amato Law Firm, LLC Blog

Overview of current developments in the area of securities law with a focus on securities arbitration and broker-dealer regulation.

http://www.ramatolaw.com/blog1
  • Jan 29

    New Pricing Rule for Non-Traded REITs Will Impact Independent Broker-Dealers and Their Customer

    New Pricing Rule for Non-Traded REITs Will Impact Independent Broker-Dealers and Their Customer
    At long last, FINRA’s revisions to Rules 2340 and 2310 (originally proposed in 2014) have been approved by the SEC and will go into effect on April 11, 2016.  In short, the purpose of the new rules is to provide increased…
  • Jun 16

    Ronald Amato Quoted in IA Watch Article Regarding Broker U5 Issue

    Ronald Amato Quoted in IA Watch Article Regarding Broker U5 Issue
    Attorney Ron Amato recently was quoted in an article appearing in IA Watch entitled “Vindicated Rep Offers Warning that U5 System Can Punish Whistleblowers.”   The article relates to a Form U5 defamation case, brought in…
  • Jun 8

    FINRA Re-examines Need for Broker Recruiting Bonus Disclosure

    FINRA Re-examines Need for Broker Recruiting Bonus Disclosure
    Months after shelving a financial advisor “bonus” disclosure rule that it previously had filed with the SEC, FINRA has proposed a revised bonus disclosure rule that emphasizes educating investors about questions potentially to ask…
Rank this Week: 2327

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • Jan 27

    FINRA's BrokerCheck Posting Terminations More Quickly, but Firms Still have 30 days to Report

    FINRA's BrokerCheck Posting Terminations More Quickly, but Firms Still have 30 days to Report
    FINRA's RegulatoryNotice 15-39 is getting a little blog time, but sadly some law firms writing about it seem to misunderstand not only the Notice itself, but also the implications of the changes that have been implemented.  FINRA Rule…
  • Jan 7

    SEC Continues to Crack Down on EB-5 Fraud

    SEC Continues to Crack Down on EB-5 Fraud
    Late last year, investors who claimed the $8.5 million frozen by the Securities and Exchange Commission (SEC) was rightfully theirs were denied access to the money by a federal judge. U.S. District Judge Joan Lenard ruled that management of…
  • Jan 7

    DID YOU JUST BUY OR SELL AN UNREGISTERED SECURITY?

    DID YOU JUST BUY OR SELL AN UNREGISTERED SECURITY?
    Generally speaking, if an investment is a security it either needs to be registered or exempt from registration. And yet it is far too commonplace to read headlines about enforcement actions related to the sale of unregistered securities, or…
Rank this Week: 3897

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: 1518

Stock Market Loss

Stock Market Loss

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

http://www.stockmarketloss.com/news/
  • Jan 26

    Coin Flipping Beats Wall Street Strategist

    Coin Flipping Beats Wall Street Strategist
    This article was originally posted on Stock Market Loss Economists have suggested for years that while stockbrokers and brokerage firms will occasionally outperform the market, those instances are pretty much a product of random chance. Over…
  • Jan 25

    Thomas Buck Wrongdoing Exceeds Settlement

    Thomas Buck Wrongdoing Exceeds Settlement
    This article was originally posted on Stock Market Loss Former Merrill Lynch broker Thomas J. Buck has been named in several complaints, already costing the company over $4.1 million in settlements. Many of the complaints allege that Mr. Buck…
  • Jan 25

    FINRA’s Arbitration and Expungement Changes Not Enough

    FINRA’s Arbitration and Expungement Changes Not Enough
    This article was originally posted on Stock Market Loss A report from a FINRA task force recommends 51 changes to the arbitration process. Among these changes is increasing the stipend for arbitrators, explanation of arbitration decisions…
Rank this Week: 3341

Cady Bar the Door

Cady Bar the Door

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

http://www.secmiscellany.com
  • Jan 25

    The Insider Trading Cartoon Series, Vol. V — Misappropriation Theory

    The Insider Trading Cartoon Series, Vol. V — Misappropriation Theory
    We’ve spent a few episodes talking about insider trading when the trader owes a fiduciary duty to the company whose securities are being traded.  But what if the trader isn’t connected to the company? Enter the…
  • Dec 18

    Martin Shkreli, Criminal Forfeiture, and the Wu-Tang Clan

    Martin Shkreli, Criminal Forfeiture, and the Wu-Tang Clan
    The S&P Schadenfreude Index hit an all-time high yesterday when Martin Shkreli was arrested and indicted for securities fraud related to a hedge fund he used to run.  The SEC sued him, too.  Here’s how the Justice…
  • Dec 9

    The Insider Trading Cartoon Series, Vol. IV — Rank-and-File Employee

    The Insider Trading Cartoon Series, Vol. IV — Rank-and-File Employee
    Having covered corporate officers and temporary insiders, we now turn briefly to regular employees, still under the classical theory of insider trading liability. The post The Insider Trading Cartoon Series, Vol. IV — Rank-and-File…
Rank this Week: 3744

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

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

    Not Enough Studying

    Not Enough Studying
    Yelp is an online networking platform that hosts user-generated reviews of local businesses.  In a recent securities class action (Curry v. Yelp, Inc., 2015 WL 7454137 (N.D. Cal. Nov. 24, 2015)), the court considered claims that Yelp…
  • Dec 4

    Omnicare’s Scope

    Omnicare’s Scope
    In its Omnicare decision issued earlier this year, the U.S. Supreme Court held that opinions presented in registration statements can be subject to liability under Section 11 of the Securities Act of 1933 if either (a) the…
  • Oct 30

    Innocent Third Partie

    Innocent Third Partie
    The scienter (i.e., fraudulent intent) of an officer who makes a false or misleading statement can be imputed to the company based on the law of agency, but that rule potentially is subject to an…
Rank this Week: 2135

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: 1485

Business Law Post

Business Law Post

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

http://www.businesslawpost.com
Rank this Week: 4621