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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: 77

Securities Attorney Law Blog

Securities Attorney Law Blog

Reviews Federal Securities Fraud Litigation, Arbitration, Whistleblower Claims & Derivative Lawsuits. By Jay Eng.

http://securitiesattorneys.us/
Rank this Week: 133

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

http://www.hedgefundlawblog.com
  • Apr 1

    Hedge Fund Events April 2015

    Hedge Fund Events April 2015
    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: April 1, 2015 Sponsor: 100WHF Event: Investing in Healthcare Location: Boston, MA Date:…
  • Mar 10

    Hedge Fund Events March 2015

    Hedge Fund Events March 2015
    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. ****l Date: March 2-3, 2015 Sponsor: Information Management Network Event: Alpha Hedge East…
  • Feb 1

    Hedge Fund Events February 2015

    Hedge Fund Events February 2015
    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: February 1, 2015 Sponsor: The Venture Capital and Private Equity Club at Harvard Business…
Rank this Week: 156

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/
  • Apr 17

    Investigation Involving Summit Healthcare REIT

    Investigation Involving Summit Healthcare REIT
    Have you suffered investment losses in Summit Healthcare REIT, formerly Cornerstone Core Properties? If so, The White Law Group may be able to help you recover your losses through FINRA arbitration. Summit Healthcare REIT is a real estate…
  • Apr 17

    Investigation Involving CNL Growth Propertie

    Investigation Involving CNL Growth Propertie
    Have you suffered investment losses in CNL Growth Properties? If so, The White Law Group may be able to help you recover your losses through FINRA arbitration. Inland American is a real estate investment trust incorporated in December 2008.…
  • Apr 17

    Investigation Involving Inland Behringer Harvard Opportunity REIT

    Investigation Involving Inland Behringer Harvard Opportunity REIT
    Have you suffered investment losses in Behringer Harvard Opportunity REIT? If so, The White Law Group may be able to help you recover your losses through FINRA arbitration. Behringer Harvard Opportunity REIT is a real estate investment trust…
Rank this Week: 264

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Apr 17

    Former Oppenheimer & Co. broker, Frederic J. Jouhet, suspended and fined.

    Former Oppenheimer & Co. broker, Frederic J. Jouhet, suspended and fined.
    Former Oppenheimer & Co. broker, Frederic J. Jouhet of Birmingham, Michigan, was suspended from the financial industry for 30 days and fined $7,500. The post Former Oppenheimer & Co. broker, Frederic J. Jouhet, suspended and fined.…
  • Apr 17

    Former Sagepoint Financial broker, Daryl Richard Lemon, barred from industry

    Former Sagepoint Financial broker, Daryl Richard Lemon, barred from industry
    Former Sagepoint Financial broker, Daryl Richard Lemon (CRD #2473133) of Culver City, California, was permanently barred from the financial industry on December 23, 2014. According to the Letter of Acceptance, Waiver and Consent (AWC), Daryl…
  • Apr 17

    Prospera Financial broker, David L. Shafranek, suspended and fined

    Prospera Financial broker, David L. Shafranek, suspended and fined
    Prospera Financial broker, David L. Shafranek of While Plains, New York, was fined $10,000 and suspended from the financial industry for 20 business days. The post Prospera Financial broker, David L. Shafranek, suspended and fined appeared…
Rank this Week: 410

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: 297

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • Apr 17

    Fox’s Frank Razzano Publishes New Securities Article in Securities Regulation Law Journal

    Fox’s Frank Razzano Publishes New Securities Article in Securities Regulation Law Journal
    Our partner, Frank C. Razzano, has recently published an article, entitled “What Lies Ahead: Halliburton v. Erica P. John Fund, Inc.,” in the Securities Regulation Law Journal (Spring 2015).  It is a great article…
  • Apr 16

    The DOL Proposes A Fiduciary Duty Rule; Is This The Beginning Of The End

    The DOL Proposes A Fiduciary Duty Rule; Is This The Beginning Of The End
    The Department of Labor delivered on a longstanding but controversial promise when it recently proposed a fiduciary duty rule for all brokers who work with retirement accounts. The primary purpose of the proposed rule is avoidance of…
  • Apr 14

    So Who Wants To Give A Vendor Access To Your IT System

    So Who Wants To Give A Vendor Access To Your IT System
    At one time or another, member firms will likely need the services of an outside vendor. This may be particularly true for smaller member firms. Outside vendors have their place, but FINRA’s Report on Cybersecurity Practices details…
Rank this Week: 292

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/
  • Apr 16

    Notes from Tulane

    Notes from Tulane
    Here are a few pieces with notes from the recent M&A conference at Tulane: – WSJ’s “Two Pieces of Good News for Activists from Tulane M&A Confab” – Fortune’s “As deals rise, bankers warn of…
  • Apr 15

    NASAA Proposes to Exempt Certain M&A Broker

    NASAA Proposes to Exempt Certain M&A Broker
    As noted in this memo, a few months ago, NASAA requested comments on a proposed uniform state model rule regarding the exemption of certain M&A Brokers from state registration requirements. This proposal has key differences from a Corp…
  • Apr 14

    Fed Eases Small Bank M&A Rule

    Fed Eases Small Bank M&A Rule
    Here’s a blog by Stinson Leonard Street’s Steve Quinlivan: The Board of Governors of the Federal Reserve Board has modified its Small Bank Holding Company Policy Statement to facilitate the sale of smaller community banks. Under…
Rank this Week: 341

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/
  • Apr 14

    FINRA Bars Owner of Broker-Dealer, Seller of Illiquid Equipment-Leasing Funds for Misusing Investor Money

    FINRA Bars Owner of Broker-Dealer, Seller of Illiquid Equipment-Leasing Funds for Misusing Investor Money
    The Financial Industry Regulatory Authority has barred the owner of Commonwealth Capital Corp. from the securities industry. Kimberly Springsteen-Abbott is accused of misusing investor funds. Commonwealth Capital Securities Corp., a…
  • Apr 11

    Pacific West Faces SEC Fraud Charges Over Life Settlement

    Pacific West Faces SEC Fraud Charges Over Life Settlement
    The Securities and Exchange Commission is charging Pacific West Capital Group Inc. with securities fraud and other violations. The regulator contends that the investment firm and its owner, Andrew B. Calhoun IV, misled clients about life…
  • Apr 8

    SEC Sues Ex-New York Giants Cornerback Over Alleged Ponzi Scam

    SEC Sues Ex-New York Giants Cornerback Over Alleged Ponzi Scam
    The U.S. Securities and Exchange Commission is suing a former New York Giants player for allegedly helping to run a Ponzi scam. According to the regulator, Will Allen and his business partner Susan Daub raised over $31 million from investors,…
Rank this Week: 375

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/
Rank this Week: 468

100 F Street

100 F Street

Covers securities law for growing businesses. By Vanessa Schoenthaler.

http://100fstreet.com/
  • Feb 20

    ISS Releases FAQs Related to Its 2015 Proxy Voting Policie

    ISS Releases FAQs Related to Its 2015 Proxy Voting Policie
    Yesterday Institutional Shareholder Services (ISS) released a set of five frequently asked questions related to select proxy voting policies for the 2015 proxy season. The first two questions address shareholder proxy…
  • Feb 16

    Catching Up on All Things Proxy Related From Last Week

    Catching Up on All Things Proxy Related From Last Week
    Among the many things Commission-related going on as of late, here’s a round of up some of the more notable proxy-related matters from the week that was February 9th. The Upcoming Proxy Voting Roundtable On Thursday the Commission…
  • Feb 9

    The SEC Issues Proposed Rules Regarding Disclosure of Hedging by Employees and Director

    The SEC Issues Proposed Rules Regarding Disclosure of Hedging by Employees and Director
    Yesterday the Securities and Exchange Commission announced the adoption of proposed rules to implement Section 955 of the Dodd-Frank Wall Street Reform and Consumer Protection Act which addresses disclosure of company policies…
Rank this Week: 327

Financial Counsel

Financial Counsel

Covers compliance, employment and industry intelligence for investment professionals and investment, planning and regulatory intelligence for investors. By James J. Eccleston.

http://financialcounselblog.com
  • Apr 17

    SEC Charges Oil-Gas Companies in A $33 Million Scheme

    SEC Charges Oil-Gas Companies in A $33 Million Scheme
    From the Desk of Jim Eccleston at Eccleston Law LLC:Two California oil-and-gas companies, their principal, and four sales associates have been accused by the SEC of a long-term fraudulent oil and gas scheme.From 2007 to 2012, Team Resources,…
  • Apr 16

    LPL Fined $3.6 million for Nontraded REIT Sale

    LPL Fined $3.6 million for Nontraded REIT Sale
    From the Desk of Jim Eccleston at Eccleston Law LLC:New Hampshire securities regulators fined LPL Financial  $3.6 million for allegedly selling unsuitable real estate investments to elderly clients.According to the New Hampshire Bureau…
  • Apr 15

    New Study Compares Brokerage Firm Advertising

    New Study Compares Brokerage Firm Advertising
    From the Desk of Jim Eccleston at Eccleston Law LLC:An investor advocacy bar association, known as PIABA (the Public Investors Arbitration Bar Association), has issued a report entitled, “Major Investor Losses Due to Conflicted Advice:…
Rank this Week: 835

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
  • Apr 17

    Expunge

    Expunge
    In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in March 2013, Claimant Marriott Claimant asserted breach of fiduciary duty; common law fraud; violation of the Texas Securities Act;…
  • Apr 15

    US Attorney and SEC Charge Investment Advisor In $20 Million Fraud

    US Attorney and SEC Charge Investment Advisor In $20 Million Fraud
    On April 16, 2015, the United States Attorney for the Southern District of New York announced that Michael Oppenheim, 48, Livingston, NJ had been charged in a Criminal Complaint with one count each of wire fraud, embezzlement, securities…
  • Apr 14

    FINRA Arbitrators Say Ineffective Fiduciary Did Not Breach Fiduciary Duty

    FINRA Arbitrators Say Ineffective Fiduciary Did Not Breach Fiduciary Duty
    In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in September 2013, Clamant Ishii Family Trust asserted breach of fiduciary duty; failure to supervise; negligent misrepresentation; and…
Rank this Week: 1095

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
Rank this Week: 1098

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Apr 17

    Cybersecurity: Another Verizon Report & More

    Cybersecurity: Another Verizon Report & More
    Like last year, Verizon has put out a new “2015 Data Breach Investigations Report.” This year’s Verizon report is 69 pages, with a host of useful information as it relies on over 80,000 incidents from 70 organizations for…
  • Apr 16

    Deadline Ends In 1 Week: 33% Early Bird Discount for Our Executive Pay Conference

    Deadline Ends In 1 Week: 33% Early Bird Discount for Our Executive Pay Conference
    You should register soon for our popular conferences – “Tackling Your 2016 Compensation Disclosures: Proxy Disclosure Conference” & “Say-on-Pay Workshop: 12th Annual Executive Compensation Conference” –…
  • Apr 15

    Shareholder Proposals: Wal-Mart No Longer Compelled to Include

    Shareholder Proposals: Wal-Mart No Longer Compelled to Include
    Yesterday, just a week after oral argument, the 3rd Circuit overturned the district court in the much-awaited Trinity Wall Street v. Wal-Mart case. Here’s the news from Skadden: The U.S. Court of Appeals for the Third Circuit issued a…
Rank this Week: 663

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • Apr 16

    Securities Litigation Developments Outside the U.S.: Interview with Shareholder Attorney Alexander Reu

    Securities Litigation Developments Outside the U.S.: Interview with Shareholder Attorney Alexander Reu
    Among the more interesting recent securities litigation developments outside the United States was the announcement earlier this month that institutional investors had reached a 11 billion yen ($92 million) settlement of shareholder lawsuits…
  • Apr 15

    Are Event Studies in Securities Litigation Reliable?

    Are Event Studies in Securities Litigation Reliable?
    In its June 2014 opinion in the Halliburton case, the U.S. Supreme Court held that securities lawsuit defendants may introduce evidence at the class certification stage to try to show that the alleged misrepresentation on which the plaintiffs…
  • Apr 14

    Guest Post: The SEC Continues to Turn Up the Heat on Private Equity

    Guest Post: The SEC Continues to Turn Up the Heat on Private Equity
    In the following guest post,  Elan Kandel, who is a member of the Cozen O’Connor law firm, takes a look at the SEC’s recent investigative interest in the way private equity firms disclose their fees. He also reviews the…
Rank this Week: 583

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/
  • Apr 14

    Some Stats On The Business Court

    Some Stats On The Business Court
    When the North Carolina Legislature "modernized" the Business Court last year, it added a provision to the General Statutes mandating that the Director of the Administrative Office of the Courts prepare a report, twice a year, showing the…
  • Apr 10

    NC Business Court Takes On The Oxford Comma

    NC Business Court Takes On The Oxford Comma
    You most likely have heard of the Oxford Comma.  It is also referred to as the "serial comma."  If you are not familiar with this literary device, it is a comma placed before the word "and" or another conjunction (like or or nor) in…
  • Apr 6

    Pizzas And Trademark Infringement

    Pizzas And Trademark Infringement
    It is easy to forget that there is a North Carolina Trademark Registration Act.  It is in Chapter 80 of the General Statutes.  The Business Court's mandatory jurisdiction extends to cases brought under Chapter 80 per N.C. Gen. Stat.…
Rank this Week: 599

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/
  • Apr 13

    SEC Fines Company for Stifling Whistleblower

    SEC Fines Company for Stifling Whistleblower
    Whistleblowers, and the SEC's Whistleblower program, are a large part of the Dodd-Frank Act. The SEC believes that information from a whistleblower who knows of possible securities law violations can be among the most powerful weapons in…
  • Mar 19

    Corporate Insiders Individually Charged for Failing to Update SEC Filing

    Corporate Insiders Individually Charged for Failing to Update SEC Filing
    While we all understand that registered individuals rely on their firms to update their required filings, so do corporate officers and shareholders. The problem is that the individuals are still personally responsible for the updates - and…
  • Mar 16

    SEC News - FCPA Violations, Trade Suspensions, Whistleblower Award

    SEC News - FCPA Violations, Trade Suspensions, Whistleblower Award
    Goodyear Charged With FCPA ViolationsGoodyear Tire & Rubber Company has been charged with violating the Foreign Corrupt Practices Act (FCPA) when its subsidiaries paid bribes to land tire sales in Kenya and Angola.SEC Halts Ponzi-Like…
Rank this Week: 662

Securities Law Prof Blog

Securities Law Prof Blog

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

http://lawprofessors.typepad.com/securities/
  • Apr 10

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: Derek Fischer, Note, Dodd-Frank's Failure to Address CFTC Oversight of Self-Regulatory Organization Rulemaking, 115 Colum. L. Rev. 69…
  • Apr 4

    Assistant Director of the Center for Transactional Law and Practice Emory Law School

    Assistant Director of the Center for Transactional Law and Practice Emory Law School
    Bobby Ahdieh (Emory) forwarded me this announcement about a position in Emory's outstanding Center for Transactional Law and Practice: Emory Law School seeks an Assistant Director of the Center for Transactional Law and Practice to teach in…
  • Apr 4

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: Adam Adler, Student Article, High Frequency Regulation: A New Model for Market Monitoring, 39 Vt. L. Rev. 161 (2014). Vladimir Atanasov,…
Rank this Week: 641

Kueser Law Firm Blog

Kueser Law Firm Blog

Covers securities and investment fraud, as well as other consumer and investor-related issues.

http://blog.jmkesquire.com
Rank this Week: 825

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

http://www.seclawyersblog.com/
  • Apr 6

    Sonn|Erez Investigating Claims Involving Bernard G. McGee

    Sonn|Erez Investigating Claims Involving Bernard G. McGee
    Sonn|Erez is investigating claims regarding Bernard G. McGee (CRD #1203327, Cazenovia, New York). Following a FINRA hearing, McGee was barred from association with any FINRA member in any capacity; ordered to pay $236,202.50, plus interest,…
  • Mar 31

    Sample Practices that Create Firm Liability for Customer Investment Losse

    Sample Practices that Create Firm Liability for Customer Investment Losse
    Securities firms and brokers can't always "blame it on the market" when it comes to investor losses. In addition to state and federal securities laws, FINRA rules impose obligations upon securities firms and brokers. In particular, FINRA…
  • Mar 28

    Sonn|Erez Investigating Claims Involving David Lee Shafranek

    Sonn|Erez Investigating Claims Involving David Lee Shafranek
    Sonn|Erez is investigating claims regarding David Lee Shafranek (CRD #2919901, Long Beach, New York). Shafranek recently submitted an AWC in which he was fined $10,000 and suspended from association with any FINRA member in any capacity for…
Rank this Week: 1113

Corporate Securities Law Blog

Corporate Securities Law Blog

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

http://www.corporatesecuritieslawblog.com/
Rank this Week: 979

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/
  • Mar 30

    Overstock.com Hatchet Man Judd Bagley's Downward Spiral: Junkie, Confessed Criminal, Admitted Adulterer

    Overstock.com Hatchet Man Judd Bagley's Downward Spiral: Junkie, Confessed Criminal, Admitted Adulterer
    In the years that I’ve written extensively about Overstock.com (NASDAQ: OSTK), I have always been amazed about its bizarre CEO Patrick Byrne and the gang of misfits he has surrounded himself with. By far, the worst was a real loser…
  • Feb 5

    Crook vs. Crook: Why Former Congressman Michael Grimm is a Dumb Crook

    Crook vs. Crook: Why Former Congressman Michael Grimm is a Dumb Crook
    In my first segment of a series of Op-ed articles about white-collar crime on CNBC, I examine the case of former Republican Congressman Michael Grimm who recently pleaded guilty to income tax evasion and awaits sentencing on June 8, 2015.New…
  • Sep 8

    Nu Skin Inventory Red Flags Remain Even After $50 Million Impairment Charge

    Nu Skin Inventory Red Flags Remain Even After $50 Million Impairment Charge
    On July 22, 2014, I warned investors that Utah-based multi-level marketing company Nu Skin Enterprises' (NYSE: NUS) surging inventory levels might lead it "to recognize a material impairment charge against inventory in a future period." On…
Rank this Week: 668

Strictly Business

Strictly Business

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

http://www.strictlybusinesslawblog.com/
  • Mar 24

    Venture Capital Term Sheet Negotiation — Part 20: Founders’ Stock

    Venture Capital Term Sheet Negotiation — Part 20: Founders’ Stock
    This post is the twentieth in a series giving practical advice to startups with respect to understanding and negotiating a venture capital term sheet. In the prior nineteen posts, we provided an introduction to negotiation…
  • Feb 5

    Venture Capital Term Sheet Negotiation — Part 19: Board Matter

    Venture Capital Term Sheet Negotiation — Part 19: Board Matter
    This post is the nineteenth in a series giving practical advice to startups with respect to understanding and negotiating a venture capital term sheet. In the prior eighteen posts, we provided an introduction to…
  • Jan 14

    Venture Capital Term Sheet Negotiation — Part 18: Non-Disclosure and Developments Agreement

    Venture Capital Term Sheet Negotiation — Part 18: Non-Disclosure and Developments Agreement
    This post is the eighteenth in a series giving practical advice to startups with respect to understanding and negotiating a venture capital term sheet. In the prior seventeen posts, we provided an introduction to…
Rank this Week: 1047

William Carleton, Counselor @ Law

William Carleton, Counselor @ Law

Covers legal and investment issues facing emerging tech companies.

http://www.wac6.com/wac6/
  • Feb 20

    First Cherry Blossom

    First Cherry Blossom
    Wet and temperate in Seattle this morning. And look, Spring!
  • Feb 9

    Lark & Environ

    Lark & Environ
    Interesting stuff going on at, let's call it 10th and Seneca, about a half block east of Broadway off Madison. Lark has recently moved there, and, based on one dinner experience at the new location, is as good or better...
  • Jan 25

    One Thousand Things Worth Knowing

    One Thousand Things Worth Knowing
    This weekend I've read Paul Muldoon's newly published collection of poems, "One Thousand Things Worth Knowing." (The dust jacket sports a very pleasing design by the ubiquitous Quemadura, a brilliant designer and a kind man I will…
Rank this Week: 805

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 16

    Securities Clawback Actions May be Subject to Arbitration Clause

    Securities Clawback Actions May be Subject to Arbitration Clause
    The United States Court of Appeals for the Eleventh Circuit recently held that “clawback actions brought by court-appointed receivers are not categorically exempt from the Federal Arbitration Act.”  Wiand v. Schneiderman,…
  • Feb 6

    Standard & Poor’s to Pay $1.375 Billion to Settle Lawsuit

    Standard & Poor’s to Pay $1.375 Billion to Settle Lawsuit
    According to the Department of Justice, rating agency Standard & Poor’s Financial Services, LLC (“S&P) and its parent company McGraw Hill Financial, Inc. have agreed to settle multiple lawsuits brought by the federal…
  • Dec 5

    FINRA Increases Arbitrator Pay- Passes Costs to Partie

    FINRA Increases Arbitrator Pay- Passes Costs to Partie
    According to Regulatory Notice 14-49 (“RN 14-49”) issued by the Financial Industry Regulatory Authority (“FINRA”), FINRA is increasing the pay for arbitrators assigned to hear FINRA cases and passing the costs of the…
Rank this Week: 974

Ponzitracker

Ponzitracker

Covers Ponzi schemes. By Jordan Maglich.

http://www.ponzitracker.com/
  • Jan 27

    SEC Charges Wisconsin Man With $10.4 Million Ponzi Scheme

    SEC Charges Wisconsin Man With $10.4 Million Ponzi Scheme
    A Wisconsin man was charged by the Securities and Exchange Commission with operating a Ponzi scheme that took in more than $10 million from at least 122 investors.  Loren Holzhueter, 69, was the subject of an emergency enforcement action…
  • Jan 26

    Ohio CPA Gets 21 Years For Role In $40 Million Ponzi Scheme

    Ohio CPA Gets 21 Years For Role In $40 Million Ponzi Scheme
    An Ohio man was sentenced to serve twenty-one years in federal prison for his role in funnelling investors to the massive "Black Diamond" Ponzi scheme that ultimately duped over 400 investors out of at least $40 million.  Jonathan…
  • Jan 26

    California Men Plead Guilty To $100 Million ATM Ponzi Scheme

    California Men Plead Guilty To $100 Million ATM Ponzi Scheme
    Two California men have entered guilty pleas to operating a massive Ponzi scheme that allegedly caused losses of over $100 million to victims who thought they were investing in a profitable ATM leasing operation.  Joel Barry Gillis, 74,…
Rank this Week: 1076

Wall Street Investment Fraud…

Wall Street Investment Fraud Lawyer Blog

Covers Ponzi schemes, investment fraud, and other scams. By The Doss Firm.

http://www.wallstreetinvestmentfraudlawyer.com/
  • Jan 13

    STIFEL NICOLAUS AND CENTURY SECURITIES CONSENT TO FINES OVER IMPROPER SALES OF LEVERAGED AND INVERSE ETFS

    STIFEL NICOLAUS AND CENTURY SECURITIES CONSENT TO FINES OVER IMPROPER SALES OF LEVERAGED AND INVERSE ETFS
    According to a recent news release, the Financial Industry Regulatory Authority (FINRA) has fined Stifel, Nicolaus & Company, Incorporated and an affiliate $550,000 ordered them to pay approximately $475,000 in restitution to 65 customers…
  • Jan 9

    J. P. Morgan Chase Avoids Criminal Prosecution for Hosting Madoff Fraud

    J. P. Morgan Chase Avoids Criminal Prosecution for Hosting Madoff Fraud
    Banking giant J. P. Morgan Chase has reached a deal with federal prosecutors to avoid criminal prosecution for its role in the Bernard Madoff Ponzi scheme. According to the prosecutors, J. P. Morgan, which had custody of Madoff accounts,…
  • Jan 9

    FINRA IDENTIFIES AREAS OF CONCERN FOR INVESTORS

    FINRA IDENTIFIES AREAS OF CONCERN FOR INVESTORS
    Each year, the Financial Industry Regulatory Authority (FINRA) publishes a letter to the financial services industry identifying its regulatory and examination priorities. FINRA is the industry's "self-regulatory organization," which is…
Rank this Week: 588

Dividends and Preferences

Dividends and Preferences

Musings on Venture Capital, Technology and Entrepreneurship. By Hank J. Heyming.

http://www.dividendsandpreferences.com/
  • Jan 24

    Microsoft/Skype -- Putting Things into Perspective

    Microsoft/Skype -- Putting Things into Perspective
    {EAV:984c4a016f17013d} Microsoft acquires Skype! Largest Microsoft acquisition ever!! Facebook jilted!!! Google jilted!!!! Wait, Facebook wins through Microsoft!!!!! Wait, Microsoft overpaid by $4 billion with a B!!!!!! OMG Google just…
  • May 10

    Nerd Chic

    Nerd Chic
    Lately, I've noticed a new twist to the typical ebb and flow of the fashion wars.  It occurred to me that, for perhaps the first time in my lifetime, it is cool right now to be a nerd.
  • Apr 25

    Out and About

    Out and About
    Hey folks -- I'm getting ready to head down to the RTP area for the annual CED Venture Conference.  This year it is in downtown Raleigh, instead of Pinehurst, and looks to be bigger and better than ever. So, if anyone happens to be in the…
Rank this Week: 664

About Broker Fraud Blog

About Broker Fraud Blog

Covers compliance rules, duty of disclosure, elder abuse and fraud. By the Hayes Law Firm.

http://aboutbrokerfraud.typepad.com/about_broker_fraud_blog/
  • Dec 6

    SEC Freeze Assets in Alleged Diamond-Themed Ponzi Scheme

    SEC Freeze Assets in Alleged Diamond-Themed Ponzi Scheme
    The SEC alleges that Richard Dalton and Universal Consulting Resources LLC (UCR) raised approximately $17 million from investors for two fraudulent offerings. The programs were generally referred to as the “Trading Program” and the…
  • Sep 28

    Arbitrators Award Ten Times Amount of Investment in Auction Rate Securities Case

    Arbitrators Award Ten Times Amount of Investment in Auction Rate Securities Case
    Last month an arbitration panel ordered the investment firm USB financial to pay over $80 million in consequential investments to Kajeet, Inc., a company who markets cellphones for kids. Kajeet’s award fell short of the $110 million…
  • Aug 30

    Raymond James Must Buy Back Auction Rate Securitie

    Raymond James Must Buy Back Auction Rate Securitie
    A Texas couple got some great news last week from the FINRA arbitration panel that ruled on their claim. The panel ruled that the Raymond James Financial Inc. and broker Larry Milton must buy back some $925,000 worth of auction…
Rank this Week: 828

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…
  • 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…
Rank this Week: 2724

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Apr 17

    Gallagher Lambastes FSB’s ‘Coercive’ Global Regulation Tactic

    Gallagher Lambastes FSB’s ‘Coercive’ Global Regulation Tactic
    By Amy Leisinger, J.D.In recent remarks, SEC Commissioner Daniel M. Gallagher addressed the tenuous relationship between global and domestic regulation of the financial industry. He questioned the effects of mandates by the G-20 and the…
  • Apr 16

    Massachusetts Permanently Adopts Emergency Crowdfunding Exemption

    Massachusetts Permanently Adopts Emergency Crowdfunding Exemption
    By Jay Fishman, J.D.The Massachusetts Securities Division permanently adopted an emergency intrastate crowdfunding exemption permitting job growth by helping Massachusetts small and early-stage businesses find investors and gain greater…
  • Apr 15

    TriBeCa Developer Settles with AG's Office over Unregistered Real Estate Securitie

    TriBeCa Developer Settles with AG's Office over Unregistered Real Estate Securitie
    By Rodney F. Tonkovic, J.D.New York Attorney General Eric Schneiderman has announced that his office reached a settlement with a real estate developer for failing to register numerous real estate investments. The settlement was reached with…
Rank this Week: 2241

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Apr 17

    Creating Your Own Losse

    Creating Your Own Losse
    Under the PSLRA, the presumptive lead plaintiff in a securities class action is the applicant with the “largest financial interest in the relief sought by the class.”  The largest financial interest is measured by assessing…
  • Mar 25

    Omnicare Decided

    Omnicare Decided
    The U.S. Supreme Court has issued a decision in the Omnicare case holding that opinions presented in registration statements can be subject to Section 11 liability if either (a) the opinion was not genuinely held, or (b) the registration…
  • Mar 20

    The Streak Is Over

    The Streak Is Over
    Plaintiffs in securities class actions often point to insider trades as evidence that the individual defendants had a pecuniary motive to commit fraud.   But if the plaintiffs do not make any allegations related to insider…
Rank this Week: 2231

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
  • Apr 17

    Summary of the Department of Labor’s Action to Protect Retirement Saver

    Summary of the Department of Labor’s Action to Protect Retirement Saver
    Earlier this week, the Department of Labor delivered a proposed rulemaking to guard investors from backdoor payments and hidden fees in retirement investment advice. The below summary is from the fact sheet of the proposal for action.…
  • Apr 17

    Former JPMorgan Chase Broker Oppenheim, Charged in $20 Million Fraud

    Former JPMorgan Chase Broker Oppenheim, Charged in $20 Million Fraud
    Our firm will be looking into investor complaints against former JPMorgan Chase broker, Michael J. Oppenheim, as a result of the federal authority’s accusations of embezzlement from his clients over the past four years. Checkout the…
  • Apr 14

    New Hampshire Requesting LPL Financial to pay $3.6M

    New Hampshire Requesting LPL Financial to pay $3.6M
    In a filing last week, The New Hampshire Bureau of Securities Regulation says they are seeking $2.4 million from LPL in buybacks and restitution for clients in 48 sales of nontraded real estate investment trusts that date back to 8 years ago.…
Rank this Week: 4185

The Securities Edge

The Securities Edge

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

http://www.thesecuritiesedge.com/
  • Apr 17

    A high mark (would you believe an A+?) for the SEC

    A high mark (would you believe an A+?) for the SEC
    Posted By: Robert B. Lamm I’ve done my share of griping about the SEC, but credit needs to be given where credit is due. And credit is due to the SEC for adopting a new, improved version of Regulation A that has become known as…
  • Apr 13

    CEO pay ratios: ineffective disclosure on steroid

    CEO pay ratios: ineffective disclosure on steroid
    Posted By: Robert B. Lamm On Sunday, April 12, the Business section of the New York Times led with an article by Gretchen Morgenson taking the SEC to task for not having adopted rules requiring disclosure of CEO pay ratios. This follows…
  • Apr 12

    Does governance matter?

    Does governance matter?
    Posted By: Robert B. Lamm I’m a governance nerd. I really believe that corporate governance is important, that it makes a difference, and that there is such a thing as good governance – though I don’t believe that one size…
Rank this Week: 3607

Footnoted

Footnoted

Reports on actionable information in SEC filings.

http://www.footnoted.com/
  • Apr 17

    Golden parachutes for government service?

    Golden parachutes for government service?
    A new shareholder proposal by the AFL-CIO questions accelerated vesting for employees at 4 financial services giants who leave to join the government.
  • Mar 27

    An inverse relationship at J.C. Penney

    An inverse relationship at J.C. Penney
    Before he was replaced as CEO, Marvin Ullman was a very avid user of JC Penney's corporate jet for personal travel.
  • Mar 18

    Hunting for Perks in Proxy Season

    Hunting for Perks in Proxy Season
    Proxy season invariably means the disclosure of some unique perks, including a hunting lodge at ArcBest.
Rank this Week: 2468

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/
  • Apr 17

    OSC hopes to ramp up enforcement efforts with whistleblower program

    OSC hopes to ramp up enforcement efforts with whistleblower program
    Simon Romano and Jeffrey Singer -  The Ontario Securities Commission (OSC) recently announced that it will be hosting a roundtable to explore the issues raised in its proposal to implement a whistleblower program. The OSC first…
  • Apr 17

    CSA propose expanding passport system

    CSA propose expanding passport system
    The Canadian Securities Administrators yesterday released proposed amendments to the passport system of securities regulation that would expand the regime to cover applications to cease to be a reporting issuer and failure-to-file case trade…
  • Apr 17

    Prospectus exemption proposed for distributions to retail investors relying on investment dealers' advice

    Prospectus exemption proposed for distributions to retail investors relying on investment dealers' advice
    Ramandeep K. Grewal and Alex Colangelo -  Securities regulators in British Columbia, New Brunswick and Saskatchewan yesterday proposed a new prospectus exemption that would allow issuers listed on certain Canadian exchanges to…
Rank this Week: 4206

Business Blog

Business Blog

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

http://www.businesslawnews.com/
  • Apr 17

    Securities Fraud Claims Resolved By Supreme Court

    Securities Fraud Claims Resolved By Supreme Court
    In Omnicare, Inc. v. Laborers District Council Construction Industry Pension Fund, the U.S. Supreme Court addressed when statements of opinion are actionable under Section 11 of the Securities Act of 1933 (Section 11). The Court’s…
  • Apr 16

    Department of Labor Releases Much-Anticipated Fiduciary Rule

    Department of Labor Releases Much-Anticipated Fiduciary Rule
    After many delays and prolonged anticipation, the Department of Labor (DOL) finally released hotly contested, proposed fiduciary rules, which would increase the number of plan service providers falling within the definition of…
  • Apr 15

    New Internet Domain Suffix Ready For Busine

    New Internet Domain Suffix Ready For Busine
    Would you pay to deter someone from creating a website called “[yourcompany].sucks?” The company selling the new internet domain name is hoping that the answer is yes for the owners of many well-known brands. As previously…
Rank this Week: 3895

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/
  • Apr 17

    California AG Asks Retailers And Manufacturers To Report On Supply Chains Act Compliance

    California AG Asks Retailers And Manufacturers To Report On Supply Chains Act Compliance
    The California Attorney General’s office recently sent letters to retailers and manufacturers asking them to demonstrate compliance with the California Transparency in Supply Chains Act or why they are not subject to the act.  I…
  • Apr 16

    Study Concludes That California’s Lending Laws Are Number One

    Study Concludes That California’s Lending Laws Are Number One
    In a recently published paper, Colleen Honigsberg, Sharon P. Katz, and Gil Sadka examine the relationship between debt contracts and state law.  Perhaps only Captain Renault will be shocked by their finding that “California…
  • Apr 15

    Email Notice Without Consent Is Not Notice

    Email Notice Without Consent Is Not Notice
    The California General Corporation Law unequivocally authorizes the giving of notice of stockholder meetings by electronic transmission.  Section 601(b) provides “Notice of a shareholders’ meeting or any report shall be given…
Rank this Week: 4737

Subject to Inquiry

Subject to Inquiry

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

http://www.subjecttoinquiry.com/
  • Apr 16

    Rogue Agency or Champion of Consumers? House Votes for CFPB Transparency

    Rogue Agency or Champion of Consumers? House Votes for CFPB Transparency
    A common complaint against the CFPB is that the agency wields too much power without enough accountability. House Financial Services Committee Chairman Jeb Hensarling recently described the CFPB as “single most powerful and least…
  • Apr 16

    Will Judge Rakoff Get His Wish? – Changes to Federal Sentencing Guidelines May Alter the Plea Bargaining Proce

    Will Judge Rakoff Get His Wish? – Changes to Federal Sentencing Guidelines May Alter the Plea Bargaining Proce
    In an article last fall, U.S. District Judge Jed Rakoff lamented the prevalence and process of plea bargaining in today’s criminal justice system.  While plea bargains currently resolve an estimated 97 percent of federal…
  • Apr 16

    CFPB Continues Focus on Mortgage Lender Advertising

    CFPB Continues Focus on Mortgage Lender Advertising
    Last week, the CFPB announced an enforcement action against RMK Financial Corporation d/b/a Majestic Home Loans (RMK) related to deceptive mortgage advertising practices. This enforcement action is the most recent in a series of enforcement…
Rank this Week: 1324

New York Securities Lawyer Blog

New York Securities Lawyer Blog

Covers securities law. By Lax & Neville LLP.

http://www.newyorksecuritieslawyerblog.com/
Rank this Week: 1639

Recover Investment Losses Blog

Recover Investment Losses Blog

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

http://blog.rexsecuritieslaw.com
  • Apr 16

    Phony Texas Financial Advisor Named by SEC For Scamming Military and Veteran

    Phony Texas Financial Advisor Named by SEC For Scamming Military and Veteran
    April 14, 2015-Fort Hood, Texas Leroy Brown, Jr. was named in a complaint filed by the Securities and Exchange Commission (SEC) alleging fraud and accusing Brown of telling false tales about his purported experience as a stockbroker in order…
  • Apr 16

    Former PrimeSolutions Securities Broker Named in Suit By SEC

    Former PrimeSolutions Securities Broker Named in Suit By SEC
    Richfield, Ohio-April 15, 2015 Jerry A. Cicolani, 51, was charged in a criminal information with selling unregistered securities in KGTA Petroleum, Ltd., causing dozens of investors to lose over $7 million, according to an FBI press…
  • Apr 14

    Florida Stockbroker Lost While Fishing at Sea Staged Disappearance

    Florida Stockbroker Lost While Fishing at Sea Staged Disappearance
    April 13, 2015- Boca Raton, FL The Sun Sentinel reports that Richard Ohrn, 44, a former local stock broker who disappeared while fishing in the Atlantic ocean a few weeks back, has admitted that he staged his disappearance by…
Rank this Week: 1597

Securities Fraud Attorney Blog

Securities Fraud Attorney Blog

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

http://www.securitiesfraudattorneyblog.com/
  • Apr 15

    Labor Department Proposes New Rule Imposing Fiduciary Duty on Broker

    Labor Department Proposes New Rule Imposing Fiduciary Duty on Broker
    In what has become a hot issue this Spring, the Labor Department yesterday proposed a new set of standards for brokers who offer advice in connection with 401(k)’s and other retirement accounts. Currently, brokers are required only to…
  • Apr 10

    Concern Mounts Over the Lack of a Rule Imposing a Fiduciary Duty on Broker

    Concern Mounts Over the Lack of a Rule Imposing a Fiduciary Duty on Broker
    I noted in my March 20 post that the Chair of the SEC had just come out in favor of a rule requiring brokers to act in their clients best interests. While investors wait for the SEC to move forward on the issue, the New York City…
  • Apr 10

    Broker Dealers Try to Avoid FINRA Arbitration: Heads I Win, Tails You Lose

    Broker Dealers Try to Avoid FINRA Arbitration: Heads I Win, Tails You Lose
    There has been a spate of litigation in recent years over whether broker dealers can contract out of FINRA arbitration and litigate in court instead. Goldman, Sachs & Co. v. Golden Empire Schools Financing Authority, 764 F.3d 210 (2d Cir.…
Rank this Week: 1293

White Collar Wire

White Collar Wire

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

http://jacksharman.com/
  • Apr 15

    The Old College Try, and The New College Tribunal

    The Old College Try, and The New College Tribunal
    In disciplinary proceedings involving claims of sexual assault, universities continue to find themselves in an intolerable situation, caught in a lawyer-triangle of the Department of Education’s Office of Civil Rights,…
  • Mar 28

    White-Collar Felon Registries, Hester Prynne and The Drive-By Trucker

    White-Collar Felon Registries, Hester Prynne and The Drive-By Trucker
    Although one must admire the historicist sensibilities of a state legislature that just reinstated the firing squad  as a methodology for execution, the Utah legislature’s passage of a bill to create a white-collar crime…
  • Mar 20

    The Drinking Reader, Our Cocktails Magazine, Tom Jones and Other Weekend Matter

    The Drinking Reader, Our Cocktails Magazine, Tom Jones and Other Weekend Matter
    White Collar Wire supports cocktails. As part of that effort, I have a magazine on Flipboard called (helpfully) “Cocktails.”  Follow here, read on and use good ice. Two items we focus on — books and cocktails…
Rank this Week: 1182

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: 3447