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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: 33

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • May 27

    Gregory Taylor Has Unethical Conduct Complaint

    Gregory Taylor Has Unethical Conduct Complaint
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 26, 2016 indicate that former Texas-based Morgan Stanley broker Gregory Taylor is currently not licensed to act as a broker or an investment…
  • May 27

    Broker Spotlight: Michael Marchassalla

    Broker Spotlight: Michael Marchassalla
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 26, 2016 indicate that former New York-based Oppenheimer broker Michael Marchassalla is currently not licensed to act as a broker or an…
  • May 27

    Paul Akre is Sanctioned by FINRA

    Paul Akre is Sanctioned by FINRA
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 24, 2016 indicate that Wisconsin-based Merrill Lynch broker/adviser Paul Akre has been sanctioned by FINRA. The securities and investment fraud…
Rank this Week: 70

The White Law Group's Securities…

The White Law Group's Securities Fraud Blog

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

http://www.whitesecuritieslaw.com/securities-fraud/blog/
  • May 22

    Former advisor Gregg Caplitz sentenced.

    Former advisor Gregg Caplitz sentenced.
    According to reports, Gregg Caplitz, an investment advisor from Wilmington, Massachusetts, recently received a three-and-a-half year prison sentence for allegedly telling clients he would invest their money in a hedge fund but instead…
  • May 18

    UDF IV releases results of internal investigation.

    UDF IV releases results of internal investigation.
    According to reports, UDF IV has announced that it had conducted an independent investigation of its business and found no evidence of fraud. UDF IV was listed on the Nasdaq in June 2014. In December, an anonymous post on an investor…
  • May 18

    Raymond James fined by FINRA.

    Raymond James fined by FINRA.
    According to various reports, regulators have fined Raymond James $17 million, accusing the financial services firm of widespread failures in its controls against money laundering. The Financial Industry Regulatory Authority (a/k/a FINRA)…
Rank this Week: 80

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
  • May 27

    SEC Plans to Implement New Fiduciary Rule and Third Party Examination

    SEC Plans to Implement New Fiduciary Rule and Third Party Examination
    From the Desk of Jim Eccleston at Eccleston Law LLC:According to the most recent regulatory agenda, the Securities and Exchange Commission plans to propose a new set of rules to raise the standards for investment advisers and also to…
  • May 26

    First Enforcement Action under New Fiduciary Rule

    First Enforcement Action under New Fiduciary Rule
    From the Desk of Jim Eccleston at Eccleston Law LLC:In its first action brought forth under the new fiduciary requirement for municipal advisers, the SEC has charged a municipal adviser, its CEO, and two employees for their roles in failing…
  • May 25

    FINRA Chief Executive Richard Ketchum Will Focus on the Hiring of Bad Brokers and Firm Culture

    FINRA Chief Executive Richard Ketchum Will Focus on the Hiring of Bad Brokers and Firm Culture
    From the Desk of Jim Eccleston at Eccleston Law LLC:At the Financial Industry Regulatory Authority Inc.’s annual conference in Washington, FINRA Chairman and Chief Executive Richard G. Ketchum pointed out that a broker with a worrisome…
Rank this Week: 91

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • May 27

    Broker Investigation: Churning Complaints Against Broker Nathaniel Clay

    Broker Investigation: Churning Complaints Against Broker Nathaniel Clay
    The securities lawyers of Gana LLP are investigating a customer complaint filed with The Financial Industry Regulatory Authority (FINRA) against broker Nathaniel Clay (Clay).  According to BrokerCheck records Clay has been subject to at…
  • May 27

    Customers File Complaints Against Bruce Slater Involving REITs, Oil and Gas, and Variable Annuitie

    Customers File Complaints Against Bruce Slater Involving REITs, Oil and Gas, and Variable Annuitie
    The securities lawyers of Gana LLP are investigating a customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Bruce Slater (Slater).  According to BrokerCheck records Slater has been subject to…
  • May 25

    FINRA Sanctions Broker Peyton Jackson Over Outside Business Activitie

    FINRA Sanctions Broker Peyton Jackson Over Outside Business Activitie
    The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Peyton Jackson (Jackson).  According to BrokerCheck records Jackson has been subject…
Rank this Week: 95

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: 141

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
Rank this Week: 163

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: 201

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/
Rank this Week: 260

Securities Law Blog

Securities Law Blog

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

http://seclaw.blogspot.com/
  • May 28

    Investors Filing Claims for Energy, Oil and Gas Stock Losse

    Investors Filing Claims for Energy, Oil and Gas Stock Losse
    With the collapse of oil prices over the past two years, many analysts were predicting a decline in the overall stock market, and in particular in oil and energy stocks. That of course, means an increase in securities arbitration claims…
  • May 26

    FINRA and SEC Actions Against Compliance Officer

    FINRA and SEC Actions Against Compliance Officer
    There was a time when FINRA and the SEC, gave compliance officers a pass in regulatory actions, except of course in the most egregious cases. Their job is tough enough without worrying about a regulatory complaint because of perceived…
  • May 24

    SEC Prevents Trader’s Profits From False Filing

    SEC Prevents Trader’s Profits From False Filing
    The Securities and Exchange Commission has obtained a court order to freeze the profits of a trader who allegedly manipulated a technology stock through a false regulatory filing traced to a computer in Pakistan.  The asset freeze issued…
Rank this Week: 279

Securities Law Attorneys Blog

Securities Law Attorneys Blog

Covers securities law. By Fitapelli | Kurta.

http://www.securitieslawattorneys.net/
  • May 27

    Paul Valencia Has Regulatory Sanction and Customer Complaint

    Paul Valencia Has Regulatory Sanction and Customer Complaint
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 26, 2016 indicate that former California-based World Equity Group broker Paul Valencia has been sanctioned by FINRA. The securities and…
  • May 27

    Steven Larson Discharged from Oakbridge Financial Service

    Steven Larson Discharged from Oakbridge Financial Service
    Public records published by the Financial Industry Regulatory Authority (FINRA) on May 26, 2016 indicate that former Missouri-based Oakbridge Financial Services broker Steven Larson is currently not licensed to act as a broker or an…
  • May 27

    John Towers is Permanently Barred

    John Towers is Permanently Barred
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 25, 2016 indicate that former Texas-based VSR Financial Services broker John Towers has been permanently barred from acting as a broker or…
Rank this Week: 257

Securities Lawyer 101

Securities Lawyer 101

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

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

    Going Public Blog l Securities Lawyer 101

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

    Going Public Blog l Securities Lawyer 101

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

    Court Enters Final Judgments in Sky Capital Boiler Room Case

    Court Enters Final Judgments in Sky Capital Boiler Room Case
    Going Public LawyerThe Securities and Exchange Commission (“SEC”) announced that on April 8th the Honorable Paul A. Crotty of the United States District Court for the Southern District of New York entered final judgments on…
Rank this Week: 301

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/
  • May 27

    Master Limited Partnerships: What You Need to Know

    Master Limited Partnerships: What You Need to Know
    We have received several inquiries recently about investments in master limited partnerships (MLPs).  It seems that, although the popularity of MLPs is growing, many investors still don’t understand exactly what an MLP is or the…
  • May 20

    Crowdfunding and Securities?  What?!

    Crowdfunding and Securities?  What?!
    As many readers may know, “crowdfunding” is a modern innovation for raising money.  Typically using internet sites like Indiegogo, Kickstarter, or GoFundMe, a person can set up a website to raise money to develop a product or…
  • May 12

    Investment Advisor Fraud – Who You Gonna Sue?

    Investment Advisor Fraud – Who You Gonna Sue?
    Here’s something you probably don’t think about when you hire an investment advisor: who will I be able to sue if this person steals my money? Maybe you should think about it. If you’re dealing with a major brokerage firm…
Rank this Week: 330

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: 321

Securities Law Prof Blog

Securities Law Prof Blog

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

http://lawprofessors.typepad.com/securities/
  • Apr 28

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

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

    Save the Date: Central States Law Schools Scholarship Conference

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

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: Ivet A. Bell, Note, The Constitutionality of the SEC Pay to Play Rule: Why 206(4)-5 Survives the Deregulatory Trend in Campaign Finance, 49…
Rank this Week: 366

Institutional Investor Securities…

Institutional Investor Securities Blog

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

http://www.institutionalinvestorsecuritiesblog.com/
  • Dec 31

    SEC’s Report Evaluates The Definition of An Accredited Investor

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

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

    Wells Fargo Sued by Commerz Bank in Mortgage-Backed Securities Case
    Commerzbank is suing Wells Fargo (WFC) for losses sustained on failed mortgage-backed securities (MBS). The German finance firm claims the California lending giant did not properly supervise MBS during the housing bubble, which Commerzbank…
  • May 19

    Former UBS Trader is Helping Prosecutors Pursue Forex Rigging Cases Against Individual

    Former UBS Trader is Helping Prosecutors Pursue Forex Rigging Cases Against Individual
    Bloomberg reports that according to sources, Matt Gardiner, a former UBS Group AG (UBS) trader who was part of the instant-messaging group the federal government identified when obtaining guilty pleas from Barclays PLC (BARC), Royal Bank of…
Rank this Week: 382

InvestorLawyers.net

InvestorLawyers.net

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

http://www.investorlawyers.net/blog/
  • Feb 19

    Former InterSecurities Broker Harry Hammond Suspended For Unapproved PIPE Transaction

    Former InterSecurities Broker Harry Hammond Suspended For Unapproved PIPE Transaction
    According to the Financial Industry Regulatory Authority (FINRA), former InterSecurities, Inc (InterSecurities), now known as Transamerica Financial Advisors, Inc. (Transamerica), broker Harry Hammond (Hammond) was suspended from the…
  • Feb 19

    36 Oil and Gas Companies Filed For Bankruptcy In 2015

    36 Oil and Gas Companies Filed For Bankruptcy In 2015
    Law Office of Christopher J. Gray wishes to alert investors to the possibility that recommendations of oil and gas investments by broker-dealers may be unsuitable, depending on the individual characteristics of investors and whether the…
  • Feb 19

    Customer Complaints Made Against Broker Robyn H. Lee Regarding TIC

    Customer Complaints Made Against Broker Robyn H. Lee Regarding TIC
    According to the Financial Industry Regulatory Authority (FINRA), former Independent Financial Group (Independent), broker Robyn H. Lee (Lee) has had at least thirteen (13) customer complaints made against him, mostly involving sales of…
Rank this Week: 417

Sharesleuth.com

Sharesleuth.com

Offers investigative reporting aimed at exposing securities fraud. By Chris Carey.

http://sharesleuth.com/
  • Nov 22

    SEC expands fraud case to include Lenco Mobile, subject of a prior Sharesleuth investigation

    SEC expands fraud case to include Lenco Mobile, subject of a prior Sharesleuth investigation
    The Securities and Exchange Commission has quietly expanded its fraud case against financier Izak Zirk De Maison, adding seven more people as codefendants and identifying five more stocks he used in his schemes. According to the SEC’s…
  • Feb 4

    Trick Play: Memorabilia company peddled Patriots, Seahawks gear with forged player autograph

    Trick Play: Memorabilia company peddled Patriots, Seahawks gear with forged player autograph
      Just days after the Seattle Seahawks and New England Patriots claimed their spots in Super Bowl XLIX, a memorabilia company called The Highland Mint contacted customers with a tantalizing list of autographed collectibles. Highland…
  • Dec 31

    Kandi Technologies Group Inc.: Where are the Go-Karts?

    Kandi Technologies Group Inc.: Where are the Go-Karts?
    When the global economy collapsed in the fall of 2008, the sharp drop in consumer spending threw the power sports industry into a steep decline. Sales of motorcycles, go-karts and all-terrain vehicles each plunged by 30 percent or more,…
Rank this Week: 409

DealLawyers.com Blog

DealLawyers.com Blog

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

http://www.deallawyers.com/Blog/
  • May 26

    Taking Action That Affects The Shareholder Vote? Expect the “Gimlet Eye”

    Taking Action That Affects The Shareholder Vote? Expect the “Gimlet Eye”
    Here’s the intro for this Orrick memo: On May 19, 2016, the Delaware Chancery Court preliminarily enjoined the directors of Cogentix Medical from reducing the size of the company’s board because, under the facts presented, there…
  • May 25

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

    Transcript: “M&A Research – Nuts & Bolts”
    We have posted the transcript for our recent webcast: “M&A Research: Nuts & Bolts.”
  • May 24

    Private Deal Terms Study

    Private Deal Terms Study
    In this 101-page study, SRS Acquiom analyzes the deal terms of 735 private-target acquisitions valued at $137 billion, to assist you in deal structuring and negotiation and bring you a robust view of the private-target M&A…
Rank this Week: 430

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • May 25

    Divided Loyalties? Defense Counsel in M&A Litigation

    Divided Loyalties? Defense Counsel in M&A Litigation
    What is the role of defense counsel in deal litigation? What impact does the involvement of “top” deal litigation firms have on lawsuit outcomes? And what will the impact on deal litigation be from the advent of forum selection…
  • May 24

    Under Morrison, U.S. Securities Laws Don’t Apply to Toshiba’s Unsponsored ADRs Purchased OTC in the U.S.

    Under Morrison, U.S. Securities Laws Don’t Apply to Toshiba’s Unsponsored ADRs Purchased OTC in the U.S.
    It has been nearly six years since the U.S. Supreme Court’s landmark 2010 decision in Morrison v. National Australia Bank, in which the Court restricted the ability of shareholders of non-U.S. companies who purchased their shares…
  • May 23

    Two Cities in Canada

    Two Cities in Canada
    The D&O Diary was on assignment in Canada last week for meetings and to attend a PLUS Canadian Chapter event in Montréal. It was a short sunlit visit to our Northern neighbor, but it was just long enough for a bit of foreign…
Rank this Week: 434

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
  • May 18

    Wordless Songs and the Sounds of Crickets on Wall Street

    Wordless Songs and the Sounds of Crickets on Wall Street
    Today, May 26, is the Friday before the Memorial Day weekend. To say that it's a quiet day on Wall Street would be an understatement. On this Friday, there are three types of folks in the securities industry: those who took off for vacation…
  • May 18

    SEC Can't Reach Federal Inmate For Telephonic Hearing

    SEC Can't Reach Federal Inmate For Telephonic Hearing
    Daniel Christian Stanley Powell founded and operated Christian Stanley, Inc. When you go by four different names, I guess it’s pretty easy to harvest two of those for use in your own business. Moving on from that observation, the…
  • May 18

    Love And Marriage On Wall Street

    Love And Marriage On Wall Street
    What if the spouse or domestic partner of a stockbroker or trader wants to open an account at a brokerage firm other than the one employing the registered person? Is there an important difference between the registered rep "opening" an…
Rank this Week: 481

Inside Sarbanes Oxley

Inside Sarbanes Oxley

Covers Sarbanes-Oxley and compliance.

http://insidesarbanesoxley.com/
  • Sep 10

    Whistleblowing – What you need to know about the Dodd-Frank Act

    Whistleblowing – What you need to know about the Dodd-Frank Act
    If your organization isn’t already offering incentives to ferret out inappropriate behaviors, the new Dodd-Frank Act and whistleblowing rewards just might (and could make your company the next public spectacle). Deloitte’s…
  • May 26

    Internal Audit: The Continuous Conundrum

    Internal Audit: The Continuous Conundrum
    The department painstakingly went through its inventory of SOX controls to determine which ones could be assessed just by analyzing data in company systems. Then data-analytic scripts were written to allow exceptions to be found. Now, for…
  • May 26

    How to choose the right nonexecutive board leader

    How to choose the right nonexecutive board leader
    Ever since stock-listing requirements prompted many US companies to name an independent director to serve as the chairman, lead director, or presiding director of the board, these companies have been grappling with what, exactly, this board…
Rank this Week: 592

Business Blog

Business Blog

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

http://www.businesslawnews.com/
  • May 11

    Cyber Threats on Small Businesses Come from All Angle

    Cyber Threats on Small Businesses Come from All Angle
    Cyber Threats on Small Businesses Come from All Angles The Federal Bureau of Investigation (FBI) recently issued several “cyber alerts” that may impact small businesses in Monmouth County and throughout New Jersey. As with all…
  • May 9

    Getting More Sleep Can Make Your Monmouth County Business More Successful

    Getting More Sleep Can Make Your Monmouth County Business More Successful
    Getting More Sleep Can Make Your Monmouth County Business More Successful When facing a busy work day, that extra cup of coffee can only do so much. A new study confirms that getting more sleep can help Monmouth County business executives be…
  • May 3

    New Jersey Supreme Court Addresses Use of Metadata in Electronic Document

    New Jersey Supreme Court Addresses Use of Metadata in Electronic Document
    New Jersey Supreme Court Addresses Use of Metadata in Electronic Documents The Supreme Court of New Jersey recently issued an administrative determination regarding whether a lawyer who receives an electronic document may, consistent with…
Rank this Week: 643

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…
  • Dec 31

    White Collar Fraud List of Blog Posts for 2014

    White Collar Fraud List of Blog Posts for 2014
    December 19, 2014: Cleveland.com - Crazy Eddie CFO shares how companies trick auditors and fleece investors: Plain Dealing, by Sheryl HarrisDecember 3, 2014: Going Concern - Ex-Crazy Eddie CFO's 10 Tips for Advancing Your Accounting Career by…
Rank this Week: 742

The PSLRA Nugget

The PSLRA Nugget

Covers securities class action case law. By Christopher S. Jones.

http://pslranugget.blogspot.com/
  • Feb 3

    The Nugget is Moving to a New Home

    The Nugget is Moving to a New Home
    Please update your bookmarks, as the PSLRA Nugget is moving to a new easier to remember website address.  Also if you are getting this by email, and you would like to continue getting it that way, you just need to go to
  • Feb 2

    Yes Shorter is Better (at least in legal briefing)

    Yes Shorter is Better (at least in legal briefing)
    OK, you know who you are.  The serial page extension requesters.  But Judge, we have to have 100 pages to explain it.  I know, I know, we've all done it.  And yes I agree sometimes it's necessary.  But District Judge Joy Flowers Conti…
  • Mar 18

    Confidential Sources Still Alive & Kicking

    Confidential Sources Still Alive & Kicking
    What's that? You thought Tellabs banned confidential witnesses? Well, let's not get carried away here, as there's certainly at least two ways to read that opinion. Of course, after the 7th Circuit decided Higginbotham v. Baxter, it was…
Rank this Week: 700

New York Securities Lawyer Blog

New York Securities Lawyer Blog

Covers securities law. By Lax & Neville LLP.

http://www.newyorksecuritieslawyerblog.com/
Rank this Week: 937

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: 826

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: 895

Perry Krumsiek & Jack Law Blog

Perry Krumsiek & Jack Law Blog

Covers business, health care, intellectual property and media law.

http://pkjlawblog.wordpress.com/
  • Feb 2

    Here’s One Government Program Worth HARPing On

    Here’s One Government Program Worth HARPing On
    If you are one of the hundreds of thousands of Americans permanently traumatized by the government’s highly lauded, but horribly executed, loan modification program, take heart.  I’m here to tell you that there’s another government…
  • Feb 2

    Here’s One Government Program Worth HARPing On

    Here’s One Government Program Worth HARPing On
    If you are one of the hundreds of thousands of Americans permanently traumatized by the government’s highly lauded, but horribly executed, loan modification program, take heart.  I’m here to tell you that there’s…
  • Oct 27

    The Lincoln Lawyer

    The Lincoln Lawyer
    Before Abraham Lincoln became our greatest president, he was a great corporate lawyer.  And before he was a corporate lawyer, he was a brilliant trial lawyer. In the 1840s, Lincoln represented a Revolutionary War widow who had been bilked…
Rank this Week: 899

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • May 27

    Board Meeting: Ain’t Gonna Meet Itself

    Board Meeting: Ain’t Gonna Meet Itself
    In this 10-second video, Ehrlich from “Silicon Valley” has a board meeting that won’t meet itself: Happy Memorial Day! – Broc Romanek
  • May 26

    Auditor Independence: Unintended Consequences of “Loan Rule” Violation

    Auditor Independence: Unintended Consequences of “Loan Rule” Violation
    The disclosure in this Form 8-K filed by Invesco reflects a question posed to the Big 4 recently by the SEC Staff. This position by the SEC seems like it could ultimately impact clients of the Big 4 if a passive investor (eg. large bank)…
  • May 25

    Non-GAAP Measures: Are The New CDIs Kosher?

    Non-GAAP Measures: Are The New CDIs Kosher?
    The first thing I need to note is that I have moved up the date of our webcast – “Non-GAAP Disclosures: What Is Permissible?” – to Thursday, June 9th at 11 am eastern. Meredith Cross has joined the all-star panel too.…
Rank this Week: 956

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: 1184

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • May 26

    Valeant staff comment dialogue spotlights non-GAAP measure

    Valeant staff comment dialogue spotlights non-GAAP measure
    By Mark S. Nelson, J.D.Valeant Pharmaceuticals International, Inc.’s answers to queries by SEC staff about the company’s financials may offer a glimpse into the SEC’s recent focus on non-GAAP financial measures. As the…
  • May 25

    SEC to up ‘qualified client’ threshold for performance-based fee

    SEC to up ‘qualified client’ threshold for performance-based fee
    By Amy Leisinger, J.D.The SEC intends to issue an order to adjust for inflation the dollar-amount thresholds in the Advisers Act rule permitting investment advisers to charge performance-based fees to “qualified clients.” The…
  • May 24

    Omitting speculative projections was not bad faith

    Omitting speculative projections was not bad faith
    By Anne Sherry, J.D.Directors of Chelsea Therapeutics did not breach their duty of loyalty in approving the biopharm company's sale to Lundbeck. The Chelsea shareholders seeking damages post-closing did not state a claim that the board acted…
Rank this Week: 964

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • May 23

    DOL Fiduciary Rule P II: The SEC Story

    DOL Fiduciary Rule P II: The SEC Story
    While the previous post discussed the Department of Labor’s (DOL) fiduciary rule, it is not the only government agency tackling the issue. In 2010, President Obama signed into law the Dodd-Frank Act, which authorized the Securities and…
  • Apr 18

    “Lumpiness” insufficient When the Ship is Going Down

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

    DOL Fiduciary Rule: Part I

    DOL Fiduciary Rule: Part I
    After much nail-biting by many in the industry, the Department of Labor (DOL) recently released its anticipated and long-awaited final fiduciary rule, which it touts as the fulfillment of its mission to protect the retirement of investors…
Rank this Week: 1061

William Carleton, Counselor @ Law

William Carleton, Counselor @ Law

Covers legal and investment issues facing emerging tech companies.

http://www.wac6.com/wac6/
  • Mar 16

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

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

    A Gift from Congress to Angel

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

    Looking for Mr. 506(c)

    Looking for Mr. 506(c)
    "On a relative basis, issuances claiming the new Rule 506(c) exemption have accounted for only 2.1% of the reported capital raised pursuant to Rule 506 since becoming effective in September 2014." So reads a key finding of a report,…
Rank this Week: 1131

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

http://www.hedgefundlawblog.com
  • Dec 4

    Hedge Fund Events December 2015

    Hedge Fund Events December 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: December 1-3, 2015 Sponsor: AnDevCon Event: AnDevCon: The Android Developer Conference…
  • Dec 4

    Hedge Fund Events December 2015

    Hedge Fund Events December 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: December 1-3, 2015 Sponsor: AnDevCon Event: AnDevCon: The Android Developer Conference…
  • Nov 1

    Hedge Fund Events November 2015

    Hedge Fund Events November 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: November 2-4, 2015 Sponsor: BZ Events Event: Big Data Tech Con 2014 Location: Chicago, IL…
Rank this Week: 1137

Securities Arbitration Blog

Securities Arbitration Blog

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

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

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

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

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

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

    Investment Fraudsters: You have a friend in Pennsylvania

    Investment Fraudsters: You have a friend in Pennsylvania
    What does a big firm commercial defense lawyer, a banker, a healthcare lobbyist, a parking authority commissioner and an Allegheny parks commissioner all have in common? andnbsp; Apparently, they are all friends of Pennsylvania Governor Tom…
Rank this Week: 1141

ComplianceAsia News

ComplianceAsia News

Provides information for compliance professionals dealing with issues in financial regulation with a focus on the Asian region.

http://www.compliance.asia/
  • Feb 6

    WSJ report highlights significant concerns about the nature of global AML system

    WSJ report highlights significant concerns about the nature of global AML system
    Finally there is some reporting about the dirty little secret of global AML enforcement - it might not work.  The following was reported in the Wall Street Journal today and we recommend you read the full article: The Morning Risk…
  • Oct 27

    New FATF announcements regarding the progress various countries are making on AML CFT

    New FATF announcements regarding the progress various countries are making on AML CFT
    On Friday the SFC sent around a circular to licensed firms with details of a number of additions to the AML sanctions regime and this included advice from the FATF that some countries were not doing enough to improve their AML CFT…
  • Oct 23

    Mary Jo White sets out her views on the role of compliance

    Mary Jo White sets out her views on the role of compliance
    SEC Chair, Mary Jo White, recently spoke to an industry association in the United States and talked about the importance of the rule of compliance officers.  Here is the speech: Remarks at National Society of Compliance Professionals…
Rank this Week: 1175

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: 1248

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/
  • May 20

    SEC forces Mickelson to return $1 million from insider trading

    SEC forces Mickelson to return $1 million from insider trading
    PGA golfer Phil Mickelson agreed to forfeit almost $1 million that the Securities and Exchange Commission (SEC) said was obtained through insider trading. Mickelson was named as a “relief defendant” in a criminal case, filed in…
  • 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…
Rank this Week: 1644

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/
  • May 10

    Attention Former Customers of Leavitt Freeman Sanders: You May Be Able To Recover Your Investment Losse

    Attention Former Customers of Leavitt Freeman Sanders: You May Be Able To Recover Your Investment Losse
    Our firm has already filed many individual lawsuits alleging, among other things, investment fraud against Leavitt Sanders and the firms that he traded through.  Those firms include Invest Financial, Triad Advisors, Capital Asset…
  • May 4

    Record Oil Industry Bankruptcies Take a Toll on Investor

    Record Oil Industry Bankruptcies Take a Toll on Investor
    Reuters reports that bankruptcies in the U.S. oil industry have reached record levels.  The number of bankrupt oil and gas companies is 59 and counting, and we are not even half-way through the wave of bankruptcy filings, according to a…
  • Mar 10

    Greenville Broker Claus Foerster Indicted in $2.8 Million Ponzi Scheme

    Greenville Broker Claus Foerster Indicted in $2.8 Million Ponzi Scheme
    A South Carolina grand jury has indicted a Greenville broker named Claus Foerster for defrauding his clients out of $2.8 million.  According to news reports, the indictments states that Foerster persuaded clients to invest in a…
Rank this Week: 1491

Business Law Post

Business Law Post

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

http://www.businesslawpost.com
  • Mar 8

    Electronic Signatures: OK to Use?

    Electronic Signatures: OK to Use?
    This blog post focuses on the use and validity of electronic signatures. We will first investigate what constitutes an "electronic signature", we will then discuss the validity and enforceability of electronic signatures, and finally, we will…
  • Feb 24

    Winter 2016: raising funds may become more difficult for some startup

    Winter 2016: raising funds may become more difficult for some startup
    I attended several VC events in New York City recently, including Ask a VC forum on February 4, organized by DLA Piper, and the VC Summit on January 26, organized by Gotham Media.  I learned some interesting insights, which may be useful…
  • Jan 21

    Why Companies Are Choosing to B Good: A Closer Look at Delaware Public Benefit Corporation

    Why Companies Are Choosing to B Good: A Closer Look at Delaware Public Benefit Corporation
    As of August 1, 2013, the Delaware Legislature added Subchapter XV to its Delaware General Corporation Law (“DGCL”) providing for the formation of a Public Benefit Corporation (“PBC”). As of now, 31 states…
Rank this Week: 1599

California Securities Fraud Lawyer…

California Securities Fraud Lawyer Blog

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

http://www.californiasecuritiesfraudlawyerblog.com/
  • Dec 31

    A Securities Lawyer's Top 10 Tips for Senior Investor

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

    Investor Alert: Magnum Hunter Resources to be Delisted

    Investor Alert: Magnum Hunter Resources to be Delisted
    Today, the New York Stock Exchange (NYSE) announced their decision to proceed with delisting Magnum Hunter Resources Corporation (NYSE: MHR). Trading in MHR's common stock will be suspended immediately causing irreparable harm to many main…
  • Oct 8

    Leveraged & Inverse ETFs: Public Enemy Number One

    Leveraged & Inverse ETFs: Public Enemy Number One
    By now, readers of this blog are hopefully aware that we are very negative on the marketing and sale of leveraged and inverse exchange-traded funds ("ETFs") to average investors. The New York Times recently published a news piece declaring…
Rank this Week: 1357

Stock Broker Attorney Blog

Stock Broker Attorney Blog

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

http://www.stockbrokerattorney.com/blog
  • Jan 7

    Man Sentence to 18-Months for Investment Scam

    Man Sentence to 18-Months for Investment Scam
    In Scottsdale, J'Sean Claude Butierries pleaded guilty to defrauding investors out of hundreds of thousands of dollars. He allegedly used the ill-gotten gains to buy himself luxury items like a $195,000 Audi and cosmetic surgery for his wife…
  • Jan 5

    SEC Charges Unlicensed Man with Scamming Investor

    SEC Charges Unlicensed Man with Scamming Investor
    Vinay Kumar Nevatia, of Palo Alto, has been charged by the U.S. Securities and Exchange Commission for allegedly reselling almost $900,000 stock shares of an off-shore company, CSS Technologies (Mauritius) Limited, already owned by eight…
  • Jan 1

    Broker Barred from Practice for Stealing from Elderly

    Broker Barred from Practice for Stealing from Elderly
    Jeffrey McClure, a former employee of Wells Fargo Advisors and an affiliated bank in California, was recently barred from the securities industry after stealing almost $89,000 from an elderly customer. Between December 2012 and August 2014,…
Rank this Week: 1354

Securities Class Action &…

Securities Class Action & Arbitration Law

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

http://securitiesattorneys.us/
Rank this Week: 1389

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: 1544