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Securities Lawyer 101

Securities Lawyer 101

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

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

    Corporate Hijackings 101 l Securities Lawyer 101 Blog

    Corporate Hijackings 101 l Securities Lawyer 101 Blog
    Securities Lawyer 101 Blog Corporate hijackings, also known as corporate identity theft, of public shell companies has been around for more than a decade.  It  is a growing method used by fraudsters to acquire…
  • 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: 77

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: 80

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Apr 20

    FINRA Announces Proposed Changes to Communications, Trading Rule

    FINRA Announces Proposed Changes to Communications, Trading Rule
    By Joanne Cursinella, J.D.The FINRA board of governors has announced its approval of proposed changes to its Communications With the Public rules as well as amendments to the Trading Activity Fee for firms with no customers that are engaged…
  • Apr 18

    Lockheed Martin Wants Out of 40-Year-Old Disclosure Order

    Lockheed Martin Wants Out of 40-Year-Old Disclosure Order
    By Anne Sherry, J.D.Nearly 40 years ago, the SEC obtained an order requiring Lockheed Aircraft Corporation to, among other undertakings, file a Form 8-K at least 10 days before revising its anti-corruption policies. Lockheed Martin…
  • 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…
Rank this Week: 93

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 20

    Former JPMorgan Broker Arrested for $20 Million Fraud

    Former JPMorgan Broker Arrested for $20 Million Fraud
    From the Desk of Jim Eccleston at Eccleston Law LLC:Michael Oppenheim, a former JPMorgan Chase & Co. broker, was arrested Thursday for stealing $20 million from his clients over a four-year period.Oppenheim was a JP broker at a Manhattan…
  • 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…
Rank this Week: 174

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: 280

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 20

    Will California Require Notice Filings For Regulation A Offerings?

    Will California Require Notice Filings For Regulation A Offerings?
    Last month, the Securities and Exchange Commission adopted amendments to Regulation A as required by Section 3(b)(2) of the Securities Act of 1933, which was added by Section 401 of the Jumpstart Our Business Startups (JOBS) Act. Section…
  • 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…
Rank this Week: 303

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: 302

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
  • Apr 20

    Toll-Free FINRA Securities Helpline for Seniors Launched

    Toll-Free FINRA Securities Helpline for Seniors Launched
    FINRA launched their toll-free FINRA Securities Helpline for SeniorsTM this week. Senior investors can call the new toll-free number at (844-57-HELPS or 844-574-3577) from 9:00 a.m. – 5:00 p.m. ET, Monday through Friday, and get…
  • 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…
Rank this Week: 377

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 19

    SEC Whistleblowing Program: The Agency Means Busine

    SEC Whistleblowing Program: The Agency Means Busine
    The SEC wants you to know that it means business about its whistleblowing program. On April 1, 2015, in the latest in a series of steps to protect and encourage whistleblowers, the agency entered an order in an enforcement action against KBR…
  • 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…
Rank this Week: 383

Sharesleuth.com

Sharesleuth.com

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

http://sharesleuth.com/
  • 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,…
  • Oct 7

    Kandi Technologies Group Inc.: The return of the cyber shill

    Kandi Technologies Group Inc.: The return of the cyber shill
    Last June, shares of Kandi Technologies Group Inc. (Nasdaq: KNDI) doubled in the space of a week, spurred on by a mysterious network of social-media touters who later deleted their posts or shut down their accounts…
Rank this Week: 380

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Apr 20

    Climate Change: Large Shareholders Pushing for Better Disclosure

    Climate Change: Large Shareholders Pushing for Better Disclosure
    On the heels of the news that a shareholder proposal about climate disclosure received support of over 98% at BP last week, comes the news that a group of 62 institutional investors has sent this 7-page letter to the SEC seeking better…
  • 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” –…
Rank this Week: 392

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: 390

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: 395

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 20

    Study: Shareholder Litigation Involving Acquisitions of Public Companie

    Study: Shareholder Litigation Involving Acquisitions of Public Companie
    Recently, a new Cornerstone Research report – entitled “Shareholder Litigation Involving Acquisitions of Public Companies” – was released. Perhaps the most significant finding was a significant increase in the…
  • 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…
Rank this Week: 485

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: 483

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Apr 20

    Attorneys investigating: Dendreon Corporation stock (DNDN)

    Attorneys investigating: Dendreon Corporation stock (DNDN)
    The securities and investment fraud law firm, Fitapelli Kurta, is interested in speaking to investors who have lost money investing in Dendron Corporation (DNDN) through a brokerage firm. The post Attorneys investigating: Dendreon Corporation…
  • Apr 20

    FINRA investigating former National Securities’ Vito J. Balsamo (CRD# 2084901)

    FINRA investigating former National Securities’ Vito J. Balsamo (CRD# 2084901)
    The Financial Industry Regulatory Authority (FINRA) is investigating former New York City National Securities broker, Vito J. Balsamo (CRD# 2084901) also known as, Vincent V. Balsamo. The post FINRA investigating former National…
  • Apr 20

    Former Ameriprise broker, Ted Wayne Cadwallader, barred by FINRA

    Former Ameriprise broker, Ted Wayne Cadwallader, barred by FINRA
    Former Ameriprise Financial broker, Ted Wayne Cadwallader (CRD# 3256070) of Getzville, New York, has been permanently barred from the financial industry. The post Former Ameriprise broker, Ted Wayne Cadwallader, barred by FINRA appeared first…
Rank this Week: 509

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: 522

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: 533

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: 575

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

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

    Michael Oppenheim Charged With $20 Million Theft of Client Fund

    Michael Oppenheim Charged With $20 Million Theft of Client Fund
    In parallel actions The Securities and Exchange Commission (SEC) announced fraud charges and filed a complaint against Michael Oppenheim (Oppenheim), a financial advisor formerly with J.P. Morgan Securities LLC (JP Morgan), accusing him of…
  • Apr 17

    Macquarie Capital Accused of Failing to Conduct Due Diligence in Failed Puda Coal Offering

    Macquarie Capital Accused of Failing to Conduct Due Diligence in Failed Puda Coal Offering
    The Securities and Exchange Commission (SEC) recently announced charges against Macquarie Capital (USA) Inc., (Macquarie) a wholly owned subsidiary of Macquarie Group Limited. The SEC alleged that the firm was responsible for underwriting a…
  • Apr 16

    Izak Zirk de Maison and Stephen Wilshinsky Charged in Gepco Pump-and-Dump Fraud

    Izak Zirk de Maison and Stephen Wilshinsky Charged in Gepco Pump-and-Dump Fraud
    The Securities and Exchange Commission (SEC) recently charged a ring of eight individuals, including Izak Zirk de Maison (Zirk de Maison) who orchestrated the fraud (was named Izak Zirk Engelbrecht before taking the surname of his wife…
Rank this Week: 584

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: 582

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/
  • Apr 13

    Plaintiffs Appeal Federal Court’s Ruling Dismissing Their 401(K) Lawsuit Against Fidelity

    Plaintiffs Appeal Federal Court’s Ruling Dismissing Their 401(K) Lawsuit Against Fidelity
    A notice of appeal was submitted with the 1st U.S. Circuit Court of Appeals by plaintiffs seeking to overturn a ruling by a federal district court dismissing their 401(K) case against Fidelity Investments. The case is In Re Fidelity ERISA…
  • Apr 10

    Deutsche Bank Settlement Over Libor Rigging Likely to Exceed $1.5B

    Deutsche Bank Settlement Over Libor Rigging Likely to Exceed $1.5B
    According to media reports, Deutsche Bank AG (DB) could settle allegations over Libor manipulation with U.S. and British regulators as early as this month. A source reports that the settlement is likely to be larger than $1.5 billion and unit…
  • Apr 9

    U.S.'s $1B Mortgage Bond Trial Against Nomura Holdings Comes to a Close

    U.S.'s $1B Mortgage Bond Trial Against Nomura Holdings Comes to a Close
    Closing arguments took place this week in the Federal Housing Finance Agency’s mortgage-backed securities lawsuit against Nomura Holdings Inc. (NMR). The U.S. regulator claims that the bank made false statements when selling some $2…
Rank this Week: 566

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: 624

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: 600

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

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
    US Attorney and SEC Charge Investment Advisor In $20 Million FraudOn 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…
  • 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…
Rank this Week: 652

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: 714

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 20

    SEC News - Rule Violations, Update Failures, Faulty Underwriting

    SEC News - Rule Violations, Update Failures, Faulty Underwriting
    Texas-Based Brokerage Firm Charged With Violating Supervisory and Customer Protection RulesAn Irving, Texas-based brokerage firm has been charged with violating key customer protection rules after failing to adequately supervise registered…
  • 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…
Rank this Week: 762

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: 769

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

http://www.seclawyersblog.com/
  • Apr 13

    Sonn|Erez Investigating Claims Involving Former Wells Fargo Broker Michael Vincent Borja

    Sonn|Erez Investigating Claims Involving Former Wells Fargo Broker Michael Vincent Borja
    Sonn|Erez is investigating claims regarding Michael Vincent Borja (CRD #5451360, Miami, Florida). Borja recently submitted an AWC in which he assessed a deferred fine of $5,000 and suspended from association with any FINRA member in any…
  • Apr 10

    Sonn|Erez Investigating Claims Involving Gregg Alan Beemer

    Sonn|Erez Investigating Claims Involving Gregg Alan Beemer
    Sonn|Erez is investigating claims regarding Gregg Alan Beemer (CRD #2248923, Dayton, Ohio). Beemer recently submitted an AWC in which he was barred from association with any FINRA member in any capacity. See FINRA Case #2014043570801).…
  • 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,…
Rank this Week: 899

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: 972

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: 958

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: 967

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: 943

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: 926

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: 1108

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: 1113

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: 1106

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
Rank this Week: 1338

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: 1335

California Securities Fraud Lawyer…

California Securities Fraud Lawyer Blog

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

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

    March - April 2014 Disciplinary Action

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

    Update: Charles Schwab to Allow Customer Class Action

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

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

    Regulators Fine LPL Financial LLC $950,000 Over Unsuitable Alternative Investments Sale
    Today, LPL Financial LLC reached a settlement with the Financial Industry Regulatory Authority (FINRA) over the firm's failure to adequately supervise the sale of non-traded REITs and other risky alternative investments. LPL's settlement…
Rank this Week: 1292

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: 1454

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: 1412

Stock Attorneys Blog

Stock Attorneys Blog

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

http://www.stockattorneysblog.com/
  • Aug 18

    LPL Financial Fraught with Allegations of Supervisory Failure

    LPL Financial Fraught with Allegations of Supervisory Failure
    Advisor Independence Achilles Heel for Gigantic Investment Organization LPL Financial is one of the nation’s largest broker/dealer investment firms, yet it is not an investment firm in the traditional sense. Whereas most investment…
  • Aug 12

    Total Wealth Management Sanctions Kickback

    Total Wealth Management Sanctions Kickback
    Top Executives Foster Flagrant Fraud Practices It goes without saying that there is a lot of money to be made in the investment industry. Even when investment firms and advisors follow the rules that govern the industry, they stand to earn…
  • Aug 4

    U.S. Attorney’s Office Files Parallel Action in Response to Previous CFTC Fraud Charge

    U.S. Attorney’s Office Files Parallel Action in Response to Previous CFTC Fraud Charge
    The types of investments that one can invest in are nearly as diverse as the brokers who trade them and the investors who invest in them. One such investment practice is commodity futures pools. This type of investment is a private…
Rank this Week: 1380

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: 1635

InvestorLawyers.net

InvestorLawyers.net

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

http://www.investorlawyers.net/blog/
Rank this Week: 1569