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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: 45

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: 90

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Jun 23

    Sacramento based LPL Financial broker, Dean M. Yurica, fined and suspended

    Sacramento based LPL Financial broker, Dean M. Yurica, fined and suspended
    LPL Financial broker, Dean M. Yurica, was fined $25,000 and suspended from the financial industry for nine months on June 22, 2015. The post Sacramento based LPL Financial broker, Dean M. Yurica, fined and suspended appeared first on Stock…
  • Jun 23

    Investor Complaints: Merrill Lynch / Morgan Stanley broker, Marc Demello

    Investor Complaints: Merrill Lynch / Morgan Stanley broker, Marc Demello
    The securities and investment fraud law firm, Fitapelli Kurta is interested in hearing from investors who have complaints regarding New York City based stockbroker, Marc Demello. Mr. Demello is currently registered with Merrill Lynch in…
  • Jun 23

    Broker Complaints: Russ Ketron of Ketron Financial, LLC

    Broker Complaints: Russ Ketron of Ketron Financial, LLC
    The securities and investment fraud law firm, Fitapelli Kurta, is interested in speaking to investors who have complaints regarding Russ Ketron, of Ketron Financial, LLC in Novato, California. Russ Ketron (Russel Wayne Ketron) is the managing…
Rank this Week: 108

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
  • Jun 26

    Small B-Ds Can Travel 2 Road

    Small B-Ds Can Travel 2 Road
    From the Desk of Jim Eccleston at Eccleston Law LLC:Small broker-dealers face increasing regulatory costs, and that is forcing them to decide their business path. While some older owners are looking to close shop, others are taking advantage…
  • Jun 25

    RIA Mergers and Acquisitions Fueling Growth

    RIA Mergers and Acquisitions Fueling Growth
    From the Desk of Jim Eccleston at Eccleston Law LLC:Mergers and acquisitions among investment advisers show steady growth for that segment in the financial services industry.Buying parties predominantly are other RIAs and strategic acquiring…
  • Jun 24

    Advisor Fees Compared:  A Review of Fee BenchmarkerTM Advisor Fee Almanac from Ann Schleck & Co.

    Advisor Fees Compared:  A Review of Fee BenchmarkerTM Advisor Fee Almanac from Ann Schleck & Co.
    By Stuart Ober, CFE, AIFA®IntroductionThe fiduciary duty of the retirement plan advisor is to provide value and services in the best interests of its clients.  To best fulfill its duty, the advisor should be aware of competitive fees…
Rank this Week: 128

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/
  • Jun 23

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: J.H. Dalhuisen, Globalization and the Transnationalization of Commercial and Financial Law, 67 Rutgers U. L. Rev. 19 (2015). Martin Gelter…
  • Jun 9

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: Norah C. Avellan, Note, The Securities and Exchange Commission and the Growing Need for Cybersecurity in Modern Corporate America, 54…
  • Jun 9

    Cheffins, Bank & Wells on Shareholder Protection

    Cheffins, Bank & Wells on Shareholder Protection
    Brian R. Cheffins, Steven A. Bank, and Harwell Wells have posted Shareholder Protection Across Time on SSRN with the following abstract: This Article offers the first systematic attempt to measure the development of shareholder protection in…
Rank this Week: 170

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Jun 29

    Pay Ratio Rumor: Will the SEC Adopt Rules on August 5th?

    Pay Ratio Rumor: Will the SEC Adopt Rules on August 5th?
    We’ve had false start rumors before about when the SEC will adopt pay ratio rules – but this time it feels different given the heightened political attacks against the SEC. The latest is this Bloomberg article indicating the rules…
  • Jun 26

    SEC Chair Speaks: Universal Proxy Ballots Coming?

    SEC Chair Speaks: Universal Proxy Ballots Coming?
    As reported by this WSJ article, SEC Chair White delivered this speech yesterday at the Society’s National Conference. In her speech – which focused on proxy-related matters – Chair White advised that she “asked the…
  • Jun 25

    SEC Calling: Charges Brought Over Fake Filing

    SEC Calling: Charges Brought Over Fake Filing
    On a subject near & dear to Broc’s heart and following up on his blog from last month, the SEC filed a lawsuit in the Southern District of New York relating to the fake Schedule TO involving Avon. According to the SEC’s press…
Rank this Week: 248

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: 289

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/
  • Jun 29

    Puerto Rico Bond Losse

    Puerto Rico Bond Losse
    Many investors in Puerto Rico municipal bonds have concern for their investments. The commonwealth has been able to stave off a bail out but the island remains indebted more than $70 billion dollars, or about 68% of its gross domestic…
  • Jun 29

    Investigation into Fidelity Advisor Gold Fund

    Investigation into Fidelity Advisor Gold Fund
    If you have suffered investment losses in the mutual fund, Fidelity Advisor Gold Fund, The White Law Group may be able to help. A mutual fund is a managed portfolio of investments. Mutual funds are as risky (or not risky) as the underlying…
  • Jun 29

    Investigation into Market Vectors Bold ETF

    Investigation into Market Vectors Bold ETF
    Have you suffered losses investing in Market Vectors Bold ETF? If so, the securities attorneys of The White Law Group may be able to help you recover your losses in a FINRA arbitration claim against the brokerage firm that recommended the…
Rank this Week: 324

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Jun 29

    Why Professional Athletes are Common Victims of Investment Fraud

    Why Professional Athletes are Common Victims of Investment Fraud
    Certain groups have been particularly vulnerable to advisors who engage in investment fraud. Among those groups well known are senior citizens who may have diminished capacity. Another group that serves as a common target are affinity frauds.…
  • Jun 29

    Broker Investigation: Kenneth McDonald’s Sale of Tenants-in-Common (TIC) Real Estate Investment

    Broker Investigation: Kenneth McDonald’s Sale of Tenants-in-Common (TIC) Real Estate Investment
    According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Kenneth McDonald (McDonald) has been the subject of at least three customer complaints and one regulatory action. Customers have filed…
  • Jun 28

    Former Merrill Lynch Advisor Roderick Yzaguirre Accused of Stealing Millions From Client

    Former Merrill Lynch Advisor Roderick Yzaguirre Accused of Stealing Millions From Client
    According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Roderick Yzaguirre (Yzaguirre) has been the subject of at least 10 customer complaints and one firm termination. Customers have filed…
Rank this Week: 388

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: 392

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: 381

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: 402

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/
  • Jun 29

    New LLC Is Not Delivered By Sale Membership Interest

    New LLC Is Not Delivered By Sale Membership Interest
    Readers of this blog should be well aware of California’s general antipathy to covenants not to compete.  See The Point Of An Unenforceable Noncompete May Be Very Sharp Indeed,Covenants Not To Compete – Fourth DCA…
  • Jun 26

    Court Of Appeal Holds “May” Does Not Mean “May Only”

    Court Of Appeal Holds “May” Does Not Mean “May Only”
    California requires persons who are engaged in the business of making consumer loans or commercial loans to be licensed under the Finance Lenders Law, unless exempt.  Cal. Fin. Code § 22100.  The CFLL includes the following: A…
  • Jun 25

    Another Dubious Assertion Concerning Section 2115

    Another Dubious Assertion Concerning Section 2115
    I have often written about numerous provisions of the California Corporations Code that expressly apply to foreign corporations meeting specified tests.  The most famous, but not the only, statute of this breed is Section 2115.…
Rank this Week: 423

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: 440

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: 474

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/
  • Jun 29

    SEC News - Suspicious Activity, Unregistered Brokers, Defrauding Investor

    SEC News - Suspicious Activity, Unregistered Brokers, Defrauding Investor
    Microcap Promoter Charged With Illegally Selling Penny Stock SharesA microcap promoter has been charged with illegally selling more than 83 million penny stock shares that he secretly obtained through at least 10 different offshore front…
  • Jun 16

    SEC News - Insider Trading, Hedge Fund Theft, and Fraud

    SEC News - Insider Trading, Hedge Fund Theft, and Fraud
    Swiss Trader to Pay $2.8 Million to Settle Insider Trading ChargesA Swiss trader has agreed to pay more than $2.8 million to settle charges that he traded on nonpublic information ahead of a Florida-based biometrics company’s…
  • Jun 9

    Can Stifel Retain the Barclay Advisors?

    Can Stifel Retain the Barclay Advisors?
    According to Financial Planning, Stifel's proposed acquisition of Barclays's wealth management unit offers the chance to serve more lucrative high-night-worth clients. But keeping the advisers who serve those clients may prove tricky.The…
Rank this Week: 558

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Jun 29

    Aguilar Calls for Public/Private Partnership to Address Cyber Crime

    Aguilar Calls for Public/Private Partnership to Address Cyber Crime
    By Jacquelyn LumbCommission Luis Aguilar spoke last week at the SINET Innovation Summit on the need for a public and private sector partnership to help combat cyber crime. Cybersecurity is one of the defining issues of our time, he said, and…
  • Jun 27

    No Surprise Here, CPA’s Failure to Conduct Required Exams Draws SEC Ire

    No Surprise Here, CPA’s Failure to Conduct Required Exams Draws SEC Ire
    By Joanne Cursinella, J.D.The Commission has accepted offers of settlement in a cease-and-desist proceeding against an Ohio CPA firm and a partner in the firm for failing, pursuant to the Advisers Act custody rule, to conduct required…
  • Jun 25

    Institutions Ask for New Rules, Guidance on Vote Transparency

    Institutions Ask for New Rules, Guidance on Vote Transparency
    By Mark S. Nelson, J.D.The Council of Institutional Investors (CII) is asking the SEC to undertake rulemaking and to issue guidance to make the proxy process more transparent. Glenn Davis, CII’s director of research, made the request to…
Rank this Week: 546

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
  • Jun 25

    JP Morgan, SEC Talk Settlement over Investment-Recommendation Concern

    JP Morgan, SEC Talk Settlement over Investment-Recommendation Concern
    The SEC is examining J.P. Morgan for guiding clients to their own proprietary products and away from offerings by other firms. Generally leading to higher fees for the bank, the practice, while not banned, is closely watched by regulators.…
  • Jun 23

    FINRA Suspends City Securities Broker John Cody Miller

    FINRA Suspends City Securities Broker John Cody Miller
    Our firm will be looking into investor complaints against John Cody Miller, a City Securities broker and investment adviser in Indiana, as a result of his suspension for executing trades without written consent, going against his…
  • Jun 19

    SEC Charges 36 Firms Over Fraudulent Municipal Bond Offering

    SEC Charges 36 Firms Over Fraudulent Municipal Bond Offering
    Operating in the $3.7 trillion muni market, 36 municipal bond underwriters ordered collectively to pay about $9 million in compensation over fraudulent offerings, as part of the first pact of its kind with U.S. regulators. Link to the…
Rank this Week: 543

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 28

    FIFA Officials Indicted for Racketeering and Fraud

    FIFA Officials Indicted for Racketeering and Fraud
    The Department of Justice announced that high-ranking officials of the governing body for soccer worldwide – referred to as “football” outside of the United States – the Fédération Internationale de…
  • May 12

    SEC Sues Retirement Planners who Sold Life Settlement

    SEC Sues Retirement Planners who Sold Life Settlement
    According to the Securities and Exchange Commission (“SEC”), it has filed suit against a Texas retirement planning firm and its principals in connection with their practices in the sales of life settlement investments.  The…
  • May 6

    LPL Financial Sanctioned for Supervisory Failure

    LPL Financial Sanctioned for Supervisory Failure
    According to the Financial Industry Regulatory Authority (“FINRA”), it has entered into a Letter of Acceptance, Waiver and Consent (“AWC”) with brokerage firm LPL Financial LLC for supervisory failures in a number of…
Rank this Week: 604

InvestorLawyers.net

InvestorLawyers.net

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

http://www.investorlawyers.net/blog/
Rank this Week: 618

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • Jun 29

    D&O Insurance: A Question of “Capacity”

    D&O Insurance: A Question of “Capacity”
    In  a recent post in which I discussed the “basic value proposition” of D&O insurance, I noted that among the five indispensable elements required in order for coverage under a D&O insurance policy to exist is the…
  • Jun 28

    D&O Insurance: A “Final” Analysi

    D&O Insurance: A “Final” Analysi
    One of the standard features of D&O insurance policy is the fraud exclusion, which these days typically provides that the exclusion is triggered only after a “final” judicial determination that the precluded conduct has…
  • Jun 25

    Guest Post: Does Delaware Legislation Cover Fee Shifting in Securities Cases?

    Guest Post: Does Delaware Legislation Cover Fee Shifting in Securities Cases?
    As I noted in a recent post (here), on June 11, 2015, the Delaware legislature passed legislation prohibiting fee-shifting bylaws for Delaware stock corporations. On June 24, 2015, Delaware’s governor signed the statute into law, as…
Rank this Week: 670

Recover Investment Losses Blog

Recover Investment Losses Blog

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

http://blog.rexsecuritieslaw.com
  • Jun 26

    Former Thrivent Investment Management Broker Sanctioned for Falsifying Annuity Document

    Former Thrivent Investment Management Broker Sanctioned for Falsifying Annuity Document
    June 24, 2015 Bruce R. Geiger entered into an Order Accepting Offer of Settlement with the Financial Industry Regulatory Authority (FINRA) to resolve allegations by FINRA that he had violated various FINRA rules altering annuity forms by…
  • Jun 26

    South Carolina Regulators Seek to Take Securities License of Mark Hotton

    South Carolina Regulators Seek to Take Securities License of Mark Hotton
    June 23, 2015- Columbia, South Carolina The Securities Commissioner for South Carolina filed a Rule to Show Cause seeking to permanently ban Mark Christopher Hotton from the securities industry. In 2013 Hotton was permanently barred from…
  • Jun 25

    San Antonio Oil & Gas Promoter Shut Down by Texas State Securities Board

    San Antonio Oil & Gas Promoter Shut Down by Texas State Securities Board
    June 23, 2015-Austin, Texas John Morgan, Texas Securities Commissioner, entered a Cease and Desist Order against Petro-San Resources LLC and Sean Patrick Riley of San Antonio, Texas, alleging that they are offering to sell unregistered…
Rank this Week: 702

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/
  • Jun 26

    SEC Chair Speaks: Universal Proxy Ballots Coming?

    SEC Chair Speaks: Universal Proxy Ballots Coming?
    As reported by this WSJ article, SEC Chair White delivered this speech yesterday at the Society’s National Conference. In her speech – which focused on proxy-related matters – Chair White advised that she “asked the…
  • Jun 23

    Proxy Contests: Activist Influence Rising Despite Higher Company Win Rate

    Proxy Contests: Activist Influence Rising Despite Higher Company Win Rate
    According to this analysis by FactSet, proxy fight statistics so far for 2015 reveals an ongoing increase in activist influence. While the company win rate for proxy contests is up, so are settlements and non-proxy fight campaigns resulting…
  • Jun 22

    Survey Results: Fee-Shifting Bylaw

    Survey Results: Fee-Shifting Bylaw
    Here’s survey results from Thomson Reuters about fee-shifting bylaws adopted by Delaware companies since the ATP Tour decision. Two weeks ago, the Delaware House joined the Senate in passing changes to the DGCL that invalidate…
Rank this Week: 728

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/
  • Jun 24

    There's A Difference Between "Confidential And Proprietary Information" And A Trade Secret

    There's A Difference Between "Confidential And Proprietary Information" And A Trade Secret
    I can't remember the last time that the Business Court granted a motion opposing the designation of a case as a mandatory complex business case.  And since the Business Court Modernization Act went into effect in October 2014?  I…
  • Jun 17

    Something That You Might Not Have Known About Injunction

    Something That You Might Not Have Known About Injunction
    I had always thought that you need to post a bond in order to obtain an injunction, both in federal and state court.  It turns out that I was wrong. The federal rule seems to require a bond.  It says: (c) Security. The court may…
  • Jun 15

    Business Court: High To Low Posting of ATM Debit Card Transactions Properly Disclosed By Bank

    Business Court: High To Low Posting of ATM Debit Card Transactions Properly Disclosed By Bank
    The meaning of the word "item" was the definitive factor in the Business Court's decision last week in Gay v. People's Bank, 2015 NCBC 59. The case was an attempted class action involving claims against the Bank for allegedly improperly…
Rank this Week: 725

Institutional Investor Securities…

Institutional Investor Securities Blog

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

http://www.institutionalinvestorsecuritiesblog.com/
Rank this Week: 726

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

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

    Hedge Fund Events June 2015

    Hedge Fund Events June 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: May 31-June 2, 2015 Sponsor: WITI Event: The Women in Technology International (WITI)…
  • May 26

    Cole-Frieman & Mallon LLP 2015 First Quarter Update

    Cole-Frieman & Mallon LLP 2015 First Quarter Update
     www.colefrieman.com May 13, 2015 Clients and Friends: The first quarter of 2015 was a busy period for investment managers and service providers alike and we find ourselves sending out this update very late.  As a variety of filing…
  • May 1

    Hedge Fund Events May 2015

    Hedge Fund Events May 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: May 4, 2015 Sponsor: Sohn Conference Event: Sohn Investment Conference Location: New York,…
Rank this Week: 733

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/
  • Jun 29

    What types of companies might use Regulation A+ to raise capital?

    What types of companies might use Regulation A+ to raise capital?
    Recently finalized Regulation A+ allows most private companies to raise up to $50 million by selling securities to the public. Companies using Regulation A+ can advertise the offering and solicit investors, and anyone can invest (subject…
  • May 22

    World’s top banks plead guilty to gaming foreign-currency market

    World’s top banks plead guilty to gaming foreign-currency market
    Scandal roiled the banking industry Wednesday as four of the world’s largest banks — Citigroup, JPMorgan Chase, Barclays and Royal Bank of Scotland — pleaded guilty to federal antitrust violations for conspiring to…
  • Apr 30

    SEC votes to propose executive compensation rule

    SEC votes to propose executive compensation rule
    On April 29, 2015, pursuant to the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, the Securities and Exchange Commission (SEC) voted 3 to 2 to approve a proposed amendment to executive compensation rules in Item 402…
Rank this Week: 853

Business Blog

Business Blog

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

http://www.businesslawnews.com/
  • Jun 29

    EEOC Guidance on Employee Wellness Program

    EEOC Guidance on Employee Wellness Program
    The Equal Employment Opportunity Commission (EEOC) recently proposed much-anticipated guidance for employers and insurers: employee wellness programs. The agency’s Notice of Proposed Rulemaking (NPRM) addresses how Title I of the…
  • Jun 26

    Consumer Review Freedom Act of 2015 Protects the Right to Post Negative Review

    Consumer Review Freedom Act of 2015 Protects the Right to Post Negative Review
    A new bill, the Consumer Review Freedom Act of 2015, is currently pending in Congress which would prohibit the use of “non-disparagement” clauses in consumer contracts. The legislation is intended to prohibit companies from…
  • Jun 25

    Supreme Court Affordable Care Act Ruling Could Upend Employer Mandate

    Supreme Court Affordable Care Act Ruling Could Upend Employer Mandate
    By the end of the month, the U.S. Supreme Court will announce its third Affordable Care Act ruling on the legality of the association. The Affordable Care Act ruling, which involves subsidies provided to individuals who purchase insurance via…
Rank this Week: 813

BD Law Blog

BD Law Blog

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

http://www.bdlawblog.com/
  • Feb 13

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

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

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

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

    Lessons learned from putting on "the Suit."

    Lessons learned from putting on "the Suit."
    Every now and then I use my blog to share with you things not necessarily related to the law, or to our practice areas of financial markets law, estate planning or business law. Today's one of those days, and I...
Rank this Week: 854

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: 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: 887

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

http://www.seclawyersblog.com/
  • Jun 29

    Puerto Rico Headed for Default

    Puerto Rico Headed for Default
    Puerto Rico's governor, Alejandro García Padilla, says he must pull the island out of a "death spiral," in which the commonwealth cannot pay its debts of approximately $72 billion, reports The New York Times. Governor Padilla and…
  • Jun 25

    Sonn|Erez Investigating Claims Involving Former LPL Broker Raymond Schmidt

    Sonn|Erez Investigating Claims Involving Former LPL Broker Raymond Schmidt
    Sonn|Erez is investigating claims regarding Raymond Daniel Schmidt (CRD #3258497, Oceanside, California). Schmidt recently submitted an AWC in which he was barred from association with any FINRA member in any capacity. See FINRA Case…
  • Jun 22

    Sonn|Erez Investigating Claims Involving Former Merrill Lynch Broker Joel Blum

    Sonn|Erez Investigating Claims Involving Former Merrill Lynch Broker Joel Blum
    Sonn|Erez is investigating claims regarding Joel Eziekel Blum (CRD #4905379, Goshen, New York). Blum recently submitted an AWC in which he was fined $10,000 and suspended from association with any FINRA member in any capacity for 20 days.…
Rank this Week: 1005

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
  • Jun 22

    Law Professor FINRA NAC Member Files Defamation Complaint

    Law Professor FINRA NAC Member Files Defamation Complaint
    On June 26, 2015, the Financial Industry Regulatory Authority ("FINRA") published this somewhat unusual and intriguing press release:FINRA Supports NAC Members, Chris Brummer During Online HarassmentFor Release: Friday, June 26,…
  • Jun 22

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
    BREAKING NEWS: Supreme Court Rules On Gay MarriageIn Obergefell et al. v. Hodges, Director, Ohio Department Of Health, et. al (Slip Opinion, Supreme Court, No. 14–556; 576 U. S. ____ / June 26, 2015) the United States Supreme…
  • Jun 22

    BREAKING NEWS: Supreme Court Rules On Gay Marriage

    BREAKING NEWS: Supreme Court Rules On Gay Marriage
    In Obergefell et al. v. Hodges, Director, Ohio Department Of Health, et. al (Slip Opinion, Supreme Court, No. 14–556; 576 U. S. ____ / June 26, 2015) the United States Supreme Court held that the Fourteenth Amendment…
Rank this Week: 1126

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: 1102

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/
  • Jun 29

    OSC concludes continuous disclosure review of mutual fund practices relating to portfolio liquidity

    OSC concludes continuous disclosure review of mutual fund practices relating to portfolio liquidity
    Last week, OSC staff concluded a review focusing on mutual fund practices related to liquidity assessments of fund holdings, liquidity stress testing and liquidity valuation considerations.  OSC staff’s review disclosed its…
  • Jun 29

    Marketplace operation and trading rules amended by the CSA

    Marketplace operation and trading rules amended by the CSA
    The Canadian Securities Administrators recently approved amendments to National Instrument 21-101 – Marketplace Operation and National Instrument 23-101 Trading Rules.  The amendments, which were first published for comment on…
  • Jun 29

    OSC approves proposed MFDA Rule amendments related to CRM2

    OSC approves proposed MFDA Rule amendments related to CRM2
    The OSC recently approved amendments to Mutual Fund Dealers Association of Canada (MFDA) Rule 5.3 – Client Reporting and MFDA Policy No. 7 – Performance Reporting.  The amendments codify the relief orders issued by the…
Rank this Week: 1291

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: 1314

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: 1283

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: 1233

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: 1361

VC Research Network

VC Research Network

Venture Capital blawg by Boalt Hall Law School Law Professors Jesse M. Fried, Ken Taymor, and Robert Bartlett, III

http://vc.berkeleylawblogs.org/
  • Apr 5

    Carrots & Sticks: How VCs Induce Entrepreneurial Teams to Sell Startup

    Carrots & Sticks: How VCs Induce Entrepreneurial Teams to Sell Startup
    [Editor’s Note: This post comes to us from Professors Jesse Fried and Brian Broughman] Venture capitalists (VCs) play a significant role in the financing of high-risk, technology-based business ventures. VC exits usually take one of…
  • Mar 26

    Delaware Law as Lingua Franca: Theory and Evidence

    Delaware Law as Lingua Franca: Theory and Evidence
    [Editor’s Note: This post comes to us from Professors Jesse Fried, Brian Broughman and Darian Ibrahim) Delaware dominates the corporate chartering market in the U.S—it is the only state that attracts a significant number of…
  • Feb 27

    The Dynamics of Venture Capital Contract

    The Dynamics of Venture Capital Contract
    (Editor’s Note: This post comes to us from Professors Carsten Bienz and Julia Hirsch).
Rank this Week: 1260

Dividends and Preferences

Dividends and Preferences

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

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

    Microsoft/Skype -- Putting Things into Perspective

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

    Nerd Chic

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

    Out and About

    Out and About
    Hey folks -- I'm getting ready to head down to the RTP area for the annual CED Venture Conference.  This year it is in downtown Raleigh, instead of Pinehurst, and looks to be bigger and better than ever. So, if anyone happens to be in the…
Rank this Week: 1362

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: 1261

Subject to Inquiry

Subject to Inquiry

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

http://www.subjecttoinquiry.com/
  • Jun 29

    CFPB’s TRID Rule Delayed Again – Uncertainty Persists for Good-Faith Grace Period

    CFPB’s TRID Rule Delayed Again – Uncertainty Persists for Good-Faith Grace Period
    The CFPB announced on June 17 that it would delay the effective date of the “Know Before You Owe” rule until October 1, 2015. However, the proposed rule issued by the Bureau on June 25 now delays the effective date to Saturday,…
  • Jun 29

    Supreme Court Strikes Down Warrantless Searches of Hotel Guest Registrie

    Supreme Court Strikes Down Warrantless Searches of Hotel Guest Registrie
    Hotels possess a treasure trove of private information about their guests. Everything from the guest’s name, address, credit card and vehicle information to the number of guests in the party, arrival and departure dates and the amount…
  • Jun 25

    Supreme Court Upholds Use of Disparate Impact in FHA Claim

    Supreme Court Upholds Use of Disparate Impact in FHA Claim
    In a decision certain to have major repercussions for the banking industry, the Supreme Court on Thursday upheld the use of disparate impact theories of liability – that is, suits that claim a law or practice has a discriminatory…
Rank this Week: 1418

Cady Bar the Door

Cady Bar the Door

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

http://www.secmiscellany.com
  • Jun 28

    Do Investment Advisers Automatically Have Fiduciary Duties to Their Clients?

    Do Investment Advisers Automatically Have Fiduciary Duties to Their Clients?
    I always thought they did.  But on Friday I read this sentence: “An investment advisor-client relationship is not a de jure fiduciary relationship.”  It sort of jumped out at me, because for a long time I’ve…
  • Jun 25

    FIN4 May Have Embarked on a Risky Hacking/Insider Trading Strategy

    FIN4 May Have Embarked on a Risky Hacking/Insider Trading Strategy
    I haven’t yet turned to a life of crime, so far be it from me to criticize actual criminals’ profit-maximizing strategies.  It’s easy for me to nitpick, but I’m not the one strapping on my mask and trying to earn…
  • Jun 24

    Tom Brady Better Off as a Famous Quarterback than a Registered Representative

    Tom Brady Better Off as a Famous Quarterback than a Registered Representative
    And this is true for any number of reasons!  There’s the money, the supermodel wife, the buddy trips to the Kentucky Derby . . . .  All pretty obvious.  But there’s another reason, too.  As an NFL quarterback,…
Rank this Week: 1585

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • Jun 26

    So why is that you want to be a CCO

    So why is that you want to be a CCO
    Recent SEC enforcement actions suggest that being a CCO is not all that it’s cracked up to be; the SEC recently sanctioned two CCOs. SEC Commissioner Gallagher’s dissents and his recent comments regarding those dissents have…
  • Jun 25

    So who really thinks the SEC is not focused on elder investor

    So who really thinks the SEC is not focused on elder investor
    If there is any question that the SEC is focused on elder investor issues, look no further than its recent program announcement. The SEC initiated a program designed to examine retirement planning guidance. Under this program, the SEC intends…
  • Jun 18

    Twitter: More than just Social Media

    Twitter: More than just Social Media
    Since Al Gore invented the internet, we have had an unprecedented amount of information and data right at our fingertips.  However, given the immeasurable quantity of this information, it has always been a challenge to quickly and…
Rank this Week: 1586