Most Popular Securities Law Blawgs Expanded View List View

Blogs 1 - 45 of 81
Sorted by Popularity | Sort by Name | Sort by Last Post Date
Today | This Week | This Month | All Time |

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/
  • Apr 22

    The Evolution of Executive Compensation and the Impact of Say on Pay

    The Evolution of Executive Compensation and the Impact of Say on Pay
    The NYT published a pair of pieces on executive compensation. One looked at the amount (a 9% increase in the median) and the other looked at the metrics used to determine the amount. Other articles have suggested that companies use a wide…
  • Apr 21

    Anonymous Whistleblower Awarded $14 Million by the SEC

    Anonymous Whistleblower Awarded $14 Million by the SEC
    On October 1, 2013, the SEC awarded more than $14 million to an anonymous whistleblower whose information led to an enforcement action that recovered substantial investor funds. This was the largest award granted since the whistleblower…
  • Apr 19

    Wagner v. Royal Bank of Scotland: Court Denies Motion to Dismiss Claim for Alleged 16(b) Violation

    Wagner v. Royal Bank of Scotland: Court Denies Motion to Dismiss Claim for Alleged 16(b) Violation
    In Wagner v. Royal Bank of Scotland Grp. PLC, the United States District Court for the Southern District of New York denied a motion to dismiss Jeff Wagner's (the "Plaintiff") claim to recover short-swing profits generated by defendants,…
Rank this Week: 86

FinancialCounsel

FinancialCounsel

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

http://financialcounsel.typepad.com/financialcounsel/
  • Apr 22

    How prepared are you?

    How prepared are you?
    This follows the Keyhole route to the Boulder Field, then ascends the North Face of the peak. The player is entitled to know who is his King called before be declares for the vole. He is internationally renowned for the...
  • Apr 22

    怎样奖惩让业务员心服口服

    怎样奖惩让业务员心服口服
  • Apr 21

    大数据时代的到来

    大数据时代的到来
Rank this Week: 113

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 21

    Why October 1, 2014 Is An Important Date For Management Persons Of Nevada Entitie

    Why October 1, 2014 Is An Important Date For Management Persons Of Nevada Entitie
    Two years ago, the Nevada Supreme Court in an en band decision held that a state district court may exercise jurisdiction over the nonresident officers and directors of a Nevada corporation with its principal place of business in Spain.…
  • Apr 18

    Is This Proposed Amendment To Delaware’s Stockholder Consent Statute Really Needed?

    Is This Proposed Amendment To Delaware’s Stockholder Consent Statute Really Needed?
    Recently, I wrote about a proposal to amend Section 141(f) of the Delaware General Corporation Law to permit inchoate directors to take action by written consent.  The Corporation Law Section of the Delaware State Bar is proposing a…
  • Apr 17

    Directors’ Alleged Breach Of Fiduciary Duty Not Subject To Anti-SLAPP Statute

    Directors’ Alleged Breach Of Fiduciary Duty Not Subject To Anti-SLAPP Statute
    A SLAPP is a strategic lawsuit against public participation.  California enacted Code of Civil Procedure Section 425.16 as an antidote to SLAPP suits.  In general, a SLAPP is subject to a special motion to strike unless the…
Rank this Week: 121

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 22

    Illinois Forms Securities Fraud Section

    Illinois Forms Securities Fraud Section
    According to a recent report in Crain’s, the US Attorney for the Northern District of Illinois recently created a new section to prosecute securities and commodities fraud. The new fraud section was formed as part of the criminal…
  • Apr 22

    NJ Broker Pleads Guilty to Fraud

    NJ Broker Pleads Guilty to Fraud
    According to FA-mag.com a former New Jersey borker, Randy Schneider recently plead quilty to theft by unlawful taking. Schneider allegedly stole nearly one million dollars from two elderly clients. According to the report, Schneider worked…
  • Apr 17

    DBSI Executives Found Guilty

    DBSI Executives Found Guilty
    According to reports, CEO and president of DBSI, Douglas L. Swenson, was convicted of thirty-four counts of wire fraud and forty-four counts of securities fraud. Three other top DBSI executives were also convicted on multiple fraud charges.…
Rank this Week: 146

Securities Law Practice Center

Securities Law Practice Center

Covers news, analysis and resources in the securities field. By the Practicing Law Institute (PLI).

http://seclawcenter.pli.edu
  • Apr 5

    Tweet This! SEC Addresses Application of Regulation FD to Social Media

    Tweet This! SEC Addresses Application of Regulation FD to Social Media
    On April 2nd, the SEC issued a report of investigation that makes clear public companies may use social media such as Twitter and Facebook to announce information in compliance with Regulation FD as long as the companies made investors aware…
  • Apr 3

    Simpson Thacher: March Securities Law Alert

    Simpson Thacher: March Securities Law Alert
    We are pleased to share the most recent edition of the Simpson Thacher Securities Law Alert, edited by litigation Partners Jonathan Youngwood, Peter Kazanoff, and Paul Gluckow. The following is a summary of the March 2013 edition of the…
  • Apr 1

    Delaware Court of Chancery Enjoins Board from Resisting Insurgent Director Slate

    Delaware Court of Chancery Enjoins Board from Resisting Insurgent Director Slate
    In Kallick v. SandRidge Energy, Inc. the Delaware Court of Chancery preliminarily enjoined the board of SandRidge Energy, Inc. from impeding a consent solicitation by one of the Company’s largest stockholders to replace the incumbent…
Rank this Week: 152

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
Rank this Week: 163

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…
  • Feb 26

    George Theodule Sentenced to 150 Month

    George Theodule Sentenced to 150 Month
    On February 26, 2014, the FBI announced George Louis Theodule, 52, a former resident of Wellington, Florida was sentenced to 150 months in prison, to be followed by three years of supervised release. Theodule previously pled guilty to wire…
  • Feb 26

    SEC Charges Arizona-Based Equity Fund l Securities Lawyer 101

    SEC Charges Arizona-Based Equity Fund l Securities Lawyer 101
    Securities Lawyer 101 Blog On February 26, 2014, the Securities and Exchange Commission (the “SEC”) announced charges against an Arizona-based private equity fund manager and his investment advisory firm for…
Rank this Week: 329

Ponzitracker

Ponzitracker

Covers Ponzi schemes. By Jordan Maglich.

http://www.ponzitracker.com/
  • Apr 22

    TelexFree Seeks Six-Week Extension To File Financial Information

    TelexFree Seeks Six-Week Extension To File Financial Information
    Attorneys for TelexFree have filed a motion seeking court approval for a six-week extension to provide the required supplements to their bankruptcy filing, including financial disclosure statements, summaries of assets, and lists of…
  • Apr 21

    Zeek Receiver Slams Lawyers' Efforts To Redirect Claim Distribution

    Zeek Receiver Slams Lawyers' Efforts To Redirect Claim Distribution
    The court-appointed receiver overseeing efforts to recover funds for victims of the $600 million ZeekRewards Ponzi scheme has again reserved strong words for efforts by certain victims' lawyers to have distributions sent to their law offices,…
  • Apr 21

    Zeek Receiver Slams Effort By Lawyers To Redirect Claim Distribution

    Zeek Receiver Slams Effort By Lawyers To Redirect Claim Distribution
    The court-appointed receiver overseeing efforts to recover funds for victims of the $600 million ZeekRewards Ponzi scheme has again reserved strong words for efforts by certain victims' lawyers to have distributions sent to their law offices,…
Rank this Week: 336

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Apr 22

    Investors in LEAF Limited Partnerships May Have A Investment Claim

    Investors in LEAF Limited Partnerships May Have A Investment Claim
    Some investment advisors have touted alternative investments as safe, stable, high return products.  The truth is, these products are often laden with risks that are not disclosed and discussed with clients.  In addition,…
  • Apr 21

    FINRA Announces UBS Puerto Rico Bond Fund Cases to Move Forward

    FINRA Announces UBS Puerto Rico Bond Fund Cases to Move Forward
    On Monday, April 14, 2014, the Financial Industry Regulatory Authority (FINRA) announced that it would lift the hold that it had put on some cases related to the collapse of Puerto Rico Bond Funds. FINRA has been able to expand its pool of…
  • Apr 18

    Gana LLP Files Claim Against First Allied Concerning Advanced Equities Private Placement

    Gana LLP Files Claim Against First Allied Concerning Advanced Equities Private Placement
    The law offices of Gana LLP recently filed a claim on behalf of couple that invested and lost millions in Advanced Equities private equities and other speculative private placements.  The investments were made with brokerage firm First…
Rank this Week: 364

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/
  • May 23

    SEC Charges Former LPL Advisor With Fraud

    SEC Charges Former LPL Advisor With Fraud
    On May 23, 2013, the SEC charged a former LPL Financial LLC advisor, Blake Richards, with fraud and misappropriating $2 million from at least six clients.  The SEC filed the civil complaint in the U.S. District Court for the Northern…
  • May 6

    Wells Fargo Settles Medical Capital Class Action for $105 Million

    Wells Fargo Settles Medical Capital Class Action for $105 Million
    InvestmentNews reports that Wells Fargo & Co. has agreed to pay $105 million in a class action lawsuit brought by investors who purchased Medical Capital notes.  The notes turned out to be a fraudulent medical receivables scheme. The…
  • Apr 23

    Front-End Bonus Payments May Need To Be Disclosed

    Front-End Bonus Payments May Need To Be Disclosed
    If your broker or financial adviser told you he was moving to another brokerage firm and asked you to move your account there, would you want to know if he was being paid thousands or millions of dollars to make the move?  The Financial…
Rank this Week: 380

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: 414

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/
Rank this Week: 407

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 22

    Woody on Securities Laws and Foreign Policy

    Woody on Securities Laws and Foreign Policy
    Karen E. Woody has posted Securities Laws as Foreign Policy on SSRN with the following abstract: The SEC was founded in 1934 and bestowed by Congress with a three-pronged mission: (a) protecting investors; (b) maintaining fair, orderly, and…
  • Apr 22

    McGee on Insider Trading

    McGee on Insider Trading
    Robert W. McGee has posted Is the SEC Guilty of Insider Trading? on SSRN with the following abstract: This article reviews the literature on insider trading by SEC employees and discusses ethical issues. It also provides links to more than...
  • Apr 22

    Ramirez on Securities Litigation

    Ramirez on Securities Litigation
    Steven A. Ramirez has posted The Virtues of Private Securities Litigation: An Historic and Macroeconomic Perspective on SSRN with the following abstract: In the wake of the Great Depression, the federal securities laws operated to mandate…
Rank this Week: 449

Sharesleuth.com

Sharesleuth.com

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

http://sharesleuth.com/
  • Mar 28

    SEC probe of Kandi Technologies has risen to a formal investigation

    SEC probe of Kandi Technologies has risen to a formal investigation
    The Securities and Exchange Commission is conducting a formal investigation of Kandi Technologies Corp. (Nasdaq: KNDI), a Chinese company that has been the subject of several Sharesleuth stories. Kandi did not mention the investigation in the…
  • Oct 31

    People behind Twitter suit have history of questionable dealing

    People behind Twitter suit have history of questionable dealing
    The principals of two financial firms that sued Twitter Inc. for $124 million in damages have a history of dealings with questionable companies and questionable partners. Continental Advisors SA and Precedo Capital Group Inc. say Twitter…
  • Sep 23

    Virtual Piggy Inc: Developer of safe payment system for young people has questionable backer

    Virtual Piggy Inc: Developer of safe payment system for young people has questionable backer
    (Editor’s Note: Sharesleuth has taken down the story on Virtual Piggy Inc. (OTCBB: VPIG) that appeared under this headline last Friday. We will publish a revised version shortly.)
Rank this Week: 477

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

http://www.seclawyersblog.com/
  • Apr 19

    Sample Practices that Create Firm Liability for Customer Investment Losse

    Sample Practices that Create Firm Liability for Customer Investment Losse
    Securities firms and brokers can't always "blame it on the market" when it comes to investor losses. In addition to state and federal securities laws, FINRA rules impose obligations upon securities firms and brokers. In particular, FINRA…
  • Apr 17

    Sonn|Erez Investigating Claims Involving William Bradford Coolidge (Cordova, Tennessee)

    Sonn|Erez Investigating Claims Involving William Bradford Coolidge (Cordova, Tennessee)
    Sonn|Erez is investigating claims regarding William Bradford Coolidge (CRD #1636957, Cordova, Tennessee), also known as Brad Coolidge and William B. Coolidge. Coolidge recently submitted a Letter of Acceptance, Waiver and Consent in which he…
  • Apr 15

    Sonn|Erez Investigating Claims Involving Stefani Ann Bennett (Salmon, Idaho)

    Sonn|Erez Investigating Claims Involving Stefani Ann Bennett (Salmon, Idaho)
    Sonn|Erez is investigating claims regarding Stefani Ann Bennett (CRD #5890347, Salmon, Idaho). Bennett recently submitted a Letter of Acceptance, Waiver and Consent in which she was barred from association with any FINRA member in any…
Rank this Week: 521

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: 530

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 22

    D&O Policy Excluding “Receiver” Claims Bars Coverage for FDIC Failed Bank Lawsuit

    D&O Policy Excluding “Receiver” Claims Bars Coverage for FDIC Failed Bank Lawsuit
    In an interesting April 7, 2014 opinion (here), Magistrate Judge Stanley A. Boone of the Eastern District of California, applying California law, held that a D&O insurance policy’s insured vs. insured exclusion precludes coverage…
  • Apr 21

    Flash Boys Litigation: High Frequency Traders, Brokers and Securities Exchanges Hit With Securities Suit

    Flash Boys Litigation: High Frequency Traders, Brokers and Securities Exchanges Hit With Securities Suit
    The topic of high frequency trading has dominated the business headlines since the late March publication of Michael Lewis’s new book, “Flash Boys: A Wall Street Revolt.”  The SEC, the U.S. Department of Justice and the…
  • Apr 21

    The Latest Stockpile of Readers’ Mug Shot

    The Latest Stockpile of Readers’ Mug Shot
    Because the latest round of mug shots is long overdue, quite a backlog of pictures has built up. The latest round of readers’ photos may be a bit late but it may also be one of the best collections yet.   Readers will recall that…
Rank this Week: 545

Securities Arbitration Blog

Securities Arbitration Blog

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

http://www.securitiesarbitrations.com
  • 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…
  • 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 Governor Tom Corbett…
Rank this Week: 550

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 21

    SEC Charges Brokerage Firm Executives in Kickback Scheme to Secure Business of Venezuelan Bank

    SEC Charges Brokerage Firm Executives in Kickback Scheme to Secure Business of Venezuelan Bank
    The Securities and Exchange Commission announced another round of charges in its ongoing case against several individuals involved in a massive kickback scheme to secure the bond trading business of a state-owned Venezuelan bank.The SEC…
  • Apr 20

    Lessons About Handling Money

    Lessons About Handling Money
    I have represented a few professional athletes over the years. Unfortunately, it is after they have lost their wealth, or failed to plan for the end of their professional sports careers. They have either lost their money, or spent it, and are…
  • Apr 20

    General Mills Reverses Itself - No Mandatory Arbitration

    General Mills Reverses Itself - No Mandatory Arbitration
    Reversing a policy that was an abuse of arbitration policy. legally unenforceable and a complete public relations disaster, General Mills has changed its mind, removed its silly mandatory arbitration policy, and has gone back to its original…
Rank this Week: 611

William Carleton, Counselor @ Law

William Carleton, Counselor @ Law

Covers legal and investment issues facing emerging tech companies.

http://www.wac6.com/wac6/
  • Apr 14

    A Simple Act of Congress to Make Things Better for Startup

    A Simple Act of Congress to Make Things Better for Startup
    My friend Joe Wallin had an idea earlier today, which was, “how can Congress pass a single, simple law, to tell federal agencies to back off the rulemaking?” His idea is borne of the frustration we all feel when Congress...
  • Apr 9

    Another Car2Go story

    Another Car2Go story
    I love this service. A lot of people in Seattle are talking about the politics of ride sharing services. But Car2Go is more like a self-service. Or the loan of hardware, I guess you could say. Because you find a...
  • Apr 2

    Non-accredited crowdfunding: a license to pillage the vulnerable, or democracy in action?

    Non-accredited crowdfunding: a license to pillage the vulnerable, or democracy in action?
    The essential problem with Title III of the JOBS Act is that it doesn't pick sides.
Rank this Week: 613

Institutional Investor Securities…

Institutional Investor Securities Blog

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

http://www.institutionalinvestorsecuritiesblog.com/
  • Dec 29

    Wells Fargo Reaches $591 Million Mortgage Deal with Fannie Mae

    Wells Fargo Reaches $591 Million Mortgage Deal with Fannie Mae
    Wells Fargo & Co. (WFC) has arrived at a $591 million mortgage settlement with Fannie Mae (FNMA). The arrangement resolves claims that the banking institution sold faulty mortgages to the government run-home loan financier and covers…
  • Apr 16

    Barclays Settles Two Libor-Related Securities Case

    Barclays Settles Two Libor-Related Securities Case
    Barclays (BARC) has just settled two Libor-related securities cases alleging mis-selling related to Libor. In the first lawsuit, filed by Guardian Care Homes over interest swaps worth £70M that were linked to the benchmark interest…
  • Apr 15

    SEC Takes a Closer Look at Municipal Bond

    SEC Takes a Closer Look at Municipal Bond
    The US Securities and Exchange Commission is finally beginning to scrutinize municipal bond issuers. Recent efforts include the opening of investigations into whether certain municipalities misled investors about their financial well-being…
Rank this Week: 663

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
  • Apr 11

    Variable Universal & Indexed Universal Life Insurance Policie

    Variable Universal & Indexed Universal Life Insurance Policie
    In an April 4, 2014 article in The Wall Street Journal (“The Great Life-Insurance Temptation”), customers are warned that they “could be in for a shock” as a result of the correlation between specific life insurance…
  • Apr 10

    SEC Is Probing Dealings by Banks and Companies in Loan Securitie

    SEC Is Probing Dealings by Banks and Companies in Loan Securitie
    The Securities and Exchange Commission is investigating a Wall Street boom in complicated bond deals. SEC investigators are looking at whether banks and companies are using the bond deals to hide certain risks illegally, said the people close…
  • Apr 2

    SEC Is Probing Dealings by Banks and Companies in Loan Securitie

    SEC Is Probing Dealings by Banks and Companies in Loan Securitie
    On March 24, 2014, an article in The Wall Street Journal (“SEC is Probing Dealings by Banks and Companies in Loan Securities”), disclosed that the Securities and Exchange Commission is investigating whether a Wall Street boom in…
Rank this Week: 698

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Apr 22

    Why I Don’t Like Corp Fin’s New “Legend for Twitter” Guidance

    Why I Don’t Like Corp Fin’s New “Legend for Twitter” Guidance
    Yesterday, Corp Fin issued 2 new Compliance & Disclosure Interpretations dealing with social media. The first CDI deals with how to affix legends to tweets & other social media communications. The second CDI deals with retweeting or…
  • Apr 21

    18 Cool Things About Spectra Energy’s ’14 Proxy Statement

    18 Cool Things About Spectra Energy’s ’14 Proxy Statement
    In this 2-minute video, there are 18 great ways that Spectra Energy enhances the usability of its 2014 proxy statement (compare to last year’s proxy): Say-on-Pay: 3rd & 4th Failures Over the last week, Cogent Communications Group…
  • Apr 18

    More on the Conflict Minerals Ruling: What is En Banc Review?

    More on the Conflict Minerals Ruling: What is En Banc Review?
    More on the Conflict Minerals Ruling: What is En Banc Review? As I noted when the U.S. Court of Appeals decision came out earlier this week in National Association of Manufacturers, et al. v. Securities and Exchange Commission, one of...
Rank this Week: 722

InvestorLawyers.net

InvestorLawyers.net

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

http://www.investorlawyers.net/blog/
  • Apr 21

    ETF, ETN Investors Could Recover Losse

    ETF, ETN Investors Could Recover Losse
    Lawyers are investigating claims on behalf of investors who suffered significant losses in exchange-traded notes (ETNs) and exchange-traded funds (ETFs) issued by Credit Suisse and other full-service brokerage firms. According to Bloomberg,…
  • Apr 16

    Morgan Stanley Customers Could Recover Losses for Unsuitable Puerto Rico Bond Sale

    Morgan Stanley Customers Could Recover Losses for Unsuitable Puerto Rico Bond Sale
    Securities fraud attorneys are currently investigating claims on behalf of Morgan Stanley customers who suffered significant losses in Puerto Rico Bonds. The investigation concerns Morgan Stanley sales practices of Puerto Rico bonds and bond…
  • Apr 15

    Pennsylvania Regulators Investigate Non-traded REIT Sale

    Pennsylvania Regulators Investigate Non-traded REIT Sale
    Investment fraud lawyers are currently investigating claims on behalf of investors who suffered significant losses in non-traded real estate investment trusts, or non-traded REITs, in light of an investigation that is now underway by the…
Rank this Week: 852

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

    EMPLOYMENT TUESDAY at BrokeAndBroker.com

    EMPLOYMENT TUESDAY at BrokeAndBroker.com
    Stockbroker, Compliance, Legal, and Regulatory JobsEmployment Page BrokeAndBroker.com Jobs#brokeandbroker ...
  • Apr 16

    Getting The Wall Street Girl To Do It

    Getting The Wall Street Girl To Do It
    For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of…
  • Apr 15

    BrokeAndBroker.com by Bill Singer Weekend In Review

    BrokeAndBroker.com by Bill Singer Weekend In Review
    Will This Tax Season Lien On You?April 18, 2014We just made it through another tax season. The good news is that you filed and are fully paid up -- or, the bad news is that you didn't file or you h... Read OnThe Old Cut And Paste Gets…
Rank this Week: 873

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…
  • 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…
  • Oct 22

    Cornell Scores in Forum Case

    Cornell Scores in Forum Case
    PKJ’s Timothy Cornell scored a significant victory Friday, when U.S. District Judge Richard G. Stearns dismissed a multimillion case against an Internet company, finding that the plaintiff was bound by his contract’s forum selection…
Rank this Week: 881

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 9

    A Million Dollars In Fees For Class Counsel in Wachovia/Wells Fargo Merger Lawsuit

    A Million Dollars In Fees For Class Counsel in Wachovia/Wells Fargo Merger Lawsuit
    When I first looked at Judge Murphy's (unpublished) Order in Ehrenhaus v. Baker earlier this month awarding attorneys' fees to the class action attorneys who sued Wachovia and Wells Fargo over their merger in 2008,  I was disappointed,…
  • Apr 8

    Business Court Makes North Carolina Safe For Construction Lawyer

    Business Court Makes North Carolina Safe For Construction Lawyer
    Construction lawyers in North Carolina can breathe a sigh of relief.  On Friday of last week, the Business Court ruled that the service of on-line service provider Lienguard in preparing claims of lien constitutes the unauthorized…
  • Apr 7

    Real Estate Agents Need To Be Careful About Disclosing Dual Agency

    Real Estate Agents Need To Be Careful About Disclosing Dual Agency
    Dual agency is a big deal to real estate agents.  It lets them represent both a buyer and a seller in a transaction.  Dual agency was the focal point of the Business Court's opinion last week in BDM Investments v. Lenhil, Inc.,…
Rank this Week: 926

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

http://www.hedgefundlawblog.com
  • Apr 22

    San Francisco Hedge Fund Events – April 22 and April 23

    San Francisco Hedge Fund Events – April 22 and April 23
    There are two big events in San Francisco this week. SF Hedge Fund Networking Group Meeting April 22 at 4pm at Blanc et Rouge in San Francisco.  For more information, please see the LinkedIn page. Hedge Funds Care 13th Annual Benefit The…
  • Apr 21

    CFTC Issues No-Action Letters for CPO Registration Relief

    CFTC Issues No-Action Letters for CPO Registration Relief
    Hedge Fund General Partner CPO Registration Relief  In a series of no-action letters issued in March, the CFTC has granted no-action relief from registration as a commodity pool operator (“CPO”) for a general partner of a…
  • Apr 5

    California Finance Lenders License

    California Finance Lenders License
    California Requirements for Hedge Funds and Private Equity Funds Engaged in Lending Businesses Investment advisers, private equity managers, private fund managers, and other businesses that are engaged in making loans should be aware of…
Rank this Week: 988

Business Blog

Business Blog

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

http://www.businesslawnews.com/
  • Apr 22

    5 Key Tips for Encouraging Internal Whistleblower

    5 Key Tips for Encouraging Internal Whistleblower
    In the wake of the U.S. Supreme Court’s ruling in Lawson v. FMR, LLC, whistleblower claims against U.S. companies are likely to rise. As previously discussed, the Court ruled that the whistleblower protections of the Sarbanes-Oxley Act…
  • Apr 21

    Is Your Favorite Brew Really a “Craft” Beer?

    Is Your Favorite Brew Really a “Craft” Beer?
    The number of craft breweries in the United States has skyrocketed in recent years. Most recently, the monks of St. Joseph Abbey, located in a small Massachusetts town, made headlines by introducing the first and only certified Trappist ale…
  • Apr 18

    Is a Federal Data Breach Notification Law on the Horizon?

    Is a Federal Data Breach Notification Law on the Horizon?
    Nearly all 50 states have data breach notification laws in place. Generally, these laws dictate how private and government entities must notify individuals of data breaches involving personally identifiable information, commonly referred to…
Rank this Week: 997

Securities Class Action &…

Securities Class Action & Arbitration Law

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

http://securitiesattorneys.us/
Rank this Week: 972

Business Law Post

Business Law Post

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

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

    Elusive Bitcoin: Regulation of Bitcoin in the U.S. Part II

    Elusive Bitcoin: Regulation of Bitcoin in the U.S. Part II
    Today, I am going to summarize FinCEN’s regulations relating to Bitcoin.The Financial Crimes Enforcement Network (FinCEN) is an agency within the US Treasure Department. Its mission is to safeguard the financial system from illicit…
  • Apr 16

    Elusive Bitcoin: Regulation of Bitcoin in the U.S. Part I

    Elusive Bitcoin: Regulation of Bitcoin in the U.S. Part I
    The phenomenon of Bitcoin (and virtual currency in general) presents an interesting legal conundrum. It is still not clear for many where does Bitcoin fit within our legal system, and whether and how to regulate it. Today, I would like to…
  • Feb 1

    Could Your Update on LinkedIn Violate a Non-Compete Agreement?

    Could Your Update on LinkedIn Violate a Non-Compete Agreement?
    Today, I am re-posting a blog post of a colleague of mine (with his permission) that I found to be particularly interesting and relevant for those of you who are looking to leave your present employers to start your own businesses or to just…
Rank this Week: 1060

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/
Rank this Week: 1043

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: 1118

Startup Law Blog

Startup Law Blog

Covers legal and regulatory developments in startup, securities law and regulation. By Joe Wallin.

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

    How is corporate M&A strategy developed?

    How is corporate M&A strategy developed?
    How do strategic M&A events germinate? When does the corporate development process for major companies begin? How is corporate strategy developed? Pacific Rim M&A Institute’s inaugural session answers these questions and more.…
  • Apr 1

    Crowdfunding : Key Decisions and Strategie

    Crowdfunding : Key Decisions and Strategie
    Crowdfunding has become a reality in Washington State. This is a great opportunity for startups and entrepreneurs to finally get the funding they need to move forward with the support of many small contributors. But there are still strict SEC…
  • Mar 26

    What Does the New Washington Crowdfunding Law Allow?

    What Does the New Washington Crowdfunding Law Allow?
    The Washington State legislature has passed a crowdfunding bill, HB 2023.  The Governor has yet to sign the bill, so it is not yet law.  But hopefully it will be law soon. If you are wondering what the new law will allow, I have put…
Rank this Week: 1207

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: 1161

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 22

    Corp Fin Issues New “Legend for Twitter” & “Retweeting” Guidance

    Corp Fin Issues New “Legend for Twitter” & “Retweeting” Guidance
    Yesterday, Corp Fin issued 2 new Compliance & Disclosure Interpretations dealing with social media. The first CDI deals with how to affix legends to tweets & other social media communications. The second CDI deals with retweeting or…
  • Apr 21

    Transcript: “Rural/Metro and Claims for Aiding & Abetting Breaches of Fiduciary Duty”

    Transcript: “Rural/Metro and Claims for Aiding & Abetting Breaches of Fiduciary Duty”
    We have posted the transcript for our popular webcast: “Rural/Metro and Claims for Aiding & Abetting Breaches of Fiduciary Duty.”
  • Apr 16

    Delaware: Another Market Check & Disclosure Decision

    Delaware: Another Market Check & Disclosure Decision
    Here’s an excerpt from this Gibson Dunn memo: On April 8, 2014, Vice Chancellor Laster of the Delaware Court of Chancery issued an opinion addressing the reasonableness of a “market check” as well as required proxy…
Rank this Week: 1247

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. Published by Porter, Wright,

http://www.fedseclaw.com/
Rank this Week: 1330

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Apr 4

    Client Alert: Surrender Charges & Annuity Churning

    Client Alert: Surrender Charges & Annuity Churning
    Fitapelli Kurta is investigating claims related to surrender charges and other suspicious annuity fees. A surrender charge is a type of sales charge an investor has to pay when he or she sells or withdraws money from…
  • Apr 4

    Investigation: Michael Lombardo, David Lerner Broker

    Investigation: Michael Lombardo, David Lerner Broker
    Fitapelli Kurta is investigating complaints against former David Lerner Associates broker Michael Lombardo, who was terminated by the firm effective March 13, 2014.  Mr. Lombardo was a broker in David Lerner’s Westport, CT branch.…
  • Mar 31

    Investigation: Broker Mark Imbertson of Merrill Lynch

    Investigation: Broker Mark Imbertson of Merrill Lynch
    Fitapelli Kurta is investigating complaints related to Mark E. Imbertsonsale’s sale of risky ETFs while he was registered at Merrill Lynch.  Imbertson first became registered with FINRA in August 1998.  He worked for…
Rank this Week: 1277

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • Mar 28

    Defamation v. Tortious Interference

    Defamation v. Tortious Interference
    Most of us have at least a “street-level” understanding of defamation. Individuals that hear or read damaging false statements about themselves or their business typically think: “I need to find a defamation lawyer.”…
  • Mar 19

    Defamation Reputation Damage Management

    Defamation Reputation Damage Management
    In 1378, the Statute of Scandalum Magnatum granted judges and church officials in England a legal right to compensation if they had been insulted or defamed. The first Common Law defamation action on record was filed in England in 1507. …
  • Mar 12

    Missouri Supreme Court Rejects Trade Secret Claim Over Client List

    Missouri Supreme Court Rejects Trade Secret Claim Over Client List
    Troy Kennedy (Kennedy”) left his position as director and executive officer of a trust and investment company when that company was bought by Central Trust & Investment Company (“CTI”). Kennedy left to found a competing…
Rank this Week: 1410

Cady Bar the Door

Cady Bar the Door

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

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

    SEC Says the Cyber Police Are Coming

    SEC Says the Cyber Police Are Coming
    Pretty soon we’ll all be data privacy lawyers.  The SEC is certainly doing its part to ensure that comes to pass.  Earlier this year the SEC’s Office of Compliance, Inspections, and Examinations announced that its 2014…
  • Apr 10

    Give Me That Old-Time Insider Trading

    Give Me That Old-Time Insider Trading
    Recently I had a question that required me to review Don Langevoort’s comprehensive insider trading treatise.  It got me thinking about the roots of insider trading law.  Specifically, the pre-SEC, pre-10b-5 insider trading…
  • Mar 19

    Two Thoughts about Dewey LeBoeuf and Parallel Proceeding

    Two Thoughts about Dewey LeBoeuf and Parallel Proceeding
    You’ve probably read about the Manhattan district attorney’s office’s indictment of executives at former Big Law giant Dewey LeBoeuf.  According to the WSJ  Law Blog, the crux is this: “[F]ormer Dewey…
Rank this Week: 1591

Amato Law Firm, LLC Blog

Amato Law Firm, LLC Blog

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

http://www.ramatolaw.com/blog1
  • Mar 27

    LPL Hammered by FINRA in Connection with Sales of Alternative

    LPL Hammered by FINRA in Connection with Sales of Alternative
    Independent broker-dealer LPL Financial – a leading seller of alternative investments such as non-traded real estate investment trusts (REITs) – once again is in trouble with regulators, as FINRA announced on Monday that it has…
  • Mar 27

    Edward Jones Fined for Non-Traditional ETF Sales Practice

    Edward Jones Fined for Non-Traditional ETF Sales Practice
    Continuing the recent trend of enforcement actions relating to the sale of complex products, securities regulator FINRA earlier this year fined full-service broker-dealer Edward D. Jones & Co., L.P. (Edward Jones) $200,000 for failing to…
  • Mar 21

    Berthel Fisher Fined for Failure to Supervise Sales of Non-Traded REITs and Complex Product

    Berthel Fisher Fined for Failure to Supervise Sales of Non-Traded REITs and Complex Product
    FINRA recently fined broker-dealer Berthel Fisher & Company Financial Services, Inc. and its affiliate a combined $775,000 for supervisory deficiencies involving the sale of non-traded real estate investment trusts (REITs) and leveraged…
Rank this Week: 1603

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/
  • Mar 14

    Inland American Real Estate Trust Announces Tender Offer at $6.50 - $6.10 Per Share

    Inland American Real Estate Trust Announces Tender Offer at $6.50 - $6.10 Per Share
    Today, Inland American Real Estate Trust, a non-traded REIT, announced a $350 million tender offer at a price range between $6.50 to $6.10 per share. The offer expires April 11, 2014, at 5:00 p.m. (EST). Click here for detailed…
  • Feb 25

    Berthel Fisher Fined $775,000 for the Inappropriate Sale of REITs and ETF

    Berthel Fisher Fined $775,000 for the Inappropriate Sale of REITs and ETF
    Yesterday, Berthel Fisher & Co. Financial Services, Inc. entered into a settlement with the Financial Industry Regulatory Authority (FINRA) and agreed to pay a $775,000 fine stemming from sale of unsuitable investments, including…
  • Feb 3

    "Wolf of Wall Street" High Pressure Sales Tactic

    "Wolf of Wall Street" High Pressure Sales Tactic
    Many have complained, myself included, that the movie "Wolf of Wall Street" failed to show the devastation suffered by those who were victimized by Jordan Belfort and his company Stratton Oakmont. Clearly, this movie was produced purely for…
Rank this Week: 1512

Tim O'Connor's Blog

Tim O'Connor's Blog

Covers stockbroker fraud.

http://stockbrokerlaw.com/_blog/Tim_O%27Connor%27s_Blog
  • Jan 6

    Become a FINRA Arbitrator

    Become a FINRA Arbitrator
    The Office of Dispute Resolution of the Financial Industry Regulatory Authority (FINRA) is currently seeking experienced professionals, citizens, and members of the community to serve as arbitrators on FINRA arbitration panels.  Notably,…
  • Jan 6

    Become a FINRA Arbitrator

    Become a FINRA Arbitrator
    The Office of Dispute Resolution of the Financial Industry Regulatory Authority (FINRA) is currently seeking experienced professionals, citizens, and members of the community to serve as arbitrators on FINRA arbitration panels.  Notably,…
  • Dec 31

    Functional Fiduciary Liability Under ERISA

    Functional Fiduciary Liability Under ERISA
    There are over one million ERISA-qualified pension plans in the United States, including two hundred thousand defined benefit plans.  At one time, defined benefits plans were the predominant vehicle for employer-funded employee…
Rank this Week: 1594

Stock Attorneys Blog

Stock Attorneys Blog

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

http://www.stockattorneysblog.com/
Rank this Week: 1780

New York Securities Lawyers Blog

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

http://www.newyorksecuritieslawyersblog.com/
  • Apr 11

    Biggest Recent FINRA Fines Point to Poor Supervision at Large Broker-Dealer

    Biggest Recent FINRA Fines Point to Poor Supervision at Large Broker-Dealer
    Apparently the opportunity for bad brokers to engage in wrongful conduct is enabled by big brokerage firms, as recent Financial Industry Regulatory Authority (FINRA) fines indicate that these businesses fail to properly supervise their foot…
  • Apr 4

    Managed Futures Fund Fees: When Is Enough Enough?

    Managed Futures Fund Fees: When Is Enough Enough?
    When are money management fees too much? It is hard to imagine that any investor who has sought the guidance of professional financial advisors has not asked himself or herself this question at least once - most likely more. In the case of…
  • Mar 27

    FINRA Files LPL Financial for Failures to Supervise Alternative Investment

    FINRA Files LPL Financial for Failures to Supervise Alternative Investment
    LPL Financial LLC has been hit again for supervisory failures stemming from the recommendation of non-traded real estate investment trusts (REITs), as well as other illiquid investments, begging the question whether the fines are large enough…
Rank this Week: 1627