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Securities Lawyer 101

Securities Lawyer 101

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

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

    Corporate Hijackings 101 l Securities Lawyer 101 Blog

    Corporate Hijackings 101 l Securities Lawyer 101 Blog
    Securities Lawyer 101 Blog Corporate hijackings, also known as corporate identity theft, of public shell companies has been around for more than a decade.  It  is a growing method used by fraudsters to acquire…
  • Jan 1

    Going Public Blog l Securities Lawyer 101

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

    Going Public Blog l Securities Lawyer 101

    Going Public Blog l Securities Lawyer 101
      Securities Lawyer 101 Blog Going public is a big step for any company.  The process of “going public” is complex and at times precarious.  While going public offers many benefits it also comes with risks and…
Rank this Week: 45

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: 56

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Jan 23

    FSOC Considers Greater Transparency in Nonbank Designation Proce

    FSOC Considers Greater Transparency in Nonbank Designation Proce
    [This story previously appeared in Securities Regulation Daily.]By Jacquelyn LumbSEC Chair Mary Jo White signaled her support for enhancing the transparency of the Financial Stability Oversight Council’s process for considering nonbank…
  • Jan 22

    Chairman Massad Praises Progress by U.S., Japan on Cross-Border Issue

    Chairman Massad Praises Progress by U.S., Japan on Cross-Border Issue
    [This story previously appeared in Securities Regulation Daily.]By Lene Powell, J.D.In an address to the Futures Industry Association in Tokyo, CFTC Chairman Timothy Massad talked about the interconnectedness of the global derivatives…
  • Jan 20

    Massachusetts Adopts Emergency Crowdfunding Exemption

    Massachusetts Adopts Emergency Crowdfunding Exemption
    [This story previously appeared in Securities Regulation Daily.]By Jay Fishman, J.D.The Massachusetts Securities Division adopted an emergency intrastate crowdfunding exemption, permitting job growth by helping Massachusetts small and…
Rank this Week: 140

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
  • Jan 22

    Florida Based Investment Advisor Firm Is Charged in Ponzi Scheme

    Florida Based Investment Advisor Firm Is Charged in Ponzi Scheme
    From the Desk of Jim Eccleston at Eccleston Law Offices: The SEC has charged a Florida based investment advisor firm, Elm Tree Investment Advisors LLC, its founder Frederic Elm, and its private funds Elm…
  • Jan 21

    Wheat Ridge, Colorado Man Pleads Guilty to Orchestrating a $4.8 Million Ponzi Scheme

    Wheat Ridge, Colorado Man Pleads Guilty to Orchestrating a $4.8 Million Ponzi Scheme
    From the Desk of Jim Eccleston at Eccleston Law Offices: Perry Sawano pled guilty to swindling investors in a $4.8 million Ponzi scheme between 2007 and 2013. Sawano was accused of running the scheme…
  • Jan 21

    UBS’ Richest Clients Chase After Dollars and Scrap Swiss Franc

    UBS’ Richest Clients Chase After Dollars and Scrap Swiss Franc
    From the Desk of Jim Eccleston at Eccleston Law Offices: Last week, the Swiss National Bank abolished the franc’s three year-old cap of 1.20 per euro, which caused the currency to soar as much as 41 percent against…
Rank this Week: 145

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/
  • Jan 23

    Investigation into Alpha Natural Resources LLC

    Investigation into Alpha Natural Resources LLC
    Have you suffered losses in Alpha Natural Resources, LLC.,a subsidiary of Alpha Natural Resource Inc. (NYSE: ANR)? If so, the White Law Group may be able to help you recover your investment losses. Alpha Natural Resources is a leading…
  • Jan 23

    Recovery of First Trust ISE Global Engineering and Construction Index Fund Losse

    Recovery of First Trust ISE Global Engineering and Construction Index Fund Losse
    Have you suffered losses investing in First Trust ISE Global Engineering and Construction Index Fund?  If so, the securities attorneys of The White Law Group may be able to help you recover your losses in a FINRA arbitration…
  • Jan 23

    Recovery of First Trust Germany AlphaDEX Fund Losse

    Recovery of First Trust Germany AlphaDEX Fund Losse
    Have you suffered losses investing in First Trust Germany AlphaDEX Fund?  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…
Rank this Week: 206

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
Rank this Week: 265

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/
  • Jan 23

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: David K. Brown & Derek B. Swanson, Securities Regulation, 65 Mercer L. Rev. 1087 (2014). Winthrop N. Brown, With This ring, I Thee…
  • Jan 23

    Jackson, Jiang & Mitts on Information Dissemination

    Jackson, Jiang & Mitts on Information Dissemination
    Robert J. Jackson Jr., Wei Jiang, and Joshua Mitts have posted How Quickly Do Markets Learn? Private Information Dissemination in a Natural Experiment on SSRN with the following abstract: Using data from a unique episode in which the SEC…
  • Jan 23

    Heese on SEC Enforcement

    Heese on SEC Enforcement
    Jonas Heese has posted Government Preferences and SEC Enforcement on SSRN with the following abstract: I examine whether political pressure by the government as a response to voters’ general interest in protecting employment is reflected in…
Rank this Week: 271

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: 278

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/
  • Jan 23

    Magna Carta Friday – King John Guarantees The Freedom Of The English Church

    Magna Carta Friday – King John Guarantees The Freedom Of The English Church
    As I’ve mentioned, this year marks the 800th anniversary of the sealing of the Magna Carta by King John at Runnymede.  I previously posted the introduction and my translation of the original Latin of the 1215 version.  Today,…
  • Jan 22

    Some LLC Names Slip Past California’s Statutory Ban

    Some LLC Names Slip Past California’s Statutory Ban
    The California Revised Uniform Limited Liability Company Act explicitly bans a number of different words from being included in LLC names: The name shall not include the words “bank,” “trust,” “trustee,”…
  • Jan 21

    SEC Charges Attorney For Allegedly False Legal Opinion

    SEC Charges Attorney For Allegedly False Legal Opinion
    Last week, the Securities and Exchange Commission announced charges against an attorney who was allegedly involved in the filing of false registration statements.  The SEC’s order instituting proceedings alleges that the attorney…
Rank this Week: 283

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Jan 23

    Our New “Proxy Advisors Handbook”

    Our New “Proxy Advisors Handbook”
    Spanking brand new. By popular demand, this comprehensive “Proxy Advisors Handbook” covers all you need to know about dealing with ISS and Glass Lewis (it’s now posted on our “Proxy Advisors” Practice Area). This…
  • Jan 22

    Academic Gang War! 34 Professors Protest Grundfest/Gallagher Paper

    Academic Gang War! 34 Professors Protest Grundfest/Gallagher Paper
    The sporadic occasion of law firms coming together to issue a white paper on a topic that could use consensus perhaps has spread to the academic world. Except the professors don’t seek a consensus view – they seek a retraction.…
  • Jan 21

    Congress: House Passes HR 37 Second Time Around – But Likely Dead for Now

    Congress: House Passes HR 37 Second Time Around – But Likely Dead for Now
    Last week, as noted in this article, the GOP passed the package of bills in HR 37 that got defeated a few weeks ago. This time, only a simple majority was needed to pass – and the House voted 271-154 to pass HR 37 (entitled the…
Rank this Week: 304

Sharesleuth.com

Sharesleuth.com

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

http://sharesleuth.com/
  • 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…
  • Jun 17

    Telestone Technologies revisited: SEC letters reveal doubts about revenues and receivable

    Telestone Technologies revisited: SEC letters reveal doubts about revenues and receivable
    Recently released letters between the Securities and Exchange Commission and Telestone Technologies Corp. (Pink Sheets: TSTC) show that regulators have significant concerns about the Chinese wireless communication company’s reported…
Rank this Week: 303

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/
  • Jan 16

    UBS Settles SEC Dark Pool Case for $14M

    UBS Settles SEC Dark Pool Case for $14M
    A UBS AG (UBS) subsidiary has consented to pay $14.4 million to resolve Securities and Exchange Commission claims that the firm committed violations involving the marketing and operation of its dark pool. The subsidiary, UBS Securities LLC,…
  • Jan 15

    SEC Accuses Canadian Man of Fraudulent Trading Scam, Use of “Layering” Strategy

    SEC Accuses Canadian Man of Fraudulent Trading Scam, Use of “Layering” Strategy
    The Securities and Exchange Commission is charging a Canadian citizen with running a market manipulation scam that involved making orders to trick others into selling or purchasing U.S. publicly traded stocks at prices that were depressed or…
  • Jan 13

    Investment Adviser News: Barred Representative is Now a Finance Coach, Bellingham Man Gets Prison Term for Bilking Senior

    Investment Adviser News: Barred Representative is Now a Finance Coach, Bellingham Man Gets Prison Term for Bilking Senior
    According to the Securities and Exchange Commission, ex-investment adviser Sherwin Brown is continuing to offer financial advice even though the regulator barred him from the industry and ordered him to pay $1.3 million for allegedly…
Rank this Week: 308

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Jan 23

    FINRA Bars Broker Chase Casson For Failing to Respond to Inquiries Over Private Transaction

    FINRA Bars Broker Chase Casson For Failing to Respond to Inquiries Over Private Transaction
    The Financial Industry Regulatory Authority (FINRA) recently barred broker Chase Casson (Casson) alleging that Casson failed to provide documents and information to FINRA in response to demands made to investigate the broker’s…
  • Jan 22

    Overconcentrated in Oil and Gas Investments?

    Overconcentrated in Oil and Gas Investments?
    A strengthening dollar and increased global supply of oil has sent crude oil prices tumbling in the second half of 2014. Recently, crude futures for delivery in February 2015 fell to $52.69 a barrel, the lowest finish since April 2009. Some…
  • Jan 21

    Wedbush Securities Regulatory Actions Explored Part III

    Wedbush Securities Regulatory Actions Explored Part III
    This post continues our examination of the numerous regulatory actions against Wedbush Securities, Inc. (Wedbush) for its failure to supervise the activities of its employees and the recent National Adjudicatory Council (NAC) decision…
Rank this Week: 333

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

http://www.seclawyersblog.com/
  • Jan 21

    SEC Charges Elm Tree Investment Adviser and Manager in Fort Lauderdale, Florida-Based Fraud

    SEC Charges Elm Tree Investment Adviser and Manager in Fort Lauderdale, Florida-Based Fraud
    The Securities and Exchange Commission today announced fraud charges and an asset freeze against Fort Lauderdale, Florida-based investment advisory firm, its manager, and three related funds in a scheme that raised more than $17 million since…
  • Jan 19

    FINRA Cautions Investors Regarding E-Cigarette Stock Scam

    FINRA Cautions Investors Regarding E-Cigarette Stock Scam
    FINRA recently issued an Investor Alert, "E-Cigarette Stock Scams: New Smoking Technology Could Light Up Pump-and-Dump Fraud." In the Alert, FINRA warns investors of aggressive promotions advertising stocks that allegedly capitalize on the…
  • Jan 9

    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…
Rank this Week: 351

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: 365

The D & O Diary

The D & O Diary

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

http://www.dandodiary.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/
  • Dec 5

    FINRA Increases Arbitrator Pay- Passes Costs to Partie

    FINRA Increases Arbitrator Pay- Passes Costs to Partie
    According to Regulatory Notice 14-49 (“RN 14-49”) issued by the Financial Industry Regulatory Authority (“FINRA”), FINRA is increasing the pay for arbitrators assigned to hear FINRA cases and passing the costs of the…
  • Nov 20

    Former Florida Broker Permanently Barred for Alleged Theft

    Former Florida Broker Permanently Barred for Alleged Theft
    According to his BrokerCheck Report, Jeffrey Brian Grove of Melbourne, Florida has been permanently barred from the financial services industry by the Financial Industry Regulatory Authority (“FINRA”).   According to…
  • Oct 16

    SEC Approves Rule to Help Non-Traded REIT Investor

    SEC Approves Rule to Help Non-Traded REIT Investor
    The Securities and Exchange Commission has approved the Financial Industry Regulatory Authority’s (“FINRA”) proposed revisions to NASD Rule 2340 regarding per share estimated valuations of unlisted REITs held by…
Rank this Week: 440

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: 507

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/
  • Jan 23

    TSX proposes additional listing exemptions for interlisted issuer

    TSX proposes additional listing exemptions for interlisted issuer
    Jonah Mann -  The Toronto Stock Exchange yesterday proposed amendments to its Company Manual that would adopt a broader deference model in respect of certain exchange requirements where an interlisted issuer is subject to the…
  • Jan 23

    Regulators adopt changes to CRM2 project

    Regulators adopt changes to CRM2 project
    Earlier this week, the Investment Industry Regulatory Organization of Canada announced that Phase 2 of its Client Relationship Model amendments (CRM2) have been approved by the applicable securities regulatory authorities and will come…
  • Jan 23

    CSA issue guidance on structured notes filing

    CSA issue guidance on structured notes filing
    The Canadian Securities Administrators yesterday issued a notice setting out the views of CSA staff concerning the offering of structured notes under the shelf prospectus system. Structured (or linked) notes are specified derivatives…
Rank this Week: 526

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/
  • Jan 22

    Investor Alert - Owen Li crashes Canarsie Capital in New York

    Investor Alert - Owen Li crashes Canarsie Capital in New York
    Owen Li, the manager of Canarsie Capital has apparently lost nearly 100 million dollars in what he calls overzealous investments, which caused devastating losses.Fund managers who invest the funds assets in an inappropriate manner are liable…
  • Jan 20

    Failing to Reporting Customer Complaint

    Failing to Reporting Customer Complaint
    FINRA rules require firms, and brokers, to report certain customer complaints on the broker's Form U-4 within 30 days of receipt of the complaint. FINRA's requirements for complaint reporting are extremely broad, and quite frankly, unfair.…
  • Jan 16

    Swiss Franc Decision Leads to Massive Forex Losse

    Swiss Franc Decision Leads to Massive Forex Losse
    On January 15, 2015, the Swiss National Bank unexpectedly ended its three-year policy of maintaining a Swiss franc that was weaker than 1.20 euro. The effect of this decision on currency pairs containing either the Swiss Franc or the…
Rank this Week: 553

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/
  • Jan 22

    M&A Retention Plans: Market Trends & Best Practice

    M&A Retention Plans: Market Trends & Best Practice
    Here’s an excerpt from this recent Towers Watson memo from Scott Oberstaedt and Mary Chico: When we dissected the responses to identify retention plan design features and practices that were most effective in enhancing retention,…
  • Jan 21

    Model Rule Exempting M&A Brokers Proposed by NASAA

    Model Rule Exempting M&A Brokers Proposed by NASAA
    Here’s news from this blog by David Jenson of Stinson Leonard Street: The Broker-Dealer section of the North American Securities Administrators Association (NASAA) has proposed a model uniform state rule (the “Model Rule”)…
  • Jan 20

    League Tables: M&A Lawyer

    League Tables: M&A Lawyer
    Here’s a set of league tables from MergerMarket listing the law firms that most often represent companies in deals, broken out on a global and regional basis…
Rank this Week: 563

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
Rank this Week: 582

William Carleton, Counselor @ Law

William Carleton, Counselor @ Law

Covers legal and investment issues facing emerging tech companies.

http://www.wac6.com/wac6/
  • Nov 16

    ACA Webinar on Accredited Investor Definition and Established Angel Group Certification

    ACA Webinar on Accredited Investor Definition and Established Angel Group Certification
    I've just listened to an archived recording of an excellent webinar presented by the Angel Capital Association last week (I had intended to listen in real time, but got pulled away): ACA Webinar on Accredited Investor Definition and…
  • Nov 4

    A Sestina About Copyright

    A Sestina About Copyright
    Sestinas are all about copyright!
  • Oct 26

    Alan Bennett's anthology of six English poet

    Alan Bennett's anthology of six English poet
    Thanks to a London nephew, I'm reading Six Poets: Hardy to Larkin, an anthology of poems by Hardy, Housman, Betjeman, Auden, MacNeice and Larkin, chosen by the English playwright Alan Bennett, with commentary by Bennett between each presented…
Rank this Week: 586

Ponzitracker

Ponzitracker

Covers Ponzi schemes. By Jordan Maglich.

http://www.ponzitracker.com/
  • Aug 21

    Ponzi Schemes Remain Prevalent In 2014; Over $1 Billion In New Schemes Uncovered

    Ponzi Schemes Remain Prevalent In 2014; Over $1 Billion In New Schemes Uncovered
    Nearly six years after the word "Ponzi scheme" became a household name thanks to Bernard Madoff, Ponzi schemes continue to proliferate and leave a trail of financial destruction in their wake as demonstrated by newly-compiled data showing…
  • Aug 20

    Former Attorney Gets 10-Year Sentence For $4 Million Ponzi Scheme

    Former Attorney Gets 10-Year Sentence For $4 Million Ponzi Scheme
    A now-disbarred Minnesota attorney who swindled victims out of more than $4 million in an elaborate Ponzi scheme was sentenced to serve 10 years in federal prison.  Mark Holt, 45, received the sentence from U.S. District Judge Susan…
  • Aug 20

    California Men Sentenced For $5 Million Real Estate Ponzi Scheme

    California Men Sentenced For $5 Million Real Estate Ponzi Scheme
    Two California men will each serve at least a decade in prison for operating a real estate Ponzi scheme that duped victims out of nearly $5 million.  Terrance Brown, of San Jose, California, and Antranik Kabajouzian, of Morgan City,…
Rank this Week: 580

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/
  • Jan 20

    Comment by Feb. 16 on proposed uniform state model rule for M&A broker

    Comment by Feb. 16 on proposed uniform state model rule for M&A broker
    The Broker-Dealer Section of the North American Securities Administrators Association is seeking comments no later than Feb. 16, 2015, on a proposed uniform state model rule exempting certain merger and acquisition brokers from registration…
  • Dec 29

    Bill governing M&A brokers should resurface in 2015

    Bill governing M&A brokers should resurface in 2015
    During 2014, Congress has gained momentum toward creating an exemption from federal broker-dealer registration for “M&A brokers” who facilitate mergers, acquisitions, sales and similar transactions involving privately held…
  • Dec 3

    A compliance problem truly “Made in the USA”

    A compliance problem truly “Made in the USA”
    Following the expiration of a public comment period last week, the ink is now dry on the Federal Trade Commission’s consent decree against Made in USA Brand, LLC, settling charges that the Columbus, Ohio-based company sold its…
Rank this Week: 657

InvestorLawyers.net

InvestorLawyers.net

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

http://www.investorlawyers.net/blog/
Rank this Week: 677

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/
  • 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…
  • Aug 4

    Why Nu Skin Must Come Clean on Troubling Inventory Red Flag

    Why Nu Skin Must Come Clean on Troubling Inventory Red Flag
    Co-authored by Sam E. Antar and Zachary PrenskyThis coming Wednesday morning, Utah based multi-level marketing company Nu Skin Enterprises (NYSE: NUS) is scheduled to report its second quarter earnings. In its Q1 2014 10-Q report issued in…
  • Jul 22

    Do Nu Skin Inventory Red Flags Spell Trouble Ahead?

    Do Nu Skin Inventory Red Flags Spell Trouble Ahead?
    Last Friday morning, a comment posted on Twitter by Marc Cohodes about Nu Skin Enterprises (NYSE: NUS), a Utah based multi-level marketing company, caught my curiosity. Cohodes is a legendary short-seller with an excellent track record and…
Rank this Week: 790

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: 800

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/
  • Jan 23

    A Couple Of Things To Know Before Bringing A Piercing The Corporate Veil Claim

    A Couple Of Things To Know Before Bringing A Piercing The Corporate Veil Claim
    You might remember the case of  Cold Springs Ventures, LLC v. Gilead Sciences, Inc..  Last year, Judge Jolly stayed an arbitration proceeding pending a ruling on a piercing the corporate veil claim.  If you are a reader of this…
  • Jan 16

    Reading Before Signing Is Advisable

    Reading Before Signing Is Advisable
    It's pretty basic that your clients should read the agreements that they sign before they sign them.  Or you should at least explain to your client the key provisions in what they are going to sign, if they are not going to read it. In…
  • Jan 6

    Do You Have To Be The Owner Of A Trade Secret To Sue For Misappropriation?

    Do You Have To Be The Owner Of A Trade Secret To Sue For Misappropriation?
    Can an exclusive licensee of a trade secret sue for its misappropriation?  Maybe, even though North Carolina's version of the Uniform Trade Secrets Protection Act reserves the right to sue to an "owner."  N.C. Gen. Stat.…
Rank this Week: 858

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: 857

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: 904

Recover Investment Losses Blog

Recover Investment Losses Blog

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

http://blog.rexsecuritieslaw.com
  • Jan 22

    FINRA Arbitration Panel Awards $271K to Investor-Norfolk, Va.

    FINRA Arbitration Panel Awards $271K to Investor-Norfolk, Va.
    January 16, 2015- Norfolk, Virginia A FINRA arbitration panel has ordered Anderson & Strudwick  to pay a client over $271,000, plus interest and costs after a  hearing to resolve claims that Anderson &…
  • Jan 22

    Fifth Third Securities Ordered to Pay Elderly Customer For Losses on Unsuitable Investment

    Fifth Third Securities Ordered to Pay Elderly Customer For Losses on Unsuitable Investment
    January 16, 2015- Columbus, Ohio A FINRA arbitration panel has ordered Fifth Third Securities and broker Vasumati Amin to pay an elderly client $85,000, plus interest and costs after a  hearing to resolve claims that Fifth Third and Amin…
  • Jan 22

    Losses on Oil and Gas Investments ? They May Be Recoverable

    Losses on Oil and Gas Investments ? They May Be Recoverable
    January 22, 2015 Crude closed below $50 today and natural gas below $3/ mcf. After five years of touting the fact that the U.S. has become energy independent, market forces led by OPEC and Saudi Arabia have chosen to remind us that until…
Rank this Week: 1002

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

http://www.hedgefundlawblog.com
  • Jan 5

    Cole-Frieman & Mallon LLP 2014 Fourth Quarter Update

    Cole-Frieman & Mallon LLP 2014 Fourth Quarter Update
    www.colefrieman.com December 29, 2014 Clients, Friends, Associates: December is the busiest month of the year for most private fund managers. In addition to end of year administrative upkeep, the regulatory landscape has shifted dramatically…
  • Dec 4

    Hedge Fund Events December 2014

    Hedge Fund Events December 2014
    The following are various hedge fund events happening this month. Please email us if you would like us to add your event to this list. **** Date: December 3, 2014 Sponsor: Morgan Stanley Event: Dive into New Portfolio Strategies Location: New…
  • Nov 11

    3rd Annual Alternative Investments Summit – November 20th

    3rd Annual Alternative Investments Summit – November 20th
    Please see below information on the Seattle Investment Association event on November 20th. **** The Seattle Alternative Investment Association, together with the CFA Society of Seattle, invites you to join us on November 20th, 2014 for the…
Rank this Week: 1070

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
  • Jan 20

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
    Chinese Pharma Private Securities TransactionsAs the economy recovers from the Great Recession, a number of regulatory violations that had been somewhat dormant for the past few years are once again showing up on the radar screen. With…
  • Jan 20

    Chinese Pharma Private Securities Transaction

    Chinese Pharma Private Securities Transaction
    As the economy recovers from the Great Recession, a number of regulatory violations that had been somewhat dormant for the past few years are once again showing up on the radar screen. With increasing number of deals, we're also…
  • Jan 20

    The Butcher, Baker, Candlestick Maker and Wall Street CPA

    The Butcher, Baker, Candlestick Maker and Wall Street CPA
    Ya got your butcher, your baker, your candlestick maker. Ya also got your attorney, accountant, and federal contractor -- and, while you're at it, let's toss in a stockbroker. What the hell do the three characters in a nursery rhyme have to…
Rank this Week: 1135

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • Jan 21

    What Is Big Brother Focused On In 2015

    What Is Big Brother Focused On In 2015
    It is that time of year again.  The SEC Office of Compliance and Inspection (OCIE) has announced its examination priorities for 2015.  Knowing what these priorities are will help firms gauge their compliance and supervision efforts…
  • Jan 20

    Why You Need To Think Twice About That New Hire

    Why You Need To Think Twice About That New Hire
    Starting July 1, member firms are required to have written procedures to verify the accuracy and completeness of the information in a registered representative’s U-4 within 30 days of the U-4 being filed with FINRA.  The question…
  • Dec 23

    Whistleblower Tips Continue to Rise in 2014

    Whistleblower Tips Continue to Rise in 2014
    The number of whistleblower tips to the Securities and Exchange Commission (SEC) continues to rise, according to the SEC’s 2014 Annual Report to Congress on the Dodd-Frank Whistleblower Program.  In the November 17, 2014 report,…
Rank this Week: 1323

Tim O'Connor's Blog

Tim O'Connor's Blog

Covers stockbroker fraud.

http://stockbrokerlaw.com/tim-oconnors-blog
  • Aug 12

    ERISA Plan Trustees Subject to Offsets for Prohibited Transactions as Functional Fiduciarie

    ERISA Plan Trustees Subject to Offsets for Prohibited Transactions as Functional Fiduciarie
    ERISA-Qualified Pension Plans The past decade has seen an explosion of new investment products being purchased in ERISA-qualified pension plans. These products, including structured products, auction rate notes, private placements, managed…
  • Jul 31

    Tenants-in-Common Investments: An Accident Waiting to Happen

    Tenants-in-Common Investments: An Accident Waiting to Happen
    The most common form of tenancy-in-common interests involves ownership interests in real property, with two or more persons possessing undivided interests in the property. Section 1031 of the Internal Revenue Code codified permissible…
  • Jul 21

    New York State Deferred Compensation Plan Beneficiary Designation

    New York State Deferred Compensation Plan Beneficiary Designation
    The New York State Deferred Compensation Plan is presently administered through Nationwide, and curiously, beneficiary designation forms must be mailed to an address in Ohio, not New York State. The New York State Deferred Compensation Plan…
Rank this Week: 1241

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: 1258

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/
  • 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...
  • Dec 9

    SEC Sanctions Audit Firm

    SEC Sanctions Audit Firm
    The SEC announced settled administrative proceedings against eight audit firms for alleged violations of the auditor independence rules in connection with audits of broker-dealers. According to the SEC's press release, in agreeing to settle…
Rank this Week: 1404

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: 1470

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: 1465

Business Law Post

Business Law Post

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

http://www.businesslawpost.com
  • Jan 19

    How to Comply with New York Blue Sky Laws?

    How to Comply with New York Blue Sky Laws?
    As I previously explained here, Rule 506 private placements involve the filing of a Form D with the SEC as well as complying with blue sky notice filings requirements in each state where the investors participating in the offering reside.…
  • Jan 19

    The SEC Increases Focus On Digital Currencie

    The SEC Increases Focus On Digital Currencie
    It is clear that the SEC has been focusing on securities fraud involving digital currencies.  In July 2013, the SEC charged Trendon T. Shavers, the founder and operator of Bitcoin Savings and Trust, with defrauding investors in a…
  • Dec 26

    Blue Sky Filings Made Easy?

    Blue Sky Filings Made Easy?
    One of the reasons that explains why Rule 506 offerings have been so popular as a means of conducting a private placement is because they are exempt from state regulation.  In 1996, the National Securities Markets Improvement Act…
Rank this Week: 1760

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • Jan 7

    Arbitration's Cancer – The Systemic Bias Created by the Co-existence of Paid Arbitrators, Arbitrator Strikes, and Award Historie

    Arbitration's Cancer – The Systemic Bias Created by the Co-existence of Paid Arbitrators, Arbitrator Strikes, and Award Historie
    One of the cornerstones of the rules of judicial ethics is that bias is to be avoided or ferreted out.  The intolerance for bias in our judiciary is not limited to overt bias.  Indeed, it has been said: “because bias is so…
  • Dec 16

    Are You Stuck in a REIT?

    Are You Stuck in a REIT?
    Realty Capital Securities, LLC (RCS) is a Boston-based unit of American Realty Capital (ARC).  According to its website, ARC is a “full service investment advisory firm sponsoring a series of investment programs with an emphasis on…
  • Nov 30

    What Will be on the SEC’s 2015 Exam Priorities for Investment Advisers?

    What Will be on the SEC’s 2015 Exam Priorities for Investment Advisers?
    Each January, The SEC’s National Exam Program (“NEP”) issues examination priorities for the year ahead.  The priorities are based upon the SEC’s evaluation of those areas in the financial markets that it believes…
Rank this Week: 1677

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: 1684

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: 1741

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: 1724