Most Popular Securities Law Blawgs Expanded View List View

Blogs 1 - 45 of 82
Sorted by Popularity | Sort by Name | Sort by Last Post Date
Today | This Week | This Month | All Time |

Securities Lawyer 101

Securities Lawyer 101

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

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

    Corporate Hijackings 101 l Securities Lawyer 101 Blog

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

    Going Public Blog l Securities Lawyer 101

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

    Going Public Blog l Securities Lawyer 101

    Going Public Blog l Securities Lawyer 101
    Going Public Lawyer  Securities Lawyer 101 Blog Going public is a big step for any company.  The process of “going public” is complex and at times precarious.  While going public offers many benefits it also comes…
Rank this Week: 44

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: 62

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
  • Mar 25

    Former UBS Broker Pleads Guilty to $1 Million Securities Fraud

    Former UBS Broker Pleads Guilty to $1 Million Securities Fraud
    From the Desk of Jim Eccleston at Eccleston Law LLC:Khawaja Saud Masud, a former UBS broker from New Jersey pled guilty for stealing over $1 million from a retired pediatrician and his wife by fraudulently soliciting them to invest in his…
  • Mar 19

    California Based RIA Charged in Ponzi Scheme

    California Based RIA Charged in Ponzi Scheme
    From the Desk of Jim Eccleston at Eccleston Law LLC:The SEC has barred a California-based RIA from the industry after the firm was charged with misleading investors - including falsely claiming that its fund was “SEC…
  • Mar 18

    Former Morgan Stanley Advisor Sued for Breaching Protocol

    Former Morgan Stanley Advisor Sued for Breaching Protocol
    From the Desk of Jim Eccleston at Eccleston Law LLC:A former advisor and his sales assistant have been sued by Morgan Stanley for allegedly altering client records before they transferred customer accounts to Ameriprise Financial.John…
Rank this Week: 138

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/
Rank this Week: 150

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

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

    NYC Comptroller Urges Fiduciary Transparency Law

    NYC Comptroller Urges Fiduciary Transparency Law
    [This story previously appeared in Securities Regulation Daily.]By Mark S. Nelson, J.D.New York City Comptroller Scott M. Stringer announced his plans to ask state legislators to enact a law that would help consumers to better grasp the…
  • Mar 25

    Bad-Actor Bill Would Mitigate ‘Too-Big-to-Bar’

    Bad-Actor Bill Would Mitigate ‘Too-Big-to-Bar’
    [This story previously appeared in Securities Regulation Daily.]By Anne Sherry, J.D.Representative Maxine Waters (D-Cal) has released draft legislation that would require the SEC to overhaul its process for waiving bad-actor…
  • Mar 24

    Shareholder Support for Directors and Pay Plans Fell in 2014

    Shareholder Support for Directors and Pay Plans Fell in 2014
    [This story previously appeared in Securities Regulation Daily.]By Matthew Garza, J.D.Investor communication firm Broadridge Financial Solutions and PricewaterhouseCoopers have released an analysis of the 2014 proxy…
Rank this Week: 222

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
Rank this Week: 262

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/
  • Mar 25

    Recovery of TIER REIT

    Recovery of TIER REIT
    Have you suffered investment losses in TIER REIT ? If so, the securities attorneys of The White Law Group may be able to help you recover your losses by filing a FINRA Dispute Resolution claim against the brokerage firm that sold you the…
  • Mar 25

    Recovery of KBS Real Estate Investment Trust

    Recovery of KBS Real Estate Investment Trust
    Have you suffered investment losses in KBS Real Estate Investment Trust ? If so, the securities attorneys of The White Law Group may be able to help you recover your losses by filing a FINRA Dispute Resolution claim against the brokerage firm…
  • Mar 25

    Inland American Real Estate Investment Recovery

    Inland American Real Estate Investment Recovery
    Have you suffered investment losses in Inland American Real Estate ? If so, the securities attorneys of The White Law Group may be able to help you recover your losses by filing a FINRA Dispute Resolution claim against the brokerage firm that…
Rank this Week: 306

Sharesleuth.com

Sharesleuth.com

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

http://sharesleuth.com/
  • Feb 4

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

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

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

    Kandi Technologies Group Inc.: Where are the Go-Karts?
    When the global economy collapsed in the fall of 2008, the sharp drop in consumer spending threw the power sports industry into a steep decline. Sales of motorcycles, go-karts and all-terrain vehicles each plunged by 30 percent or more,…
  • Oct 7

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

    Kandi Technologies Group Inc.: The return of the cyber shill
    Last June, shares of Kandi Technologies Group Inc. (Nasdaq: KNDI) doubled in the space of a week, spurred on by a mysterious network of social-media touters who later deleted their posts or shut down their accounts…
Rank this Week: 308

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: 302

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: 322

Representing Investors

Representing Investors

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

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

    Massachusetts Fines $2.5M for Supervision Violations to Merrill Lynch

    Massachusetts Fines $2.5M for Supervision Violations to Merrill Lynch
    William Galvin, Secretary of the Commonwealth of Massachusetts has fined Merrill Lynch $2.5 million for supervisory violations in association with a training presentation in 2013. The fine order states that the presentation specifically…
  • Mar 23

    Miguel Mattei Zapata Hit with $500K Clawback, $6M in Client Complaint

    Miguel Mattei Zapata Hit with $500K Clawback, $6M in Client Complaint
    A former UBS and Wells Fargo advisor, Zapata has been ordered by FINRA to reimburse $500,000 to his ex-employer Wells Fargo for failure to pay back a promissory note, and will be answering to seven client complaints that allege more than $6…
  • Mar 18

    FINRA Unveiled a Redesigned Website

    FINRA Unveiled a Redesigned Website
    FINRA just unveiled a redesigned website today for arbitration and mediation. It is much more user friendly, checkout the new webpage here: http://www.finra.org/arbitration-and-mediation   The post FINRA Unveiled a Redesigned Website…
Rank this Week: 335

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/
  • Mar 26

    Did The Judge’s Ruling Truly Decimate The Defendant’s Contention?

    Did The Judge’s Ruling Truly Decimate The Defendant’s Contention?
    Yesterday’s post concerned Justice M. Kathleen Butz’ recent holding in Yee v. Am. Nat’l Ins. Co., 2015 Cal. App. LEXIS 257 (Cal. Ct. App. 2015).  The case involved the California Controller’s attempt to examine…
  • Mar 25

    Controller Must Still “Look To Find A Reason To Believe”

    Controller Must Still “Look To Find A Reason To Believe”
    Last month, I wrote about reports that the SEC is seeking years of employment agreements, nondisclosure agreements and other documents in an effort to ferret out possible restraints on whistleblowers.  See Is Anything…
  • Mar 24

    Should The SEC Adopt Governance Principles (For Itself)?

    Should The SEC Adopt Governance Principles (For Itself)?
    When I served as Commissioner of Corporations for the State of California, I was sometimes asked about the other Commissioners.  However, I never concerned myself with the “other Commissioners” because there were no other…
Rank this Week: 346

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: 351

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Mar 26

    SEC Adopts Reg A+

    SEC Adopts Reg A+
    Yesterday, the SEC adopted rules and forms under Section 3(b) of the Securities Act – known as “Reg A+” – as required by Section 401 of the JOBS Act. The 453-page adopting release was posted last night (so no law firm…
  • Mar 25

    SCOTUS’ Omnicare: Pleading Standard for Section 11 Clarified

    SCOTUS’ Omnicare: Pleading Standard for Section 11 Clarified
    We’ll be posting the oodles of memos on yesterday’s Omnicare decision by the Supreme Court in our “Securities Litigation” Practice Area. Here’s a recap from this Proskauer memo (& see this Cooley blog): The…
  • Mar 24

    Analyst Research: Comparison of FINRA’s Proposed Equity & Debt Rule

    Analyst Research: Comparison of FINRA’s Proposed Equity & Debt Rule
    This MoFo blog by Nilene Evans & Stephanie Uhrig is useful: In November 2014, and further amended in February 2015, FINRA announced a comprehensive revision of the equity research rule currently numbered as NASD Rule 2711 and proposed a…
Rank this Week: 454

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: 591

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/
Rank this Week: 618

Recover Investment Losses Blog

Recover Investment Losses Blog

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

http://blog.rexsecuritieslaw.com
  • Mar 25

    Dallas Based Worth Financial Group Sanctioned by Securities Regulator

    Dallas Based Worth Financial Group Sanctioned by Securities Regulator
    January 9, 2015 Worth Financial Group  entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  it failed to establish…
  • Mar 25

    Buckman, Buckman & Reid Sanctioned by Securities Regulator

    Buckman, Buckman & Reid Sanctioned by Securities Regulator
    January 26, 2015- Buckman, Buckman & Reid and John Buckman, its chairman and CEO ,  entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to…
  • Mar 25

    New Jersey Stockbroker/Professional Poker Player Indicted

    New Jersey Stockbroker/Professional Poker Player Indicted
    March 24, 2015-Trenton, New Jersey NJ.Com reports that Evan Kochav, 33, of Jersey City has been indicted and charged with stealing over $561K from clients of his investment firm and then spending the money on poker and personal expenses.…
Rank this Week: 650

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/
  • Mar 25

    FINRA adopts rule to permit sharing of transaction based compensation to unregistered person

    FINRA adopts rule to permit sharing of transaction based compensation to unregistered person
    The Securities and Exchange Commission (SEC) has approved the Financial Industry Regulatory Authority’s FINRA Rule 2040, which will permit the payment of compensation, fees, concessions, discounts, commissions or other allowances to…
  • Mar 19

    FCPA officials point to dollars-and-cents benefits to self-disclosure and cooperation

    FCPA officials point to dollars-and-cents benefits to self-disclosure and cooperation
    High ranking officials in the Department of Justice (DOJ) and Securities and Exchange Commission (SEC) said on March 12 that companies that fail to self-report overseas bribes will face tougher Foreign Criminal Practices Act (FCPA)…
  • Feb 9

    Once again, House takes up bill governing M&A broker

    Once again, House takes up bill governing M&A broker
    HR 686, The Small Business Mergers, Acquisitions, Sales & Brokerage Simplification Act, was introduced in the U.S. House of Representatives on Feb. 3, 2015. This bill is identical to HR 2274, which was passed unanimously in the U.S. House…
Rank this Week: 653

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/
  • Mar 19

    Corporate Insiders Individually Charged for Failing to Update SEC Filing

    Corporate Insiders Individually Charged for Failing to Update SEC Filing
    While we all understand that registered individuals rely on their firms to update their required filings, so do corporate officers and shareholders. The problem is that the individuals are still personally responsible for the updates - and…
  • Mar 16

    SEC News - FCPA Violations, Trade Suspensions, Whistleblower Award

    SEC News - FCPA Violations, Trade Suspensions, Whistleblower Award
    Goodyear Charged With FCPA ViolationsGoodyear Tire & Rubber Company has been charged with violating the Foreign Corrupt Practices Act (FCPA) when its subsidiaries paid bribes to land tire sales in Kenya and Angola.SEC Halts Ponzi-Like…
  • Mar 9

    Morgan Stanley breach probe shifts to hacker from fired employee

    Morgan Stanley breach probe shifts to hacker from fired employee
    U.S. authorities are investigating whether a hacker is behind the online publication of a cache of Morgan Stanley's client data and not the financial adviser who was fired in connection with the breach, according to CNN and The Wall Street…
Rank this Week: 646

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: 633

Florida Securities Fraud Lawyer…

Florida Securities Fraud Lawyer Blog

Covers securities fraud, investor fraud and Ponzi schemes. By McCabe Rabin, P.A.

http://www.floridasecuritiesfraudlawyerblog.com/
  • Feb 16

    Securities Clawback Actions May be Subject to Arbitration Clause

    Securities Clawback Actions May be Subject to Arbitration Clause
    The United States Court of Appeals for the Eleventh Circuit recently held that “clawback actions brought by court-appointed receivers are not categorically exempt from the Federal Arbitration Act.”  Wiand v. Schneiderman,…
  • Feb 6

    Standard & Poor’s to Pay $1.375 Billion to Settle Lawsuit

    Standard & Poor’s to Pay $1.375 Billion to Settle Lawsuit
    According to the Department of Justice, rating agency Standard & Poor’s Financial Services, LLC (“S&P) and its parent company McGraw Hill Financial, Inc. have agreed to settle multiple lawsuits brought by the federal…
  • Dec 5

    FINRA Increases Arbitrator Pay- Passes Costs to Partie

    FINRA Increases Arbitrator Pay- Passes Costs to Partie
    According to Regulatory Notice 14-49 (“RN 14-49”) issued by the Financial Industry Regulatory Authority (“FINRA”), FINRA is increasing the pay for arbitrators assigned to hear FINRA cases and passing the costs of the…
Rank this Week: 640

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • Mar 25

    How to avoid being sued 2.0

    How to avoid being sued 2.0
    Over the years that I have defended financial advisors and their firms, I have frequently spoken and written about ways to avoid the risk of being sued. I prepared a guidebook a couple of years ago that detailed some common sense approaches…
  • Mar 24

    Cybersecurity: FINRA’s Take

    Cybersecurity: FINRA’s Take
    We recently highlighted the Security and Exchange Commission’s 2014 OCIE Cybersecurity Initiative.  Not to be outdone, FINRA also released its Report on Cybersecurity Practices, which provided a much more in-depth report on…
  • Mar 20

    New Look For FINRA.org

    New Look For FINRA.org
    Earlier this week, FINRA launched its redesigned website FINRA.org.  The website boasts a cleaner and more intuitive design, making information easier to find and read for users.  Streamlined navigation also allows users to more…
Rank this Week: 661

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/
  • Mar 23

    If You Are Proceeding Pro Se In The Business Court It Is Best Not To Be Defiant

    If You Are Proceeding Pro Se In The Business Court It Is Best Not To Be Defiant
    It's probably never a good idea to proceed without a lawyer in any Court, but if you are a non-lawyer and insist on proceeding pro se in the Business Court, don't be defiant and obnoxious.  You will not like the result. Two of the…
  • Mar 5

    There Is A Difference Between "Inducing" Something and "Causing" Something

    There Is A Difference Between "Inducing" Something and "Causing" Something
    If you asked me to list my favorite torts, tortious interference with prospective economic advantage would be near the bottom of the list. But that tort was front and center in Judge McGuire's Opinion in KRG New Hill Place, LLC v. Springs…
  • Mar 3

    Stop Asking The Business Court To Overrule An Order Of Another Business Court Judge

    Stop Asking The Business Court To Overrule An Order Of Another Business Court Judge
    I don't know why lawyers keep trying to get Business Court Judges to overrule decisions by one of their predecessors.  It is just not going to happen, as illustrated (yet again) by Judge Bledsoe's decision in County of Catawba v. Frye…
Rank this Week: 819

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: 815

William Carleton, Counselor @ Law

William Carleton, Counselor @ Law

Covers legal and investment issues facing emerging tech companies.

http://www.wac6.com/wac6/
  • Feb 20

    First Cherry Blossom

    First Cherry Blossom
    Wet and temperate in Seattle this morning. And look, Spring!
  • Feb 9

    Lark & Environ

    Lark & Environ
    Interesting stuff going on at, let's call it 10th and Seneca, about a half block east of Broadway off Madison. Lark has recently moved there, and, based on one dinner experience at the new location, is as good or better...
  • Jan 25

    One Thousand Things Worth Knowing

    One Thousand Things Worth Knowing
    This weekend I've read Paul Muldoon's newly published collection of poems, "One Thousand Things Worth Knowing." (The dust jacket sports a very pleasing design by the ubiquitous Quemadura, a brilliant designer and a kind man I will…
Rank this Week: 838

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Mar 25

    MLP Fund MainStay Cushing Royalty Energy Hurt by Failing Oil & Gas Price

    MLP Fund MainStay Cushing Royalty Energy Hurt by Failing Oil & Gas Price
    The attorneys at Gana LLP have been following the collapse of the MainStay Cushing Royalty Energy Income Fund (CURAX), (CURNX), (CURCX), and (CURZX). The fund describes its investment strategy as investing primarily in securities of…
  • Mar 24

    FINRA Bars Former Ameriprise Broker Ted Cadwallader Concerning Private Securitie

    FINRA Bars Former Ameriprise Broker Ted Cadwallader Concerning Private Securitie
    The Financial Industry Regulatory Authority (FINRA) sanctioned and barred broker Ted Cadwallader (Cadwallader) concerning allegations that Cadwallader engage in outside business activities including the sales of private securities. When…
  • Mar 23

    FINRA Files Complaint Against Broker Darnell Deans Over Undisclosed Tax Lien

    FINRA Files Complaint Against Broker Darnell Deans Over Undisclosed Tax Lien
    The Financial Industry Regulatory Authority (FINRA) has filed a complaint against broker Darnell Deans (Deans) concerning allegations that while associated with Garden State Securities, Inc. (GSS), Deans willfully failed to amend his Form U4…
Rank this Week: 869

Business Blog

Business Blog

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

http://www.businesslawnews.com/
  • Mar 26

    Even Company Officers Can Blow the Whistle on Securities Fraud

    Even Company Officers Can Blow the Whistle on Securities Fraud
    Highlighting that anyone can become a whistleblower on securities fraud under the right circumstances, the Securities and Exchange Commission (SEC) recently announced that it plans to award between $475,000 and $575,000 to a former company…
  • Mar 25

    Corporate Directors Struggling to Address Moving Target

    Corporate Directors Struggling to Address Moving Target
    Ever wonder what keeps corporate directors awake at night? NYSE Governance Services recently released its annual What Directors Think Survey, which sheds light on the challenges facing the boardroom as well as what corporate directors are…
  • Mar 24

    Foreign Real Estate Investors Flocking to the United State

    Foreign Real Estate Investors Flocking to the United State
    The United States has regained its ranking as the world’s largest real estate investment market, according to Cushman & Wakefield’s annual global capital markets report International Investment Atlas. Globally, real estate…
Rank this Week: 1001

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
Rank this Week: 1006

Ponzitracker

Ponzitracker

Covers Ponzi schemes. By Jordan Maglich.

http://www.ponzitracker.com/
  • Jan 27

    SEC Charges Wisconsin Man With $10.4 Million Ponzi Scheme

    SEC Charges Wisconsin Man With $10.4 Million Ponzi Scheme
    A Wisconsin man was charged by the Securities and Exchange Commission with operating a Ponzi scheme that took in more than $10 million from at least 122 investors.  Loren Holzhueter, 69, was the subject of an emergency enforcement action…
  • Jan 26

    Ohio CPA Gets 21 Years For Role In $40 Million Ponzi Scheme

    Ohio CPA Gets 21 Years For Role In $40 Million Ponzi Scheme
    An Ohio man was sentenced to serve twenty-one years in federal prison for his role in funnelling investors to the massive "Black Diamond" Ponzi scheme that ultimately duped over 400 investors out of at least $40 million.  Jonathan…
  • Jan 26

    California Men Plead Guilty To $100 Million ATM Ponzi Scheme

    California Men Plead Guilty To $100 Million ATM Ponzi Scheme
    Two California men have entered guilty pleas to operating a massive Ponzi scheme that allegedly caused losses of over $100 million to victims who thought they were investing in a profitable ATM leasing operation.  Joel Barry Gillis, 74,…
Rank this Week: 995

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: 1026

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/
  • Feb 5

    Crook vs. Crook: Why Former Congressman Michael Grimm is a Dumb Crook

    Crook vs. Crook: Why Former Congressman Michael Grimm is a Dumb Crook
    In my first segment of a series of Op-ed articles about white-collar crime on CNBC, I examine the case of former Republican Congressman Michael Grimm who recently pleaded guilty to income tax evasion and awaits sentencing on June 8, 2015.New…
  • Sep 8

    Nu Skin Inventory Red Flags Remain Even After $50 Million Impairment Charge

    Nu Skin Inventory Red Flags Remain Even After $50 Million Impairment Charge
    On July 22, 2014, I warned investors that Utah-based multi-level marketing company Nu Skin Enterprises' (NYSE: NUS) surging inventory levels might lead it "to recognize a material impairment charge against inventory in a future period." On…
  • 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…
Rank this Week: 1217

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: 1152

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
  • Mar 23

    optionsXpress Out Of Email Option

    optionsXpress Out Of Email Option
    Wall Street is supposed to be protected by smoke detectors in the form of endless amounts of rules and regulations, massive volumes of written supervisory procedures, and a legion of regulators and in-house compliance staff.  Of…
  • Mar 23

    BREAKING NEWS: Supreme Court Vacates And Remands Young v. UPS

    BREAKING NEWS: Supreme Court Vacates And Remands Young v. UPS
    In 2006, after suffering several miscarriages, UPS driver Peggy Young became pregnant; and, in consideration of her prior pregnancies, her doctor instructed her to not lift over 20 pounds during the first 20 weeks of her pregnancy (and,…
  • Mar 19

    Some Men The SEC Just Can't Reach

    Some Men The SEC Just Can't Reach
    In the great 1967 film "Cool Hand Luke," we get that iconic line about "What we've got here is failure to communicate."  The scene involves the beat-down of a prisoner, played by Paul Newman, by a prison Captain, played by Strother…
Rank this Week: 1329

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

http://www.seclawyersblog.com/
Rank this Week: 1307

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: 1262

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: 1278

InvestorLawyers.net

InvestorLawyers.net

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

http://www.investorlawyers.net/blog/
Rank this Week: 1452

Stock Broker Attorney Blog

Stock Broker Attorney Blog

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

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

    Man Sentence to 18-Months for Investment Scam

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

    SEC Charges Unlicensed Man with Scamming Investor

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

    Broker Barred from Practice for Stealing from Elderly

    Broker Barred from Practice for Stealing from Elderly
    Jeffrey McClure, a former employee of Wells Fargo Advisors and an affiliated bank in California, was recently barred from the securities industry after stealing almost $89,000 from an elderly customer. Between December 2012 and August 2014,…
Rank this Week: 1478

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: 1394

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/
  • Mar 20

    Stikeman Elliott LLP advises on the first Canadian SPAC IPO

    Stikeman Elliott LLP advises on the first Canadian SPAC IPO
    Simon Romano - Stikeman Elliott LLP has the distinction of acting as legal adviser to the first ever IPO of a Canadian SPAC to date. A Special Purpose Acquisition Corporation (a SPAC) is a publicly-traded shell company that has as its…
  • Mar 20

    IIROC releases summary of exemptive relief granted in 2014

    IIROC releases summary of exemptive relief granted in 2014
    Earlier this week, IIROC released a summary of the 600+ exemptions from the Dealer Member and Universal Market Integrity Rules it granted during 2014.  While most of the exemptive relief was granted to individuals in respect of…
  • Mar 20

    Joint regulators' report updates OBSI dispute resolution activities for registrant

    Joint regulators' report updates OBSI dispute resolution activities for registrant
    The Canadian Securities Administrators (other than Quebec), IIROC and the MFDA yesterday released the first annual report of OBSI's Joint Regulators Committee, which highlights the committee's major activities for 2014. As we…
Rank this Week: 1547

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: 1492

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: 1534

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Mar 25

    Omnicare Decided

    Omnicare Decided
    The U.S. Supreme Court has issued a decision in the Omnicare case holding that opinions presented in registration statements can be subject to Section 11 liability if either (a) the opinion was not genuinely held, or (b) the registration…
  • Mar 20

    The Streak Is Over

    The Streak Is Over
    Plaintiffs in securities class actions often point to insider trades as evidence that the individual defendants had a pecuniary motive to commit fraud.   But if the plaintiffs do not make any allegations related to insider…
  • Mar 6

    Core Workout

    Core Workout
    The core operations theory, as developed in the Ninth Circuit, holds that it may be possible to infer a strong inference of scienter in situations where the nature of the alleged fraud “is of such prominence that it would be…
Rank this Week: 1669

Securities Fraud Attorney Blog

Securities Fraud Attorney Blog

Covers securities fraud, and other areas of securities law and banking and finance law. By Rich, Intelisano & Katz, LLP.

http://www.securitiesfraudattorneyblog.com/
Rank this Week: 1799

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

http://www.hedgefundlawblog.com
  • Mar 10

    Hedge Fund Events March 2015

    Hedge Fund Events March 2015
    The following are various hedge fund events happening this month.  Please email us if you would like us to add your event to this list. ****l Date: March 2-3, 2015 Sponsor: Information Management Network Event: Alpha Hedge East…
  • Feb 1

    Hedge Fund Events February 2015

    Hedge Fund Events February 2015
    The following are various hedge fund events happening this month.  Please email us if you would like us to add your event to this list. **** Date: February 1, 2015 Sponsor: The Venture Capital and Private Equity Club at Harvard Business…
  • 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…
Rank this Week: 1730