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 |

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: 43

Securities Lawyer 101

Securities Lawyer 101

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

http://www.securitieslawyer101.com/blog/
  • 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…
  • 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: 115

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
  • Sep 1

    Mediocre Performance of Hedge Funds Hidden By Reporting Biase

    Mediocre Performance of Hedge Funds Hidden By Reporting Biase
    From the Desk of Jim Eccleston at Eccleston Law LLC:According to a recent study, the average annualized return for the hedge fund industry since 1996 decreases from 12.6 percent to just 6.3 percent after the biases that hedge funds used to…
  • Aug 28

    Edward Jones Fines $20M for Municipal Bond Overcharge

    Edward Jones Fines $20M for Municipal Bond Overcharge
    From the Desk of Jim Eccleston at Eccleston Law LLC: The SEC has ordered Missouri based brokerage firm Edward Jones to pay $20 million as a fine for overcharging retail customers in new municipal bond sales.According to the SEC, Edward Jones…
  • Aug 27

    Citigroup Affiliates to Pay $180 Million to Settle Hedge Fund Fraud Charge

    Citigroup Affiliates to Pay $180 Million to Settle Hedge Fund Fraud Charge
    From the Desk of Jim Eccleston at Eccleston Law LLC: Two Citigroup affiliates, Citigroup Global Markets Inc. (CGMI) and Citigroup Alternative Investments LLC (CAI), have agreed to pay nearly $180 million to settle charges that they defrauded…
Rank this Week: 131

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: 214

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/
  • Aug 28

    Macey-Dare on English Derivatives Litgation

    Macey-Dare on English Derivatives Litgation
    Rupert Macey-Dare has posted Key Derivatives Cases 2015 on SSRN with the following abstract: The paper considers key derivatives cases in the English courts from 2015, namely: Wani v Royal Bank of Scotland, Dexia v Commune di Prato, Enasarco…
  • Aug 17

    Registration Open for 2015 Central States Law Schools Association Conference

    Registration Open for 2015 Central States Law Schools Association Conference
    Please note the following Conference announcement: Registration is now open for the Central States Law Schools Association 2015 Scholarship Conference, on Friday, October 9 and Saturday, October 10 at The University of Toledo College of Law…
  • Aug 17

    Faculty Opening: University of Iowa College of Law

    Faculty Opening: University of Iowa College of Law
    I received the following notice that may be of interest to some of this blog's readers: THE UNIVERSITY OF IOWA COLLEGE OF LAW anticipates hiring several tenured/tenure track faculty members and clinical faculty members (including a director…
Rank this Week: 309

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: 308

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/
  • Sep 2

    Officers And The Internal Affairs Doctrine

    Officers And The Internal Affairs Doctrine
    My guess is that most attorneys would say that the duty of an officer to the corporation are governed by the law of the state of incorporation under the “internal affairs doctrine”.  As explained by the U.S. Supreme Court,…
  • Sep 1

    Overcoming A Securities Overissue

    Overcoming A Securities Overissue
    I like to remind my colleagues that California has two securities laws. Neither of these laws applies exclusively to corporations or other entities organized under California law.  The Corporate Securities Law of 1968, Cal. Corp.…
  • Aug 31

    In California, A Snail Is Sometimes A Fish And A Goldfish Isn’t

    In California, A Snail Is Sometimes A Fish And A Goldfish Isn’t
    With statutes, it can be dangerous to rely on plain meaning.  Most people, for example, would not consider an amphibian, such as a frog, or a mollusk, such as a snail, to be fish.  However, the California Fish & Game Code…
Rank this Week: 350

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/
  • Aug 29

    Citco Settles Madoff-Related Securities Case With Fairfield Investors for $125M

    Citco Settles Madoff-Related Securities Case With Fairfield Investors for $125M
    Citco Group Ltd. has agreed to pay $125 million to resolve a lawsuit related to the Bernard Madoff Ponzi Scheme. The plaintiffs in the case are investors of Fairfield Greenwich Ltd. Investors in Fairfield’s funds sued Citco Group and…
  • Aug 28

    SEC Charges J.P. Morgan Ex-Investment Bank Analyst and Friends with Insider Trading

    SEC Charges J.P. Morgan Ex-Investment Bank Analyst and Friends with Insider Trading
    The Securities and Exchange Commission is charging ex-J. P. Morgan Securities, LLC (JPMS) bank analyst Ashish Aggarwal with illegally tipping confidential information about firm clients in impending acquisitions and mergers involving…
  • Aug 27

    Beware of UBS Puerto Rico Sending Out Settlement Offer

    Beware of UBS Puerto Rico Sending Out Settlement Offer
    UBS Puerto Rico clients have reported over the last few days the receipt of unsolicited settlement offers from UBS Puerto Rico for losses in customer accounts. The letters, which appear to be dated August 20, 2015 and are from Roberto…
Rank this Week: 372

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/
  • Aug 31

    Recovery United Mortgage Trust Investment Losse

    Recovery United Mortgage Trust Investment Losse
    Have you suffered investment losses in United Mortgage Trust? If so, 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 investment. Real…
  • Aug 31

    TIER REIT Secondary Market Sale

    TIER REIT Secondary Market Sale
    Have you suffered investment losses in TIER REIT? If so, 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 investment. Real Estate…
  • Aug 31

    Lightstone Value Plus REIT Investigation

    Lightstone Value Plus REIT Investigation
    Have you suffered investment losses in Lightstone Value Plus REIT? If so, 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 investment.…
Rank this Week: 378

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: 394

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • Sep 1

    Guest Post: Coverage for Future Injuries: Is Your Cyber Policy Up To The Neiman Marcus Challenge?

    Guest Post: Coverage for Future Injuries: Is Your Cyber Policy Up To The Neiman Marcus Challenge?
    As I discussed in a recent post, on July 20, 2015, the Seventh Circuit issued its opinion in the Neiman Marcus consumer data breach class action lawsuit. In its opinion (a copy of which can be found here), the appellate court ruled that the…
  • Aug 31

    When Data Hacks Lead to D&O Lawsuits, Actual and Threatened

    When Data Hacks Lead to D&O Lawsuits, Actual and Threatened
    Many observers, including even this blog, have speculated whether the rising wave of data breaches and cyber security attacks will result in litigation against the directors and officers of the affected companies. Indeed, in 2014, there were…
  • Aug 30

    A Closer Look at the Massive $148 Million Damages Award Against Dole’ s CEO and General Counsel

    A Closer Look at the Massive $148 Million Damages Award Against Dole’ s CEO and General Counsel
    A frequent theme these days in the world of corporate and securities litigation is the complaint about merger objection litigation – how virtually every deal announced attracts at least one lawsuit, and how all too often the cases are…
Rank this Week: 413

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: 409

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/
  • Aug 25

    How Liquid are Your Bonds?

    How Liquid are Your Bonds?
    Recent turmoil in the financial markets may have you considering whether to sell or ride things out.  If your portfolio contains individual bonds, you should factor in the liquidity of the bonds you hold when making that decision.…
  • Aug 18

    Citigroup Will Pay $180 Million to Settle SEC Case

    Citigroup Will Pay $180 Million to Settle SEC Case
    The Securities and Exchange Commission (“SEC”) announced that Citigroup Global Markets, Inc. (“CGMI”) and Citigroup Alternative Investments LLC (“CAI”) have agreed to settle charges concerning two…
  • Aug 17

    Aegis Fined for Selling Unregistered Penny Stock

    Aegis Fined for Selling Unregistered Penny Stock
    The Financial Industry Regulatory Authority (“FINRA”) announced that is has settled enforcement actions with Aegis Capital Corp. (“Aegis”), two of its chief compliance officers, and its CEO.  Aegis, based in New…
Rank this Week: 426

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Aug 31

    WFP Broker Matthew Francis Deline: Barred by FINRA

    WFP Broker Matthew Francis Deline: Barred by FINRA
    Former WFP Securities broker, Matthew Francis Deline has been permanently barred from associating with any FINRA member firm in any capacity.The securities and fraud law firm Fitapelli Kurta is interested in speaking to investors who have…
  • Aug 31

    Former Omni Brokerage’s Byron Anton Meo has Complaint

    Former Omni Brokerage’s Byron Anton Meo has Complaint
    According to the Financial Industry Regulatory Authority (FINRA), former California-based Resourcive broker Byron Anton Meo is currently not licensed to act as a broker or an investment adviser. The securities and investment fraud law firm…
  • Aug 28

    WFP Broker John Evan Schooler

    WFP Broker John Evan Schooler
    The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Arizona-based First Financial Equity broker/adviser John Evan Schooler (CRD# 2368308). John Evan Schooler has…
Rank this Week: 446

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Sep 2

    FINRA Bars Merrill Lynch Broker Kai Cheng Over Unauthorized Trading Investigation

    FINRA Bars Merrill Lynch Broker Kai Cheng Over Unauthorized Trading Investigation
    The Financial Industry Regulatory Authority (FINRA) barred (Case No. 201303930510) broker Kai Cheng (Cheng) concerning the broker’s failure to respond to requests for information concerning the regulators investigation into claims that…
  • Sep 2

    Customers File Complaints Against National Securities Corporation Broker Michael Fasciglione

    Customers File Complaints Against National Securities Corporation Broker Michael Fasciglione
    According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Michael Fasciglione (Fasciglione) has been the subject of at least 11 customer complaints and two regulatory actions. The customer complaints…
  • Sep 1

    FINRA Sanctions Tyler Powell Over Unauthorized Trade

    FINRA Sanctions Tyler Powell Over Unauthorized Trade
    The Financial Industry Regulatory Authority (FINRA) sanctioned (Case No. 2014040633301) broker Tyler Powell (Powell) concerning allegations that Powell exercised discretion in a customer’s account without obtaining prior written…
Rank this Week: 474

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

http://www.seclawyersblog.com/
  • Sep 2

    Sonn|Erez Investigating Claims Involving Michael J. Howard

    Sonn|Erez Investigating Claims Involving Michael J. Howard
    Sonn|Erez is investigating claims regarding Michael John Howard (CRD #2966446, Frankfort, Illinois). Howard recently submitted an Acceptance, Waiver & Consent ("AWC") in which he was assessed a deferred fine of $15,000 and suspended from…
  • Aug 31

    Sonn|Erez Investigating Claims Involving Justin Amaral

    Sonn|Erez Investigating Claims Involving Justin Amaral
    Sonn|Erez is investigating claims regarding Justin Amaral (CRD #4440980, Boston, Massachusetts). Amaral recently submitted an Acceptance, Waiver & Consent ("AWC") in which he was barred from association with any FINRA member in any…
  • Aug 27

    Sonn|Erez Investigating Claims Involving Former Morgan Stanley Broker Ronald Cohen

    Sonn|Erez Investigating Claims Involving Former Morgan Stanley Broker Ronald Cohen
    Sonn|Erez is investigating claims regarding Ronald Seth Cohen (CRD #2419431, Boca Raton, Florida). Cohen recently submitted an Acceptance, Waiver & Consent ("AWC") in which he was assessed a deferred fine of $10,000 and suspended from…
Rank this Week: 461

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: 526

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Sep 2

    Proxy Access: Imagine No Holding Periods!

    Proxy Access: Imagine No Holding Periods!
    Proxy access is being debated in Canada ahead of a possible proposal (see this memo) – and this excerpt from this article gives a sense of the possible stakes: Proponents of “proxy access” all agree to these conditions or…
  • Sep 1

    Rule 506(c): Updated Stat

    Rule 506(c): Updated Stat
    Recently, someone posted a query in our “Q&A Forum” wondering if there were any updated states on Rule 506(c) placements (Corp Fin Director Keith Higgins had given some preliminary stats in this speech last year). Here are…
  • Aug 31

    Pay Ratio: Media Tries to Sleuth Out Ratios Based on 3rd-Party Data

    Pay Ratio: Media Tries to Sleuth Out Ratios Based on 3rd-Party Data
    I’m wrapping up a comprehensive “pay ratio” chapter for the 2016 edition of our “Executive Compensation Disclosure Treatise” (order your copy now – 1600 pages!) and came across this article by Quartz.…
Rank this Week: 584

Recover Investment Losses Blog

Recover Investment Losses Blog

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

http://blog.rexsecuritieslaw.com
  • Sep 1

    Harrison Schumacher & Quantum Energy Named In SEC Action

    Harrison Schumacher & Quantum Energy Named In SEC Action
    August 27, 2015 The Securities and Exchange Commission (SEC) has alleged that Harrison Schumacher and his two Los Angeles companies, Quantum Energy LLC and Quaneco LLC, raised over $12.3 million from some 300 investors in connection with oil…
  • Sep 1

    SEC Names West Palm Beach Man in Boiler Room Securities Fraud

    SEC Names West Palm Beach Man in Boiler Room Securities Fraud
    August 20, 2015-West Palm Beach, FL Moshe Yehuda Dunoff was charged by the Securities and Exchange Commission (SEC) with participating in a boiler room fraud that raised over $1.5 million from 58 investors in 14 countries. Victims were led to…
  • Sep 1

    Iowa Regulators Name Austin Texas Residents In Oil & Gas Securities Fraud Action

    Iowa Regulators Name Austin Texas Residents In Oil & Gas Securities Fraud Action
    August 28, 2015 Iowa Insurance Commissioner Nick Gerhart issued a cease and desist order to the following Austin, Texas residents: Carson Energy, Inc.                        …
Rank this Week: 660

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/
  • Aug 21

    U.S. Court of Appeals reaffirms April 2014 decision on the conflict minerals rule

    U.S. Court of Appeals reaffirms April 2014 decision on the conflict minerals rule
    We reported previously in April 2014 on the ruling by the United States Court of Appeals for the District of Columbia Circuit striking down the part of the SEC’s conflict minerals rules that requires a registrant to describe its…
  • Aug 20

    Student internships basis for FCPA violation

    Student internships basis for FCPA violation
    The Securities and Exchange Commission (SEC) announced Tuesday that Bank of New York Mellon (BNY Mellon) had agreed to pay $14.8 million dollars to settle Foreign Corrupt Practices Act (FCPA) violations. The agreement arose out of BNY Mellon…
  • Jul 24

    SEC proposed rules for compensation clawback policie

    SEC proposed rules for compensation clawback policie
    The SEC has proposed rules that require the securities exchanges to adopt rules that in turn require listed companies to adopt, disclose and comply with a clawback policy for executive compensation based on erroneous financial statements. The…
Rank this Week: 661

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: 722

BD Law Blog

BD Law Blog

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

http://www.bdlawblog.com/
  • Feb 13

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

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

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

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

    Lessons learned from putting on "the Suit."

    Lessons learned from putting on "the Suit."
    Every now and then I use my blog to share with you things not necessarily related to the law, or to our practice areas of financial markets law, estate planning or business law. Today's one of those days, and I...
Rank this Week: 746

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: 703

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/
  • Sep 2

    Interactive Brokers Margin Meltdown?

    Interactive Brokers Margin Meltdown?
    Back in 1987 after the crash, the big problem in customer accounts were margin calls. Heavily leveraged accounts were being liquidated with abandon during the week of  October 19, 1987.We thought everyone learned their lesson - firms and…
  • Aug 27

    Investor Alert: Market Risk: What You Don't Know Can Hurt You

    Investor Alert: Market Risk: What You Don't Know Can Hurt You
    FINRA has reissued an investor alert regarding market risk, to remind investors that  investing involves risks as well as rewards and that, generally speaking, the higher the risk, the greater the potential reward.FINRA believes that…
  • Aug 26

    Small Percentage of Brokers Fined is a Bad Thing?

    Small Percentage of Brokers Fined is a Bad Thing?
    It is truly a bizarre world that we live in. Anyone involved in the financial services industry knows that  the overwhelming majority, in fact almost all of the registered representatives in this country, are honest, hard working…
Rank this Week: 769

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/
  • Aug 28

    Shareholders Can Sue Barclays Over Libor Rigging, Rules Judge

    Shareholders Can Sue Barclays Over Libor Rigging, Rules Judge
    A U.S. Judge says that the shareholder lawsuit suing Barclays PLC (BCS) for inflating its stock price by manipulating the London Interbank Offered Rate can proceed. According to lead plaintiffs, the St. Clair Shores Police & Fire…
  • Aug 27

    FDIC Sues Bank of NY Mellon, Citigroup, and US Bancorp for soured RMBSs Purchased by Guaranty Bank

    FDIC Sues Bank of NY Mellon, Citigroup, and US Bancorp for soured RMBSs Purchased by Guaranty Bank
    The Federal Deposit Insurance Corp. is suing Bank of New York Mellon Corp. (BK), Citigroup (C), and US Bancorp (USB) for residential mortgage-backed securities that were purchased by the former Guaranty Bank. The Texas-based bank closed…
  • Aug 26

    Former Merrill Lynch Broker Must Pay $1.4M for Insider Trading

    Former Merrill Lynch Broker Must Pay $1.4M for Insider Trading
    Gary Yin, an ex-Bank of America Merrill Lynch (BAC) broker, must pay $1.4M in restitution for helping a client launder money made from insider trading. Yin admitted to helping former Qualcomm Inc. president Jing Wang conceal hundreds of…
Rank this Week: 777

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
  • Aug 28

    FBI Warns About Business Email

    FBI Warns About Business Email
    On August 28, 2015, the Federal Bureau of Investigation published an online article "Business E-Mail Compromise / An Emerging Global Threat. The BrokeAndBroker.com Blog regularly covers stories about electronic communication…
  • Aug 27

    EMPLOYMENT TUESDAY at BrokeAndBroker.com

    EMPLOYMENT TUESDAY at BrokeAndBroker.com
    Stockbroker, Compliance, Legal, and Regulatory Jobssearchable by title, skills, job, city, state, zip, and companyThe BrokeAndBroker.com Employment Page@brokeandbroker...
  • Aug 27

    For Over, Under, Sideways, Down Markets -- Hold On

    For Over, Under, Sideways, Down Markets -- Hold On
    To say that the last week has been a tumultuous one for the stock market would be an understatement.It's been over, under, sideways, down and one hell of a gut-churning ride, with more twists and turns ahead. Y'all enjoy yesterday's…
Rank this Week: 766

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Sep 2

    Validation of Defective Stock Warranted, but Final Judgment Premature

    Validation of Defective Stock Warranted, but Final Judgment Premature
    By Amy Leisinger, J.D.The Delaware Chancery Court granted a motion for partial judgment on the pleadings, finding that shares of putative stock of the CertiSign Holding, Inc. are valid despite being issued before the certificate authorizing…
  • Sep 1

    Board Members Accused of Coercing Shareholders to Increase Their Compensation Win Appeal

    Board Members Accused of Coercing Shareholders to Increase Their Compensation Win Appeal
    By Matthew Garza, J.D.Members of the board of directors of mobile technology company QualComm, Inc. were victorious in a legal battle launched by an investor over amendments made by the company’s compensation committee to increase stock…
  • Aug 31

    ESMA Seeks Input on Clearinghouse Margin, Considers Compromise with U.S.

    ESMA Seeks Input on Clearinghouse Margin, Considers Compromise with U.S.
    By Lene Powell, J.D.The European Securities and Markets Authority (ESMA) is seeking feedback on a new consultation paper addressing the amount of margin required to be collected by clearinghouses. E.U. and U.S. regulatory regimes provide for…
Rank this Week: 822

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/
  • Aug 27

    HSR “Investment-Only” Exemption: Lessons from Third Point’s Yahoo! Investment

    HSR “Investment-Only” Exemption: Lessons from Third Point’s Yahoo! Investment
    Here’s the intro from this Cooley memo: While acquisitions of up to 10% of the voting interest in a target that are made “solely for the purpose of investment” are in many circumstances exempt from Hart-Scott-Rodino (HSR)…
  • Aug 26

    How Carl Icahn Work

    How Carl Icahn Work
    Here’s an excerpt from this interesting blog from a while back by “The Activist Investor”: For one of the most-discussed investors these days, we know surprisingly little about Carl Icahn’s activist investing. Numerous…
  • Aug 19

    Key M&A Trends: Overseas Expansion Going Mainstream

    Key M&A Trends: Overseas Expansion Going Mainstream
    Here’s something that Randi Morrison blogged on TheCorporateCounsel.net a few days ago: Recently, Deloitte released 2015 M&A Trends Report reveals a booming, wide-reaching M&A environment spanning small, mid-sized and large…
Rank this Week: 821

White Collar Fraud

White Collar Fraud

Covers white collar crime, securities fraud, the accounting profession, internal controls and Sarbanes-Oxley. By Sam E. Antar.

http://whitecollarfraud.blogspot.com/
  • Mar 30

    Overstock.com Hatchet Man Judd Bagley's Downward Spiral: Junkie, Confessed Criminal, Admitted Adulterer

    Overstock.com Hatchet Man Judd Bagley's Downward Spiral: Junkie, Confessed Criminal, Admitted Adulterer
    In the years that I’ve written extensively about Overstock.com (NASDAQ: OSTK), I have always been amazed about its bizarre CEO Patrick Byrne and the gang of misfits he has surrounded himself with. By far, the worst was a real loser…
  • Feb 5

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

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

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

    Nu Skin Inventory Red Flags Remain Even After $50 Million Impairment Charge
    On July 22, 2014, I warned investors that Utah-based multi-level marketing company Nu Skin Enterprises' (NYSE: NUS) surging inventory levels might lead it "to recognize a material impairment charge against inventory in a future period." On…
Rank this Week: 811

New York Securities Lawyers Blog

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

http://www.newyorksecuritieslawyersblog.com/
Rank this Week: 886

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/
Rank this Week: 963

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

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

    Hedge Fund Events August 2015

    Hedge Fund Events August 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: August 1, 2015 Sponsor: HFC Event: 10th Annual West Coast Ride for the Children Location:…
  • Jul 1

    Hedge Fund Events July 2015

    Hedge Fund Events July 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: June 29-July 1, 2015 Sponsor: Infocast Event: 2nd California Water Summit Location:…
  • Jun 1

    Hedge Fund Events June 2015

    Hedge Fund Events June 2015
    The following are various hedge fund events happening this month.  Please email us if you would like us to add your event to this list. **** Date: May 31-June 2, 2015 Sponsor: WITI Event: The Women in Technology International (WITI)…
Rank this Week: 1094

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: 1133

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: 1211

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/
Rank this Week: 1639

Tim O'Connor's Blog

Tim O'Connor's Blog

Covers stockbroker fraud.

http://stockbrokerlaw.com/tim-oconnors-blog
Rank this Week: 1502

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • Jul 8

    Feds Take Aim at Investment Adviser

    Feds Take Aim at Investment Adviser
    The SEC and DOJ brought a slew of cases against IAR's and RIA's in the first half of 2015. At least six cases were filed just last month alone. Here is a brief summary of a sampling of those cases. On January 21, 2015, the SEC filed fraud…
  • Jul 1

    Wells Fargo Takes One on the Chin

    Wells Fargo Takes One on the Chin
    A St. Louis County jury recently awarded over $70 million to the beneficiary of two trusts against Wells Fargo (WF).WF and its predecessors had served as the corporate trustee of one trust, and the custodian of the other. This firm…
  • Mar 11

    The Arbitration System

    The Arbitration System
    The premise that underlies the justification for the loss of rights in arbitration is simple:  both parties knowingly agreed to binding arbitration.  This presumption is based upon the presumptions that 1) signators read contracts…
Rank this Week: 1601

InvestorLawyers.net

InvestorLawyers.net

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

http://www.investorlawyers.net/blog/
Rank this Week: 1610

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: 1559

Securities Litigation and…

Securities Litigation and Regulatory Enforcement Blog

Covers SEC investigations, insider trading, derivative actions, white collar defense, and whistleblowers. By Orrick, Herrington & Sutcliffe LLP.

http://blogs.orrick.com/securities-litigation/
  • Aug 25

    Judge Berman Deflates SEC’s ALJ Appointment Proce

    Judge Berman Deflates SEC’s ALJ Appointment Proce
    United States District Court Judge Richard M. Berman of the Southern District of New York has been making headlines in recent weeks as he presides over the highly publicized case between the National Football League (“NFL”) and…
  • Aug 19

    International Hacking and Insider Trading Scheme Exposes Cybersecurity Vulnerabilities at Third-Party Vendor

    International Hacking and Insider Trading Scheme Exposes Cybersecurity Vulnerabilities at Third-Party Vendor
    On August 11, 2015, the SEC announced that it was bringing fraud charges against 32 defendants for their alleged participation in a five-year, international hacking and insider trading scheme.  According to the SEC, two Ukrainian men…
  • Aug 11

    The Boss Makes HOW much more than me? SEC Issues Final Pay Ratio Rule

    The Boss Makes HOW much more than me? SEC Issues Final Pay Ratio Rule
    On August 5, 2015, the Securities and Exchange Commission approved its final rule subjecting most public companies to the so-called “Pay Ratio Disclosure” mandated by the 2010 Dodd-Frank Wall Street Reform and Consumer Protection…
Rank this Week: 1707

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: 1744

Business Blog

Business Blog

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

http://www.businesslawnews.com/
  • Sep 2

    The New Jersey Family-School Partnership Act Would Provide Leave for Parents to Attend School Activitie

    The New Jersey Family-School Partnership Act Would Provide Leave for Parents to Attend School Activitie
    The first few weeks of the new school year can be stressful for children and their parents, as everyone adjusts to new schedules and routines. In New Jersey, lawmakers are currently considering legislation, the New Jersey Family-School…
  • Sep 1

    Are Space Laws The Next Legal Frontier?

    Are Space Laws The Next Legal Frontier?
    As the natural resources on Earth grow scarce, some businesses are looking outside our atmosphere. While sending miners to an asteroid may seem like the plot of a science fiction movie, it could become a reality in the foreseeable future. If…
  • Aug 31

    The FTC’s Cybersecurity Authority Is Affirmed By The Third Circuit

    The FTC’s Cybersecurity Authority Is Affirmed By The Third Circuit
    Decisions have been made regarding the FTC’s cybersecurity authority… In a precedential decision, the Third Circuit Cmorourt of Appeals recently affirmed the cybersecurity authority of the Federal Trade Commission (FTC) to hold…
Rank this Week: 2375

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/
  • Aug 28

    Quebec Derivatives Blanket Exemption - Revocation postponed by nine month

    Quebec Derivatives Blanket Exemption - Revocation postponed by nine month
    Alix d’Anglejan-Chatillon and Ken Ottenbreit -  The Autorité des marchés financiers (AMF), Quebec's financial services regulator, published Decision No. 2015-PDG-0132 (the Extension Decision) yesterday (August…
  • Aug 28

    IIROC releases finalized Guidance on Marketplace Threshold

    IIROC releases finalized Guidance on Marketplace Threshold
     The Investment Industry Regulatory Organization of Canada (IIROC) has released its finalized Guidance on Marketplace Thresholds. As discussed in our 2014 post on the draft version, the Guidance is intended to promote stable markets by…
  • Aug 28

    IIROC releases annual report

    IIROC releases annual report
    The Investment Industry Regulatory Organization of Canada (IIROC) has just released its 2014-15 Annual Report. As the accompanying news release indicates, the 56-page report  recaps a number of important achievements during the period,…
Rank this Week: 2097

Cady Bar the Door

Cady Bar the Door

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

http://www.secmiscellany.com
  • Aug 23

    SEC Comments on Whistleblower Anti-Retaliation Provisions/Internal Reporting

    SEC Comments on Whistleblower Anti-Retaliation Provisions/Internal Reporting
    In the wake of Dodd-Frank’s passage in July 2010, many companies and corporate organizations lobbied the SEC on its upcoming whistleblower rules.  One of their specific goals was to require whistleblowers, to be eligible for the…
  • Aug 20

    Probably Don’t Do What the Red Cross CEO Just Did

    Probably Don’t Do What the Red Cross CEO Just Did
    You might have read the NPR/ProPublica story from Monday about the Government Accountability Office’s investigation of the Red Cross, and CEO Gail McGovern’s attempts to end that investigation.  The article says that in 2014…
  • Aug 16

    The Justice Department Has Some Things to Tell You about Cybersecurity

    The Justice Department Has Some Things to Tell You about Cybersecurity
    In April the Justice Department’s Computer Crime and Intellectual Property Section issued its Best Practices for Victim Response and Reporting of Cyber Incidents.  It is an excellent guide for a business organization to respond to…
Rank this Week: 2091

Investment Fraud Attorney Blog

Investment Fraud Attorney Blog

Covers securities law. By Pratt Davis.

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

    Finra Checks into Potential Broker Compensation Conflicts of Interest

    Finra Checks into Potential Broker Compensation Conflicts of Interest
    As recently reported in InvestmentNews the Financial Industry Regulatory Authority (“Finra”) is taking a closer look at potential conflicts of interest in how firms pay their brokers. As stated in the article, in the targeted exam…
  • Aug 5

    FINRA Fines Aegis Capital $950,000 over Penny Stock Sale

    FINRA Fines Aegis Capital $950,000 over Penny Stock Sale
    According to a recent article in InvestmentNews, Aegis Capital Corp., a New York-based broker-dealer with over 400 registered brokers, has agreed to pay $950,000 as part of a settlement with the Financial Industry Regulatory Authority Inc.…
  • Aug 1

    SEC Announces $3 million Whistleblower Award

    SEC Announces $3 million Whistleblower Award
    As recently noted in a press release, The Securities and Exchange Commission (“SEC”) announced a whistleblower award of more than $3 million to a company insider whose information helped the SEC crack a complex fraud. …
Rank this Week: 2289