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The Race to the Bottom

The Race to the Bottom

A faculty-student collaboration on corporate governance. By Professor J. Robert Brown, Jr.

http://www.theracetothebottom.org/
  • Aug 28

    The SEC and Administrative Proceedings (Part 2)

    The SEC and Administrative Proceedings (Part 2)
    We are discussing some of the issues raised by Peter Henning in his DealBook column, The S.E.C.’s Use of the ‘Rocket Docket’ Is Challenged.   In any event, the limits on discovery, the fact that ALJ decisions are…
  • Aug 26

    The SEC and Administrative Proceedings (Part 1)

    The SEC and Administrative Proceedings (Part 1)
    Peter Henning wrote an interesting piece over at DealBook on the SEC's use of administrative proceedings in place of actions in federal district court.  See The S.E.C.’s Use of the ‘Rocket Docket’ Is Challenged.…
  • Aug 26

    Morrison, the Second Circuit, and the Reverse Effects Test: ParkCentral Global Hub Limited v. Porsche Automobile Holdings (Part 2)

    Morrison, the Second Circuit, and the Reverse Effects Test: ParkCentral Global Hub Limited v. Porsche Automobile Holdings (Part 2)
    We are discussing the Second Circuit's decision in ParkCentral Global Hub Limited v. Porsche Automobile Holdings, a case that effectively created a "reverse effects test" that was contrary to the Supreme Court's analysis…
Rank this Week: 62

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • May 26

    Live Ventures Incorporated: Class Action

    Live Ventures Incorporated: Class Action
    Publicly available records indicate that a class action lawsuit has been filed on behalf of investors in Live Ventures Incorporated (NASDAQ:LIVE) in connection to alleged violations of securities laws by LIVE. Fitapelli Kurta is interested in…
  • May 26

    Vince Holding Corporation: Class Action

    Vince Holding Corporation: Class Action
    Publicly available records indicate that a class action lawsuit has been filed on behalf of investors in Vince Holding Corporation (NYSE:VNCE) in connection to alleged violations of securities laws by VNCE. Fitapelli Kurta is interested in…
  • May 26

    United States Steel Corporation: Class Action

    United States Steel Corporation: Class Action
    Publicly available records indicate that a class action lawsuit has been filed on behalf of investors in United States Steel Corporation (NYSE:X) in connection to alleged violations of securities laws by X. Fitapelli Kurta is interested in…
Rank this Week: 75

Securities Law Attorneys Blog

Securities Law Attorneys Blog

Covers securities law. By Fitapelli | Kurta.

http://www.securitieslawattorneys.net/
  • May 26

    Dennis Hayes Was Permitted to Resign From a Former Employer

    Dennis Hayes Was Permitted to Resign From a Former Employer
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 25, 2017 indicate that former New York-based Salomon Whitney Financial broker/adviser Dennis Hayes is currently not affiliated with any…
  • May 26

    Keith Smith Was Terminating For Failure to Follow Firm Policy

    Keith Smith Was Terminating For Failure to Follow Firm Policy
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on May 25, 2017 indicate that former Pennsylvania-based Signator Investors broker Keith Smith was discharged from his former employer and is currently…
  • May 26

    Grant Jaax Was Terminated From a Former Employer

    Grant Jaax Was Terminated From a Former Employer
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 25, 2017 indicate that former Georgia-based Raymond James & Associates broker/adviser Grant Jaax has received a customer dispute and is…
Rank this Week: 95

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/
  • May 26

    Griffins Accused of $23M Oil Investment Fraud with Payson Petroleum 3 Well Program

    Griffins Accused of $23M Oil Investment Fraud with Payson Petroleum 3 Well Program
    Payson Petroleum 3 Well Program Investment Losses Did you lose money investing in Payson Petroleum 3 Well Program at the recommendation of your investment advisor? If so, The White Law Group may be able to recover your losses through FINRA…
  • May 26

    Cetera Accused of Failure to Supervise Advisor George Merhoff

    Cetera Accused of Failure to Supervise Advisor George Merhoff
    The White Law Group is Investigating Potential Claims Did you lose money investing with George Merhoff and Cetera Advisors? If so, attorneys at The White Law Group may be able to help you recover your losses by filing a FINRA Arbitration…
  • May 25

    Adageo Energy Group – Drilling Program 2007 LLC Investigation

    Adageo Energy Group – Drilling Program 2007 LLC Investigation
    Recovery of investment losses in Adageo Energy Group – Drilling Program 2007 LLC Investment Losses Did you lose money investing in Adageo Energy Group – Drilling Program 2007 LLC at the recommendation of  your broker? If so,…
Rank this Week: 141

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
  • Apr 7

    Customer Sues Merrill Lynch for Fraud in Connection with Its Use of Funds in a Reserve Account

    Customer Sues Merrill Lynch for Fraud in Connection with Its Use of Funds in a Reserve Account
    From the Desk of Jim Eccleston at Eccleston Law LLC: A former customer of Merrill Lynch has sued the firm in California civil court for engaging in fraud. According to the lawsuit, Merrill Lynch misused the customer’s cash that…
  • Apr 5

    New Recommendations by the FINRA Dispute Resolution Task Force (15th Article)

    New Recommendations by the FINRA Dispute Resolution Task Force (15th Article)
    From the Desk of Jim Eccleston at Eccleston Law LLC:This is the fifteenth in a series of posts to discuss the 51 recommendations that the FINRA Dispute Resolution Task Force (Task Force) has made to the National Arbitration and Mediation…
  • Apr 4

    Virginia Adviser Sentenced to Prison for Embezzling Money

    Virginia Adviser Sentenced to Prison for Embezzling Money
    From the Desk of Jim Eccleston at Eccleston Law LLC: Virginia financial adviser Troy Baldridge was sentenced to prison for 41 months after admitting to embezzling more than $500,000 from his mostly elderly, retired clients.According to…
Rank this Week: 143

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/
  • May 24

    Chaffee on the Extraterritorial Application of Private Rights of Action

    Chaffee on the Extraterritorial Application of Private Rights of Action
    I have posted A Call for Legislative Reform: Expanding the Extraterritorial Application of the Private Rights of Action Under Federal Securities Law While Limiting the Scope of Relief Available on SSRN with the following abstract: When the…
  • May 24

    Schulzke & Berger-Walliser on Materiality

    Schulzke & Berger-Walliser on Materiality
    Kurt S. Schulzke and Gerlinde Berger-Walliser have posted Toward a Unified Theory of Materiality in Securities Law on SSRN with the following abstract: In the face of rapidly advancing globalization of capital markets, data, and information…
  • May 24

    Koehler on the FCPA

    Koehler on the FCPA
    Mike Koehler has posted The FCPA's Record-Breaking Year on SSRN with the following abstract: On a number of levels, 2016 was a record-breaking year for Foreign Corrupt Practices Act enforcement. This article, part of annual series, highlights…
Rank this Week: 188

Recover Investment Losses Blog

Recover Investment Losses Blog

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

http://blog.rexsecuritieslaw.com
Rank this Week: 203

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/
  • May 22

    Investors Continue to Pursue Puerto Rico Bond Fraud Recovery From Santander Securitie

    Investors Continue to Pursue Puerto Rico Bond Fraud Recovery From Santander Securitie
    Although many of the thousands of cases investors in Puerto Rico bonds and closed-end funds have brought over the last three years have focused on UBS Financial Services Incorporated of Puerto Rico (“UBS-PR”), other brokerage…
  • May 20

    SEC Stops $22M Texas-Based Securities Scam

    SEC Stops $22M Texas-Based Securities Scam
    In federal court in Sherman, TX, the US Securities and Exchange Commission has filed an emergency action to halt a $22.7M mortgage investment scam involving Thurman P. Bryant, III and his Bryant United Capital Funding, Inc. According to the…
  • May 17

    Hedge Funds and Pensioners Scramble For Debt Payment Owed To Them By Puerto Rico

    Hedge Funds and Pensioners Scramble For Debt Payment Owed To Them By Puerto Rico
    In the wake of Puerto Rico’s bankruptcy filing, hedge funds are competing with the U.S. territory’s workers to get paid. The island has guaranteed retirees and workers $49 Billion in benefits. However, the federally appointed…
Rank this Week: 221

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/
  • Jan 31

    I Inherited an IRA Account. Now What?

    I Inherited an IRA Account. Now What?
    Ira Account Inheritance The answer to that question depends on whether you inherited the IRA account from your spouse or someone other than your spouse, such as your parent, sibling, or close friend.  You have more options if you…
  • Jan 27

    SEC Whistleblower Program is Gaining Momentum and Paying Big Bountie

    SEC Whistleblower Program is Gaining Momentum and Paying Big Bountie
    SEC Whistleblowers On January 23, the SEC announced that its whistleblower program will pay out to three whistleblowers a combined award of $7 million.  The whistleblowers’ awards were for helping the SEC pursue an investment…
  • Jan 19

    What are the pros and cons of taking a 401K loan?

    What are the pros and cons of taking a 401K loan?
    Many employers provide 401k plans for their employees.  A 401k plan is a retirement savings plan where employees can save a portion of their pre-tax earnings. Taxes aren’t paid on the money until it is withdrawn from the account.…
Rank this Week: 227

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: 247

Investment Fraud Information

Investment Fraud Information

By Andrew Stoltmann.

http://www.investmentfraudtimes.com/securities-fraud-attorneys/
  • May 26

    Former JP Morgan financial advisor Rick Konecny Investor Information

    Former JP Morgan financial advisor Rick Konecny Investor Information
    Did you invest with former JP Morgan financial advisor Rick Konecny? We are currently representing multiple victims of his. He recommended investments like: Sandridge Energy Inc. (SD) Yamana Gold Inc. (AUY) Cliffs Ntural Resources Inc (CLV)…
  • May 25

    Broker Gerhard Heuer Has Customer Complaints: What Investors Can Do

    Broker Gerhard Heuer Has Customer Complaints: What Investors Can Do
    Stoltmann Law Offices is interested in hearing from those investors who may have invested with Gerhard Heuer, a registered broker with Independent Financial Group in Beaverton, Ohio since January 2016. While registered with Thrivent…
  • May 25

    Darrach Bourke Of Emerson Equity, Suspended and Fined By FINRA

    Darrach Bourke Of Emerson Equity, Suspended and Fined By FINRA
    Stoltmann Law Offices is investigating Darrach Bourke, a broker with Emerson Equity in San Mateo, California. Mr. Bourke was fined $5,000 and suspended for 20 business days by the Financial Industry Regulatory Authority (FINRA) for allegedly…
Rank this Week: 340

Sharesleuth.com

Sharesleuth.com

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

http://sharesleuth.com/
Rank this Week: 369

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • May 27

    Former LPL Financial Advisor Paul Dorion Terminated For Unauthorized Trading

    Former LPL Financial Advisor Paul Dorion Terminated For Unauthorized Trading
    Our firm is investigating claims made by regulators and brokerage firms including LPL Financial LLC (LPL Financial) concerning broker Paul Dorion (Dorion).  Dorion is currently not associated with any brokerage firm due to his bar by The…
  • May 27

    FINRA Bars Advisor Juan Alejos (a/k/a John Alejos) Over the Sale of Private Investment

    FINRA Bars Advisor Juan Alejos (a/k/a John Alejos) Over the Sale of Private Investment
    Our firm is investigating claims made by The Financial Industry Regulatory Authority (FINRA) against broker Juan Alejos – a/k/a John Alejos (Alejos), formerly associated with brokerage firms Charles Morgan Securities, Inc. (Charles…
  • May 25

    Broker Gary Saitowitz Sanctioned Over Non-Traded REITs Sale

    Broker Gary Saitowitz Sanctioned Over Non-Traded REITs Sale
    The investment fraud attorneys with Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Gary Saitowitz (Saitowitz) currently not associated with any broker-dealer. …
Rank this Week: 416

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • May 23

    Guest Post: SEC Enforcement Data: Midyear Review

    Guest Post: SEC Enforcement Data: Midyear Review
    In the following guest post, Tammy Yuen and Ted Carleton of the Skarzynski Black law firm review and analyze the May 9, 2017 Cornerstone Research report entitled “SEC Enforcement Activity: Public Companies and Subsidiaries, Midyear FY…
  • May 22

    Is Deal Litigation in Delaware Done?

    Is Deal Litigation in Delaware Done?
    As documented on this site (for example, here and here) and elsewhere, deal litigation has been shifting from Delaware Chancery Court to courts in other states and to federal courts. This shift is largely the result of two Delaware court…
  • May 21

    Why Are There Fewer Public Companies and How Worried Should We Be About it?

    Why Are There Fewer Public Companies and How Worried Should We Be About it?
    There are fewer public companies in the U.S. than there were in the nineties. Understanding the reason for the decline in the number of public companies is important to understanding whether or not the decline is a cause for concern, as well…
Rank this Week: 423

North Carolina Business Litigation…

North Carolina Business Litigation Report

Reports on judicial decisions of significance to business and shareholders. By Mack Sperling of Brooks Pierce LLP.

http://www.ncbusinesslitigationreport.com/
  • Apr 7

    It Doesn't Take Magic Words To Revoke An Offer

    It Doesn't Take Magic Words To Revoke An Offer
    The lawyers in Baker v. Bowden, 2017 NCBC 30, decided this week by Judge Robinson, were negotiating a settlement agreement by email.  The Plaintiff thought that it had a deal.  When the Defendant balked, the Plaintiff moved the…
  • Mar 28

    First Published Opinion From New Business Court Judge Conrad

    First Published Opinion From New Business Court Judge Conrad
    Business Court Judges don't have to issue written Opinions in cases granting Preliminary Injunctions.  (G.S. § 7A-45.3 limits the obligation to issue a written Opinion to rulings rendered per NCRCP 12, 56, 59, and 60).  But…
  • Mar 15

    NC Business Court On Conflicting Rules Of Civil Procedure: Do You Need Leave Of Court To Amend Your Answer To Add A Counterclaim?

    NC Business Court On Conflicting Rules Of Civil Procedure: Do You Need Leave Of Court To Amend Your Answer To Add A Counterclaim?
    If I asked you if you were familiar with Rule 13(f) of the NC Rules of Civil Procedure, I'm betting that you would respond with a glassy stare and a slack jaw.  That Rule deals with a counterclaim that you should have made in your…
Rank this Week: 414

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

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

    Acting SG urges justices to hear SLUSA case, provide uniformity

    Acting SG urges justices to hear SLUSA case, provide uniformity
    By Mark S. Nelson, J.D.The Acting U.S. Solicitor General has asked the Supreme Court to take a case raising the question of whether a state court may hear a case that is a covered class action but raises only claims brought under the…
  • May 25

    American Pipe tolls statute of limitations for class actions too

    American Pipe tolls statute of limitations for class actions too
    By Anne Sherry, J.D.Assessing the viability of a securities fraud class action, the Court of Appeals for the Ninth Circuit held that the statute of limitations was tolled during the pendency of two prior class actions. The court read American…
  • May 24

    In light of Bandimere, SEC stays proceedings subject to Tenth Circuit review

    In light of Bandimere, SEC stays proceedings subject to Tenth Circuit review
    By John M. Jascob, J.D., LL.M.In light of the Tenth Circuit’s decision to deny the SEC’s petition for rehearing en banc of Bandimere v. SEC, the SEC has stayed certain administrative proceedings assigned to an administrative law…
Rank this Week: 492

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
  • May 22

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
    FBI Agent Josh And Where's Waldo? Where's OWB? This is agent Josh, we were sent by the Acting Director of Federal Bureau of Investigation (Andrew G. McCabe), we are currently in Africa as an FBI/ United States delegate that have been…
  • May 20

    FBI Agent Josh and Where's Waldo? Where's OWB?

    FBI Agent Josh and Where's Waldo? Where's OWB?
    Just a couple of fun items for those of you unfortunate to find yourself in the office on the Friday before the Memorial Day weekend.This morning, the following email appeared in my Inbox:NOTICE OF ONGOING INVESTIGATION FBI OFFICE…
  • May 18

    FINRA's Willy Nilly Tax Lien Settlement

    FINRA's Willy Nilly Tax Lien Settlement
    Many taxpayers lack the funds to pay their taxes when the time is due. In response to such a shortfall, individuals are faced with many choices: some legal, some not; some sensible, some foolish. Consequently, the April filing deadline often…
Rank this Week: 511

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/
  • May 25

    Antitrust: Will DOJ “Dawn Raids” Become More Common?

    Antitrust: Will DOJ “Dawn Raids” Become More Common?
    The DOJ’s Antitrust Division has traditionally used civil processes (subpoenas & CIDs) to gather evidence. However, this Clifford Chance memo says that 2 recent “dawn raids” may signal a change in tactics: On May 2,…
  • May 24

    National Security: CFIUS Overview

    National Security: CFIUS Overview
    Potential national security issues that might be raised by a cross-border transaction are becoming matters of increasing concern to dealmakers. This Latham memo provides an overview of CFIUS, the interagency group charged with conducting…
  • May 23

    More Fake News: Fitbit’s “Unreal” Tender Offer

    More Fake News: Fitbit’s “Unreal” Tender Offer
    If you’re a regular reader of “TheCorporateCounsel.net Blog,” you know that nothing excites me more than when someone fools the SEC’s Edgar & makes a fake filing! A little drool perhaps. Plug the term…
Rank this Week: 571

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/
  • May 23

    What Is Obstruction of Justice? An Often Murky Crime, Explained - The New York Time

    What Is Obstruction of Justice? An Often Murky Crime, Explained - The New York Time
    I am not technically a criminal defense attorney, although sometimes criminal law invades my securities defense practice. That doesn't explain why I keep getting asked: "What is Obstruction of Justice."Of course, the explanation for the…
  • May 22

    ETFs Vs. Index Funds: Quantifying The Difference

    ETFs Vs. Index Funds: Quantifying The Difference
    ETFs Vs. Index Funds: Quantifying The Differences:Exchange-traded funds (ETFs) have become increasingly popular since its inception in 1993. But despite investor's love affair with ETFs, a closer look shows that index funds are still the top…
  • May 22

    The Hits Keep Coming - Scammer Makes Fake Filing and Sells His Call

    The Hits Keep Coming - Scammer Makes Fake Filing and Sells His Call
    The SEC filed fraud charges against a Virginia-based mechanical engineer accused of scheming to manipulate the price of Fitbit stock by making a phony regulatory filing.According to the SEC’s complaint, Robert W. Murray purchased Fitbit…
Rank this Week: 560

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…
  • Dec 31

    White Collar Fraud List of Blog Posts for 2014

    White Collar Fraud List of Blog Posts for 2014
    December 19, 2014: Cleveland.com - Crazy Eddie CFO shares how companies trick auditors and fleece investors: Plain Dealing, by Sheryl HarrisDecember 3, 2014: Going Concern - Ex-Crazy Eddie CFO's 10 Tips for Advancing Your Accounting Career by…
Rank this Week: 603

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: 572

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/
  • May 24

    Thousands of Madoff’s Ponzi Scam Victims Have Yet to Get Any of Their Money Back

    Thousands of Madoff’s Ponzi Scam Victims Have Yet to Get Any of Their Money Back
    Eight years after Bernard Madoff was sentenced to 150 years in prison for defrauding investors in a $65 billion Ponzi scam, thousands of his victims have still not seen any of the money that they lost. These investors’ claims are being…
  • May 20

    Ex-Deutsche Bank Executives Reportedly to Pay for Misconduct

    Ex-Deutsche Bank Executives Reportedly to Pay for Misconduct
    At the yearly general meeting in Germany, Deutsche Bank AG (DB) told shareholders that the German lender is nearing an agreement with ex-executives in which they would have to help pay for the fines that the financial institution paid for…
  • May 17

    Ex-Nomura Head Traders Charged With Securities Fraud

    Ex-Nomura Head Traders Charged With Securities Fraud
    The US Securities and Exchange Commission is charging two-ex Nomura (NMR) head traders with fraud. Kee Chan and James Im ran Nomura Securities International Inc.’s commercial mortgage-backed securities desk. The regulator claims that…
Rank this Week: 723

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/
Rank this Week: 666

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

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

    From a Newbie: 5 Blogging Tip

    From a Newbie: 5 Blogging Tip
    One of the more challenging aspects of this new job is learning how to blog. Luckily, I’m learning from one of the best. Here’s 5 things I’ve learned from Broc so far: 1. Write like you speak. I’m human. You’re…
  • May 25

    Revenue Recognition: Watch Out for Material Weaknesses!

    Revenue Recognition: Watch Out for Material Weaknesses!
    Last month, John blogged about disclosing material changes to ICFR that result from the new revenue recognition standard – which takes effect at the start of next year. It’s also worth noting that revenue recognition is one of the…
  • May 24

    Cap’n Cashbags: The SEC Loves Teamwork

    Cap’n Cashbags: The SEC Loves Teamwork
    I recommend that you watch my quasi-parody below before you watch the SEC’s video. When I fed my buddies their lines before we taped, I didn’t inform them that this was a spoof. They thought I had written the lines as a joke.…
Rank this Week: 775

Stock Market Loss

Stock Market Loss

Covers misconduct by brokerage firms or financial advisors. By Hermann, Cahn & Schneider, LLP.

http://www.stockmarketloss.com/news/
  • May 19

    Customers of Winston Wade Turner Claim Securities Fraud

    Customers of Winston Wade Turner Claim Securities Fraud
    Stock Market Loss securities attorneys are investigating allegations against Winston Wade Turner, a previously registered broker who has been barred by the Financial Industry Regulatory Authority. Turner is prohibited from serving as a broker…
  • May 19

    Customer Disputes Against Merrill Lynch Broker Sylvester Knox

    Customer Disputes Against Merrill Lynch Broker Sylvester Knox
    Sylvester Knox, a broker and investment adviser with eight different firms over 27 years, is under investigation for a variety of alleged violations . The attorneys at Stock Market Loss are investigating claims against Knox. Since January…
  • May 19

    Customers of Andrew Todd Yocum Allege Unsuitable Investment

    Customers of Andrew Todd Yocum Allege Unsuitable Investment
    Securities attorneys Jay H. Salamon and Hugh D. Berkson of McCarthy, Lebit, Crystal & Liffman represent clients who lost money as the result of Ponzi schemes, investment fraud, and other broker misconduct. They are investigating the…
Rank this Week: 894

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: 874

Securities Lawyer 101

Securities Lawyer 101

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

https://www.securitieslawyer101.com/blog/
  • 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…
  • Jan 23

    SEC Final Judgment Entered Against Graduate Leverage

    SEC Final Judgment Entered Against Graduate Leverage
    Going Public LawyerOn December 23, 2016, the United States District Court for the District of Massachusetts entered final judgments against Graduate Leverage, LLC, GL Capital Partners, LLC, GL Investment Services, LLC, Taft Financial…
Rank this Week: 1036

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

http://www.hedgefundlawblog.com
  • May 26

    Hedge Fund Bits and Pieces for May 26, 2017

    Hedge Fund Bits and Pieces for May 26, 2017
    Happy Friday.  Best wishes for a happy and safe Memorial Day Weekend! **** Initial Coin Offerings – Bitcoin and other cryptocurrencies took center stage this weeks as new high prices were reached in volatile trading and euphoria…
  • May 25

    Initial Coin Offerings (ICOs)

    Initial Coin Offerings (ICOs)
    ICO Overview and Securities Law Analysis After a number of recent, high-profile and wildly successful Initial Coin Offerings or “ICOs”, the blockchain based asset industry has been abuzz about new ICOs as well as the regulatory…
  • May 23

    Artificial Intelligence (AI) Hedge Fund

    Artificial Intelligence (AI) Hedge Fund
    Overview of AI in Investment Management Hedge funds utilizing artificial intelligence (AI) have increasingly gained attention as technology continues to be a driving force behind large and fundamental changes in the investment management and…
Rank this Week: 984

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/
  • May 26

    Did A Non-Existent Committee Move To Update Corporations Code?

    Did A Non-Existent Committee Move To Update Corporations Code?
    In April, I kvetched about numerous outdated references in the California Corporations Code.  For example, several provisions of the Code continue to refer to the “Internal Revenue Code of 1954” more than three decades after…
  • May 25

    Can Pseudo-Foreign Corporations Exonerate Their Directors?

    Can Pseudo-Foreign Corporations Exonerate Their Directors?
    Corporations Code Section 2115 is not an easy read.  Fortunately, California Supreme Court Chief Justice Tani Cantil-Sakauye has provided a more digestible overview of the statute: Section 2115 was enacted as part of a comprehensive…
  • May 24

    California Judge Troubled By Trulia Refuses To Approve Settlement

    California Judge Troubled By Trulia Refuses To Approve Settlement
    Kevin LaCroix recently tackled the question Is Deal Litigation in Delaware Done?  According to Kevin, “deal litigation has been shifting from Delaware Chancery Court to courts in other states and to federal…
Rank this Week: 938

InvestorLawyers.net

InvestorLawyers.net

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

http://www.investorlawyers.net/blog/
  • May 23

    Non-Traded REITs – Investors Should Proceed with Caution!

    Non-Traded REITs – Investors Should Proceed with Caution!
    With increasing frequency, given the current low interest rate environment, retail investors are steered into investing in products appearing to offer more advantageous yields than are available in traditional interest-bearing investments…
  • May 22

    State of Illinois Charges Thrivent Over Variable Annuity Switching

    State of Illinois Charges Thrivent Over Variable Annuity Switching
    The State of Illinois Securities Department (“Department”) recently initiated enforcement proceedings against Thrivent Investment Management, Inc. (“Thrivent”) (CRD #18387) for allegedly violating the Illinois…
  • Oct 13

    Former NEXT Financial Broker Douglas P. Simanski Barred for Alleged Theft

    Former NEXT Financial Broker Douglas P. Simanski Barred for Alleged Theft
      Financial Industry Regulatory Authority (FINRA) records indicate that Douglas P. Simanski (Simanski), a former stockbroker who was associated with NEXT Financial Group, has been permanently barred from the brokerage…
Rank this Week: 977

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/
  • May 15

    Will the DOL continue to make ESOPs a compliance priority?

    Will the DOL continue to make ESOPs a compliance priority?
    Greg Daugherty, our colleague at Employee Benefits Law Report shared a post exploring whether or not the Department of Labor (DOL) under President Trump will continue to make employee stock ownership plans (ESOPs) a compliance…
  • Feb 7

    FTC revises HSR and interlocking directorate threshold

    FTC revises HSR and interlocking directorate threshold
    The Federal Trade Commission has announced annual filing threshold revisions under the Hart-Scott-Rodino (HSR) Antitrust Improvements Act that set new antitrust reporting standards. Jay Levine, our colleague at Antitrust Law Source, provides…
  • Jan 23

    SEC enforces rules regarding use of non-GAAP measures and undisclosed perk

    SEC enforces rules regarding use of non-GAAP measures and undisclosed perk
    Last week, the Securities and Exchange Commission (SEC) made good on its promises to enforce violations of its non-GAAP financial measure disclosure rules. MDC Partners agreed to pay a $1.5 million dollar penalty to settle the SEC’s…
Rank this Week: 1155

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • Apr 17

    REPRESENTING ELDERS AND ATHLETES

    REPRESENTING ELDERS AND ATHLETES
    It wouldn’t seem likely that elders and athletes would have much, if anything, in common.  But they do.  They are frequently blessed with substantial semi-liquid assets, and are therefore the targets of fraudulent or reckless…
  • Mar 24

    Kokesh v. SEC: Implications for the Statute of Limitations for Missouri Securities Enforcement Action

    Kokesh v. SEC: Implications for the Statute of Limitations for Missouri Securities Enforcement Action
     Kokesh v. SEC, Docket No. 16-529 (oral argument date April 18, 2017) – Implications for the Statute of Limitations for Missouri State Securities Enforcement Actions.By John R. Phillips, Counsel for Cosgrove Law Group, LLC and…
  • Feb 24

    Get Your Own Lawyer, Darn It!

    Get Your Own Lawyer, Darn It!
    Financial advisors facing an arbitration claim or regulatory inquiry often count on their broker-dealer or registered investment advisor for legal counsel. These “employers” will frequently provide them with an ostensibly…
Rank this Week: 1026

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: 1178

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: 990

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: 1044

Stock Attorneys Blog

Stock Attorneys Blog

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

http://www.stockattorneysblog.com/
  • May 25

    Maczko Barred from FINRA for Taking Advantage of Elderly Customer

    Maczko Barred from FINRA for Taking Advantage of Elderly Customer
    (FINRA Case #2016050430201) Matthew Christopher Maczko (CRD #1888519, Downers Grove, Illinois) submitted an Accept, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Without admitting or denying…
  • May 24

    Adam Fritzsche Suspended by FINRA for one Year

    Adam Fritzsche Suspended by FINRA for one Year
    FINRA Case #2016049383801 Adam Stuart Fritzsche (CRD #2821218, Canterbury, Connecticut) submitted an Accept, Wavier and Consent in which he was suspended from association with any FINRA member in any capacity for one year. In light of…
  • May 23

    Kelly Clayton Althar submitted an Offer of Settlement, and Barred by FINRA.

    Kelly Clayton Althar submitted an Offer of Settlement, and Barred by FINRA.
    (FINRA Case #2014041137501) Kelly Clayton Althar (CRD #2666723, San Pablo, California) submitted an Offer of Settlement in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the…
Rank this Week: 1566

Strictly Business

Strictly Business

Covers business law for entrepreneurs, emerging companies and the investment management industry. By Alexander J. Davie.

http://www.strictlybusinesslawblog.com/
  • May 24

    Managing Conflicts of Interest in Private Equity and Venture Capital Fund

    Managing Conflicts of Interest in Private Equity and Venture Capital Fund
    Since the Securities and Exchange Commission has recently taken an increasingly closer look at the activities of private equity and venture capital fund managers, it is more important than ever for fund managers to understand when conflicts…
  • May 16

    Pre-Money Valuation vs. Post-Money Valuation

    Pre-Money Valuation vs. Post-Money Valuation
    The concept of pre-money valuation vs. post-money valuation can be a confusing one at first for many startup founders. Pre-money valuation refers to the valuation of the company prior to the investment whereas post-money valuation refers to…
  • Apr 18

    Negotiating a Convertible Note Financing

    Negotiating a Convertible Note Financing
    A convertible note is a hybrid of debt and equity, and it’s a popular form of financing for two main reasons. First, convertible notes are generally easy and cost-effective, because they require little negotiation and paperwork. Second,…
Rank this Week: 1380

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • May 18

    Cyber Attacks Merit SEC Risk Assessment Intervention

    Cyber Attacks Merit SEC Risk Assessment Intervention
    The recent cyberattacks across the globe have caused the  SEC’s Office of Compliance Inspections and Examinations (“OCIE”) to issue an alert and highlight certain best practices for firms to handle…
  • May 11

    So You Want To Change Firms — Part II

    So You Want To Change Firms — Part II
    So you really want to change firms.  Do you have a restrictive covenant or a non-compete?  If so, your transition may be a little more complicated.  To learn what restrictions may apply to you, check out our 50-state…
  • May 4

    So You Want To Change Firm

    So You Want To Change Firm
      One certainty in the brokerage world is that registered representatives often switch from one member firm to another. There is nothing wrong with the switch, but there is a word of caution to be shared. Before you leave, make sure you…
Rank this Week: 1455

New York Securities Lawyers Blog

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

http://www.newyorksecuritieslawyersblog.com/
  • Apr 4

    Brokerages Are Making Brokers More Powerful: How Will That Effect The Securities Industry?

    Brokerages Are Making Brokers More Powerful: How Will That Effect The Securities Industry?
    As reported in the Wall Street Journal, there has been a recent trend at big brokerages of shifting the power from the headquarters to brokers and branch managers. Apparently big brokerages like Bank Of America, UBS Group, and Merrill Lynch…
  • Mar 30

    FINRA Bars Broker Involved in New York Pension Fund Scandal

    FINRA Bars Broker Involved in New York Pension Fund Scandal
    Broker Deborah D. Kelley is allegedly one of the key figures in the $184 billion New York pension fund “pay-for-play” bribery scandal. She was reportedly arrested in December 2016 in San Francisco on charges of securities fraud,…
  • Mar 23

    You May Know About Your Broker, But How Much Do You Know About Your Brokerage Firm?

    You May Know About Your Broker, But How Much Do You Know About Your Brokerage Firm?
    There is an interesting point in this week’s Wall Street Journal titled “Brokerage Files Don’t Give The Full Pictures,” which talks about the how brokerage firms and individual brokers are held to different standards,…
Rank this Week: 1419

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/
  • Mar 17

    SEC Adopts Rule Requiring Hyperlinks to Exhibits and HTML Formatting

    SEC Adopts Rule Requiring Hyperlinks to Exhibits and HTML Formatting
    On March 1, 2017, the Securities and Exchange Commission (“SEC”) announced the adoption of amendments that will require registrants that file certain registration statements and reports subject to the exhibit requirements of Item…
  • Mar 9

    Delaware Court of Chancery Holds that Cancellation of Shares Through Merger Deprives Stockholder of Standing in Section 220 Action

    Delaware Court of Chancery Holds that Cancellation of Shares Through Merger Deprives Stockholder of Standing in Section 220 Action
    In Weingarten v. Monster Worldwide, Inc., C.A. No. 12931-VCG, 2017 WL 752179 (Del. Ch. Feb. 27, 2017), the Delaware Court of Chancery (Glasscock, V.C.) clarified when a plaintiff has standing to vitiate inspection rights under Delaware…
  • Mar 3

    SNAP IPO Debuts On NYSE

    SNAP IPO Debuts On NYSE
    SNAP Inc., the parent company of Snapchat, went public yesterday with a valuation of approximately $33.4 billion. The Company raised $3.4 billion at $17 per share, and is now trading well above the IPO price. While SNAP has reported…
Rank this Week: 1403

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: 1433

William Carleton, Counselor @ Law

William Carleton, Counselor @ Law

Covers legal and investment issues facing emerging tech companies.

http://www.wac6.com/wac6/
  • Mar 16

    Secondary Sales and An Investor Covenant You Don’t Want To Mi

    Secondary Sales and An Investor Covenant You Don’t Want To Mi
    Dear Readers: This is a post I co-wrote with Joe Wallin, who has published the almost identical post here. If you are investing in early stage companies, there are certain deal terms you want. Most you probably know already: if...
  • Mar 11

    A Gift from Congress to Angel

    A Gift from Congress to Angel
    The picture here was taken by Joe Wallin, who was on a panel with me, Gary Kocher of K&L Gates, Tom Alberg of Madrona Ventures, and Dan Rosen of the Alliance of Angels, talking to the Angel Capital Association's NW...
  • Mar 3

    Looking for Mr. 506(c)

    Looking for Mr. 506(c)
    "On a relative basis, issuances claiming the new Rule 506(c) exemption have accounted for only 2.1% of the reported capital raised pursuant to Rule 506 since becoming effective in September 2014." So reads a key finding of a report,…
Rank this Week: 1213

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: 1580

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: 1504

Regulation tomorrow

Regulation tomorrow

By Norton Rose Fulbright. Offers resources on the global financial services regulatory environment. It reports on financial services regulatory developments and provides insights and commentary across Africa, Asia, Australia, Canada, Europe and the United States.

http://www.regulationtomorrow.com/
Rank this Week: 2196