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Securities Lawyer 101

Securities Lawyer 101

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

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

    Corporate Hijackings 101 l Securities Lawyer 101 Blog

    Corporate Hijackings 101 l Securities Lawyer 101 Blog
    Securities Lawyer 101 Blog Corporate hijackings, also known as corporate identity theft, of public shell companies has been around for more than a decade.  It  is a growing method used by fraudsters to acquire…
  • Aug 15

    By: EAkHCuax

    By: EAkHCuax
    <strong>EAkHCuax</strong>Securities Law and Going Public Blog
  • Aug 5

    By: lexutilispl - bookmarks.blogme24.com

    By: lexutilispl - bookmarks.blogme24.com
    […] is gonna kill meDrum Building Secrets!Make Your Mark Online With These Design Tips : BACKLINKSSecurities Lawyer101 l Securities Law Blog l Hamilton & AssociatesPennySaverUSA.com Blog - The Best Resource for Online Classifieds,…
Rank this Week: 55

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: 70

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 16

    FINRA Issues New Investor Alert Regarding “Frontier Fund” Investment

    FINRA Issues New Investor Alert Regarding “Frontier Fund” Investment
    From the Desk of Jim Eccleston at Eccleston Law Offices:  FINRA has issued a new investor alert called, “Frontier Funds-Travel With Care”.  The alert cautions investors who are seeking potentially…
  • Sep 12

    SEC Examines Fund Payments to Brokerage Firm

    SEC Examines Fund Payments to Brokerage Firm
    From the Desk of Jim Eccleston at Eccleston Law Offices:  The SEC has begun a review of fees paid by mutual funds to brokerages and their financial advisors to encourage fund sales. Unfortunately, the SEC has…
  • Sep 5

    PennsylvaniaBroker Found to Have Sold Unsuitable Investment

    PennsylvaniaBroker Found to Have Sold Unsuitable Investment
    From the Desk of Jim Eccleston at Eccleston Law Offices:  Anthony Diaz, a broker from Pennsylvania has agreed to charges by the FINRA that he made unsuitable investments. Since 2000, Diaz worked for 11…
Rank this Week: 139

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/
  • Sep 15

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: Naseem Faqihi, Note, Choosing Which Rule to Break First: An In-House Attorney Whistleblower's Choices after Discovering a Possible Federal…
  • Sep 12

    IOSCO Updates Survey on Commodity Derivatives Markets Supervisory Principle

    IOSCO Updates Survey on Commodity Derivatives Markets Supervisory Principle
    The press release is available here, and the Update is available here.
  • Sep 12

    NASAA Working Group Formed to Develop Improved Fee Disclosure

    NASAA Working Group Formed to Develop Improved Fee Disclosure
    The North American Securities Administrators Association (NASAA) has announced the creation of a working group to focus on improved broker-dealer fee disclosure. The press release is available here.
Rank this Week: 197

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/
  • Sep 29

    Former LPL Financial Broker Must Pay Almost $2 Million For Bilking Clients, Including Elderly Investor

    Former LPL Financial Broker Must Pay Almost $2 Million For Bilking Clients, Including Elderly Investor
    Blake B. Richards, an ex-LPL Financial (LPLA) broker, must pay close to $2 million in penalties and disgorgement over allegations that he defrauded clients of close to $1.7 million. According to the case, submitted in the U.S. District Court…
  • Sep 11

    SEC to Dismiss Lawsuit Against SIPC Over Payments to Stanford Ponzi Scam Victim

    SEC to Dismiss Lawsuit Against SIPC Over Payments to Stanford Ponzi Scam Victim
    The Securities and Exchange Commission has said that it no longer intends to continue trying to get the Securities Investor Protection Corporation to pay back investors the losses they sustained in R. Allen Stanford’s $7 billion Ponzi…
  • Sep 9

    Mortgage Transfers to Nonbanks Get Closer Regulator Scrutiny

    Mortgage Transfers to Nonbanks Get Closer Regulator Scrutiny
    In the last two years, millions of borrowers with mortgages have been moved from banks to nonbanks. This can result in problems for home loan borrowers. A reason for this is that a lot of banks are getting rid of their mortgage servicing…
Rank this Week: 216

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 16

    These Words Enjoy Only A Negative Existence

    These Words Enjoy Only A Negative Existence
    Some words seem to exist only in the negative.  One such word is “uncouth”, which means lacking refinement.  For example, the Court of Appeal in People v. Williamson, 207 Cal. App. 2d 839 (1962) upheld a…
  • Sep 15

    M&A Broker Exemption Bill Resurrects Financial Statement Replaced in 1988

    M&amp;A Broker Exemption Bill Resurrects Financial Statement Replaced in 1988
    Last week, the North American Securities Administrators Association withdrew its support for S. 1923 which, if enacted, would exempt “M&A brokers” from the broker registration requirements of the Securities Exchange Act of…
  • Sep 12

    A Bad Review For California’s New Non-Disparagement Law

    A Bad Review For California’s New Non-Disparagement Law
    The advent of social media has dramatically lowered the cost to consumers of acquiring and disseminating information.  Formerly, only a handful of people might hear about a bad experience with a retailer or service…
Rank this Week: 281

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/
  • Sep 16

    Lance B. Topol barred from securities industry.

    Lance B. Topol barred from securities industry.
    In a recent disciplinary action announcement, FINRA announced that Lance B. Topol (CRD #5731836, Glen Cove, New York) submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any…
  • Sep 16

    Jay John Soojian barred from securities industry.

    Jay John Soojian barred from securities industry.
    In a recent disciplinary action announcement, FINRA announced that Jay John Soojian (CRD #2768599, Wayne, New Jersey) submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any…
  • Sep 16

    Dennis Keith Karasik barred from securities industry.

    Dennis Keith Karasik barred from securities industry.
    In a recent disciplinary action announcement, FINRA announced that Dennis Keith Karasik (CRD #1227463, Reisterstown, Maryland) submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member…
Rank this Week: 301

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/
  • Sep 9

    NASDAQ Proposes The Adoption Of A New All-Inclusive Annual Listing Fee

    NASDAQ Proposes The Adoption Of A New All-Inclusive Annual Listing Fee
    On August 26, 2014, The NASDAQ Stock Market LLC (“NASDAQ”) filed with the Securities and Exchange Commission (the “SEC”) certain proposed amendments to the NASDAQ Stock Market Rules (the “Amendments”) to…
  • Sep 4

    Second Circuit Defines “Customer” for Mandatory FINRA Arbitration

    Second Circuit Defines “Customer” for Mandatory FINRA Arbitration
    In a case of first impression, the United States Court of Appeals for the Second Circuit in Citigroup Global Markets, Inc. v. Abbar, No. 13-2172, 2014 WL 3765867 (2d Cir. Aug. 1, 2014), established a bright-line definition of…
  • Sep 2

    Fiduciary Duties in the Context of Dent v. Ramtron Int’l Corp.

    Fiduciary Duties in the Context of Dent v. Ramtron Int’l Corp.
    The Delaware Court of Chancery recently addressed a number of claims commonly made in the “ubiquitous” stockholder litigation that follows announcement of a public merger or acquisition transaction.  In Dent v. Ramtron…
Rank this Week: 334

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
Rank this Week: 361

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Sep 16

    Poll Results: How Are You Responding to Your SDX Shareholder Engagement Letter?

    Poll Results: How Are You Responding to Your SDX Shareholder Engagement Letter?
    Last month, I ran a poll in this blog to address the query about how companies were responding to the SDX engagement letter. Here are the results: - Responded indicating have adopted shareholder-director engagement policy – 0% -…
  • Sep 15

    Webcast: “Cybersecurity – Working the Calm Before the Storm”

    Webcast: “Cybersecurity – Working the Calm Before the Storm”
    Tune in tomorrow for the webcast — “Cybersecurity: Working the Calm Before the Storm“— to hear Weil Gotshal’s Paul Ferrillo, Hogan Lovells’ Harriet Pearson and Dave Lynn of TheCorporateCounsel.net and…
  • Sep 12

    CII: Investors Seek Proxy Disclosure of Board Evaluation Proce

    CII: Investors Seek Proxy Disclosure of Board Evaluation Proce
    As noted in this blog by Davis Polk’s Ning Chiu, CII has issued this report about “Best Disclosures of Board Evaluation Process.” Based on a survey of CII members, investors want disclosure of the board evaluation process…
Rank this Week: 386

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Sep 15

    Center for Audit Quality Actively Embraces SEC Disclosure Initiative

    Center for Audit Quality Actively Embraces SEC Disclosure Initiative
    The Center for Audit Quality embraces the SEC’s new and important disclosure initiative as one of the key components in the audit quality ecosystem, along with effective audit committees. In recent remarksat a public accountants seminar…
  • Sep 15

    Shareholders Have Right to Open McGraw-Hill’s Books to Investigate Ratings Violation

    Shareholders Have Right to Open McGraw-Hill’s Books to Investigate Ratings Violation
    [This story previously appeared in Securities Regulation Daily.]By John M. Jascob, J.D.Shareholders of The McGraw-Hill Companies, Inc. (McGraw-Hill) have the right under state law to inspect the company’s books for evidence of…
  • Sep 13

    New Financial Services and Stability Czar Established for E.U.

    New Financial Services and Stability Czar Established for E.U.
    In a groundbreaking move, the new European Commission will have a Commissioner for Financial Services, Financial Stability and Capital Markets, with complete oversight of securities and banking regulation across the E.U. This was generally…
Rank this Week: 451

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: 454

Sharesleuth.com

Sharesleuth.com

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

http://sharesleuth.com/
Rank this Week: 470

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
  • Aug 29

    FINRA has Citigroup Global Markets Inc. in Hot Water

    FINRA has Citigroup Global Markets Inc. in Hot Water
    Citigroup Global Markets Inc. is being fined $1.85 million for best execution and supervisory violations in non-convertible preferred securities transactions. They also ordered Citigroup to pay more than $638,000 in compensation, plus…
  • Aug 24

    Expectations v. Reality of Unconstrained Bond

    Expectations v. Reality of Unconstrained Bond
    Investors’ fears of rising interest rates of traditional bonds, have shown an influx in these “go anywhere” funds. With a focus on returns, many investors don’t understand the risk. In the category of a nontraditional…
  • Aug 24

    The Complications of Structured Note

    The Complications of Structured Note
    A complicated investment to begin with, structured notes have grown more complex the last few years and are best to be avoided. They commonly claim to limit instability in a down market. A debt instrument whose return hinges on the price…
Rank this Week: 493

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/
  • Sep 16

    Private Company Freeze-Out Merger Litigation Dismissed at Pleading Stage

    Private Company Freeze-Out Merger Litigation Dismissed at Pleading Stage
    Here’s news from Steven Haas of Hunton & Williams: In a recent bench ruling in Swomley v. Schlecht, C.A. No. 9355-VCL (Del. Ch. Aug. 27, 2014), the Court of Chancery reached two key holdings applicable to freeze-out mergers. First,…
  • Sep 12

    Canada: Hostile Bids to Go from Sprints to Marathon

    Canada: Hostile Bids to Go from Sprints to Marathon
    Here’s news from Davies Ward: The Canadian Securities Administrators (CSA) issued a major announcement that all 13 of Canada’s securities regulators have agreed they will not pursue two previously announced competing proposals on…
  • Sep 10

    Seantor Schumer Releases Draft Anti-Inversion Bill

    Seantor Schumer Releases Draft Anti-Inversion Bill
    As noted in this Davis Polk memo, a draft of the bill that is being considered by Senator Schumer (D-NY) to reduce some of the economic incentives for corporate inversions was made publicly available yesterday. Senator Schumer has indicated…
Rank this Week: 563

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/
  • Sep 16

    Trade Secrets Claims Can Be Tough To Succeed On In The Business Court

    Trade Secrets Claims Can Be Tough To Succeed On In The Business Court
    If you want to pursue a trade secrets claim in the Business Court, you've got to disclose the details of your trade secret.  The Opinion last week in Unimin Corp. v. Gallo, 2014 NCBC 43 illustrates that point in detail.  It seems at…
  • Sep 12

    The Delaware Court Of Chancery Can See Forever On A Clear Day (Even To North Carolina)

    The Delaware Court Of Chancery Can See Forever On A Clear Day (Even To North Carolina)
    I don't usually write about decisions from the Delaware Court of Chancery because it's rare for that Court to even mention North Carolina.  But a decision by that Court this week -- in City of Providence v. First Citizens Bancshares,…
  • Sep 10

    Receiver Appointed To Oversee Sell-Off Of Corporation's Intellectual Property

    Receiver Appointed To Oversee Sell-Off Of Corporation's Intellectual Property
    When I wrote last week about Americana Development, Inc. v. Ebius Trading & Distributing Co., the Business Court had entered a TRO against the Defendants prohibiting them from disposing of the intellectual property of Defendant Ebius…
Rank this Week: 650

Florida Securities Fraud Lawyer…

Florida Securities Fraud Lawyer Blog

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

http://www.floridasecuritiesfraudlawyerblog.com/
Rank this Week: 652

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: 635

Institutional Investor Securities…

Institutional Investor Securities Blog

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

http://www.institutionalinvestorsecuritiesblog.com/
Rank this Week: 662

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

http://www.seclawyersblog.com/
Rank this Week: 653

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/
  • Sep 11

    Late Form 4s aren’t just embarrassing anymore

    Late Form 4s aren’t just embarrassing anymore
    By Jack J. Gravelle Yesterday, the SEC announced penalties totaling approximately $2.6 million against directors, officers, beneficial owners and issuers for failure to promptly report information about holdings and transactions in company…
  • Sep 9

    U.S. Commerce Department acknowledges that conflict minerals are too hard to track

    U.S. Commerce Department acknowledges that conflict minerals are too hard to track
    By Robert J. Tannous According to a Wall Street Journal article reported by Emily Chasen, Senior Editor at The Wall Street Journal‘s CFO Journal, on Sept. 5, 2014, the U.S. Commerce Department acknowledged “it cannot determine…
  • Sep 8

    Porter Wright launches Antitrust Law Source

    Porter Wright launches Antitrust Law Source
    By Robert J. Tannous We wanted to take a moment to announce our newest endeavor, Antitrust Law Source. Antitrust Law Source is a new site designed for visitors to quickly and easily learn about developments in this growing arena. The site…
Rank this Week: 668

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
Rank this Week: 671

Ponzitracker

Ponzitracker

Covers Ponzi schemes. By Jordan Maglich.

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

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

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

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

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

    California Men Sentenced For $5 Million Real Estate Ponzi Scheme

    California Men Sentenced For $5 Million Real Estate Ponzi Scheme
    Two California men will each serve at least a decade in prison for operating a real estate Ponzi scheme that duped victims out of nearly $5 million.  Terrance Brown, of San Jose, California, and Antranik Kabajouzian, of Morgan City,…
Rank this Week: 746

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Sep 16

    FINRA Files Complaint Against Broker Anthony Diaz

    FINRA Files Complaint Against Broker Anthony Diaz
    The Financial Industry Regulatory Authority (FINRA) brought a complaint against broker Anthony Diaz (Diaz) concerning a host of industry violations. Diaz entered the securities industry in January 2000 and has been registered with eleven…
  • Sep 15

    Oak Ridge Financial Services Sanctioned Over Non-Traditional ETF Sales Practice

    Oak Ridge Financial Services Sanctioned Over Non-Traditional ETF Sales Practice
    The Financial Industry Regulatory Authority (FINRA) sanctioned brokerage firm The Oak Ridge Financial Services Group, lnc. (Oak Ridge) in connection with allegations that Oak Ridge failed to establish and maintain a supervisory system…
  • Sep 12

    FINRA Sanctions B. C. Ziegler and Company For Failure to Supervise Church Bond Sales (Part II)

    FINRA Sanctions B. C. Ziegler and Company For Failure to Supervise Church Bond Sales (Part II)
    This post picks up on our first article on The Financial Industry Regulatory Authority (FINRA) sanctioning brokerage firm B. C. Ziegler and Company (B. C. Ziegler) and ordering the brokerage firm to pay $150,000 on allegations that the firm…
Rank this Week: 769

William Carleton, Counselor @ Law

William Carleton, Counselor @ Law

Covers legal and investment issues facing emerging tech companies.

http://www.wac6.com/wac6/
  • Jun 25

    Where I've been

    Where I've been
    Friends, I want to thank you for all the support you've given this blog over the past three or four years. It's been a good run. Two or three years ago, I started blogging every day, and that was the...
  • Jun 18

    The world is not totally fucked up: Exhibit A

    The world is not totally fucked up: Exhibit A
    Here is Exhibit A for the proposition that the world is not, in fact, totally and completely fucked up: sculpture being readied, as we speak, at Jefferson Park in Seattle. What's more, this public art is to be "skateable." I...
  • May 20

    If it ain't broke, don't fix it

    If it ain't broke, don't fix it
    Time again to safeguard the current accredited investor standard.
Rank this Week: 783

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 16

    CALPERS Withdrawing Its Hedge Fund Investments - Too Expensive, Too Complicated

    CALPERS Withdrawing Its Hedge Fund Investments - Too Expensive, Too Complicated
    The California Public Employees' Retirement System, the largest U.S. pension fund, said on Monday that it will pull all $4 billion it has invested in hedge funds because it finds them too costly and complicated. The $300 billion fund, known…
  • Sep 15

    SEC Announces $300,000 Whistleblower Award to Audit and Compliance Professional Who Reported Company’s Wrongdoing

    SEC Announces $300,000 Whistleblower Award to Audit and Compliance Professional Who Reported Company’s Wrongdoing
    The SEC announced a whistleblower award of more than $300,000 to a company employee who performed audit and compliance functions and reported wrongdoing to the SEC after the company failed to take action when the employee reported it…
  • Sep 12

    FINRA's New Head of Dispute Resolution Search Narrow

    FINRA's New Head of Dispute Resolution Search Narrow
    With the retirement of Linda Fienberg, Reuters is reporting that FINRA has narrowed its search for a new head of its arbitration unit to two of its own long-time officials, according to a person familiar with the matter. FINRA, Wall Street's…
Rank this Week: 809

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
  • Sep 10

    EMPLOYMENT TUESDAY at BrokeAndBroker.com

    EMPLOYMENT TUESDAY at BrokeAndBroker.com
    Stockbroker, Compliance, Legal, and Regulatory JobsEmployment Page BrokeAndBroker.com Jobs...
  • Sep 9

    FINRA Sued In Case Involving E*TRADE, Deceased Father, And Lost Inheritance

    FINRA Sued In Case Involving E*TRADE, Deceased Father, And Lost Inheritance
    Sometime in February 2014, Jeffrey S. Conover sent a written complaint to the Financial Industry Regulatory Authority (“FINRA”) in which he asserted that his deceased father’s assets had been illegally transferred to an ETRADE…
  • Sep 8

    BrokeAndBroker.com Blog by Bill Singer Week In Review

    BrokeAndBroker.com Blog by Bill Singer Week In Review
    BrokeAndBroker Offers A Weekend Musical ExtravaganzaSeptember 12, 2014What's this column about?  Not sure but I thought that I'd just go with it. It's a Friday afternoon and the Labor Day holiday is behind us and su... Read…
Rank this Week: 827

Wall Street Investment Fraud…

Wall Street Investment Fraud Lawyer Blog

Covers Ponzi schemes, investment fraud, and other scams. By The Doss Firm.

http://www.wallstreetinvestmentfraudlawyer.com/
  • Jan 13

    STIFEL NICOLAUS AND CENTURY SECURITIES CONSENT TO FINES OVER IMPROPER SALES OF LEVERAGED AND INVERSE ETFS

    STIFEL NICOLAUS AND CENTURY SECURITIES CONSENT TO FINES OVER IMPROPER SALES OF LEVERAGED AND INVERSE ETFS
    According to a recent news release, the Financial Industry Regulatory Authority (FINRA) has fined Stifel, Nicolaus & Company, Incorporated and an affiliate $550,000 ordered them to pay approximately $475,000 in restitution to 65 customers…
  • Jan 9

    J. P. Morgan Chase Avoids Criminal Prosecution for Hosting Madoff Fraud

    J. P. Morgan Chase Avoids Criminal Prosecution for Hosting Madoff Fraud
    Banking giant J. P. Morgan Chase has reached a deal with federal prosecutors to avoid criminal prosecution for its role in the Bernard Madoff Ponzi scheme. According to the prosecutors, J. P. Morgan, which had custody of Madoff accounts,…
  • Jan 9

    FINRA IDENTIFIES AREAS OF CONCERN FOR INVESTORS

    FINRA IDENTIFIES AREAS OF CONCERN FOR INVESTORS
    Each year, the Financial Industry Regulatory Authority (FINRA) publishes a letter to the financial services industry identifying its regulatory and examination priorities. FINRA is the industry's "self-regulatory organization," which is…
Rank this Week: 1084

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: 1054

Cady Bar the Door

Cady Bar the Door

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

http://www.secmiscellany.com
  • Sep 3

    One More Thing about Liu v. Siemens, the Foreign Whistleblower Case

    One More Thing about Liu v. Siemens, the Foreign Whistleblower Case
    Last week I wrote about the Second Circuit’s recent decision in Liu v. Siemens AG, in which the court held that the Dodd-Frank Act’s anti-retaliation provisions do not apply to whistleblowers overseas.  As I think about it,…
  • Aug 26

    Freedom to Retaliate against Foreign Whistleblowers May Not Be as Much Fun as It First Appear

    Freedom to Retaliate against Foreign Whistleblowers May Not Be as Much Fun as It First Appear
    What I’m about to say is grossly oversimplified, but here goes: The Dodd-Frank Act’s whistleblower provisions have two primary prongs.  The first says that an individual who voluntarily provides the SEC with original…
  • Aug 20

    Unregistered Brokers: Watch out for Shortcut

    Unregistered Brokers: Watch out for Shortcut
    One of the things I’ve learned since returning to private practice three years ago is that people like to raise money for profitable enterprises when they can.  And why not?  It can be lucrative.  And if the people…
Rank this Week: 1139

InvestorLawyers.net

InvestorLawyers.net

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

http://www.investorlawyers.net/blog/
  • Jul 30

    New York Brokerage Firm Newport Coast Securities, Representatives Charged with $1 Million Churning Violation

    New York Brokerage Firm Newport Coast Securities, Representatives Charged with $1 Million Churning Violation
    FINRA has filed charges against five stockbrokers formerly employed by Newport Coast Securities Inc., as well as the firm itself and two supervisors, alleging that the firm excessively traded customer accounts for the purpose of generating…
  • Jun 23

    Investor Files FINRA Arbitration Claim Against First Allied Regarding Private Equitie

    Investor Files FINRA Arbitration Claim Against First Allied Regarding Private Equitie
    Stockbroker arbitration lawyers are looking into accusations made against First Allied Securities, Inc. and broker Rami Yahalom regarding risky investments in AE Luxtera Investments II, LLC, a private technology start-up company. According to…
  • Jun 18

    FINRA Bars Wade James Lawrence from Financial Industry

    FINRA Bars Wade James Lawrence from Financial Industry
    Recently, Wade James Lawrence was barred from the financial industry by the Financial Industry Regulatory Authority (FINRA). Investors’ rights lawyers are exploring accusations made against Lawrence regarding misappropriation of funds…
Rank this Week: 1123

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • Sep 8

    Cyber-Security – What Do Enforcement Actions Tell You

    Cyber-Security – What Do Enforcement Actions Tell You
    In a recent NSCP Currents article, Giselle Casella addressed what every compliance office must know about cyber-security.  One of the more compelling lessons was what can be learned from enforcement actions dealing with…
  • Sep 2

    Guess Who Did Not Take A Summer Vacation

    Guess Who Did Not Take A Summer Vacation
    Now that summer has come to its unofficial end, it seems as though the SEC forgot to check its calendar back I May because it has been conducting exams at a breakneck pace as reported in the Investment News.  These exams have focused, in…
  • Aug 25

    INDIVIDUAL MAY ACT AS SOLICITOR DESPITE SEC ADMINISTRATIVE ORDER

    INDIVIDUAL MAY ACT AS SOLICITOR DESPITE SEC ADMINISTRATIVE ORDER
    The SEC Division of Investment Management determined that a solictor may receive a fee for the soliciation of clients for registered investment advisers notwithstanding a Commission administrative order against her.  See Matter of…
Rank this Week: 1192

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: 1233

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • Sep 6

    New FINRA Rule Limits usage of Expungement Requests in Arbitration

    New FINRA Rule Limits usage of Expungement Requests in Arbitration
    The SEC has approved FINRA Rule 2081 that would disallow brokers from conditioning settlement of a customer dispute on a customer’s consent to the broker’s request for expungment from the Central Registration Depository…
  • Aug 12

    Does your Investment Adviser Firm Have a Social Media Policy?

    Does your Investment Adviser Firm Have a Social Media Policy?
    Social media such as Facebook, Twitter, LinkedIn, or blogs have become popular mechanisms for companies to communicate with the public. Social media allows companies to communicate with clients and prospective clients, market their services,…
  • Aug 1

    Who has the Right to Enforce Your Promissory Note?

    Who has the Right to Enforce Your Promissory Note?
    A customary practice in the securities industry is for financial advisors to receive a transition bonus above and beyond an advisor’s standard commission compensation upon joining to a new firm. The bonus amount is usually determined…
Rank this Week: 1253

Securities Law Blog

Securities Law Blog

News and comments on securities law. By The Frankowski Firm, LLC

http://www.securitieslaw-blog.com/
  • Sep 16

    7th Circuit Upholds Ponzi Scheme Conviction

    7th Circuit Upholds Ponzi Scheme Conviction
    The Frankowski Firm is investigating a Ponzi scheme involving the owners of Fair Finance, which was once a legitimate company that had provided financial services since the Great Depression. The United States Court of Appeals for the Seventh…
  • Sep 15

    FINRA Issues Investor Alert Regarding Frontier Fund

    FINRA Issues Investor Alert Regarding Frontier Fund
    FINRA issued a new investors alert, this time warning investors considering funds that invest in frontier markets to take note of the large risk associated with these markets. Although no set definition of frontier markets exists, such…
  • Sep 12

    Judges Declines To Dismiss Principal Investment Groups Excessive Fee Suit

    Judges Declines To Dismiss Principal Investment Groups Excessive Fee Suit
    U.S. District Judge John A. Jarvey, an Iowa federal judge, decided not to dismiss a case alleging investment managers Principal Management Corp. and Principal Global Investors, LLC took too much on fees they charged a retirement plan…
Rank this Week: 1342

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

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

    Hedge Fund Events September 2014

    Hedge Fund Events September 2014
    The following are various hedge fund events happening this month. Please email us if you would like us to add your event to this list. **** Date: September 8, 2014 Sponsor: NYSSA Event: Russian and Central & Eastern European Capital…
  • Aug 6

    NFA Action Against Firm for Inadequate 1101 Investigation

    NFA Action Against Firm for Inadequate 1101 Investigation
    Doing Business with Non-Members – NFA Action Raises Compliance Questions Under NFA Bylaw 1101, NFA members are restricted from doing business with individuals or entities that should be, but are not, registered with the CFTC and members…
  • Aug 1

    Hedge Fund Events August 2014

    Hedge Fund Events August 2014
    The following are various hedge fund events happening this month. Please email us if you would like us to add your event to this list. **** August 4-5, 2014 Sponsor: InVida Events Event: Ship Energy Management in Practice Location:…
Rank this Week: 1434

Stock Attorneys Blog

Stock Attorneys Blog

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

http://www.stockattorneysblog.com/
  • Aug 18

    LPL Financial Fraught with Allegations of Supervisory Failure

    LPL Financial Fraught with Allegations of Supervisory Failure
    Advisor Independence Achilles Heel for Gigantic Investment Organization LPL Financial is one of the nation’s largest broker/dealer investment firms, yet it is not an investment firm in the traditional sense. Whereas most investment…
  • Aug 12

    Total Wealth Management Sanctions Kickback

    Total Wealth Management Sanctions Kickback
    Top Executives Foster Flagrant Fraud Practices It goes without saying that there is a lot of money to be made in the investment industry. Even when investment firms and advisors follow the rules that govern the industry, they stand to earn…
  • Aug 4

    U.S. Attorney’s Office Files Parallel Action in Response to Previous CFTC Fraud Charge

    U.S. Attorney’s Office Files Parallel Action in Response to Previous CFTC Fraud Charge
    The types of investments that one can invest in are nearly as diverse as the brokers who trade them and the investors who invest in them. One such investment practice is commodity futures pools. This type of investment is a private…
Rank this Week: 1412

California Securities Fraud Lawyer…

California Securities Fraud Lawyer Blog

Covers securities regulation, fiduciaries, and securities disputes news and updates. Published By Alcala Law Firm.

http://www.californiasecuritiesfraudlawyerblog.com/
  • May 1

    March - April 2014 Disciplinary Action

    March - April 2014 Disciplinary Action
    William Jeffrey Austin (WBB Securitiies, Redlands, California) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $7,500 and suspended from association with any FINRA member in any capacity for 30 business days. The…
  • Apr 24

    Update: Charles Schwab to Allow Customer Class Action

    Update: Charles Schwab to Allow Customer Class Action
    Today, Charles Schwab agreed to end a long standing dispute over their customer's right to participate in securities class action lawsuits. In a settlement reached with the Financial Industry Regulatory Authority (FINRA), Charles Schwab…
  • Mar 24

    Regulators Fine LPL Financial LLC $950,000 Over Unsuitable Alternative Investments Sale

    Regulators Fine LPL Financial LLC $950,000 Over Unsuitable Alternative Investments Sale
    Today, LPL Financial LLC reached a settlement with the Financial Industry Regulatory Authority (FINRA) over the firm's failure to adequately supervise the sale of non-traded REITs and other risky alternative investments. LPL's settlement…
Rank this Week: 1363

Securities Attorney Law Blog

Securities Attorney Law Blog

Reviews Federal Securities Fraud Litigation, Arbitration, Whistleblower Claims & Derivative Lawsuits. By Jay Eng.

http://securitiesattorneys.us/
Rank this Week: 1380

Perry Krumsiek & Jack Law Blog

Perry Krumsiek & Jack Law Blog

Covers business, health care, intellectual property and media law.

http://pkjlawblog.wordpress.com/
  • Feb 2

    Here’s One Government Program Worth HARPing On

    Here’s One Government Program Worth HARPing On
    If you are one of the hundreds of thousands of Americans permanently traumatized by the government’s highly lauded, but horribly executed, loan modification program, take heart.  I’m here to tell you that there’s another government…
  • Oct 27

    The Lincoln Lawyer

    The Lincoln Lawyer
    Before Abraham Lincoln became our greatest president, he was a great corporate lawyer.  And before he was a corporate lawyer, he was a brilliant trial lawyer. In the 1840s, Lincoln represented a Revolutionary War widow who had been bilked…
  • Oct 22

    Cornell Scores in Forum Case

    Cornell Scores in Forum Case
    PKJ’s Timothy Cornell scored a significant victory Friday, when U.S. District Judge Richard G. Stearns dismissed a multimillion case against an Internet company, finding that the plaintiff was bound by his contract’s forum selection…
Rank this Week: 1399

White Collar Fraud

White Collar Fraud

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

http://whitecollarfraud.blogspot.com/
  • Sep 8

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

    Nu Skin Inventory Red Flags Remain Even After $50 Million Impairment Charge
    On July 22, 2014, I warned investors that Utah-based multi-level marketing company Nu Skin Enterprises' (NYSE: NUS) surging inventory levels might lead it "to recognize a material impairment charge against inventory in a future period." On…
  • Aug 4

    Why Nu Skin Must Come Clean on Troubling Inventory Red Flag

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

    Do Nu Skin Inventory Red Flags Spell Trouble Ahead?

    Do Nu Skin Inventory Red Flags Spell Trouble Ahead?
    Last Friday morning, a comment posted on Twitter by Marc Cohodes about Nu Skin Enterprises (NYSE: NUS), a Utah based multi-level marketing company, caught my curiosity. Cohodes is a legendary short-seller with an excellent track record and…
Rank this Week: 1515

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/
  • Sep 16

    Restrictive Covenants in Retail Lease Affirmed by Georgia Court of Appeal

    Restrictive Covenants in Retail Lease Affirmed by Georgia Court of Appeal
    Last week, the Court of Appeals of Georgia affirmed a trial court decision finding that a restrictive covenant in a retail lease was not overly ambiguous and was not therefore unenforceable, and thereafter affirmed the trial court ruling in…
  • Sep 8

    Statutory Disqualification: An Overview of the MC400 Application

    Statutory Disqualification: An Overview of the MC400 Application
    In this second installment on understanding statutory disqualifications, I'll provide an overview of the MC400 application. In a nutshell, if a person is statutorily disqualified, then he or she must find a broker-dealer firm wanting the…
  • Sep 5

    Statutory Disqualification: An Overview

    Statutory Disqualification: An Overview
    What does it mean when it is said that a person is subject to a statutory disqualification and cannot be associated with a broker-dealer, or an RIA? In a nutshell, it means that the person is not eligible to work...
Rank this Week: 1545

Stock Broker Attorney Blog

Stock Broker Attorney Blog

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

http://www.stockbrokerattorney.com/blog
  • Sep 15

    Broker Deposits Thousands of Dollars of Misdirected Check

    Broker Deposits Thousands of Dollars of Misdirected Check
    FINRA recently fined securities broker Richard Harvey Peress $5,000 for misconduct and suspended him for 90 days. Peress pocketed 37 quarterly dividend client checks between 2002 and 2011 totaling $11,460.
  • Sep 5

    Increased Complex Investment and Insurance Sales Put State Regulators on High Alert

    Increased Complex Investment and Insurance Sales Put State Regulators on High Alert
    State securities regulators at the Insured Retirement Institute's Government, Legal and Regulatory conference this summer expressed concern over the amount of unlicensed products being sold by agents. Products of particular concern…
  • Sep 3

    S&P Receives Wells Notice Concerning MBS Rating

    S&amp;P Receives Wells Notice Concerning MBS Rating
    McGraw Hill Financial Inc., the parent company of S&P (Standard and Poor’s Rating Services), has disclosed that the SEC sent a Wells notice regarding S&P’s alleged securities law violations. The SEC enforcement…
Rank this Week: 1578

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Sep 12

    Fervent Belief

    Fervent Belief
    Next term, the U.S. Supreme Court will hear argument in the Omnicare case.  The issue is the pleading standard for an allegedly false or misleading opinion under Section 11 of the Securities Act.  While the Second, Third, and Ninth…
  • Sep 10

    Freshening Up

    Freshening Up
    Regular visitors to The 10b-5 Daily will notice that the look and format of the blog has undergone a change.  A few items of note: (1) To receive e-mail notifications of new posts (even if you have previously…
  • Sep 9

    The 10b-5 Daily Gets A Makeover

    The 10b-5 Daily Gets A Makeover
    After eleven years (has it really been that long?), The 10b-5 Daily is moving to a new platform, updating its look, clearing out dead links, and generally becoming a more user-friendly blog. For most visitors, the transition will be…
Rank this Week: 1614

ComplianceAsia News

ComplianceAsia News

Provides information for compliance professionals dealing with issues in financial regulation with a focus on the Asian region.

http://www.compliance.asia/
  • Feb 6

    WSJ report highlights significant concerns about the nature of global AML system

    WSJ report highlights significant concerns about the nature of global AML system
    Finally there is some reporting about the dirty little secret of global AML enforcement - it might not work.  The following was reported in the Wall Street Journal today and we recommend you read the full article: The Morning Risk…
  • Oct 27

    New FATF announcements regarding the progress various countries are making on AML CFT

    New FATF announcements regarding the progress various countries are making on AML CFT
    On Friday the SFC sent around a circular to licensed firms with details of a number of additions to the AML sanctions regime and this included advice from the FATF that some countries were not doing enough to improve their AML CFT…
  • Oct 23

    Mary Jo White sets out her views on the role of compliance

    Mary Jo White sets out her views on the role of compliance
    SEC Chair, Mary Jo White, recently spoke to an industry association in the United States and talked about the importance of the rule of compliance officers.  Here is the speech: Remarks at National Society of Compliance Professionals…
Rank this Week: 1576