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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/
Rank this Week: 61

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Jul 21

    Robert Wamhoff: Received 4 Customer Complaints, Most Recently For Violating Regulatory Rule

    Robert Wamhoff: Received 4 Customer Complaints, Most Recently For Violating Regulatory Rule
    Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 20, 2017 indicate that Missouri-based Calton & Associates broker/adviser Robert Wamhoff has received several resolved or pending customer…
  • Jul 21

    Nicholas Toadvine Has Received Eleven Customer Comlaint

    Nicholas Toadvine Has Received Eleven Customer Comlaint
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 20, 2017 indicate that Florida-based Calton & Associates broker/adviser Nicholas Toadvine has received several resolved or pending customer…
  • Jul 20

    Kory Keath Has Been Named in a Pending FINRA Complaint

    Kory Keath Has Been Named in a Pending FINRA Complaint
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 19, 2017 indicate that former Washington-based Edward Jones broker/adviser Kory Keath has been named in a pending FINRA complaint.…
Rank this Week: 63

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/
  • Jul 22

    Trump to Nominate Former Senate Aide Peirce for SEC Commissioner

    Trump to Nominate Former Senate Aide Peirce for SEC Commissioner
    Eric Beech (Reuters), Trump to Nominate Former Senate Aide Peirce for SEC Commissioner: U.S. President Donald Trump intends to nominate former Senate Republican aide Hester Maria Peirce to be a member of the Securities and Exchange…
  • Jul 22

    Call for Papers: Symposium on Personalized Law

    Call for Papers: Symposium on Personalized Law
    I received the following conference announcement: Call for Papers: Symposium on Personalized Law Presented by the University of Chicago Law Review and the Coase-Sandor Institute for Law and Economics April 27-28, 2018 We are pleased to…
  • Jul 17

    New Securities Law Articles in Print

    New Securities Law Articles in Print
    The following law review articles relating to securities regulation are now available in paper format: Jesus Garcia Aparicio, Note, Enhancing Shareholder Rights in Intermediated Securities Holding Structures Across Borders, 13 N.Y.U. J.L.…
Rank this Week: 121

Securities Law Attorneys Blog

Securities Law Attorneys Blog

Covers securities law. By Fitapelli | Kurta.

http://www.securitieslawattorneys.net/
  • Jul 21

    Abraham Heimann Has Three Pending Customer Complaint

    Abraham Heimann Has Three Pending Customer Complaint
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 20, 2017 indicate that former Georgia-based Cetera Advisors broker Abraham Heimann has received several pending customer disputes.…
  • Jul 21

    Mike Milne Received a FINRA Sanction

    Mike Milne Received a FINRA Sanction
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 20, 2017 indicate that former Florida-based Kovack Securities broker/adviser Mike Milne has received a pending customer dispute…
  • Jul 21

    Jeb Bonner Was Discharged From a Former Employer in Connection to Alleged Rule Violation

    Jeb Bonner Was Discharged From a Former Employer in Connection to Alleged Rule Violation
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 20, 2017 indicate that former Alabama-based Raymond James & Associates broker/adviser Jeb Bonner was recently discharged from…
Rank this Week: 128

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Jul 21

    Broker Clay Hoffman Barred by FINRA

    Broker Clay Hoffman Barred by FINRA
    The investment lawyers of Gana LLP are investigating the allegations made by The Financial Industry Regulatory Authority (FINRA) against barred broker Clay Hoffman. In June 2016, Hoffman was suspended by FINRA for his alleged failure to…
  • Jul 21

    Broker Alan Rose Receives Customer Complaints over Unsuitable Trade

    Broker Alan Rose Receives Customer Complaints over Unsuitable Trade
    Our law firm, Gana LLP, is investigating claims made by Financial Industry Regulatory Authority (FINRA) against broker Alan Rose. The customer complaints allege that Rose engaged in securities law violations, including making unsuitable…
  • Jul 20

    Financial Advisor Gary Kenneth Rasmussen Receives Customer Complaints Over Unsuitability

    Financial Advisor Gary Kenneth Rasmussen Receives Customer Complaints Over Unsuitability
    Our law firm, Gana LLP, is investigating claims made by Financial Industry Regulatory Authority (FINRA) against advisor Gary Kenneth Rasmussen. Rasmussen’s BrokerCheck records show customer complaints that allege that Rasmussen engaged…
Rank this Week: 144

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/
  • Jul 24

    Newbridge Securities Fined for Failure to Supervise

    Newbridge Securities Fined for Failure to Supervise
    PA Regulator Hits Newbridge Securities with $499,000 Fine over Structured Products The Pennsylvania Department of Banking and Securities this week hit Newbridge Securities Corporation with a $499,000 fine for failing to supervise a broker in…
  • Jul 24

    Carter Validus Mission Critical REIT II to Close Offering

    Carter Validus Mission Critical REIT II to Close Offering
    Investigating Potential Claims in Carter Validus Mission Critical REIT II Did you lose money investing in Carter Validus Mission Critical REIT II at the recommendation of your broker? If so, the securities attorneys at The White Law Group may…
  • Jul 20

    Goldman Sachs Fined $2.5 Million for Reporting Issue

    Goldman Sachs Fined $2.5 Million for Reporting Issue
    FINRA censures and fines Goldman Sachs for Reporting Issues According to the Financial Industry Regulatory Authority (FINRA) Goldman Sachs & Co. LLC did not account for numerous conventional options positions between January 2010 and July…
Rank this Week: 151

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/
  • Jul 17

    Two More Texans Plead Guilty in $6.5M Diamond Investment Scam

    Two More Texans Plead Guilty in $6.5M Diamond Investment Scam
    Jay Bruce Heimburger, a Dallas man, has pleaded guilty to mail fraud over his involvement in a $6.4M investment scam that allegedly took place from about March 2011 to November 2013. He faces up to more than 20 years in prison, has to pay a…
  • Jul 15

    Financier Who Bilked Family and Friends of $23M Investment Fraud Gets Three Years in Prison

    Financier Who Bilked Family and Friends of $23M Investment Fraud Gets Three Years in Prison
    Haena Park, the Harvard-educated financier who pleaded guilty to the commodities fraud that bilked over 40 investors of more than $23M, is sentenced to three years in prison. Park defrauded friends and family over six years, beginning in…
  • Jul 13

    14 People Charged In $14.7M Stock Rigging Fraud That Bilked Senior Investor

    14 People Charged In $14.7M Stock Rigging Fraud That Bilked Senior Investor
    According to prosecutors, criminal charges have been brought against 14 people over their alleged involvement in a $14.7M investment scam that primarily targeted older investors. The US Attorney’s office alleges that between 1/2014 and…
Rank this Week: 161

Ponzitracker

Ponzitracker

Covers Ponzi schemes. By Jordan Maglich.

http://www.ponzitracker.com/
  • Feb 13

    For Galemmo Ponzi Victims, Recovery Chances Depend On Clawback

    For Galemmo Ponzi Victims, Recovery Chances Depend On Clawback
    When a Cincinnati money manager's $100 million Ponzi scheme collapsed over three years ago, authorities seemingly acknowledged the bleak prospects of recovery in declining to seek appointment of a receiver to marshal and gather assets for…
  • Feb 13

    Zeek Rewards Mastermind Sentenced To Nearly Fifteen Years In Prison

    Zeek Rewards Mastermind Sentenced To Nearly Fifteen Years In Prison
    The North Carolina man who drew comparisons to Bernard Madoff for his operation of a Ponzi scheme that duped tens of thousands of victims out of nearly $1 billion learned from a federal judge today that he, like Madoff, will likely spendthe…
  • Oct 17

    Another Cay Clubs Principal Indicted On Bank Fraud And Tax Charge

    Another Cay Clubs Principal Indicted On Bank Fraud And Tax Charge
    A Florida man is facing bank fraud and tax charges for his involvement in the alleged $300 million Cay Clubs Ponzi scheme, making him the third person to be criminally charged in what was one of the largest schemes in Florida history.…
Rank this Week: 227

Investment Fraud Information

Investment Fraud Information

By Andrew Stoltmann.

http://www.investmentfraudtimes.com/securities-fraud-attorneys/
Rank this Week: 252

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: 255

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/
Rank this Week: 264

Securities Lawyer 101

Securities Lawyer 101

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

https://www.securitieslawyer101.com/blog/
  • 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…
  • Jan 22

    Final Judgment Entered Against Gregg Mulholland Posted by Brenda Hamilton

    Final Judgment Entered Against Gregg Mulholland Posted by Brenda Hamilton
    Going Public LawyerOn January 11, 2017, the U.S. District Court for the Eastern District of New York entered a final judgment against defendant Gregg R. Mulholland, a penny stock promoter charged in an SEC action with illegally selling more…
  • Jan 21

    Final Judgment Entered in “Prime Bank” Fraud – By: Brenda Hamilton

    Final Judgment Entered in “Prime Bank” Fraud – By: Brenda Hamilton
    Going Public LawyerOn January 13, 2017, the U.S. District Court for the District of Minnesota entered a final judgment against Minnesota resident James M. Louks and his company, FiberPoP Solutions, Inc. Louks and FiberPoP are defendants in an…
Rank this Week: 259

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
  • Jun 23

    Destructive Impact of Fund Fee

    Destructive Impact of Fund Fee
    A retiree living off her portfolio may lose hundreds of dollars a year in income for each added basis point of fund expense ratio — or adviser fee. BY CRAIG L. ISRAELSENFEES DIRECTLY REDUCE PORTFOLIO RETURNS … AND that comes…
  • 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…
Rank this Week: 283

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: 286

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: 397

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: 402

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • Jul 23

    U.K. Court Halts Effort to Use New Opt-Out Class Action Procedure

    U.K. Court Halts Effort to Use New Opt-Out Class Action Procedure
    The highest-profile attempt to utilize the new U.K. regime for consumer class actions has come to a grinding halt. The case involved a claim alleging that MasterCard’s fee structure had resulted in overcharges to tens of millions of…
  • Jul 20

    D&O Insurance: Securing Coverage for Books and Records Request

    D&O Insurance: Securing Coverage for Books and Records Request
    The right of shareholders to demand inspection of companies’ books and records is of course nothing new. What is new is the increased frequency of books and records demands, often as a result of courts’ requirement for prospective…
  • Jul 19

    Up Next: Mandatory Securities Claim Arbitration Provisions?

    Up Next: Mandatory Securities Claim Arbitration Provisions?
    For a while a few years ago, litigation reform bylaws were all the rage – including forum selection bylaws, fee shifting bylaws, even mandatory arbitration bylaws. More recently, discussion of the topic quieted down, in part because the…
Rank this Week: 451

Sharesleuth.com

Sharesleuth.com

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

http://sharesleuth.com/
Rank this Week: 487

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/
  • Jul 24

    Must A Broker-Dealer Be Licensed As A Personal Property Broker?

    Must A Broker-Dealer Be Licensed As A Personal Property Broker?
    Is your California securities broker-dealer a licensed personal property broker?  Does it need to have such a license to make loans to its customers?  Anyone reading California Corporations Code Section 25217(c) would conclude that…
  • Jul 21

    Shares of Foreign Subsidiarie

    Shares of Foreign Subsidiarie
    I expect that little or no thought is given to the possible application of California’s Corporate Securities Law of 1968 when a corporation incorporates a subsidiary under the laws of a foreign country.  However, the…
  • Jul 20

    The Case Of The Wholly Owned, But Not Totally Held, Subsidiary That May Or May Not Be 100% Owned

    The Case Of The Wholly Owned, But Not Totally Held, Subsidiary That May Or May Not Be 100% Owned
    When someone says that a subsidiary is “wholly owned”, I believe that the common understanding is that the parent company owns all of the issued and outstanding equity of the subsidiary.  What if the statement is that the…
Rank this Week: 536

Corporate Securities Law Blog

Corporate Securities Law Blog

Focuses on complliance, corporate governance, disclosure, mergers and tax issues. By Sheppard Mullin.

http://www.corporatesecuritieslawblog.com/
Rank this Week: 507

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: 588

McEldrew Young Blog

McEldrew Young Blog

Covers whistleblower law and wage theft for employees.

http://www.mceldrewyoung.com/blog/
  • Jul 24

    McEldrew Young Lawyers Named to Super Lawyers Lists for 2017

    McEldrew Young Lawyers Named to Super Lawyers Lists for 2017
    We are pleased to announce that James J. McEldrew, III, has been named to the 2017 Pennsylvania Super Lawyers list. Brandon Lauria and Daniel Purtell were named to the 2017 Pennsylvania Rising Stars list published by the same organization.…
  • Jul 21

    Without Whistleblower Rewards, British Tips Decline

    Without Whistleblower Rewards, British Tips Decline
    A report earlier this month by the Financial Conduct Authority detailed the declining number of whistleblower tips reported to the British authorities. From 2014-15 to 2016-17, the number of reports has declined each year, resulting in just…
  • Jul 20

    Record Award Predicted for SEC Whistleblowers from JPMorgan Fine

    Record Award Predicted for SEC Whistleblowers from JPMorgan Fine
    A media outlet, Financial Planning, is predicting that a pair of SEC whistleblowers will share an award of approximately $70.6 million out of the $307 million in regulatory fines against JPMorgan in 2015. Another outlet, Advisor Hub, put the…
Rank this Week: 768

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Jul 24

    Knowing accounting rules is not the same as knowing they are being followed

    Knowing accounting rules is not the same as knowing they are being followed
    By Rodney F. Tonkovic, J.D.A securities fraud action alleging that Kohl's Corporation misrepresented its accounting for lease agreements has been dismissed by a federal court. The complaint alleged that the retailer made a number of…
  • Jul 21

    Piwowar engages in Q&A session on capital formation initiative

    Piwowar engages in Q&A session on capital formation initiative
    By Jacquelyn LumbCommissioner Michael Piwowar participated in a question-and-answer session hosted by the Heritage Foundation titled “SEC, Entrepreneurship and Economic Growth.” David Burton, a senior fellow in economic policy,…
  • Jul 20

    Hester Peirce again gets nod for SEC post

    Hester Peirce again gets nod for SEC post
    By Mark S. Nelson, J.D.President Trump has nominated Hester Peirce to be an SEC commissioner. This will be the second time Peirce has received a presidential nod to join the Commission, the first having been under the Obama administration.…
Rank this Week: 711

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/
  • Jul 24

    Appraisal: Chancery Says “Fair Value” 50% Below Merger Price!

    Appraisal: Chancery Says “Fair Value” 50% Below Merger Price!
    On Friday, the Delaware Chancery Court issued its ruling in the Clearwire appraisal proceeding. Despite a complex and far from pristine process, Vice Chancellor Laster rejected the plaintiff’s breach of fiduciary duty…
  • Jul 21

    Private Equity: Institutions Offer “Subscription Credit Line” Guideline

    Private Equity: Institutions Offer “Subscription Credit Line” Guideline
    This Weil Gotshal blog discusses the Institutional Limited Partners Association’s new guidelines on the use of subscription credit lines by fund managers.  These credit arrangements – which originally were used to…
  • Jul 20

    Preferred Stock: Charter Provision Gives Vote, Not Preference

    Preferred Stock: Charter Provision Gives Vote, Not Preference
    It’s been a tough year in Delaware for preferred stockholders – & according to this K&L Gates blog, they just took another hit in Chancery Court: In In re Appraisal of GoodCents Holdings, Inc., C.A. No.…
Rank this Week: 704

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/
  • Jul 5

    Incorporating By Reference In Your NC Business Court Brief? Don't Do It!

    Incorporating By Reference In Your NC Business Court Brief? Don't Do It!
    If you have ever drafted a Complaint, you have undoubtedly used the words that your previous numbered allegations were "incorporated by reference."  It's a way of not having to repeat yourself.  That  shortcut is specifically…
  • Jun 16

    Joint Defense Agreements Are Not Protected By The Attorney-Client Privilege

    Joint Defense Agreements Are Not Protected By The Attorney-Client Privilege
    Why would any lawyer think that his Joint Defense Agreement, entered into with a co-defendant, was protected from production by the attorney-client privilege?  Well, the lawyer for one of the Defendants in AP Atlantic, Inc., v. Crescent…
  • Jun 6

    Deposition, My Office Or Yours? NC Business Court: Neither

    Deposition, My Office Or Yours? NC Business Court: Neither
    You probably don't think much, when you are noticing a deposition, about where it should take place.  Ideally, you probably want it to happen in your own office. The NC Rule of Civil Procedure on depositions, Rule 30, says that the…
Rank this Week: 715

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/
  • Jun 26

    Morgan Stanley Smith Barney Liable for Aiding and Abetting Financial Elder Abuse

    Morgan Stanley Smith Barney Liable for Aiding and Abetting Financial Elder Abuse
    Last week, a securities arbitration panel in Los Angeles, California, found Morgan Stanley Smith Barney (“MSSB”) liable for elder financial abuse by aiding and abetting an unaffiliated individual’s financial…
  • Jun 14

    A Securities Lawyer’s Advice to Would be Whistleblower

    A Securities Lawyer’s Advice to Would be Whistleblower
    Whistleblower Tips are on the Rise Increased public awareness of the SEC’s Whistleblower Program has lead to a tremendous growth in whistleblower tips and complaints.  In Fiscal Year 2016, the SEC received a record number of tips…
  • Dec 31

    A Securities Lawyer's Top 10 Tips for Senior Investor

    A Securities Lawyer's Top 10 Tips for Senior Investor
    Reject aggressive salespeople. Don't feel pressured to act quickly. Give yourself time to do your homework. Don't be afraid to say "no." Request to be put on the "do not call" list. Ask questions. Ask what licenses the salesperson has. Get…
Rank this Week: 804

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

http://www.hedgefundlawblog.com
  • Jun 24

    Cryptocurrency Fund Legal & Operational Post

    Cryptocurrency Fund Legal & Operational Post
    The goal of the posts on this page are to address the legal and operational issues applicable to fund managers who invest in the cryptocurrency space.  We believe the emergence of this new asset class gives rise to a need for open…
  • Jun 17

    Hedge Fund Bits and Pieces for June 16, 2017

    Hedge Fund Bits and Pieces for June 16, 2017
    We are a day late but hope you had a happy Friday.  As has been the trend, we are seeing a large focus on cryptocurrency assets and this update reflects that focus. **** Speaking on Cryptocurrency Hedge Funds – I will be in New…
  • May 30

    California BitLicense

    California BitLicense
    Overview of the Cryptocurrency Licensing Regime in California As we discussed in a recent post, New York has already implemented a statute that requires those engaged in certain virtual currency business activities to obtain a license…
Rank this Week: 891

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: 832

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: 854

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/
  • Jul 24

    ESMA updates technical reporting instructions on transaction reporting under MiFIR

    ESMA updates technical reporting instructions on transaction reporting under MiFIR
    The European Securities and Markets Authority (ESMA) has published an updated version of its technical reporting instructions relating to transaction reporting under MiFIR. The document describes the elements of the interface that shall be…
  • Jul 24

    FCA Handbook Notice No.46

    FCA Handbook Notice No.46
    The FCA has published Handbook Notice No.46. This Handbook Notice sets out the changes the FCA Board made to the Handbook on 30 June, 6 July and 20 July 2017. On 30 June 2017, the FCA Board made changes to the Handbook in the following…
  • Jul 24

    PSR board minutes from meeting held on 17 May 2017

    PSR board minutes from meeting held on 17 May 2017
    The Payment Systems Regulator (PSR) has published minutes from a board meeting held on 17 May 2017. Points of interest in the minutes include the following: it was noted that the FCA was having discussions on the impact of Brexit, and that…
Rank this Week: 1126

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Jul 24

    SEC’s Reg Flex Agenda: Where Did Those Dodd-Frank Rules Go?

    SEC’s Reg Flex Agenda: Where Did Those Dodd-Frank Rules Go?
    Normally – as I have blogged many times (here’s one) – the SEC’s Reg Flex Agendas tend to be “aspirational.” But perhaps this time is different. As part of a federal agency-wide reveal of the new…
  • Jul 21

    Proxy Voting: Increase in Directors Getting “No” Vote

    Proxy Voting: Increase in Directors Getting “No” Vote
    It looks like investors used their votes to send a message to some directors during this year’s proxy season – and it wasn’t “keep up the good work.”  This excerpt from a recent Bloomberg…
  • Jul 20

    IPOs: Commissioner Piwowar Favors Allowing Mandatory Arbitration

    IPOs: Commissioner Piwowar Favors Allowing Mandatory Arbitration
    Speaking at the Heritage Foundation earlier this week, SEC Commissioner Mike Piwowar said that the SEC might be receptive to requests by IPO companies to include mandatory arbitration clauses in their charters. Here’s an excerpt from…
Rank this Week: 967

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/
  • Jul 21

    Non-competition agreements: Ensuring enforceability

    Non-competition agreements: Ensuring enforceability
    A non-competition agreement raises state-law public policy concerns. As a result, states often restrict the scope of non-competition agreements before they will enforce them. The protectable interests that states will recognize, the rules of…
  • Jul 7

    The importance of reading the document

    The importance of reading the document
    One of the most important things lawyers and clients should do in every merger & acquisition transaction is to read the documents, and be clear on the central facts of their transaction. This seems so profoundly simple and obvious that it…
  • Jul 5

    Data breaches and due diligence

    Data breaches and due diligence
    Chances are that you or someone you know has been the victim of a data breach. The high number of cyberattacks and data breaches, now reported almost daily, calls attention to the importance of addressing these areas in the due diligence…
Rank this Week: 1147

Subject to Inquiry

Subject to Inquiry

Looks at white collar, congressional, SEC, energy enforcement and other government inquiries. By McGuireWoods.

http://www.subjecttoinquiry.com/
  • Jul 21

    DOJ Takes Down AlphaBay, the World’s Largest Dark Web Marketplace

    DOJ Takes Down AlphaBay, the World’s Largest Dark Web Marketplace
    The U.S. Department of Justice has announced the seizure of AlphaBay, the largest criminal marketplace on the Internet, which was used to sell stolen financial information, identification documents and other personal data, computer hacking…
  • Jul 11

    CFPB Issues Game-Changing Rule On Arbitration Clause

    CFPB Issues Game-Changing Rule On Arbitration Clause
    On Monday, July 10, 2017, the Consumer Financial Protection Bureau (CFPB) issued a game-changing final rule regarding the use of arbitration clauses in consumer contracts.  The Rule is effective 60 days following its publication in the…
  • Jul 6

    Treasury Department Recommends Broad Reforms to CFPB

    Treasury Department Recommends Broad Reforms to CFPB
    The Department of the Treasury recently cited the CFPB’s “unaccountable structure and unduly broad regulatory powers,” in suggesting reforms to address the CFPB’s “regulatory abuses and excesses.” The…
Rank this Week: 1171

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
  • Jul 19

    FINRA 2017 Small Firm Governor Election Underway

    FINRA 2017 Small Firm Governor Election Underway
    On August 22, 2017, the Financial Industry Regulatory Authority ("FINRA") will conduct its annual meeting, at which time the self-regulatory organization will elect one small firm Governor (up to 150 registered representatives) and one large…
  • Jul 18

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
    A FINRA JP Morgan Arbitration,Jamie Dimon's Embarrassment And Bill Singer's Apoplexy http://www.brokeandbroker.com/3533/finra-arbitration-u5/BrokeAndBroker.com Blog publisher Bill Singer, Esq. lives and works in New York City. The Big…
  • Jul 17

    A FINRA JP Morgan Arbitration,Jamie Dimon's Embarrassment and Bill Singer's Apoplexy

    A FINRA JP Morgan Arbitration,Jamie Dimon's Embarrassment and Bill Singer's Apoplexy
    BrokeAndBroker.com Blog publisher Bill Singer, Esq. lives and works in New York City. The Big Apple has become the Baked Apple the last few days as it is stewing in the midst of a heat wave. Bill doesn't like 90 degree weather. Frankly, Bill…
Rank this Week: 1029

New York Securities Lawyer Blog

New York Securities Lawyer Blog

Covers securities law. By Lax & Neville LLP.

http://www.newyorksecuritieslawyerblog.com/
Rank this Week: 1167

InvestorLawyers.net

InvestorLawyers.net

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

http://www.investorlawyers.net/blog/
  • Jun 1

    LPL Fined by State of NH for Alleged Unsuitable REIT Sale

    LPL Fined by State of NH for Alleged Unsuitable REIT Sale
    For some time we have been blogging about non-traded REITS (and the real risks associated with investing in these complex investment vehicles.  Many investors are familiar with exchange traded Real Estate Investment Trusts…
  • 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…
Rank this Week: 1142

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: 1113

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: 1059

White Collar Wire

White Collar Wire

Covers news, cases, judicial opinions, practical tips and scholarly work regarding white-collar criminal and civil enforcement, grand jury investigations and regulatory compliance. By Jackson R. Sharman, III.

http://jacksharman.com/
  • Jul 21

    Summer Crime, “Young Lawyers,” Martini

    Summer Crime, “Young Lawyers,” Martini
    Summer’s heat is fully upon us.  Let us take a moment for crime fiction and cocktails. For recent crime-fiction releases, take a look at Midmonth Book Notes  from The Poisoned Pen bookstore. Also, here is a useful…
  • Jul 14

    Booze Beats Law: Subscribe to White Collar Wire

    Booze Beats Law: Subscribe to White Collar Wire
    Please take a moment to subscribe to White Collar Wire’s email newsletter.  You’ll get notice of articles before anyone else in the Western world. Just look to the left where it says, very helpfully: Subscribe to our…
  • Jun 22

    13 Books Every White-Collar Lawyer Should Read

    13 Books Every White-Collar Lawyer Should Read
    Of the making of lists of books, there shall be no end. Nevertheless, here is one more. Set out below are 13 works that every white-collar lawyer – defense counsel, prosecutor or judge – should read. Why take on such a…
Rank this Week: 1254

Stock Attorneys Blog

Stock Attorneys Blog

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

http://www.stockattorneysblog.com/
  • Jul 20

    Cagle Fined and Suspended for Two Months by FINRA

    Cagle Fined and Suspended for Two Months by FINRA
    (FINRA Case #2016051146801) Adriane L. Cagle (CRD #6236929, Fayetteville, Georgia) submitted an AWC (Accept, Waiver & Consent) in which she was assessed a deferred fine of $5,000 and suspended from association with any FINRA member in all…
  • Jul 19

    Scott Sibley Barred from FINRA

    Scott Sibley Barred from FINRA
    (FINRA Case #2015044123501) Scott Allen Sibley (CRD #1523981, Fort Lauderdale, Florida) submitted an AWC (Accept, Waiver & Consent) in which he was barred from association with any FINRA member in all capacities. Without admitting or…
  • Jul 18

    FSC Securities Corporation censured and Fined by FINRA

    FSC Securities Corporation censured and Fined by FINRA
    (FINRA Case #2012034037602) FSC Securities Corporation (CRD #7461, Atlanta, Georgia) submitted an AWC (Accept, Waiver & Consent) in which the firm was censured and fined $200,000. Without admitting or denying the findings, the firm…
Rank this Week: 1527

Stock Market Loss

Stock Market Loss

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

http://www.stockmarketloss.com/news/
Rank this Week: 1375

SEC Whistleblower Lawyer Blog

SEC Whistleblower Lawyer Blog

Covers securities law. By Silver Law Group & The Law Firm of David R. Chase, P.A.

http://www.secwhistleblowerlawyers.net/
  • Jul 11

    Despite Trump Administration Uncertainty, SEC Whistleblower Program Reports Business as Usual

    Despite Trump Administration Uncertainty, SEC Whistleblower Program Reports Business as Usual
    Even with political clouds of uncertainty from the Trump administration, the head of U.S Securities and Exchange Commission is moving the agency full speed ahead, all the while chastising companies that retaliate or discourage their employees…
  • Jun 27

    CFTC Website Launches News Portal for Whistleblower Program

    CFTC Website Launches News Portal for Whistleblower Program
    The CFTC Whistleblower program today announced the launch of a news portal, event schedule, and FAQ for its whistleblower program on its website This new portal will contain industry news, CFTC Events and a FAQ covering the Whistleblower…
  • Jun 13

    SEC Declines Paying a Whistleblower Because the Tip Was Provided Prior to Dodd-Frank

    SEC Declines Paying a Whistleblower Because the Tip Was Provided Prior to Dodd-Frank
    The SEC recently declined to pay a whistleblower award to a claimant that sought the SEC’s review of its stance on payouts stemming from information provided prior to the Dodd-Frank Act’s enactment in 2010. In an SEC Order, the…
Rank this Week: 1447

Securities Fraud Attorney Blog

Securities Fraud Attorney Blog

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

http://www.securitiesfraudattorneyblog.com/
  • Oct 27

    Private Share Litigation Cases are Challenging

    Private Share Litigation Cases are Challenging
    In a very high profile private share litigation, Theranos, a privately held health-technology and medical-laboratory-services company worth $9 billion as of 2014, has been sued this Monday by one of its largest and trusted financial backers,…
  • Jun 19

    Split Decision on Arbitration in Bank of America Case

    Split Decision on Arbitration in Bank of America Case
    This week, a Florida appeals court partially reversed a ruling denying Bank of America’s efforts to arbitrate various claims related to the Scott Rothstein Ponzi scheme. Bank of America, N.A. v. Beverly, Nos. 4D14-3167, 4D14-3168 (Fla.…
  • Jun 19

    Split Decision on Arbitration in Bank of America Case

    Split Decision on Arbitration in Bank of America Case
    This week, a Florida appeals court partially reversed a ruling denying Bank of America’s efforts to arbitrate various claims related to the Scott Rothstein Ponzi scheme. Bank of America, N.A. v. Beverly, Nos. 4D14-3167, 4D14-3168 (Fla.…
Rank this Week: 1338

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: 1433

Securities Law Blog

Securities Law Blog

Covers securities law. By Fitapelli | Kurta.

https://www.securities-law-attorney.com/
  • Jul 20

    James Schaedler: Sanctioned by FINRA Following an Investigation into Alleged Rule Violation

    James Schaedler: Sanctioned by FINRA Following an Investigation into Alleged Rule Violation
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 19, 2017 indicate that former California-based Wells Fargo Clearing Services broker/adviser James Schaedler has been sanctioned by…
  • Jul 20

    Dale Wright Has Received Two Customer Complaint

    Dale Wright Has Received Two Customer Complaint
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 18, 2017 indicate that Virginia-based Cambridge Investment Research broker/adviser Dale Wright has received resolved or pending…
  • Jul 19

    Customer Seeking $2.5 Million in Damages From Broker Daniel Haugh

    Customer Seeking $2.5 Million in Damages From Broker Daniel Haugh
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 18, 2017 indicate that Chicago-based PTI Securities & Futures LP broker/adviser Daniel Haugh has received a regulatory…
Rank this Week: 2171