Most Popular Securities Law Blawgs Expanded View List View

Blogs 1 - 45 of 79
Sorted by Popularity | Sort by Name | Sort by Last Post Date
Today | This Week | This Month | All Time |

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
  • Jul 1

    SEC Charges “Frack Master” With Running an $80 Million Oil and Gas Fraud

    SEC Charges “Frack Master” With Running an $80 Million Oil and Gas Fraud
    From the Desk of Jim Eccleston at Eccleston Law LLC:On June 24th, the Securities and Exchange Commission charged Chris Faulkner, known as the “Frack Master” along with seven additional individuals and four companies for an $80…
  • Jun 30

    SEC Proposes Rule to Require Business Continuity Plans for Adviser

    SEC Proposes Rule to Require Business Continuity Plans for Adviser
    From the Desk of Jim Eccleston at Eccleston Law LLC:On June 28, The Securities and Exchange Commission proposed new requirements for registered investments advisers to adopt and implement written business continuity and transition plans. The…
  • Jun 29

    Merrill Lynch Hit with Multiple Fines by SEC & Finra

    Merrill Lynch Hit with Multiple Fines by SEC & Finra
    From the Desk of Jim Eccleston at Eccleston Law LLC:On June 23, Bank of America Corporation though its brokerage firm Merrill Lynch agreed to pay a $415 million settlement award to the Securities and Exchange Commission. The SEC charged…
Rank this Week: 82

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: 98

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Jul 1

    William Dratel Has Seven Regulatory Sanction

    William Dratel Has Seven Regulatory Sanction
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on June 29, 2016 indicate that former New York-based Dratel Group broker William Dratel has been permanently barred from acting as a broker. The…
  • Jul 1

    James Neilsen Permanently Barred from Acting as a Broker

    James Neilsen Permanently Barred from Acting as a Broker
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 29, 2016 indicate that former New York-based Longship broker James Neilsen has been permanently barred from acting as a broker or an investment…
  • Jul 1

    Rosario Cammarata (UBS) Has Customer Complaint

    Rosario Cammarata (UBS) Has Customer Complaint
    Public records published by the Financial Industry Regulatory Authority (FINRA) on June 29, 2016 indicate that Florida-based UBS broker/adviser Rosario Cammarata has received resolved or pending customer disputes. The securities and…
Rank this Week: 192

Stock Broker Fraud Blog

Stock Broker Fraud Blog

Covers broker fraud, investor fraud, marketing timing, and securities fraud. By Shepherd Smith Edwards & Kantas.

http://www.stockbrokerfraudblog.com/
Rank this Week: 298

InvestorLawyers.net

InvestorLawyers.net

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

http://www.investorlawyers.net/blog/
  • Feb 19

    Former InterSecurities Broker Harry Hammond Suspended For Unapproved PIPE Transaction

    Former InterSecurities Broker Harry Hammond Suspended For Unapproved PIPE Transaction
    According to the Financial Industry Regulatory Authority (FINRA), former InterSecurities, Inc (InterSecurities), now known as Transamerica Financial Advisors, Inc. (Transamerica), broker Harry Hammond (Hammond) was suspended from the…
  • Feb 19

    36 Oil and Gas Companies Filed For Bankruptcy In 2015

    36 Oil and Gas Companies Filed For Bankruptcy In 2015
    Law Office of Christopher J. Gray wishes to alert investors to the possibility that recommendations of oil and gas investments by broker-dealers may be unsuitable, depending on the individual characteristics of investors and whether the…
  • Feb 19

    Customer Complaints Made Against Broker Robyn H. Lee Regarding TIC

    Customer Complaints Made Against Broker Robyn H. Lee Regarding TIC
    According to the Financial Industry Regulatory Authority (FINRA), former Independent Financial Group (Independent), broker Robyn H. Lee (Lee) has had at least thirteen (13) customer complaints made against him, mostly involving sales of…
Rank this Week: 250

Sharesleuth.com

Sharesleuth.com

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

http://sharesleuth.com/
  • Nov 22

    SEC expands fraud case to include Lenco Mobile, subject of a prior Sharesleuth investigation

    SEC expands fraud case to include Lenco Mobile, subject of a prior Sharesleuth investigation
    The Securities and Exchange Commission has quietly expanded its fraud case against financier Izak Zirk De Maison, adding seven more people as codefendants and identifying five more stocks he used in his schemes. According to the SEC’s…
  • Feb 4

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

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

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

    Kandi Technologies Group Inc.: Where are the Go-Karts?
    When the global economy collapsed in the fall of 2008, the sharp drop in consumer spending threw the power sports industry into a steep decline. Sales of motorcycles, go-karts and all-terrain vehicles each plunged by 30 percent or more,…
Rank this Week: 307

Securities Law Attorneys Blog

Securities Law Attorneys Blog

Covers securities law. By Fitapelli | Kurta.

http://www.securitieslawattorneys.net/
  • Jul 1

    Marc Reda Permitted to Resign from Firm

    Marc Reda Permitted to Resign from Firm
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on June 29, 2016 indicate that New York-based Spartan Capital Securities broker Marc Reda has been the subject of several customer complaints. The…
  • Jul 1

    Christopher Seshadri Discharged from Morgan Stanley

    Christopher Seshadri Discharged from Morgan Stanley
    Public records provided by the Financial Industry Regulatory Authority (FINRA) on June 29, 2016 indicate that former New York-based Morgan Stanley broker/adviser Christopher Seshadri was recently discharged from Morgan Stanley. The securities…
  • Jul 1

    Brandon Gioffre Permanently Barred from Securities Industry

    Brandon Gioffre Permanently Barred from Securities Industry
    Public records provided by the Financial Industry Regulatory Authority (FINRA) on June 29, 2016 indicate that former New York-based Constellation broker Brandon Gioffre has been permanently barred from acting as a broker. The securities and…
Rank this Week: 426

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/
  • Jun 30

    ABLE Plans: Helping Families of Kids With Special Needs Save for the Future

    ABLE Plans: Helping Families of Kids With Special Needs Save for the Future
    Starting July 1, Florida families with children who have special needs will have another option available to help them save for the future costs of caring for their loved one.  Florida’s ABLE United Program is one of four such…
  • Jun 23

    How to Make Sense of Your Monthly Account Statement

    How to Make Sense of Your Monthly Account Statement
    Brokerage account statements can be lengthy and complicated.  Having a basic idea of what you are looking at, however, can help you spot mistakes, unauthorized activity, and even fraud. Here are the key types of information generally…
  • Jun 13

    Financial Fraud: Don’t Be an Easy Target

    Financial Fraud: Don’t Be an Easy Target
    The headlines are full of stories of identity theft and investment fraud.  There are steps you can take to keep from being an easy target. Guard your Social Security number! Memorize the number and don’t carry your Social…
Rank this Week: 344

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • Jun 29

    Of Time and Summer (A Reprise)

    Of Time and Summer (A Reprise)
    In recognition of the Independence Day holiday in the U.S., and in what has become an annual tradition, I am reprising here my 2012 essay about Time and Summer, which can be found here. Have a great Fourth of July holiday. Thank you to…
  • Jun 28

    Is Australia About to Become the Global Forum of Choice for Securities Class Action Litigation?

    Is Australia About to Become the Global Forum of Choice for Securities Class Action Litigation?
    As I have noted in prior posts, in recent years, there has been a significant growth in shareholder class action litigation in Australia. There are a number of reasons for this development; among other things, Australia’s class action…
  • Jun 27

    Russian Trade Sanctions-Related Securities Lawsuit Dismissed

    Russian Trade Sanctions-Related Securities Lawsuit Dismissed
    In a prior post, I noted that among the implications of the international trade sanctions is the possibility that companies affected by sanctions could face D&O claims. Among the risks the sanctions program presents is the possibility…
Rank this Week: 436

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Jun 15

    Broker Investigation: Churning Complaints Against Cory Bataan

    Broker Investigation: Churning Complaints Against Cory Bataan
    The securities lawyers of Gana LLP are investigating customer complaints against broker Cory Bataan (Bataan).  There are at least four customer complaints against Bataan and one employment termination for cause.  The customer…
  • Jun 15

    Customer Complaints Against Andrew Topka Involving Non-Traded REITs and Alternative Investment

    Customer Complaints Against Andrew Topka Involving Non-Traded REITs and Alternative Investment
    The securities lawyers of Gana LLP are investigating a customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Andrew Topka (Topka).  According to BrokerCheck records Foote has been subject to at…
  • Jun 13

    FINRA Bars Brian Smit Over Private Securities Transaction

    FINRA Bars Brian Smit Over Private Securities Transaction
    The investment lawyers of Gana LLP are investigating the regulatory action brought by the Financial Industry Regulatory Authority (FINRA) against Brian Smit (Smit) formerly working out of the Sioux Falls, South Dakota office of LPL Financial…
Rank this Week: 373

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/
  • Apr 28

    Call for Papers AALS Section on Securities Regulation - 2017 AALS Annual Meeting

    Call for Papers AALS Section on Securities Regulation - 2017 AALS Annual Meeting
    The AALS Section on Securities Regulation invites papers for its program on “Securities Regulation and Technological Change” at the 2017 AALS annual meeting. TOPIC DESCRIPTION: This panel discussion will explore the intersection of…
  • Apr 28

    Save the Date: Central States Law Schools Scholarship Conference

    Save the Date: Central States Law Schools Scholarship Conference
    The Central States Law Schools Association 2016 Scholarship Conference will be held on Friday, September 23 and Saturday, September 24 at the University of North Dakota School of Law in Grand Forks, ND. CSLSA is an organization of law…
  • Apr 28

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: Ivet A. Bell, Note, The Constitutionality of the SEC Pay to Play Rule: Why 206(4)-5 Survives the Deregulatory Trend in Campaign Finance, 49…
Rank this Week: 437

Securities Lawyer 101

Securities Lawyer 101

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

https://www.securitieslawyer101.com/blog/
  • Jan 1

    Going Public Blog l Securities Lawyer 101

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

    Going Public Blog l Securities Lawyer 101

    Going Public Blog l Securities Lawyer 101
      Securities Lawyer 101 Blog Going public is a big step for any company.  The process of “going public” is complex and at times precarious.  While going public offers many benefits it also comes with risks and…
  • Jun 28

    Trader Agrees to Settle Claims Relating to Hacked News Release Scheme-Recovery exceeds $52 Million

    Trader Agrees to Settle Claims Relating to Hacked News Release Scheme-Recovery exceeds $52 Million
    Going Public LawyerThe SEC announced on May 4th, 2016 that it had entered into a settlement agreement, subject to court approval, with defendant Oleksandr Makarov in a case alleging a scheme to trade on hacked news releases. In August…
Rank this Week: 561

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 1

    Raymond James fined over Jay Peak investments.

    Raymond James fined over Jay Peak investments.
    According to reports, Raymond James Financial Inc. has reached a $5.95 million settlement with Vermont’s department of financial regulation over compliance violations tied to real-estate development projects at ski resort Jay Peak. The…
  • Jun 30

    Lee Weiss banned by SEC.

    Lee Weiss banned by SEC.
    According to reports, Lee Weiss has been barred from the brokerage and investment advisory industry for his fraudulent scheme involving a French company that claimed it could reduce the harmful effects of tobacco smoking. Mr. Weiss, who…
  • Jun 29

    FINRA files complaint involving Richard William Lunn Martin

    FINRA files complaint involving Richard William Lunn Martin
    The Financial Industry Regulatory Authority Inc. recently filed a complaint against a former broker for telling his clients to invest in risky exchanged-traded funds as a hedge against impending financial and economic doom. According to…
Rank this Week: 505

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 1

    Happy Fourth Of July!

    Happy Fourth Of July!
    For the record, “Independence Day” is mentioned in  the following five California statutes: Civil Code § 1689.24 Civil Code § 1689.5 Civil Code § 1695.1 Civil Code § 1812.303 Health & Safety…
  • Jun 30

    Does “Valid When Made” Apply To Evidences Of Indebtedness Qualified Under The CSL?

    Does “Valid When Made” Apply To Evidences Of Indebtedness Qualified Under The CSL?
    Many have expressed disappointment that the U.S. Supreme Court denied certiorari in Midland Funding, LLC v. Madden.  The question presented by the petitioners in the case was as follows: Whether the National Bank Act,…
  • Jun 29

    SEC Declines To Define “Mineral” In Resource Extraction Rule But Then Defines It Anyway

    SEC Declines To Define “Mineral” In Resource Extraction Rule But Then Defines It Anyway
    As reported by Broc Romanek yesterday, the Securities and Exchange Commission adopted (again) a resource extraction rule.  Congress had ordered the SEC to adopt a rule by April 17, 2011.  After belatedly adopting a rule, the U.S.…
Rank this Week: 595

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
  • Jun 28

    Merrill Lynch Market-Linked Notes: Investor Beware?

    Merrill Lynch Market-Linked Notes: Investor Beware?
    Merrill Lynch underwrites, manages and markets the sale of Market-Linked Notes issued by its parent company, Bank of America Corporation, and numerous other unaffiliated banks. Market-Linked Notes were purportedly recommended by Merrill Lynch…
  • Jun 22

    SEC Places Merrill Lynch in its Crosshairs over Sales of Structured Note

    SEC Places Merrill Lynch in its Crosshairs over Sales of Structured Note
    A recent article in The Wall Street Journal (“SEC Readies Case Against Merrill Lynch Over Notes That Lost 95%”) stated that the Securities and Exchange Commission is preparing a civil enforcement case against Merrill Lynch over a…
  • Jun 9

    Oppenheimer & Co. – Widespread Culture of Corruption?

    Oppenheimer & Co. – Widespread Culture of Corruption?
    Oppenheimer & Co., one of the most sanctioned and criticized brokerage firms on Wall Street, has been once again the subject of a massive regulatory fine (“FINRA Sanctions Oppenheimer & Co. $2.9 Million for Unsuitable Sales of…
Rank this Week: 501

Stock Attorneys Blog

Stock Attorneys Blog

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

http://www.stockattorneysblog.com/
  • Mar 14

    FINRA Questioning Brokerage Firm “Culture”

    FINRA Questioning Brokerage Firm “Culture”
    FINRA has made brokerage firm “culture” one of its top priorities for 2016. FINRA refers to “culture” as how management sets the bar for the firm and how culture effects their brokers interaction with clients and their…
  • 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…
Rank this Week: 657

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

http://www.hedgefundlawblog.com
  • Dec 4

    Hedge Fund Events December 2015

    Hedge Fund Events December 2015
    The following are various hedge fund events happening this month.  Please email us if you would like us to add your event to this list. **** Date: December 1-3, 2015 Sponsor: AnDevCon Event: AnDevCon: The Android Developer Conference…
  • Dec 4

    Hedge Fund Events December 2015

    Hedge Fund Events December 2015
    The following are various hedge fund events happening this month.  Please email us if you would like us to add your event to this list. **** Date: December 1-3, 2015 Sponsor: AnDevCon Event: AnDevCon: The Android Developer Conference…
  • Nov 1

    Hedge Fund Events November 2015

    Hedge Fund Events November 2015
    The following are various hedge fund events happening this month.  Please email us if you would like us to add your event to this list. **** Date: November 2-4, 2015 Sponsor: BZ Events Event: Big Data Tech Con 2014 Location: Chicago, IL…
Rank this Week: 527

New York Securities Lawyers Blog

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

http://www.newyorksecuritieslawyersblog.com/
  • Jul 1

    BROKER REPORT: Wells Fargo’s Robert Ro

    BROKER REPORT: Wells Fargo’s Robert Ro
    The investment and securities fraud attorneys at Malecki Law are interested in hearing from investors who have complaints regarding Wells Fargo financial advisor Robert Ross.  According to his BrokerCheck report maintained by the…
  • Jun 30

    BROKER REPORT: FINRA Files Case Against Financial Advisor Richard William Martin for Recommending Non-Traditional ETF

    BROKER REPORT: FINRA Files Case Against Financial Advisor Richard William Martin for Recommending Non-Traditional ETF
    The securities fraud attorneys at Malecki Law are interested in hearing from investors who have complaints against stockbroker Richard William Martin.  Mr. Martin was most recently employed and registered from July 2009 to July 2015 with…
  • Jun 29

    BROKER REPORT: Financial Advisor Brandon Gioffre Barred from Conducting Securities Busine

    BROKER REPORT: Financial Advisor Brandon Gioffre Barred from Conducting Securities Busine
    The securities fraud attorneys at Malecki Law are interested in hearing from investors who have complaints against stockbroker Brandon Gioffre.  Mr. Gioffre was employed and registered from July 2014 to August 2015 with Constellation…
Rank this Week: 1377

New York Securities Lawyer Blog

New York Securities Lawyer Blog

Covers securities law. By Lax & Neville LLP.

http://www.newyorksecuritieslawyerblog.com/
Rank this Week: 827

Recover Investment Losses Blog

Recover Investment Losses Blog

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

http://blog.rexsecuritieslaw.com
  • Jun 30

    Kim Kopacka-IMS Securities Broker-Sued Over Real Estate Investment

    Kim Kopacka-IMS Securities Broker-Sued Over Real Estate Investment
    Grosse Pointe Farms, MI According to FINRA records,  Kim Kahala Kopacka ,   a stockbroker who currently is employed by IMS Securities.   discloses  two pending customer disputes involving…
  • Jun 29

    Malcolm Segal-Former Aegis Capital Broker-Sentenced to 126 Months on Ponzi Scheme

    Malcolm Segal-Former Aegis Capital Broker-Sentenced to 126 Months on Ponzi Scheme
    June 25, 2016-Philadelphia Former Aegis Capital Corp. stock broker Malcolm Segal, of Langhorne, Pennsylvania, and Boynton Beach, FL, was sentenced to 126 months in prison in connection with a Ponzi scheme. In addition he was ordered to pay $3…
  • Jun 29

    Charles Geraci-VSR Financial Services Broker-Discloses Customer Dispute

    Charles Geraci-VSR Financial Services Broker-Discloses Customer Dispute
    The Woodlands, Texas According to FINRA records, Charles Geraci ,  a stockbroker who is employed by VSR Financial Services ,  discloses one pending customer dispute and 6 prior customer disputes that have…
Rank this Week: 1387

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: 1286

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/
  • Jun 30

    Dell, T. Rowe Price Settle Buyout Lawsuit for $25 Million

    Dell, T. Rowe Price Settle Buyout Lawsuit for $25 Million
    Here’s the intro for this WSJ article about this court order approving a settlement issued yesterday (also see this Gary Lutin report with more info): T. Rowe Price Group Inc. shareholders are getting some of their money back after a…
  • Jun 29

    A Brexit Antitrust Primer

    A Brexit Antitrust Primer
    This Wilson Sonsini memo does a great job of analyzing the antitrust implications of Brexit…
  • Jun 28

    Corp Fin: 7 New “Rule 701” CDI

    Corp Fin: 7 New “Rule 701” CDI
    As noted in this Cooley blog, Corp Fin issued 7 new CDIs last week on Rule 701 issues – primarily in the M&A context…
Rank this Week: 875

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • Jun 27

    So what’s your firm’s culture

    So what’s your firm’s culture
    If you cannot answer this question, you may have an issue when you have your next FINRA exam. After all, firm culture is a FINRA exam priority. Does your firm have a culture of compliance? This question only leads to another; what is a…
  • Jun 26

    Huge Customer Protection Rule Fine Brings Back Memorie

    Huge Customer Protection Rule Fine Brings Back Memorie
    My friend and a legend in the securities regulatory field, Edwin Nordlinger, who served as Deputy Regional Director in the SEC’s New York office for years, was one of the nation’s premier experts on the SEC’s net capital and…
  • Jun 20

    What to do about a stupid client

    What to do about a stupid client
    Anyone in a professional service business, like being a stock broker, have been faced with a client who decides to make a stupid decision. But the issue we all face is when that decision results in the client losing money; who is to be held…
Rank this Week: 943

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/
  • 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…
  • 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…
  • Nov 10

    Investor Alert: Magnum Hunter Resources to be Delisted

    Investor Alert: Magnum Hunter Resources to be Delisted
    Today, the New York Stock Exchange (NYSE) announced their decision to proceed with delisting Magnum Hunter Resources Corporation (NYSE: MHR). Trading in MHR's common stock will be suspended immediately causing irreparable harm to many main…
Rank this Week: 1200

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: 865

Dividends and Preferences

Dividends and Preferences

Musings on Venture Capital, Technology and Entrepreneurship. By Hank J. Heyming.

http://www.dividendsandpreferences.com/
  • Jan 24

    Microsoft/Skype -- Putting Things into Perspective

    Microsoft/Skype -- Putting Things into Perspective
    {EAV:984c4a016f17013d} Microsoft acquires Skype! Largest Microsoft acquisition ever!! Facebook jilted!!! Google jilted!!!! Wait, Facebook wins through Microsoft!!!!! Wait, Microsoft overpaid by $4 billion with a B!!!!!! OMG Google just…
  • May 10

    Nerd Chic

    Nerd Chic
    Lately, I've noticed a new twist to the typical ebb and flow of the fashion wars.  It occurred to me that, for perhaps the first time in my lifetime, it is cool right now to be a nerd.
  • Apr 25

    Out and About

    Out and About
    Hey folks -- I'm getting ready to head down to the RTP area for the annual CED Venture Conference.  This year it is in downtown Raleigh, instead of Pinehurst, and looks to be bigger and better than ever. So, if anyone happens to be in the…
Rank this Week: 1216

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: 1179

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: 759

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/
  • Dec 31

    SEC’s Report Evaluates The Definition of An Accredited Investor

    SEC’s Report Evaluates The Definition of An Accredited Investor
    The U.S. Securities and Exchange Commission (SEC) has put out a report assessing the definition of who qualifies as an accredited investor. The 2010 Dodd-Frank Act mandates that this definition be reevaluated every four years. Accredited…
  • Dec 29

    Wells Fargo Sued by Commerz Bank in Mortgage-Backed Securities Case

    Wells Fargo Sued by Commerz Bank in Mortgage-Backed Securities Case
    Commerzbank is suing Wells Fargo (WFC) for losses sustained on failed mortgage-backed securities (MBS). The German finance firm claims the California lending giant did not properly supervise MBS during the housing bubble, which Commerzbank…
  • Jun 27

    401K Lawsuits: MassMutual Settles with Employees for $31M and TransAmerica Settles for $3.8M

    401K Lawsuits: MassMutual Settles with Employees for $31M and TransAmerica Settles for $3.8M
    Massachusetts Mutual Life Insurance Co. has arrived at a nearly $31M settlement with plaintiffs of a class action securities case. They are accusing the retirement service provider of charging excessive fees in its retirement plans. The 401k…
Rank this Week: 4661

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Jul 1

    PCAOB’s Harris raises alarm about increase in Big Four firms’ consulting and advisory service

    PCAOB’s Harris raises alarm about increase in Big Four firms’ consulting and advisory service
    By Jacquelyn LumbPCAOB member Steve Harris raised alarms about the emerging threat to auditor independence posed by the rise in consulting and advisory services offered by public accounting firms. In remarks to the International Corporate…
  • Jun 30

    Texas diverges from SEC on portal handling of investor fund

    Texas diverges from SEC on portal handling of investor fund
    By Jay Fishman, J.D. While the SEC prohibits crowdfunding portals from handling investor funds, the Texas State Securities Board has proposed to amend its crowdfunding exemption to relax this prohibition. As proposed, a Texas crowdfunding…
  • Jun 29

    Timbervest proceeding remanded to SEC to hear additional evidence

    Timbervest proceeding remanded to SEC to hear additional evidence
    By Amanda Maine, J.D.The D.C. Circuit has remanded proceedings against Timbervest LLC to the SEC for the purpose of hearing additional evidence relating to the SEC’s original disgorgement order; in particular, an agreement of settlement…
Rank this Week: 2430

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Jul 1

    Dazzling Sights of a Conference

    Dazzling Sights of a Conference
    Cross another item off my bucket list: “Being forced to wear a borrowed jacket at a restaurant.” Thanks to Skadden’s Brian Breheny & Marc Gerber for that fine dinner out at the beautiful Broadmoor in Colorado! Taking my…
  • Jun 30

    A Special Webcast! “The SEC Speaks on Non-GAAP”

    A Special Webcast! “The SEC Speaks on Non-GAAP”
    Since we’ve still been getting so many questions about what the SEC Staff expects in the wake of Corp Fin’s recent issuance of its new non-GAAP CDIs, we’ve calendared a new webcast – “Non-GAAP Disclosures: The…
  • Jun 30

    SEC Commissioner Nominees: Confirmation Not Gonna Happen (Anytime Soon)

    SEC Commissioner Nominees: Confirmation Not Gonna Happen (Anytime Soon)
    The ridic Senate battle over confirmation of the SEC’s two Commissioner nominees continues. Here’s an excerpt from this WSJ article by Andrew Ackerman: The two nominees to fill vacancies on the Securities and Exchange Commission…
Rank this Week: 2449

The Securities Edge

The Securities Edge

Covers securities law topics of interest to executives of middle market businesses. By Gunster.

http://www.thesecuritiesedge.com/
  • Jun 30

    Challenge to Regulation A+ Denied

    Challenge to Regulation A+ Denied
    Posted By: David C. Scileppi Good, but not surprising, news for issuers considering a Regulation A+ offering. Back in May 2015, Massachusetts and Montana sued the SEC in an attempt to invalidate the Regulation A+ rules.  Montana had…
  • Jun 25

    The SEC’s summer menu

    The SEC’s summer menu
    Posted By: Robert B. Lamm In recent weeks, the SEC has given public companies some new menu items, including the following: On June 1, the SEC adopted an “interim final rule” that permits companies to inclue a summary of business…
  • Jun 22

    New federal law provides additional protection for trade secret

    New federal law provides additional protection for trade secret
    Posted By: Robert C. White Jr. President Barack Obama signed into law Wednesday, May 11th, a bill that will provide protection for trade secrets on the federal level. This new legislation, called the Defend Trade Secrets Act of 2016, or DTSA,…
Rank this Week: 3575

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/
  • Jun 30

    Broker Bests UBS on Deferred Comp

    Broker Bests UBS on Deferred Comp
    A former UBS broker instituted arbitration proceedings against UBS for failing to pay deferred compensation and bonus compensation, defamation, tortious interference with prospective economic advantage, wrongful termination, and violation of…
  • Jun 29

    Paul Dudek, Chief of Office of International Corporate Finance, to Leave Agency

    Paul Dudek, Chief of Office of International Corporate Finance, to Leave Agency
    The Securities and Exchange Commission today announced that Paul Dudek, Chief of the Office of International Corporate Finance in the Division of Corporation Finance, is leaving the agency at the end of the month. Mr. Dudek has headed…
  • Jun 28

    C. Dabney O’Riordan Named as Co-Chief of the Asset Management Unit

    C. Dabney O’Riordan Named as Co-Chief of the Asset Management Unit
    The Securities and Exchange Commission today announced that C. Dabney O’Riordan has been named co-chief of the Division of Enforcement’s Asset Management Unit, a national specialized unit that focuses on misconduct by investment…
Rank this Week: 2429

White Collar Alert

White Collar Alert

Provides news and insight to counsel and legal observers concerning white collar criminal defense, internal investigations, government litigation and regulatory compliance. By Montgomery McCracken.

http://whitecollarblog.mmwr.com
  • Jun 29

    VW Clears the Air with $14.7B Emissions Settlement

    VW Clears the Air with $14.7B Emissions Settlement
    This guest post was authored by Mara Smith, a summer associate with Montgomery McCracken. This Tuesday, Volkswagen agreed to pay the largest auto-related class action settlement in U.S. history, totaling $14.7 billion. The settlement was…
  • Jun 24

    Yuengling to Settle Up on Expensive Tab after Feds Discover Excessive Suds Byproducts in Water

    Yuengling to Settle Up on Expensive Tab after Feds Discover Excessive Suds Byproducts in Water
    Someone at local D.G. Yuengling and Son, Inc. could probably go for a cold one right now, as settlement negotiations with the U.S. Environmental Protection Agency (“USEPA”) have finally come to a head.   In a consent…
  • Jun 24

    Yuengling to Settle Up on Expensive Tab after Feds Discover Excessive Suds Byproducts in Water

    Yuengling to Settle Up on Expensive Tab after Feds Discover Excessive Suds Byproducts in Water
    Someone at local D.G. Yuengling and Son, Inc. could probably go for a cold one right now, as settlement negotiations with the U.S. Environmental Protection Agency (“USEPA”) have finally come to a head.   In a consent…
Rank this Week: 2093

Canadian Securities Law Online

Canadian Securities Law Online

Covers Canadian securities law topics, including disclosures, corporate governance, mergers, registration and compliance. By Stikeman Elliott.

http://www.canadiansecuritieslaw.com/
Rank this Week: 4175

Stock Market Loss

Stock Market Loss

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

http://www.stockmarketloss.com/news/
  • Jun 29

    FINRA’s New Changes Don’t Address Transparency Issue

    FINRA’s New Changes Don’t Address Transparency Issue
    This article was originally posted on Stock Market Loss Although FINFA received 51 recommendations from a task force designed to improve the arbitration process, it recently announced only a few modest changes to the system. The number of…
  • Jun 29

    Hugh Berkson Calls for More Rules on Nontraded REIT

    Hugh Berkson Calls for More Rules on Nontraded REIT
    This article was originally posted on Stock Market Loss New FINRA rules regarding nontraded REITs have some advisors crying off this investment. The rule requires advisers to report the actual value of those investments – less…
  • Jun 29

    Hugh Berkson Calls to Modify Rules of an Accredited Investor

    Hugh Berkson Calls to Modify Rules of an Accredited Investor
    This article was originally posted on Stock Market Loss The SEC is struggling with the concept of an accredited investor, a system that was established in 1982 and has remained largely unchanged. The call to modify these rules comes at a time…
Rank this Week: 3518

Securities Litigation and…

Securities Litigation and Regulatory Enforcement Blog

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

http://blogs.orrick.com/securities-litigation/
  • Jun 29

    New Appointment Underscores SEC’s Focus on Cybersecurity Threat

    New Appointment Underscores SEC’s Focus on Cybersecurity Threat
    On June 2, 2016, the SEC announced the appointment of Christopher Hetner as Senior Advisor to the Chair for Cybersecurity Policy.  Hetner, who was formerly the Cybersecurity Lead for the Technology Control Program within the SEC’s…
  • Jun 22

    Eleventh Circuit Joins Peers in Preserving SEC’s Home Court Advantage

    Eleventh Circuit Joins Peers in Preserving SEC’s Home Court Advantage
    After four failed attempts at persuading federal appellate courts to hear constitutional challenges to SEC administrative courts, it is increasingly clear that defendants in SEC in-house proceedings will not be able to pursue an early out…
  • Jun 21

    The Whistle Blows Again: SEC Pays Second Largest Whistleblower Bounty Award

    The Whistle Blows Again: SEC Pays Second Largest Whistleblower Bounty Award
    On June 9, 2016, the Securities and Exchange Commission (‘SEC”) awarded the second largest whistleblower bounty – $17 million – granted under the Dodd-Frank whistleblower rules to date.  Previously, the highest…
Rank this Week: 3406

Tim O'Connor's Blog

Tim O'Connor's Blog

Covers stockbroker fraud.

http://stockbrokerlaw.com/tim-oconnors-blog
  • Jun 28

    Key Discovery Rule Decision in Aronstein v. Massachusetts Mutual Life Insurance Company

    Key Discovery Rule Decision in Aronstein v. Massachusetts Mutual Life Insurance Company
    In a Decision handed down on April 22, 2016, the Honorable Mark G. Mastroianni, United States District Judge, for the District of Massachusetts, upheld the right of an investor, in a class action lawsuit against Massachusetts Mutual Life…
  • Jun 21

    SEC Awards a Total of $8.5 Million Dollars in Two Separate Whistleblower Case

    SEC Awards a Total of $8.5 Million Dollars in Two Separate Whistleblower Case
    In two separate press releases dated May 16, 2016 (link to press release 2016-89) and May 17, 2016 (number 2016-91) the Securities and Exchange Commission announced awards of over $5,000,000 and $3.5 Million Dollars, respectively, to…
  • Jun 14

    FINRA Whistleblower Tip-Line

    FINRA Whistleblower Tip-Line
    The Financial Industry Regulatory Authority maintains a whistleblower tip-line for individuals having information about potentially illegal or unethical activity involving the securities markets FINRA’s Office of Fraud Detection and…
Rank this Week: 3039

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
  • Jun 24

    Get On Board With New FINRA Rule 2273 Before You On-Board Registered Rep

    Get On Board With New FINRA Rule 2273 Before You On-Board Registered Rep
    Get On Board With New FINRA Rule 2273 Before You On-Board Registered Repsby Myles Blechner, Senior Consultant, NCS Regulatory ComplianceOn March 23, 2016, the Securities and Exchange Commission ("SEC") approved Financial Industry Regulatory…
  • Jun 23

    Pro Se Stockbroker Wins $435,000 Award In Defamation And Termination Case

    Pro Se Stockbroker Wins $435,000 Award In Defamation And Termination Case
    A former registered representative seeks about $600,000 in damages from his former employer amid allegations of defamation and wrongful termination. It's a familiar refrain; however, that familiarity makes nothing less painful for any former…
  • Jun 21

    Lonely Game of Masquerade As FINRA Hides Two Entire Countrie

    Lonely Game of Masquerade As FINRA Hides Two Entire Countrie
    Welcome to FINRA's masquerade ball where the self-regulatory organization hides two entire countries behind a mask of secrecy in a recent regulatory settlement despite naming one American state and one British territory and one sovereign…
Rank this Week: 3758

May Law, PC Blog

May Law, PC Blog

Covers investment law, securities laws the requirements of the Financial Industry Regulatory Authority (FINRA).

http://www.maylawpc.net/category/blog/
  • Jun 23

    FINRA Takes a Closer Look at Variable Annuity Sale

    FINRA Takes a Closer Look at Variable Annuity Sale
    The things we spend our money on tend to change as we get older. There’s a good chance you have a lot more money in your pocket…
  • Jun 2

    Who is May Law?

    Who is May Law?
    Press play on the video below for an inside look into what sets May Law apart from other firms and why Andrew May feels so passionately about…
  • May 20

    The Evolution of Insider Trading

    The Evolution of Insider Trading
    In the world of finance, one of the most malleable legal terms is “insider trading.” It may seem obvious to financial experts, but many don’t fully appreciate…
Rank this Week: 2666

Subject to Inquiry

Subject to Inquiry

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

http://www.subjecttoinquiry.com/
  • Jun 23

    Supreme Court Hands Down Opinion in Universal Health Services v. Escobar

    Supreme Court Hands Down Opinion in Universal Health Services v. Escobar
    Recently, the Supreme Court handed down its much-anticipated opinion in Universal Health Services, Inc. v. United States ex rel. Escobar et al.—a case addressing the viability of the implied certification theory in FCA litigation. …
  • Jun 17

    SEC Highlights Model Response to Evidence of FCPA Violations, Announces Non-Prosecution Agreement

    SEC Highlights Model Response to Evidence of FCPA Violations, Announces Non-Prosecution Agreement
    On June 7, the Securities and Exchange Commission (SEC) announced two non-prosecution agreements (NPAs) following a pair of investigations into alleged violations of the Foreign Corrupt Practices Act (FCPA).  Both companies were ensnared…
  • Jun 16

    Department of Education Proposes Rules Increasing Student Loan Risk to School

    Department of Education Proposes Rules Increasing Student Loan Risk to School
    On June 13, the Department of Education (DOE) proposed new rules relating to effective discharges of student loans. The proposed rules should be of note and concern to all schools, nonprofit and for-profit alike, because of significant new…
Rank this Week: 1948

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • Jun 22

    Ignore At Your Own Peril: “Training Fees” Provisions in Financial Industry Employment Contract

    Ignore At Your Own Peril: “Training Fees” Provisions in Financial Industry Employment Contract
                It has long been the practice of many broker-dealers, wire houses, and other financial firms to put provisions in employee contracts allowing them to recover so-called “training fees”…
  • May 23

    DOL Fiduciary Rule P II: The SEC Story

    DOL Fiduciary Rule P II: The SEC Story
    While the previous post discussed the Department of Labor’s (DOL) fiduciary rule, it is not the only government agency tackling the issue. In 2010, President Obama signed into law the Dodd-Frank Act, which authorized the Securities and…
  • Apr 18

    “Lumpiness” insufficient When the Ship is Going Down

    “Lumpiness” insufficient When the Ship is Going Down
    Class action investors recently won a partial victory against Dolan Company in the 8th Circuit Court of Appeals.  I stress partial because, while the trial court’s dismissal was reversed, its severe limitation of the…
Rank this Week: 4159

Business Blog

Business Blog

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

http://www.businesslawnews.com/
  • Jun 21

    Green v. Brennan: When is a Constructive Discharge Claim Applicable?

    Green v. Brennan: When is a Constructive Discharge Claim Applicable?
    The U.S. Supreme Court recently held that the statute of limitations begins to run in a constructive discharge lawsuit when the employee provides notice of his resignation. The Court’s 7-1 decision in Green v. Brennan resolves a circuit…
  • May 30

    Mickelson Case Reflects Insider Trading in the Wake of Newman

    Mickelson Case Reflects Insider Trading in the Wake of Newman
    What does the Mickelson case reveal about insider trading? Professional golfer Phil Mickelson was recently named in an insider trading case involving sports gambler William Walters. Although Phil is not facing any charges in the…
  • May 11

    Cyber Threats on Small Businesses Come from All Angle

    Cyber Threats on Small Businesses Come from All Angle
    Cyber Threats on Small Businesses Come from All Angles The Federal Bureau of Investigation (FBI) recently issued several “cyber alerts” that may impact small businesses in Monmouth County and throughout New Jersey. As with all…
Rank this Week: 3858

Cady Bar the Door

Cady Bar the Door

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

http://www.secmiscellany.com
  • Jun 15

    Supreme Court Says Prosecutors Can’t Judge the Cases They Prosecute

    Supreme Court Says Prosecutors Can’t Judge the Cases They Prosecute
    Not all of the justices would put it that way.  To be fair to the dissenters, and because his version is shorter, we’ll use Justice Thomas’s description of the underlying facts from his dissent in Williams v. Pennsylvania,…
  • Jun 13

    Don’t even think about violating that penny stock bar.

    Don’t even think about violating that penny stock bar.
    The penny stock world can be rough. So rough that breaking the rules in that corner of the securities markets ban bring its own kind of injunction, one that’s much more specific than the typical don’t-break-the-law-anymore kind of…
  • May 25

    The Insider Trading Cartoon Series, Vol. IX — Tender Offer

    The Insider Trading Cartoon Series, Vol. IX — Tender Offer
    I want to talk about Rule 14e-3, because it has significant implications for insider trading liability.  But to do that, we first have to talk about tender offers, and what they are.     The post The Insider Trading Cartoon…
Rank this Week: 3874

Strictly Business

Strictly Business

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

http://www.strictlybusinesslawblog.com/
  • Jun 14

    5 Questions to Answer As You Prepare Your Startup for a Seed or Angel Round

    5 Questions to Answer As You Prepare Your Startup for a Seed or Angel Round
    Last month I wrote about the four stages of startup capital – (1) seed rounds, (2) angel rounds, (3) venture rounds, and (4) bridge/pre-ipo stage rounds. This month we’ll take a look at what startups need to do to prepare…
  • May 16

    Title III Crowdfunding Is Here

    Title III Crowdfunding Is Here
    Title III crowdfunding is here! The first funding portals can begin operations today, May 16, 2016. On Friday, I was a guest on the “This Week in Law” Podcast, where I talked about the impact this will have on startups, technology…
  • May 5

    The Founders’ Intro to Raising Startup Capital

    The Founders’ Intro to Raising Startup Capital
    For many startup founders, what led them into the risky but thrilling world of starting their own company was technology, innovation, the ability to affect the world, and the freedom of being their own boss. Learning the ins and outs of…
Rank this Week: 2980