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Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

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

    Samuel Lek Has Received Eleven Pending Regulatory Complaint

    Samuel Lek Has Received Eleven Pending Regulatory Complaint
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on April 21, 2017 indicate that New York-based LEK Securities Corporation broker Samuel Lek has been named in a dozen pending regulatory or civil…
  • Apr 26

    Keith Geary Was Barred From Engaging in Principal and Supervisory Activitie

    Keith Geary Was Barred From Engaging in Principal and Supervisory Activitie
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on April 20, 2017 indicate that Arizona-based Union Capital Company broker Keith Geary has been sanctioned by FINRA and barred from engaging in…
  • Apr 26

    Eric Ott is the Subject of a Pending Regulatory Investigation

    Eric Ott is the Subject of a Pending Regulatory Investigation
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on April 20, 2017 indicate that former Ohio-based MML Investors Services broker Eric Ott has been sanctioned by FINRA and suspended from acting as a…
Rank this Week: 35

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: 100

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: 175

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/
  • Apr 26

    Alec Rivera Investigation Update

    Alec Rivera Investigation Update
    Former Merrill Lynch Broker, Alec Rivera pleads guilty to stealing from clients Have you suffered losses investing with former Merrill Lynch broker Alec Rivera? If so, The White Law Group may be able to help you recover your losses by filing…
  • Apr 25

    FINRA Revises its Sanction Guidelines on Churning

    FINRA Revises its Sanction Guidelines on Churning
    FINRA Tightens Sanctions on Churning In April 2017, the Financial Industry Regulatory Authority announced that it had revised its sanction guidelines for violations of its rules. The revisions include changes relating to rule violations that…
  • Apr 25

    Corporate Property Associates 17 Global Inc. Investment Losse

    Corporate Property Associates 17 Global Inc. Investment Losse
    Recovery of Corporate Property Associates 17 Global Inc. Investment Losses Have you suffered investment losses in Corporate Property Associates 17 Global Inc.? If so, The White Law Group may be able to help you recover your losses through…
Rank this Week: 208

Financial Counsel

Financial Counsel

Covers compliance, employment and industry intelligence for investment professionals and investment, planning and regulatory intelligence for investors. By James J. Eccleston.

http://financialcounselblog.com
  • Apr 7

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

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

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

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

    Virginia Adviser Sentenced to Prison for Embezzling Money

    Virginia Adviser Sentenced to Prison for Embezzling Money
    From the Desk of Jim Eccleston at Eccleston Law LLC: Virginia financial adviser Troy Baldridge was sentenced to prison for 41 months after admitting to embezzling more than $500,000 from his mostly elderly, retired clients.According to…
Rank this Week: 171

Securities Law Attorneys Blog

Securities Law Attorneys Blog

Covers securities law. By Fitapelli | Kurta.

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

    Brad Feinstein Was Sanctioned by FINRA For Failing to Comply with a Settlement Agreement

    Brad Feinstein Was Sanctioned by FINRA For Failing to Comply with a Settlement Agreement
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on April 21, 2017 indicate that former New York-based Garden State Securities broker/adviser Brad Feinstein has been sanctioned by FINRA and is…
  • Apr 26

    Mark Wesley: Sanctioned and Barred by FINRA Following allegations of Misconduct

    Mark Wesley: Sanctioned and Barred by FINRA Following allegations of Misconduct
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on April 21, 2017 indicate that former Ohio-based Ameriprise Financial Services broker/adviser Mark Wesley has been sanctioned by FINRA and barred from…
  • Apr 26

    Peyton Jackson Was Named Respondent in a FINRA Complaint

    Peyton Jackson Was Named Respondent in a FINRA Complaint
    Public records provided by the Financial Industry Regulatory Authority (FINRA) on April 21, 2017 indicate that former New York-based Alexander Capital broker Peyton Jackson has been named in a FINRA complaint and is currently not affiliated…
Rank this Week: 238

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

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

    Corp Fin: Will Bill Hinman Be the New Director?

    Corp Fin: Will Bill Hinman Be the New Director?
    We normally don’t comment on rumors, but we couldn’t ignore this WSJ article by Dave Michaels: President Donald Trump’s choice to run the Securities and Exchange Commission is quietly assembling a cabinet of top staff…
  • Apr 25

    Survey Results: Rule 10b5-1 Plan Practice

    Survey Results: Rule 10b5-1 Plan Practice
    We have posted these survey results on Rule 10b5-1 plan practices: 1. Does your company require insiders to sell shares only pursuant to a Rule 10b5-1 trading plan? – Yes, insiders are required to use Rule 10b5-1 plans in order to sell…
  • Apr 24

    Shareholder Proposals: No-Action Letter Stat

    Shareholder Proposals: No-Action Letter Stat
    Here are stats about this year’s no-action letters for shareholder proposals, courtesy of this Bloomberg blog: – An increase in number of no-action letter requests: Over 220 requests were submitted – almost a 10% increase…
Rank this Week: 320

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 24

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: Evelyn S. Anderson, Note, Wealth and Knowledge: Strengthening the Economy by Expanding the Qualified Purchaser "Sophisticated"…
  • Apr 24

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: Craig Boyd, Comment, Appraisal Arbitrage: Closing the Floodgates on Hedge Funds and Activist Shareholders, 65 U. Kan. L. Rev. 497 (2016).…
  • Apr 11

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: Ilya Beylin, A Reassessment of the Clearing Mandate: How the Clearing Mandate Affects Swap Trading Behavior and the Consequences for…
Rank this Week: 236

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
Rank this Week: 285

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: 233

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • Apr 26

    London Update

    London Update
    The D&O Diary finished up its European stint with a brief stop in London earlier this week before heading home. Because it was only a brief visit with numerous commitments, I had only a little bit of a chance to look around…
  • Apr 24

    April in Pari

    April in Pari
    The D&O Diary is on assignment in Europe this week, with a first stop in Paris, for meetings. I have been to Paris many times before, but almost always in the fall or winter. Before this trip, I hadn’t really had the pleasure…
  • Apr 20

    PwC Annual Study Reports Record Number of Securities Suit

    PwC Annual Study Reports Record Number of Securities Suit
    Largely driven by a “dramatic” increase in the number of federal court merger objection lawsuits, securities class action litigation filings rose to the highest level ever in 2016, according to PwC’s most recent annual…
Rank this Week: 497

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/
  • Apr 26

    Buying Assets? Have You Considered This Secretary’s Certificate?

    Buying Assets? Have You Considered This Secretary’s Certificate?
    California Corporations Code Section 1001 requires approval by the outstanding shares (Corp. Code § 152) of the principal terms of a sale of all or substantially all of a corporation’s assets (unless the transaction is in the usual…
  • Apr 25

    Court Rules Indirect Purchaser Claims Against Theranos May Proceed

    Court Rules Indirect Purchaser Claims Against Theranos May Proceed
    Theranos’ anni horribilium began in October 2015 with the publication of a story by investigative reporter John Carreyrou at The Wall Street Journal.  Lawsuits and government investigations ensued.  Although the…
  • Apr 24

    Court of Appeal Defines Good Faith Defense Under The UFTA

    Court of Appeal Defines Good Faith Defense Under The UFTA
    In 2015, the California legislature refurbished the Uniform Fraudulent Transfer Act and rechristened it as the Uniform Voidable Transactions Act.  2015 Cal. Stats. Ch. 44 (SB 161 (Vidak)).  The UFTA has not left the stage entirely…
Rank this Week: 328

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Apr 25

    INVESTOR ALERT: Broker David James Mura Subject To Multiple Customer Complaint

    INVESTOR ALERT: Broker David James Mura Subject To Multiple Customer Complaint
    The securities and investment lawyers of Gana LLP are investigating customer complaints filed with the Financial Industry Regulatory Authority (FINRA) against broker David James Mura (Mura). According to FINRA’s BrokerCheck records for…
  • Apr 25

    Broker Jeffrey Kluge Pleads Guilty to $8.7 Million Bank Fraud

    Broker Jeffrey Kluge Pleads Guilty to $8.7 Million Bank Fraud
    The securities lawyers of Gana LLP are following the case against broker Jeffrey Kluge (Kluge) who pleaded guilty to two counts of bank fraud in the state of Minnesota. A plead agreement was filed with the U.S. District Court in Minnesota on…
  • Apr 25

    INVESTOR WARNING: Broker Stanley Clayton Niekras Subject to Multiple Complaints by Investors and FINRA

    INVESTOR WARNING: Broker Stanley Clayton Niekras Subject to Multiple Complaints by Investors and FINRA
    The securities and investment fraud attorneys at Gana LLP are investigating the regulatory complaint filed by The Financial Industry Regulatory Authority (FINRA) against broker Stanley Clayton Niekras (Niekras). The FINRA regulatory action…
Rank this Week: 413

The Securities Edge

The Securities Edge

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

http://www.thesecuritiesedge.com/
  • Apr 17

    It’s a good time to be a VC fund

    It’s a good time to be a VC fund
    Things are looking pretty good for the venture capital industry. Potential VC investors have a lot of money available, and industry and geographical trends show a positive outlook for VC investing in the near term. There are numerous factors…
  • Mar 29

    Shore patrol

    Shore patrol
    Posted By: Robert B. Lamm Even as we speculate about the likelihood and potential impact of massive deregulation here in the US, the EU is going in the opposite direction.  Earlier this month, the European Parliament passed a…
  • Mar 19

    Beware when the legislature is in session

    Beware when the legislature is in session
    Posted By: Robert B. Lamm New York Surrogate Gideon Tucker (1826-1899) is credited with originating the maxim that “no man’s life, liberty or property are safe while the legislature is in session.”  Were Surrogate…
Rank this Week: 518

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

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

    REPRESENTING ELDERS AND ATHLETES

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

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

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

    Get Your Own Lawyer, Darn It!

    Get Your Own Lawyer, Darn It!
    Financial advisors facing an arbitration claim or regulatory inquiry often count on their broker-dealer or registered investment advisor for legal counsel. These “employers” will frequently provide them with an ostensibly…
Rank this Week: 383

Corporate Securities Law Blog

Corporate Securities Law Blog

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

http://www.corporatesecuritieslawblog.com/
  • Mar 17

    SEC Adopts Rule Requiring Hyperlinks to Exhibits and HTML Formatting

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

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

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

    SNAP IPO Debuts On NYSE

    SNAP IPO Debuts On NYSE
    SNAP Inc., the parent company of Snapchat, went public yesterday with a valuation of approximately $33.4 billion. The Company raised $3.4 billion at $17 per share, and is now trading well above the IPO price. While SNAP has reported…
Rank this Week: 479

Business Blog

Business Blog

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

http://www.businesslawnews.com/
  • Sep 27

    Business Cases to Watch on U.S. Supreme Court’s Docket

    Business Cases to Watch on U.S. Supreme Court’s Docket
    September also means the end of summer break for the U.S. Supreme Court. When the justices return to the bench for the October 2016 Term, they will consider a number of key commercial law issues. This post offers a brief summary of several…
  • Aug 17

    Are Employee Breaks Mandated by New Jersey Law?

    Are Employee Breaks Mandated by New Jersey Law?
    Are you required to provide employee breaks? Both employers and employees alike are often surprised to learn that federal employment laws do not require employers to set specific intervals or even make time for employees to take work breaks…
  • Aug 2

    SEC Adopts New Rules for Administrative Proceeding

    SEC Adopts New Rules for Administrative Proceeding
    What You Need to Know about the SEC’s New Rules for Administrative Proceedings The Securities and Exchange Commission (SEC) recently adopted several amendments to its rules of practice governing administrative proceedings. According to…
Rank this Week: 452

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: 386

Securities Lawyer 101

Securities Lawyer 101

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

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

    Going Public Blog l Securities Lawyer 101

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

    Going Public Blog l Securities Lawyer 101

    Going Public Blog l Securities Lawyer 101
      Securities Lawyer 101 Blog Going public is a big step for any company.  The process of “going public” is complex and at times precarious.  While going public offers many benefits it also comes with risks and…
  • Jan 23

    SEC Final Judgment Entered Against Graduate Leverage

    SEC Final Judgment Entered Against Graduate Leverage
    Going Public LawyerOn December 23, 2016, the United States District Court for the District of Massachusetts entered final judgments against Graduate Leverage, LLC, GL Capital Partners, LLC, GL Investment Services, LLC, Taft Financial…
Rank this Week: 824

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/
  • Apr 26

    2016 Could Be Peak SEC

    2016 Could Be Peak SEC
    2016 was a high-water mark for SEC enforcement activity; however, with the uncertainties associated with the new administration’s enforcement regime, we could be seeing a downturn going forward. According to a recent report issued by…
  • Apr 19

    Changing the Game, Again: Supreme Court Could Limit SEC’s Authority to Seek Disgorgement

    Changing the Game, Again: Supreme Court Could Limit SEC’s Authority to Seek Disgorgement
    This week, the Supreme Court heard argument regarding whether the SEC’s actions to disgorge ill-gotten gains are subject to a five-year statute of limitations for “any civil fine, penalty, or forfeiture.” The appeal stems…
  • Apr 12

    Understanding the New DOJ Compliance Guidance: Part Three – Policies & Procedure

    Understanding the New DOJ Compliance Guidance: Part Three – Policies & Procedure
    This is the third in a series of posts where we will explore critical elements of a successful compliance program. In February, the Department of Justice’s Fraud Section offered a new perspective on what the government expects in…
Rank this Week: 1008

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • Apr 26

    You Better Watch Your Suitability Determination

    You Better Watch Your Suitability Determination
    The SEC recently announced that it charged a former broker with knowingly or recklessly trading unsuitable investment products for five customers and taking $170,000 for one of those customers. These charges follow a prior SEC Investor Alert…
  • Apr 19

    Fox’s Mark Silow, Joshua Horn and Cannabis Practice Profiled

    Fox’s Mark Silow, Joshua Horn and Cannabis Practice Profiled
    We strongly encourage you to read the article profiling our firm and partners, Mark Silow (also our firm Chairman) and Joshua Horn, on Fox’s  Cannabis Practice Group.  See…
  • Apr 18

    When Independent Commentary Isn’t

    When Independent Commentary Isn’t
      The SEC has recently issued an Investor Alert regarding commentary provided about investors from what appear to be independent sources. It turns out, many of those independent sources are not independent at all. Instead, they are paid…
Rank this Week: 1131

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: 583

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: 723

Strictly Business

Strictly Business

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

http://www.strictlybusinesslawblog.com/
  • Apr 18

    Negotiating a Convertible Note Financing

    Negotiating a Convertible Note Financing
    A convertible note is a hybrid of debt and equity, and it’s a popular form of financing for two main reasons. First, convertible notes are generally easy and cost-effective, because they require little negotiation and paperwork. Second,…
  • Mar 28

    Guide to Starting a Hedge Fund

    Guide to Starting a Hedge Fund
    As an investment manager looking into starting a hedge fund, you know that a successful launch is critical to standing out in the increasingly competitive investment management business. If you want to attract capital from the right…
  • Mar 15

    Understanding the Common Investment Structures for a Seed or Angel Round

    Understanding the Common Investment Structures for a Seed or Angel Round
    I’ve previously written about the steps that startups and emerging companies need to take to prepare for an angel or seed round, one of which is becoming familiar with the popular investment structures that are available. With the…
Rank this Week: 1244

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

http://www.hedgefundlawblog.com
  • Apr 14

    Hedge Fund Bits and Pieces for April 14, 2017

    Hedge Fund Bits and Pieces for April 14, 2017
    Happy Friday.  Markets are closed today for the holiday and it is tax day this Tuesday.  Enjoy the weekend! **** SEC Brings Actions Against Authors on Investment Article Platforms – platforms like Seeking Alpha and SumZero…
  • Apr 13

    Greyline Solutions Continues Expansion

    Greyline Solutions Continues Expansion
    Regulatory Compliance Consulting Company Adds Significant Broker-Dealer Practice Below is a press release from Greyline Solutions, one of the premier regulatory consulting groups (editors note: I have an ownership interest in this company and…
  • Apr 7

    Hedge Fund Bits and Pieces for April 7, 2017

    Hedge Fund Bits and Pieces for April 7, 2017
    Happy Masters Friday! **** End Game of Mini-Prime Consolidation? – earlier this week Cowen announced the acquisition of Convergex.  For Cowen, this is the second introducing prime (mini-prime) acquisition in the last two…
Rank this Week: 954

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/
  • Apr 13

    SEC News - Fraud and Boiler Room Scheme

    SEC News - Fraud and Boiler Room Scheme
    SEC Charges Pastor With Defrauding RetireesThe SEC announced fraud charges and an emergency asset freeze obtained against a Michigan-based pastor accused of exploiting church members, retirees, and laid-off auto workers who were misled to…
  • Apr 12

    FINRA Requests Comment on FINRA Rules Impacting Capital Formation

    FINRA Requests Comment on FINRA Rules Impacting Capital Formation
    The ability of small and large businesses to raise capital efficiently is critical to job creation and economic growth. Broker-dealers play a vital role in helping businesses raise capital through the securities markets, and as a…
  • Apr 12

    Wells Fargo Wins Bank Arbitrations? Maybe not

    Wells Fargo Wins Bank Arbitrations? Maybe not
    The LA Times published this article, based on a study that we can't find.Admittedly I haven't seen the study, and am only commenting on the article. If anyone has a link to the actual study, I would love to review it.One more caveat - I don't…
Rank this Week: 877

Footnoted

Footnoted

Reports on actionable information in SEC filings.

http://www.footnoted.com/
Rank this Week: 706

Business Law Post

Business Law Post

Covers corporate law, securities law, intellectual property, and social entrepreneurship. By Arina Shulga.

http://www.businesslawpost.com
  • Mar 13

    SaaS Contracts vs Software License Agreement

    SaaS Contracts vs Software License Agreement
    Just like technology itself, technology contracts are becoming more and more complex.  Yet, the legal theories that apply to them remain the same. Understanding the technological aspects of the transaction allows attorneys to apply…
  • Mar 11

    Deconstructing Open Source Software License

    Deconstructing Open Source Software License
    When drafting and negotiating software license agreements, I frequently come across open source licenses.  This blog post is to clarify some of the myths that exist around the definition and use of open source software.First, I want to…
  • Feb 6

    Are Terms of Use and Other Online Agreements Real and Binding Contracts?

    Are Terms of Use and Other Online Agreements Real and Binding Contracts?
    It used to be that people would enter into binding agreements by manually signing them. A signature manifested the two required aspects of forming a binding contract: a notice and an assent, i.e., the signatory has read the agreement and…
Rank this Week: 794

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/
  • Nov 27

    Christmas Movies and Serial Killer

    Christmas Movies and Serial Killer
    Today is the first Sunday in the season of Advent, a time in which Christians traditionally prepare themselves by reflection and prayer for the Incarnation, the birth of Jesus, God made flesh.  Ultimately, of course, Jesus was sacrificed…
  • Apr 22

    Handwriting On The Wall (And In The FBI’s Notes)

    Handwriting On The Wall (And In The FBI’s Notes)
    As the father of a college-bound high school senior and an eventually college-bound high school sophomore, I pass along to them helpful articles.  Whether, in the ancient words of Archbishop Cramner in the Anglican liturgy, they actually…
  • Mar 17

    “Fantastic Lies” and Corporate Criminal Prosecution

    “Fantastic Lies” and Corporate Criminal Prosecution
    When the past is dug up in documentaries (or docudramas), events are often sensationalized.  This practice is of long pedigree: Shakespeare was not above amping up an old story when it suited his needs.  Unfortunately, few…
Rank this Week: 1155

Ponzitracker

Ponzitracker

Covers Ponzi schemes. By Jordan Maglich.

http://www.ponzitracker.com/
  • Jan 27

    SEC Charges Wisconsin Man With $10.4 Million Ponzi Scheme

    SEC Charges Wisconsin Man With $10.4 Million Ponzi Scheme
    A Wisconsin man was charged by the Securities and Exchange Commission with operating a Ponzi scheme that took in more than $10 million from at least 122 investors.  Loren Holzhueter, 69, was the subject of an emergency enforcement action…
  • Jan 26

    Ohio CPA Gets 21 Years For Role In $40 Million Ponzi Scheme

    Ohio CPA Gets 21 Years For Role In $40 Million Ponzi Scheme
    An Ohio man was sentenced to serve twenty-one years in federal prison for his role in funnelling investors to the massive "Black Diamond" Ponzi scheme that ultimately duped over 400 investors out of at least $40 million.  Jonathan…
  • Jan 26

    California Men Plead Guilty To $100 Million ATM Ponzi Scheme

    California Men Plead Guilty To $100 Million ATM Ponzi Scheme
    Two California men have entered guilty pleas to operating a massive Ponzi scheme that allegedly caused losses of over $100 million to victims who thought they were investing in a profitable ATM leasing operation.  Joel Barry Gillis, 74,…
Rank this Week: 1302

Smaller Reporting Company's…

Smaller Reporting Company's Securities Blog

Covers securities law issues for entrepreneurs, emerging companies, investors and shareholders. By Stoecklein Law Group, LLP.

http://slgsecurities.com/
  • Dec 22

    F-Squared hit with $35M SEC penalty

    F-Squared hit with $35M SEC penalty
    Originally posted on America's Markets:Fast-growing money management firm F-Squared has agreed to pay $35 million and admit wrongdoing for defrauding investors with false ads about the firm’s flagship product, a federal regulator…
  • Feb 18

    {Video} The difference between Angel Investors and Venture Capitalist

    {Video} The difference between Angel Investors and Venture Capitalist
    Originally posted on Fabulous & Money Savvy:Successful entrepreneur and CEO, Jay Adelson, demystifies the start-up process by providing advice, tips, and answering questions. Today Jay discusses funding and explains the difference between…
  • Feb 3

    SEC Suspends Trading in 255 “Shell” Companie

    SEC Suspends Trading in 255 “Shell” Companie
    Today, the Securities and Exchange Commission (SEC) issued a Press Release announcing that as a result of its micro-cap fraud-fighting initiative they named “Operation Shell-Expel”, they suspended trading in 255 dormant shell…
Rank this Week: 1192

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: 1279

Corporate Finance & Securities Law…

Corporate Finance & Securities Law Blog

Covers mergers and acquisitions, private to public transactions, public company disclosure, regulatory defense, and other financial issues. By The Lebrecht Group.

http://www.thelebrechtgroup.com/blog/
  • Jul 11

    SEC Allows Solicitation in Private Offering

    SEC Allows Solicitation in Private Offering
    At long last, the SEC has approved general solicitation in 506 offerings.  I have previously blogged on the subject here and here. It seems each stakeholder group is claiming it as their own victory.  Hedge funds, crowdfunders,…
  • Jun 19

    Sponsored Research. When Is It Independent?

    Sponsored Research. When Is It Independent?
    This week, Fox Business News contributor Tobin Smith was terminated because he violated their policy that “no contributor to FBN [Fox Business Network], nor his/her firm, and/or family members are allowed to accept financial…
  • Jun 6

    When Is It a Good Strategy To Lie to the SEC?

    When Is It a Good Strategy To Lie to the SEC?
    This, of course, is a misleading question.  The answer is never.  In case you need some law to back up that conclusion, take a look at the recent case of Robert J. Vitale.  Mr. Vitale was the subject of an SEC enforcement…
Rank this Week: 1243

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: 960

Investment Fraud Information

Investment Fraud Information

By Andrew Stoltmann.

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

    How Can I Recover My Losses With Joseph Murphy and B.C. Ziegler

    How Can I Recover My Losses With Joseph Murphy and B.C. Ziegler
    Joseph Murphy, a registered broker at B.C. Ziegler in Middleton, Wisconsin, was recently fined $5,000 and suspended from the industry for 10 business days by the Financial Industry Regulatory Authority (FINRA) for allegedly exercising…
  • Apr 26

    If You Lost Money With Dawson James Securities, You May Be Able To Recover Your Losse

    If You Lost Money With Dawson James Securities, You May Be Able To Recover Your Losse
      Recently, Dawson James Securities in Boca Raton, Florida, was censured and fined $75,000 for alleged supervisory failures relating to research and private offerings and the supervisory failures led to rule violations in both areas. The…
  • Apr 26

    Broker Stanley Clayton Niekras Subject of Multiple Customer Complaint

    Broker Stanley Clayton Niekras Subject of Multiple Customer Complaint
    Stoltmann Law Offices is interested in speaking to those clients who suffered losses with Stanley Clatyton Niekras. Niekras allegedly recommended unsuitable variable annuity exchanges in three customer accounts. The Financial Industry…
Rank this Week: 2369

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/
  • Apr 26

    MiFID II Academy webinars – new dates for the diary

    MiFID II Academy webinars – new dates for the diary
    There are four new dates for our MiFID II Academy webinars: Update on algorithmic trading, DEA and third country issues: 11.00am – 11.45am (GMT), 18 May 2017 Update on commodity derivatives: 11.00am – 11.45am (GMT), 15 June 2017…
  • Apr 26

    BCBS April 2017 progress report on implementation of Basel regulatory framework

    BCBS April 2017 progress report on implementation of Basel regulatory framework
    The Basel Committee on Banking Supervision (Basel Committee) has published the twelfth progress report on adoption of the Basel III regulatory framework. The updated progress report provides a high-level view of Basel Committee members’…
  • Apr 26

    ESMA opinion on points of convergence in relation to MAR accepted market practices on liquidity contract

    ESMA opinion on points of convergence in relation to MAR accepted market practices on liquidity contract
    The Market Abuse Regulation (MAR) provides a harmonised framework for the prohibition of market manipulation. This encompasses a prohibition on entering into a transaction, placing an order to trade or engaging in behaviour which gives, or is…
Rank this Week: 2353

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/
  • Apr 26

    SEC Awards Nearly $4 Million to Whistleblower

    SEC Awards Nearly $4 Million to Whistleblower
    The SEC announced an award of almost $4 million to a whistleblower who provided detailed, specific information about serious securities misconduct and provided ongoing assistance throughout the ensuing investigation. According to the SEC…
  • Apr 26

    Rule 21F-17: SEC Rule Bar Companies From Attempting to Hinder Whistleblower from Coming Forward

    Rule 21F-17: SEC Rule Bar Companies From Attempting to Hinder Whistleblower from Coming Forward
    When the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”) was enacted in July 2010, the act implemented numerous protections for investors and consumers.  One of the indirect benefits was the…
  • Apr 7

    U.S. Supreme Court Refuses to Review Would-be Whistleblower’s Petition

    U.S. Supreme Court Refuses to Review Would-be Whistleblower’s Petition
    The U.S. Supreme Court declined to review a former Morgan Stanly employee’s claims that he is entitled to whistleblower protections after reporting to the FBI instead of the SEC. According to a Law360 report, John S. Verble (CRD#…
Rank this Week: 2231

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/
  • Apr 26

    OSC investor panel supports "Best Interest" standard and ban on conflicted advice by Investment Advisor

    OSC investor panel supports "Best Interest" standard and ban on conflicted advice by Investment Advisor
    Encouraging the adoption of a best interest standard for investment advisors continues to be a key goal of the Investor Advisory Panel (IAP) of the Ontario Securities Commission, according to the IAP’s newly released 2016 Annual Report.…
  • Apr 26

    Increased enforcement highlighted in annual IIROC report

    Increased enforcement highlighted in annual IIROC report
    The annual Enforcement Report published by the Investment Industry Regulatory Organization of Canada (IIROC) on April 19, 2017 highlights IIROC’s increased enforcement activity in 2016, as well as an increase in complaints, proceedings,…
  • Apr 26

    The OSC's FinTech Hackathon: a hint of what's to come?

    The OSC's FinTech Hackathon: a hint of what's to come?
    As part of the Ontario Securities Commission’s “OSC LaunchPad” initiative, more than 120 members of the FinTech community were brought together in late 2016 to find solutions to capital markets regulatory problems. The…
Rank this Week: 5042

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

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

    Complaint seeks to enjoin vote on amending Intel incentive plan

    Complaint seeks to enjoin vote on amending Intel incentive plan
    By Rodney F. Tonkovic, J.D.An Intel shareholder is seeking to block a management proposal to issue 33 million new shares under a benefit plan. The complaint, filed in the district court in Manhattan, seeks an injunction to stop shareholders…
  • Apr 25

    High court declines petition on jurisdiction to hear challenges to FINRA disciplinary action

    High court declines petition on jurisdiction to hear challenges to FINRA disciplinary action
    By Rodney F. Tonkovic, J.D.The Supreme Court has denied certiorari for a petition on the issue of a court’s jurisdiction over challenges to the statutory authority of a regulatory body. The petition, filed by a FINRA-registered…
  • Apr 24

    DOJ remains interested in prosecuting white collar crime

    DOJ remains interested in prosecuting white collar crime
    By Joanne Cursinella, J.D.Seeking to dispel the myth that the DOJ is no longer is interested in prosecuting white collar crime, Acting Principal Deputy Assistant Attorney General Trevor N. McFadden, speaking at the recent 19th Annual…
Rank this Week: 2612

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/
  • Apr 26

    Delaware: Does Corwin Cleanse a Unocal Problem?

    Delaware: Does Corwin Cleanse a Unocal Problem?
    This Fried Frank memo discusses the Chancery Court’s recent decision in In re Paramount Gold and Silver Stockholders Litigation (Del. Ch.; 4/17), which left unanswered the question of whether fully informed shareholder approval under…
  • Apr 25

    Earnouts: Be Ambiguous, Get Sued. Be Explicit, Get Sued.

    Earnouts: Be Ambiguous, Get Sued. Be Explicit, Get Sued.
    Earnouts always seem like such a good idea at the time.  This K&E memo is a reminder of just what a post-closing mess they frequently turn out to be.  The memo looks at two recent Delaware cases – Chancellor…
  • Apr 24

    M&A Activity: 1st Quarter Report

    M&A Activity: 1st Quarter Report
    Mergermarket recently issued its Global and Regional M&A Report for the 1st quarter of 2017.  Here’s an excerpt with some of the highlights: – Global dealmaking so far has remained resilient in the face of an…
Rank this Week: 2610

Classified: The Class Action Blog

Classified: The Class Action Blog

A blog focused on the latest class action developments and trends by the attorneys of Carlton Fields Jorden Burt.

http://classifiedclassaction.com/
  • Apr 24

    Saved By The Bellwether Trial in the Ninth Circuit

    Saved By The Bellwether Trial in the Ninth Circuit
    Removal under the “mass action” provision of the Class Action Fairness Act (CAFA) is appropriate when 100 or more plaintiffs take the affirmative step of proposing to try their claims jointly and the claims involve common issues…
  • Apr 18

    2017 Carlton Fields Class Action Survey Highlight

    2017 Carlton Fields Class Action Survey Highlight
    Carlton Fields recently released its sixth annual Class Action Survey, which is based on detailed interviews with general counsel and senior legal officers at 373 companies operating in more than 25 industries. Those individuals shared their…
  • Apr 14

    Class Representatives Do Not Hold Veto Power Over Class Settlement

    Class Representatives Do Not Hold Veto Power Over Class Settlement
    In In re FedEx Ground Package Sys., Inc. Employment Practices Litig., No. 3:05-CV-595 RLM, 2017 WL 632119 (N.D. Ind. Feb. 14, 2017), only one of a total of seven class representatives signed off on accepting a proposed class settlement with…
Rank this Week: 1950

Securities Fraud Lawyer Blog

Securities Fraud Lawyer Blog

Covers securities law. By The Law Office of David Liebrader, Inc.

https://www.securitiesfraudlawyerblog.net/
  • Apr 24

    Robert Turpin Barred by FINRA

    Robert Turpin Barred by FINRA
    Robert Turpin, a registered representative from Arizona, formerly with Source Capital Group was barred from FINRA membership as a result of refusing to cooperate with a FINRA investigation into claims that he engaged in outside business…
  • Apr 24

    Kyle Kurtz Suspended, Barred by FINRA

    Kyle Kurtz Suspended, Barred by FINRA
    Kyle Kurtz, a registered representative from Bay City, Michigan, formerly with Thrivent Investment Management was suspended from FINRA membership for violations of Rule 9552 FINRA Rule 9552. Failure to Provide Information or Keep Information…
  • Apr 24

    Robert Wodicker Suspended by FINRA

    Robert Wodicker Suspended by FINRA
    Robert Wodicker, a registered representative from St. Louis, Missouri, formerly with LPL Financial and Wells Fargo Advisors was suspended from FINRA membership for violations of Rule 9552 FINRA Rule 9552. Failure to Provide Information or…
Rank this Week: 2204

McEldrew Young Blog

McEldrew Young Blog

Covers whistleblower law and wage theft for employees.

http://www.mceldrewyoung.com/blog/
  • Apr 21

    How 700 Bank Whistleblowers Get Ignored

    How 700 Bank Whistleblowers Get Ignored
    Like much of America, we have been following the story of Wells Fargo’s sales tactics and the government response to it. We haven’t discussed this matter in depth yet here on our blog (just a brief comment about its implications…
  • Apr 19

    Tax Day Debate at Supreme Court Over Time for SEC Disgorgement

    Tax Day Debate at Supreme Court Over Time for SEC Disgorgement
    The Securities and Exchange Commission defended its ability to disgorge illegal profits from wrongdoers before the Supreme Court yesterday in Kokesh v. SEC. It was Justice Neil Gorsuch’s second day of oral arguments.  An opinion is…
  • Apr 18

    Buy American and Hire American for Whistleblower

    Buy American and Hire American for Whistleblower
    President Trump is signing an executive order today to implement a more muscular Buy American Act. This measure likely signals strengthened enforcement of the Buy American Act under the False Claims Act. The Buy American Act is a domestic…
Rank this Week: 2152

Stock Attorneys Blog

Stock Attorneys Blog

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

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

    New Sanction Guidelines for NAC

    New Sanction Guidelines for NAC
    FINRA (Financial Industry Regulatory Authority) announced that the National Adjudicatory Council (NAC) revised guidelines regarding financial exploitation of vulnerable individuals or individuals with diminished capacity. In addition, the new…
  • Apr 6

    Investor Alert issued by FINRA regarding Binary Options Follow-up Scheme

    Investor Alert issued by FINRA regarding Binary Options Follow-up Scheme
    FINRA (Financial Industry Regulatory Authority) issued an Investor Alert warning anyone involved in binary options trading through unregistered non-U.S. companies. Binary options are inherently risky all-or-nothing propositions.…
  • Mar 30

    Will Allen (Former Dolphins, Giants, and Patriots NFL Player) was Charged with 23 Federal Felonies in Alleged Ponzi Scheme

    Will Allen (Former Dolphins, Giants, and Patriots NFL Player) was Charged with 23 Federal Felonies in Alleged Ponzi Scheme
    The SEC charged Allen with fraud for allegedly operating a $31 million Ponzi Scheme.  Allen, with his accomplice Susan Daub, formed a company that made high-interest, short-term loans to athletes.  The loans were funded by money…
Rank this Week: 4605

Subject to Inquiry

Subject to Inquiry

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

http://www.subjecttoinquiry.com/
  • Apr 19

    The CFPB’s Alternative Data RFI: Making Your Response Count

    The CFPB’s Alternative Data RFI: Making Your Response Count
    The Consumer Financial Protection Bureau (CFPB) recently issued a Request for Information (RFI) Regarding Use of Alternative Data and Modeling Techniques in the Credit Process, available here.  The deadline for response is May 19. …
  • Apr 18

    H-1B Employers Face Increased Site Visit

    H-1B Employers Face Increased Site Visit
    Employers using the H-1B visa program should take note as additional site visits may be on the horizon.  U.S. Citizenship and Immigration Services (“USCIS”), part of the Department of Homeland Security, recently announced a…
  • Mar 27

    CFPB Fails to State Case Against Payment Processor

    CFPB Fails to State Case Against Payment Processor
    The United States District Court for the District of North Dakota recently dismissed the Consumer Financial Protection Bureau’s (CFPB) complaint against a payment processor, Intercept, in a case McGuireWoods has been monitoring. …
Rank this Week: 2017