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Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Sep 27

    Steven Wisniewski Sanctioned and Suspended by FINRA

    Steven Wisniewski Sanctioned and Suspended by FINRA
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on February 22, 2016 indicate that Florida-based Newbridge Securities broker Steven Wisniewski has been suspended by FINRA. The securities and…
  • Sep 27

    Evan Fischer Has Overconcentration Complaint

    Evan Fischer Has Overconcentration Complaint
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on September 7, 2016 indicate that New York-based Ameriprise Financial Services broker/adviser Evan Fischer has been the subject of resolved or pending…
  • Sep 27

    Broker Spotlight: Gerald Crum of UBS

    Broker Spotlight: Gerald Crum of UBS
    Public records published by the Financial Industry Regulatory Authority (FINRA) on September 2, 2016 indicate that New Jersey-based UBS Financial Services broker/adviser Gerald Crum is the subject of a pending customer complaint. The…
Rank this Week: 43

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…
  • Sep 26

    Stock-Trading Whiz Kid and Company Wealthpire Inc. Charged with Fraud

    Stock-Trading Whiz Kid and Company Wealthpire Inc. Charged with Fraud
    Going Public LawyerOn September 13, 2016 he Securities and Exchange Commission (“SEC”) announced that self-proclaimed “stock trading whiz kid” Manuel Jesus and his stock newsletter company in Los Angeles have…
Rank this Week: 49

Securities Law Prof Blog

Securities Law Prof Blog

Covers securities arbitration, state securities law, court decisions and law review articles. By Eric C. Chaffee.

http://lawprofessors.typepad.com/securities/
  • Sep 26

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: Brian Elzweig, Valerie Chambers & Jud Stryker, After Goeller v. United States, Can the Theft Loss Treatment Now Be Applied to…
  • Sep 26

    Hiring: The Harvard Law School Program on Corporate Governance

    Hiring: The Harvard Law School Program on Corporate Governance
    The Harvard Law School Program on Corporate Governance is currently seeking applicants for two positions: Executive Director The Harvard Law School Program on Corporate Governance invites applications for the position of Executive Director.…
  • Sep 25

    Nagy on Insider Trading

    Nagy on Insider Trading
    Donna M. Nagy has posted Beyond Dirks: Gratuitous Tipping and Insider Trading on SSRN with the following abstract: Does a corporate insider who gratuitously shares material nonpublic information with a friend or relative — with no…
Rank this Week: 117

California Corporate & Securities…

California Corporate & Securities Law

Covers California securities law, corporate governance, mergers & acquisitions and securities litigation. By Keith Paul Bishop.

http://calcorporatelaw.com/
  • Sep 27

    California’s Ban On Loans To Directors And Officer

    California’s Ban On Loans To Directors And Officer
    California banned loans to directors and officers decades before Congress thought of doing so as part of the Sarbanes-Oxley Act of 2002.  Current Corporations Code Section 315 prohibits corporations (defined in Section 162)…
  • Sep 26

    Legislature (Re)Enacts A Maximum De Minimis Finance Lenders Law Exemption

    Legislature (Re)Enacts A Maximum De Minimis Finance Lenders Law Exemption
    The California Finance Lenders Law defines a “finance lender” as anyone that is engaged in the business of making consumer loans or making commercial loans.  Cal. Fin. Code § 22009.  Knowing the definition of…
  • Sep 23

    SEC Overlooks Nevada’s Transfer Agent Licensing Law

    SEC Overlooks Nevada’s Transfer Agent Licensing Law
    Transfer agents provide a number of crucial services, primarily for publicly traded companies.  Among other responsibilities, they maintain ownership records, record security transfers, issue and cancel certificates and distribute…
Rank this Week: 127

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: 160

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/
  • Dec 31

    Puerto Rico Will Make $330M in Bond Payments, Defaults on About $37M

    Puerto Rico Will Make $330M in Bond Payments, Defaults on About $37M
    The U.S. Commonwealth of Puerto Rico will pay about $330 million of what it owes on general obligation bonds, while defaulting on bonds of approximately $37 million that are mostly owed to the Puerto Rico Infrastructure Financing Authority…
  • Dec 26

    Man Released from Prison Faces New Fraud Charges in $11M Investor Stock Scam

    Man Released from Prison Faces New Fraud Charges in $11M Investor Stock Scam
    The Securities and Exchange Commission is charging Edward Durante with bilking investors once again. Durante, who already served a 10-year sentence for a previous securities fraud conviction, is accused of using different aliases to defraud…
  • Sep 22

    FINRA Sanctions Avenir Financial Group For Fraud

    FINRA Sanctions Avenir Financial Group For Fraud
    The Financial Industry Regulatory Authority has ordered Avenir Financial Group to pay a $229K fine over allegations that the latter engaged in the fraudulent sale of promissory notes and equity interests in the firm. Avenir is suspended from…
Rank this Week: 173

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: 187

The White Law Group's Securities…

The White Law Group's Securities Fraud Blog

Covers securities fraud cases, investment fraud practices and securities industry regulations.

http://www.whitesecuritieslaw.com/securities-fraud/blog/
  • Sep 26

    Investor Alert: DT Florida, DT Atlanta & Fresh Start Private Placement Offering

    Investor Alert: DT Florida, DT Atlanta & Fresh Start Private Placement Offering
    Have you suffered losses investing in the private-placement offerings — DT Florida, DT Atlanta, and Fresh Start? If so, The White Law Group may be able to help. The Financial Industry Regulatory Authority Inc. (FINRA) has…
  • Sep 26

    Investor Alert: Follow Up Scam

    Investor Alert: Follow Up Scam
    The Financial Industry Regulatory Authority (FINRA) recently issued an alert to warn investors, particularly investors who live outside the U.S., that offers to recover money lost from securities investments may be fraudulent. Both FINRA and…
  • Sep 23

    What is Failure to Supervise? FINRA RULE 3110 (SUPERVISION)

    What is Failure to Supervise? FINRA RULE 3110 (SUPERVISION)
    According to the Financial Industry Regulatory authority (FINRA) FINRA Rule 3110 requires a firm to establish and maintain a system to supervise the activities of its associated persons that is reasonably designed to achieve compliance…
Rank this Week: 216

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Sep 22

    Woodbury Financial Terminates Broker David Ross Over Private Securities Transaction

    Woodbury Financial Terminates Broker David Ross Over Private Securities Transaction
    The investment fraud lawyers of Gana LLP are investigating the employment termination filed with The Financial Industry Regulatory Authority (FINRA) by Woodbury Financial Services, Inc. (Woodbury Financial) involving broker David Ross (Ross).…
  • Sep 21

    Morgan Stanley Terminates Broker Brian Sak Over Outside Business Activitie

    Morgan Stanley Terminates Broker Brian Sak Over Outside Business Activitie
    The investment fraud lawyers of Gana LLP are investigating the employment termination filed with The Financial Industry Regulatory Authority (FINRA) by Morgan Stanley involving broker Brian Sak (Sak). According to BrokerCheck records Sak is…
  • Sep 21

    Broker Investigation: Advisor Bassam Salem

    Broker Investigation: Advisor Bassam Salem
    The securities lawyers of Gana LLP are investigating a customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Bassam Salem (Salem).  According to BrokerCheck records Salem has been subject to at…
Rank this Week: 238

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: 169

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: 210

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: 230

BD Law Blog

BD Law Blog

Features news, updates and thoughts regarding broker-dealer and investment adviser regulation and legal and compliance issues. By the Beck Law Firm, LLC.

http://www.bdlawblog.com/
  • Feb 13

    We've Moved. Great Content Still - But at New Site!

    We've Moved. Great Content Still - But at New Site!
    Posts here at BDLawBlog.com have been infrequent of late. We've been working to roll out a new online presence for The Beck Law Firm, LLC, that incorporates our blog. After more than seven years here, and more than 500 posts,...
  • Jan 7

    SEC Affirms FINRA Sanctions for Broker Taking Client Info. to New Firm

    SEC Affirms FINRA Sanctions for Broker Taking Client Info. to New Firm
    On December 15, 2014, the SEC affirmed a FINRA disciplinary action finding that a broker violated Conduct Rule 2110 when that broker downloaded certain confidential and nonpublic customer information for more than 2000 clients of his former…
  • Dec 19

    Lessons learned from putting on "the Suit."

    Lessons learned from putting on "the Suit."
    Every now and then I use my blog to share with you things not necessarily related to the law, or to our practice areas of financial markets law, estate planning or business law. Today's one of those days, and I...
Rank this Week: 207

Securities Law Blog

Securities Law Blog

Features news, commentary and thoughts on the law of the securities markets. By Mark Astarita.

http://seclaw.blogspot.com/
  • Sep 27

    SEC to Hold Forum to Discuss Fintech Innovation in the Financial Services Industry

    SEC to Hold Forum to Discuss Fintech Innovation in the Financial Services Industry
    The Securities and Exchange Commission today announced it will host a public forum to discuss financial technology (Fintech) innovation in the financial services industry.  The forum is designed to foster greater collaboration and…
  • Sep 27

    Oil Services Company Paying $140 Million Penalty for Accounting Fraud

    Oil Services Company Paying $140 Million Penalty for Accounting Fraud
    The Securities and Exchange Commission today announced that oil services company Weatherford International has agreed to pay a $140 million penalty to settle charges that it inflated earnings by using deceptive income tax accounting. …
  • Sep 26

    SEC Charges CEO and Boiler Room Operator With Fraud

    SEC Charges CEO and Boiler Room Operator With Fraud
    The Securities and Exchange Commission today charged a former microcap company CEO and a boiler room operator with defrauding seniors and others who were pressured to invest in a pair of penny stock companies and promised lucrative…
Rank this Week: 431

Securities Law Attorneys Blog

Securities Law Attorneys Blog

Covers securities law. By Fitapelli | Kurta.

http://www.securitieslawattorneys.net/
  • Sep 27

    Troy Baldridge Under Investigation by Dep’t of Justice

    Troy Baldridge Under Investigation by Dep’t of Justice
    Public records provided by the Financial Industry Regulatory Authority (FINRA) on September 7, 2016 indicate that former Virginia-based Capitol Securities Management broker Troy Baldridge is under investigation by the US Department of…
  • Sep 27

    Harvey Stein Has REIT Complaint

    Harvey Stein Has REIT Complaint
    Public records provided by the Financial Industry Regulatory Authority (FINRA) on July 6, 2016 indicate that Florida-based LPL Financial broker/adviser Harvey Stein has been the subject of resolved or pending customer complaints. The…
  • Sep 27

    Paul Williams and Misrepresentation Allegation

    Paul Williams and Misrepresentation Allegation
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on September 2, 2016 indicate that former California-based American Investors Company broker Paul Williams has been the subject of a customer…
Rank this Week: 420

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: 410

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Sep 27

    Cybersecurity Disclosures: Not Happening Much in SEC Filing

    Cybersecurity Disclosures: Not Happening Much in SEC Filing
    Here’s an excerpt from this “D&O Diary Blog” about how few companies are disclosing cybersecurity & data breach incidents in their SEC filings (which could be a concern for investors – and for D&O…
  • Sep 26

    Life as a Corporate Lawyer: Brink Dickerson

    Life as a Corporate Lawyer: Brink Dickerson
    I had a lot of fun taping this 36-minute podcast with Brink Dickerson of Troutman Sanders. I’m still chuckling over Brink’s response to my query about “least favorite tasks” (starting at the 23:45 mark). I highly…
  • Sep 23

    Corp Fin: New CDI on 401(k) Broker Window

    Corp Fin: New CDI on 401(k) Broker Window
    Yesterday, Corp Fin issued this new “CDI 139.33/126.41” under the Securities Act Section 5/Form S-8 areas – while withdrawing “CDI 239.16/226.15.” The new CDI deals with whether a company-sponsored 401(k) plan…
Rank this Week: 401

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • Sep 26

    The Continuing Question of Morrison’s Applicability to ADR Transaction

    The Continuing Question of Morrison’s Applicability to ADR Transaction
    One of the practical effects of the U.S. Supreme Court’s 2010 decision in Morrison v. National Australia Bank is that, as a result of the decision, it is more difficult to bring a class action in a U.S. court under the U.S. securities…
  • Sep 25

    D&O Insurance: Consent Judgment Including Covenant Not to Execute Constitutes “Loss”

    D&O Insurance: Consent Judgment Including Covenant Not to Execute Constitutes “Loss”
    In order to try to resolve litigation pending against them, policyholders sometimes enter a settlement in which they agree to the entry of a consent judgment against them and to the assignment to the claimants of their rights under their…
  • Sep 22

    Guest Post: Ninth Circuit Clarifies What Might Trigger SOX 304 Disgorgement

    Guest Post: Ninth Circuit Clarifies What Might Trigger SOX 304 Disgorgement
    Among the many issues arising under the Sarbanes-Oxley Act are questions surrounding disgorgement under Section 304, particularly questions concerning what actions and whose actions might trigger disgorgement. In the following guest post,…
Rank this Week: 429

Oil & Gas Investment Fraud Lawyer…

Oil & Gas Investment Fraud Lawyer Blog

Covers securities issues with a focus on oil & gas investment fraud. By Silver Law Group, The Law Firm of David R. Chase, P.A., and Ciklin Lubitz & O'Connell.

http://www.oilgasinvestmentfraudlawyer.com/
Rank this Week: 405

Representing Investors

Representing Investors

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

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

    Federal Prosecutors Target Wells Fargo

    Federal Prosecutors Target Wells Fargo
    An article this week in The Wall Street Journal (“Federal Prosecutors Investigating Wells Fargo Over Sales Tactics”) stated that federal prosecutors are in the early stages of an investigation into sales practices at Wells Fargo…
  • Aug 11

    FINRA Targets Business Development Companies (BDCs)

    FINRA Targets Business Development Companies (BDCs)
    The Financial Industry Regulatory Authority (“FINRA”) has launched an examination sweep of non-traded business development companies (“BDCs”), the latest alternative investment product to receive increased scrutiny…
  • 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…
Rank this Week: 293

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/
  • Sep 12

    New TSX dividend reinvestment plan rules adopted

    New TSX dividend reinvestment plan rules adopted
    The Toronto Stock Exchange (TSX) has adopted amendments to the TSX Company Manual (the Manual) intended to provide a complete set of standards and practices (the DRIP Rules) for dividend reinvestment plans (DRIPs). The amendments follow the…
  • Aug 19

    Rights offering amendments for TSXV issuer

    Rights offering amendments for TSXV issuer
    Amendments to TSX Venture Exchange (TSXV) Policy 4.5 – Rights Offerings are now in effect reflecting guidance released by the TSXV earlier this year following the adoption by the Canadian Securities Administrators (the CSA) of…
  • Aug 19

    T+2 settlement prompts proposed amendments to NI 24-101 and publication of consultation paper

    T+2 settlement prompts proposed amendments to NI 24-101 and publication of consultation paper
    The migration to a standard T+2 settlement cycle on September 5, 2017 is part of the impetus for amendments proposed by the Canadian Securities Administrators (CSA) to National Instrument 24-101 Institutional Trade Matching and Settlement (NI…
Rank this Week: 331

Broke and Broker

Broke and Broker

Covers the Wall Street docket of criminal, civil, regulatory, and arbitration cases. By Bill Singer.

http://brokeandbroker.com/index.php
  • Sep 12

    Sportspicks.com Founder Lose FINRA Regulatory Wager

    Sportspicks.com Founder Lose FINRA Regulatory Wager
    In and out. On and off. Registered and unregistered. There are points and counterpoints to many things in life and on Wall Street. There are things that you can do when unregistered that do not require any regulatory disclosures; but,…
  • Sep 9

    UPDATE: SEC Settlement Gives Respondent 168 Years To Pay

    UPDATE: SEC Settlement Gives Respondent 168 Years To Pay
    This is an UPDATE of "SEC Settlement Gives Respondent 168 Years To Pay" (BrokeAndBroker.com Blog, February 17, 2016)We are regularly bombarded with press releases heralding some purportedly profound and historic settlement or verdict.…
  • Sep 9

    BrokeAndBroker.com by Bill Singer WEEK IN REVIEW

    BrokeAndBroker.com by Bill Singer WEEK IN REVIEW
    SEC Says Independence Compromised By Auditor And Client FriendshipWhen does a relationship between an auditor and the audit client become too close so as to cross over the line from merely a "close personal relationship" and wind up in the…
Rank this Week: 246

Business Law Post

Business Law Post

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

http://www.businesslawpost.com
  • Sep 9

    Title III Crowdfunding Update

    Title III Crowdfunding Update
    I recently listened to a webinar regarding equity crowdfunding by the Angel Capital Association.  It was very informative, and I decided to share with you some insights.  You can listen to the full webinar here.  Here are their…
  • Aug 25

    Regulation Crowdfunding: Are You the Right Candidate for It?

    Regulation Crowdfunding: Are You the Right Candidate for It?
    As you all probably already know, in 2015 the Securities and Exchange Commission (or the SEC) adopted Regulation Crowdfunding to implement Title III of the Jumpstart Our Business Startups (JOBS) Act.  The Regulation Crowdfunding (or…
  • Mar 8

    Electronic Signatures: OK to Use?

    Electronic Signatures: OK to Use?
    This blog post focuses on the use and validity of electronic signatures. We will first investigate what constitutes an "electronic signature", we will then discuss the validity and enforceability of electronic signatures, and finally, we will…
Rank this Week: 326

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: 333

William Carleton, Counselor @ Law

William Carleton, Counselor @ Law

Covers legal and investment issues facing emerging tech companies.

http://www.wac6.com/wac6/
  • Mar 16

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

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

    A Gift from Congress to Angel

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

    Looking for Mr. 506(c)

    Looking for Mr. 506(c)
    "On a relative basis, issuances claiming the new Rule 506(c) exemption have accounted for only 2.1% of the reported capital raised pursuant to Rule 506 since becoming effective in September 2014." So reads a key finding of a report,…
Rank this Week: 320

100 F Street

100 F Street

Covers securities law for growing businesses. By Vanessa Schoenthaler.

http://100fstreet.com/
  • Feb 20

    ISS Releases FAQs Related to Its 2015 Proxy Voting Policie

    ISS Releases FAQs Related to Its 2015 Proxy Voting Policie
    Yesterday Institutional Shareholder Services (ISS) released a set of five frequently asked questions related to select proxy voting policies for the 2015 proxy season. The first two questions address shareholder proxy…
  • Feb 16

    Catching Up on All Things Proxy Related From Last Week

    Catching Up on All Things Proxy Related From Last Week
    Among the many things Commission-related going on as of late, here’s a round of up some of the more notable proxy-related matters from the week that was February 9th. The Upcoming Proxy Voting Roundtable On Thursday the Commission…
  • Feb 9

    The SEC Issues Proposed Rules Regarding Disclosure of Hedging by Employees and Director

    The SEC Issues Proposed Rules Regarding Disclosure of Hedging by Employees and Director
    Yesterday the Securities and Exchange Commission announced the adoption of proposed rules to implement Section 955 of the Dodd-Frank Wall Street Reform and Consumer Protection Act which addresses disclosure of company policies…
Rank this Week: 250

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: 394

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…
  • Sep 21

    Hedge Fund Manager Faces SEC Charges For Insider Trading

    Hedge Fund Manager Faces SEC Charges For Insider Trading
    The SEC has filed insider trading civil charges against Leon G. Cooperman and his Omega Advisors. According to the regulator, the hedge fund manager made illicit profits when he bought Atlas Pipeline Partners  securities right before it…
Rank this Week: 936

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Sep 27

    Circuit split could put equitable tolling back on High Court’s agenda

    Circuit split could put equitable tolling back on High Court’s agenda
    By Anne Sherry, J.D.Two new petitions for certiorari ask the Supreme Court to look again at the effect of American Pipe tolling on statutes of repose. The petitioners opted out of class actions against Bear Stearns and the underwriters of…
  • Sep 26

    ICI, SIFMA oppose bulk of FSB response to asset management ‘threats’

    ICI, SIFMA oppose bulk of FSB response to asset management ‘threats’
    By Amy Leisinger, J.D.The Investment Company Institute and SIFMA’s Asset Management Group have filed comments in response to the Financial Stability Board’s proposed recommendations regarding vulnerabilities in the asset…
  • Sep 23

    Governance pros testify on shareholder proposals, disclosure

    Governance pros testify on shareholder proposals, disclosure
    By Anne Sherry, J.D.A House Financial Services subcommittee hearing with the broad title of “Corporate Governance: Fostering a System that Promotes Capital Formation and Maximizes Shareholder Value” ended up focusing somewhat…
Rank this Week: 473

Financial Counsel

Financial Counsel

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

http://financialcounselblog.com
  • Sep 27

    LPL Standardizes Brokers’ Product Commission

    LPL Standardizes Brokers’ Product Commission
    From the Desk of Jim Eccleston at Eccleston Law LLC:LPL Financial is changing the way it pays commissions to its brokers when they sell routine investment products like mutual funds and variable annuities.The move was made because of the…
  • Sep 23

    13 Firms Fined for Communicating F-Squared’s False Performance Claim

    13 Firms Fined for Communicating F-Squared’s False Performance Claim
    From the Desk of Jim Eccleston at Eccleston Law LLC:The Securities and Exchange Commission has issued penalties against 13 investment advisory firms found to have violated securities laws by spreading false claims.The SEC found that the 13…
  • Sep 22

    FINRA Fines Ameriprise $850K For Supervisory Failure

    FINRA Fines Ameriprise $850K For Supervisory Failure
    From the Desk of Jim Eccleston at Eccleston Law LLC:Ameriprise was fined $850,000 by FINRA because it failed to superviseone of its registered representatives.  The Ameriprise representative served as a sales assistant and office manager…
Rank this Week: 570

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: 929

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/
  • Sep 21

    Too Good to Be True: Fraudulent Self-Promotion Lands “Prodigy” in Hot Water with SEC

    Too Good to Be True: Fraudulent Self-Promotion Lands “Prodigy” in Hot Water with SEC
    In June 2014, the Office of Investor Education and Advocacy at the Securities and Exchange Commission issued an alert cautioning that investment newsletters are often “used to carry out schemes designed to deceive investors.” In…
  • Sep 16

    The SEC Wins First Jury Trial in a Muni Case: SEC v. City of Miami and Michael Boudreaux

    The SEC Wins First Jury Trial in a Muni Case: SEC v. City of Miami and Michael Boudreaux
    In what the SEC called “the first federal jury trial by the SEC against a municipality or one of its officers for violations of the federal securities laws,” a jury in the U.S. District Court for the Southern District of Florida…
  • Sep 13

    SEC Granted Reversal, Remand and Jury Trial from the Ninth Circuit

    SEC Granted Reversal, Remand and Jury Trial from the Ninth Circuit
    On August 31, 2016, the SEC caught a break when a Ninth Circuit panel reversed Judge Manuel L. Real’s bench trial verdict for defendants, former corporate officers of the now-defunct Basin Water, Inc., finding that the SEC was…
Rank this Week: 695

Strictly Business

Strictly Business

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

http://www.strictlybusinesslawblog.com/
Rank this Week: 594

Stock Market Loss

Stock Market Loss

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

http://www.stockmarketloss.com/news/
  • Jul 14

    Using Common Sense Can Keep You Safe From a Ponzi Scheme

    Using Common Sense Can Keep You Safe From a Ponzi Scheme
    This article was originally posted on Stock Market Loss Put as simply as possible, a Ponzi scheme is an investment fraud in which funds contributed by new investors are used to pay purported “returns” or “profits” to…
  • 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…
Rank this Week: 680

North Carolina Business Litigation…

North Carolina Business Litigation Report

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

http://www.ncbusinesslitigationreport.com/
  • Feb 3

    A Couple Of Things Not To Do In The NC Business Court

    A Couple Of Things Not To Do In The NC Business Court
    The NC Business Court's decision last month in Krawiec v. Manly, 2016 NCBC 7, illustrates a couple of things not to do in the Court. Don't Make "Aiding and Abetting" Claims The Plaintiff made a claim against some of the Defendants for aiding…
  • Jan 18

    Arbitration Provision Which Completely Prohibited Any Discovery Enforced By NC Business court.

    Arbitration Provision Which Completely Prohibited Any Discovery Enforced By NC Business court.
    I don't draft arbitration provisions in agreements, but if I did I would not draft one like the one in Taggart v. Physicians Pharmacy Alliance, Inc.  Not because it turned out to be unenforceable, but because it was found to be…
  • Jan 12

    NC Business Court Revokes Pro Hac Vice Admission Of Out Of State Lawyer

    NC Business Court Revokes Pro Hac Vice Admission Of Out Of State Lawyer
    Judge McGuire came down pretty hard on a Florida attorney admitted pro hac vice (meaning "for this one particular occasion") by another Superior Court Judge, in McCarthy v. Hampton, 2016NCBC 4.  He revoked the lawyer's admission and…
Rank this Week: 762

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: 495

White Collar Fraud

White Collar Fraud

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

http://whitecollarfraud.blogspot.com/
  • Mar 30

    Overstock.com Hatchet Man Judd Bagley's Downward Spiral: Junkie, Confessed Criminal, Admitted Adulterer

    Overstock.com Hatchet Man Judd Bagley's Downward Spiral: Junkie, Confessed Criminal, Admitted Adulterer
    In the years that I’ve written extensively about Overstock.com (NASDAQ: OSTK), I have always been amazed about its bizarre CEO Patrick Byrne and the gang of misfits he has surrounded himself with. By far, the worst was a real loser…
  • Feb 5

    Crook vs. Crook: Why Former Congressman Michael Grimm is a Dumb Crook

    Crook vs. Crook: Why Former Congressman Michael Grimm is a Dumb Crook
    In my first segment of a series of Op-ed articles about white-collar crime on CNBC, I examine the case of former Republican Congressman Michael Grimm who recently pleaded guilty to income tax evasion and awaits sentencing on June 8, 2015.New…
  • Dec 31

    White Collar Fraud List of Blog Posts for 2014

    White Collar Fraud List of Blog Posts for 2014
    December 19, 2014: Cleveland.com - Crazy Eddie CFO shares how companies trick auditors and fleece investors: Plain Dealing, by Sheryl HarrisDecember 3, 2014: Going Concern - Ex-Crazy Eddie CFO's 10 Tips for Advancing Your Accounting Career by…
Rank this Week: 862

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: 552

DealLawyers.com Blog

DealLawyers.com Blog

Covers mergers & acquisitions. From editor Broc Romanek, who is also editor of TheCorporateCounsel.net.

http://www.deallawyers.com/Blog/
  • Sep 27

    Tomorrow’s Webcast: “Middle Market Deals – If I Had Only Known”

    Tomorrow’s Webcast: “Middle Market Deals – If I Had Only Known”
    Tune in tomorrow for the webcast – “Middle Market Deals: If I Had Only Known” – to hear Joe Feldman of Joseph Feldman Associates talk about how to best avoid post-closing deal surprises for a mid-market deal. Please…
  • Sep 22

    Disclosure-Only Settlements After Trulia

    Disclosure-Only Settlements After Trulia
    This blog from Anthony Rickey of Margrave Law reports on his survey of post-Trulia disclosure-only settlements in Delaware and other jurisdictions – and the results may come as a bit of a surprise: The Walgreen decision has…
  • Sep 21

    Due Diligence: Don’t Overlook FCC Licenses!

    Due Diligence: Don’t Overlook FCC Licenses!
    This Davis Wright memo reminds buyers not to overlook FCC licenses in their due diligence investigations – even in deals that don’t involve telecom companies: All sorts of non-telecommunications companies – energy…
Rank this Week: 2281

Subject to Inquiry

Subject to Inquiry

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

http://www.subjecttoinquiry.com/
Rank this Week: 1760

New York Securities Lawyer Blog

New York Securities Lawyer Blog

Covers securities law. By Lax & Neville LLP.

http://www.newyorksecuritieslawyerblog.com/
Rank this Week: 1957

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/
  • Sep 22

    Is There “Gold” In Your Old Daily Or Monthly Statements?

    Is There “Gold” In Your Old Daily Or Monthly Statements?
    Class Action Settlement on Alleged Manipulation Offers to turn old paper or electronic statements into cold, hard cash! WHO: People who traded futures and/or options on futures…
  • 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…
Rank this Week: 2576

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • Sep 21

    Financial Advisors Expunging Baseless Customer Complaints in State Court

    Financial Advisors Expunging Baseless Customer Complaints in State Court
    The Internet is awash with articles about “bad brokers” with clean U-4s, and “rouge brokers” obtaining expungements of valid customer complaints.  Indeed, studies have been published ostensibly demonstrating that…
  • Jul 29

    A SHOT ACROSS THE BOW OF ROBO-ADVISERS

    A SHOT ACROSS THE BOW OF ROBO-ADVISERS
    The Massachusetts Securities Division – one of the most active and sophisticated in the nation – recently issued a Policy Statement “to provide its state-registered investment advisers who establish concurrent or…
  • Jul 29

    A SHOT ACROSS THE BOW OF ROBO-ADVISERS

    A SHOT ACROSS THE BOW OF ROBO-ADVISERS
    The Massachusetts Securities Division – one of the most active and sophisticated in the nation – recently issued a Policy Statement “to provide its state-registered investment advisers who establish concurrent or…
Rank this Week: 3871

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/
  • Sep 21

    SEC Issues $4 Million Whistleblower Award; Program Surpasses $111 Million Total Award

    SEC Issues $4 Million Whistleblower Award; Program Surpasses $111 Million Total Award
    The Securities and Exchange Commission announced on September 20, 2016 an award of over $4 million to a whistleblower.  The whistleblower’s original information alerted the SEC to a fraud. The SEC whistleblower program was…
  • Sep 14

    Insider Whistleblowers in the Financial Advice Sector Set to Increase

    Insider Whistleblowers in the Financial Advice Sector Set to Increase
    Insiders in the investment advice sector are starting to grow bolder and start a trend of notifying the SEC of bad-acting firms and principals. On August 30, 2016, the Securities and Exchange Commission announced another whistleblower award…
  • Sep 14

    How Contingency Fees Work for Whistleblower

    How Contingency Fees Work for Whistleblower
    Litigating a case can take a long time and accrues many costs and fees.  Among those fees include filing costs, the cost of hiring an expert to testify, the cost of various office tasks such as printing and mailing, and many…
Rank this Week: 2002

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/
  • Sep 21

    Read This Before You Cash That Check

    Read This Before You Cash That Check
    One scam still making the rounds is the fake check scam.  The way it generally works is this.  You receive an authentic-looking check in the mail that appears to be from a real company. Along with the check, you receive instructions…
  • Sep 19

    Wells Fargo to Pay $185 Million to Settle Allegations of Fraudulent Sales Practice

    Wells Fargo to Pay $185 Million to Settle Allegations of Fraudulent Sales Practice
    Wells Fargo & Co. has agreed to pay $185 million to settle federal regulators’ investigation for illegal sales practices.  The bank acknowledged that it pushed employees to open as many as 2 million accounts without…
  • Sep 7

    Options 101: The Basics of Trading Stock Option

    Options 101: The Basics of Trading Stock Option
    Options are complex investments and can carry substantial risk. Before you decide to trade options, you should understand the basics. Options can be used with a wide range of financial products.  This blog will focus on the most vanilla…
Rank this Week: 4881