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The Race to the Bottom

The Race to the Bottom

A faculty-student collaboration on corporate governance. By Professor J. Robert Brown, Jr.

http://www.theracetothebottom.org/
  • 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: 46

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/
  • Mar 3

    NASAA Offers Legislative Agenda for 114th Congre

    NASAA Offers Legislative Agenda for 114th Congre
    Details available here.
  • Mar 3

    This Week in Securities Litigation

    This Week in Securities Litigation
    The SEC Actions Blog has compiled This Week In Securities Litigation (Week ending February 27, 2015).
  • Feb 23

    SEC Speaks 2015

    SEC Speaks 2015
    At SEC Speaks 2015 on February 20, 2015 in Washington, D.C., Chair Mary Jo White, Commissioner Luis A. Aguilar, Commissioner Daniel M. Gallagher, Commissioner Michael S. Piwowar, and Commissioner Kara M. Stein delivered remarks. The texts of…
Rank this Week: 138

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
  • Mar 5

    Illinois Man Arrested for $105 Million Ponzi Scheme

    Illinois Man Arrested for $105 Million Ponzi Scheme
    From the Desk of Jim Eccleston at Eccleston Law Offices:Daniel Spitzer, an Illinois resident, pleaded guilty for perpetrating a $105 million Ponzi scheme, bilking about 280 investors including his brother-in-law.Spitzer used several entities…
  • Mar 3

    Southwest Securities Broker Is Permanently Barred By FINRA

    Southwest Securities Broker Is Permanently Barred By FINRA
    From the Desk of Jim Eccleston at Eccleston Law Offices:According to FINRA, a former broker from Southwest Securities, Inc. Wade Lawrence, has been permanently barred  for failing to respond to requests for information concerning…
  • Feb 27

    World Equity Group Is Charged for Failing to Supervise Sales of Risky Investment

    World Equity Group Is Charged for Failing to Supervise Sales of Risky Investment
    From the Desk of Jim Eccleston at Eccleston Law Offices:FINRA has accused World Equity Group, an Illinois based brokerage firm, of failing to supervise the sale of non-traditional Exchange Traded Funds (ETFs), failing to properly document due…
Rank this Week: 149

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
Rank this Week: 156

Securities Lawyer 101

Securities Lawyer 101

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

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

    Corporate Hijackings 101 l Securities Lawyer 101 Blog

    Corporate Hijackings 101 l Securities Lawyer 101 Blog
    Securities Lawyer 101 Blog Corporate hijackings, also known as corporate identity theft, of public shell companies has been around for more than a decade.  It  is a growing method used by fraudsters to acquire…
  • Jan 1

    Going Public Blog l Securities Lawyer 101

    Going Public Blog l Securities Lawyer 101
    Going Public LawyerGoing 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 quantities of…
  • 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…
Rank this Week: 185

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Mar 5

    Venture Exchanges Could Boost Capital Formation for Small Companies, Proponents Say

    Venture Exchanges Could Boost Capital Formation for Small Companies, Proponents Say
    [This story previously appeared in Securities Regulation Daily.]By Lene Powell, J.D.One-size-fits all stock trading has disadvantaged small companies and led to a significant decline in the number of listed companies and IPOs since the…
  • Mar 4

    Staff Issues Guidance on Volcker Rule’s Covered Fund Exemption

    Staff Issues Guidance on Volcker Rule’s Covered Fund Exemption
    [This story previously appeared in Securities Regulation Daily.]By Jacquelyn LumbCommissioner Kara Stein last month spoke in Tokyo, Japan, about the changes the Dodd-Frank Act’s Volcker rule brought to the U.S financial system. In…
  • Mar 3

    Corporations Are Not People in Delaware Courts, Cannot Be Expert Witnesse

    Corporations Are Not People in Delaware Courts, Cannot Be Expert Witnesse
    [This story previously appeared in Securities Regulation Daily.]By Joanne Cursinella, J.D.Only a biological person can be an expert witness in Delaware under its Rules of Evidence, so the defendants in a shareholder litigation could not…
Rank this Week: 189

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
  • Mar 4

    BILL COULD END MANDATORY ARBITRATION IN BROKERAGE CONTRACTS

    BILL COULD END MANDATORY ARBITRATION IN BROKERAGE CONTRACTS
    Legislation introduced to the House last week could stop brokers and advisers from requiring investors to take claims to arbitration rather than court. Nearly all brokerage and a large amount of advisory agreements include provisions limiting…
  • Feb 13

    UBS V10 Currency Structured Notes Under Investigation by U.S. Justice Department

    UBS V10 Currency Structured Notes Under Investigation by U.S. Justice Department
    The U.S. Justice Department is looking into the UBS V10 Enhanced FX Carry Strategy, a product sold to investors such as hedge funds and pension funds. Focusing on whether banks misrepresented how currency transactions were priced,…
  • Feb 2

    SEC Charges Oppenheimer and Orders Payment of $20 Million for Securities Law Violation

    SEC Charges Oppenheimer and Orders Payment of $20 Million for Securities Law Violation
    Oppenheimer & Co. has been charged by the SEC for violating federal securities laws while wrongly selling penny stocks in unregistered offerings on behalf of clients. Oppenheimer admitted their wrongdoing and will pay $10 million to…
Rank this Week: 220

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Mar 5

    ISS’ Equity Plan Scorecard: 3 New FAQs Added

    ISS’ Equity Plan Scorecard: 3 New FAQs Added
    A few days ago, ISS released the following three new FAQs to its “Equity Plan Scorecard FAQs” (so there were 20 FAQs before; now there are 23): FAQ #11: Are there additional factors that could result in a recommendation on an…
  • Mar 4

    Disclosure Usability: GE’s Next-Gen 10-K!

    Disclosure Usability: GE’s Next-Gen 10-K!
    In an effort to entice more investors to read it, General Electric has overhauled its Form 10-K this year – and the final product is quite impressive. In a nutshell, the company has applied its enhanced usability principles that it…
  • Mar 3

    Shareholder Proposals: Another Flip-Flop? “Upon Further Reflection”

    Shareholder Proposals: Another Flip-Flop? “Upon Further Reflection”
    Here’s my reaction when I learned of this new development: It looks like the Corp Fin Staff has reversed course on a line of proposals that asks the board to adopt a policy that the board chair shall be an independent director who is…
Rank this Week: 250

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/
  • Mar 5

    Bill Would Authorize Payments For Commercial Loan Referral

    Bill Would Authorize Payments For Commercial Loan Referral
    California State Senator Marty Block has introduced a bill, SB 197, that would authorize a licensed finance lender to compensate an unlicensed person or company in connection with the referral of one or more prospective borrowers to the…
  • Mar 4

    Are LLC Interests Securities in California?

    Are LLC Interests Securities in California?
    Does California consider membership interests in a limited liability company to be securities?  There are two correct answers to this question – yes and no. As I discussed a few years back, the California Corporate Securities Law…
  • Mar 3

    Does Former Officer Have An Obligation To Turn Over Whistleblower Award?

    Does Former Officer Have An Obligation To Turn Over Whistleblower Award?
    Yesterday, the Securities and Exchange Commission announced “a whistleblower award payout between $475,000 and $575,000 to a former company officer who reported original, high-quality information about a securities fraud that…
Rank this Week: 264

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: 268

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • Mar 5

    An Interesting Look at the Characteristics of Insider Trader

    An Interesting Look at the Characteristics of Insider Trader
    For the past several years, insider trading has been one of the hottest topics in world of corporate and securities law. The controversy that has followed Second Circuit’s December 2014 dismissal of the insider trading convictions of…
  • Mar 2

    The New Zealand Edition

    The New Zealand Edition
    The D&O Diary continued its South Pacific sojourn over the weekend with a short stop in Auckland, New Zealand’s largest city, for meetings and for a brief look around. Auckland is located on New Zealand’s Northern Island,…
  • Feb 27

    Cornerstone Research Releases 2014 M&A Litigation Report

    Cornerstone Research Releases 2014 M&A Litigation Report
    According to the latest report from Cornerstone Research, during 2014, over 90 percent of M&A transactions resulting in at least one lawsuit, but each deal attracted a smaller average number of lawsuits and in fewer jurisdictions than in…
Rank this Week: 338

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: 357

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/
  • Mar 1

    SEC News: Insider Trading, Pyramid Schemes, Fraudulent Deception

    SEC News: Insider Trading, Pyramid Schemes, Fraudulent Deception
    Charges Against Atlanta Man Accused of Insider Trading in Advance of Tender OfferAn Atlanta resident has been accused of insider trading in the stock of a technology company by exploiting nonpublic information he learned from the friend of a…
  • Mar 1

    New Arbitrator Rule - Customer and Firm Attorneys are No Longer Public Arbitrator

    New Arbitrator Rule - Customer and Firm Attorneys are No Longer Public Arbitrator
    The SEC has approved a FINRA rule proposal which will dramatically change the composition of arbitration panels. For years attorneys who solely represent customers have been complaining that there are too many arbitrators with ties to the…
  • Feb 25

    SEC Sued For Unconstitutional Use of Its Own Judge

    SEC Sued For Unconstitutional Use of Its Own Judge
    Atlanta-based investment firm Gray Financial Group Inc. has sued the Securities and Exchange Commission in Georgia federal court, challenging the agency's use of its own administrative law judges rather than federal judges to try enforcement…
Rank this Week: 424

Sharesleuth.com

Sharesleuth.com

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

http://sharesleuth.com/
  • 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,…
  • Oct 7

    Kandi Technologies Group Inc.: The return of the cyber shill

    Kandi Technologies Group Inc.: The return of the cyber shill
    Last June, shares of Kandi Technologies Group Inc. (Nasdaq: KNDI) doubled in the space of a week, spurred on by a mysterious network of social-media touters who later deleted their posts or shut down their accounts…
Rank this Week: 423

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/
  • Mar 4

    Update for SandRidge Energy and Hercules Offshore Bond Investor

    Update for SandRidge Energy and Hercules Offshore Bond Investor
    The White Law Group continues to investigate the liability that brokerage firms may have for recommending risky investments in shale energy companies and their leveraged debt (primarily in the form of junk bonds). Two of the most leveraged…
  • Mar 3

    FINRA Arbitration Statistics through early 2015

    FINRA Arbitration Statistics through early 2015
    FINRA recently reported updated statistics on the number and type of arbitration claims being filed in 2015 relative to previous years.  For the full statistics published by FINRA,…
  • Mar 2

    Securities Investigation involving UBS’s V10 Enhanced FX Carry Strategy

    Securities Investigation involving UBS’s V10 Enhanced FX Carry Strategy
    According to reports, a lawsuit was recently filed  against UBS Group for selling its V10 Enhanced FX Carry Strategy product without allegedly explaining the risk and complexity of the investment. The lawsuit reportedly further…
Rank this Week: 551

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/
  • Feb 16

    Securities Clawback Actions May be Subject to Arbitration Clause

    Securities Clawback Actions May be Subject to Arbitration Clause
    The United States Court of Appeals for the Eleventh Circuit recently held that “clawback actions brought by court-appointed receivers are not categorically exempt from the Federal Arbitration Act.”  Wiand v. Schneiderman,…
  • Feb 6

    Standard & Poor’s to Pay $1.375 Billion to Settle Lawsuit

    Standard & Poor’s to Pay $1.375 Billion to Settle Lawsuit
    According to the Department of Justice, rating agency Standard & Poor’s Financial Services, LLC (“S&P) and its parent company McGraw Hill Financial, Inc. have agreed to settle multiple lawsuits brought by the federal…
  • Dec 5

    FINRA Increases Arbitrator Pay- Passes Costs to Partie

    FINRA Increases Arbitrator Pay- Passes Costs to Partie
    According to Regulatory Notice 14-49 (“RN 14-49”) issued by the Financial Industry Regulatory Authority (“FINRA”), FINRA is increasing the pay for arbitrators assigned to hear FINRA cases and passing the costs of the…
Rank this Week: 594

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/
  • Mar 5

    TSXV adopts amended rules for private placement

    TSXV adopts amended rules for private placement
    The TSXV recently amended Policy 4.1 (Private Placements), Form 4B (Private Placement Notice Form) and Policy 5.1 (Loans, Loan Bonuses, Finder’s Fees and Commissions) of the TSX Venture Exchange Corporate Finance Manual. The amendments…
  • Feb 27

    CSA release 2014 Enforcement Report

    CSA release 2014 Enforcement Report
    The Canadian Securities Administrators recently released their 2014 Enforcement Report, which provides a summary of the enforcement actions undertaken by CSA members over the past year. According to the report, CSA member staff initiated 105…
  • Feb 27

    IIROC proposes adjusting margin requirements for agency lending agreement

    IIROC proposes adjusting margin requirements for agency lending agreement
    The Investment Industry Regulatory Organization of Canada yesterday proposed amendments to Dealer Member Form 1 intended to address concerns that current rules do not set out specific margin requirements for agency cash and security…
Rank this Week: 674

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/
  • Mar 5

    There Is A Difference Between "Inducing" Something and "Causing" Something

    There Is A Difference Between "Inducing" Something and "Causing" Something
    If you asked me to list my favorite torts, tortious interference with prospective economic advantage would be near the bottom of the list. But that tort was front and center in Judge McGuire's Opinion in KRG New Hill Place, LLC v. Springs…
  • Mar 3

    Stop Asking The Business Court To Overrule An Order Of Another Business Court Judge

    Stop Asking The Business Court To Overrule An Order Of Another Business Court Judge
    I don't know why lawyers keep trying to get Business Court Judges to overrule decisions by one of their predecessors.  It is just not going to happen, as illustrated (yet again) by Judge Bledsoe's decision in County of Catawba v. Frye…
  • Feb 25

    A Valuable Point From The NC Business Court On Subpoenas Without Deposition

    A Valuable Point From The NC Business Court On Subpoenas Without Deposition
    Can you send a subpoena duces tecum -- which translated from Latin is "a writ commanding a person to produce in court certain designated documents or evidence " --  without coupling it with a deposition? Maybe that question has never…
Rank this Week: 663

Recover Investment Losses Blog

Recover Investment Losses Blog

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

http://blog.rexsecuritieslaw.com
  • Mar 5

    Texas Based Cannon Operating Sanctioned by South Carolina Securities Regulator

    Texas Based Cannon Operating Sanctioned by South Carolina Securities Regulator
    February 27, 2015- Columbia, South Carolina The Securities Commissioner of the State of South Carolina has filed an Order to Cease and Desist against a Garland, Texas, Company and one of its promoters , to halt sales of unregistered oil and…
  • Mar 5

    BCG Securities Broker in New Jersey Sanctioned by FINRA

    BCG Securities Broker in New Jersey Sanctioned by FINRA
    March 3, 2015  – Manasquan, NJ Harvey Herman Meldrum   entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve…
  • Mar 5

    IBN FInancial Services Broker in Watertown, NY, Sanctioned by Securities Regulator

    IBN FInancial Services Broker in Watertown, NY, Sanctioned by Securities Regulator
    March 3, 2015  – Watertown, NY Brian Scott Exford   entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations…
Rank this Week: 772

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Mar 5

    FINRA Bars Broker Gregg Beemer Concerning Private Securitie

    FINRA Bars Broker Gregg Beemer Concerning Private Securitie
    The Financial Industry Regulatory Authority (FINRA) sanctioned and barred broker Gregg Beemer (Beemer) concerning allegations that Beemer engage in outside business activities including the sales of private securities. When outside business…
  • Mar 4

    FINRA Bars Broker David Blasik Concerning Allegations of Outside Business Activitie

    FINRA Bars Broker David Blasik Concerning Allegations of Outside Business Activitie
    The Financial Industry Regulatory Authority (FINRA) sanctioned and barred broker David Blasik (Blasik) concerning allegations that Blasik engage in outside business activities. When the outside business activity also includes the…
  • Mar 3

    Cary Olson Sanctioned by FINRA Over Non-Traditional ETF Sale

    Cary Olson Sanctioned by FINRA Over Non-Traditional ETF Sale
    The Financial Industry Regulatory Authority (FINRA) sanctioned broker Cary Olson (Olson) concerning allegations that Olson made recommendations in non-traditional exchange-traded funds (ETFs) to several customers without having reasonable…
Rank this Week: 809

Business Blog

Business Blog

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

http://www.businesslawnews.com/
  • Mar 4

    Merger and Acquisition Litigation Trend

    Merger and Acquisition Litigation Trend
    A new study on merger and acquisition (M&A) litigation in 2014 reveals several significant trends. Most notably, the majority of all lawsuits were filed in one jurisdiction, suggesting that companies are increasingly incorporating…
  • Mar 3

    The Evolution of Health Care Competition Law

    The Evolution of Health Care Competition Law
    The Federal Trade Commission, in conjunction with the U.S. Department of Justice Antitrust Division, recently held a two-day workshop to analyze the competitive effects of developing health care provider organizations and payment models on…
  • Mar 2

    Open Space Funding Allocation in New Jersey

    Open Space Funding Allocation in New Jersey
    New Jersey lawmakers are currently trying to determine how to allocate funding for open space preservation in the state. Given the limited resources, it will be difficult to please everyone. The Legal Background Last year, New Jersey voters…
Rank this Week: 701

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: 802

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

http://www.seclawyersblog.com/
Rank this Week: 670

InvestorLawyers.net

InvestorLawyers.net

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

http://www.investorlawyers.net/blog/
Rank this Week: 706

William Carleton, Counselor @ Law

William Carleton, Counselor @ Law

Covers legal and investment issues facing emerging tech companies.

http://www.wac6.com/wac6/
  • Feb 20

    First Cherry Blossom

    First Cherry Blossom
    Wet and temperate in Seattle this morning. And look, Spring!
  • Feb 9

    Lark & Environ

    Lark & Environ
    Interesting stuff going on at, let's call it 10th and Seneca, about a half block east of Broadway off Madison. Lark has recently moved there, and, based on one dinner experience at the new location, is as good or better...
  • Jan 25

    One Thousand Things Worth Knowing

    One Thousand Things Worth Knowing
    This weekend I've read Paul Muldoon's newly published collection of poems, "One Thousand Things Worth Knowing." (The dust jacket sports a very pleasing design by the ubiquitous Quemadura, a brilliant designer and a kind man I will…
Rank this Week: 712

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
  • Mar 3

    Former Hartford Securities Rep Demands Over $10 Million In Damage

    Former Hartford Securities Rep Demands Over $10 Million In Damage
    In the fiery afterglow of a nasty post-employment split, former employees and former employers are apt to do battle over underpaid or unpaid bonuses, deferred compensation, and trailing commissions/fees.  In a recent example of such…
  • Mar 2

    Supervisor Fined, Suspended, and Barred In Ponzi Fiasco

    Supervisor Fined, Suspended, and Barred In Ponzi Fiasco
    I frequently criticize FINRA for trying to land the knock-out punch on the industry's small fry when there isn't the same blood-lust displayed with some of the big fish.  In a recent case, however, the self-regulatory organization showed…
  • Mar 2

    First SEC Whistleblower Bounty Awarded To Corporate Officer

    First SEC Whistleblower Bounty Awarded To Corporate Officer
    A potential graveyard for whistleblower claimants under Dodd Frank is 17 CFR 240.21F-4(b)(4). As set forth in the Rule, officers, directors, trustees, or partners may be deemed ineligible for an award unless the subject information was…
Rank this Week: 1141

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Feb 20

    Give and Take

    Give and Take
    To what extent does a company have to anticipate that its actions could result in a negative regulatory outcome?  In Fire and Police Pension Association of Colorado v. Abiomed, Inc., 2015 WL 500748 (1st Cir. Feb. 6, 2015), the…
  • Jan 30

    Compare and Contrast

    Compare and Contrast
    NERA Economic Consulting and Cornerstone Research (in conjunction with the Stanford Securities Class Action Clearinghouse) have released their 2014 annual reports on securities class action filings.  As usual, the different methodologies…
  • Jan 24

    Domestic Statu

    Domestic Statu
    Under the Morrison test for extraterritoriality, a Section 10(b) claim for securities fraud may only be brought if the transaction involved “the purchase or sale of a security listed on an American stock exchange” or “the…
Rank this Week: 1051

Federal Securities Law Blog

Federal Securities Law Blog

FedSecLaw.com is devoted to highlighting current issues in securities laws, discussing the ramifications of those issues for today’s businesses, and providing bottom-line takeaways for busy owners, managers, and executives. By Porter Wright Morris & Arthur LLP.

http://www.fedseclaw.com/
  • Feb 9

    Once again, House takes up bill governing M&A broker

    Once again, House takes up bill governing M&A broker
    HR 686, The Small Business Mergers, Acquisitions, Sales & Brokerage Simplification Act, was introduced in the U.S. House of Representatives on Feb. 3, 2015. This bill is identical to HR 2274, which was passed unanimously in the U.S. House…
  • Jan 20

    Comment by Feb. 16 on proposed uniform state model rule for M&A broker

    Comment by Feb. 16 on proposed uniform state model rule for M&A broker
    The Broker-Dealer Section of the North American Securities Administrators Association is seeking comments no later than Feb. 16, 2015, on a proposed uniform state model rule exempting certain merger and acquisition brokers from registration…
  • Dec 29

    Bill governing M&A brokers should resurface in 2015

    Bill governing M&A brokers should resurface in 2015
    During 2014, Congress has gained momentum toward creating an exemption from federal broker-dealer registration for “M&A brokers” who facilitate mergers, acquisitions, sales and similar transactions involving privately held…
Rank this Week: 953

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: 1031

Securities Fraud Attorney Blog

Securities Fraud Attorney Blog

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

http://www.securitiesfraudattorneyblog.com/
Rank this Week: 1617

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/
  • Mar 5

    Exercising Drag-Along Rights After Merger Didn’t Waive Appraisal Right

    Exercising Drag-Along Rights After Merger Didn’t Waive Appraisal Right
    Here’s news from this blog by Steve Quinlivan (also see this memo): In Halpin et al v. Riverstone National, the Delaware Court of Chancery found that invoking drag-along rights against minority stockholders after a merger did not waive…
  • Mar 4

    Poison Pill Impetus: Why Are US Companies Adopting Them?

    Poison Pill Impetus: Why Are US Companies Adopting Them?
    Here’s an excerpt from this FactSet infographic on poison pills: An analysis of last year’s U.S. poison pill adoptions reveals that companies continue to primarily adopt them for a specific reason, including in response to…
  • Mar 3

    Webcast: “Merger Filings with the SEC: Nuts & Bolts”

    Webcast: “Merger Filings with the SEC: Nuts & Bolts”
    Tune in tomorrow for the webcast – “Merger Filings with the SEC: Nuts & Bolts” – to hear Dennis Garris of Alston & Bird, Laurie Green of Holland & Knight and Jim Moloney of Gibson Dunn discuss the nuts…
Rank this Week: 1397

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: 1504

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: 1557

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
Rank this Week: 1288

Stock Broker Attorney Blog

Stock Broker Attorney Blog

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

http://www.stockbrokerattorney.com/blog
  • Jan 7

    Man Sentence to 18-Months for Investment Scam

    Man Sentence to 18-Months for Investment Scam
    In Scottsdale, J'Sean Claude Butierries pleaded guilty to defrauding investors out of hundreds of thousands of dollars. He allegedly used the ill-gotten gains to buy himself luxury items like a $195,000 Audi and cosmetic surgery for his wife…
  • Jan 5

    SEC Charges Unlicensed Man with Scamming Investor

    SEC Charges Unlicensed Man with Scamming Investor
    Vinay Kumar Nevatia, of Palo Alto, has been charged by the U.S. Securities and Exchange Commission for allegedly reselling almost $900,000 stock shares of an off-shore company, CSS Technologies (Mauritius) Limited, already owned by eight…
  • Jan 1

    Broker Barred from Practice for Stealing from Elderly

    Broker Barred from Practice for Stealing from Elderly
    Jeffrey McClure, a former employee of Wells Fargo Advisors and an affiliated bank in California, was recently barred from the securities industry after stealing almost $89,000 from an elderly customer. Between December 2012 and August 2014,…
Rank this Week: 1500

Tim O'Connor's Blog

Tim O'Connor's Blog

Covers stockbroker fraud.

http://stockbrokerlaw.com/tim-oconnors-blog
  • Aug 12

    ERISA Plan Trustees Subject to Offsets for Prohibited Transactions as Functional Fiduciarie

    ERISA Plan Trustees Subject to Offsets for Prohibited Transactions as Functional Fiduciarie
    ERISA-Qualified Pension Plans The past decade has seen an explosion of new investment products being purchased in ERISA-qualified pension plans. These products, including structured products, auction rate notes, private placements, managed…
  • Jul 31

    Tenants-in-Common Investments: An Accident Waiting to Happen

    Tenants-in-Common Investments: An Accident Waiting to Happen
    The most common form of tenancy-in-common interests involves ownership interests in real property, with two or more persons possessing undivided interests in the property. Section 1031 of the Internal Revenue Code codified permissible…
  • Jul 21

    New York State Deferred Compensation Plan Beneficiary Designation

    New York State Deferred Compensation Plan Beneficiary Designation
    The New York State Deferred Compensation Plan is presently administered through Nationwide, and curiously, beneficiary designation forms must be mailed to an address in Ohio, not New York State. The New York State Deferred Compensation Plan…
Rank this Week: 1208

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: 1407

Securities Attorney Law Blog

Securities Attorney Law Blog

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

http://securitiesattorneys.us/
Rank this Week: 1501

Inside Sarbanes Oxley

Inside Sarbanes Oxley

Covers Sarbanes-Oxley and compliance.

http://insidesarbanesoxley.com/
  • Sep 10

    Whistleblowing – What you need to know about the Dodd-Frank Act

    Whistleblowing – What you need to know about the Dodd-Frank Act
    If your organization isn’t already offering incentives to ferret out inappropriate behaviors, the new Dodd-Frank Act and whistleblowing rewards just might (and could make your company the next public spectacle). Deloitte’s…
  • May 26

    Internal Audit: The Continuous Conundrum

    Internal Audit: The Continuous Conundrum
    The department painstakingly went through its inventory of SOX controls to determine which ones could be assessed just by analyzing data in company systems. Then data-analytic scripts were written to allow exceptions to be found. Now, for…
  • May 26

    How to choose the right nonexecutive board leader

    How to choose the right nonexecutive board leader
    Ever since stock-listing requirements prompted many US companies to name an independent director to serve as the chairman, lead director, or presiding director of the board, these companies have been grappling with what, exactly, this board…
Rank this Week: 1425

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/
  • Mar 4

    Goodyear Rolls Out $16 M Settlement With SEC, Putting Brakes on FCPA Charge

    Goodyear Rolls Out $16 M Settlement With SEC, Putting Brakes on FCPA Charge
    On February 24, 2015, the SEC announced that it had reached an agreement with Goodyear Tire & Rubber Co. (“Goodyear”) for Goodyear to disgorge more than $16 million to settle FCPA charges stemming from its Kenyan and Angolan…
  • Feb 24

    Highlights From SEC Speaks 2015

    Highlights From SEC Speaks 2015
    Securities and Exchange Commission leadership and staff members addressed the public on February 20-21 at the annual “SEC Speaks” conference in Washington, D.C.  Common themes among the numerous presentations included the…
  • Feb 24

    To Whom Must The Whistle Blow? SEC Asks Second Circuit for Deference on Scope of Dodd-Frank Whistleblower Protection

    To Whom Must The Whistle Blow? SEC Asks Second Circuit for Deference on Scope of Dodd-Frank Whistleblower Protection
    In an amicus brief filed earlier this month in Berman v. Neo@Ogilvy LCC, the SEC asked the Second Circuit to defer to the Commission and hold that individuals who report misconduct internally are covered by the anti-retaliation protections of…
Rank this Week: 2588

Subject to Inquiry

Subject to Inquiry

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

http://www.subjecttoinquiry.com/
  • Mar 3

    CFPB Proposal Seeks Suspension of Credit Card Agreement Submission

    CFPB Proposal Seeks Suspension of Credit Card Agreement Submission
    On February 24, 2015, the CFPB proposed an amendment to Regulation Z which would suspend, for one year, credit card issuers’ obligations to submit credit card agreements to the CFPB. In submitting the proposed rule, the CFPB seeks to…
  • Mar 2

    Mind the Red Flags – FinCEN Issues Penalty for Failure to File SARs on Director’s Suspicious Activity

    Mind the Red Flags – FinCEN Issues Penalty for Failure to File SARs on Director’s Suspicious Activity
    The U.S. Treasury Department’s Financial Crimes Enforcement Network (FinCEN) recently penalized First National Community Bank (FNCB) $1.5 million for failing to file suspicious activity reports (SARs) despite the existence of…
  • Feb 26

    SEC Speaks 2015: Enforcement Highlight

    SEC Speaks 2015: Enforcement Highlight
    On February 20, 2015, the Securities and Exchange Commission (SEC) held its annual SEC Speaks conference, which updated the public regarding the staff’s work over the last year and its plans for 2015. The conference covered several…
Rank this Week: 1767

Cady Bar the Door

Cady Bar the Door

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

http://www.secmiscellany.com
  • Mar 2

    The SEC Will Be Your Employment Law Agency, Too

    The SEC Will Be Your Employment Law Agency, Too
    The nature of the SEC’s business a regulator of public companies lends a certain expansive aspect to its jurisdiction.  That is, when your job as a government agency is to be sure public companies are making complete and accurate…
  • Mar 1

    SIFMA Gets Its Cybersecurity-Antitrust Wish

    SIFMA Gets Its Cybersecurity-Antitrust Wish
    I’m sure you remember SIFMA’s Principles for Effective Cybersecurity Regulatory Guidance, issued last October.  I mean, you read about them right here. One of the principles was this: Principle 9: Information Sharing is…
  • Feb 26

    Two-Factor Authentication May Be Coming to a Bank Near You

    Two-Factor Authentication May Be Coming to a Bank Near You
    When I was at the SEC and online broker-dealers’ customers were the victims of hacking incidents, I used to wonder, why don’t the broker-dealers require multi-factor authentication to gain access to accounts?  It was a silly…
Rank this Week: 2145

New York Securities Lawyers Blog

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

http://www.newyorksecuritieslawyersblog.com/
Rank this Week: 2254

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • Feb 23

    Josh Horn’s Great Guidance on RIA Conflicts of Interest

    Josh Horn’s Great Guidance on RIA Conflicts of Interest
    We are pleased to share with everyone Josh Horn’s excellent guidance on RIA conflicts of interest, recently, published in the Practical Compliance and Risk Management for the Securities Industry, a professional journal published by…
  • Feb 23

    What FINRA Is Doing About Private Placement

    What FINRA Is Doing About Private Placement
    FINRA recently censured and fined a broker-dealer $175,000.00 for failing to perform appropriate due diligence and supervision regarding private placements that the firm and its registered representatives offered. This penalty should serve as…
  • Feb 18

    FINRA in 2015 – High-Risk and Recidivist Broker

    FINRA in 2015 – High-Risk and Recidivist Broker
    FINRA is planning on turning up the heat on perceived “high-risk” brokers this year, and the firms that hire them.  Continuing our discussion regarding FINRA’s 2015 Regulatory and Examinations Priorities Letter, this…
Rank this Week: 2257

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: 2442