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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/
  • Apr 18

    Bank of America, Kenneth Lewis and the Financial Crisi

    Bank of America, Kenneth Lewis and the Financial Crisi
    Bank of America settled a case with the Attorney General of NY, Eric Schneiderman over the acquisition of Merrill Lynch. The settlement included a $10 payment by Kenneth Lewis, the former CEO of BofA. A copy of the settlement is here.…
  • Apr 17

    The SEC's Disclosure Project

    The SEC's Disclosure Project
    On Friday, April 11, the Director of the Division of Corporation Finance gave a speech that provided a "path" forward on the division's corporate disclosure reform project. Replacing "disclosure overload" with "disclosure…
  • Apr 16

    NATIONAL ASSOCIATION OF MANUFACTURERS v. SEC: En Banc Strategy (part 2)

    NATIONAL ASSOCIATION OF MANUFACTURERS v. SEC: En Banc Strategy (part 2)
    The SEC's decision to apply for rehearing en banc in NAM v. SEC needs to take into account the impact of any consolidation with a related case. Consolidation may affect the pool of judges eligible to participate in the decision which in turn…
Rank this Week: 40

FinancialCounsel

FinancialCounsel

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

http://financialcounsel.typepad.com/financialcounsel/
Rank this Week: 81

California Corporate & Securities…

California Corporate & Securities Law

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

http://calcorporatelaw.com/
  • Apr 18

    Is This Proposed Amendment To Delaware’s Stockholder Consent Statute Really Needed?

    Is This Proposed Amendment To Delaware’s Stockholder Consent Statute Really Needed?
    Recently, I wrote about a proposal to amend Section 141(f) of the Delaware General Corporation Law to permit inchoate directors to take action by written consent.  The Corporation Law Section of the Delaware State Bar is proposing a…
  • Apr 17

    Directors’ Alleged Breach Of Fiduciary Duty Not Subject To Anti-SLAPP Statute

    Directors’ Alleged Breach Of Fiduciary Duty Not Subject To Anti-SLAPP Statute
    A SLAPP is a strategic lawsuit against public participation.  California enacted Code of Civil Procedure Section 425.16 as an antidote to SLAPP suits.  In general, a SLAPP is subject to a special motion to strike unless the…
  • Apr 16

    This Proposed Amendment To DGCL Section 141(f) Is A Curate’s Egg

    This Proposed Amendment To DGCL Section 141(f) Is A Curate’s Egg
    In AGR Halifax Fund, Inc. v. Fiscina, 743 A.2d 1188 (1999), the Delaware Court of Chancery was asked to decide whether a consent given by persons before they became directors could become effective if delivered to the corporation after they…
Rank this Week: 160

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…
  • Feb 26

    George Theodule Sentenced to 150 Month

    George Theodule Sentenced to 150 Month
    On February 26, 2014, the FBI announced George Louis Theodule, 52, a former resident of Wellington, Florida was sentenced to 150 months in prison, to be followed by three years of supervised release. Theodule previously pled guilty to wire…
  • Feb 26

    SEC Charges Arizona-Based Equity Fund l Securities Lawyer 101

    SEC Charges Arizona-Based Equity Fund l Securities Lawyer 101
    Securities Lawyer 101 Blog On February 26, 2014, the Securities and Exchange Commission (the “SEC”) announced charges against an Arizona-based private equity fund manager and his investment advisory firm for…
Rank this Week: 172

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/
  • May 23

    SEC Charges Former LPL Advisor With Fraud

    SEC Charges Former LPL Advisor With Fraud
    On May 23, 2013, the SEC charged a former LPL Financial LLC advisor, Blake Richards, with fraud and misappropriating $2 million from at least six clients.  The SEC filed the civil complaint in the U.S. District Court for the Northern…
  • May 6

    Wells Fargo Settles Medical Capital Class Action for $105 Million

    Wells Fargo Settles Medical Capital Class Action for $105 Million
    InvestmentNews reports that Wells Fargo & Co. has agreed to pay $105 million in a class action lawsuit brought by investors who purchased Medical Capital notes.  The notes turned out to be a fraudulent medical receivables scheme. The…
  • Apr 23

    Front-End Bonus Payments May Need To Be Disclosed

    Front-End Bonus Payments May Need To Be Disclosed
    If your broker or financial adviser told you he was moving to another brokerage firm and asked you to move your account there, would you want to know if he was being paid thousands or millions of dollars to make the move?  The Financial…
Rank this Week: 163

The White Law Group's Securities…

The White Law Group's Securities Fraud Blog

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

http://www.whitesecuritieslaw.com/securities-fraud/blog/
  • Apr 17

    DBSI Executives Found Guilty

    DBSI Executives Found Guilty
    According to reports, CEO and president of DBSI, Douglas L. Swenson, was convicted of thirty-four counts of wire fraud and forty-four counts of securities fraud. Three other top DBSI executives were also convicted on multiple fraud charges.…
  • Apr 17

    Update for Icon Leasing Fund 12 Investor

    Update for Icon Leasing Fund 12 Investor
    According to recent letter to shareholders, Icon Leasing Fund Twelve announced that the Fund will officially close and enter a liquidation period effective April 30, 2014.  The letter also states that “the amount and…
  • Apr 15

    PNC Investments LLC fined by FINRA

    PNC Investments LLC fined by FINRA
    PNC Investments LLC (CRD# 129052, Pittsburgh, Pennsylvania) recently submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $90,000. The firm has paid restitution to all affected customers. Without…
Rank this Week: 184

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
Rank this Week: 238

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
Rank this Week: 260

Securities Law Practice Center

Securities Law Practice Center

Covers news, analysis and resources in the securities field. By the Practicing Law Institute (PLI).

http://seclawcenter.pli.edu
  • Apr 5

    Tweet This! SEC Addresses Application of Regulation FD to Social Media

    Tweet This! SEC Addresses Application of Regulation FD to Social Media
    On April 2nd, the SEC issued a report of investigation that makes clear public companies may use social media such as Twitter and Facebook to announce information in compliance with Regulation FD as long as the companies made investors aware…
  • Apr 3

    Simpson Thacher: March Securities Law Alert

    Simpson Thacher: March Securities Law Alert
    We are pleased to share the most recent edition of the Simpson Thacher Securities Law Alert, edited by litigation Partners Jonathan Youngwood, Peter Kazanoff, and Paul Gluckow. The following is a summary of the March 2013 edition of the…
  • Apr 1

    Delaware Court of Chancery Enjoins Board from Resisting Insurgent Director Slate

    Delaware Court of Chancery Enjoins Board from Resisting Insurgent Director Slate
    In Kallick v. SandRidge Energy, Inc. the Delaware Court of Chancery preliminarily enjoined the board of SandRidge Energy, Inc. from impeding a consent solicitation by one of the Company’s largest stockholders to replace the incumbent…
Rank this Week: 289

Securities Law Prof Blog

Securities Law Prof Blog

Covers securities arbitration, state securities law, court decisions and law review articles. By Professor Barbara Black.

http://lawprofessors.typepad.com/securities/
Rank this Week: 336

Securities Arbitration Blog

Securities Arbitration Blog

Covers the happenings in the Securities and Investment Fraud Sector. By Guiliano Law Firm.

http://www.securitiesarbitrations.com
  • 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…
  • 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 Governor Tom Corbett…
Rank this Week: 314

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: 359

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/
Rank this Week: 355

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/
  • Apr 12

    FINRA Doesn’t Want Oversight Over Financial Advisers, Says CEO Ketchum

    FINRA Doesn’t Want Oversight Over Financial Advisers, Says CEO Ketchum
    According to Financial Industry Regulatory Authority CEO Richard G. Ketchum, the regulator no longer wants to be given oversight over financial advisers. Speaking to The Wall Street Journal, Ketchum said the self-regulatory agency had done…
  • Apr 11

    Large Hedge Funds Invested in Puerto Rico Bond

    Large Hedge Funds Invested in Puerto Rico Bond
    According to The Wall Street Journal, a number of large hedge funds and other nontraditional buyers got involved in Puerto Rico debt last month during the US Territory’s $3.5B bond sale, buying up to 70% of the deal. Brigade Capital…
  • Apr 9

    SEC Files Charges Over Securities Fraud Scams that Used YouTube, Facebook, Twitter, & Other Social Media

    SEC Files Charges Over Securities Fraud Scams that Used YouTube, Facebook, Twitter, & Other Social Media
    The US Securities and Exchange Commission has filed securities fraud charges against Joseph Signore, Paul L. Schumack II, and their respective companies for their Florida-based Ponzi scam that purportedly used YouTube videos to target…
Rank this Week: 451

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • Apr 18

    Liability Exposures of Audit Committee Chair

    Liability Exposures of Audit Committee Chair
    One frequently asked question is whether members of a corporate board’s audit committee face heightened liability exposures. Two recent SEC enforcement actions seem to underscore that audit committee chairs do face liability exposures.…
  • Apr 17

    Guest Post: Social Media and D&O Liability Exposure

    Guest Post: Social Media and D&O Liability Exposure
    Earlier this week I published a post on this site about the employment practices liability exposures that the social media may present for employers. After seeing my post, D&O maven Dan Bailey of the Bailey Cavalieri law firm send me a…
  • Apr 16

    Cornerstone Releases 2013 Study of M&A Lawsuit Settlement

    Cornerstone Releases 2013 Study of M&A Lawsuit Settlement
    Only two percent of M&A lawsuit that settled in 2013 involved a monetary payment to shareholders, according to the latest report on M&A lawsuit settlements from Cornerstone Research. The report, entitled “Settlements in…
Rank this Week: 549

Business Law Post

Business Law Post

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

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

    Elusive Bitcoin: Regulation of Bitcoin in the U.S. Part II

    Elusive Bitcoin: Regulation of Bitcoin in the U.S. Part II
    Today, I am going to summarize FinCEN’s regulations relating to Bitcoin.The Financial Crimes Enforcement Network (FinCEN) is an agency within the US Treasure Department. Its mission is to safeguard the financial system from illicit…
  • Apr 16

    Elusive Bitcoin: Regulation of Bitcoin in the U.S. Part I

    Elusive Bitcoin: Regulation of Bitcoin in the U.S. Part I
    The phenomenon of Bitcoin (and virtual currency in general) presents an interesting legal conundrum. It is still not clear for many where does Bitcoin fit within our legal system, and whether and how to regulate it. Today, I would like to…
  • Feb 1

    Could Your Update on LinkedIn Violate a Non-Compete Agreement?

    Could Your Update on LinkedIn Violate a Non-Compete Agreement?
    Today, I am re-posting a blog post of a colleague of mine (with his permission) that I found to be particularly interesting and relevant for those of you who are looking to leave your present employers to start your own businesses or to just…
Rank this Week: 512

Ponzitracker

Ponzitracker

Covers Ponzi schemes. By Jordan Maglich.

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

    TelexFree Asks Bankruptcy Court To Eliminate Promoter Obligation

    TelexFree Asks Bankruptcy Court To Eliminate Promoter Obligation
    On the date it filed bankruptcy in a Nevada federal court, and just days before Massachusetts regulators and the Securities and Exchange Commission accused the company of being a massive pyramid and Ponzi scheme that had raised at least…
  • Apr 17

    As Regulators Closed In, TelexFree Execs Scrambled To Move Asset

    As Regulators Closed In, TelexFree Execs Scrambled To Move Asset
    It reads like a spy thriller you would expect out of Hollywood.  As authorities closed in on a massive fraud, one of the company's top executives sought to elude a raid on the company's headquarters by walking out the front door with…
  • Apr 16

    Authorities Charge Rothstein CFO With Conspiracy

    Authorities Charge Rothstein CFO With Conspiracy
    Federal authorities continued their quest to prosecute those connected to the massive $1.2 billion Ponzi scheme perpetrated by Scott Rothstein, with Rothstein's former CFO becoming the 18th person to face charges to date.  Irene Shannon,…
Rank this Week: 661

Startup Law Blog

Startup Law Blog

Covers legal and regulatory developments in startup, securities law and regulation. By Joe Wallin.

http://www.startuplawblog.com/
  • Apr 16

    How is corporate M&A strategy developed?

    How is corporate M&A strategy developed?
    How do strategic M&A events germinate? When does the corporate development process for major companies begin? How is corporate strategy developed? Pacific Rim M&A Institute’s inaugural session answers these questions and more.…
  • Apr 1

    Crowdfunding : Key Decisions and Strategie

    Crowdfunding : Key Decisions and Strategie
    Crowdfunding has become a reality in Washington State. This is a great opportunity for startups and entrepreneurs to finally get the funding they need to move forward with the support of many small contributors. But there are still strict SEC…
  • Mar 26

    What Does the New Washington Crowdfunding Law Allow?

    What Does the New Washington Crowdfunding Law Allow?
    The Washington State legislature has passed a crowdfunding bill, HB 2023.  The Governor has yet to sign the bill, so it is not yet law.  But hopefully it will be law soon. If you are wondering what the new law will allow, I have put…
Rank this Week: 595

William Carleton, Counselor @ Law

William Carleton, Counselor @ Law

Covers legal and investment issues facing emerging tech companies.

http://www.wac6.com/wac6/
  • Apr 14

    A Simple Act of Congress to Make Things Better for Startup

    A Simple Act of Congress to Make Things Better for Startup
    My friend Joe Wallin had an idea earlier today, which was, “how can Congress pass a single, simple law, to tell federal agencies to back off the rulemaking?” His idea is borne of the frustration we all feel when Congress...
  • Apr 9

    Another Car2Go story

    Another Car2Go story
    I love this service. A lot of people in Seattle are talking about the politics of ride sharing services. But Car2Go is more like a self-service. Or the loan of hardware, I guess you could say. Because you find a...
  • Apr 2

    Non-accredited crowdfunding: a license to pillage the vulnerable, or democracy in action?

    Non-accredited crowdfunding: a license to pillage the vulnerable, or democracy in action?
    The essential problem with Title III of the JOBS Act is that it doesn't pick sides.
Rank this Week: 648

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
  • Apr 11

    Variable Universal & Indexed Universal Life Insurance Policie

    Variable Universal & Indexed Universal Life Insurance Policie
    In an April 4, 2014 article in The Wall Street Journal (“The Great Life-Insurance Temptation”), customers are warned that they “could be in for a shock” as a result of the correlation between specific life insurance…
  • Apr 10

    SEC Is Probing Dealings by Banks and Companies in Loan Securitie

    SEC Is Probing Dealings by Banks and Companies in Loan Securitie
    The Securities and Exchange Commission is investigating a Wall Street boom in complicated bond deals. SEC investigators are looking at whether banks and companies are using the bond deals to hide certain risks illegally, said the people close…
  • Apr 2

    SEC Is Probing Dealings by Banks and Companies in Loan Securitie

    SEC Is Probing Dealings by Banks and Companies in Loan Securitie
    On March 24, 2014, an article in The Wall Street Journal (“SEC is Probing Dealings by Banks and Companies in Loan Securities”), disclosed that the Securities and Exchange Commission is investigating whether a Wall Street boom in…
Rank this Week: 683

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

http://www.seclawyersblog.com/
Rank this Week: 586

Sharesleuth.com

Sharesleuth.com

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

http://sharesleuth.com/
  • Mar 28

    SEC probe of Kandi Technologies has risen to a formal investigation

    SEC probe of Kandi Technologies has risen to a formal investigation
    The Securities and Exchange Commission is conducting a formal investigation of Kandi Technologies Corp. (Nasdaq: KNDI), a Chinese company that has been the subject of several Sharesleuth stories. Kandi did not mention the investigation in the…
  • Oct 31

    People behind Twitter suit have history of questionable dealing

    People behind Twitter suit have history of questionable dealing
    The principals of two financial firms that sued Twitter Inc. for $124 million in damages have a history of dealings with questionable companies and questionable partners. Continental Advisors SA and Precedo Capital Group Inc. say Twitter…
  • Sep 23

    Virtual Piggy Inc: Developer of safe payment system for young people has questionable backer

    Virtual Piggy Inc: Developer of safe payment system for young people has questionable backer
    (Editor’s Note: Sharesleuth has taken down the story on Virtual Piggy Inc. (OTCBB: VPIG) that appeared under this headline last Friday. We will publish a revised version shortly.)
Rank this Week: 612

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 29

    Wells Fargo Reaches $591 Million Mortgage Deal with Fannie Mae

    Wells Fargo Reaches $591 Million Mortgage Deal with Fannie Mae
    Wells Fargo & Co. (WFC) has arrived at a $591 million mortgage settlement with Fannie Mae (FNMA). The arrangement resolves claims that the banking institution sold faulty mortgages to the government run-home loan financier and covers…
  • Apr 15

    SEC Takes a Closer Look at Municipal Bond

    SEC Takes a Closer Look at Municipal Bond
    The US Securities and Exchange Commission is finally beginning to scrutinize municipal bond issuers. Recent efforts include the opening of investigations into whether certain municipalities misled investors about their financial well-being…
  • Apr 12

    SAC Capital Advisor’s $1.8B Criminal Securities Fraud Settlement with the DOJ is Accepted by a Federal Judge

    SAC Capital Advisor’s $1.8B Criminal Securities Fraud Settlement with the DOJ is Accepted by a Federal Judge
    U.S. District Judge Laura Taylor Swain has approved the criminal settlement reached between the US Department of Justice and SAC Capital Advisors LP. The hedge fund, which was founded by Steven A. Cohen, consented to pay a $1.8 billion…
Rank this Week: 804

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Apr 18

    More on the Conflict Minerals Ruling: What is En Banc Review?

    More on the Conflict Minerals Ruling: What is En Banc Review?
    More on the Conflict Minerals Ruling: What is En Banc Review? As I noted when the U.S. Court of Appeals decision came out earlier this week in National Association of Manufacturers, et al. v. Securities and Exchange Commission, one of...
  • Apr 17

    Business Groups File Shareholder Proposal Rulemaking Petition

    Business Groups File Shareholder Proposal Rulemaking Petition
    Business Groups File Shareholder Proposal Rulemaking Petition Broc recently noted the ongoing dialogue about revisiting Rule 14a-8, including SEC Commissioner Gallagher's recent speech, Ed Knight's WSJ op-ed and Ann Yerger's WSJ op-ed…
  • Apr 16

    Was the Conflict Minerals Ruling a "Win" for SEC Rulemaking?

    Was the Conflict Minerals Ruling a "Win" for SEC Rulemaking?
    Was the Conflict Minerals Ruling a "Win" for SEC Rulemaking? As I noted in yesterday's blog, the opinion of the U.S. Court of Appeals for the District of Columbia Circuit in the appeal of National Association of Manufacturers, et…
Rank this Week: 726

Securities Class Action &…

Securities Class Action & Arbitration Law

Covers securities class action litigation and FINRA arbitrations, SEC regulatory developments and FINRA disciplinary decisions. By Jay Eng.

http://securitiesattorneys.us/
Rank this Week: 814

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
  • Apr 15

    Will This Tax Season Lien On You?

    Will This Tax Season Lien On You?
    We just made it through another tax season. The good news is that you filed and are fully paid up -- or, the bad news is that you didn't file or you haven't fully paid your tab.  That's bad enough because the state and federal tax folks…
  • Apr 14

    The Old Cut And Paste Gets The Old UBS Heave-ho

    The Old Cut And Paste Gets The Old UBS Heave-ho
    In this digital age there are still folks who physically cut-and-paste. How quaint. Of course, quaint or not, when you start using the terms "cut-and-paste" "Individual Retirement Account" and "Letter of Authorization" in the same sentence,…
  • Apr 12

    Mom, Her IRA, And Her Stockbroker Son

    Mom, Her IRA, And Her Stockbroker Son
    Here's an interesting cocktail of facts: an IRA, a mother, powers of attorney, and a stockbroker son. Add into that mix questions about whether a $60,000 transfer was a gift. As with all mixtures of family and money, this one doesn't end…
Rank this Week: 1041

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/
  • Apr 9

    A Million Dollars In Fees For Class Counsel in Wachovia/Wells Fargo Merger Lawsuit

    A Million Dollars In Fees For Class Counsel in Wachovia/Wells Fargo Merger Lawsuit
    When I first looked at Judge Murphy's (unpublished) Order in Ehrenhaus v. Baker earlier this month awarding attorneys' fees to the class action attorneys who sued Wachovia and Wells Fargo over their merger in 2008,  I was disappointed,…
  • Apr 8

    Business Court Makes North Carolina Safe For Construction Lawyer

    Business Court Makes North Carolina Safe For Construction Lawyer
    Construction lawyers in North Carolina can breathe a sigh of relief.  On Friday of last week, the Business Court ruled that the service of on-line service provider Lienguard in preparing claims of lien constitutes the unauthorized…
  • Apr 7

    Real Estate Agents Need To Be Careful About Disclosing Dual Agency

    Real Estate Agents Need To Be Careful About Disclosing Dual Agency
    Dual agency is a big deal to real estate agents.  It lets them represent both a buyer and a seller in a transaction.  Dual agency was the focal point of the Business Court's opinion last week in BDM Investments v. Lenhil, Inc.,…
Rank this Week: 937

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/
  • Jan 29

    Webcast: "How to Sell a Division: Nuts & Bolts"

    Webcast: "How to Sell a Division: Nuts & Bolts"
    Webcast: "How to Sell a Division: Nuts & Bolts" Tune in tomorrow for the webcast - "How to Sell a Division: Nuts & Bolts" - during which Bass Berry's Page Davidson, WilmerHale's Stephanie Evans and Kaye Scholer's…
  • Jan 28

    Delaware: Enforceability of Non-Reliance Provisions Against Fraud Claim

    Delaware: Enforceability of Non-Reliance Provisions Against Fraud Claim
    Delaware: Enforceability of Non-Reliance Provisions Against Fraud Claims Here's a 2013 recap from Cooley: A series of cases in 2013 refined the law in Delaware relating to the enforceability of non-reliance clauses. Non-Reliance clauses are…
  • Jan 23

    January-February "Special" Issue: Deal Lawyers Print Newsletter

    January-February "Special" Issue: Deal Lawyers Print Newsletter
    January-February "Special" Issue: Deal Lawyers Print Newsletter This January-February Issue of the Deal Lawyers print newsletter was just sent to the printer and is a special "looking forward, looking back" issue which…
Rank this Week: 900

Securities Law Blog

Securities Law Blog

News and comments on securities law. By The Frankowski Firm, LLC

http://www.securitieslaw-blog.com/
  • Apr 18

    Agent Sentenced To Five Years In Southern California For Ponzi Scheme

    Agent Sentenced To Five Years In Southern California For Ponzi Scheme
    Michael Zuno Zuniga of Fullerton, California was sentenced to five years in Los Angeles County jail and ordered to pay $1.2 million in restitution for his part in a Ponzi scheme that preyed on senior citizens in the Los Angeles area. The…
  • Apr 16

    Ruling Upcoming On Fiduciary Duty For Broker

    Ruling Upcoming On Fiduciary Duty For Broker
    Should brokers be required to act in the best interest of their clients when providing personalized investment advice, including recommendations about securities, to retail investors? The answer to that question is close to a resolution.…
  • Apr 15

    Bitcoin Entrepreneurs Urge For More Regulation

    Bitcoin Entrepreneurs Urge For More Regulation
    Last month, the IRS declared that it would consider bitcoins as property and not currency for tax reasons. This came to the pleasant surprise of many Bitcoin proponents who have longed for more federal regulation and would like to see more of…
Rank this Week: 1321

Securities Law Blog

Securities Law Blog

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

http://seclaw.blogspot.com/
  • Apr 18

    Pyramid Scheme Targeting Immigrants Charged by SEC

    Pyramid Scheme Targeting Immigrants Charged by SEC
    The SEC has filed charges against the Massachusetts-based operators of a large pyramid scheme that mainly targeted Dominican and Brazilian immigrants in the U.S. The charges were filed under seal, in connection with the Commission's request…
  • Apr 18

    Former BP Employee Charged with Insider Trading During Oil spill

    Former BP Employee Charged with Insider Trading During Oil spill
    The Securities and Exchange Commission today charged a former 20-year employee of BP p.l.c. and a senior responder during the 2010 Deepwater Horizon oil spill with insider trading in BP securities based on confidential information about the…
  • Apr 18

    Undisclosed Kickbacks Lead to SEC Charges for Investment Advisor

    Undisclosed Kickbacks Lead to SEC Charges for Investment Advisor
    The SEC's Enforcement Division alleges that Total Wealth Management and its owner and CEO Jacob Cooper entered into undisclosed revenue sharing agreements through which they paid themselves kickbacks or so-called "revenue sharing fees." They…
Rank this Week: 1266

Business Blog

Business Blog

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

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

    Is a Federal Data Breach Notification Law on the Horizon?

    Is a Federal Data Breach Notification Law on the Horizon?
    Nearly all 50 states have data breach notification laws in place. Generally, these laws dictate how private and government entities must notify individuals of data breaches involving personally identifiable information, commonly referred to…
  • Apr 17

    EEOC Challenges Restrictive Separation Agreement

    EEOC Challenges Restrictive Separation Agreement
    The U.S. Equal Employment Opportunity Commission (EEOC) has filed a lawsuit against CVS Pharmacy, Inc. alleging that the pharmacy chain’s standard separation agreement is “overly broad.” Specifically, the EEOC claims that…
  • Apr 16

    Cybersecurity – Is It Time to Make Your Vendors Account?

    Cybersecurity – Is It Time to Make Your Vendors Account?
    With cybersecurity being at the forefront of clients’ and customers’ minds, businesses should take reasonable precautions to protect digital data that they create, collect, process, and/or maintain. And, according to The New York…
Rank this Week: 1454

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/
Rank this Week: 1237

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/
Rank this Week: 1378

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: 1292

InvestorLawyers.net

InvestorLawyers.net

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

http://www.investorlawyers.net/blog/
  • Apr 9

    Two MetLife Brokers Accused of Unsuitable Variable Annuity Sale

    Two MetLife Brokers Accused of Unsuitable Variable Annuity Sale
    Securities fraud attorneys are currently investigating claims on behalf of investors who suffered significant losses in variable annuities. Variable annuities are insurance products tied to an investment portfolio, which typically consist of…
  • Apr 7

    Have You Been the Victim of Investment Scalping?

    Have You Been the Victim of Investment Scalping?
    Investment fraud lawyers are currently investigating claims on behalf of investors who suffered significant losses as a result of a securities fraud related to scalping. Scalping occurs when a broker or financial advisor recommends a security…
  • Apr 2

    Claims Against Berthel Fisher for Unsuitable Sale of Alternative Investments Begin

    Claims Against Berthel Fisher for Unsuitable Sale of Alternative Investments Begin
    Our recent blog post, “Berthel Fisher and Affiliate Fined Regarding Sales of ETFs and Non-Traded REITs,” reported that in February the firm had been fined $775,000 by the Financial Industry Regulatory Authority (FINRA). The FINRA…
Rank this Week: 1181

100 F Street

100 F Street

Covers securities law for growing businesses. By Vanessa Schoenthaler.

http://100fstreet.com/
  • Apr 9

    You Know that Old Adage About a Picture Being Worth a 1,000 Words …

    You Know that Old Adage About a Picture Being Worth a 1,000 Words …
    TweetOr perhaps this post should be entitled: “Lessons in How Not to Preside Over Your Annual Meeting” While I haven’t been following the proxy contest over at Harvard Illinois Bancorp, things seem to have taken an…
  • Apr 8

    The SEC Issues 9 New FAQs Relating to Conflict Mineral Disclosure

    The SEC Issues 9 New FAQs Relating to Conflict Mineral Disclosure
    TweetWith the filing deadline for the first Form SD a little more than a month away (June 2, 2014), yesterday the Division of Corporation Finance issued nine new FAQs providing additional conflict mineral disclosure guidance. This…
  • Mar 17

    CorpFin’s Updated and Refined WKSI Ineligible Issuer Waiver Framework

    CorpFin’s Updated and Refined WKSI Ineligible Issuer Waiver Framework
    TweetOn Wednesday the Division of Corporation Finance issued a revision to its July 2011 statement on well-known seasoned issuer waivers. The original statement was issued to provide guidance on what constitutes “a showing of good…
Rank this Week: 1369

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Apr 4

    Client Alert: Surrender Charges & Annuity Churning

    Client Alert: Surrender Charges & Annuity Churning
    Fitapelli Kurta is investigating claims related to surrender charges and other suspicious annuity fees. A surrender charge is a type of sales charge an investor has to pay when he or she sells or withdraws money from…
  • Apr 4

    Investigation: Michael Lombardo, David Lerner Broker

    Investigation: Michael Lombardo, David Lerner Broker
    Fitapelli Kurta is investigating complaints against former David Lerner Associates broker Michael Lombardo, who was terminated by the firm effective March 13, 2014.  Mr. Lombardo was a broker in David Lerner’s Westport, CT branch.…
  • Mar 31

    Investigation: Broker Mark Imbertson of Merrill Lynch

    Investigation: Broker Mark Imbertson of Merrill Lynch
    Fitapelli Kurta is investigating complaints related to Mark E. Imbertsonsale’s sale of risky ETFs while he was registered at Merrill Lynch.  Imbertson first became registered with FINRA in August 1998.  He worked for…
Rank this Week: 1445

Stock Attorneys Blog

Stock Attorneys Blog

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

http://www.stockattorneysblog.com/
  • Apr 3

    Bitcoin Continues to be of Concern to Regulatory Authoritie

    Bitcoin Continues to be of Concern to Regulatory Authoritie
    It was just a matter of time before we got to the point of using electronic currency to buy, sell and trade just about anything. Although there are a few detractors who prefer to go old-school by sticking to cold, hard cash, the use of…
  • Apr 1

    Two Guys Walked into a Bar: Investment Broker, Law Clerk, and “Middleman” Bilk $5.6 Million Through Insider Trading

    Two Guys Walked into a Bar: Investment Broker, Law Clerk, and “Middleman” Bilk $5.6 Million Through Insider Trading
    Take one high-profile investment firm broker, one managing clerk at a law office, and throw in a middleman with a penchant for eating the written evidence at Grand Central, and what do you get? The results are a Securities Exchange…
  • Mar 31

    Puerto Rico Municipal Bonds: Not Just Another Muni

    Puerto Rico Municipal Bonds: Not Just Another Muni
    Trying to navigate your way through the world of investing in an effort to not only make good investment decisions, but also to avoid the pitfalls of poor investment advice, can be a daunting task. Some investors struggle just trying to…
Rank this Week: 1277

The Lebrecht Group, APLC Blog

The Lebrecht Group, APLC Blog

Discusses corporate securities law .

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

    SEC Allows Solicitation in Private Offering

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

    Sponsored Research. When Is It Independent?

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

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

    When Is It a Good Strategy To Lie to the SEC?
    This, of course, is a misleading question.  The answer is never.  In case you need some law to back up that conclusion, take a look at the recent case of Robert J. Vitale.  Mr. Vitale was the subject of an SEC enforcement…
Rank this Week: 1404

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: 1271

Chicago Securities Lawyer Blog

Chicago Securities Lawyer Blog

Covers FINRA and securities fraud. By Thomas F. Burke, P.C.

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

    You Might Think Twice About Using A Broker Who Failed The Exam To Get His License

    You Might Think Twice About Using A Broker Who Failed The Exam To Get His License
    The Wall Street Journal reported that there are more than 51,500 stockbrokers that have failed, at least once, an exam to obtain a license to sell securities. Additionally, those brokers that failed the exam have worse disciplinary records…
  • Jan 20

    Justice Department Weak on Charging Individuals for White Collar Crime

    Justice Department Weak on Charging Individuals for White Collar Crime
    On Friday, January 17, 2014, the Wall Street Journal reported that a University of Virginia law professor's analysis revealed that the Justice Department hadn't charged employees at nearly two thirds of nearly 400 companies that have settled…
  • Jan 20

    The Wolf of Wall Street

    The Wolf of Wall Street
    I have attached an article by Jonathan Weil that everyone shoulld find interesting. 'Wolf of Wall Street' Offspring Never Quite Die Normally it wouldn't be news that a small-fry stock hustler like Christopher F. Veale got busted for…
Rank this Week: 1738

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Apr 11

    Cornerstone Releases Report On Settlement

    Cornerstone Releases Report On Settlement
    Cornerstone Research has released its annual report on securities class action settlements. The notable findings include: (1) There were 67 settlements last year, a 17.5% increase from 2012. The report concludes that the increase is likely…
  • Mar 28

    Shielding From Suspicion

    Shielding From Suspicion
    The U.S. Court of Appeals for the Fourth Circuit has issued an opinion - Yates v. Municipal Mortgage & Equity, LLC, 2014 WL 890018 (4th Cir. March 7, 2014) - that clarifies the court's position on several securities fraud issues....
  • Mar 13

    Back To The Well

    Back To The Well
    Securities litigation? Check. Then you are well on your way to getting your cert petition granted by the U.S. Supreme Court. After agreeing just last week to hear Omnicare and resolve a circuit split over the pleading of false opinions...
Rank this Week: 1991

New York Securities Lawyers Blog

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

http://www.newyorksecuritieslawyersblog.com/
  • Apr 11

    Biggest Recent FINRA Fines Point to Poor Supervision at Large Broker-Dealer

    Biggest Recent FINRA Fines Point to Poor Supervision at Large Broker-Dealer
    Apparently the opportunity for bad brokers to engage in wrongful conduct is enabled by big brokerage firms, as recent Financial Industry Regulatory Authority (FINRA) fines indicate that these businesses fail to properly supervise their foot…
  • Apr 4

    Managed Futures Fund Fees: When Is Enough Enough?

    Managed Futures Fund Fees: When Is Enough Enough?
    When are money management fees too much? It is hard to imagine that any investor who has sought the guidance of professional financial advisors has not asked himself or herself this question at least once - most likely more. In the case of…
  • Mar 27

    FINRA Files LPL Financial for Failures to Supervise Alternative Investment

    FINRA Files LPL Financial for Failures to Supervise Alternative Investment
    LPL Financial LLC has been hit again for supervisory failures stemming from the recommendation of non-traded real estate investment trusts (REITs), as well as other illiquid investments, begging the question whether the fines are large enough…
Rank this Week: 2018

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

http://www.hedgefundlawblog.com
  • Apr 5

    California Finance Lenders License

    California Finance Lenders License
    California Requirements for Hedge Funds and Private Equity Funds Engaged in Lending Businesses Investment advisers, private equity managers, private fund managers, and other businesses that are engaged in making loans should be aware of…
  • Mar 28

    NFA May Impose Capital Requirements, Other Restrictions on CPOs and CTA

    NFA May Impose Capital Requirements, Other Restrictions on CPOs and CTA
    NFA Suggests New Rules, Solicits Comments from CPOs and CTAs The NFA recently issued a Notice to Members that included a Request for Comments on a proposal to subject CPOs and CTAs to new rules. These rules, which include a minimum capital…
  • Mar 5

    SEC Compliance – Custody Issue

    SEC Compliance – Custody Issue
    Annual Update Guidance on Custody Issue It is that time of year that registered investment advisers are focusing on the ADV annual updating process.  Occasionally the SEC will provide guidance to managers on common questions applicable…
Rank this Week: 1679

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • Mar 28

    Defamation v. Tortious Interference

    Defamation v. Tortious Interference
    Most of us have at least a “street-level” understanding of defamation. Individuals that hear or read damaging false statements about themselves or their business typically think: “I need to find a defamation lawyer.”…
  • Mar 19

    Defamation Reputation Damage Management

    Defamation Reputation Damage Management
    In 1378, the Statute of Scandalum Magnatum granted judges and church officials in England a legal right to compensation if they had been insulted or defamed. The first Common Law defamation action on record was filed in England in 1507. …
  • Mar 12

    Missouri Supreme Court Rejects Trade Secret Claim Over Client List

    Missouri Supreme Court Rejects Trade Secret Claim Over Client List
    Troy Kennedy (Kennedy”) left his position as director and executive officer of a trust and investment company when that company was bought by Central Trust & Investment Company (“CTI”). Kennedy left to found a competing…
Rank this Week: 1766