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Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Jan 18

    Customer Seeking $1 Million in Damages From Broker Norman Sicard

    Customer Seeking $1 Million in Damages From Broker Norman Sicard
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on January 13, 2017 indicate that former Iowa-based Broker Dealer Financial Services broker Norman Sicard is currently not affiliated with any…
  • Jan 17

    Daniel Pikula Received a Regulatory Sanction

    Daniel Pikula Received a Regulatory Sanction
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on January 11, 2017 indicate that former Florida-based Newbridge Securities broker Daniel Pikula has been sanctioned by FINRA and is currently not…
  • Jan 17

    Brian Perry Suspended From Acting as a Broker

    Brian Perry Suspended From Acting as a Broker
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on January 11, 2017 indicate that former Florida-based Ameriprise Financial Services broker/adviser Brian Perry has been sanctioned by FINRA and…
Rank this Week: 39

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: 44

Securities Law Attorneys Blog

Securities Law Attorneys Blog

Covers securities law. By Fitapelli | Kurta.

http://www.securitieslawattorneys.net/
  • Jan 18

    Broker Thomas Oliphint Terminated From LPL Financial

    Broker Thomas Oliphint Terminated From LPL Financial
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on January 13, 2017 indicate that former Texas-based LPL Financial broker/adviser Thomas Oliphint was terminated from LPL and is currently not…
  • Jan 18

    Craig Sutherland: Four Customer Complaint

    Craig Sutherland: Four Customer Complaint
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on January 13, 2017 indicate that Ohio-based Money Concepts Capital Corporation broker/adviser Craig Sutherland has been the subject of resolved or…
  • Jan 18

    Christopher Russell: Discharged From LPL Financial Following Alleged Firm Violation

    Christopher Russell: Discharged From LPL Financial Following Alleged Firm Violation
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on January 13, 2017 indicate that former Alabama-based LPL Financial broker/adviser Christopher Russell was recently discharged from LPL following…
Rank this Week: 49

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/
  • Jan 18

    What is a Mini-Tender Offer?

    What is a Mini-Tender Offer?
    A mini–tender offer is an offer to acquire a company’s shares directly from current investors in an amount less than 5% of issued stock. Investors who surrender their shares in a mini-tender offer without fully…
  • Jan 17

    Memorial Production Partners LP Files for Chapter 11

    Memorial Production Partners LP Files for Chapter 11
    Are you concerned about losses investing in Memorial Production Partners LP?   If so, the securities attorneys of The White Law Group may be able to help you recover your losses in a FINRA arbitration claim against the brokerage…
  • Jan 17

    C-Tracks Citi Volatility Index TR ETN Investment Losse

    C-Tracks Citi Volatility Index TR ETN Investment Losse
    Have you suffered losses investing in C-Tracks Citi Volatility Index TR ETN? If so, The White Law Group may be able to help you recovery your losses by filing a FINRA arbitration claim against the brokerage firm that sold you the investment.…
Rank this Week: 74

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/
  • Jan 17

    Anderson on Insider Trading

    Anderson on Insider Trading
    John P. Anderson has posted When Does Corporate Criminal Liability for Insider Trading Make Sense? on SSRN with the following abstract: Corporations are subject to broad criminal liability for the insider trading of their employees. Critics…
  • Jan 4

    President-Elect Nominates Jay Clayton as SEC Chair

    President-Elect Nominates Jay Clayton as SEC Chair
    Details available here.
  • Jan 3

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: John Armour & Brian Cheffins, Stock Market Prices and the Market for Corporate Control, 2016 U. Ill. L. Rev. 761. Rutheford B. Campbell…
Rank this Week: 111

Recover Investment Losses Blog

Recover Investment Losses Blog

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

http://blog.rexsecuritieslaw.com
Rank this Week: 159

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Jan 16

    Ken Balser Barred by FINRA Over Allegations of Private Securities Transaction

    Ken Balser Barred by FINRA Over Allegations of Private Securities Transaction
    Our firm is investigating claims made by The Financial Industry Regulatory Authority (FINRA) when the regulator barred broker Ken Balser (Balser).  According to FINRA settlement, Balser consented to sanctions that he refused to appear…
  • Jan 16

    Tye Williams Barred by FINRA Over Allegations of Converting Customer Fund

    Tye Williams Barred by FINRA Over Allegations of Converting Customer Fund
    Our firm is investigating claims made by The Financial Industry Regulatory Authority (FINRA) when the regulator barred broker Tye Williams (Williams).  According to FINRA settlement, Williams consented to sanctions that he failed to…
  • Jan 14

    Gana LLP Files Complaint on behalf of Client Defrauded by Dean Mustaphalli

    Gana LLP Files Complaint on behalf of Client Defrauded by Dean Mustaphalli
    The securities fraud attorneys at Gana LLP have recently filed a complaint on behalf of a client alleging that Dean Mustaphalli (Mustaphalli) engaged in securities fraud.  The claim was brought against brokerage firms Sterne Agee…
Rank this Week: 151

Sharesleuth.com

Sharesleuth.com

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

http://sharesleuth.com/
Rank this Week: 161

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
  • Jan 18

    FINRA Discipline: FINRA Rule 9252

    FINRA Discipline: FINRA Rule 9252
    From the Desk of Jim Eccleston at Eccleston Law LLC:This is the sixteenth in a series of posts to discuss the rules associated with the FINRA disciplinary process. FINRA Rule 9252 states that a respondent in a disciplinary proceeding has a…
  • Jan 17

    Wells Fargo Eliminates Bonuses For Selling Banking Product

    Wells Fargo Eliminates Bonuses For Selling Banking Product
    From the Desk of Jim Eccleston at Eccleston Law LLC:Wells Fargo Advisors has eliminated bonus compensation for advisors’ sale of banking and lending products. The reason for the elimination of this bonus compensation for advisors stems…
  • Jan 14

    FINRA Discipline: FINRA Rule 9251

    FINRA Discipline: FINRA Rule 9251
    From the Desk of Jim Eccleston at Eccleston Law LLC:This is the fifteenth in a series of posts to discuss the rules associated with the FINRA disciplinary process. FINRA Rule 9251 identifies the types of documents that should be made…
Rank this Week: 303

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

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

    FINRA Statutory Disqualifications and the MC-400 Proce

    FINRA Statutory Disqualifications and the MC-400 Proce
    Under the Securities Exchange Commission’s authority FINRA promulgates rules of its own as a self regulatory organization (“SRO”). Pursuant to FINRA’s By-Laws (and the By-Laws of the NASD and the NYSE before it) a…
  • Sep 28

    NASAA Releases Its 2016 Enforcement Report

    NASAA Releases Its 2016 Enforcement Report
    The North American Securities Administrators Association (NASAA) recently released its Enforcement Report for 2016, an annual publication providing a general overview of the activities of the state securities agencies responsible for the…
  • Sep 21

    Financial Advisors Expunging Baseless Customer Complaints in State Court

    Financial Advisors Expunging Baseless Customer Complaints in State Court
    The Internet is awash with articles about “bad brokers” with clean U-4s, and “rouge brokers” obtaining expungements of valid customer complaints.  Indeed, studies have been published ostensibly demonstrating that…
Rank this Week: 246

InvestorLawyers.net

InvestorLawyers.net

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

http://www.investorlawyers.net/blog/
  • Oct 13

    Former NEXT Financial Broker Douglas P. Simanski Barred for Alleged Theft

    Former NEXT Financial Broker Douglas P. Simanski Barred for Alleged Theft
      Financial Industry Regulatory Authority (FINRA) records indicate that Douglas P. Simanski (Simanski), a former stockbroker who was associated with NEXT Financial Group, has been permanently barred from the brokerage…
  • Oct 13

    Platinum Partners Hedge Funds Under Scrutiny

    Platinum Partners Hedge Funds Under Scrutiny
    Platinum Partners LP Funds are under scrutiny after federal agents reportedly raided the funds’ New York offices in July 2016.  Hedge fund entities sponsored by Platinum Partners include the Platinum Partners Value Arbitrage Funds,…
  • Oct 13

    FINRA Fines Investors Capital Over Unit Investment Trust Sale

    FINRA Fines Investors Capital Over Unit Investment Trust Sale
    The Financial Industry Regulatory Authority (FINRA) recently fined Investors Capital Corporation $250,000 over the sale of unit investment trusts (UITs).  Investors Capital did not admit or deny the allegations leading to the fine, but…
Rank this Week: 314

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: 511

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: 324

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/
  • Nov 29

    Can a FINRA Securities Arbitration Award be Appealed?

    Can a FINRA Securities Arbitration Award be Appealed?
    Yes, technically, but in reality, no.  Under the law, a FINRA securities arbitration award can be appealed, but practically speaking, arbitration awards are rarely changed when appealed.   Indeed, under the Federal Arbitration…
  • Nov 28

    What Are the Key Differences Between Arbitrating an Investor Case Before FINRA and Suing in Court?

    What Are the Key Differences Between Arbitrating an Investor Case Before FINRA and Suing in Court?
    An investor who is abused by his or her securities broker cannot sue in court.  Instead, the investor must sue the broker or the brokerage firm in arbitration before the Financial Industry Regulatory Authority, otherwise known as…
  • Nov 3

    Managing Finances After the Death of a Loved One

    Managing Finances After the Death of a Loved One
    In September 2016, the Florida Office of Financial Regulation issued a Consumer Alert titled “Managing Finances After the Death of a Loved One.”   The alert makes a number of helpful recommendations to take following the…
Rank this Week: 439

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/
  • Oct 27

    Private Share Litigation Cases are Challenging

    Private Share Litigation Cases are Challenging
    In a very high profile private share litigation, Theranos, a privately held health-technology and medical-laboratory-services company worth $9 billion as of 2014, has been sued this Monday by one of its largest and trusted financial backers,…
  • Jun 19

    Split Decision on Arbitration in Bank of America Case

    Split Decision on Arbitration in Bank of America Case
    This week, a Florida appeals court partially reversed a ruling denying Bank of America’s efforts to arbitrate various claims related to the Scott Rothstein Ponzi scheme. Bank of America, N.A. v. Beverly, Nos. 4D14-3167, 4D14-3168 (Fla.…
  • Jun 19

    Split Decision on Arbitration in Bank of America Case

    Split Decision on Arbitration in Bank of America Case
    This week, a Florida appeals court partially reversed a ruling denying Bank of America’s efforts to arbitrate various claims related to the Scott Rothstein Ponzi scheme. Bank of America, N.A. v. Beverly, Nos. 4D14-3167, 4D14-3168 (Fla.…
Rank this Week: 433

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: 473

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Jan 18

    Petition urges ‘look through’ of motions to vacate arbitration awards for jurisdiction

    Petition urges ‘look through’ of motions to vacate arbitration awards for jurisdiction
    By Amy Leisinger, J.D.Two investors have asked the Supreme Court to determine that a party seeking to vacate an arbitration award under Section 10 of the Federal Arbitration Act is entitled to the same “look through” analysis…
  • Jan 17

    CFTC swap data proposals align with Congress’s FAST Act

    CFTC swap data proposals align with Congress’s FAST Act
    By Jay Fishman, J.D.CFTC Chairman Timothy Massad has announced the proposal, by a unanimous vote, of Commodity Exchange Act (CEA) rule amendments making it easier for domestic and foreign regulators to access swap data repository (SDR)…
  • Jan 16

    Dr. King's legacy must be remembered

    Dr. King's legacy must be remembered
    [In commemoration of Martin Luther King, Jr. Day, we republish a post by the late Jim Hamilton from January 20, 2014, honoring Dr. King and his legacy.]By Jim Hamilton, J.D., LL.M."I was taking a part of the South to transplant in alien soil.…
Rank this Week: 651

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/
  • Jan 18

    Breaking Up Is Not Hard To Do – Fractions, Scrip And Scrippage

    Breaking Up Is Not Hard To Do – Fractions, Scrip And Scrippage
    The California General Corporation Law explicitly authorizes a corporation to issue fractional shares.  Cal. Corp. Code § 407.  A corporation, however, is not required to do so.  Id.  In lieu of issuing fractions, a…
  • Jan 17

    Calling All Stock Certificate

    Calling All Stock Certificate
    Last week, Broc Romanek’s Mentor Blog addressed the question of what to do about outstanding stock certificates following a reverse stock split.  Today, I’ll weigh in with a California perspective. Section 422 of the…
  • Jan 13

    O Frabjous Day! Court Holds Passive Member Is Not “Doing Business”

    O Frabjous Day! Court Holds Passive Member Is Not “Doing Business”
    The State of California imposes its franchise tax on every corporation (other than a bank, financial corporation or exempt corporation) that is “doing business” in California.  Cal. Rev. & Tax Code §…
Rank this Week: 582

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • Jan 17

    Guest Post: The Nuts & Bolts of SEC Investigations & Enforcement

    Guest Post: The Nuts & Bolts of SEC Investigations & Enforcement
    The SEC is the primary regulatory body charged with the enforcement of the U.S. securities laws. Most insurance and legal professionals are well-aware of the agency and familiar with its regulatory role. But in an era that has been (at least…
  • Jan 16

    Guest Post: A Focus on Directors’ and Officers’ Risks in India

    Guest Post: A Focus on Directors’ and Officers’ Risks in India
      As readers of this blog know well, liability claims against corporate directors and officers is an increasingly global phenomenon. A number of different factors are contributing to the globalization of D&O liability, including…
  • Jan 15

    Supreme Court Agrees to Hear Securities Act Statute of Repose Tolling Question

    Supreme Court Agrees to Hear Securities Act Statute of Repose Tolling Question
    The U.S. Supreme Court has agreed to take up a case arising out of the credit crisis-era collapse of the Lehman Brothers investment bank, in order to decide whether or not, under principles known as the “American Pipe doctrine,”…
Rank this Week: 765

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/
  • Jan 17

    FINRA Releases 2017 Regulatory and Examination Priorities Letter

    FINRA Releases 2017 Regulatory and Examination Priorities Letter
    FINRA has released its Regulatory and Examination Priorities Letter  for 2017. The letter provides information about areas FINRA plans to review in its 2017 exams based on observations from its regulatory programs as well as input member…
  • Jan 13

    SEC News - Fraudulent EB-5 Offerings, Hackers, and FCPA Charge

    SEC News - Fraudulent EB-5 Offerings, Hackers, and FCPA Charge
    Businessman Settles Charges of Fraudulent EB-5 OfferingA Florida-based businessman has agreed to settle charges that he misused investor funds intended to create U.S. jobs through the EB-5 Immigrant Investor Program.SEC Charges Lawyer With…
  • Jan 4

    Jay Clayton said to be top contender for Trump’s SEC chief - MarketWatch

    Jay Clayton said to be top contender for Trump’s SEC chief - MarketWatch
    Jay Clayton said to be top contender for Trump’s SEC chief - MarketWatch:"Wall Street lawyer Jay Clayton has emerged as the leading candidate to be chairman of the Securities and Exchange Commission and could be announced as the nominee…
Rank this Week: 656

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
  • Jan 16

    Time to Drain the Swamp at the U.S. Securities & Exchange Commission?

    Time to Drain the Swamp at the U.S. Securities & Exchange Commission?
    As reported by Gretchen Morgenson in The New York Times on January 13, 2017 (“S.E.C. Inertia on Paybacks Adds to Investor Harm”), when securities laws are broken and investors get hurt, the U.S. Securities & Exchange…
  • Jan 12

    Why Am I Losing Money in an Up Stock Market?

    Why Am I Losing Money in an Up Stock Market?
    The S&P 500,which is widely considered one of the best measures of the U.S. stock market, finished the year up over 11%. After some significant ups and downs over the past few years, the price of oil stabilized and posted some nice gains…
  • Jan 3

    Former Ameriprise Broker Radcliffe (Cliffe) Daly Suspended by FINRA

    Former Ameriprise Broker Radcliffe (Cliffe) Daly Suspended by FINRA
    According to FINRA’s Brokercheck public database, former Granger, IN Ameriprise broker Radcliffe (Cliffe) Daly was suspended by FINRA for the improper sales of the common stock of Sloud, Inc. Daly allegedly sold this Sloud penny-stock…
Rank this Week: 927

New York Securities Lawyers Blog

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

http://www.newyorksecuritieslawyersblog.com/
  • Jan 12

    Elder Financial Exploitation by Guardian

    Elder Financial Exploitation by Guardian
    Recently the Government Accountability Office (GAO) published a report about the extent of elder abuse by guardians and measures that exist to protect older adults. This has become an issue of utmost importance as the number of older adults,…
  • Nov 11

    How Will These Election Results Effect the DOL Fiduciary Rule?

    How Will These Election Results Effect the DOL Fiduciary Rule?
    Last year, the Obama administration introduced the Fiduciary rule that requires financial advisers to always act in the best interest of their clients when handling their retirement savings. It was expected to be a big industry shakeup,…
  • Nov 4

    FINRA Files 8 Broker-Dealers For Failures of Supervision Over Variable Annuitie

    FINRA Files 8 Broker-Dealers For Failures of Supervision Over Variable Annuitie
    The Financial Industry Regulatory Authority Inc. (FINRA) announced in a News Release on November 2, 2016 that it fined eight broker-dealer firms regarding failures to supervise the sale of variable annuities.  FINRA announced that…
Rank this Week: 1060

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
  • Jan 11

    NSF Check Kiter Snagged In FINRA Regulatory Tree

    NSF Check Kiter Snagged In FINRA Regulatory Tree
    It's not exactly a scene from Mary Poppins when the Financial Industry Regulatory Authority sings about kites. The grumpy self-regulatory organization warns registered reps that they may get snagged in the old regulatory tree if they try to…
  • Jan 10

    SEC Fines BlackRock For Financial Disincentive Provision For Whistleblower

    SEC Fines BlackRock For Financial Disincentive Provision For Whistleblower
    On July 21, 2010, the Dodd-Frank Wall Street Reform and Consumer Protection Act was enacted and among its provisions were those providing for "Whistleblower Incentives and Protection." The age of whistleblowing had dawned and…
  • Jan 10

    Stockbroker Impersonations Prompt FINRA To Ask Who Are You

    Stockbroker Impersonations Prompt FINRA To Ask Who Are You
    If it's Open-Mic Night at your local club and you want to try your hand at some celebrity impersonations, knock yourself out. On the other hand, if you are a stockbroker at work, I'm not so sure you want to be working on your material by…
Rank this Week: 1016

Tim O'Connor's Blog

Tim O'Connor's Blog

Covers stockbroker fraud.

http://stockbrokerlaw.com/tim-oconnors-blog
  • Jan 5

    Looking for Your Lost Retirement Account?

    Looking for Your Lost Retirement Account?
    In our mobile society, millions of Americans have lost track of former pension accounts over the past half century. Where did they go? There are a number of resources at your fingertips which could help locate your lost plan. These…
  • Nov 30

    Problems at the Family Office

    Problems at the Family Office
    The past decade has seen an explosion in the number of family offices set up by families seeking to coordinate and organize family wealth and assets, as well as issues involving the intergenerational transfer of family legacies. This growth…
  • Nov 4

    Fraud Victims Allowed to Proceed with Theft, Embezzlement and Fraudulent Diversion of Investment Fund

    Fraud Victims Allowed to Proceed with Theft, Embezzlement and Fraudulent Diversion of Investment Fund
    In a Decision dated November 3, 2016, in the case of Taylor v. Casolo, the New York State Supreme Court, Appellate Division, Third Judicial Department affirmed Supreme Court’s ruling disqualifying counsel for several defendants in a…
Rank this Week: 1120

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

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

    Anecdotal Evidence of Strong Investor Appetite in 2017

    Anecdotal Evidence of Strong Investor Appetite in 2017
    Hedge funds to be attractive investments in new year? By: Bart Mallon Over the past couple of years hedge funds have seemingly taken a back seat to private equity, which has seen a significant amount of attention and inflows from…
  • Jan 4

    Cole-Frieman & Mallon EOY Update

    Cole-Frieman & Mallon EOY Update
    www.colefrieman.com January 4, 2016 Clients, Friends, Associates:While the holiday season is a cause for celebration and reflection, it is also the busiest time of the year for most investment managers.  Year-end administrative upkeep…
  • Jul 22

    Cole-Frieman & Mallon 2016 Second Quarter Update

    Cole-Frieman & Mallon 2016 Second Quarter Update
     www.colefrieman.com July 22, 2016 Clients and Friends: We hope that this message finds you well and that you are enjoying the first months of summer. As we move into the third quarter, we would like to provide you with a brief overview…
Rank this Week: 820

Business Law Post

Business Law Post

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

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

    FundersClub book: Understanding Startup Investment

    FundersClub book: Understanding Startup Investment
    Just recently, FundersClub, an online venture capital portal open to accredited investors, published a guide on startup investments. The guide is available online at their education center.  It's a great quick read for first time…
  • Nov 5

    Innovation among crowdfunding portals: a PBC that accepts Bitcoin

    Innovation among crowdfunding portals: a PBC that accepts Bitcoin
    Innovation in crowdfunding space continues, and I would like to report on two interesting developments.  Both have to do with the crowdfunding portal WeFunder, currently the largest Regulation Crowdfunding portal in the U.S. First,…
  • Nov 2

    Intrastate Offerings Made Easy

    Intrastate Offerings Made Easy
    Last week, the Securities and Exchange Commission (the "SEC") made an important step towards facilitating intrastate securities offerings.  Up until now, the intrastate securities offerings had to rely on Section 3(a)(11) and Rule 147…
Rank this Week: 611

Wall Street Investment Fraud…

Wall Street Investment Fraud Lawyer Blog

Covers Ponzi schemes, investment fraud, and other scams. By The Doss Firm.

http://www.wallstreetinvestmentfraudlawyer.com/
Rank this Week: 693

Investment Fund Law Blog

Investment Fund Law Blog

Provides updates and insights on legal issues facing fund managers and investors. By Pillsbury Winthrop Shaw Pittman LLP.

http://www.investmentfundlawblog.com/
  • Oct 25

    HFMWEEK AWARDS PILLSBURY INVESTMENT MANAGEMENT PRACTICE FOR SERVICE TO HEDGE FUND STARTUPS

    HFMWEEK AWARDS PILLSBURY INVESTMENT MANAGEMENT PRACTICE FOR SERVICE TO HEDGE FUND STARTUPS
    NEW YORK—Pillsbury has been named Best Onshore Law Firm for Hedge Fund Startups by HFMWeek at its HFM U.S. Hedge Fund Services Awards 2016.  Partner Ildiko Duckor, who is co-leader of the firm’s Investment Funds &…
  • Oct 4

    New Law Mandates Disclosure of Alternative Fund Fees By California Public Pension

    New Law Mandates Disclosure of Alternative Fund Fees By California Public Pension
    To increase the transparency of fees and expenses paid to alternative funds, every California public pension plan must require each alternative fund in which they invest to make various disclosures, and California public pension plans are…
  • Sep 21

    Higher Qualified Client Net Worth Threshold Effective August 15, 2016

    Higher Qualified Client Net Worth Threshold Effective August 15, 2016
    3(c)(1) funds should update their offering documents to reflect $2.1 million net worth requirement. Assets under management threshold remains unchanged at $1 million. Only new client relationships entered and new investors admitted in private…
Rank this Week: 533

Business Blog

Business Blog

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

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

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

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

    Are Employee Breaks Mandated by New Jersey Law?

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

    SEC Adopts New Rules for Administrative Proceeding

    SEC Adopts New Rules for Administrative Proceeding
    What You Need to Know about the SEC’s New Rules for Administrative Proceedings The Securities and Exchange Commission (SEC) recently adopted several amendments to its rules of practice governing administrative proceedings. According to…
Rank this Week: 1040

White Collar Fraud

White Collar Fraud

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

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

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

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

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

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

    White Collar Fraud List of Blog Posts for 2014

    White Collar Fraud List of Blog Posts for 2014
    December 19, 2014: Cleveland.com - Crazy Eddie CFO shares how companies trick auditors and fleece investors: Plain Dealing, by Sheryl HarrisDecember 3, 2014: Going Concern - Ex-Crazy Eddie CFO's 10 Tips for Advancing Your Accounting Career by…
Rank this Week: 790

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: 1087

Ponzitracker

Ponzitracker

Covers Ponzi schemes. By Jordan Maglich.

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

    SEC Charges Wisconsin Man With $10.4 Million Ponzi Scheme

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

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

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

    California Men Plead Guilty To $100 Million ATM Ponzi Scheme

    California Men Plead Guilty To $100 Million ATM Ponzi Scheme
    Two California men have entered guilty pleas to operating a massive Ponzi scheme that allegedly caused losses of over $100 million to victims who thought they were investing in a profitable ATM leasing operation.  Joel Barry Gillis, 74,…
Rank this Week: 1096

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: 812

SEC Whistleblower Blog

SEC Whistleblower Blog

Covers corporate whistleblower programs and whistleblower protection issues.

http://www.secwhistleblowerprogram.org/SEC-Whistleblower-Blog/
  • Jan 10

    Whistleblower Protection under the SEC Whistleblower Program

    Whistleblower Protection under the SEC Whistleblower Program
    In our web site, we established the types of anti-retaliatory protections offered employees under the SEC Whistleblower Program.
  • Dec 10

    SEC Whistleblowers can Help Uncover "Soft Dollar" Practice

    SEC Whistleblowers can Help Uncover "Soft Dollar" Practice
    Hedge fund operators (politely called “Investment Managers” on Wall Street) can make the plaintiffs’ bar look like expensively dressed social workers. The hedge fund industry is estimated to be a $2.5 trillion industry.
  • Dec 6

    Five travel expense related FCPA violation

    Five travel expense related FCPA violation
    Here’s a tip for potential Foreign Corrupt Practices Act whistleblowers: travel expenses clearly fall within FCPA guidelines.
Rank this Week: 673

Securities Lawyer 101

Securities Lawyer 101

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

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

    Going Public Blog l Securities Lawyer 101

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

    Going Public Blog l Securities Lawyer 101

    Going Public Blog l Securities Lawyer 101
      Securities Lawyer 101 Blog Going public is a big step for any company.  The process of “going public” is complex and at times precarious.  While going public offers many benefits it also comes with risks and…
  • Jan 8

    Traders Charged With Trading on Hacked From Lawyers – Posted by Brenda Hamilton

    Traders Charged With Trading on Hacked From Lawyers – Posted by Brenda Hamilton
    Going Public Lawyer  On December 27, 2016, the Securities and Exchange Commission charged three Chinese traders with fraudulently trading on hacked nonpublic market-moving information stolen from two prominent New York-based law firms,…
Rank this Week: 2323

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 18

    Tomorrow’s Webcast: “Privilege Issues in M&A”

    Tomorrow’s Webcast: “Privilege Issues in M&A”
    Tune in tomorrow for the webcast – “Privilege Issues in M&A” – to hear Alston & Bird’s Lisa Bugni, Bass Berry’s Joe Crace & Akin Gump’s Trey Muldrow discuss how to deal with the…
  • Jan 17

    2016 ABA Strategic Buyer/Public Target Deal Points Study

    2016 ABA Strategic Buyer/Public Target Deal Points Study
    The ABA’s Mergers & Acquisitions Committee recently released its “2016 Strategic Buyer/Public Target Deal Points Study.”  Here are just some interesting findings: – While 100% of Merger Agreements called…
  • Jan 13

    Controller Transactions: A 360 Degree Review

    Controller Transactions: A 360 Degree Review
    Sorting out all of the nuances in Delaware’s approach to transactions involving controlling stockholders can be a challenge.  The courts apply different standards of review depending on whether the controller is the…
Rank this Week: 1999

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

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

    Transcript: “Non-GAAP Disclosures – Analyzing the Comment Letters”

    Transcript: “Non-GAAP Disclosures – Analyzing the Comment Letters”
    We have posted the transcript for our popular webcast: “Non-GAAP Disclosures: Analyzing the Comment Letters.” Whistleblowers: BlackRock Nailed in Separation Agreement Enforcement Action As Yogi Berra might put it,…
  • Jan 17

    Pulling in the “REINS”: Congress Wants More Rulemaking Control

    Pulling in the “REINS”: Congress Wants More Rulemaking Control
    This Davis Polk blog discusses an abundance of legislative initiatives designed to enhance Congressional control over the agency rulemaking process. In early January, the House passed two separate statutes that would make it easier for…
  • Jan 13

    ESG: GRI’s New “Module” Standard

    ESG: GRI’s New “Module” Standard
    ESG – particularly sustainability & climate change – continues to grow in importance. There continues to be a multitude of standards to be aware of. The latest is a group of new standards from GRI (“Global Reporting…
Rank this Week: 2003

Subject to Inquiry

Subject to Inquiry

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

http://www.subjecttoinquiry.com/
  • Jan 17

    The Forgotten Face of Student Lending

    The Forgotten Face of Student Lending
    Mention student loans and the face that comes immediately to mind is probably someone in their early twenties. A recent report from the CFPB sheds light on an overlooked segment of the student loan population – consumers 60 years old…
  • Jan 10

    CFPB’s 2017 Fair Lending Prioritie

    CFPB’s 2017 Fair Lending Prioritie
    At the end of last year, the CFPB issued its Fair Lending Priorities for 2017.  According to its December blog post, the CFPB plans to increase its focus on the following three areas, which it describes as “presenting a substantial…
  • Jan 10

    GOP Takes Aim at Dodd-Frank

    GOP Takes Aim at Dodd-Frank
    On Friday, January 20, 2017, Donald J. Trump will become the President of the United States, and for the first time in nearly a decade, a single party will control the Presidency, the House, and the Senate. After years of deadlock,…
Rank this Week: 2457

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: 3424

Classified: The Class Action Blog

Classified: The Class Action Blog

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

http://classifiedclassaction.com/
Rank this Week: 1844

New York Securities Lawyer Blog

New York Securities Lawyer Blog

Covers securities law. By Lax & Neville LLP.

http://www.newyorksecuritieslawyerblog.com/
Rank this Week: 1320

Amato Law Firm, LLC Blog

Amato Law Firm, LLC Blog

Overview of current developments in the area of securities law with a focus on securities arbitration and broker-dealer regulation.

http://www.ramatolaw.com/blog1
  • Jan 12

    JPMorgan Found to Have Retaliated Against Adviser, Filed Defamatory U5

    JPMorgan Found to Have Retaliated Against Adviser, Filed Defamatory U5
    A recent investigation by the U.S. Occupational Safety and Health Administration (OSHA) has resulted in an award of more than $160,000 for back pay and “reputational damage” to a former JPMorgan Chase & Co. financial adviser.…
  • Aug 4

    FINRA Recently Reminds Firms of Clients’, Associated Persons’ Right to Arbitrate

    FINRA Recently Reminds Firms of Clients’, Associated Persons’ Right to Arbitrate
    In a recently published Regulatory Notice (FINRA Regulatory Notice 16-25), FINRA sought to remind customers, as well as associated persons, of their right to arbitrate within the FINRA forum “at any time.”  In short, FINRA…
  • May 16

    Credit Suisse Deferred Compensation Claim

    Credit Suisse Deferred Compensation Claim
    Amato Law Firm, LLC is investigating claims against Credit Suisse (CS) on behalf of its former U.S.-based advisers who have transitioned to firms other than Wells Fargo Advisors.  As recently reported in On Wall Street, more than…
Rank this Week: 2282

Footnoted

Footnoted

Reports on actionable information in SEC filings.

http://www.footnoted.com/
  • Jan 12

    2016: The year in filing

    2016: The year in filing
    There were 670,00 filings made to the SEC in 2016, with the largest filing over 3,330 pages!
  • Nov 30

    Post-election disclosure

    Post-election disclosure
    It’s now been three weeks since Americans elected Donald Trump as the nation’s next President. While Trump doesn’t take office until Jan. 20, 2017, we’ve seen a number of interesting disclosures in SEC filings related…
  • Oct 27

    Apple grows its real estate holding

    Apple grows its real estate holding
    A disclosure in Apple's 10-K shows that the company has increased its land holdings by about 50% in the past year.
Rank this Week: 2134

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/
  • Jan 10

    Board Diversity Series: Voices of proxy advisers and other influencer

    Board Diversity Series: Voices of proxy advisers and other influencer
    Amanda Linett and Cheryl De Los Santos -  Proxy advisers such as Institutional Shareholders Services (ISS) and Glass Lewis have started to respond to the changes in corporate governance relating to gender diversity, and to encourage…
  • Dec 9

    Keep Calm and Carry On - InterOil and Smoothwater

    Keep Calm and Carry On - InterOil and Smoothwater
    Sean Vanderpol - There are, generally speaking, relatively few judicial decisions touching on the practical aspects of M&A law in Canada, particularly when compared to the output of the Delaware courts.  In November, however, we saw…
  • Dec 9

    Board Diversity Series: Developments in gender diversity on Canadian board

    Board Diversity Series: Developments in gender diversity on Canadian board
     Alethea Au and Cara Cornacchia -  Catalyst’s recommendations for accelerating progress The Government of Ontario engaged Catalyst, a non-profit organization aimed at expanding opportunities for women in business, to…
Rank this Week: 4099

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Jan 7

    Halliburton Settled (Again)

    Halliburton Settled (Again)
    When the district court rejected a $6 million settlement in the Halliburton securities class action back in 2004, the judge probably expected the parties to renegotiate.  Many years later, after a change in plaintiffs’ counsel,…
  • Dec 5

    Not Exactly Meritle

    Not Exactly Meritle
    Can a company face securities fraud liability for describing a lawsuit brought against it as “meritless” if the plaintiff goes on to win a big verdict?  In Grobler v. Neovasc, Inc., 2016 WL 6897760 (D. Mass. Nov.…
  • Nov 7

    On This Record

    On This Record
    On the same day that it issued its “Model V” decision, the Second Circuit issued another opinion in the Vivendi securities litigation addressing whether “value investors” can invoke the fraud-on-the-market…
Rank this Week: 2007