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Securities Industry Lawyer Blog

Securities Industry Lawyer Blog

Covers securities arbitration and litigation, regulatory defense, and securities industry employment litigation. By Herskovits PLLC.

http://www.finralawyerblog.com/
  • May 8

    FINRA Identifies "Red Flags" for AML Compliance

    FINRA Identifies "Red Flags" for AML Compliance
    FINRA recently entered into a settlement with Gar Wood Securities LLC (the "AWC") concerning allegations that Gar Wood facilitated the sale of restricted securities in violation of the Section 5 of the 1933 Act, and the Firm failed to…
  • Apr 1

    4th Circuit Further Defines A "Customer" Under FINRA Arbitration Rule

    4th Circuit Further Defines A "Customer" Under FINRA Arbitration Rule
    Following its broad ruling in UBS Financial Services v. Carilion Clinic, 706 F.3d 319 (4th Cir. 2013), the 4th Circuit has issued two recent decisions that somewhat lessen the impact of the UBS holding. In UBS, the court held that a customer…
  • Mar 26

    4th Circuit Gives Further Defines A "Customer" Under FINRA Arbitration Rule

    4th Circuit Gives Further Defines A "Customer" Under FINRA Arbitration Rule
    Following its broad ruling in UBS Financial Services v. Carilion Clinic, 706 F.3d 319 (4th Cir. 2013), the 4th Circuit has issued two recent decisions that somewhat lessen the impact of the UBS holding. In UBS, the court held that a customer…
Rank this Week: 4337

Securities Law Blog

Securities Law Blog

News and comments on securities law. By Burke Harvey & Frankowski L.L.C.

http://www.securitieslaw-blog.com/
  • May 2

    SEC Urges an End to Mandatory Arbitration

    SEC Urges an End to Mandatory Arbitration
    Armed with an argument for protecting investors' rights, SEC member Luis Aguilar went before the North America Securities Administrators Association's annual conference in Washington, D.C to argue that mandatory arbitration agreements should…
  • Apr 11

    SEC Finally Releases Morgan Keegan Fund Distribution

    SEC Finally Releases Morgan Keegan Fund Distribution
    A recent press by the Secretary of State for the State of Mississippi announced that the SEC has published their proposed plan for fund distribution to those injured by Morgan Keegan investments. This comes two years after the $200 million…
  • Apr 2

    FINRA Bars Broker for Unsuitable and Unapproved Securities Transactions Involving 31 NFL Player

    FINRA Bars Broker for Unsuitable and Unapproved Securities Transactions Involving 31 NFL Player
    According to a FINRA press release, broker Jeffrey Rubin of Lighthouse Point, Florida, is barred from the securities industry for making unsuitable recommendations to invest in illiquid, high-risk securities issued in connection with a…
Rank this Week: 4136

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/
  • Jun 18

    SEC Charges Whittier Trust and Fund Manager in Insider Trading Investigation Into Expert Network

    SEC Charges Whittier Trust and Fund Manager in Insider Trading Investigation Into Expert Network
    The SECcharged a South Pasadena, Calif.-based wealth management company and a former fund manager with insider trading on non-public information about technology companies. The charges are the agency’s latest in its ongoing…
  • Jun 17

    Good Markets, More Broker Transition

    Good Markets, More Broker Transition
    We have seen an uptick in financial advisors changing firms as the markets continue to improve. Wells Fargo Advisors just announced that it has hired nine financial advisors from Morgan Stanley, Merrill Lynch and RBC Capital Markets with…
  • Jun 17

    You Need Permission to Send Commercial Text Messages - 16.5 Million Dollar Settlement

    You Need Permission to Send Commercial Text Messages - 16.5 Million Dollar Settlement
    Just like the rules for emails, you need to have permission to send commercial text messages or a prior business relationship. Papa John's learned that when a  customer calls on the phone to order a pizza, that is not permission to spam…
Rank this Week: 165

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: 390

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/
  • Jun 18

    Deloitte Agrees to One-Year Suspension from Consulting Work at New York Financial Institution

    Deloitte Agrees to One-Year Suspension from Consulting Work at New York Financial Institution
    Deloitte Financial Advisory Services agreed to a one-year suspension from consulting work at financial institutions regulated by the New York State Dept. of Financial Services because of alleged misconduct during its consulting work at…
  • Jun 18

    Schwartz on Crowdfunding

    Schwartz on Crowdfunding
    Crowdfunding Securities, by Andrew A. Schwartz, University of Colorado Law School, was recently posted on SSRN. Here is the abstract: A new federal statute authorizes the online "crowdfunding" of securities, a new idea based on the…
  • Jun 18

    Rock on the New Shareholder-Centric Reality

    Rock on the New Shareholder-Centric Reality
    Adapting to the New Shareholder-Centric Reality, by Edward B. Rock, University of Pennsylvania Law School, was recently posted on SSRN. Here is the abstract: After more than eighty years of sustained attention, the master problem of U.S.…
Rank this Week: 200

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: 45

Securities Mining Law

Securities Mining Law

Covers securities law affecting the mining industry in Canada.

http://www.securitiesmininglaw.com/
  • May 24

    Accessing Asian Capital by Canadian Companies – the case for listing in Hong Kong

    Accessing Asian Capital by Canadian Companies – the case for listing in Hong Kong
    Why Hong Kong Michael Chan, Assistant Vice President of the Global Markets Division of the Hong Kong Stock Exchange (“HKEx”), was recently in Canada, visiting Calgary, Toronto and Vancouver and delivering a presentation entitled…
  • May 10

    Canada to Strengthen its Laws Against Bribery of Foreign Public Official

    Canada to Strengthen its Laws Against Bribery of Foreign Public Official
    Mining and exploration companies with projects in developing nations should take note that an amendment to the Foreign Corrupt Practices Act (CFPOA) has been approved by the Senate and is currently before the House of Commons. Bill S-14…
  • May 10

    New Bill Heightens Potential for More Investment Canada Reviews of SOE Acquisition

    New Bill Heightens Potential for More Investment Canada Reviews of SOE Acquisition
    Last week the Canadian Government introduced amendments to the Investment Canada Act (ICA) to implement its revised policy towards state-owned enterprises (SOEs) which it announced in December last year. At that time, while it approved the…
Rank this Week: 3901

Shareholder Oppression

Shareholder Oppression

Discusses the evolving law of minority shareholder oppression: rights, causes of action, and remedies. By Eric Fryar.

http://blog.shareholderoppression.com/
Rank this Week: 3508

Sharesleuth.com

Sharesleuth.com

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

http://sharesleuth.com/
  • Oct 15

    Rockwell Medical countersues former drug-development executive

    Rockwell Medical countersues former drug-development executive
    Rockwell Medical Inc. (Nasdaq: RMTI) has filed a countersuit against its former chief medical officer, alleging that he overstated his qualifications, breached a confidentiality agreement and made false and defamatory statements about the…
  • Oct 2

    Houston American says SEC probing its Colombian resource claim

    Houston American says SEC probing its Colombian resource claim
    Houston American Corp. (AMEX: HUSA) says the Securities and Exchange Commission’s investigation into the company appears to be focused on disclosures about the potential of its CPO-4 prospect in Colombia in late 2009 and early 2010.…
  • Jun 20

    Former Rockwell Medical executive alleges SEC violation

    Former Rockwell Medical executive alleges SEC violation
    The former head of drug development at Rockwell Medical Technologies Inc. (Nasdaq: RMTI) says the company and its chief executive knowingly issued false and misleading press releases and violated other securities laws. Dr. Richard C. Yocum,…
Rank this Week: 2046

Smaller Reporting Company's…

Smaller Reporting Company's Securities Blog

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

http://slgsecurities.com/
  • Jun 6

    When can a founder be a good CEO?

    When can a founder be a good CEO?
    Reblogged from The American CEO: People often say that entrepreneurs who start out as CEO will need to be replaced at some point with a “professional” CEO. The thought is that the entrepreneur won’t be able to scale as the…
  • May 27

    Corporate Social Responsibility or just a Marketing Tool?!

    Corporate Social Responsibility or just a Marketing Tool?!
    Reblogged from Ca$hewTree: In today's society it seems that one of the ugliest and most despicable things one can be called by one's opponents is a "capitalist". Probably since Karl Marx's "The Capital" capitalism and "the…
  • May 7

    General Solicitation, Where Are You?

    General Solicitation, Where Are You?
    The Jumpstart our Business Startups Act (JOBS Act) was signed into law on April 5, 2012 and was to (among other things) allow businesses to generally solicit investors for certain securities offerings as well as create…
Rank this Week: 4352

Startup Law Blog

Startup Law Blog

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

http://startuplawblog.com
  • Jun 10

    Incorporating an LLC

    Incorporating an LLC
    By Joe Wallin and Scott Usher of Bader Martin, P.S. It is not uncommon for founders to start their companies as LLCs and then want to or need to incorporate or convert to a corporation later. Incorporating an LLC does not have to be a…
  • Jun 10

    A Story

    A Story
    A Story I am in the middle of a Rule 506 all accredited investor offering. One of the folks who wants to invest in my company was stumped at my accredited investor questionnaire. He earns $175,000 a year. He doesn’t have a $1M net…
  • Jun 10

    A Legal Primer on Website

    A Legal Primer on Website
    By Sanjay M. Nangia A Legal Primer on Websites  After spending months – maybe longer – crafting your company’s website, you may begin to wonder whether (1) your site is “legal”; and (2) you are sufficiently…
Rank this Week: 1630

Stock Attorneys Blog

Stock Attorneys Blog

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

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

    UBS facing Millions of Dollars in Claim

    UBS facing Millions of Dollars in Claim
    Blum Law Group has commenced an investigation into the activities of UBS Financial with relation to its clients who purchased stocks or bonds over the past 24 months. Investors who sustained losses at UBS or in their investment accounts…
  • Oct 25

    Blum Law Group Investigates David Lerner Associates, Inc.

    Blum Law Group Investigates David Lerner Associates, Inc.
    Blum Law Group has commenced an investigation into the activities of David Lerner and David Lerner Associates, Inc., based in Syosset, New York with relation to its clients who purchased Apple REITs. David Lerner was recently banned from the…
  • Oct 18

    Blum Law Group Investigates JW Korth & Company

    Blum Law Group Investigates JW Korth & Company
    Blum Law Group has commenced an investigation into the activities of JW Korth & Company, based in Miami, Florida, with relation to its clients who purchased Banco Cruzeiro do Sul SA bonds. James W. Korth is their Managing Partner. Investors…
Rank this Week: 4818

Stock Broker Attorney Blog

Stock Broker Attorney Blog

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

http://www.blog.stockbrokerattorney.com/
  • Apr 2

    SEC Warning to Investors: Watch Out for Fraudsters Posing As Regulator

    SEC Warning to Investors: Watch Out for Fraudsters Posing As Regulator
    Wolves in Sheep’s Clothing The SEC has issued an update of a previous alert warning investors of scammers posing as SEC employees soliciting personal and financial information.  In the warning, the SEC reminds the public that it does not…
  • Mar 22

    2011 in Review: FINRA’s Top 5 Enforcement Issue

    2011 in Review: FINRA’s Top 5 Enforcement Issue
    FINRA enforcement statistics experience hike in 2011 compared to 2010 An annual survey of FINRA sanctions revealed that 2011 was quite busier than 2010.  In addition to banning more reps, FINRA fines jumped 51% from $48 million in 2010 to…
  • Feb 23

    SEC Tightens Rule on Investment Advisor Performance Fee

    SEC Tightens Rule on Investment Advisor Performance Fee
    On February 15, 2012, the Securities and Exchange Commission (SEC) announced that it is strengthening its rule on investment advisory performance fees. It is raising the net worth requirement for investors who pay performance fees and…
Rank this Week: 5080

Stock Broker Fraud Blog

Stock Broker Fraud Blog

Covers broker fraud, investor fraud, marketing timing, and securities fraud. By Shepherd Smith & Edwards.

http://www.stockbrokerfraudblog.com/
Rank this Week: 374

Stock Market Loss

Stock Market Loss

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

http://www.stockmarketloss.com/news/
Rank this Week: 3228

Strictly Business

Strictly Business

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

http://blog.alexanderdavie.com/
  • Jun 17

    The JOBS Act, a Year Later – Part 7: Titles V and VI and Concluding Thought

    The JOBS Act, a Year Later – Part 7: Titles V and VI and Concluding Thought
    This post is the seventh and final in a series examining the impact of the Jumpstart Our Business Startups Act (or JOBS Act) one year after its passage and focuses on Titles V and VI of the law and provides some final concluding thoughts.…
  • Jun 9

    The JOBS Act, a Year Later – Part 6: Regulation A+

    The JOBS Act, a Year Later – Part 6: Regulation A+
    This post is the sixth in a series examining the impact of the Jumpstart Our Business Startups Act (or JOBS Act) one year after its passage and focuses on the provision instructing the SEC to create a new securities registration exemption…
  • May 30

    The JOBS Act, a Year Later – Part 5: Crowdfunding

    The JOBS Act, a Year Later – Part 5: Crowdfunding
    This post is the fifth in a series examining the impact of the Jumpstart Our Business Startups Act (or JOBS Act) one year after its passage and focuses on the provisions related to crowdfunding. Previously in this series, I discussed the…
Rank this Week: 985

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Jun 14

    Fire The Torpedoe

    Fire The Torpedoe
    The class certification decision in In Diamond Foods, Inc. Sec. Litig., 2013 WL 1891382 (N.D. Cal. May 6, 2013) contains a number of interesting holdings. (1) Market efficiency is an issue for the finder of fact - A rebuttable presumption...
  • May 31

    Something Systemic

    Something Systemic
    In Massachusetts Retirement Systems v. CVS Caremark Corp., 2013 WL 2278599 (1st Cir. May 24, 2013), the plaintiffs asserted that the company had failed to disclose integration problems following a merger. The district court dismissed on loss…
  • May 24

    Reading the Tea Leave

    Reading the Tea Leave
    Section 11 of the '33 Act creates liability for material misrepresentations in a registration statement. According to the Second Circuit (Fait) and Ninth Circuit (Rubke), however, if the alleged misrepresentation is an opinion, the plaintiff…
Rank this Week: 289

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
Rank this Week: 120

The Law Planet Blog

The Law Planet Blog

Discusses investment, labor, and employment law, as well as securities arbitration, stockbroker issues, and legal technology. By LaBovick Law Group.

http://www.thelawplanetblog.com/
  • Jun 18

    Social Security Disability Benefits Available for Mental Illne

    Social Security Disability Benefits Available for Mental Illne
    When people first think of Social Security disability they think of the injured factory worker or coal miner who is reaching retirement age and can no longer perform his/her physically demanding occupation. But there is a whole other group…
  • Jun 14

    Is Palm Beach County's Growth Plan Too Conservative?

    Is Palm Beach County's Growth Plan Too Conservative?
    If you live in South Florida, you have noticed the expansion of residential communities extending westward past the Florida Turnpike. Palm Beach County has grown exponentially since the 80’s, and highly concentrated populations now live…
  • Jun 12

    The Importance of Finding a Local Social Security Attorney

    The Importance of Finding a Local Social Security Attorney
    In my niche practice, I often run into other attorneys in the community that have never met a Social Security attorney before. I hear the same story over and over again: They tell me that someone walked into their office looking for a…
Rank this Week: 576

The Lebrecht Group, APLC Blog

The Lebrecht Group, APLC Blog

Discusses corporate securities law .

http://www.thelebrechtgroup.com/blog/
  • 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…
  • May 16

    TLG Attorney to Speak on Ethics at “Accounting 101 for Attorneys” Presentation

    TLG Attorney to Speak on Ethics at “Accounting 101 for Attorneys” Presentation
    Brian A. Lebrecht, founder and President of The Lebrecht Group, APLC, will be among the presenters at a seminar on May 16, 2013 by the National Business Institute entitled Accounting 101 for Attorneys.  Specific topic will be Complying…
  • May 9

    Listing a Reverse Merger Company on NASDAQ

    Listing a Reverse Merger Company on NASDAQ
    NASDAQ has special rules for companies that went public via a reverse merger.  By: Brian A. Lebrecht, Esq. NASDAQ Markets Overview NASDAQ has three different U.S. markets, the NASDAQ Global Select Market, the NASDAQ Global Market, and…
Rank this Week: 4680

The PSLRA Nugget

The PSLRA Nugget

Covers securities class action case law. By Christopher S. Jones.

http://pslranugget.blogspot.com/
  • Feb 3

    The Nugget is Moving to a New Home

    The Nugget is Moving to a New Home
    Please update your bookmarks, as the PSLRA Nugget is moving to a new easier to remember website address.  Also if you are getting this by email, and you would like to continue getting it that way, you just need to go to
  • Feb 2

    Yes Shorter is Better (at least in legal briefing)

    Yes Shorter is Better (at least in legal briefing)
    OK, you know who you are.  The serial page extension requesters.  But Judge, we have to have 100 pages to explain it.  I know, I know, we've all done it.  And yes I agree sometimes it's necessary.  But District Judge Joy Flowers Conti…
  • Mar 18

    Confidential Sources Still Alive & Kicking

    Confidential Sources Still Alive & Kicking
    What's that? You thought Tellabs banned confidential witnesses? Well, let's not get carried away here, as there's certainly at least two ways to read that opinion. Of course, after the 7th Circuit decided Higginbotham v. Baxter, it was…
Rank this Week: 1386

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/home/
  • Jun 18

    The Management Friendly Nature of Delaware Decisions: In re MFW Shareholders Litigation (Part 1)

    The Management Friendly Nature of Delaware Decisions: In re MFW Shareholders Litigation (Part 1)
    Back in the 1980s, Delaware courts occasionally pushed the law in a direction that was at least arguably favorable to shareholders.  Van Gorkom placed renewed emphasis on the duty of care and the need for directors to be informed. …
  • Jun 17

    Investors’ Powers to Challenge Board Composition Goes to Court

    Investors’ Powers to Challenge Board Composition Goes to Court
    Starboard Value LP recently took an interesting step in its battle to get its slate of directors on the board of Office Depot Inc.  On June 13th Starboard Value sued Office Depot for not holding an annual shareholder meeting to elect…
  • Jun 15

    Heins on the Priests of Our Democracy

    Heins on the Priests of Our Democracy
    I apologize in advance if this post is a bit too off-topic for some, but I thought the content would be of interest to enough of our readers to justify it. I used to work in the mental health field, and I frequently heard it said that:…
Rank this Week: 230

The Securities Edge

The Securities Edge

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

http://www.thesecuritiesedge.com/
  • Jun 11

    Social media and brokers: FINRA wants broker-dealers to be “friends” with their employee

    Social media and brokers: FINRA wants broker-dealers to be “friends” with their employee
    Posted By: Gustav L. Schmidt With newer methods to communicate and interact with the so-called social network popping up on almost a daily basis, securities regulators have been giving more and more attention to social media and how…
  • Jun 5

    The SEC gets tough – Nasdaq to pay record $10 million fine to settle Facebook IPO allegation

    The SEC gets tough – Nasdaq to pay record $10 million fine to settle Facebook IPO allegation
    Posted By: Robert C. White Jr. May 29, 2013 was a bad day at the office for The Nasdaq Stock Market, LLC as it agreed to pay a $10 million fine to settle allegations arising from the troubled May 18, 2012 Facebook IPO. This payment was…
  • May 30

    New SEC Chair: Mary Jo White

    New SEC Chair: Mary Jo White
    Posted By: Gregory K. Bader The mission of the U.S. Securities and Exchange Commission (“SEC”) is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. This sounds great, but how…
Rank this Week: 3180

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/
  • Jun 13

    Recovery of Noble Royalties Investment Losse

    Recovery of Noble Royalties Investment Losse
    Have you suffered substantial losses in your investment with Noble Royalties? If so, the securities fraud attorneys at The White Law Group may be able to help you recover your losses. According to Noble Royalties website, the company…
  • Jun 13

    Will the bond bubble burst?

    Will the bond bubble burst?
    When disclosing the risk of a particular bond offering, a financial advisor must make the investor fully aware of the following risks associated with all bonds: (1) Inflationary risk – i.e., the risk that fixed-income investments…
  • Jun 13

    More Bad News for Thompson National Propertie

    More Bad News for Thompson National Propertie
    According to reports, a former chief financial officer of Thompson National Properties was recently suspended for five months from the securities industry for failing to conduct adequate and independent due diligence into an array of…
Rank this Week: 438

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

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

    More on "Survey Results: Rule 10b5-1 Plan Practices"

    More on "Survey Results: Rule 10b5-1 Plan Practices"
    More on "Survey Results: Rule 10b5-1 Plan Practices" Last week, I ran this blog providing survey results on Rule 10b5-1 plans and received many emails in response. David Smyth of Brooks Pierce even blogged this analysis about them:…
  • Jun 17

    Juicy Lawsuit Pays Off for Reinstated SEC Assistant Inspector General: $580k!

    Juicy Lawsuit Pays Off for Reinstated SEC Assistant Inspector General: $580k!
    Juicy Lawsuit Pays Off for Reinstated SEC Assistant Inspector General: $580k! As I blogged six months ago, SEC Assistant Inspector General David Weber filed a $20 million lawsuit alleging he was fired for being a whistleblower (you may recall…
  • Jun 14

    Sights of the NIRI Conference

    Sights of the NIRI Conference
    Sights of the NIRI Conference Here are a few pics from the NIRI conference. This first one is a pic of a monitor set up in the hallway, which displayed graphics created by Marketwired of how many folks were tweeting...
Rank this Week: 889

Tim O'Connor's Blog

Tim O'Connor's Blog

Covers stockbroker fraud.

http://stockbrokerlaw.com/_blog/Tim_O%27Connor%27s_Blog_2011/
  • May 10

    Hidden Costs Associated with Variable Universal Life (VUL) Insurance Policie

    Hidden Costs Associated with Variable Universal Life (VUL) Insurance Policie
    The various costs associated with variable annuity policies includes surrender charges and fluctuating costs of insurance charges, all of which means that the underlying cash values of the Variable Universal Life policy must work that much…
  • May 6

    Variable Universal Life Horror Storie

    Variable Universal Life Horror Storie
    The replacement of paid-up whole life insurance policies by Variable Universal Life (VUL) insurance policies has seen many retirees lose a lifetime of savings in a matter of years, due to various of the hidden cost features of Variable…
  • Apr 22

    Insurance for Theft From Brokerage, Investment and Insurance-Type Account

    Insurance for Theft From Brokerage, Investment and Insurance-Type Account
    The victims of Ponzi schemes and theft involving their financial accounts may be afforded protection offered by broker blanket bonds, fidelity bonds, broker/dealer professional liability insurance coverage, errors and omissions policies,…
Rank this Week: 1423

VC Research Network

VC Research Network

Venture Capital blawg by Boalt Hall Law School Law Professors Jesse M. Fried, Ken Taymor, and Robert Bartlett, III

http://vc.berkeleylawblogs.org/
  • Apr 5

    Carrots & Sticks: How VCs Induce Entrepreneurial Teams to Sell Startup

    Carrots & Sticks: How VCs Induce Entrepreneurial Teams to Sell Startup
    [Editor’s Note: This post comes to us from Professors Jesse Fried and Brian Broughman] Venture capitalists (VCs) play a significant role in the financing of high-risk, technology-based business ventures. VC exits usually take one of…
  • Mar 26

    Delaware Law as Lingua Franca: Theory and Evidence

    Delaware Law as Lingua Franca: Theory and Evidence
    [Editor’s Note: This post comes to us from Professors Jesse Fried, Brian Broughman and Darian Ibrahim) Delaware dominates the corporate chartering market in the U.S—it is the only state that attracts a significant number of…
  • Feb 27

    The Dynamics of Venture Capital Contract

    The Dynamics of Venture Capital Contract
    (Editor’s Note: This post comes to us from Professors Carsten Bienz and Julia Hirsch).
Rank this Week: 2560

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/
  • Apr 23

    Co-Directors of SEC's Enforcement Division Named

    Co-Directors of SEC's Enforcement Division Named
    On April 22, 2013, George Canellos and Andrew Ceresney were named as SEC's Division of Enforcement co-directors. Both have ties to SEC's new chairman Mary Jo White. Canellos worked as an assistant attorney to Ms. White while she was the…
  • Apr 23

    Co-Directors of SEC's Enforcement Division Named

    Co-Directors of SEC's Enforcement Division Named
    On April 22, 2013, George Canellos and Andrew Ceresney were named as SEC's Division of Enforcement co-directors. Both have ties to SEC's new chairman Mary Jo White. Canellos worked as an assistant attorney to Ms. White while she was the...
  • Apr 22

    FINRA Approves Proposed Rule Changes to Arbitration for Submission to SEC

    FINRA Approves Proposed Rule Changes to Arbitration for Submission to SEC
    On April 19, 2013, the FINRA Board of Governors approved several proposed rule changes that now will be submitted to the SEC for review and approval. Two that center on the FINRA arbitration process are detailed below: First, the Board…
Rank this Week: 1559

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/
  • Jan 29

    Overstock.com CEO Patrick Byrne Sleeps With a Gun

    Overstock.com CEO Patrick Byrne Sleeps With a Gun
    In numerous blog posts in the past, and in widespread media coverage, evidence has accumulated for years that Overstock.com CEO (NASDAQ: OSTK) Patrick Byrne has shown signs of being mentally unbalanced and paranoid. Byrne has blamed his…
  • Jan 22

    Patrick Byrne: Armed, Dangerous, and Delusional

    Patrick Byrne: Armed, Dangerous, and Delusional
    Last Wednesday, Overstock.com (NASDAQ: OSTK) CEO Patrick Byrne was arrested after Transportation Security Administration (TSA) officers found a loaded pistol concealed in his carry-on bag at an airport security checkpoint. He spent several…
  • Dec 28

    What Indicted SAC Capital Portfolio Manager Mathew Martoma Can Learn from Crazy Eddie

    What Indicted SAC Capital Portfolio Manager Mathew Martoma Can Learn from Crazy Eddie
    Back in March 1989, I faced an agonizing decision: Either cooperate with the F.B.I. and S.E.C. investigations of fraud at Crazy Eddie or spend a long time in prison behind bars. Likewise, former SAC Capital Advisors portfolio manager Mathew…
Rank this Week: 1845

William Carleton, Counselor @ Law

William Carleton, Counselor @ Law

Covers legal and investment issues facing emerging tech companies.

http://www.wac6.com/wac6/
Rank this Week: 36

With Vigour and Zeal

With Vigour and Zeal

Features a European's views on securities litigation. By Werner Kranenburg.

http://kranenburgesq.com/blog
  • Feb 26

    Transatlantic Litigation: “I sue first”

    Transatlantic Litigation: “I sue first”
    On Wednesday earlier this week, the New York State Bar Association’s International Section held a seminar in London on the topic of Transatlantic Litigation. I was one of the co-organisers and one of the two speakers.
  • Mar 31

    Cornerstone’s Class Actions Reviews 2009

    Cornerstone’s Class Actions Reviews 2009
    Last week and in January, the Stanford Law School Securities Class Action Clearinghouse, in cooperation with Cornerstone Research, published two annual securities class action reviews: Filings 2009 and
  • Feb 25

    Where to go in March

    Where to go in March
    In the next few weeks I will be attending the following events: an LSE lecture and Weil Gotshal webcast on the 4th, Barroway Topaz’ annual conference on the 11th and the NYSBA’s litigation roundtable on the 16th.
Rank this Week: 2210