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Blogs 46 - 81 of 81

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: 747

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • Apr 14

    Why Should You Care About Cyber-Security

    Why Should You Care About Cyber-Security
    The short answer to this question is that the SEC and FINRA care.  Both regulators have made this issue an exam priority for the year, and it was recently a focus of an SEC roundtable.  We hear of data breaches on nearly a daily…
  • Apr 3

    Who Wants To Know Something About FINRA’s New Written Procedures Rule?

    Who Wants To Know Something About FINRA’s New Written Procedures Rule?
    New FINRA Rule 3110 (effective December 1, 2014) sets out various written procedures and requirements for member firms.  You should pay particular attention to these rules because they suggest those areas of focus in any upcoming…
  • Apr 2

    RIAs Permitted to More Freely Advertise on Social Media

    RIAs Permitted to More Freely Advertise on Social Media
    The SEC’s Division of Investment Management  issued guidance permitting advisers  greater use of social media while maintaining the  prohibition on testimonials.   See…
Rank this Week: 3958

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 25

    UBS in Web of Puerto Rico Bond Funds Suffering Massive Losse

    UBS in Web of Puerto Rico Bond Funds Suffering Massive Losse
    Puerto Rico bond funds have been suffering massive losses recently and regulators have already taken action. According to the SEC, UBS Financial Services of Puerto Rico Inc. (“UBS”) misled thousands of its retail investors in 23…
  • Dec 9

    Bloomberg Update on $383M Client Case v. Citigroup

    Bloomberg Update on $383M Client Case v. Citigroup
    Below is a piece by Bloomberg on our firm's $383 million claim against Citigroup. There's more on this case on the firm's website at http://www.riklawfirm.com/ Citigroup’s Mathur Said to Depart With Hybrid Traders as Pandit Cuts Jobs By…
  • Dec 1

    American Lawyer Piece on Firm's Citigroup Case

    American Lawyer Piece on Firm's Citigroup Case
    Below is an American Lawyer piece which explains our clients' pending $383 million FINRA arbitration against Citigroup. It goes on to talk about how there are more and more large and complex cases at FINRA. It's true. As partner John Rich…
Rank this Week: 2989

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/
  • Jul 26

    Robert Herskovits Appears on Reuters TV Side Bar Show

    Robert Herskovits Appears on Reuters TV Side Bar Show
  • 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…
Rank this Week: 1851

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 20

    General Mills Reverses Itself - No Mandatory Arbitration

    General Mills Reverses Itself - No Mandatory Arbitration
    Reversing a policy that was an abuse of arbitration policy. legally unenforceable and a complete public relations disaster, General Mills has changed its mind, removed its silly mandatory arbitration policy, and has gone back to its original…
  • Apr 19

    FINRA is Looking to Hire Compliance Examiner

    FINRA is Looking to Hire Compliance Examiner
    From their job posting - FINRA is seeking a well qualified individual for our Compliance Examiner opening in Membership Application Program (MAP) of the Member Regulation Department in New York, NY.  To be…
  • Apr 19

    High Frequency Traders Subpoenaed

    High Frequency Traders Subpoenaed
    New York Attorney General Eric Schneiderman sent subpoenas to six high-frequencytrading firms seeking information about special arrangements they have with exchanges and dark pools as well as their trading strategies, according to a person…
Rank this Week: 1083

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: 1387

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: 389

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/
  • Apr 19

    Krug on Regulatory Theory

    Krug on Regulatory Theory
    Anita K. Krug has posted Downstream Securities Regulation on SSRN with the following abstract: Securities regulation wears two hats: Its “upstream” side governs firms in connection with their obtaining financing in the securities markets.…
  • Apr 19

    Kick, Onali, Ruprecht & Schaeck on Asset Allocation

    Kick, Onali, Ruprecht & Schaeck on Asset Allocation
    Thomas K. Kick, Enrico Onali, Benedikt Ruprecht, and Klaus Schaeck have posted Wealth Shocks, Credit-Supply Shocks, and Asset Allocation: Evidence from Household and Firm Portfolios on SSRN with the following abstract: We use a unique dataset…
  • Apr 19

    Carpentier & Suret on IPO

    Carpentier & Suret on IPO
    Cécile Carpentier and Jean-Marc Suret have posted Business Angels’ Perspectives on Exit by IPO on SSRN with the following abstract: We analyze exit-related perceptions of the members of a large, well-structured Canadian angel group.…
Rank this Week: 274

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: 827

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
Rank this Week: 208

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: 1117

Securities Mining Law

Securities Mining Law

Covers securities law affecting the mining industry in Canada.

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

    BC Environmental Assessment Office Fee

    BC Environmental Assessment Office Fee
    The Province of British Columbia approved an Order in Council dated April 11, 2014 to establish environmental assessment fees in British Columbia for the review of environmental assessment applications, orders and enforcement fees. The fee…
  • Apr 16

    Mandatory reporting standards for payments by extractive industry companie

    Mandatory reporting standards for payments by extractive industry companie
    The Government of Canada recently issued a Consultation Paper regarding proposed mandatory reporting standards (the proposed standards) for payments by extractive industry companies to governments, both domestic and foreign, and including…
  • Mar 28

    British Columbia Aboriginal Mentoring and Training Association (“BCAMTA”)

    British Columbia Aboriginal Mentoring and Training Association (“BCAMTA”)
    On February 7, 2014, BCAMTA opened its office in Terrace to guide and support aboriginal people towards gaining employment in the mining and exploration industry. There are a number of mines planned in the Terrace area and the need for…
Rank this Week: 3719

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: 643

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/
  • Feb 18

    {Video} The difference between Angel Investors and Venture Capitalist

    {Video} The difference between Angel Investors and Venture Capitalist
    Originally posted on Fabulous & Money Savvy:Successful entrepreneur and CEO, Jay Adelson, demystifies the start-up process by providing advice, tips, and answering questions. Today Jay discusses funding and explains the difference between…
  • Feb 3

    SEC Suspends Trading in 255 “Shell” Companie

    SEC Suspends Trading in 255 “Shell” Companie
    Today, the Securities and Exchange Commission (SEC) issued a Press Release announcing that as a result of its micro-cap fraud-fighting initiative they named “Operation Shell-Expel”, they suspended trading in 255 dormant shell…
  • Jan 31

    Box has reportedly, secretly, filed for an IPO

    Box has reportedly, secretly, filed for an IPO
    Reblogged from SoshiTech - Social Media Technology - Soshitech.com: By Derrick Harris 37 mins ago No Comments A http://gigaom.com/2014/01/30/box-has-reportedly-secretly-filed-for-an-ipo/ A Summary:Cloud collaboration star Box has filed for an…
Rank this Week: 3894

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: 639

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: 1319

Stock Broker Attorney Blog

Stock Broker Attorney Blog

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

http://www.stockbrokerattorney.com/blog
  • Apr 14

    UBS Puerto Rico Investment Loss Claims Rise as Island Debt Downgraded to Junk Statu

    UBS Puerto Rico Investment Loss Claims Rise as Island Debt Downgraded to Junk Statu
    The nationally recognized investment fraud attorneys at Levin Papantonio are actively filing claims on behalf of investors who suffered unwarranted losses. UBS Financial Services of Puerto Rico routinely advised clients to take concentrated…
  • Apr 14

    What’s Wrong with Public Non-Traded REITs?

    What’s Wrong with Public Non-Traded REITs?
    A Real Estate Investment Trust (REIT) allows investors to own and operate income-producing real estate through a corporation. The real estate in a REIT can range from offices and apartment buildings to warehouses or timberlands. The benefit…
  • Sep 9

    He's Not Above The Law - But It's Still a Slap On The Wrist

    He's Not Above The Law - But It's Still a Slap On The Wrist
    According to Forbes, Philip Falcone is No. 377 on the list of the 1%, worth $1.2 billion as of March 2013 as well as one of the Top 40 hedge fund managers in the U.S. Except that he won't be doing that anymore - for awhile, anyway.  read…
Rank this Week: 3614

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: 481

Stock Market Loss

Stock Market Loss

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

http://www.stockmarketloss.com/news/
  • Feb 27

    What Happens in an Arbitration Proceeding?

    What Happens in an Arbitration Proceeding?
    This article was originally posted on Stock Market LossArbitrations are conducted under the auspices of the Financial Industry Regulatory Authority (FINRA). The case is commenced with the filing of a Statement of Claim, which is a complaint…
  • Feb 14

    FINRA Seeks to Prohibit Brokerage Firms From Buying Customer Cooperation in Expungement Proceeding

    FINRA Seeks to Prohibit Brokerage Firms From Buying Customer Cooperation in Expungement Proceeding
    This article was originally posted on Stock Market LossClaimants lawyers have long complained that brokerage firms should not be permitted to insist, as a condition of settling a dispute, that the customer must cooperate in having the…
  • Jan 9

    New FINRA Team Will Track Patterns of Sales Abuse and “Broker Migration”

    New FINRA Team Will Track Patterns of Sales Abuse and “Broker Migration”
    This article was originally posted on Stock Market LossThe Financial Industry Regulatory Authority intends to field an enforcement team tasked with focusing on brokers whose records show patterns of complaints or sales abuses. The team will…
Rank this Week: 3762

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: 1225

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: 2089

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: 547

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: 1366

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: 3214

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 19

    Wagner v. Royal Bank of Scotland: Court Denies Motion to Dismiss Claim for Alleged 16(b) Violation

    Wagner v. Royal Bank of Scotland: Court Denies Motion to Dismiss Claim for Alleged 16(b) Violation
    In Wagner v. Royal Bank of Scotland Grp. PLC, the United States District Court for the Southern District of New York denied a motion to dismiss Jeff Wagner's (the "Plaintiff") claim to recover short-swing profits generated by defendants,…
  • 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…
Rank this Week: 39

The Securities Edge

The Securities Edge

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

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

    Don’t cross the border!: Intrastate offering exemption still not useful despite new interpretation

    Don’t cross the border!: Intrastate offering exemption still not useful despite new interpretation
    Posted By: David C. Scileppi Last week, the SEC issued three new interpretations related to the so-called “intrastate offering exemption,” which is a registration exemption that facilitates the financing of local business…
  • Mar 21

    Proposed relief for companies going public is insufficient

    Proposed relief for companies going public is insufficient
    Posted By: David C. Scileppi In recent weeks, a bill has been reported out of the House Committee on Financial Services promising relief to companies going public.  While I applaud their intentions, this bill will not have much impact,…
  • Mar 4

    Uniform Fiduciary Standard for Broker-Dealers: An Update

    Uniform Fiduciary Standard for Broker-Dealers: An Update
    Posted By: Stephanie Quiñones As we blogged about last August, Section 913 of the Dodd-Frank Act directed the SEC to study the need for establishing a new, uniform, federal fiduciary standard of care for brokers and investment…
Rank this Week: 3837

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: 215

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: 493

Tim O'Connor's Blog

Tim O'Connor's Blog

Covers stockbroker fraud.

http://stockbrokerlaw.com/_blog/Tim_O%27Connor%27s_Blog
  • Jan 6

    Become a FINRA Arbitrator

    Become a FINRA Arbitrator
    The Office of Dispute Resolution of the Financial Industry Regulatory Authority (FINRA) is currently seeking experienced professionals, citizens, and members of the community to serve as arbitrators on FINRA arbitration panels.  Notably,…
  • Jan 6

    Become a FINRA Arbitrator

    Become a FINRA Arbitrator
    The Office of Dispute Resolution of the Financial Industry Regulatory Authority (FINRA) is currently seeking experienced professionals, citizens, and members of the community to serve as arbitrators on FINRA arbitration panels.  Notably,…
  • Dec 31

    Functional Fiduciary Liability Under ERISA

    Functional Fiduciary Liability Under ERISA
    There are over one million ERISA-qualified pension plans in the United States, including two hundred thousand defined benefit plans.  At one time, defined benefits plans were the predominant vehicle for employer-funded employee…
Rank this Week: 2114

TRACE Blog

TRACE Blog

Covers anti-bribery compliance.

http://traceblog.org/
  • Apr 10

    Reflections on TRACE’s Global Enforcement Report 2013: The Butterfly Effect

    Reflections on TRACE’s Global Enforcement Report 2013: The Butterfly Effect
    While the U.S. remains the leader in formal foreign bribery actions, defined as cross-border enforcement actions by government agencies that have resulted in formal charges or official declinations, other countries are certainly taking steps…
  • Apr 1

    TRACE Poll: March’s Biggest Compliance Story

    TRACE Poll: March’s Biggest Compliance Story
    Vote for what you think is this month’s top compliance story. U.S. government freezes stolen assets of former Nigerian dictator Sani Abacha- A civil forfeiture complaint was unsealed this month indicating that the U.S. Department of…
  • Mar 7

    Guest Post: Five Questions that Can Keep Your Monitor From Running Away

    Guest Post: Five Questions that Can Keep Your Monitor From Running Away
    Today’s guest blog post is written by Ms. Kathleen Hamann. Ms. Hamann, a partner at White & Case LLP in Washington, DC, was previously a Trial Attorney in the FCPA Unit at the Department of Justice, where she selected and oversaw a…
Rank this Week: 2648

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: 2253

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/
  • Jan 13

    STIFEL NICOLAUS AND CENTURY SECURITIES CONSENT TO FINES OVER IMPROPER SALES OF LEVERAGED AND INVERSE ETFS

    STIFEL NICOLAUS AND CENTURY SECURITIES CONSENT TO FINES OVER IMPROPER SALES OF LEVERAGED AND INVERSE ETFS
    According to a recent news release, the Financial Industry Regulatory Authority (FINRA) has fined Stifel, Nicolaus & Company, Incorporated and an affiliate $550,000 ordered them to pay approximately $475,000 in restitution to 65 customers…
  • Jan 9

    J. P. Morgan Chase Avoids Criminal Prosecution for Hosting Madoff Fraud

    J. P. Morgan Chase Avoids Criminal Prosecution for Hosting Madoff Fraud
    Banking giant J. P. Morgan Chase has reached a deal with federal prosecutors to avoid criminal prosecution for its role in the Bernard Madoff Ponzi scheme. According to the prosecutors, J. P. Morgan, which had custody of Madoff accounts,…
  • Jan 9

    FINRA IDENTIFIES AREAS OF CONCERN FOR INVESTORS

    FINRA IDENTIFIES AREAS OF CONCERN FOR INVESTORS
    Each year, the Financial Industry Regulatory Authority (FINRA) publishes a letter to the financial services industry identifying its regulatory and examination priorities. FINRA is the industry's "self-regulatory organization," which is…
Rank this Week: 2091

White Collar Alert

White Collar Alert

Provides news and insight to counsel and legal observers concerning white collar criminal defense, internal investigations, government litigation and regulatory compliance. By Montgomery McCracken.

http://whitecollarblog.mmwr.com
  • Apr 14

    The Quagmire of “Unauthorized Access” Remain

    The Quagmire of “Unauthorized Access” Remain
    This guest post was authored by our colleague Jeremy D. Mishkin, partner and chair of the firm’s Litigation practice. His practice emphasizes complex commercial matters, technology, the Internet and First Amendment/Media Law issues. He…
  • Apr 10

    Crisis Management: Law and PR

    Crisis Management: Law and PR
    As readers of this blog know by now, my colleagues and I were members of the defense team that represented U.S. Army Brigadier General Jeffrey Sinclair. Our client faced a rare court-martial of a general officer at Fort Bragg, NC ……
  • Mar 20

    Vindication: General Sinclair Sentenced to a Reprimand and $20K Fine

    Vindication: General Sinclair Sentenced to a Reprimand and $20K Fine
    Today marks the end of what The New York Times recently called “a textbook example of justice gone awry.”  Thankfully, justice was not completely absent from the courtroom this morning. During yesterday’s closing…
Rank this Week: 2828

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: 1217

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: 650

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: 2901