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Blogs 46 - 90 of 92

Proxyland

Proxyland

Covers corporate governance.

http://proxyland.blogspot.com/
  • Mar 6

    One Blog Closes, Another Open

    One Blog Closes, Another Open
    Big news, dear readers.
  • Feb 17

    Stimulus Plan Attacks Executive Compensation: Stay Tuned

    Stimulus Plan Attacks Executive Compensation: Stay Tuned
    Everyone knows about the freaky fireball that plummeted through the Texas sky last weekend. In an unrelated development, a fireball suddenly appeared in the skies over Proxyland on Friday. That one, however, has been identified: it’s Title…
  • Feb 11

    Geithner's Financial Stability Plan, Or Whatever

    Geithner's Financial Stability Plan, Or Whatever
    C’mon now, everyone. Cheer up. At least Tim Geithner is easier on the eyes than Hank Paulson, whose face seemed to have the words “we’re all gonna die” written on it no matter what he was saying.
Rank this Week: 1487

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: 303

Regulation tomorrow

Regulation tomorrow

By Norton Rose Fulbright. Offers resources on the global financial services regulatory environment. It reports on financial services regulatory developments and provides insights and commentary across Africa, Asia, Australia, Canada, Europe and the United States.

http://www.regulationtomorrow.com/
  • Jun 22

    The Queen’s Speech 2017: Insurance aspect

    The Queen’s Speech 2017: Insurance aspect
    On 21 June 2017, the Queen delivered her Speech, outlining the government’s legislative agenda. The Queen’s Speech sets out 27 legislative bills, of which eight are entirely concerned with measures for leaving the European Union.…
  • Jun 22

    FCA proposes changes to advice on pension transfer

    FCA proposes changes to advice on pension transfer
    The FCA has published Consultation Paper 17/16: Advising on Pension Transfers (CP17/16). CP17/16 will primarily be of interest to financial advisory firms advising on pension transfers, those acting as pension transfer specialists, pension…
  • Jun 22

    Compliance with the EBA’s Guidelines on disclosure: Composition of collateral for exposures to counterparty credit risk

    Compliance with the EBA’s Guidelines on disclosure: Composition of collateral for exposures to counterparty credit risk
    The PRA has published Consultation Paper 10/17: Compliance with the EBA’s Guidelines on disclosure: Composition of collateral for exposures to counterparty credit risk (CP10/17). CP10/17 is relevant to PRA-authorised institutions to…
Rank this Week: 2615

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
  • Jun 15

    Lafayette, IN based Bison Financial Group Forced Out By Wells Fargo

    Lafayette, IN based Bison Financial Group Forced Out By Wells Fargo
    A large group of stockbrokers previously with Wells Fargo were “permitted to resign” because of annuity sales practices, according to some of their Brokercheck reports. According to Ameriprise, approximately 15 of the Bison…
  • Jun 11

    RBC Wealth Management (RBC) Pays Huge $3.5 Million Settlement

    RBC Wealth Management (RBC) Pays Huge $3.5 Million Settlement
    In April of 2017, RBC settled a case involving Indianapolis broker James Wilson for $3.5 Million. The investors alleged that Wilson and RBC had overtraded in many accounts and excessively sold their family various closed end funds that…
  • May 30

    ENERGY MASTER LIMITED PARTNERSHIPS (MLPs)

    ENERGY MASTER LIMITED PARTNERSHIPS (MLPs)
    Some investors lost considerable amounts of money by investing in Energy MLPs. Recommended by many financial advisors in 2014-2015, investors were misled to believe these investments carried far less risk than was true. A common…
Rank this Week: 152

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: 3281

SEC Whistleblower Lawyer Blog

SEC Whistleblower Lawyer Blog

Covers securities law. By Silver Law Group & The Law Firm of David R. Chase, P.A.

http://www.secwhistleblowerlawyers.net/
  • Jun 13

    SEC Declines Paying a Whistleblower Because the Tip Was Provided Prior to Dodd-Frank

    SEC Declines Paying a Whistleblower Because the Tip Was Provided Prior to Dodd-Frank
    The SEC recently declined to pay a whistleblower award to a claimant that sought the SEC’s review of its stance on payouts stemming from information provided prior to the Dodd-Frank Act’s enactment in 2010. In an SEC Order, the…
  • Jun 6

    New York Settles Whistleblower-initiated Claim for $40 Million; Whistleblower Receives $8.8 Million Bounty

    New York Settles Whistleblower-initiated Claim for $40 Million; Whistleblower Receives $8.8 Million Bounty
    New York Attorney General Eric Schneiderman announced a whistleblower-initiated $40 million settlement with Alabama-based investment firm Harbert Management Corp. over unpaid state income taxes claimed instead in lower-tax Alabama. The…
  • May 3

    SEC Awards Whistleblower a Bounty of Over $500,000

    SEC Awards Whistleblower a Bounty of Over $500,000
    The SEC announced it was awarding a company insider a whistleblower award of more than $500,000 for reporting information that prompted an SEC investigation into well-hidden misconduct that resulted in an SEC enforcement action. The…
Rank this Week: 1826

Securities Arbitration Blog

Securities Arbitration Blog

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

http://www.securitiesarbitrations.com
  • Jun 10

    Pittsburgh Area Stockbroker Patricia S. Miller Alleged to Have Stolen Millions from Customer

    Pittsburgh Area Stockbroker Patricia S. Miller Alleged to Have Stolen Millions from Customer
    andnbsp;Hairdressor, Marcy Salandra went to her stockbrokerandrsquo;s office at Investors Capital Corporation in McMurray Pennsylvania to withdraw money to buy a house. andnbsp;However, instead of meeting her broker Patricia S. Miller, she…
  • Apr 18

    Lawyers Tempt Fate Before Second Circuit and No One Likes What They May Get

    Lawyers Tempt Fate Before Second Circuit and No One Likes What They May Get
    Last year, a Connecticut based hedge fund, Turnberry Capital Management LP, filed a FINRA arbitration securities claim against SunTrust Banks, Inc. to recover $13 million it lost in 2007 by investing in mortgage backed securities. However,…
  • Mar 13

    Investment Fraudsters: You have a friend in Pennsylvania

    Investment Fraudsters: You have a friend in Pennsylvania
    What does a big firm commercial defense lawyer, a banker, a healthcare lobbyist, a parking authority commissioner and an Allegheny parks commissioner all have in common? andnbsp; Apparently, they are all friends of Pennsylvania Governor Tom…
Rank this Week: 4690

Securities Attorney Law Blog

Securities Attorney Law Blog

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

http://securitiesattorneys.us/
Rank this Week: 3147

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: 4979

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • Jun 22

    Rulemaking Through Enforcement; What’s Next

    Rulemaking Through Enforcement; What’s Next
    FINRA has rulemaking authority.  Nevertheless, the trend would appear to be that FINRA is making its rules through the enforcement process.  Read this blog for insightful thoughts on this issue.Continue Reading…
  • Jun 13

    The Supreme Court Limits The SEC’s Ability To Seek Disgorgement

    The Supreme Court Limits The SEC’s Ability To Seek Disgorgement
    The Supreme Court recently ruled that a five year statute of limitations applies to when the SEC seeks disgorgement.  To learn more, read this alert.    Continue Reading…
  • May 31

    What are you doing about outside business disclosure

    What are you doing about outside business disclosure
    FINRA is currently reviewing its rules regarding outside business activities and private securities transactions. From time to time, FINRA reviews its rules and application of those rules to see if anything needs to be tweaked. Is there any…
Rank this Week: 4029

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: 1191

Securities Fraud Lawyer Blog

Securities Fraud Lawyer Blog

Covers securities law. By The Law Office of David Liebrader, Inc.

https://www.securitiesfraudlawyerblog.net/
  • Jun 21

    Corecap Investments Named in Bad Broker Study

    Corecap Investments Named in Bad Broker Study
    Corecap Investments was named as a broker dealer that employs a large percentage of registered reps with publicly disclosable incidents. A study commissioned by Reuters with the assistance of Columbia University Law School identified nearly…
  • Jun 21

    Concorde Investment Services Named in Bad Broker Study

    Concorde Investment Services Named in Bad Broker Study
    Concorde Investment Services was named as a broker dealer that employs a large percentage of registered reps with publicly disclosable incidents. A study commissioned by Reuters with the assistance of Columbia University Law School identified…
  • Jun 21

    Silber Bennett Financial Named in Bad Broker Study

    Silber Bennett Financial Named in Bad Broker Study
    Silber Bennett Financial was named as a broker dealer that employs a large percentage of registered reps with publicly disclosable incidents. A study commissioned by Reuters with the assistance of Columbia University Law School identified…
Rank this Week: 1565

Securities Fraud Lawyer Blog

Securities Fraud Lawyer Blog

Covers securities law. By Forman Law Firm.

https://www.securitiesfraudlawyerblog.com/
  • Jun 19

    FINRA Statistics-What Do They Tell Us About FINRA’s Arbitration Process and Its Fairness?

    FINRA Statistics-What Do They Tell Us About FINRA’s Arbitration Process and Its Fairness?
    FINRA Arbitration Statistics-What do they tell us about fairness of the arbitration process? In reality, not much. Advocates for the public investor community argue that mandatory arbitration is not fair, as it robs the consumer of choice,…
  • Jun 12

    Can I Sue My Stockbroker?

    Can I Sue My Stockbroker?
    Can I Sue My Stockbroker? Well, yes and no.  The question is more appropriately “How do I sue my stockbroker?” or “Where can I sue my stockbroker?”  As I will explain shortly, the common denominator to all of…
  • Feb 2

    Stockbroker Fraud and Investment Fraud: How Is It Discovered?

    Stockbroker Fraud and Investment Fraud: How Is It Discovered?
    Stockbroker Fraud and Investment Fraud: How Is It Discovered? It should go without saying that it is rare that a stockbroker ever confesses to making unsuitable recommendations, illegally recommending private investments away from the firm,…
Rank this Week: 1659

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
  • Jul 26

    Robert Herskovits Appears on Reuters TV Side Bar Show

    Robert Herskovits Appears on Reuters TV Side Bar Show
    Click on the video below to see Robert Herskovits’ appearance on Side Bar, a show produced by Reuters. Robert speaks about issues concerning the Protocol for broker recruiting and transition issues faced by registered representatives…
  • Jul 26

    Robert Herskovits Appears on Reuters TV Side Bar Show

    Robert Herskovits Appears on Reuters TV Side Bar Show
    Click on the video below to see Robert Herskovits’ appearance on Side Bar with Bill Singer, a show produced by Reuters. Robert speaks about issues concerning the Protocol for broker recruiting and transition issues faced by registered…
Rank this Week: 3606

Securities Law Attorneys Blog

Securities Law Attorneys Blog

Covers securities law. By Fitapelli | Kurta.

http://www.securitieslawattorneys.net/
  • Jun 22

    FSC Securities Has Been Sanctioned For Failing to Establish an Adequate Supervisory System

    FSC Securities Has Been Sanctioned For Failing to Establish an Adequate Supervisory System
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 16, 2017 indicate that Georgia-based brokerage and investment adviser firm FSC Securities has been sanctioned by FINRA in connection to alleged…
  • Jun 22

    Merrill Lynch Was Sanctioned Following Allegations of Failed Diligence For it’s Customer

    Merrill Lynch Was Sanctioned Following Allegations of Failed Diligence For it’s Customer
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on June 16, 2017 indicate that New York-based broker-dealer Merrill Lynch was recently sanctioned in connection to alleged rule violations. Fitapalli…
  • Jun 19

    Laurence Pierron Has Been Named in a Pending Customer Dispute

    Laurence Pierron Has Been Named in a Pending Customer Dispute
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 15, 2017 indicate that Texas-based Morgan Stanley broker/adviser Laurence Pierron, also known as Chip Pierron, has been named in a pending…
Rank this Week: 703

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 15

    Top 100 branch managers for 2017 | On Wall Street

    Top 100 branch managers for 2017 | On Wall Street
    Being a branch manager has always been a tough job, and in recent years it hasn't become any easier. On Wall Street honors 100 of them in their annual awards.Top 100 branch managers for 2017 | On Wall Street
  • Jun 14

    SEC heightens exam focus on robo advisers | On Wall Street

    SEC heightens exam focus on robo advisers | On Wall Street
    SEC heightens exam focus on robo advisers Under newly confirmed Chairman Jay Clayton, the SEC is setting its sights on expanded protections for retail investors, planning a series of RIA sweep exams exploring areas like robo advisers and…
  • Jun 13

    Mark Sellers and Selden Companies Investigation

    Mark Sellers and Selden Companies Investigation
    Securities attorneys are investigating the action brought by the Department of Justice (DOJ) involving property acquired by Mark Sellers who was accused of a $10 million investment fraud and who shot and killed himself on Aug. 2, 2016. The…
Rank this Week: 2118

Securities Law Blog

Securities Law Blog

Covers securities law. By Fitapelli | Kurta.

https://www.securities-law-attorney.com/
  • Jun 22

    Investment Professionals Was Recently Sanctioned by FINRA

    Investment Professionals Was Recently Sanctioned by FINRA
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 15, 2017 indicate that Texas-based broker-dealer Investment Professionals was recently sanctioned by FINRA in connection to alleged rule…
  • Jun 22

    SG Americas Securities Has Been Sanctioned in Connection to Alleged Rule Violation

    SG Americas Securities Has Been Sanctioned in Connection to Alleged Rule Violation
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 16, 2017 indicate that New York-based brokerage firm SG Americas Securities was recently sanctioned by FINRA in connection to alleged rule…
  • Jun 20

    MSI Financial Services Was Sanctioned Due to Allegations of Misconduct

    MSI Financial Services Was Sanctioned Due to Allegations of Misconduct
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 15, 2017 indicate that Massachusetts-based brokerage firm MSI Financial Services, also known as MetLife Securities, was recently sanctioned by…
Rank this Week: 1740

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/
  • Jun 20

    Dolgopolov on High-Frequency Trading

    Dolgopolov on High-Frequency Trading
    Stanislav Dolgopolov has posted Securities Fraud Embedded in the Market Structure Crisis: High-Frequency Traders as Primary Violators on SSRN with the following abstract: This Article analyzes approaches to attaching liability for securities…
  • Jun 20

    NASAA Announces Agenda and Speakers for Cybersecurity Roundtable on June 23rd

    NASAA Announces Agenda and Speakers for Cybersecurity Roundtable on June 23rd
    Details available here.
  • Jun 20

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: Ilya Beylin, Taxing Fictive Orders: How an Information-Forcing Tax Can Reduce Manipulation and Distortion in Financial Product Markets, 85…
Rank this Week: 790

Securities Lawyer 101

Securities Lawyer 101

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

https://www.securitieslawyer101.com/blog/
  • Jan 23

    SEC Final Judgment Entered Against Graduate Leverage

    SEC Final Judgment Entered Against Graduate Leverage
    Going Public LawyerOn December 23, 2016, the United States District Court for the District of Massachusetts entered final judgments against Graduate Leverage, LLC, GL Capital Partners, LLC, GL Investment Services, LLC, Taft Financial…
  • Jan 22

    Final Judgment Entered Against Gregg Mulholland Posted by Brenda Hamilton

    Final Judgment Entered Against Gregg Mulholland Posted by Brenda Hamilton
    Going Public LawyerOn January 11, 2017, the U.S. District Court for the Eastern District of New York entered a final judgment against defendant Gregg R. Mulholland, a penny stock promoter charged in an SEC action with illegally selling more…
  • Jan 21

    Final Judgment Entered in “Prime Bank” Fraud – By: Brenda Hamilton

    Final Judgment Entered in “Prime Bank” Fraud – By: Brenda Hamilton
    Going Public LawyerOn January 13, 2017, the U.S. District Court for the District of Minnesota entered a final judgment against Minnesota resident James M. Louks and his company, FiberPoP Solutions, Inc. Louks and FiberPoP are defendants in an…
Rank this Week: 248

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Jun 22

    Advisor Aaron Robert Parthemer Subject to New Customer Allegation

    Advisor Aaron Robert Parthemer Subject to New Customer Allegation
    Gana LLP is investigating new customer complaints filed with the Financial Industry Regulatory Authority (FINRA) against broker Aaron Robert Parthemer (Parthemer). Our firm has been investigating Parthemer since 2015, when Parthemer was…
  • Jun 21

    UBS Broker Margaret Lech-Loubet Subject to Customer Complaints Over Energy Related Investment

    UBS Broker Margaret Lech-Loubet Subject to Customer Complaints Over Energy Related Investment
    The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Margaret Lech-Loubet (Lech-Loubet).  According to BrokerCheck records…
  • Jun 21

    Broker Henry Watson Barred By FINRA Over Securities Practice

    Broker Henry Watson Barred By FINRA Over Securities Practice
    The securities lawyers of Gana LLP are investigating customer complaints and a FINRA enforcement action with The Financial Industry Regulatory Authority’s (FINRA) against broker Henry Watson (Watson). According to BrokerCheck records,…
Rank this Week: 171

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/
  • Jun 20

    Report Shows 2016 Record-Setting Year for Class Action and SEC Settlement

    Report Shows 2016 Record-Setting Year for Class Action and SEC Settlement
    Last week, proxy advisory firm Institutional Shareholders Services (“ISS”) published its semi-annual report of the top 100 U.S. securities class action settlements and top 50 SEC settlements of all time, as of December 31, 2016.…
  • Jun 13

    Dodd-Frank Re-Write—the House of Representatives Edition

    Dodd-Frank Re-Write—the House of Representatives Edition
    The House has approved major changes to signature aspects of Dodd-Frank. While those changes are unlikely to survive intact, they are certainly worthy of close attention. We’ve studied the nearly 600-page bill so you don’t have…
  • Jun 6

    Supreme Court Unanimously Limits the SEC’s Ability to Seek Disgorgement

    Supreme Court Unanimously Limits the SEC’s Ability to Seek Disgorgement
    This week, the United State Supreme Court finally resolved a circuit split and unanimously held that SEC actions seeking to disgorge ill-gotten gains are subject to a five-year statute of limitations on civil fines, penalties or forfeitures…
Rank this Week: 924

Securities Mining Law

Securities Mining Law

Covers securities law affecting the mining industry in Canada.

http://www.securitiesmininglaw.com/
  • Oct 21

    Mining M&A and Consolidation: Are We There Yet?

    Mining M&A and Consolidation: Are We There Yet?
    For a third consecutive year, Dentons is proud to support the Mining & Investment Latin America Summit (MILA), the largest mining and investment event in Latin America, which was incepted in 2014. This year’s summit will host an…
  • Jun 9

    Compliance alert: Mine Financial Security, Reclamation and Closure Policy by Yukon Government

    Compliance alert: Mine Financial Security, Reclamation and Closure Policy by Yukon Government
    The Yukon Territorial Government has published a “Yukon Quartz Mine Financial Security, Reclamation and Closure Policy,” dated February 2016 (Policy). The Policy is intended to cover all lands in Yukon, whether Category…
  • May 20

    Insolvency and energy insights: The Redwater decision

    Insolvency and energy insights: The Redwater decision
    An Alberta court has held that provisions of the Bankruptcy and Insolvency Act allowing a trustee or receiver to disclaim real property without assuming environmental  liabilities in relation thereto renders inoperable provincial…
Rank this Week: 3702

Sharesleuth.com

Sharesleuth.com

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

http://sharesleuth.com/
Rank this Week: 105

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/
  • Dec 22

    F-Squared hit with $35M SEC penalty

    F-Squared hit with $35M SEC penalty
    Originally posted on America's Markets:Fast-growing money management firm F-Squared has agreed to pay $35 million and admit wrongdoing for defrauding investors with false ads about the firm’s flagship product, a federal regulator…
  • 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…
Rank this Week: 3626

Special Situations Law

Special Situations Law

By Norton Rose Fulbright. Covers shareholder activist and defence mandates, as well as complex reorganization transactions.

http://www.specialsituationslaw.com/
Rank this Week: 602

Startup Law Blog

Startup Law Blog

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

http://www.startuplawblog.com/
  • Sep 17

    Chip-and-PIN (EMV) Credit Card Liability Shift is Oct. 1: Are You Ready?

    Chip-and-PIN (EMV) Credit Card Liability Shift is Oct. 1: Are You Ready?
    October 1 is right around the corner. Merchants, retailers, hotels and restaurants: are you ready for what’s in your customers’ wallets? Starting next month, the payment card industry’s transition to chip-and-PIN (also known…
  • Apr 27

    Join Us at Pacific Rim M&A Institute This Wednesday

    Join Us at Pacific Rim M&A Institute This Wednesday
    Please join us for the Pacific Rim M&A Institute’s next session. This quarter’s program features Port of Seattle CEO, Ted J. Fick, who will discuss how the Port contributes to our region’s economy. We look forward to…
  • Dec 18

    Revenue Lending

    Revenue Lending
    I recently had the chance to sit down with BJ Lackland, the CEO of Lighter Capital, to talk about life, revenue loans, and Lighter Capital. Below is a transcript of most of our talk. – JW: BJ, what’s the first … Continue…
Rank this Week: 3719

Stock Attorneys Blog

Stock Attorneys Blog

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

http://www.stockattorneysblog.com/
Rank this Week: 4369

Stock Broker Attorney Blog

Stock Broker Attorney Blog

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

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

    Man Sentence to 18-Months for Investment Scam

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

    SEC Charges Unlicensed Man with Scamming Investor

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

    Broker Barred from Practice for Stealing from Elderly

    Broker Barred from Practice for Stealing from Elderly
    Jeffrey McClure, a former employee of Wells Fargo Advisors and an affiliated bank in California, was recently barred from the securities industry after stealing almost $89,000 from an elderly customer. Between December 2012 and August 2014,…
Rank this Week: 1107

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: 276

Stock Market Loss

Stock Market Loss

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

http://www.stockmarketloss.com/news/
  • May 19

    Customers of Winston Wade Turner Claim Securities Fraud

    Customers of Winston Wade Turner Claim Securities Fraud
    Stock Market Loss securities attorneys are investigating allegations against Winston Wade Turner, a previously registered broker who has been barred by the Financial Industry Regulatory Authority. Turner is prohibited from serving as a broker…
  • May 19

    Customer Disputes Against Merrill Lynch Broker Sylvester Knox

    Customer Disputes Against Merrill Lynch Broker Sylvester Knox
    Sylvester Knox, a broker and investment adviser with eight different firms over 27 years, is under investigation for a variety of alleged violations . The attorneys at Stock Market Loss are investigating claims against Knox. Since January…
  • May 19

    Customers of Andrew Todd Yocum Allege Unsuitable Investment

    Customers of Andrew Todd Yocum Allege Unsuitable Investment
    Securities attorneys Jay H. Salamon and Hugh D. Berkson of McCarthy, Lebit, Crystal & Liffman represent clients who lost money as the result of Ponzi schemes, investment fraud, and other broker misconduct. They are investigating the…
Rank this Week: 3575

Strictly Business

Strictly Business

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

http://www.strictlybusinesslawblog.com/
  • Jun 12

    Convertible Equity Options for Startups: SAFEs and KISSe

    Convertible Equity Options for Startups: SAFEs and KISSe
    When it comes to raising capital to get your new business off the ground, there’s a range of investment structures available, from common stock to exchangeable shares. One of the newer and most popular forms of financing for startups is…
  • May 24

    Managing Conflicts of Interest in Private Equity and Venture Capital Fund

    Managing Conflicts of Interest in Private Equity and Venture Capital Fund
    Since the Securities and Exchange Commission has recently taken an increasingly closer look at the activities of private equity and venture capital fund managers, it is more important than ever for fund managers to understand when conflicts…
  • May 16

    Pre-Money Valuation vs. Post-Money Valuation

    Pre-Money Valuation vs. Post-Money Valuation
    The concept of pre-money valuation vs. post-money valuation can be a confusing one at first for many startup founders. Pre-money valuation refers to the valuation of the company prior to the investment whereas post-money valuation refers to…
Rank this Week: 2948

Subject to Inquiry

Subject to Inquiry

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

http://www.subjecttoinquiry.com/
  • Jun 19

    Debt Collector Defined: Supreme Court Exempts Debt Purchaser

    Debt Collector Defined: Supreme Court Exempts Debt Purchaser
    On behalf of a unanimous Supreme Court, Justice Neil Gorsuch delivered his first opinion on June 12 to determine whether debt purchasers fall within the statutory language under the Fair Debt Collection Practices Act (FDCPA) as debt…
  • Jun 7

    U.S. Supreme Court Indirectly Limits Important Component of DOJ’s FCPA Pilot Program

    U.S. Supreme Court Indirectly Limits Important Component of DOJ’s FCPA Pilot Program
    On June 5, 2017, the U.S. Supreme Court unanimously held in Kokesh v. Securities and Exchange Commission, No. 16-529, that the SEC may not reach beyond the general five year statute of limitations period in order to obtain “ill-gotten…
  • Jun 6

    U.S. Supreme Court Rules Time Limits Apply to SEC Disgorgement Order

    U.S. Supreme Court Rules Time Limits Apply to SEC Disgorgement Order
    A unanimous United States Supreme Court held Monday, in Kokesh v. Securities and Exchange Commission, that the five-year statute of limitations under 28 U.S.C. § 2462 applies to disgorgement sought by the Securities and Exchange…
Rank this Week: 1802

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

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

    The Outset of the Fraud

    The Outset of the Fraud
    If an individual defendant’s stock trading took place pursuant to a pre-determined Rule 10b5-1 trading plan that was entered into before the outset of the alleged fraud, the use of the trading plan may undermine any inference that…
  • May 9

    Not Just For Section 11 Claim

    Not Just For Section 11 Claim
    In its Omnicare decision, the U.S. Supreme Court held that opinions presented in registration statements can be subject to liability under Section 11 of the Securities Act of 1933 if either (a) the opinion was not…
  • Apr 14

    Frivolity

    Frivolity
    Among other reforms, the Private Securities Litigation Reform Act of 1995 (“PSLRA”) requires that upon final adjudication of a federal securities action, the court shall include in the record “specific findings regarding…
Rank this Week: 741

The California Securities…

The California Securities Attorneys

By Bruce E. Methven and Kenneth A. Priore. Covers securities offerings.

http://thecaliforniasecuritiesattorneys.com/
  • Feb 9

    Marketing Your Offering by Bruce E. Methven

    Marketing Your Offering by Bruce E. Methven
    The truth about marketing your securities offering is that you have to find investors yourself. Venture capital firms invest in only a tiny percentage of the companies that approach them. Groups that involve angel investors may work, but…
  • Oct 28

    Report on Crowdfunding by Bruce E. Methven

    Report on Crowdfunding by Bruce E. Methven
    Crowdfunding via approved internet portals became available in May of this year. So far companies have been averaging about $800 per investor and may have hundreds of investors. That’s a lot of small investors to deal with. Many…
  • May 13

    Running Another Offering With a Crowdfunding Offer by Bruce E. Methven

    Running Another Offering With a Crowdfunding Offer by Bruce E. Methven
    This is part of a series on crowdfunding; this part covers running another offer simultaneously with a crowdfunding offer. Again, true crowdfunding — offerings of stock, LLC units and promissory notes — becomes available on May…
Rank this Week: 1317

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: 261

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: 3937

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: 2120

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/
Rank this Week: 30

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 13

    Don’t stop B-lievin’: A “Journey” into benefit corporation

    Don’t stop B-lievin’: A “Journey” into benefit corporation
    When you think of corporations, you think “maximize profits for shareholders”. This notion is being turned on its head as a growing sustainable business movement asks: “Can we look to factors in addition to profit to measure…
  • Jun 12

    The CAMs are coming and other enlightened enhancements courtesy of the PCAOB

    The CAMs are coming and other enlightened enhancements courtesy of the PCAOB
    Earlier this month, after seven years of threats, the PCAOB adopted rules to drastically change the standard auditor’s report. In adopting the rules, the PCAOB noted that the standard auditor’s report had largely remained…
  • Jun 11

    Ducks and monkey

    Ducks and monkey
    A few weeks ago, The Wall Street Journal reported that two former directors of Theranos – the embattled blood testing company – “did not follow up on public allegations that…the firm was relying on standard technology…
Rank this Week: 3653

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 22

    Ladenburg Thalmann & Co. Censured and Fined

    Ladenburg Thalmann & Co. Censured and Fined
    FINRA Fines Broker Dealer Ladenberg Thalman & Co. for Data Compliance Issues According to the Financial Industry Regulatory Authority, Ladenburg Thalmann & Co. (CRD #505, New York, New York) submitted an AWC in which the firm was…
  • Jun 21

    Sterne Agee Financial Services Censured & Fined

    Sterne Agee Financial Services Censured & Fined
    FINRA Fines Sterne Agee Financial Services for Compliance Issues According to FINRA, Sterne Agee Financial Services (CRD #18456, Birmingham, Alabama) submitted an AWC in which the firm was censured and fined $122,500. Without admitting or…
  • Jun 21

    Citizens Securities Censured and Fined

    Citizens Securities Censured and Fined
    FINRA Fines MA Investment Advisory Firm, Citizens Securities According the Financial Industry Regulatory Authority, Citizens Securities, Inc. (CRD #39550, Dedham, Massachusetts) submitted an AWC in which the firm was reportedly censured,…
Rank this Week: 119

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Jun 22

    Annual Meetings: Not What They Used To Be? (A Firsthand Account)

    Annual Meetings: Not What They Used To Be? (A Firsthand Account)
    At the risk of depressing our resident “Annual Meeting Fanboy” – this Joe Nocera article is notable just because the mainstream media doesn’t report much on the state of annual meetings. Joe attended four meetings…
  • Jun 21

    Corp Fin’s New Deputy Director: Rob Evan

    Corp Fin’s New Deputy Director: Rob Evan
    Yesterday, the SEC announced that Rob Evans will serve as a Deputy Director for Corp Fin – joining existing Deputy Director Shelley Parratt (Rob will head the “Legal & Regulatory Policy” side; Shelley will continue to…
  • Jun 20

    Our “Women’s 100” Events: 5 Things I Learned

    Our “Women’s 100” Events: 5 Things I Learned
    Recently, we held the 4th Annual “Women’s 100 Conferences” – in both Palo Alto & New York City. I’ve been attending these from the beginning & this year’s continued to live up to the hype! Here are…
Rank this Week: 2126

Tim O'Connor's Blog

Tim O'Connor's Blog

Covers stockbroker fraud.

http://stockbrokerlaw.com/tim-oconnors-blog
  • May 23

    FINRA Issues Guidance on SEC Approved Rules to Prevent Exploitation of Senior Citizen

    FINRA Issues Guidance on SEC Approved Rules to Prevent Exploitation of Senior Citizen
    The Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 17-11 offering guidance on new SEC guidelines and approvals, including the adoption of FINRA Rule 2165 (Financial Exploitation of Specified Adults). This new…
  • May 16

    FINRA Warns Brokers on Social Media and Digital Communication

    FINRA Warns Brokers on Social Media and Digital Communication
    In Regulatory Notice 17-18, the Financial Industry Regulatory Authority (FINRA) issued addressed the obligations of FINRA member firms and persons when utilizing social media and digital communications. The Regulatory Notice contains…
  • May 4

    Trends in Supervisory and Clearing Firm Liability

    Trends in Supervisory and Clearing Firm Liability
    On April 6, 2017, Tim O’Connor presented at the 2017 Securities Arbitration and Mediation Continuing Legal Education Presentation of the New York State Bar Association at the New York Society of Security Analysts (NYSSA), 1540 Broadway,…
Rank this Week: 313

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: 4057

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
  • Jun 7

    Supreme Court Limits SEC Ability to Seek Disgorgement

    Supreme Court Limits SEC Ability to Seek Disgorgement
    This guest post was authored by our colleague Ernest D. Holtzheimer, an associate in the firm’s Litigation Department, where he combines an active litigation practice with a transactional and business advisory practice. He also…
  • Dec 7

    Insider Trading and Brotherly Love at the Supreme Court

    Insider Trading and Brotherly Love at the Supreme Court
    Yesterday, the Supreme Court of the United States decided Salman v. United States, wading into the “personal benefit” requirement necessary to establish criminal insider trading liability.  Justice Alito, writing for a…
  • Dec 7

    Insider Trading and Brotherly Love at the Supreme Court

    Insider Trading and Brotherly Love at the Supreme Court
    Yesterday, the Supreme Court of the United States decided Salman v. United States, wading into the “personal benefit” requirement necessary to establish criminal insider trading liability.  Justice Alito, writing for a…
Rank this Week: 2758

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: 4354