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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: 207

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: 1629

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • Apr 17

    Fox’s Frank Razzano Publishes New Securities Article in Securities Regulation Law Journal

    Fox’s Frank Razzano Publishes New Securities Article in Securities Regulation Law Journal
    Our partner, Frank C. Razzano, has recently published an article, entitled “What Lies Ahead: Halliburton v. Erica P. John Fund, Inc.,” in the Securities Regulation Law Journal (Spring 2015).  It is a great article…
  • Apr 16

    The DOL Proposes A Fiduciary Duty Rule; Is This The Beginning Of The End

    The DOL Proposes A Fiduciary Duty Rule; Is This The Beginning Of The End
    The Department of Labor delivered on a longstanding but controversial promise when it recently proposed a fiduciary duty rule for all brokers who work with retirement accounts. The primary purpose of the proposed rule is avoidance of…
  • Apr 14

    So Who Wants To Give A Vendor Access To Your IT System

    So Who Wants To Give A Vendor Access To Your IT System
    At one time or another, member firms will likely need the services of an outside vendor. This may be particularly true for smaller member firms. Outside vendors have their place, but FINRA’s Report on Cybersecurity Practices details…
Rank this Week: 417

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/
  • Apr 15

    Labor Department Proposes New Rule Imposing Fiduciary Duty on Broker

    Labor Department Proposes New Rule Imposing Fiduciary Duty on Broker
    In what has become a hot issue this Spring, the Labor Department yesterday proposed a new set of standards for brokers who offer advice in connection with 401(k)’s and other retirement accounts. Currently, brokers are required only to…
  • Apr 10

    Concern Mounts Over the Lack of a Rule Imposing a Fiduciary Duty on Broker

    Concern Mounts Over the Lack of a Rule Imposing a Fiduciary Duty on Broker
    I noted in my March 20 post that the Chair of the SEC had just come out in favor of a rule requiring brokers to act in their clients best interests. While investors wait for the SEC to move forward on the issue, the New York City…
  • Apr 10

    Broker Dealers Try to Avoid FINRA Arbitration: Heads I Win, Tails You Lose

    Broker Dealers Try to Avoid FINRA Arbitration: Heads I Win, Tails You Lose
    There has been a spate of litigation in recent years over whether broker dealers can contract out of FINRA arbitration and litigate in court instead. Goldman, Sachs & Co. v. Golden Empire Schools Financing Authority, 764 F.3d 210 (2d Cir.…
Rank this Week: 2571

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: 2095

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 13

    SEC Fines Company for Stifling Whistleblower

    SEC Fines Company for Stifling Whistleblower
    Whistleblowers, and the SEC's Whistleblower program, are a large part of the Dodd-Frank Act. The SEC believes that information from a whistleblower who knows of possible securities law violations can be among the most powerful weapons in…
  • Mar 19

    Corporate Insiders Individually Charged for Failing to Update SEC Filing

    Corporate Insiders Individually Charged for Failing to Update SEC Filing
    While we all understand that registered individuals rely on their firms to update their required filings, so do corporate officers and shareholders. The problem is that the individuals are still personally responsible for the updates - and…
  • Mar 16

    SEC News - FCPA Violations, Trade Suspensions, Whistleblower Award

    SEC News - FCPA Violations, Trade Suspensions, Whistleblower Award
    Goodyear Charged With FCPA ViolationsGoodyear Tire & Rubber Company has been charged with violating the Foreign Corrupt Practices Act (FCPA) when its subsidiaries paid bribes to land tire sales in Kenya and Angola.SEC Halts Ponzi-Like…
Rank this Week: 641

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/
  • Apr 10

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: Derek Fischer, Note, Dodd-Frank's Failure to Address CFTC Oversight of Self-Regulatory Organization Rulemaking, 115 Colum. L. Rev. 69…
  • Apr 4

    Assistant Director of the Center for Transactional Law and Practice Emory Law School

    Assistant Director of the Center for Transactional Law and Practice Emory Law School
    Bobby Ahdieh (Emory) forwarded me this announcement about a position in Emory's outstanding Center for Transactional Law and Practice: Emory Law School seeks an Assistant Director of the Center for Transactional Law and Practice to teach in…
  • Apr 4

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: Adam Adler, Student Article, High Frequency Regulation: A New Model for Market Monitoring, 39 Vt. L. Rev. 161 (2014). Vladimir Atanasov,…
Rank this Week: 402

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…
  • Jan 1

    Going Public Blog l Securities Lawyer 101

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

    Going Public Blog l Securities Lawyer 101

    Going Public Blog l Securities Lawyer 101
    Going Public Lawyer  Securities Lawyer 101 Blog Going public is a big step for any company.  The process of “going public” is complex and at times precarious.  While going public offers many benefits it also comes…
Rank this Week: 60

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
Rank this Week: 901

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: 3892

Securities Mining Law

Securities Mining Law

Covers securities law affecting the mining industry in Canada.

http://www.securitiesmininglaw.com/
  • Apr 13

    Mining Issuers: Ensure your Websites and Investor Presentations Comply with NI 43-101

    Mining Issuers: Ensure your Websites and Investor Presentations Comply with NI 43-101
    Mining issuers have their qualified persons (“QPs”) and occasionally legal counsel review technical disclosure, including news releases and technical reports, to ensure they comply with National Instrument 43-101 Standards of…
  • Mar 3

    Welcome Tax Measures Announced at the PDAC 2015 Convention

    Welcome Tax Measures Announced at the PDAC 2015 Convention
    On Sunday March 1, 2015, the Honourable Joe Oliver, Federal Minister of Finance addressed the Prospectors & Developers Association of Canada (“PDAC”) at the annual PDAC Convention in Toronto and announced certain proposals…
  • Feb 23

    PDAC

    PDAC
    Only going to one mining investment show? Make it this one. PDAC International Convention, Trade Show & Investors Exchange is the world’s leading Convention for people, companies and organizations in, or connected with, mineral…
Rank this Week: 2035

Sharesleuth.com

Sharesleuth.com

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

http://sharesleuth.com/
  • Feb 4

    Trick Play: Memorabilia company peddled Patriots, Seahawks gear with forged player autograph

    Trick Play: Memorabilia company peddled Patriots, Seahawks gear with forged player autograph
      Just days after the Seattle Seahawks and New England Patriots claimed their spots in Super Bowl XLIX, a memorabilia company called The Highland Mint contacted customers with a tantalizing list of autographed collectibles. Highland…
  • Dec 31

    Kandi Technologies Group Inc.: Where are the Go-Karts?

    Kandi Technologies Group Inc.: Where are the Go-Karts?
    When the global economy collapsed in the fall of 2008, the sharp drop in consumer spending threw the power sports industry into a steep decline. Sales of motorcycles, go-karts and all-terrain vehicles each plunged by 30 percent or more,…
  • Oct 7

    Kandi Technologies Group Inc.: The return of the cyber shill

    Kandi Technologies Group Inc.: The return of the cyber shill
    Last June, shares of Kandi Technologies Group Inc. (Nasdaq: KNDI) doubled in the space of a week, spurred on by a mysterious network of social-media touters who later deleted their posts or shut down their accounts…
Rank this Week: 1197

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: 3997

Startup Law Blog

Startup Law Blog

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

http://www.startuplawblog.com/
  • 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…
  • Nov 28

    Current Funding Trends and Capital Raising Tip

    Current Funding Trends and Capital Raising Tip
    How Are You Planning to Fund Your Big Idea in 2015? Due to cheaper tools, the cost of getting a startup off the ground has markedly decreased over the past dozen or so years. However, despite lower costs, it can … Continue reading…
  • Nov 4

    Crowdfunding Industry Panel

    Crowdfunding Industry Panel
    Earlier this year Governor Jay Inslee signed HB 2023 into law making equity Crowdfunding legal in Washington State and giving startups an innovative new way to raise funds. Under the bipartisan measure, a Washington business could raise up to…
Rank this Week: 4017

Stock Attorneys Blog

Stock Attorneys Blog

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

http://www.stockattorneysblog.com/
  • Aug 18

    LPL Financial Fraught with Allegations of Supervisory Failure

    LPL Financial Fraught with Allegations of Supervisory Failure
    Advisor Independence Achilles Heel for Gigantic Investment Organization LPL Financial is one of the nation’s largest broker/dealer investment firms, yet it is not an investment firm in the traditional sense. Whereas most investment…
  • Aug 12

    Total Wealth Management Sanctions Kickback

    Total Wealth Management Sanctions Kickback
    Top Executives Foster Flagrant Fraud Practices It goes without saying that there is a lot of money to be made in the investment industry. Even when investment firms and advisors follow the rules that govern the industry, they stand to earn…
  • Aug 4

    U.S. Attorney’s Office Files Parallel Action in Response to Previous CFTC Fraud Charge

    U.S. Attorney’s Office Files Parallel Action in Response to Previous CFTC Fraud Charge
    The types of investments that one can invest in are nearly as diverse as the brokers who trade them and the investors who invest in them. One such investment practice is commodity futures pools. This type of investment is a private…
Rank this Week: 4584

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: 2018

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 14

    FINRA Bars Owner of Broker-Dealer, Seller of Illiquid Equipment-Leasing Funds for Misusing Investor Money

    FINRA Bars Owner of Broker-Dealer, Seller of Illiquid Equipment-Leasing Funds for Misusing Investor Money
    The Financial Industry Regulatory Authority has barred the owner of Commonwealth Capital Corp. from the securities industry. Kimberly Springsteen-Abbott is accused of misusing investor funds. Commonwealth Capital Securities Corp., a…
  • Apr 11

    Pacific West Faces SEC Fraud Charges Over Life Settlement

    Pacific West Faces SEC Fraud Charges Over Life Settlement
    The Securities and Exchange Commission is charging Pacific West Capital Group Inc. with securities fraud and other violations. The regulator contends that the investment firm and its owner, Andrew B. Calhoun IV, misled clients about life…
  • Apr 8

    SEC Sues Ex-New York Giants Cornerback Over Alleged Ponzi Scam

    SEC Sues Ex-New York Giants Cornerback Over Alleged Ponzi Scam
    The U.S. Securities and Exchange Commission is suing a former New York Giants player for allegedly helping to run a Ponzi scam. According to the regulator, Will Allen and his business partner Susan Daub raised over $31 million from investors,…
Rank this Week: 876

Stock Market Loss

Stock Market Loss

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

http://www.stockmarketloss.com/news/
  • Apr 3

    Merrill Lynch Axes $1.3 Billion Broker Thomas Buck for Alleged Abuse

    Merrill Lynch Axes $1.3 Billion Broker Thomas Buck for Alleged Abuse
    This article was originally posted on Stock Market Loss An Investment News article reports today that Thomas J. Buck, who was Merrill Lynch’s top financial adviser in Indiana by assets under management – reportedly $1.3 billion…
  • Mar 31

    Stockbroker Does Not Have a Fiduciary Duty to an Investor

    Stockbroker Does Not Have a Fiduciary Duty to an Investor
    This article was originally posted on Stock Market Loss The relationship that an investor has with his or her stockbroker is considered by most to be one of absolute trust. An investor entrusts a significant amount of his or her hard earned…
  • Mar 9

    Can a Stock Broker or Investor Be Sued?

    Can a Stock Broker or Investor Be Sued?
    This article was originally posted on Stock Market Loss Losing money in the stock market is not unheard of; many investors may even expect it. However, some investors may find that the loss they experience is not necessarily due to the…
Rank this Week: 3884

Strictly Business

Strictly Business

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

http://www.strictlybusinesslawblog.com/
  • Mar 24

    Venture Capital Term Sheet Negotiation — Part 20: Founders’ Stock

    Venture Capital Term Sheet Negotiation — Part 20: Founders’ Stock
    This post is the twentieth in a series giving practical advice to startups with respect to understanding and negotiating a venture capital term sheet. In the prior nineteen posts, we provided an introduction to negotiation…
  • Feb 5

    Venture Capital Term Sheet Negotiation — Part 19: Board Matter

    Venture Capital Term Sheet Negotiation — Part 19: Board Matter
    This post is the nineteenth in a series giving practical advice to startups with respect to understanding and negotiating a venture capital term sheet. In the prior eighteen posts, we provided an introduction to…
  • Jan 14

    Venture Capital Term Sheet Negotiation — Part 18: Non-Disclosure and Developments Agreement

    Venture Capital Term Sheet Negotiation — Part 18: Non-Disclosure and Developments Agreement
    This post is the eighteenth in a series giving practical advice to startups with respect to understanding and negotiating a venture capital term sheet. In the prior seventeen posts, we provided an introduction to…
Rank this Week: 1172

Subject to Inquiry

Subject to Inquiry

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

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

    Rogue Agency or Champion of Consumers? House Votes for CFPB Transparency

    Rogue Agency or Champion of Consumers? House Votes for CFPB Transparency
    A common complaint against the CFPB is that the agency wields too much power without enough accountability. House Financial Services Committee Chairman Jeb Hensarling recently described the CFPB as “single most powerful and least…
  • Apr 16

    Will Judge Rakoff Get His Wish? – Changes to Federal Sentencing Guidelines May Alter the Plea Bargaining Proce

    Will Judge Rakoff Get His Wish? – Changes to Federal Sentencing Guidelines May Alter the Plea Bargaining Proce
    In an article last fall, U.S. District Judge Jed Rakoff lamented the prevalence and process of plea bargaining in today’s criminal justice system.  While plea bargains currently resolve an estimated 97 percent of federal…
  • Apr 16

    CFPB Continues Focus on Mortgage Lender Advertising

    CFPB Continues Focus on Mortgage Lender Advertising
    Last week, the CFPB announced an enforcement action against RMK Financial Corporation d/b/a Majestic Home Loans (RMK) related to deceptive mortgage advertising practices. This enforcement action is the most recent in a series of enforcement…
Rank this Week: 1913

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Apr 17

    Creating Your Own Losse

    Creating Your Own Losse
    Under the PSLRA, the presumptive lead plaintiff in a securities class action is the applicant with the “largest financial interest in the relief sought by the class.”  The largest financial interest is measured by assessing…
  • Mar 25

    Omnicare Decided

    Omnicare Decided
    The U.S. Supreme Court has issued a decision in the Omnicare case holding that opinions presented in registration statements can be subject to Section 11 liability if either (a) the opinion was not genuinely held, or (b) the registration…
  • Mar 20

    The Streak Is Over

    The Streak Is Over
    Plaintiffs in securities class actions often point to insider trades as evidence that the individual defendants had a pecuniary motive to commit fraud.   But if the plaintiffs do not make any allegations related to insider…
Rank this Week: 1182

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 16

    Securities Litigation Developments Outside the U.S.: Interview with Shareholder Attorney Alexander Reu

    Securities Litigation Developments Outside the U.S.: Interview with Shareholder Attorney Alexander Reu
    Among the more interesting recent securities litigation developments outside the United States was the announcement earlier this month that institutional investors had reached a 11 billion yen ($92 million) settlement of shareholder lawsuits…
  • Apr 15

    Are Event Studies in Securities Litigation Reliable?

    Are Event Studies in Securities Litigation Reliable?
    In its June 2014 opinion in the Halliburton case, the U.S. Supreme Court held that securities lawsuit defendants may introduce evidence at the class certification stage to try to show that the alleged misrepresentation on which the plaintiffs…
  • Apr 14

    Guest Post: The SEC Continues to Turn Up the Heat on Private Equity

    Guest Post: The SEC Continues to Turn Up the Heat on Private Equity
    In the following guest post,  Elan Kandel, who is a member of the Cozen O’Connor law firm, takes a look at the SEC’s recent investigative interest in the way private equity firms disclose their fees. He also reviews the…
Rank this Week: 470

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: 1895

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: 2916

The Race to the Bottom

The Race to the Bottom

A faculty-student collaboration on corporate governance. By Professor J. Robert Brown, Jr.

http://www.theracetothebottom.org/
  • Aug 28

    The SEC and Administrative Proceedings (Part 2)

    The SEC and Administrative Proceedings (Part 2)
    We are discussing some of the issues raised by Peter Henning in his DealBook column, The S.E.C.’s Use of the ‘Rocket Docket’ Is Challenged.   In any event, the limits on discovery, the fact that ALJ decisions are…
  • Aug 26

    The SEC and Administrative Proceedings (Part 1)

    The SEC and Administrative Proceedings (Part 1)
    Peter Henning wrote an interesting piece over at DealBook on the SEC's use of administrative proceedings in place of actions in federal district court.  See The S.E.C.’s Use of the ‘Rocket Docket’ Is Challenged.…
  • Aug 26

    Morrison, the Second Circuit, and the Reverse Effects Test: ParkCentral Global Hub Limited v. Porsche Automobile Holdings (Part 2)

    Morrison, the Second Circuit, and the Reverse Effects Test: ParkCentral Global Hub Limited v. Porsche Automobile Holdings (Part 2)
    We are discussing the Second Circuit's decision in ParkCentral Global Hub Limited v. Porsche Automobile Holdings, a case that effectively created a "reverse effects test" that was contrary to the Supreme Court's analysis…
Rank this Week: 81

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 17

    A high mark (would you believe an A+?) for the SEC

    A high mark (would you believe an A+?) for the SEC
    Posted By: Robert B. Lamm I’ve done my share of griping about the SEC, but credit needs to be given where credit is due. And credit is due to the SEC for adopting a new, improved version of Regulation A that has become known as…
  • Apr 13

    CEO pay ratios: ineffective disclosure on steroid

    CEO pay ratios: ineffective disclosure on steroid
    Posted By: Robert B. Lamm On Sunday, April 12, the Business section of the New York Times led with an article by Gretchen Morgenson taking the SEC to task for not having adopted rules requiring disclosure of CEO pay ratios. This follows…
  • Apr 12

    Does governance matter?

    Does governance matter?
    Posted By: Robert B. Lamm I’m a governance nerd. I really believe that corporate governance is important, that it makes a difference, and that there is such a thing as good governance – though I don’t believe that one size…
Rank this Week: 2097

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

    Investigation Involving Summit Healthcare REIT

    Investigation Involving Summit Healthcare REIT
    Have you suffered investment losses in Summit Healthcare REIT, formerly Cornerstone Core Properties? If so, The White Law Group may be able to help you recover your losses through FINRA arbitration. Summit Healthcare REIT is a real estate…
  • Apr 17

    Investigation Involving CNL Growth Propertie

    Investigation Involving CNL Growth Propertie
    Have you suffered investment losses in CNL Growth Properties? If so, The White Law Group may be able to help you recover your losses through FINRA arbitration. Inland American is a real estate investment trust incorporated in December 2008.…
  • Apr 17

    Investigation Involving Inland Behringer Harvard Opportunity REIT

    Investigation Involving Inland Behringer Harvard Opportunity REIT
    Have you suffered investment losses in Behringer Harvard Opportunity REIT? If so, The White Law Group may be able to help you recover your losses through FINRA arbitration. Behringer Harvard Opportunity REIT is a real estate investment trust…
Rank this Week: 259

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Apr 17

    Cybersecurity: Another Verizon Report & More

    Cybersecurity: Another Verizon Report & More
    Like last year, Verizon has put out a new “2015 Data Breach Investigations Report.” This year’s Verizon report is 69 pages, with a host of useful information as it relies on over 80,000 incidents from 70 organizations for…
  • Apr 16

    Deadline Ends In 1 Week: 33% Early Bird Discount for Our Executive Pay Conference

    Deadline Ends In 1 Week: 33% Early Bird Discount for Our Executive Pay Conference
    You should register soon for our popular conferences – “Tackling Your 2016 Compensation Disclosures: Proxy Disclosure Conference” & “Say-on-Pay Workshop: 12th Annual Executive Compensation Conference” –…
  • Apr 15

    Shareholder Proposals: Wal-Mart No Longer Compelled to Include

    Shareholder Proposals: Wal-Mart No Longer Compelled to Include
    Yesterday, just a week after oral argument, the 3rd Circuit overturned the district court in the much-awaited Trinity Wall Street v. Wal-Mart case. Here’s the news from Skadden: The U.S. Court of Appeals for the Third Circuit issued a…
Rank this Week: 465

Tim O'Connor's Blog

Tim O'Connor's Blog

Covers stockbroker fraud.

http://stockbrokerlaw.com/tim-oconnors-blog
  • Apr 6

    Fifteen Investment Tips for 2015

    Fifteen Investment Tips for 2015
    The Office of Investor Education and Advocacy of the United States Securities and Exchange Commission recently issued an Investor Bulletin entitled, “15 Investment Tips for 2015.” The Bulletin highlights a number of suggestions…
  • Apr 1

    FINRA Issues Cybersecurity Investor Alert

    FINRA Issues Cybersecurity Investor Alert
    On February 3, 2015, FINRA issued an investor alert, entitled “Cybersecurity and Your Brokerage Firm,” outlining the essential questions investors should ask that brokerage firms regarding the safeguarding of their personal…
  • Aug 12

    ERISA Plan Trustees Subject to Offsets for Prohibited Transactions as Functional Fiduciarie

    ERISA Plan Trustees Subject to Offsets for Prohibited Transactions as Functional Fiduciarie
    ERISA-Qualified Pension Plans The past decade has seen an explosion of new investment products being purchased in ERISA-qualified pension plans. These products, including structured products, auction rate notes, private placements, managed…
Rank this Week: 3529

TRACE Blog

TRACE Blog

Covers anti-bribery compliance.

http://traceblog.org/
  • Dec 24

    Top 10 of 2014 – Vote on the Year’s Biggest Compliance Story

    Top 10 of 2014 – Vote on the Year’s Biggest Compliance Story
    It’s been quite a year in the world of anti-bribery compliance.  Here at TRACE, we’ve compiled our “Top 10 List” based on your poll results over the last twelve months. Read through the list below for a look…
  • Dec 19

    Day 10: Online Training

    Day 10: Online Training
    For the final day of our holiday promotion, TRACE is offering one company complimentary access to our online training for one year. Our system administrators will set the winner up with a branded platform to train up to 500…
  • Dec 18

    Day 9: In-Person Training

    Day 9: In-Person Training
    Supplement your training program with a customized, in-person training session conducted by one of our experienced FCPA attorneys. This half-day session will enable one lucky company to train their employees on anti-bribery regulations and…
Rank this Week: 2893

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: 2278

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: 847

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
Rank this Week: 1770

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…
  • Sep 8

    Nu Skin Inventory Red Flags Remain Even After $50 Million Impairment Charge

    Nu Skin Inventory Red Flags Remain Even After $50 Million Impairment Charge
    On July 22, 2014, I warned investors that Utah-based multi-level marketing company Nu Skin Enterprises' (NYSE: NUS) surging inventory levels might lead it "to recognize a material impairment charge against inventory in a future period." On…
Rank this Week: 656

White Collar Wire

White Collar Wire

Covers news, cases, judicial opinions, practical tips and scholarly work regarding white-collar criminal and civil enforcement, grand jury investigations and regulatory compliance. By Jackson R. Sharman, III.

http://jacksharman.com/
  • Apr 15

    The Old College Try, and The New College Tribunal

    The Old College Try, and The New College Tribunal
    In disciplinary proceedings involving claims of sexual assault, universities continue to find themselves in an intolerable situation, caught in a lawyer-triangle of the Department of Education’s Office of Civil Rights,…
  • Mar 28

    White-Collar Felon Registries, Hester Prynne and The Drive-By Trucker

    White-Collar Felon Registries, Hester Prynne and The Drive-By Trucker
    Although one must admire the historicist sensibilities of a state legislature that just reinstated the firing squad  as a methodology for execution, the Utah legislature’s passage of a bill to create a white-collar crime…
  • Mar 20

    The Drinking Reader, Our Cocktails Magazine, Tom Jones and Other Weekend Matter

    The Drinking Reader, Our Cocktails Magazine, Tom Jones and Other Weekend Matter
    White Collar Wire supports cocktails. As part of that effort, I have a magazine on Flipboard called (helpfully) “Cocktails.”  Follow here, read on and use good ice. Two items we focus on — books and cocktails…
Rank this Week: 2444

William Carleton, Counselor @ Law

William Carleton, Counselor @ Law

Covers legal and investment issues facing emerging tech companies.

http://www.wac6.com/wac6/
  • Feb 20

    First Cherry Blossom

    First Cherry Blossom
    Wet and temperate in Seattle this morning. And look, Spring!
  • Feb 9

    Lark & Environ

    Lark & Environ
    Interesting stuff going on at, let's call it 10th and Seneca, about a half block east of Broadway off Madison. Lark has recently moved there, and, based on one dinner experience at the new location, is as good or better...
  • Jan 25

    One Thousand Things Worth Knowing

    One Thousand Things Worth Knowing
    This weekend I've read Paul Muldoon's newly published collection of poems, "One Thousand Things Worth Knowing." (The dust jacket sports a very pleasing design by the ubiquitous Quemadura, a brilliant designer and a kind man I will…
Rank this Week: 603