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Blogs 46 - 80 of 80

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: 3209

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: 4161

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • Feb 11

    The bait and switch is alive and well.

    The bait and switch is alive and well.
    FINRA has issued an investor alert involving high-yield CD offers that are really bait for the sale of a high commission investment. Apparently, FINRA has received calls on its senior hotline making it aware of a sales practice that involves…
  • Feb 3

    Are regulations regarding elder investors inevitable

    Are regulations regarding elder investors inevitable
    With the exception of those of you who have literally been asleep for the last few years, you are well-versed in the attention FINRA and the SEC are giving to issues surrounding elder investors. Among other things, there is a real focus on…
  • Feb 2

    Why system passwords are not as easy as 123

    Why system passwords are not as easy as 123
    As we all know, cybersecurity remains a top priority for the SEC and FINRA. Unfortunately, a recent Investment News article would suggest that firms do not take it as seriously, or, at least, firm employees do not. A recent study of passwords…
Rank this Week: 3788

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/
Rank this Week: 2023

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 with Bill Singer, a show produced by Reuters. Robert speaks about issues concerning the Protocol for broker recruiting and transition issues faced by registered…
  • 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…
Rank this Week: 3638

Securities Law Attorneys Blog

Securities Law Attorneys Blog

Covers securities law. By Fitapelli | Kurta.

http://www.securitieslawattorneys.net/
  • Feb 10

    Richard Crockett (Brookville Capital Broker): Complaint

    Richard Crockett (Brookville Capital Broker): Complaint
    The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding New York-based RF Lafferty & Company broker Richard Crockett (CRD# 1209667). Richard Crockett has spent 23…
  • Feb 10

    Adam Newon (National Securities Broker) Faces Complaint

    Adam Newon (National Securities Broker) Faces Complaint
    The securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against New York-based National Securities Corporation broker Adam Newon (CRD# 5705166). Adam Newon has spent three years in the…
  • Feb 10

    Aegis Capital Broker Shadi Barakat Faces Complaint

    Aegis Capital Broker Shadi Barakat Faces Complaint
    The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding New York-based Aegis Capital broker Shadi Barakat (CRD# 5031281). Shadi “Sean” Barakat has spent…
Rank this Week: 1069

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/
  • Feb 10

    SEC Adopts Cross-Border Security-Based Swap Rules Regarding Activity in the U.S.

    SEC Adopts Cross-Border Security-Based Swap Rules Regarding Activity in the U.S.
    The Securities and Exchange Commission today voted to adopt rules that require a non-U.S. company that uses personnel located in a U.S. branch or office to arrange, negotiate, or execute a security-based swap transaction in connection with…
  • Feb 9

    Electronic Storage Failure Results in $2.6 Million Fine

    Electronic Storage Failure Results in $2.6 Million Fine
    If your firm has not reviewed its electronic storage systems and programs recently, now may be the time. While this is a guess, it seems to me that oversights at one firm cost it $2.6 million in fines.As we all know, the…
  • Feb 9

    SEC Names C. Dabney O’Riordan and Alka Patel as Associate Regional Directors in Los Angeles Office

    SEC Names C. Dabney O’Riordan and Alka Patel as Associate Regional Directors in Los Angeles Office
    The Securities and Exchange Commission today announced that C. Dabney O’Riordan and Alka Patel have been named Associate Directors for Enforcement in the agency’s Los Angeles Regional Office.Ms. O’Riordan began working in…
Rank this Week: 1596

Securities Law Prof Blog

Securities Law Prof Blog

Covers securities arbitration, state securities law, court decisions and law review articles. By Eric C. Chaffee.

http://lawprofessors.typepad.com/securities/
  • Jan 29

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: Weiling Chou, Note, Restoring Integrity in American Businesses: A Broad Interpretation of the Foreign Corrupt Practices Act, 60 Wayne L.…
  • Jan 29

    Candadian Crowdfunding Exemption

    Candadian Crowdfunding Exemption
    The securities regulatory authorities in Manitoba, Ontario, Québec, New Brunswick and Nova Scotia have adopted in final form Multilateral Instrument 45-108, which governs crowdfunding in those jurisdictions. The Canadian Securities…
  • Jan 29

    This Week in Securities Litigation

    This Week in Securities Litigation
    The SEC Actions Blog has compiled This Week In Securities Litigation (Week ending January 29, 2016).
Rank this Week: 94

Securities Lawyer 101

Securities Lawyer 101

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

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

    Going Public Blog l Securities Lawyer 101

    Going Public Blog l Securities Lawyer 101
    Going Public 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…
  • Jan 1

    Going Public Blog l Securities Lawyer 101

    Going Public Blog l Securities Lawyer 101
      Securities Lawyer 101 Blog Going public is a big step for any company.  The process of “going public” is complex and at times precarious.  While going public offers many benefits it also comes with risks and…
Rank this Week: 993

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Feb 11

    Investors File Non-Traded REIT Complaints Against Broker Nancy Daoud

    Investors File Non-Traded REIT Complaints Against Broker Nancy Daoud
    The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Nancy Daoud (Daoud). According to BrokerCheck records Daoud is subject to 6 customer…
  • Feb 11

    Mutual Fund Kayne Anderson MLP Investor Recovery Options (KYN)

    Mutual Fund Kayne Anderson MLP Investor Recovery Options (KYN)
    The investment attorneys with Gana LLP continue to report on investor related losses in oil and gas and commodities related investments. Investors may have potential legal remedies due to unsuitable recommendations by their broker to invest…
  • Feb 11

    Financial Advisor Kevin Tamlyn Accused of Unsuitable Commodities Related Investment

    Financial Advisor Kevin Tamlyn Accused of Unsuitable Commodities Related Investment
    The securities lawyers of Gana LLP are investigating customer complaints involving financial advisor Kevin Tamlyn (Tamlyn) concerning allegations that the investors have been recommended and their accounts have been mismanaged to hold high…
Rank this Week: 111

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: 1028

Securities Mining Law

Securities Mining Law

Covers securities law affecting the mining industry in Canada.

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

    Women on boards: Review and discussion of new “comply or explain” disclosure requirement

    Women on boards: Review and discussion of new “comply or explain” disclosure requirement
    As noted in the September 1, 2015 posting below, recent rule changes have required senior Canadian public companies to disclose their policies and record on the appointment of women as directors and executive officers. Our recent Insight…
  • Sep 30

    New rules for rights offerings could be a game changer

    New rules for rights offerings could be a game changer
    Changes to Canadian securities rules are set to make rights offerings quicker and more cost-effective. Capital-starved resource companies may well be among the main beneficiaries. See our Dentons Insight. …
  • Sep 1

    Securities Law Seminar for the Mining Sector

    Securities Law Seminar for the Mining Sector
    What does the new “Comply or Explain” diversity policy imposed by the Canadian Securities Administrators mean for the mining industry? Since December 31, 2014, the Canadian securities administrators, other than those of British…
Rank this Week: 3540

Sharesleuth.com

Sharesleuth.com

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

http://sharesleuth.com/
  • Nov 22

    SEC expands fraud case to include Lenco Mobile, subject of a prior Sharesleuth investigation

    SEC expands fraud case to include Lenco Mobile, subject of a prior Sharesleuth investigation
    The Securities and Exchange Commission has quietly expanded its fraud case against financier Izak Zirk De Maison, adding seven more people as codefendants and identifying five more stocks he used in his schemes. According to the SEC’s…
  • 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,…
Rank this Week: 1598

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: 3724

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: 3720

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: 4364

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: 1376

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/
  • Dec 31

    Puerto Rico Will Make $330M in Bond Payments, Defaults on About $37M

    Puerto Rico Will Make $330M in Bond Payments, Defaults on About $37M
    The U.S. Commonwealth of Puerto Rico will pay about $330 million of what it owes on general obligation bonds, while defaulting on bonds of approximately $37 million that are mostly owed to the Puerto Rico Infrastructure Financing Authority…
  • Dec 26

    Man Released from Prison Faces New Fraud Charges in $11M Investor Stock Scam

    Man Released from Prison Faces New Fraud Charges in $11M Investor Stock Scam
    The Securities and Exchange Commission is charging Edward Durante with bilking investors once again. Durante, who already served a 10-year sentence for a previous securities fraud conviction, is accused of using different aliases to defraud…
  • Feb 1

    Texas Securities Commissioner Orders Firm To Stop Selling Pension Stream

    Texas Securities Commissioner Orders Firm To Stop Selling Pension Stream
    John Morgan, the Texas securities commissioner, is ordering SoBell Corp. and its owner Andrew Gamber to stop selling its Pension Income Stream Program in the state of Texas. SoBell, which is based in Mississippi, executes agreements with…
Rank this Week: 179

Stock Market Loss

Stock Market Loss

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

http://www.stockmarketloss.com/news/
  • Jan 26

    Coin Flipping Beats Wall Street Strategist

    Coin Flipping Beats Wall Street Strategist
    This article was originally posted on Stock Market Loss Economists have suggested for years that while stockbrokers and brokerage firms will occasionally outperform the market, those instances are pretty much a product of random chance. Over…
  • Jan 25

    Thomas Buck Wrongdoing Exceeds Settlement

    Thomas Buck Wrongdoing Exceeds Settlement
    This article was originally posted on Stock Market Loss Former Merrill Lynch broker Thomas J. Buck has been named in several complaints, already costing the company over $4.1 million in settlements. Many of the complaints allege that Mr. Buck…
  • Jan 25

    FINRA’s Arbitration and Expungement Changes Not Enough

    FINRA’s Arbitration and Expungement Changes Not Enough
    This article was originally posted on Stock Market Loss A report from a FINRA task force recommends 51 changes to the arbitration process. Among these changes is increasing the stipend for arbitrators, explanation of arbitration decisions…
Rank this Week: 3574

Strictly Business

Strictly Business

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

http://www.strictlybusinesslawblog.com/
  • Jan 18

    The Pitfalls of Moonlighting in a Day Job for Startup Founder

    The Pitfalls of Moonlighting in a Day Job for Startup Founder
    This post first appeared in Southern Alpha on November 2, 2016. Many, if not most, founders have difficulty being able to afford to work full-time for their startup right from the start. But working in a day job while moonlighting at…
  • Jan 18

    The Pitfalls of Moonlighting in a Day Job for Startup Founder

    The Pitfalls of Moonlighting in a Day Job for Startup Founder
    This post first appeared in Southern Alpha on November 2, 2016. Many, if not most, founders have difficulty being able to afford to work full-time for their startup right from the start. But working in a day job while moonlighting at…
  • Jan 11

    Thoughts on the Final Crowdfunding Regulation

    Thoughts on the Final Crowdfunding Regulation
    In October, the SEC finally completed its implementing regulations to Title III of the JOBS Act, more commonly known as the “crowdfunding” exemption. The 600-page release can be found here. I’m not going to bother…
Rank this Week: 3103

Subject to Inquiry

Subject to Inquiry

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

http://www.subjecttoinquiry.com/
Rank this Week: 2128

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Jan 25

    Not Enough Studying

    Not Enough Studying
    Yelp is an online networking platform that hosts user-generated reviews of local businesses.  In a recent securities class action (Curry v. Yelp, Inc., 2015 WL 7454137 (N.D. Cal. Nov. 24, 2015)), the court considered claims that Yelp…
  • Dec 4

    Omnicare’s Scope

    Omnicare’s Scope
    In its Omnicare decision issued earlier this year, 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…
  • Oct 30

    Innocent Third Partie

    Innocent Third Partie
    The scienter (i.e., fraudulent intent) of an officer who makes a false or misleading statement can be imputed to the company based on the law of agency, but that rule potentially is subject to an…
Rank this Week: 1594

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: 417

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: 3883

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: 2597

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: 40

The Securities Edge

The Securities Edge

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

http://www.thesecuritiesedge.com/
  • Feb 2

    Corporate venture capital investments – Good for startups?

    Corporate venture capital investments – Good for startups?
    Posted By: Robert C. White Jr. Corporate venture capital has quickly developed into a major funding source for startup companies. This type of startup funding is available to some innovative startups and early stage companies, and the dollars…
  • Jan 4

    My top 10 for 2015

    My top 10 for 2015
    Posted By: Robert B. Lamm This time I’m not writing about disclosure or governance. Rather, I’m posting my annual list of my 10 favorite books. For those of you who haven’t seen these lists before, (1) I apologize if this…
  • Jan 4

    They’re back…

    They’re back…
    Posted By: Robert B. Lamm Those of you who’ve been following my postings know that I’m not a fan of Congressional interference in the workings of the SEC. Well, those same wonderful folks who’ve garnered the lowest opinion…
Rank this Week: 3661

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/
  • Feb 10

    Three Firms Ordered to Pay $1.2M for UTI Sale

    Three Firms Ordered to Pay $1.2M for UTI Sale
    Three firms were ordered by the Financial Industry Regulatory Authority (FINRA) to pay more than $1 million in fines and restitution for failure to give certain clients discounts on large purchases of unit investment trusts, or UITs.…
  • Feb 10

    J.P. Turner & Company fined $140,000

    J.P. Turner & Company fined $140,000
    The Financial Industry Regulatory Authority (FINRA) sanctioned J.P. Turner & Company for rule violations involving municipal securities. According to CNBC.com, in the first action, FINRA alleged that transactions involving municipal…
  • Feb 9

    United Development Funding Accused of Ponzi-like Scheme

    United Development Funding Accused of Ponzi-like Scheme
    United Development Funding IV plummets after hedge fund manager announces he is shorting the company. Kyle Bass, of Dallas-based Hayman Capital, revealed Friday his short position on a website entitled UDF Exposed. According to Yahoo Finance,…
Rank this Week: 122

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Feb 11

    This Survey Doesn’t Bode Well for Pay Ratio Disclosure

    This Survey Doesn’t Bode Well for Pay Ratio Disclosure
    Here’s the teaser for this new set of survey results from Stanford: Recently, the Rock Center for Corporate Governance at Stanford University conducted a nationwide survey of 1,202 individuals — representative by gender, race,…
  • Feb 10

    SEC Chair White on Activism & Board Diversity

    SEC Chair White on Activism & Board Diversity
    This Q&A interview with SEC Chair White conducted by Wilson Sonsini’s Steve Bochner is more useful than the typical speech (here’s a summary from Ning Chiu). Here’s an excerpt from near the end: STEVEN BOCHNER: We have a…
  • Feb 9

    SEC to Double Funding by 2021?

    SEC to Double Funding by 2021?
    Here’s an excerpt from this WSJ article: The Obama administration will call on lawmakers to double the budgets of the top U.S. market cops over the next several years, the White House announced Monday, a push almost certain to encounter…
Rank this Week: 277

Tim O'Connor's Blog

Tim O'Connor's Blog

Covers stockbroker fraud.

http://stockbrokerlaw.com/tim-oconnors-blog
  • Feb 9

    SEC Issues Investor Bulliten on Variable Annuitie

    SEC Issues Investor Bulliten on Variable Annuitie
    On November 5, 2015 the Securities and Exchange Commission issued an Investor Bulletin entitled “Variable Annuities – An Introduction.” This publication of the SEC Office of Investor Education Advocacy follows on the heels…
  • Feb 2

    Best Execution Failure by Two Brokers Results in SEC Bar

    Best Execution Failure by Two Brokers Results in SEC Bar
    Their press release dated October 28, 2015 the SEC disclosed the bar of two brokers involved with favoring certain customers in certain securities purchase transactions while also garnering extra commissions for their firm in the process. As…
  • Jan 26

    FINRA Registered Stockbrokers and Representatives, Investment Advisor Representatives, or Both?

    FINRA Registered Stockbrokers and Representatives, Investment Advisor Representatives, or Both?
    Recent statistics of the Financial Industry Regulatory Authority (FINRA) indicates that there are over 637,000 individual registered representative associated person stockbrokers in the United States employed by over 4,000 FINRA broker dealer…
Rank this Week: 3182

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 11

    SEC Accuses VGTel Owner and Investment Advisers with Securities Fraud

    SEC Accuses VGTel Owner and Investment Advisers with Securities Fraud
    On December 15, 2015, the Securities and Exchange Commission commenced an action in federal district court in the Southern District of New York against Edward Durante for fraud in the sale of millions of dollars of VGTel stock to numerous of…
  • Nov 2

    State Securities Regulators Propose Model Act to Protect Vulnerable Adults from Financial Exploitation

    State Securities Regulators Propose Model Act to Protect Vulnerable Adults from Financial Exploitation
    On September 29, 2015, the North American Securities Administrators Association (NASAA) released for public comment a proposed model to help broker-dealers, investment firms, and employees to better recognize if a senior or other vulnerable…
  • Oct 14

    Florida Invest Adviser Charged with Defrauding Georgia Client

    Florida Invest Adviser Charged with Defrauding Georgia Client
    Fraud is always a danger in the world of investment advisers. In a recent example of this, the Securities and Exchange Commission announced fraud charges against Arthur F. Jacob, age 56, and his firm, Innovative Business Solutions LLC…
Rank this Week: 990

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: 2251

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: 4247

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/
  • Feb 3

    The Freedom of Little Joe Cartwright: Tax Crime, Edgar Allan Poe, Noir Film and Lacrosse

    The Freedom of Little Joe Cartwright: Tax Crime, Edgar Allan Poe, Noir Film and Lacrosse
    Notes for the week. Prosecuting Individuals Federal criminal tax lawyer Jack Townsend blogs at Federal Tax Crimes.  Here is his note on Prosecuting Corporate Employees, particularly in the tax context: I have previously blogged on…
  • Dec 24

    White (Collar) Christmas: Gin, Crime, Theology and the Rat Pack

    White (Collar) Christmas: Gin, Crime, Theology and the Rat Pack
      The hour is upon us, so herewith a few Christmas items. Cocktails Here from the archives is a recipe (via Garden & Gun magazine) for Milk Punch for Christmas Morning and a new recipe for An Old Old-Fashioned   . From…
  • Dec 12

    Why You Need More Email

    Why You Need More Email
    Actually, that’s not true.  You don’t need more email; rather, you need better email. Other than a missive alerting you to a sale on gin at your local booze-provider, what constitutes “better” email”?…
Rank this Week: 2161

William Carleton, Counselor @ Law

William Carleton, Counselor @ Law

Covers legal and investment issues facing emerging tech companies.

http://www.wac6.com/wac6/
  • Dec 19

    $20k Soon to Be the New Standard Minimum Angel Investment?

    $20k Soon to Be the New Standard Minimum Angel Investment?
    $25,000 is a common minimum investment in startup financings, at least for those conducted offline (not through an accredited crowdfunding platform). I wonder if that will change, if new SEC staff recommendations for the accredited investor…
  • Dec 18

    NW Brewpub Chain McMenamins Uses Own Site to Openly Solicit Accredited Investor

    NW Brewpub Chain McMenamins Uses Own Site to Openly Solicit Accredited Investor
    Those of you that enjoy beer or securities laws (or both), may have recently seen news articles from various Puget Sound media outlets amorphously mentioning “crowdfunding” when reporting on the development and grand opening of the new…
  • Dec 2

    Comparing the Federal Crowdfunding Rules with Washington State'

    Comparing the Federal Crowdfunding Rules with Washington State'
    Note from Bill: Before returning to private practice, my colleague, Jordan Rood, worked as a state securities regulator. What's more, Jordan was directly involved in the implementation of the crowdfunding law my friend Joe Wallin was so…
Rank this Week: 4868