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Blogs 46 - 82 of 82

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: 825

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • Sep 8

    Cyber-Security – What Do Enforcement Actions Tell You

    Cyber-Security – What Do Enforcement Actions Tell You
    In a recent NSCP Currents article, Giselle Casella addressed what every compliance office must know about cyber-security.  One of the more compelling lessons was what can be learned from enforcement actions dealing with…
  • Sep 2

    Guess Who Did Not Take A Summer Vacation

    Guess Who Did Not Take A Summer Vacation
    Now that summer has come to its unofficial end, it seems as though the SEC forgot to check its calendar back I May because it has been conducting exams at a breakneck pace as reported in the Investment News.  These exams have focused, in…
  • Aug 25

    INDIVIDUAL MAY ACT AS SOLICITOR DESPITE SEC ADMINISTRATIVE ORDER

    INDIVIDUAL MAY ACT AS SOLICITOR DESPITE SEC ADMINISTRATIVE ORDER
    The SEC Division of Investment Management determined that a solictor may receive a fee for the soliciation of clients for registered investment advisers notwithstanding a Commission administrative order against her.  See Matter of…
Rank this Week: 2106

Securities Fraud Attorney Blog

Securities Fraud Attorney Blog

Covers securities fraud, and other areas of securities law and banking and finance law. By Rich, Intelisano & Katz, LLP.

http://www.securitiesfraudattorneyblog.com/
  • Oct 25

    UBS in Web of Puerto Rico Bond Funds Suffering Massive Losse

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

    Bloomberg Update on $383M Client Case v. Citigroup

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

    American Lawyer Piece on Firm's Citigroup Case

    American Lawyer Piece on Firm's Citigroup Case
    Below is an American Lawyer piece which explains our clients' pending $383 million FINRA arbitration against Citigroup. It goes on to talk about how there are more and more large and complex cases at FINRA. It's true. As partner John Rich…
Rank this Week: 3131

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: 3773

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/
  • Sep 20

    Townhall Meeting for Receivership Held in Palm Beach

    Townhall Meeting for Receivership Held in Palm Beach
    Jim Sallah of Sallah Astarita & Cox, LLC is the court appointed receiver of a number of entities who are accused of being part of a $70 million Ponzi scheme. At a town hall meeting Jim spoke to investors to explain the…
  • Sep 19

    Tennessee-Based Animal Feed Company Agrees to Pay $18 Million to Settle Accounting Fraud Case

    Tennessee-Based Animal Feed Company Agrees to Pay $18 Million to Settle Accounting Fraud Case
    The SEC announced that a Tennessee-based animal feed company has agreed to pay back $18 million in illicit profits from an accounting fraud that resulted in an SEC enforcement action earlier this year.AgFeed Industries, which is currently in…
  • Sep 16

    CALPERS Withdrawing Its Hedge Fund Investments - Too Expensive, Too Complicated

    CALPERS Withdrawing Its Hedge Fund Investments - Too Expensive, Too Complicated
    The California Public Employees' Retirement System, the largest U.S. pension fund, said on Monday that it will pull all $4 billion it has invested in hedge funds because it finds them too costly and complicated. The $300 billion fund, known…
Rank this Week: 1423

Securities Law Blog

Securities Law Blog

News and comments on securities law. By The Frankowski Firm, LLC

http://www.securitieslaw-blog.com/
  • Sep 19

    Four Charged In Penny Stock Fraud Scheme Plead Not Guilty

    Four Charged In Penny Stock Fraud Scheme Plead Not Guilty
    The Frankowski Firm is investigating a penny stock fraud scheme that allegedly defrauded $290 million from thousands of investors, involving eight people who are facing criminal charges. Four of the eight charged in the pump-and-dump scheme…
  • Sep 18

    Alabama Supreme Court Affirms Class-Action Status In $3.2 Billion Lawsuit

    Alabama Supreme Court Affirms Class-Action Status In $3.2 Billion Lawsuit
    Last week, the Alabama Supreme Court upheld a Jefferson County judge’s ruling that a lawsuit against CVS Caremark Corp. can proceed as a class-action to represent roughly 70,000 investors who assert that they lost $3.2 billion in a…
  • Sep 16

    7th Circuit Upholds Ponzi Scheme Conviction

    7th Circuit Upholds Ponzi Scheme Conviction
    The Frankowski Firm is investigating a Ponzi scheme involving the owners of Fair Finance, which was once a legitimate company that had provided financial services since the Great Depression. The United States Court of Appeals for the Seventh…
Rank this Week: 1466

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/
  • Sep 15

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: Naseem Faqihi, Note, Choosing Which Rule to Break First: An In-House Attorney Whistleblower's Choices after Discovering a Possible Federal…
  • Sep 12

    IOSCO Updates Survey on Commodity Derivatives Markets Supervisory Principle

    IOSCO Updates Survey on Commodity Derivatives Markets Supervisory Principle
    The press release is available here, and the Update is available here.
  • Sep 12

    NASAA Working Group Formed to Develop Improved Fee Disclosure

    NASAA Working Group Formed to Develop Improved Fee Disclosure
    The North American Securities Administrators Association (NASAA) has announced the creation of a working group to focus on improved broker-dealer fee disclosure. The press release is available here.
Rank this Week: 239

Securities Lawyer 101

Securities Lawyer 101

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

http://www.securitieslawyer101.com/blog/
Rank this Week: 74

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Sep 19

    Broker Spotlight – Joseph Biondolillo of Woodstock Financial Group

    Broker Spotlight – Joseph Biondolillo of Woodstock Financial Group
    According to The Financial Industry Regulatory Authority’s (FINRA) BrokerCheck system financial advisor Joseph Biondolillo (Biondolillo) has been subject to numerous regulatory complaints, customer complaints, and terminated by one…
  • Sep 18

    Gana LLP Investigation – Former RBC Capital Markets Broker Michael Zukowski

    Gana LLP Investigation – Former RBC Capital Markets Broker Michael Zukowski
    The Financial Industry Regulatory Authority (FINRA) sanctioned broker Michael Zukowski (Zukowski) concerning allegations that Zukowski recommended unsuitable transactions in inverse and inverse-leveraged Exchange Traded Funds (Non-Traditional…
  • Sep 17

    Adam Gana is Quoted in OnWallStreet.com

    Adam Gana is Quoted in OnWallStreet.com
    Adam Gana, managing partner of Gana LLP was quoted in an article by Suleman Din entitled “Hammered by FINRA in Dispute with Morgan Stanely, Advisor Pays $200k.” The article discusses an advisor who took on Morgan Stanley in a…
Rank this Week: 515

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/
  • Sep 16

    Is Your Bank Stressed Out? OCC Follows Fed on Proposed Stress-Test Change

    Is Your Bank Stressed Out? OCC Follows Fed on Proposed Stress-Test Change
    On September 10, the Office of the Comptroller of the Currency (“OCC”) published proposed revisions to its information collecting regulations related to the Dodd-Frank Act’s “stress test” for large national banks…
  • Sep 9

    The MCDC Initiative: Round One Is Underway

    The MCDC Initiative: Round One Is Underway
    The clock will strike on the first self-report deadline under the SEC’s Municipalities Continuing Disclosure Cooperation Initiative (the “MCDC Initiative”) at 12:00 a.m. EST on September 10, 2014.  Under the MCDC…
  • Sep 3

    Does Being an ‘Expert’ Make You an Expert?

    Does Being an ‘Expert’ Make You an Expert?
    Earlier this month, Judge Victor Marrero of the Southern District of New York issued his opinion certifying a class of buyers of the common stock of a company created by a Chinese reverse merger.  McIntire v. China MediaExpress Holdings,…
Rank this Week: 2040

Securities Mining Law

Securities Mining Law

Covers securities law affecting the mining industry in Canada.

http://www.securitiesmininglaw.com/
  • Aug 27

    Mining & Investment Latin America Summit in Peru

    Mining & Investment Latin America Summit in Peru
    Dentons is proud to be a Silver Sponsor of the largest Mining & Investment event in Latin America at the Mining & Investment Latin America Summit October 27-28 2014 in Lima, Peru. Mining & Investment Latin America Summit is the…
  • Jun 2

    Case Bulletin: R v Karigar, 2014 ONSC 3093

    Case Bulletin: R v Karigar, 2014 ONSC 3093
    For the first time in Canada, an individual has been sentenced to jail time for bribing a foreign public official. The three-year penitentiary sentence was handed down by the Ontario Court of Justice under the Corruption of Foreign Public…
  • May 28

    Current permitting processes and challenges for new mine

    Current permitting processes and challenges for new mine
    Current permitting processes and challenges for new mines from Dentons …
Rank this Week: 3697

Sharesleuth.com

Sharesleuth.com

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

http://sharesleuth.com/
Rank this Week: 400

Smaller Reporting Company's…

Smaller Reporting Company's Securities Blog

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

http://slgsecurities.com/
  • Feb 18

    {Video} The difference between Angel Investors and Venture Capitalist

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

    SEC Suspends Trading in 255 “Shell” Companie

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

    Box has reportedly, secretly, filed for an IPO

    Box has reportedly, secretly, filed for an IPO
    Reblogged from SoshiTech - Social Media Technology - Soshitech.com: By Derrick Harris 37 mins ago No Comments A http://gigaom.com/2014/01/30/box-has-reportedly-secretly-filed-for-an-ipo/ A Summary:Cloud collaboration star Box has filed for an…
Rank this Week: 3863

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 18

    Intellectual Property and Crowdfunding: Practice Safe Crowdfunding®

    Intellectual Property and Crowdfunding: Practice Safe Crowdfunding®
    By Mary Juetten, Founder and CEO of Traklight Crowdfunding, despite its popularity, is still misunderstood. Many people are familiar with rewards crowdfunding sites like Kickstarter and Indiegogo based on widely publicized campaigns such as…
  • Sep 3

    Revenue Based Financing

    Revenue Based Financing
    Why It Works For Growing Technology Companies There are multiple options to funding to fuel your growing technology business, but what if you need to: A) get funded fast, B) keep you in control of your company and, C) not risk ……
  • Aug 27

    Startup Public Policy with Congressman Adam Smith

    Startup Public Policy with Congressman Adam Smith
    Congressman Adam Smith (D-WA) will be joining us to discuss some of the very exciting state and federal public policy issues being bandied about both in Olympia and on Capital Hill in Washington D.C. A skilled lawyer and a…
Rank this Week: 2222

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: 1321

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
  • Sep 18

    Former UBS Broker Charged for Defrauding Elderly with Ponzi Scheme

    Former UBS Broker Charged for Defrauding Elderly with Ponzi Scheme
    The Securities and Exchange Commission (SEC) recently charged former UBS Wealth Management America broker Donna Tucker with misappropriating over $730,000 from clients between January 2008 and April 2013. 
  • Sep 15

    Broker Deposits Thousands of Dollars of Misdirected Check

    Broker Deposits Thousands of Dollars of Misdirected Check
    FINRA recently fined securities broker Richard Harvey Peress $5,000 for misconduct and suspended him for 90 days. Peress pocketed 37 quarterly dividend client checks between 2002 and 2011 totaling $11,460.
  • Sep 5

    Increased Complex Investment and Insurance Sales Put State Regulators on High Alert

    Increased Complex Investment and Insurance Sales Put State Regulators on High Alert
    State securities regulators at the Insured Retirement Institute's Government, Legal and Regulatory conference this summer expressed concern over the amount of unlicensed products being sold by agents. Products of particular concern…
Rank this Week: 1435

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: 298

Stock Market Loss

Stock Market Loss

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

http://www.stockmarketloss.com/news/
  • Jul 28

    VARIABLE LIFE INSURANCE ALERT!

    VARIABLE LIFE INSURANCE ALERT!
    This article was originally posted on Stock Market Loss The lawyers of stockmarketloss.com, a practice group of Cleveland, OH law firm Hermann, Cahn & Schneider LLC, are receiving a growing number of inquiries from victims of variable…
  • Jul 24

    Why Do Variable Life Insurance Policies Fail?

    Why Do Variable Life Insurance Policies Fail?
    This article was originally posted on Stock Market Loss Purchasers of Variable Life and Variable Universal Life Insurance Policies often don’t understand that the values of the sub-account investments determine the sustainability of the…
  • Jul 23

    How Do Brokers and Insurance Agents Mislead You Into Buying VL and VUL Insurance Policies?

    How Do Brokers and Insurance Agents Mislead You Into Buying VL and VUL Insurance Policies?
    This article was originally posted on Stock Market Loss Brokers and agents who sell variable insurance products are supposed to comply both with state securities or insurance regulations and with regulations issued by the Securities and…
Rank this Week: 2044

Strictly Business

Strictly Business

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

http://www.strictlybusinesslawblog.com/
  • Aug 19

    Venture Capital Term Sheet Negotiation — Part 13: Drag-Along Right

    Venture Capital Term Sheet Negotiation — Part 13: Drag-Along Right
    This post is the thirteenth in a series giving practical advice to startups with respect to understanding and negotiating a venture capital term sheet. In the prior twelve posts, we provided an introduction to negotiation of the…
  • Aug 19

    Venture Capital Term Sheet Negotiation — Part 13: Drag-Along Right

    Venture Capital Term Sheet Negotiation — Part 13: Drag-Along Right
    This post is the thirteenth in a series giving practical advice to startups with respect to understanding and negotiating a venture capital term sheet. In the prior twelve posts, we provided an introduction to negotiation of the…
  • Jul 7

    Venture Capital Term Sheet Negotiation — Part 12: Preemptive Right

    Venture Capital Term Sheet Negotiation — Part 12: Preemptive Right
    This post is the twelfth in a series giving practical advice to startups with respect to understanding and negotiating a venture capital term sheet. In the prior eleven posts, we provided an introduction to negotiation of…
Rank this Week: 3272

Subject to Inquiry

Subject to Inquiry

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

http://www.subjecttoinquiry.com/
  • Sep 9

    Don’t Turn a Blind Eye – Individual Liability for Failure to Comply with BSA Reporting Requirement

    Don’t Turn a Blind Eye – Individual Liability for Failure to Comply with BSA Reporting Requirement
    The Financial Crimes Enforcement Network (FinCEN) announced on August 20, 2014, that it had reached an agreement with a casino official permanently barring him from working in financial institutions as a result of his willful violations of…
  • Aug 26

    The SEC Waives Eligibility Requirement and Awards Whistleblower $400,000

    The SEC Waives Eligibility Requirement and Awards Whistleblower $400,000
    Waiving one of the whistleblower award eligibility requirements, the Securities and Exchange Commission recently awarded more than $400,000 to a whistleblower who reported a fraud to the SEC after the company failed to address the issue…
  • Aug 21

    Unpacking OFAC’s Revised Guidance Regarding its “50 Percent Rule”

    Unpacking OFAC’s Revised Guidance Regarding its “50 Percent Rule”
    On August 14, 2014, the Department of the Treasury’s Office of Foreign Assets Control (OFAC) published revised guidance regarding entities owned by persons whose property and interests in property are blocked pursuant to an…
Rank this Week: 2873

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Sep 12

    Fervent Belief

    Fervent Belief
    Next term, the U.S. Supreme Court will hear argument in the Omnicare case.  The issue is the pleading standard for an allegedly false or misleading opinion under Section 11 of the Securities Act.  While the Second, Third, and Ninth…
  • Sep 10

    Freshening Up

    Freshening Up
    Regular visitors to The 10b-5 Daily will notice that the look and format of the blog has undergone a change.  A few items of note: (1) To receive e-mail notifications of new posts (even if you have previously…
  • Sep 9

    The 10b-5 Daily Gets A Makeover

    The 10b-5 Daily Gets A Makeover
    After eleven years (has it really been that long?), The 10b-5 Daily is moving to a new platform, updating its look, clearing out dead links, and generally becoming a more user-friendly blog. For most visitors, the transition will be…
Rank this Week: 2742

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • Sep 19

    JOBS Act Provisions Fuel IPO Surge, Raise Concern

    JOBS Act Provisions Fuel IPO Surge, Raise Concern
    All eyes may be on the record-setting IPO of Chinese Internet firm, Alibaba, but the real IPO story for 2014 may be the significant number of IPOs this year involving smaller companies. The number of companies completing IPOs this year …
  • Sep 18

    Guest Post: Activist Shareholder: The New Kid on the German D&O-Block

    Guest Post: Activist Shareholder: The New Kid on the German D&O-Block
    Although I try to include on this blog topics involving issues from outside the United States, because of my background and experience, U.S-related topics tend to predominate. That is why I am always grateful to have the opportunity to…
  • Sep 17

    Who is an “Officer”? A Critical Inquiry for Indemnification and Insurance

    Who is an “Officer”? A Critical Inquiry for Indemnification and Insurance
    Many companies provide advancement, indemnification and insurance benefits and protection for their officers and directors. However, it is not always clear who is an “officer” for purposes of claiming the benefits and protection.…
Rank this Week: 359

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: 4069

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: 2823

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: 69

The Securities Edge

The Securities Edge

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

http://www.thesecuritiesedge.com/
  • Sep 19

    The JOBS Act – Any results yet?

    The JOBS Act – Any results yet?
    Posted By: Robert C. White Jr. President Obama signed the JOBS Act into law on April 5, 2012 amid much fanfare and optimism. Small and medium sized fast-growing technology companies and their executives were especially sanguine about this…
  • Sep 12

    Nasdaq annual listing fees are going up, up (but not away)

    Nasdaq annual listing fees are going up, up (but not away)
    Posted By: David C. Scileppi In late August, Nasdaq announced changes to their annual listing fees.  Generally, the fees will increase effective January 1, 2015, but Nasdaq is also adopting an all-inclusive annual fee and eliminating…
  • Sep 3

    Despite First Amendment concerns, the conflict minerals rule is here to stay

    Despite First Amendment concerns, the conflict minerals rule is here to stay
    Posted By: Gregory K. Bader A few months ago, the U.S. Court of Appeals for the D.C. Circuit upheld portions of Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act, known as the “conflicts mineral rule.”…
Rank this Week: 3787

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/
  • Sep 18

    Investigation into NNN Oak Park Office

    Investigation into NNN Oak Park Office
    Did you invest in NNN Oak Park Office and suffer losses? If so, The White Law Group may be able to help. The firm is investigating the potential recovery of investment losses through FINRA arbitration claims against the brokerage firms that…
  • Sep 18

    Recovery of Geneva Exchange Fund XXII Investment Losse

    Recovery of Geneva Exchange Fund XXII Investment Losse
    Have you suffered losses investing in the tenant-in-common (TIC), Geneva Exchange Fund XXII? The White Law Group is investigating potential FINRA arbitration claims to recover investment losses. According to files with the Securities and…
  • Sep 17

    Investigation into NNN 2002 Value Fund and NNN 2003 Value Fund

    Investigation into NNN 2002 Value Fund and NNN 2003 Value Fund
    Have you suffered investment losses as a result of your purchase of NNN 2002 Value Fund LLC or NNN 2003 Value Fund LLC? If so, the White Law Group may be able to help you recover your losses. According to files with the Securities and…
Rank this Week: 281

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Sep 19

    Corp Fin Comment Letters: Insiders Selling Ahead of Their Public Availability?

    Corp Fin Comment Letters: Insiders Selling Ahead of Their Public Availability?
    Geez, I don’t know what to make of this Forbes article – which describes this study that found an abnormal level of selling by insiders in the days before Corp Fin comment letters that contained revenue recognition comments were…
  • Sep 18

    Corp Fin’s Comment Letters: WSJ Peeks Under the Hood

    Corp Fin’s Comment Letters: WSJ Peeks Under the Hood
    It was bound to happen. I just thought it would happen much sooner. It’s been just over a decade since Corp Fin began posting its comment letters (and the related responses) – but yet there has been scant mass media attention paid…
  • Sep 17

    PCAOB Staff Practice Alert: Revenue Auditing

    PCAOB Staff Practice Alert: Revenue Auditing
    Recently, the PCAOB issued “Staff Audit Practice Alert No. 12” about auditing revenue, including revenue recognition, presentation and disclosure. The Alert cited “frequently observed significant audit deficiencies”…
Rank this Week: 657

Tim O'Connor's Blog

Tim O'Connor's Blog

Covers stockbroker fraud.

http://stockbrokerlaw.com/tim-oconnors-blog
  • 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…
  • Jul 31

    Tenants-in-Common Investments: An Accident Waiting to Happen

    Tenants-in-Common Investments: An Accident Waiting to Happen
    The most common form of tenancy-in-common interests involves ownership interests in real property, with two or more persons possessing undivided interests in the property. Section 1031 of the Internal Revenue Code codified permissible…
  • Jul 21

    New York State Deferred Compensation Plan Beneficiary Designation

    New York State Deferred Compensation Plan Beneficiary Designation
    The New York State Deferred Compensation Plan is presently administered through Nationwide, and curiously, beneficiary designation forms must be mailed to an address in Ohio, not New York State. The New York State Deferred Compensation Plan…
Rank this Week: 2065

TRACE Blog

TRACE Blog

Covers anti-bribery compliance.

http://traceblog.org/
  • Sep 18

    TRACE’s List of Top 5 Most Colorful Projects to Raise Anti-Bribery Awarene

    TRACE’s List of Top 5 Most Colorful Projects to Raise Anti-Bribery Awarene
    Raising awareness about bribery doesn’t always have to be serious business.  In fact, sometimes it can even be fun.  That’s why here at TRACE, we are interested in learning about unique campaigns designed to raise…
  • Aug 28

    What was this month’s biggest anti-bribery story?

    What was this month’s biggest anti-bribery story?
    Take a moment to read our poll and vote for which headline you think was most newsworthy this month: China announces Investigation into Volkswagen AG’s China Joint Venture: China’s anti-corruption authority — the…
  • Aug 19

    The Role of Academia in Anti-Corruption Collective Action

    The Role of Academia in Anti-Corruption Collective Action
    Last week TRACE joined leading anti-corruption experts and academics from all over the world in Vienna, Austria to discuss effective teaching and pedagogy in anti-corruption studies within institutions of higher learning. The workshop, which…
Rank this Week: 3036

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: 2193

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: 851

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
  • Sep 18

    DOJ Hopes to Prosecute More Criminal Cases Arising Out of False Claims Act

    DOJ Hopes to Prosecute More Criminal Cases Arising Out of False Claims Act
    On Wednesday, Assistant Attorney General for the Criminal Division Leslie R. Caldwell spoke at the Taxpayers Against Fraud Education Fund annual conference in Washington D.C., and announced that the DOJ is closely examining civil False Claims…
  • Sep 10

    Goldman Sachs Case: Know and Understand Your Corporate By-Laws Concerning Legal Fee

    Goldman Sachs Case: Know and Understand Your Corporate By-Laws Concerning Legal Fee
    Goldman Sachs Group Inc. has recently garnered a lot of press on the ongoing litigation on former Goldman programmer and vice president Sergey Aleynikov’s demands for indemnification and advancement of attorneys’ fees. These fees…
  • Sep 8

    Criminal Plea, Civil Liability: Aftermath of the BP Deepwater Horizon Catastrophe

    Criminal Plea, Civil Liability: Aftermath of the BP Deepwater Horizon Catastrophe
    Perhaps the most infamous environmental litigation case in history, the 2010 Deepwater Horizon catastrophe has resulted in approximately 3,000 lawsuits (both criminal and civil) and over 100,000 named claimants in federal and state courts…
Rank this Week: 2636

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/
  • 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…
  • Aug 4

    Why Nu Skin Must Come Clean on Troubling Inventory Red Flag

    Why Nu Skin Must Come Clean on Troubling Inventory Red Flag
    Co-authored by Sam E. Antar and Zachary PrenskyThis coming Wednesday morning, Utah based multi-level marketing company Nu Skin Enterprises (NYSE: NUS) is scheduled to report its second quarter earnings. In its Q1 2014 10-Q report issued in…
  • Jul 22

    Do Nu Skin Inventory Red Flags Spell Trouble Ahead?

    Do Nu Skin Inventory Red Flags Spell Trouble Ahead?
    Last Friday morning, a comment posted on Twitter by Marc Cohodes about Nu Skin Enterprises (NYSE: NUS), a Utah based multi-level marketing company, caught my curiosity. Cohodes is a legendary short-seller with an excellent track record and…
Rank this Week: 1571

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/
  • Sep 4

    Of Snitches and Privilege

    Of Snitches and Privilege
    White-collar writer Walt Pavlo of @Forbes and 500 Pearl Street quotes us this morning in his insightful @Forbes article about the attorney-client privilege.  In particular: Federal prosecutors want to know who knew what, and when…
  • Sep 2

    Privilege, Corporate Silence and Saul Goodman

    Privilege, Corporate Silence and Saul Goodman
    We are past Labor Day, and just as well.  Marked by the GM internal-investigation report’s criticism of some of the company’s internal lawyers, the summer was not kind to internal lawyers generally and to the attorney-client…
  • Aug 29

    Weekend: cocktails, World War I, Alexandr Solzhenitsyn and Marvin Gaye

    Weekend: cocktails, World War I, Alexandr Solzhenitsyn and Marvin Gaye
    For this weekend: cocktails, World War I, Alexandr Solzhenitsyn and Marvin Gaye. From Saveur, warm-weather whiskey cocktails.  Some of the drinks sound good.  All of the photos are cool: From the folks at Garden & Gun…
Rank this Week: 2033

William Carleton, Counselor @ Law

William Carleton, Counselor @ Law

Covers legal and investment issues facing emerging tech companies.

http://www.wac6.com/wac6/
  • Jun 25

    Where I've been

    Where I've been
    Friends, I want to thank you for all the support you've given this blog over the past three or four years. It's been a good run. Two or three years ago, I started blogging every day, and that was the...
  • Jun 18

    The world is not totally fucked up: Exhibit A

    The world is not totally fucked up: Exhibit A
    Here is Exhibit A for the proposition that the world is not, in fact, totally and completely fucked up: sculpture being readied, as we speak, at Jefferson Park in Seattle. What's more, this public art is to be "skateable." I...
  • May 20

    If it ain't broke, don't fix it

    If it ain't broke, don't fix it
    Time again to safeguard the current accredited investor standard.
Rank this Week: 1042

With Vigour and Zeal

With Vigour and Zeal

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

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

    Transatlantic Litigation: “I sue first”

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

    Cornerstone’s Class Actions Reviews 2009

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

    Where to go in March

    Where to go in March
    In the next few weeks I will be attending the following events: an LSE lecture and Weil Gotshal webcast on the 4th, Barroway Topaz’ annual conference on the 11th and the NYSBA’s litigation roundtable on the 16th.
Rank this Week: 3049