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Strictly Business

Strictly Business

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

http://www.strictlybusinesslawblog.com/
  • 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…
  • Jun 30

    Is it time for the JOBS Act, Part Two?

    Is it time for the JOBS Act, Part Two?
    When the JOBS Act was passed, a lot of people hoped that it would de-regulate startup finance, resulting in a boom of new startups being funded.  Through repealing the ban on general solicitation, allowing online angel investment…
  • Jun 29

    Venture Capital Term Sheet Negotiation — Part 11: Management and Information Right

    Venture Capital Term Sheet Negotiation — Part 11: Management and Information Right
    This post is the eleventh in a series giving practical advice to startups with respect to understanding and negotiating a venture capital term sheet. In the prior ten posts, we provided an introduction to negotiation of the term…
Rank this Week: 1982

InvestorLawyers.net

InvestorLawyers.net

Covers the right to recover money from dishonest stockbrokers and investment advisers.

http://www.investorlawyers.net/blog/
  • Jun 23

    Investor Files FINRA Arbitration Claim Against First Allied Regarding Private Equitie

    Investor Files FINRA Arbitration Claim Against First Allied Regarding Private Equitie
    Stockbroker arbitration lawyers are looking into accusations made against First Allied Securities, Inc. and broker Rami Yahalom regarding risky investments in AE Luxtera Investments II, LLC, a private technology start-up company. According to…
  • Jun 18

    FINRA Bars Wade James Lawrence from Financial Industry

    FINRA Bars Wade James Lawrence from Financial Industry
    Recently, Wade James Lawrence was barred from the financial industry by the Financial Industry Regulatory Authority (FINRA). Investors’ rights lawyers are exploring accusations made against Lawrence regarding misappropriation of funds…
  • Jun 16

    Ameriprise Told to Pay $1.17 Million to Elderly Couple after Unsuitable Real Estate Investment

    Ameriprise Told to Pay $1.17 Million to Elderly Couple after Unsuitable Real Estate Investment
    Investors’ rights lawyers are advising senior investors to stay alert when looking at potential investment opportunities.  Recently,  a Financial Industry Regulatory Authority (FINRA) panel entered an arbitration award in…
Rank this Week: 2103

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: 2109

Business Law Post

Business Law Post

Covers corporate law, securities law, intellectual property, and social entrepreneurship. By Arina Shulga.

http://www.businesslawpost.com
  • Jul 22

    Should Startups Have Boards of Directors?

    Should Startups Have Boards of Directors?
    All corporations are required to have a board of directors by law. LLCs are not. However, an LLC can be structured so as to have a board of managers (some even refer to managers as directors). At formation, founders become the sole…
  • Jul 19

    The SEC Will Likely Update its Definition of “Accredited Investors” Very Soon

    The SEC Will Likely Update its Definition of “Accredited Investors” Very Soon
    Most of the startup capital comes from accredited investors through investments made in reliance upon Rule 506 of Regulation D.  According to a study by the University of New Hampshire’s Center for Venture Research, in 2013, almost…
  • Jul 11

    How to Verify That Your Investor is Accredited - The SEC Provides New Explanations Regarding Rule 506(c) Offering

    How to Verify That Your Investor is Accredited - The SEC Provides New Explanations Regarding Rule 506(c) Offering
    On July 3, 2014 (right on my birthday), the SEC issued six compliance and disclosure interpretations (“CD&Is”) regarding the use of verification methods for determining whether a prospective investor is accredited. First, a…
Rank this Week: 2176

Perry Krumsiek & Jack Law Blog

Perry Krumsiek & Jack Law Blog

Covers business, health care, intellectual property and media law.

http://pkjlawblog.wordpress.com/
  • Feb 2

    Here’s One Government Program Worth HARPing On

    Here’s One Government Program Worth HARPing On
    If you are one of the hundreds of thousands of Americans permanently traumatized by the government’s highly lauded, but horribly executed, loan modification program, take heart.  I’m here to tell you that there’s another government…
  • Oct 27

    The Lincoln Lawyer

    The Lincoln Lawyer
    Before Abraham Lincoln became our greatest president, he was a great corporate lawyer.  And before he was a corporate lawyer, he was a brilliant trial lawyer. In the 1840s, Lincoln represented a Revolutionary War widow who had been bilked…
  • Oct 22

    Cornell Scores in Forum Case

    Cornell Scores in Forum Case
    PKJ’s Timothy Cornell scored a significant victory Friday, when U.S. District Judge Richard G. Stearns dismissed a multimillion case against an Internet company, finding that the plaintiff was bound by his contract’s forum selection…
Rank this Week: 2437

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: 2553

New York Securities Lawyers Blog

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

http://www.newyorksecuritieslawyersblog.com/
  • May 9

    Bitcoin Update: Alerts and Guidance Issued by the SEC, FINRA and IRS

    Bitcoin Update: Alerts and Guidance Issued by the SEC, FINRA and IRS
    It's Buyer Beware, according to guidance and alerts issued recently by the SEC, FINRA and IRS concerning risks inherent in Bitcoin. Bitcoin is described by all three offices as a decentralized, peer-to-peer virtual currency that can be used…
  • Apr 25

    Oil and Gas Limited Partnerships Can Be Extremely Risky Investment

    Oil and Gas Limited Partnerships Can Be Extremely Risky Investment
    Much has been made in the recent months about supposed growth in the oil and gas markets, including speculation, such as the recent article on www.forbes.com that increasing demand will be preceded by increased investment in infrastructure…
  • Apr 25

    Is Your Broker Charging You A Fair Commission?

    Is Your Broker Charging You A Fair Commission?
    Is your broker charging you a fair commission? Not surprisingly, many investors do not fully understand how much they are paying in fees and commissions to their broker-dealer, and disparities from firm to firm can be wide and difficult to…
Rank this Week: 2566

Cady Bar the Door

Cady Bar the Door

Provides insight and commentary on SEC enforcement actions. By Brooks Pierce.

http://www.secmiscellany.com
  • Jul 20

    Foreign Pink Sheets Companies and the FCPA

    Foreign Pink Sheets Companies and the FCPA
    Penny stock companies have been much in the news recently.  They can be tough entities for law enforcement to look into given that their officers and directors are often not inclined to cooperate with government investigations. …
  • Jul 14

    Three Thoughts about FINRA’s Weird Japanese Insider Trading Case

    Three Thoughts about FINRA’s Weird Japanese Insider Trading Case
    One of the things you’re not supposed to do if you’re in the securities business – or any business, really – is buy and sell securities on the basis of material, nonpublic information in breach of a duty not to do…
  • Jun 29

    D.C. Circuit Bolsters Attorney-Client Privilege in Internal Investigation

    D.C. Circuit Bolsters Attorney-Client Privilege in Internal Investigation
    You may remember that in March, the U.S. District Court in D.C. threw the corporate world into a bit of a tizzy with a ruling that documents related to an internal investigation at Kellogg Brown & Root were not privileged and subject to…
Rank this Week: 2572

Securities Lawyer 101

Securities Lawyer 101

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

http://www.securitieslawyer101.com/blog/
  • Sep 10

    Corporate Hijackings 101 l Securities Lawyer 101 Blog

    Corporate Hijackings 101 l Securities Lawyer 101 Blog
    Securities Lawyer 101 Blog Corporate hijackings, also known as corporate identity theft, of public shell companies has been around for more than a decade.  It  is a growing method used by fraudsters to acquire…
  • Feb 26

    George Theodule Sentenced to 150 Month

    George Theodule Sentenced to 150 Month
    On February 26, 2014, the FBI announced George Louis Theodule, 52, a former resident of Wellington, Florida was sentenced to 150 months in prison, to be followed by three years of supervised release. Theodule previously pled guilty to wire…
  • Feb 26

    SEC Charges Arizona-Based Equity Fund l Securities Lawyer 101

    SEC Charges Arizona-Based Equity Fund l Securities Lawyer 101
    Securities Lawyer 101 Blog On February 26, 2014, the Securities and Exchange Commission (the “SEC”) announced charges against an Arizona-based private equity fund manager and his investment advisory firm for…
Rank this Week: 2707

Stock Attorneys Blog

Stock Attorneys Blog

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

http://www.stockattorneysblog.com/
  • Jul 15

    Oppenheimer Advisor Targets Elderly Widow

    Oppenheimer Advisor Targets Elderly Widow
    With trillions of dollars being manipulated by investment advisors and brokerage firms on a daily or even hourly basis, the magnitude of the influence of financial markets on world economies is nearly incomprehensible. Every developed country…
  • Jul 1

    Barred Investment Advisor Swindles Clients for Nearly $9 Million

    Barred Investment Advisor Swindles Clients for Nearly $9 Million
    Whether it’s stocks, bonds, futures, derivatives, or any other type of security, the process of investing can be quite lucrative. The number of people who have become millionaires as a result their investment practices is incalculable,…
  • Jun 24

    UBS Continues to Face Controversy over Puerto Rico Muni Bond

    UBS Continues to Face Controversy over Puerto Rico Muni Bond
    $5 Million Class Action Just One More Headache for Embattled UBS It is certainly not uncommon to hear about the mishandling of investors’ funds by investment firms. Fraud, whether is it through omission of critical information or…
Rank this Week: 2711

Kueser Law Firm Blog

Kueser Law Firm Blog

Covers securities and investment fraud, as well as other consumer and investor-related issues.

http://blog.jmkesquire.com
Rank this Week: 2770

Corporate Law and Democracy

Corporate Law and Democracy

A repository of ideas, comments and papers on a range of issues related to corporate law and democracy. By Boston College Law School Professor Renee Jones.

http://reneejones.wordpress.com/
  • Nov 18

    Whither State Securities Enforcement?

    Whither State Securities Enforcement?
    Susan Antilla of Bloomberg news published a recent column  revisiting the question of the continued viability of state securities regulators’ enforcement authority.  I spoke to Susan about my research  on the issue and I am quoted in…
  • Sep 19

    Bailout-palooza

    Bailout-palooza
    The federal goverment’s proposal for a bailout of the financial industry sounded somewhat familiar to me.  I remembered that I had blogged about a similar proposal about a year ago on Conglomerate.
  • Sep 17

    What a Difference a Year Make

    What a Difference a Year Make
    One year ago discussions surrounding corporate law policy were driven by the Sarbanes-Oxley ‘backlash.”  The Paulson Committee and others were warning about how excessive regulation and litigation would lead to the ruin of Wall Street. …
Rank this Week: 2829

Securities Mining Law

Securities Mining Law

Covers securities law affecting the mining industry in Canada.

http://www.securitiesmininglaw.com/
Rank this Week: 2841

100 F Street

100 F Street

Covers securities law for growing businesses. By Vanessa Schoenthaler.

http://100fstreet.com/
  • Jul 9

    The SEC’s Latest C&DIs On Accredited Investors and Verifying Accredited Investor Statu

    The SEC’s Latest C&DIs On Accredited Investors and Verifying Accredited Investor Statu
    Last Thursday the Division of Corporation Finance released its latest set of Compliance and Disclosure Interpretations (C&DIs) related to defined terms in Rule 501 of Regulation D and accredited investor…
  • Jun 28

    Chair White Offers Insight Into How the SEC Views Director

    Chair White Offers Insight Into How the SEC Views Director
    This past Monday night Chair White gave a keynote address at the 20th Annual Stanford Directors’ College where she spoke about the Commission’s “mindset” on certain matters relevant to directors.…
  • Jun 18

    Automatic Disqualification Waivers: A Recurring Theme

    Automatic Disqualification Waivers: A Recurring Theme
    Last Thursday Senator Sherrod Brown (D-Ohio), Chairman of the Banking Subcommittee on Financial Institutions and Consumer Protection, penned a letter to Chair White questioning the Commission’s practices and…
Rank this Week: 3239

The Securities Edge

The Securities Edge

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

http://www.thesecuritiesedge.com/
  • Jul 22

    Accredited investors – potential changes and some helpful guidance

    Accredited investors – potential changes and some helpful guidance
    Posted By: Robert C. White Jr.   Potential changes. Accredited investors have long been critical participants in private financing transactions, and the success of most private financings is largely determined by the participation of…
  • Jun 26

    Congress to the rescue?: Congressman hints at legislation to reign in proxy advisory firm

    Congress to the rescue?: Congressman hints at legislation to reign in proxy advisory firm
    Posted By: David C. Scileppi Who says Congress isn’t popular?  Well, Congress may become much more popular with public company executives if Congressman Patrick McHenry (R-NC) can make good on his recent promise to challenge the…
  • Jun 20

    Fee-shifting bylaw proposal moved to the back burner pending further investigation

    Fee-shifting bylaw proposal moved to the back burner pending further investigation
    Posted By: Gustav L. Schmidt In a case of first impression, the Delaware Supreme Court held that provisions contained in a nonstock corporation’s bylaws, requiring a plaintiff stockholder to reimburse the corporation’s legal…
Rank this Week: 3259

Tim O'Connor's Blog

Tim O'Connor's Blog

Covers stockbroker fraud.

http://stockbrokerlaw.com/tim-oconnors-blog
  • 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…
  • Jun 30

    FINRA Investor Alert: IRA Rollover Tip

    FINRA Investor Alert: IRA Rollover Tip
    The Financial Industry Regulatory Authority (FINRA) issued an investor alert entitled The IRA Rollover: Ten Tips to Making Sound Decision. As many Americans face the decision to either keep their retirement nest egg with a former employer…
  • Jan 6

    Become a FINRA Arbitrator

    Become a FINRA Arbitrator
    The Office of Dispute Resolution of the Financial Industry Regulatory Authority (FINRA) is currently seeking experienced professionals, citizens, and members of the community to serve as arbitrators on FINRA arbitration panels.  Notably,…
Rank this Week: 3340

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: 3352

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
Rank this Week: 3394

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: 3588

SEC Whistleblower Blog

SEC Whistleblower Blog

Covers corporate whistleblower programs and whistleblower protection issues.

http://www.secwhistleblowerprogram.org/SEC-Whistleblower-Blog/
  • Jan 10

    Whistleblower Protection under the SEC Whistleblower Program

    Whistleblower Protection under the SEC Whistleblower Program
    In our web site, we established the types of anti-retaliatory protections offered employees under the SEC Whistleblower Program.
  • Dec 10

    SEC Whistleblowers can Help Uncover "Soft Dollar" Practice

    SEC Whistleblowers can Help Uncover "Soft Dollar" Practice
    Hedge fund operators (politely called “Investment Managers” on Wall Street) can make the plaintiffs’ bar look like expensively dressed social workers. The hedge fund industry is estimated to be a $2.5 trillion industry.
  • Dec 6

    Five travel expense related FCPA violation

    Five travel expense related FCPA violation
    Here’s a tip for potential Foreign Corrupt Practices Act whistleblowers: travel expenses clearly fall within FCPA guidelines.
Rank this Week: 3615

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: 3774

Corporate Finance & Securities Law…

Corporate Finance & Securities Law Blog

Covers mergers and acquisitions, private to public transactions, public company disclosure, regulatory defense, and other financial issues. By The Lebrecht Group.

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: 3871

Amato Law Firm, LLC Blog

Amato Law Firm, LLC Blog

Overview of current developments in the area of securities law with a focus on securities arbitration and broker-dealer regulation.

http://www.ramatolaw.com/blog1
  • Jul 17

    FINRA Seeks to Delay Implementation of REIT Pricing Rule

    FINRA Seeks to Delay Implementation of REIT Pricing Rule
    According to recent reports, FINRA has sought to delay the implementation of a new rule that would provide greater clarity for investors in non-traded REITs as to the value of their shares.  The proposed rule filing would require firms…
  • Jul 10

    FINRA Pulls Controversial Recruiting Bonus Disclosure Rule

    FINRA Pulls Controversial Recruiting Bonus Disclosure Rule
    As recently reported in the financial press, FINRA late last month filed a notice with the Securities and Exchange Commission indicating that it is pulling its proposed Rule 2243.  The controversial proposed rule — which was…
  • Mar 27

    LPL Hammered by FINRA in Connection with Sales of Alternative

    LPL Hammered by FINRA in Connection with Sales of Alternative
    Independent broker-dealer LPL Financial – a leading seller of alternative investments such as non-traded real estate investment trusts (REITs) – once again is in trouble with regulators, as FINRA announced on Monday that it has…
Rank this Week: 3951

Securities Law Blog

Securities Law Blog

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

http://www.securitieslaw-blog.com/
  • Jul 25

    Staten Island Broker To Pay $1.3M For Scam

    Staten Island Broker To Pay $1.3M For Scam
    Wayne Burmaster, a broker from Staten Island, New York, will pay $1.3 million in disgorgement to the SEC for selling unregistered penny stock. Burmaster, together with his partner Edward Hayter, sold unregistered shares to investors. Further,…
  • Jul 24

    SEC Approves FINRA Rule To Limit Expungement

    SEC Approves FINRA Rule To Limit Expungement
    The SEC approved a new FINRA rule that will make it hard for brokers to delete customer complaints from their records in arbitration cases. Rule 2081 will prevent brokers from making settlements with customers requiring the claimant to accept…
  • Jul 24

    SEC Approves FINRA Rule To Limit Expungement

    SEC Approves FINRA Rule To Limit Expungement
    The SEC approved a new FINRA rule that will make it hard for brokers to delete customer complaints from their records in arbitration cases. Rule 2081 will prevent brokers from making settlements with customers requiring the claimant to accept…
Rank this Week: 3984

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
  • Jul 21

    Bond Prices Plummet for Puerto Rico Power Authority

    Bond Prices Plummet for Puerto Rico Power Authority
    Puerto Rico's power authority bonds dropped from trading at around 55 cents on the dollar to 45 cents on the dollar by the end of June as investors worry about the agency's inability to pay off its bonds and bank loans. The power authority is…
  • Jul 16

    Disciplinary Action Against BlackRock Advisors Recommended by SEC

    Disciplinary Action Against BlackRock Advisors Recommended by SEC
    The Securities and Exchange Commission (SEC) has recommend disciplinary action for possible securities violations, including the failure to disclose conflicts of interest, by BlackRock Advisors.
  • Jul 13

    FINRA seeks to narrow public arbitrator definition

    FINRA seeks to narrow public arbitrator definition
    In an effort to tighten the rules for resolving investor disputes in arbitration, the Financial Industry Regulatory Authority (FINRA) has proposed a rule to narrow the definition of public arbitrator. Currently, there are 3,555 public…
Rank this Week: 4123

Chicago Securities Lawyer Blog

Chicago Securities Lawyer Blog

Covers FINRA and securities fraud. By Thomas F. Burke, P.C.

http://www.chicagosecuritieslawyerblog.com/
  • Jul 16

    Regulators Concerned About High Frequency Trading and Timestamp

    Regulators Concerned About High Frequency Trading and Timestamp
    The United States securities regulators, the Securities Exchange Commission ("SEC"), and the Financial Industry Regulatory Authority ("FINRA") and the United Kingdom's Financial Conduct Authority ("FCA") are tightening rules to impose…
  • Jul 9

    SEC Trying to Even the Field for Bond Market

    SEC Trying to Even the Field for Bond Market
    The Wall Street Journal reported that the Securities Exchange Commission ("SEC") wants to even the field in the bond market between small investors and Wall Street's biggest banks. The SEC unveiled plans to make real time pricing information…
  • Apr 17

    You Might Think Twice About Using A Broker Who Failed The Exam To Get His License

    You Might Think Twice About Using A Broker Who Failed The Exam To Get His License
    The Wall Street Journal reported that there are more than 51,500 stockbrokers that have failed, at least once, an exam to obtain a license to sell securities. Additionally, those brokers that failed the exam have worse disciplinary records…
Rank this Week: 4148

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: 4151

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Jul 28

    Churning Complaints Against Former Newport Coast Broker

    Churning Complaints Against Former Newport Coast Broker
    Fitapelli Kurta is investigating customer complaints of churning against Newport Coast Securities, Inc. as well as brokers Douglas Leone, Marc Arena, Tyler Luckey, Andre LaBarbera, David Levy, Antonio Costanzo and Donald Bartelt. …
  • Jul 28

    Recover Losses in Motricity, Inc.

    Recover Losses in Motricity, Inc.
    Fitapelli Kurta is investigating claims against First Allied Securities Inc. related to its solicitation of an investment in a company named Motricity, Inc. (“Motricity”).  Motricity was founded in 2004 and its headquarters…
  • Jul 25

    Fitapelli Kurta files complaint against Mark Lisser and Global Arena Capital Corp.

    Fitapelli Kurta files complaint against Mark Lisser and Global Arena Capital Corp.
    Fitapelli Kurta recently filed a complaint against Global Arena Capital Corp. and Mark Lisser on behalf of an elderly and terminally ill Delaware pastor and his wife, who teaches bible classes at the local church.  The claims stem from…
Rank this Week: 4251

Florida Securities Fraud Attorney…

Florida Securities Fraud Attorney Blog

Covers Florida securities fraud cases and issues. By Ralph Behr, Esq. P.A.

http://www.floridasecuritiesfraudattorney.com/
  • Jun 4

    Scanning License Plates and Privacy

    Scanning License Plates and Privacy
    Fort Lauderdale police agencies have technology to read license plates. Once read, the plates are matched against outstanding traffic tickets. In addition, the owner’s name is matched against outstanding criminal warrants. At what…
  • Jun 2

    SEC Charges White Collar Crimes in Sarasota

    SEC Charges White Collar Crimes in Sarasota
    A fund manager in Sarasota, Florida was charged with defrauding investors of $3.8 million. The fund manager, Gaeton Della Penna, faces federal criminal charges in the Middle District of Florida for defrauding investors. Criminal charges,…
  • May 29

    Demands for Chemtrail Conspiracy Arrest

    Demands for Chemtrail Conspiracy Arrest
    The History Channel‘s broadcast of "Weather Warfare" focused international interest in The State of the Nation’s demand that the International Criminal Court begin a criminal investigation into what I have dubbed "The…
Rank this Week: 4250

Footnoted

Footnoted

Reports on actionable information in SEC filings.

http://www.footnoted.com/
  • Jul 17

    Irony alert: A One-Time Benefit That’s Actually Three Time

    Irony alert: A One-Time Benefit That’s Actually Three Time
    The irony that we often see in SEC filings may go largely unnoticed by most. But here at footnoted, we try to keep a close eye on that. Much of this we point out via our twitter feed (see here and here and here for a few recent examples). But…
  • Jul 16

    A downgrade to first class for ex-Ford CEO

    A downgrade to first class for ex-Ford CEO
    During his tenure at Ford Motors, Alan Mulally often flew the corporate jet. Now, as a Google director it's first-class.
  • Jul 7

    Actavis’ pre-holiday dump

    Actavis’ pre-holiday dump
    A filing made by Actavis just before the July 4th holiday caught our attention for its generosity to top executives.
Rank this Week: 4484

Alixe Cormick: Small Cap Lawyer

Alixe Cormick: Small Cap Lawyer

Focuses on Canadian and United States securities law matters of interest to micro and small cap companies.

http://www.alixecormick.com
  • Apr 30

    Welcome to Canada! Using Regulation A+ to List on the CSE, TSX or TSX Venture Exchange

    Welcome to Canada! Using Regulation A+ to List on the CSE, TSX or TSX Venture Exchange
     By Alixe Cormick Using Regulation A in conjunction with listing on the CSE, TSX, or TSX Venture Exchange in Canada is an option that will become more practical for United States (US) based issuers once proposed changes to Regulation A…
  • Apr 21

    How Much Does an Offering Memorandum Cost?

    How Much Does an Offering Memorandum Cost?
    By Alixe Cormick Asking what the “all-in-costs” are for preparing an offering memorandum (an OM) is like asking how much it costs to build a house. A new 4,000 square foot custom-built house in West Vancouver, BC will cost more…
  • Apr 17

    Where You Can Find the Proposed Canadian Equity Crowdfunding Rules and Form

    Where You Can Find the Proposed Canadian Equity Crowdfunding Rules and Form
      By Alixe Cormick In Canada, two crowdfunding specific exemption proposals are out for public comment: a start-up crowdfunding exemption and an integrated crowdfunding exemption. Six provinces (including Saskatchewan) are…
Rank this Week: 4524

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: 4639

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
  • Jul 24

    If You are Subpoenaed to Appear Before a Pennsylvania Grand Jury, Learn from Graham Spanier’s Mistake: Take Your Lawyer

    If You are Subpoenaed to Appear Before a Pennsylvania Grand Jury, Learn from Graham Spanier’s Mistake: Take Your Lawyer
    We wrote about the ongoing fallout from the Jerry Sandusky scandal in January, and whether former Penn State General Counsel Cynthia Baldwin made some critical missteps by appearing at the grand jury with former President Graham Spanier, Vice…
  • Jul 22

    Managing an Environmental Enforcement Investigation

    Managing an Environmental Enforcement Investigation
    Although environmental prosecution is not a new trend, criminal enforcement of environmental laws is on the rise.  The recent expansion of tools and referral mechanisms to support a heightened level of criminal enforcement have led to…
  • Jul 18

    Debating Unlawful Command Influence in the Military

    Debating Unlawful Command Influence in the Military
    As readers of this blog know, Montgomery McCracken successfully represented Brigadier General Jeffrey Sinclair in his court-martial in March. General Sinclair was sentenced only to a reprimand and a $20,000 fine. Montgomery McCracken defense…
Rank this Week: 4658

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/
  • Jul 28

    Internal Investigations, the KBR Decision and International Investigation

    Internal Investigations, the KBR Decision and International Investigation
    In a recent post, we touched on the importance of the D.C. Circuit’s decision in KBR concerning privilege and internal investigations: Post-recession, we are living through an era of regulators’ grimaces and…
  • Jul 28

    “Compensation” | Paul Laurence Dunbar

    “Compensation” | Paul Laurence Dunbar
    Compensation is a matter dear to lawyers’ hearts, white-collar and otherwise.  Here’s a poem (via www.poets.org) by Paul Laurence Dunbar: Compensation Because I had loved so deeply, Because I had loved so long, God in His…
  • Jul 25

    “Appellate Jurisdiction” | Marianne Moore (1887-1972)

    “Appellate Jurisdiction” | Marianne Moore (1887-1972)
    For pondering our appeals of all sorts.   Appellate Jurisdiction by Marianne Moore Fragments of sin are a part of me. New brooms shall sweep clean the heart of me.       Shall they? Shall they? When this light life shall…
Rank this Week: 4763

TRACE Blog

TRACE Blog

Covers anti-bribery compliance.

http://traceblog.org/
  • Jul 22

    A Royal Mess, Pt. 2: Non-Profits, Charitable Contributions and the FCPA

    A Royal Mess, Pt. 2: Non-Profits, Charitable Contributions and the FCPA
    In our previous post, we discussed the ongoing corruption case against Princess Cristina of Spain and her husband, Duke Iñaki Urdungarin. Urdangarin, a former Olympian, is accused of using his position to skim money from government…
  • Jul 15

    A Royal Mess, Pt. 1: Spanish Princess Charged with Corruption

    A Royal Mess, Pt. 1: Spanish Princess Charged with Corruption
    If there are perks to being a member of the Spanish royal family (undoubtedly there are), immunity from corruption prosecutions is not one of them. Last month, on June 25th, Princess Cristina of Spain was charged with tax fraud and money…
  • Jul 2

    AFTER ESQUENAZI, QUESTIONS STILL REMAIN

    AFTER ESQUENAZI, QUESTIONS STILL REMAIN
    Haiti in 2001 might have seemed like an entrepreneur’s playground — the kind of place where the stakes were high, the risks were big, and if you played your cards right, you might find fabulous riches. Sure, it was one of the…
Rank this Week: 4766

May Law, PC Blog

May Law, PC Blog

Covers investment law, securities laws the requirements of the Financial Industry Regulatory Authority (FINRA).

http://www.maylawpc.net/category/blog/
  • Jul 16

    Save Time and Money With Alternative Dispute Resolution

    Save Time and Money With Alternative Dispute Resolution
    In certain industries, lawsuits are accepted as a price of doing business. But when a legal battle breaks out, the costs can be prohibitive. Tied up in…
  • Jun 24

    When to Contact a Securities Defense Attorney

    When to Contact a Securities Defense Attorney
    A lot of things can go wrong when you handle other people’s money. Even when the risks are apparent, the investor who suffers losses (no matter the…
  • Jun 24

    What Skills Do Financial Services Lawyers Need to be Effective?

    What Skills Do Financial Services Lawyers Need to be Effective?
    At last count, there were over 1.2 million licensed lawyers in America. That’s around one lawyer for every 200 adults, making it one of the most popular…
Rank this Week: 4782

Andrew Abramowitz, PLLC

Andrew Abramowitz, PLLC

News, advice, and trends from the corporate law world.

http://aalegalnyc.com/blog/
  • May 27

    Interesting Legal Reads of the Week

    Interesting Legal Reads of the Week
    Some interesting legal reads for the week of May 26, 2014: Anna Pinedo of MoFo reports on the passage by House subcommittees of various JOBS Act-related bills.  It’s unclear at this point how many will ultimately become law. Also…
  • May 23

    Term Sheets and Letters of Intent

    Term Sheets and Letters of Intent
    Particularly for complex and important transactions in a company’s life-cycle – mergers and acquisitions, institutional funding rounds, joint ventures, etc. – it’s typical that the transaction process start with the…
  • May 21

    Interesting Legal Reads for the Week of May 19

    Interesting Legal Reads for the Week of May 19
    Some interesting legal reads for the week of May 19, 2014: DealBook’s Andrew Ross Sorkin on the relatively long time (10 days) allowed for reporting the acquisition of a 5% equity stake of public companies, and the potential for abuse…
Rank this Week: 4762