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ComplianceAsia News

ComplianceAsia News

Provides information for compliance professionals dealing with issues in financial regulation with a focus on the Asian region.

http://www.compliance.asia/
  • May 20

    SFC proposes substantial changes to Professional Investor regime in Hong Kong

    SFC proposes substantial changes to Professional Investor regime in Hong Kong
    The SFC in Hong Kong has announced a 3 month consultation on major changes to the professional investor regime in Hong Kong.  The full announcement is below (our emphasis added).  We expect quite a vocal response to the consultation…
  • May 16

    Happy birthday to u

    Happy birthday to u
    Tonight in Singapore we are hosting our first of two anniversary parties.  ComplianceAsia is now 10.  Thanks to all of our clients, staff and partners who have supported us over the last decade. 10 years ago we set up the first…
  • May 16

    More from the ICAC

    More from the ICAC
    Today the HK ICAC announced a jail sentence for two insurance agents convicted of falsifying commissions.  The full ICAC is below: Ex-insurance agents jailed for accepting $563,000 bribes and deceiving commissions 16 May 2013 Two…
Rank this Week: 2120

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: 2202

Strictly Business

Strictly Business

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

http://blog.alexanderdavie.com/
Rank this Week: 2299

Securities Fraud Attorney Blog

Securities Fraud Attorney Blog

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

http://www.securitiesfraudattorneyblog.com/
  • 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…
  • Nov 30

    Bloomberg Piece on $383M Client Case v. Citigroup

    Bloomberg Piece on $383M Client Case v. Citigroup
    Below is Bloomberg piece about our client's $383 million FINRA arbitration claim against Citigroup Global Markets, Inc. related to hedge funds, private equity, and derivatives. Bloomberg Citigroup Saudi Deal Haunts Pandit By Donal Griffin -…
Rank this Week: 2314

Securities Attorneys Law Blog

Securities Attorneys Law Blog

Covers securities class action litigation and FINRA arbitrations, SEC regulatory developments and FINRA disciplinary decisions. By Jay Eng.

http://securitiesattorneys.us/
Rank this Week: 2368

Securities Attorney Law Blog

Securities Attorney Law Blog

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

http://securitiesattorneylaw.com/
Rank this Week: 2386

InvestorLawyers.net

InvestorLawyers.net

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

http://www.investorlawyers.net/blog/
  • Nov 28

    Mark Hotton Allegedly Defrauded Clients; Investors Could Recover Losse

    Mark Hotton Allegedly Defrauded Clients; Investors Could Recover Losse
    Investment fraud lawyers are currently investing claims on behalf of the clients of Mark Hotton. A recent complaint filed by the Financial Industry Regulatory Authority alleges that Hotton stole or rerouted money from his clients — funds…
  • Nov 27

    FINRA Now Arbitrating Claims Against Investment Adviser

    FINRA Now Arbitrating Claims Against Investment Adviser
    A recent announcement from the Financial Industry Regulatory Authority stated that arbitration is open to disputes between investors and registered investment advisers, or RIAs. According to securities fraud attorneys, this is good news for…
  • Nov 25

    Clients of Jeffrey A. Cashmore, LPL Financial Could Recover Losse

    Clients of Jeffrey A. Cashmore, LPL Financial Could Recover Losse
    Securities fraud attorneys are currently investigating claims on behalf of investors who suffered significant losses as a result of their financial investments with Jeffrey A. Cashmore and LPL Financial. According to the Financial Industry…
Rank this Week: 2652

Shareholder Oppression

Shareholder Oppression

Discusses the evolving law of minority shareholder oppression: rights, causes of action, and remedies. By Eric Fryar.

http://blog.shareholderoppression.com/
Rank this Week: 2714

Business Law Post

Business Law Post

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

http://www.businesslawpost.blogspot.com/
  • May 18

    Crowdfunding Update

    Crowdfunding Update
    We are still patiently waiting for the SEC to develop rules implementing the crowdfunding provisions of the JOBS Act. While we are waiting, the industry prepares for the crowdfunding transactions. Recently, two interesting articles about…
  • May 12

    Who Owns #Hashtags?

    Who Owns #Hashtags?
    Proliferation of social media continues to stretch the boundaries of the law and its definitions. It prompts us to apply the proven legal concepts to new technological and social phenomena with no clear and well-defined answers.A good…
  • Apr 23

    What is Regulation FD and Does it Prohibit the Use of Social Media?

    What is Regulation FD and Does it Prohibit the Use of Social Media?
    Regulation Fair Disclosure (known as “Regulation FD”) was enacted in 2000 by the Securities and Exchange Commission (the “SEC”) to prohibit selective disclosure of material non-public information by the public…
Rank this Week: 2747

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: 2823

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: 2879

Stock Attorneys Blog

Stock Attorneys Blog

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

http://www.stockattorneysblog.com/
  • Apr 11

    UBS facing Millions of Dollars in Claim

    UBS facing Millions of Dollars in Claim
    Blum Law Group has commenced an investigation into the activities of UBS Financial with relation to its clients who purchased stocks or bonds over the past 24 months. Investors who sustained losses at UBS or in their investment accounts…
  • Oct 25

    Blum Law Group Investigates David Lerner Associates, Inc.

    Blum Law Group Investigates David Lerner Associates, Inc.
    Blum Law Group has commenced an investigation into the activities of David Lerner and David Lerner Associates, Inc., based in Syosset, New York with relation to its clients who purchased Apple REITs. David Lerner was recently banned from the…
  • Oct 18

    Blum Law Group Investigates JW Korth & Company

    Blum Law Group Investigates JW Korth & Company
    Blum Law Group has commenced an investigation into the activities of JW Korth & Company, based in Miami, Florida, with relation to its clients who purchased Banco Cruzeiro do Sul SA bonds. James W. Korth is their Managing Partner. Investors…
Rank this Week: 2967

New York Securities Lawyers Blog

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

http://www.newyorksecuritieslawyersblog.com/
  • Apr 1

    LPL Reportedly Under Fire From State Regulator

    LPL Reportedly Under Fire From State Regulator
    The broker-dealer LPL, Linsco Private Ledger, has been in the news a lot recently - for all the wrong reasons. LPL was even recently featured in The New York Times for its frequent "tangles" with state and federal regulators. LPL is the…
  • Mar 26

    Jenice Malecki to Appear Tonight on The Willis Report on Fox Busine

    Jenice Malecki to Appear Tonight on The Willis Report on Fox Busine
    Jenice Malecki of Malecki Law will be appearing on Fox Business News tonight, March 26, 2013 between 6pm and 7pm. Ms. Malecki will be appearing on The Willis Report to discuss the recent Rasmussen Reports that indicate 50 percent of…
  • Mar 20

    Jenice Malecki to Appear on Fox Business News on March 21, 2013 at 5pm - Topic: SEC Digging Into Fund Fee

    Jenice Malecki to Appear on Fox Business News on March 21, 2013 at 5pm - Topic: SEC Digging Into Fund Fee
    Jenice Malecki of Malecki Law will be appearing on Fox Business News tomorrow, March 21, 2013, at 5pm. It has been reported that the hedge fund industry has noticeably passed the $2 trillion mark. It's the big gorilla in the room, and the…
Rank this Week: 2979

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: 2984

Cady Bar the Door

Cady Bar the Door

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

http://www.secmiscellany.com
  • May 8

    The SEC Does Not Care about Your FINRA Document Request

    The SEC Does Not Care about Your FINRA Document Request
    If you are a broker-dealer or a registered representative at one, you sign on for some meddling by FINRA.  The self-regulatory organization is responsible for overseeing your securities business and even for your outside business…
  • May 2

    SEC Dings Investment Adviser for Custody Violations, Failure to Supervise

    SEC Dings Investment Adviser for Custody Violations, Failure to Supervise
    Readers of this space – and SEC observers generally – will recall a March 4 risk alert designed to warn investors about the ways U.S. investment advisers had recently been found to have violated the SEC’s asset custody…
  • Apr 22

    Ralph Lauren Escapes FCPA Problems with Minimized Damage

    Ralph Lauren Escapes FCPA Problems with Minimized Damage
    Often, enforcement officials at the SEC and the Justice Department express their wish that securities law violators own up to their (mis)conduct as soon it comes to light.  That is, come to the government and explain what has…
Rank this Week: 3133

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: 3153

Securities Mining Law

Securities Mining Law

Covers securities law affecting the mining industry in Canada.

http://www.securitiesmininglaw.com/
  • May 10

    Canada to Strengthen its Laws Against Bribery of Foreign Public Official

    Canada to Strengthen its Laws Against Bribery of Foreign Public Official
    Mining and exploration companies with projects in developing nations should take note that an amendment to the Foreign Corrupt Practices Act (CFPOA) has been approved by the Senate and is currently before the House of Commons. Bill S-14…
  • May 10

    New Bill Heightens Potential for More Investment Canada Reviews of SOE Acquisition

    New Bill Heightens Potential for More Investment Canada Reviews of SOE Acquisition
    Last week the Canadian Government introduced amendments to the Investment Canada Act (ICA) to implement its revised policy towards state-owned enterprises (SOEs) which it announced in December last year. At that time, while it approved the…
  • May 8

    The Québec Government announces a new Mining Tax Regime “Fair for all”

    The Québec Government announces a new Mining Tax Regime “Fair for all”
    The new Québec mining tax regime was announced on May 6th 2013, by the Minister of Finance, Nicolas Marceau, accompanied by the Minister of Natural Resources, Martine Ouellet. The Québec Government has presented a new regime…
Rank this Week: 3176

100 F Street

100 F Street

Covers securities law for growing businesses. By Vanessa Schoenthaler.

http://100fstreet.com/
  • May 16

    SEC Announces a New Director of the Division of Corporation Finance; House Wants to Know Where the JOBS Act Rules Are

    SEC Announces a New Director of the Division of Corporation Finance; House Wants to Know Where the JOBS Act Rules Are
    TweetThe New Director of Division of Corporation Finance Yesterday the Securities and Exchange Commission announced the naming of Keith F. Higgins as director of the Commission’s Division of Corporation Finance. Higgins was a…
  • Mar 12

    Mary Jo White’s Senate Confirmation Hearing Set for Today

    Mary Jo White’s Senate Confirmation Hearing Set for Today
    TweetAt 10:00 AM the Senate Banking Committee will hold a hearing (which you can watch here) to consider the nominations of Richard Cordray as Director of the Consumer Financial Protection Bureau and Mary Jo White as Chairman of the…
  • Feb 10

    The New Nasdaq and NYSE Compensation Committee Listing Standard

    The New Nasdaq and NYSE Compensation Committee Listing Standard
    TweetOver the next week or so I’ll hopefully be catching up on a few things that I haven’t been able to get to from the last several weeks, the first being the new Nasdaq and NYSE compensation committee listing standards: By way…
Rank this Week: 3861

The Securities Edge

The Securities Edge

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

http://www.thesecuritiesedge.com/
  • May 14

    Are new Iran-related disclosure requirements turning public companies into tattletales?

    Are new Iran-related disclosure requirements turning public companies into tattletales?
    Posted By: Gustav L. Schmidt In other breaking news that many may have missed, Orbitz Worldwide, Inc. recently reported in its most recent 10-Q that a handful of employees of a Hilton-branded hotel were paid wages via direct deposit into…
  • May 9

    Social media as a disclosure channel – slow but steady

    Social media as a disclosure channel – slow but steady
    Posted By: Robert C. White Jr. Public companies are beginning to cautiously adopt social media as a disclosure channel. This area has experienced substantial changes lately as the SEC moved from a posture of threatening action against…
  • May 3

    Securities Law 101 (Part V): Issuing shares of stock for mergers and acquisition

    Securities Law 101 (Part V): Issuing shares of stock for mergers and acquisition
    Posted By: Gregory K. Bader This is the fifth part of our Securities Law 101 series.  Because capital raising is such a critical function for middle market companies, we designed this series to introduce their management teams to some…
Rank this Week: 3947

Stock Market Loss

Stock Market Loss

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

http://www.stockmarketloss.com/news/
Rank this Week: 4029

Tim O'Connor's Blog

Tim O'Connor's Blog

Covers stockbroker fraud.

http://stockbrokerlaw.com/_blog/Tim_O%27Connor%27s_Blog_2011/
  • May 10

    Hidden Costs Associated with Variable Universal Life (VUL) Insurance Policie

    Hidden Costs Associated with Variable Universal Life (VUL) Insurance Policie
    The various costs associated with variable annuity policies includes surrender charges and fluctuating costs of insurance charges, all of which means that the underlying cash values of the Variable Universal Life policy must work that much…
  • May 6

    Variable Universal Life Horror Storie

    Variable Universal Life Horror Storie
    The replacement of paid-up whole life insurance policies by Variable Universal Life (VUL) insurance policies has seen many retirees lose a lifetime of savings in a matter of years, due to various of the hidden cost features of Variable…
  • Apr 22

    Insurance for Theft From Brokerage, Investment and Insurance-Type Account

    Insurance for Theft From Brokerage, Investment and Insurance-Type Account
    The victims of Ponzi schemes and theft involving their financial accounts may be afforded protection offered by broker blanket bonds, fidelity bonds, broker/dealer professional liability insurance coverage, errors and omissions policies,…
Rank this Week: 4076

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: 4097

The Lebrecht Group, APLC Blog

The Lebrecht Group, APLC Blog

Discusses corporate securities law .

http://www.thelebrechtgroup.com/blog/
  • May 16

    TLG Attorney to Speak on Ethics at “Accounting 101 for Attorneys” Presentation

    TLG Attorney to Speak on Ethics at “Accounting 101 for Attorneys” Presentation
    Brian A. Lebrecht, founder and President of The Lebrecht Group, APLC, will be among the presenters at a seminar on May 16, 2013 by the National Business Institute entitled Accounting 101 for Attorneys.  Specific topic will be Complying…
  • May 9

    Listing a Reverse Merger Company on NASDAQ

    Listing a Reverse Merger Company on NASDAQ
    NASDAQ has special rules for companies that went public via a reverse merger.  By: Brian A. Lebrecht, Esq. NASDAQ Markets Overview NASDAQ has three different U.S. markets, the NASDAQ Global Select Market, the NASDAQ Global Market, and…
  • May 8

    SEC Asks for a 26% Raise

    SEC Asks for a 26% Raise
    The new chair of the SEC, Mary Jo White, testified before Congress this week and asked to have the SEC’s budget increased by 26%, to $1.67 billion.  A few of the highlights: - she reiterated her commitment to completing the rule…
Rank this Week: 4204

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/
  • May 16

    TLG Attorney to Speak on Ethics at “Accounting 101 for Attorneys” Presentation

    TLG Attorney to Speak on Ethics at “Accounting 101 for Attorneys” Presentation
    Brian A. Lebrecht, founder and President of The Lebrecht Group, APLC, will be among the presenters at a seminar on May 16, 2013 by the National Business Institute entitled Accounting 101 for Attorneys.  Specific topic will be Complying…
  • May 9

    Listing a Reverse Merger Company on NASDAQ

    Listing a Reverse Merger Company on NASDAQ
    NASDAQ has special rules for companies that went public via a reverse merger.  By: Brian A. Lebrecht, Esq. NASDAQ Markets Overview NASDAQ has three different U.S. markets, the NASDAQ Global Select Market, the NASDAQ Global Market, and…
  • May 8

    SEC Asks for a 26% Raise

    SEC Asks for a 26% Raise
    The new chair of the SEC, Mary Jo White, testified before Congress this week and asked to have the SEC’s budget increased by 26%, to $1.67 billion.  A few of the highlights: - she reiterated her commitment to completing the rule…
Rank this Week: 4478

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/
  • May 7

    General Solicitation, Where Are You?

    General Solicitation, Where Are You?
    The Jumpstart our Business Startups Act (JOBS Act) was signed into law on April 5, 2012 and was to (among other things) allow businesses to generally solicit investors for certain securities offerings as well as create…
  • Apr 24

    Japanese Fashion Chain UNIQLO Introduces Worldwide Equal Pay System Across Its Store

    Japanese Fashion Chain UNIQLO Introduces Worldwide Equal Pay System Across Its Store
    Reblogged from RocketNews24: Tadashi Yanai, chairman and director of Fast Retailing and the main force behind the expansion of Japanese clothes retailer UNIQLO, has recently made public his intentions to introduce a worldwide universal wage…
  • Apr 22

    'The startup is you!' Upstart gets $5.9M to help investors back college grad

    'The startup is you!' Upstart gets $5.9M to help investors back college grad
    Reblogged from VentureBeat: Upstart, the startup that can help recent graduates step off the treadmill of a corporate career, just closed its first round of funding. The San Francisco-based company, which has been described as a…
Rank this Week: 4546

Securities Law Blog

Securities Law Blog

News and comments on securities law. By Burke Harvey & Frankowski L.L.C.

http://www.securitieslaw-blog.com/
  • May 2

    SEC Urges an End to Mandatory Arbitration

    SEC Urges an End to Mandatory Arbitration
    Armed with an argument for protecting investors' rights, SEC member Luis Aguilar went before the North America Securities Administrators Association's annual conference in Washington, D.C to argue that mandatory arbitration agreements should…
  • Apr 11

    SEC Finally Releases Morgan Keegan Fund Distribution

    SEC Finally Releases Morgan Keegan Fund Distribution
    A recent press by the Secretary of State for the State of Mississippi announced that the SEC has published their proposed plan for fund distribution to those injured by Morgan Keegan investments. This comes two years after the $200 million…
  • Apr 2

    FINRA Bars Broker for Unsuitable and Unapproved Securities Transactions Involving 31 NFL Player

    FINRA Bars Broker for Unsuitable and Unapproved Securities Transactions Involving 31 NFL Player
    According to a FINRA press release, broker Jeffrey Rubin of Lighthouse Point, Florida, is barred from the securities industry for making unsuitable recommendations to invest in illiquid, high-risk securities issued in connection with a…
Rank this Week: 4758

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/
  • 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…
  • Mar 26

    4th Circuit Gives Further Defines A "Customer" Under FINRA Arbitration Rule

    4th Circuit Gives 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: 4804

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.blog.stockbrokerattorney.com/
  • Apr 2

    SEC Warning to Investors: Watch Out for Fraudsters Posing As Regulator

    SEC Warning to Investors: Watch Out for Fraudsters Posing As Regulator
    Wolves in Sheep’s Clothing The SEC has issued an update of a previous alert warning investors of scammers posing as SEC employees soliciting personal and financial information.  In the warning, the SEC reminds the public that it does not…
  • Mar 22

    2011 in Review: FINRA’s Top 5 Enforcement Issue

    2011 in Review: FINRA’s Top 5 Enforcement Issue
    FINRA enforcement statistics experience hike in 2011 compared to 2010 An annual survey of FINRA sanctions revealed that 2011 was quite busier than 2010.  In addition to banning more reps, FINRA fines jumped 51% from $48 million in 2010 to…
  • Feb 23

    SEC Tightens Rule on Investment Advisor Performance Fee

    SEC Tightens Rule on Investment Advisor Performance Fee
    On February 15, 2012, the Securities and Exchange Commission (SEC) announced that it is strengthening its rule on investment advisory performance fees. It is raising the net worth requirement for investors who pay performance fees and…
Rank this Week: 4797

Chicago Securities Lawyer Blog

Chicago Securities Lawyer Blog

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

http://www.chicagosecuritieslawyerblog.com/
Rank this Week: 4863

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/
  • Dec 21

    Can JPMorgan Be Forced To Pay MF Global Customers' Claims?

    Can JPMorgan Be Forced To Pay MF Global Customers' Claims?
    The reports are that JP Morgan suspected some MFGlobal funds it received were customer deposits. …”But JPMorgan was not satisfied. The bank once again contacted Mr. Corzine, this time requesting a guarantee in writing.”…..[DealBook…
  • Dec 19

    New Rules for Expungement of Certain Broker Check Complaint

    New Rules for Expungement of Certain Broker Check Complaint
    December 2011 may be a watershed date in the battle for fairness for stockbrokers. Constantly barraged by complaints, which are often no more than attempted extortion, the FINRA board may make some rule changes. It's a modest beginning; but…
  • Dec 19

    WHY ARE EXPUNGEMENT ORDERS BY ARBITRATORS IGNORED BY BROKER CHECK?

    WHY ARE EXPUNGEMENT ORDERS BY ARBITRATORS IGNORED BY BROKER CHECK?
    A customer complaint, once filed, is technically a public record. Public records are subject to state control and cannot be expunged without an order from U.S. federal court. If your arbitration award includes an order of expunction;…
Rank this Week: 4887

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
Rank this Week: 5242