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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/
Rank this Week: 2003

Securities Attorney Law Blog

Securities Attorney Law Blog

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

http://securitiesattorneys.us/
Rank this Week: 2016

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: 2132

Business Law Post

Business Law Post

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

http://www.businesslawpost.com
  • Apr 17

    Elusive Bitcoin: Regulation of Bitcoin in the U.S. Part II

    Elusive Bitcoin: Regulation of Bitcoin in the U.S. Part II
    Today, I am going to summarize FinCEN’s regulations relating to Bitcoin.The Financial Crimes Enforcement Network (FinCEN) is an agency within the US Treasure Department. Its mission is to safeguard the financial system from illicit…
  • Apr 16

    Elusive Bitcoin: Regulation of Bitcoin in the U.S. Part I

    Elusive Bitcoin: Regulation of Bitcoin in the U.S. Part I
    The phenomenon of Bitcoin (and virtual currency in general) presents an interesting legal conundrum. It is still not clear for many where does Bitcoin fit within our legal system, and whether and how to regulate it. Today, I would like to…
  • Feb 1

    Could Your Update on LinkedIn Violate a Non-Compete Agreement?

    Could Your Update on LinkedIn Violate a Non-Compete Agreement?
    Today, I am re-posting a blog post of a colleague of mine (with his permission) that I found to be particularly interesting and relevant for those of you who are looking to leave your present employers to start your own businesses or to just…
Rank this Week: 2238

InvestorLawyers.net

InvestorLawyers.net

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

http://www.investorlawyers.net/blog/
  • Apr 9

    Two MetLife Brokers Accused of Unsuitable Variable Annuity Sale

    Two MetLife Brokers Accused of Unsuitable Variable Annuity Sale
    Securities fraud attorneys are currently investigating claims on behalf of investors who suffered significant losses in variable annuities. Variable annuities are insurance products tied to an investment portfolio, which typically consist of…
  • Apr 7

    Have You Been the Victim of Investment Scalping?

    Have You Been the Victim of Investment Scalping?
    Investment fraud lawyers are currently investigating claims on behalf of investors who suffered significant losses as a result of a securities fraud related to scalping. Scalping occurs when a broker or financial advisor recommends a security…
  • Apr 2

    Claims Against Berthel Fisher for Unsuitable Sale of Alternative Investments Begin

    Claims Against Berthel Fisher for Unsuitable Sale of Alternative Investments Begin
    Our recent blog post, “Berthel Fisher and Affiliate Fined Regarding Sales of ETFs and Non-Traded REITs,” reported that in February the firm had been fined $775,000 by the Financial Industry Regulatory Authority (FINRA). The FINRA…
Rank this Week: 2275

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: 2483

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: 2587

Cady Bar the Door

Cady Bar the Door

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

http://www.secmiscellany.com
  • Apr 17

    SEC Says the Cyber Police Are Coming

    SEC Says the Cyber Police Are Coming
    Pretty soon we’ll all be data privacy lawyers.  The SEC is certainly doing its part to ensure that comes to pass.  Earlier this year the SEC’s Office of Compliance, Inspections, and Examinations announced that its 2014…
  • Apr 10

    Give Me That Old-Time Insider Trading

    Give Me That Old-Time Insider Trading
    Recently I had a question that required me to review Don Langevoort’s comprehensive insider trading treatise.  It got me thinking about the roots of insider trading law.  Specifically, the pre-SEC, pre-10b-5 insider trading…
  • Mar 19

    Two Thoughts about Dewey LeBoeuf and Parallel Proceeding

    Two Thoughts about Dewey LeBoeuf and Parallel Proceeding
    You’ve probably read about the Manhattan district attorney’s office’s indictment of executives at former Big Law giant Dewey LeBoeuf.  According to the WSJ  Law Blog, the crux is this: “[F]ormer Dewey…
Rank this Week: 2612

New York Securities Lawyers Blog

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

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

    Biggest Recent FINRA Fines Point to Poor Supervision at Large Broker-Dealer

    Biggest Recent FINRA Fines Point to Poor Supervision at Large Broker-Dealer
    Apparently the opportunity for bad brokers to engage in wrongful conduct is enabled by big brokerage firms, as recent Financial Industry Regulatory Authority (FINRA) fines indicate that these businesses fail to properly supervise their foot…
  • Apr 4

    Managed Futures Fund Fees: When Is Enough Enough?

    Managed Futures Fund Fees: When Is Enough Enough?
    When are money management fees too much? It is hard to imagine that any investor who has sought the guidance of professional financial advisors has not asked himself or herself this question at least once - most likely more. In the case of…
  • Mar 27

    FINRA Files LPL Financial for Failures to Supervise Alternative Investment

    FINRA Files LPL Financial for Failures to Supervise Alternative Investment
    LPL Financial LLC has been hit again for supervisory failures stemming from the recommendation of non-traded real estate investment trusts (REITs), as well as other illiquid investments, begging the question whether the fines are large enough…
Rank this Week: 2650

Stock Attorneys Blog

Stock Attorneys Blog

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

http://www.stockattorneysblog.com/
  • Apr 3

    Bitcoin Continues to be of Concern to Regulatory Authoritie

    Bitcoin Continues to be of Concern to Regulatory Authoritie
    It was just a matter of time before we got to the point of using electronic currency to buy, sell and trade just about anything. Although there are a few detractors who prefer to go old-school by sticking to cold, hard cash, the use of…
  • Apr 1

    Two Guys Walked into a Bar: Investment Broker, Law Clerk, and “Middleman” Bilk $5.6 Million Through Insider Trading

    Two Guys Walked into a Bar: Investment Broker, Law Clerk, and “Middleman” Bilk $5.6 Million Through Insider Trading
    Take one high-profile investment firm broker, one managing clerk at a law office, and throw in a middleman with a penchant for eating the written evidence at Grand Central, and what do you get? The results are a Securities Exchange…
  • Mar 31

    Puerto Rico Municipal Bonds: Not Just Another Muni

    Puerto Rico Municipal Bonds: Not Just Another Muni
    Trying to navigate your way through the world of investing in an effort to not only make good investment decisions, but also to avoid the pitfalls of poor investment advice, can be a daunting task. Some investors struggle just trying to…
Rank this Week: 2772

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: 2800

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: 2850

Securities Mining Law

Securities Mining Law

Covers securities law affecting the mining industry in Canada.

http://www.securitiesmininglaw.com/
  • Apr 17

    BC Environmental Assessment Office Fee

    BC Environmental Assessment Office Fee
    The Province of British Columbia approved an Order in Council dated April 11, 2014 to establish environmental assessment fees in British Columbia for the review of environmental assessment applications, orders and enforcement fees. The fee…
  • Apr 16

    Mandatory reporting standards for payments by extractive industry companie

    Mandatory reporting standards for payments by extractive industry companie
    The Government of Canada recently issued a Consultation Paper regarding proposed mandatory reporting standards (the proposed standards) for payments by extractive industry companies to governments, both domestic and foreign, and including…
  • Mar 28

    British Columbia Aboriginal Mentoring and Training Association (“BCAMTA”)

    British Columbia Aboriginal Mentoring and Training Association (“BCAMTA”)
    On February 7, 2014, BCAMTA opened its office in Terrace to guide and support aboriginal people towards gaining employment in the mining and exploration industry. There are a number of mines planned in the Terrace area and the need for…
Rank this Week: 2863

100 F Street

100 F Street

Covers securities law for growing businesses. By Vanessa Schoenthaler.

http://100fstreet.com/
  • Apr 9

    You Know that Old Adage About a Picture Being Worth a 1,000 Words …

    You Know that Old Adage About a Picture Being Worth a 1,000 Words …
    TweetOr perhaps this post should be entitled: “Lessons in How Not to Preside Over Your Annual Meeting” While I haven’t been following the proxy contest over at Harvard Illinois Bancorp, things seem to have taken an…
  • Apr 8

    The SEC Issues 9 New FAQs Relating to Conflict Mineral Disclosure

    The SEC Issues 9 New FAQs Relating to Conflict Mineral Disclosure
    TweetWith the filing deadline for the first Form SD a little more than a month away (June 2, 2014), yesterday the Division of Corporation Finance issued nine new FAQs providing additional conflict mineral disclosure guidance. This…
  • Mar 17

    CorpFin’s Updated and Refined WKSI Ineligible Issuer Waiver Framework

    CorpFin’s Updated and Refined WKSI Ineligible Issuer Waiver Framework
    TweetOn Wednesday the Division of Corporation Finance issued a revision to its July 2011 statement on well-known seasoned issuer waivers. The original statement was issued to provide guidance on what constitutes “a showing of good…
Rank this Week: 3305

The Securities Edge

The Securities Edge

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

http://www.thesecuritiesedge.com/
  • Apr 18

    Don’t cross the border!: Intrastate offering exemption still not useful despite new interpretation

    Don’t cross the border!: Intrastate offering exemption still not useful despite new interpretation
    Posted By: David C. Scileppi Last week, the SEC issued three new interpretations related to the so-called “intrastate offering exemption,” which is a registration exemption that facilitates the financing of local business…
  • Mar 21

    Proposed relief for companies going public is insufficient

    Proposed relief for companies going public is insufficient
    Posted By: David C. Scileppi In recent weeks, a bill has been reported out of the House Committee on Financial Services promising relief to companies going public.  While I applaud their intentions, this bill will not have much impact,…
  • Mar 4

    Uniform Fiduciary Standard for Broker-Dealers: An Update

    Uniform Fiduciary Standard for Broker-Dealers: An Update
    Posted By: Stephanie Quiñones As we blogged about last August, Section 913 of the Dodd-Frank Act directed the SEC to study the need for establishing a new, uniform, federal fiduciary standard of care for brokers and investment…
Rank this Week: 3321

Stock Market Loss

Stock Market Loss

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

http://www.stockmarketloss.com/news/
  • Feb 27

    What Happens in an Arbitration Proceeding?

    What Happens in an Arbitration Proceeding?
    This article was originally posted on Stock Market LossArbitrations are conducted under the auspices of the Financial Industry Regulatory Authority (FINRA). The case is commenced with the filing of a Statement of Claim, which is a complaint…
  • Feb 14

    FINRA Seeks to Prohibit Brokerage Firms From Buying Customer Cooperation in Expungement Proceeding

    FINRA Seeks to Prohibit Brokerage Firms From Buying Customer Cooperation in Expungement Proceeding
    This article was originally posted on Stock Market LossClaimants lawyers have long complained that brokerage firms should not be permitted to insist, as a condition of settling a dispute, that the customer must cooperate in having the…
  • Jan 9

    New FINRA Team Will Track Patterns of Sales Abuse and “Broker Migration”

    New FINRA Team Will Track Patterns of Sales Abuse and “Broker Migration”
    This article was originally posted on Stock Market LossThe Financial Industry Regulatory Authority intends to field an enforcement team tasked with focusing on brokers whose records show patterns of complaints or sales abuses. The team will…
Rank this Week: 3412

Tim O'Connor's Blog

Tim O'Connor's Blog

Covers stockbroker fraud.

http://stockbrokerlaw.com/_blog/Tim_O%27Connor%27s_Blog
  • 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,…
  • 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,…
  • Dec 31

    Functional Fiduciary Liability Under ERISA

    Functional Fiduciary Liability Under ERISA
    There are over one million ERISA-qualified pension plans in the United States, including two hundred thousand defined benefit plans.  At one time, defined benefits plans were the predominant vehicle for employer-funded employee…
Rank this Week: 3472

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: 3665

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: 3688

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: 3879

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: 3952

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
Rank this Week: 3983

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
  • 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…
  • Mar 27

    Edward Jones Fined for Non-Traditional ETF Sales Practice

    Edward Jones Fined for Non-Traditional ETF Sales Practice
    Continuing the recent trend of enforcement actions relating to the sale of complex products, securities regulator FINRA earlier this year fined full-service broker-dealer Edward D. Jones & Co., L.P. (Edward Jones) $200,000 for failing to…
  • Mar 21

    Berthel Fisher Fined for Failure to Supervise Sales of Non-Traded REITs and Complex Product

    Berthel Fisher Fined for Failure to Supervise Sales of Non-Traded REITs and Complex Product
    FINRA recently fined broker-dealer Berthel Fisher & Company Financial Services, Inc. and its affiliate a combined $775,000 for supervisory deficiencies involving the sale of non-traded real estate investment trusts (REITs) and leveraged…
Rank this Week: 4046

Securities Law Blog

Securities Law Blog

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

http://www.securitieslaw-blog.com/
  • Apr 18

    Agent Sentenced To Five Years In Southern California For Ponzi Scheme

    Agent Sentenced To Five Years In Southern California For Ponzi Scheme
    Michael Zuno Zuniga of Fullerton, California was sentenced to five years in Los Angeles County jail and ordered to pay $1.2 million in restitution for his part in a Ponzi scheme that preyed on senior citizens in the Los Angeles area. The…
  • Apr 16

    Ruling Upcoming On Fiduciary Duty For Broker

    Ruling Upcoming On Fiduciary Duty For Broker
    Should brokers be required to act in the best interest of their clients when providing personalized investment advice, including recommendations about securities, to retail investors? The answer to that question is close to a resolution.…
  • Apr 15

    Bitcoin Entrepreneurs Urge For More Regulation

    Bitcoin Entrepreneurs Urge For More Regulation
    Last month, the IRS declared that it would consider bitcoins as property and not currency for tax reasons. This came to the pleasant surprise of many Bitcoin proponents who have longed for more federal regulation and would like to see more of…
Rank this Week: 4130

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: 4239

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
  • Apr 14

    UBS Puerto Rico Investment Loss Claims Rise as Island Debt Downgraded to Junk Statu

    UBS Puerto Rico Investment Loss Claims Rise as Island Debt Downgraded to Junk Statu
    The nationally recognized investment fraud attorneys at Levin Papantonio are actively filing claims on behalf of investors who suffered unwarranted losses. UBS Financial Services of Puerto Rico routinely advised clients to take concentrated…
  • Apr 14

    What’s Wrong with Public Non-Traded REITs?

    What’s Wrong with Public Non-Traded REITs?
    A Real Estate Investment Trust (REIT) allows investors to own and operate income-producing real estate through a corporation. The real estate in a REIT can range from offices and apartment buildings to warehouses or timberlands. The benefit…
  • Sep 9

    He's Not Above The Law - But It's Still a Slap On The Wrist

    He's Not Above The Law - But It's Still a Slap On The Wrist
    According to Forbes, Philip Falcone is No. 377 on the list of the 1%, worth $1.2 billion as of March 2013 as well as one of the Top 40 hedge fund managers in the U.S. Except that he won't be doing that anymore - for awhile, anyway.  read…
Rank this Week: 4245

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: 4260

Chicago Securities Lawyer Blog

Chicago Securities Lawyer Blog

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

http://www.chicagosecuritieslawyerblog.com/
  • 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…
  • Jan 20

    Justice Department Weak on Charging Individuals for White Collar Crime

    Justice Department Weak on Charging Individuals for White Collar Crime
    On Friday, January 17, 2014, the Wall Street Journal reported that a University of Virginia law professor's analysis revealed that the Justice Department hadn't charged employees at nearly two thirds of nearly 400 companies that have settled…
  • Jan 20

    The Wolf of Wall Street

    The Wolf of Wall Street
    I have attached an article by Jonathan Weil that everyone shoulld find interesting. 'Wolf of Wall Street' Offspring Never Quite Die Normally it wouldn't be news that a small-fry stock hustler like Christopher F. Veale got busted for…
Rank this Week: 4274

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: 4341

Footnoted

Footnoted

Reports on actionable information in SEC filings.

http://www.footnoted.com/
  • Apr 11

    Hertz CFO being paid twice for one job

    Hertz CFO being paid twice for one job
    Hertz' new CFO is being paid twice -- once by Hertz and an even larger "salary" by his former employer, Hilton Worldwide.
  • Apr 7

    Proxy madness: mystery fees at Google

    Proxy madness: mystery fees at Google
    New disclosures in Google's proxy caught our attention and created a bit of a mystery on exactly what the company is paying for.
  • Mar 26

    Advanced Micro Devices execs say game on!

    Advanced Micro Devices execs say game on!
    It's silly season for perks, which means disclosure like the one at AMD which provided Xbox's and PlayStations to their named executives in 2013.
Rank this Week: 4585

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Apr 4

    Client Alert: Surrender Charges & Annuity Churning

    Client Alert: Surrender Charges & Annuity Churning
    Fitapelli Kurta is investigating claims related to surrender charges and other suspicious annuity fees. A surrender charge is a type of sales charge an investor has to pay when he or she sells or withdraws money from…
  • Apr 4

    Investigation: Michael Lombardo, David Lerner Broker

    Investigation: Michael Lombardo, David Lerner Broker
    Fitapelli Kurta is investigating complaints against former David Lerner Associates broker Michael Lombardo, who was terminated by the firm effective March 13, 2014.  Mr. Lombardo was a broker in David Lerner’s Westport, CT branch.…
  • Mar 31

    Investigation: Broker Mark Imbertson of Merrill Lynch

    Investigation: Broker Mark Imbertson of Merrill Lynch
    Fitapelli Kurta is investigating complaints related to Mark E. Imbertsonsale’s sale of risky ETFs while he was registered at Merrill Lynch.  Imbertson first became registered with FINRA in August 1998.  He worked for…
Rank this Week: 4605

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
Rank this Week: 4629

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
  • Apr 14

    The Quagmire of “Unauthorized Access” Remain

    The Quagmire of “Unauthorized Access” Remain
    This guest post was authored by our colleague Jeremy D. Mishkin, partner and chair of the firm’s Litigation practice. His practice emphasizes complex commercial matters, technology, the Internet and First Amendment/Media Law issues. He…
  • Apr 10

    Crisis Management: Law and PR

    Crisis Management: Law and PR
    As readers of this blog know by now, my colleagues and I were members of the defense team that represented U.S. Army Brigadier General Jeffrey Sinclair. Our client faced a rare court-martial of a general officer at Fort Bragg, NC ……
  • Mar 20

    Vindication: General Sinclair Sentenced to a Reprimand and $20K Fine

    Vindication: General Sinclair Sentenced to a Reprimand and $20K Fine
    Today marks the end of what The New York Times recently called “a textbook example of justice gone awry.”  Thankfully, justice was not completely absent from the courtroom this morning. During yesterday’s closing…
Rank this Week: 4744

Andrew Abramowitz, PLLC

Andrew Abramowitz, PLLC

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

http://aalegalnyc.com/blog/
  • Apr 11

    Income Share Agreement

    Income Share Agreement
    I blogged last year about an IPO for a football player – the public offering of a share of the right to receive 20% of Arian Foster’s future football-related income.  There is a movement afoot now to introduce this concept in…
  • Apr 7

    Interesting Reads for the Week April 7

    Interesting Reads for the Week April 7
    A profile of a matching service connecting small businesses with lawyers.  I generally get my clients the old-fashioned way – referrals – but approaches like this could be useful for both lawyers and the businesses. A…
  • Apr 3

    Limiting Investment Risk for Non-Accredited Investor

    Limiting Investment Risk for Non-Accredited Investor
    I’ve noted in past posts that the SEC tends to take a paternalistic attitude toward the notion of non-accredited investors participating in private offerings, with income and net worth enshrined in the applicable rules as a rough proxy…
Rank this Week: 4806

TRACE Blog

TRACE Blog

Covers anti-bribery compliance.

http://traceblog.org/
  • Apr 10

    Reflections on TRACE’s Global Enforcement Report 2013: The Butterfly Effect

    Reflections on TRACE’s Global Enforcement Report 2013: The Butterfly Effect
    While the U.S. remains the leader in formal foreign bribery actions, defined as cross-border enforcement actions by government agencies that have resulted in formal charges or official declinations, other countries are certainly taking steps…
  • Apr 1

    TRACE Poll: March’s Biggest Compliance Story

    TRACE Poll: March’s Biggest Compliance Story
    Vote for what you think is this month’s top compliance story. U.S. government freezes stolen assets of former Nigerian dictator Sani Abacha- A civil forfeiture complaint was unsealed this month indicating that the U.S. Department of…
  • Mar 7

    Guest Post: Five Questions that Can Keep Your Monitor From Running Away

    Guest Post: Five Questions that Can Keep Your Monitor From Running Away
    Today’s guest blog post is written by Ms. Kathleen Hamann. Ms. Hamann, a partner at White & Case LLP in Washington, DC, was previously a Trial Attorney in the FCPA Unit at the Department of Justice, where she selected and oversaw a…
Rank this Week: 4794

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/
Rank this Week: 4859