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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: 1988

Strictly Business

Strictly Business

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

http://www.strictlybusinesslawblog.com/
  • Mar 24

    Venture Capital Term Sheet Negotiation — Part 20: Founders’ Stock

    Venture Capital Term Sheet Negotiation — Part 20: Founders’ Stock
    This post is the twentieth in a series giving practical advice to startups with respect to understanding and negotiating a venture capital term sheet. In the prior nineteen posts, we provided an introduction to negotiation…
  • Feb 5

    Venture Capital Term Sheet Negotiation — Part 19: Board Matter

    Venture Capital Term Sheet Negotiation — Part 19: Board Matter
    This post is the nineteenth in a series giving practical advice to startups with respect to understanding and negotiating a venture capital term sheet. In the prior eighteen posts, we provided an introduction to…
  • Jan 14

    Venture Capital Term Sheet Negotiation — Part 18: Non-Disclosure and Developments Agreement

    Venture Capital Term Sheet Negotiation — Part 18: Non-Disclosure and Developments Agreement
    This post is the eighteenth in a series giving practical advice to startups with respect to understanding and negotiating a venture capital term sheet. In the prior seventeen posts, we provided an introduction to…
Rank this Week: 1990

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/
  • Apr 22

    Merrill Lynch Fined for Faulty Trade Reporting

    Merrill Lynch Fined for Faulty Trade Reporting
    Merrill Lynch was fined almost $20 million by the Financial Conduct Authority (FCA) in London for incorrectly reporting more than 35 million transactions from 2007 to 2014. Merrill Lynch didn’t report, at all, another 120,000…
  • Apr 15

    Labor Department Proposes New Rule Imposing Fiduciary Duty on Broker

    Labor Department Proposes New Rule Imposing Fiduciary Duty on Broker
    In what has become a hot issue this Spring, the Labor Department yesterday proposed a new set of standards for brokers who offer advice in connection with 401(k)’s and other retirement accounts. Currently, brokers are required only to…
  • Apr 10

    Concern Mounts Over the Lack of a Rule Imposing a Fiduciary Duty on Broker

    Concern Mounts Over the Lack of a Rule Imposing a Fiduciary Duty on Broker
    I noted in my March 20 post that the Chair of the SEC had just come out in favor of a rule requiring brokers to act in their clients best interests. While investors wait for the SEC to move forward on the issue, the New York City…
Rank this Week: 2112

Business Law Post

Business Law Post

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

http://www.businesslawpost.com
  • Jan 19

    How to Comply with New York Blue Sky Laws?

    How to Comply with New York Blue Sky Laws?
    As I previously explained here, Rule 506 private placements involve the filing of a Form D with the SEC as well as complying with blue sky notice filings requirements in each state where the investors participating in the offering reside.…
  • Jan 19

    The SEC Increases Focus On Digital Currencie

    The SEC Increases Focus On Digital Currencie
    It is clear that the SEC has been focusing on securities fraud involving digital currencies.  In July 2013, the SEC charged Trendon T. Shavers, the founder and operator of Bitcoin Savings and Trust, with defrauding investors in a…
  • Dec 26

    Blue Sky Filings Made Easy?

    Blue Sky Filings Made Easy?
    One of the reasons that explains why Rule 506 offerings have been so popular as a means of conducting a private placement is because they are exempt from state regulation.  In 1996, the National Securities Markets Improvement Act…
Rank this Week: 2161

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…
  • 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…
  • 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…
Rank this Week: 2371

Cady Bar the Door

Cady Bar the Door

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

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

    Two Regulatory Crise

    Two Regulatory Crise
    It strikes me that two civil regulators are facing dire attacks on aspects of their enforcement programs – both in different U.S. Courts of Appeals – at the same time.  Both of these attacks arise out of generalized statutes…
  • Apr 19

    A Non-Insider Trading Case in the District of Massachusett

    A Non-Insider Trading Case in the District of Massachusett
    Insider trading prosecutions can be difficult.  Because of the haphazard and tortuous growth of insider trading law itself, the prosecutions involve proving lots of different pesky elements.  Fiduciary duties, materiality, trading .…
  • Apr 9

    Three Thoughts about the SEC’s First “Pretaliation” Case

    Three Thoughts about the SEC’s First “Pretaliation” Case
    I was on a flight last Wednesday when the SEC released the first of what whistleblower chief Sean McKessy has dubbed “pretaliation” cases against KBR, Inc.  When I landed I had several emails from colleagues, asking,…
Rank this Week: 2464

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: 2534

New York Securities Lawyers Blog

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

http://www.newyorksecuritieslawyersblog.com/
Rank this Week: 2543

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Apr 25

    Former RBS Securities Advisor Matthew Katke Plead Guilty For RMBS and CLO Fraud

    Former RBS Securities Advisor Matthew Katke Plead Guilty For RMBS and CLO Fraud
    According to the Department of Justice (DOJ), Matthew Katke (Katke) recently waived his right to indictment and pleaded guilty today in Hartford federal court to participating in a multimillion securities fraud scheme. Katke was registered…
  • Apr 22

    Former Ameriprise Advisor Jack McBride Discharged Over Soliciting Leveraged ETF

    Former Ameriprise Advisor Jack McBride Discharged Over Soliciting Leveraged ETF
    According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Jack McBride (McBride) has been the subject of at least 4 customer complaints over the course of his career. Customers have filed to recent…
  • Apr 22

    Top Merrill Lynch Broker Thomas Buck Terminated Under Unusual Circumstance

    Top Merrill Lynch Broker Thomas Buck Terminated Under Unusual Circumstance
    According to news sources, Thomas Buck (Buck) and his daughter Ann Buck, were recently terminated by Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch), now known as Bank of America, NA (Bank of America) under unusual…
Rank this Week: 2568

Stock Attorneys Blog

Stock Attorneys Blog

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

http://www.stockattorneysblog.com/
  • Aug 18

    LPL Financial Fraught with Allegations of Supervisory Failure

    LPL Financial Fraught with Allegations of Supervisory Failure
    Advisor Independence Achilles Heel for Gigantic Investment Organization LPL Financial is one of the nation’s largest broker/dealer investment firms, yet it is not an investment firm in the traditional sense. Whereas most investment…
  • Aug 12

    Total Wealth Management Sanctions Kickback

    Total Wealth Management Sanctions Kickback
    Top Executives Foster Flagrant Fraud Practices It goes without saying that there is a lot of money to be made in the investment industry. Even when investment firms and advisors follow the rules that govern the industry, they stand to earn…
  • Aug 4

    U.S. Attorney’s Office Files Parallel Action in Response to Previous CFTC Fraud Charge

    U.S. Attorney’s Office Files Parallel Action in Response to Previous CFTC Fraud Charge
    The types of investments that one can invest in are nearly as diverse as the brokers who trade them and the investors who invest in them. One such investment practice is commodity futures pools. This type of investment is a private…
Rank this Week: 2637

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Apr 24

    Attorneys investigate Garden State Securities broker, David Persaud

    Attorneys investigate Garden State Securities broker, David Persaud
      The securities and investment fraud law firm, Fitapelli Kurta, is interested in speaking to investors who have complaints relating to David (Dwarka) Persaud formerly of Garden State Securities. According to his BrokerCheck Report,…
  • Apr 24

    Attorneys seek complaints – Ameriprise broker, Julie Irene Smith

    Attorneys seek complaints – Ameriprise broker, Julie Irene Smith
    The securities and investment fraud law firm, Fitapelli Kurta, is interested in speaking to investors who have complaints regarding Ameriprise Financial broker, Julie Irene Smith. The post Attorneys seek complaints – Ameriprise broker,…
  • Apr 23

    Miami based Northeast Securities broker, Patrick McGrath III, suspended/fined

    Miami based Northeast Securities broker, Patrick McGrath III, suspended/fined
    The securities and investment fraud law firm, Fitapelli Kurta, is interested in speaking to investors who have complaints regarding Patrick McGrath III, of Northeast Securities’ Miami, Florida office. The post Miami based Northeast…
Rank this Week: 2779

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: 2789

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…
  • 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…
  • 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.
Rank this Week: 2832

Securities Mining Law

Securities Mining Law

Covers securities law affecting the mining industry in Canada.

http://www.securitiesmininglaw.com/
  • Apr 13

    Mining Issuers: Ensure your Websites and Investor Presentations Comply with NI 43-101

    Mining Issuers: Ensure your Websites and Investor Presentations Comply with NI 43-101
    Mining issuers have their qualified persons (“QPs”) and occasionally legal counsel review technical disclosure, including news releases and technical reports, to ensure they comply with National Instrument 43-101 Standards of…
  • Mar 3

    Welcome Tax Measures Announced at the PDAC 2015 Convention

    Welcome Tax Measures Announced at the PDAC 2015 Convention
    On Sunday March 1, 2015, the Honourable Joe Oliver, Federal Minister of Finance addressed the Prospectors & Developers Association of Canada (“PDAC”) at the annual PDAC Convention in Toronto and announced certain proposals…
  • Feb 23

    PDAC

    PDAC
    Only going to one mining investment show? Make it this one. PDAC International Convention, Trade Show & Investors Exchange is the world’s leading Convention for people, companies and organizations in, or connected with, mineral…
Rank this Week: 2862

Tim O'Connor's Blog

Tim O'Connor's Blog

Covers stockbroker fraud.

http://stockbrokerlaw.com/tim-oconnors-blog
  • Apr 6

    Fifteen Investment Tips for 2015

    Fifteen Investment Tips for 2015
    The Office of Investor Education and Advocacy of the United States Securities and Exchange Commission recently issued an Investor Bulletin entitled, “15 Investment Tips for 2015.” The Bulletin highlights a number of suggestions…
  • Apr 1

    FINRA Issues Cybersecurity Investor Alert

    FINRA Issues Cybersecurity Investor Alert
    On February 3, 2015, FINRA issued an investor alert, entitled “Cybersecurity and Your Brokerage Firm,” outlining the essential questions investors should ask that brokerage firms regarding the safeguarding of their personal…
  • Aug 12

    ERISA Plan Trustees Subject to Offsets for Prohibited Transactions as Functional Fiduciarie

    ERISA Plan Trustees Subject to Offsets for Prohibited Transactions as Functional Fiduciarie
    ERISA-Qualified Pension Plans The past decade has seen an explosion of new investment products being purchased in ERISA-qualified pension plans. These products, including structured products, auction rate notes, private placements, managed…
Rank this Week: 3147

100 F Street

100 F Street

Covers securities law for growing businesses. By Vanessa Schoenthaler.

http://100fstreet.com/
  • Feb 20

    ISS Releases FAQs Related to Its 2015 Proxy Voting Policie

    ISS Releases FAQs Related to Its 2015 Proxy Voting Policie
    Yesterday Institutional Shareholder Services (ISS) released a set of five frequently asked questions related to select proxy voting policies for the 2015 proxy season. The first two questions address shareholder proxy…
  • Feb 16

    Catching Up on All Things Proxy Related From Last Week

    Catching Up on All Things Proxy Related From Last Week
    Among the many things Commission-related going on as of late, here’s a round of up some of the more notable proxy-related matters from the week that was February 9th. The Upcoming Proxy Voting Roundtable On Thursday the Commission…
  • Feb 9

    The SEC Issues Proposed Rules Regarding Disclosure of Hedging by Employees and Director

    The SEC Issues Proposed Rules Regarding Disclosure of Hedging by Employees and Director
    Yesterday the Securities and Exchange Commission announced the adoption of proposed rules to implement Section 955 of the Dodd-Frank Wall Street Reform and Consumer Protection Act which addresses disclosure of company policies…
Rank this Week: 3154

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 23

    The third horseman leaves the paddock

    The third horseman leaves the paddock
    Posted By: Robert B. Lamm It shouldn’t come as a surprise to anyone nerdy enough to be reading this blog that the Dodd-Frank Act mandated SEC rulemaking in four areas relating to the disclosure of executive compensation: pay ratio,…
  • Apr 17

    A high mark (would you believe an A+?) for the SEC

    A high mark (would you believe an A+?) for the SEC
    Posted By: Robert B. Lamm I’ve done my share of griping about the SEC, but credit needs to be given where credit is due. And credit is due to the SEC for adopting a new, improved version of Regulation A that has become known as…
  • Apr 13

    CEO pay ratios: ineffective disclosure on steroid

    CEO pay ratios: ineffective disclosure on steroid
    Posted By: Robert B. Lamm On Sunday, April 12, the Business section of the New York Times led with an article by Gretchen Morgenson taking the SEC to task for not having adopted rules requiring disclosure of CEO pay ratios. This follows…
Rank this Week: 3248

Stock Market Loss

Stock Market Loss

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

http://www.stockmarketloss.com/news/
  • Apr 3

    Merrill Lynch Axes $1.3 Billion Broker Thomas Buck for Alleged Abuse

    Merrill Lynch Axes $1.3 Billion Broker Thomas Buck for Alleged Abuse
    This article was originally posted on Stock Market Loss An Investment News article reports today that Thomas J. Buck, who was Merrill Lynch’s top financial adviser in Indiana by assets under management – reportedly $1.3 billion…
  • Mar 31

    Stockbroker Does Not Have a Fiduciary Duty to an Investor

    Stockbroker Does Not Have a Fiduciary Duty to an Investor
    This article was originally posted on Stock Market Loss The relationship that an investor has with his or her stockbroker is considered by most to be one of absolute trust. An investor entrusts a significant amount of his or her hard earned…
  • Mar 9

    Can a Stock Broker or Investor Be Sued?

    Can a Stock Broker or Investor Be Sued?
    This article was originally posted on Stock Market Loss Losing money in the stock market is not unheard of; many investors may even expect it. However, some investors may find that the loss they experience is not necessarily due to the…
Rank this Week: 3292

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: 3508

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: 3611

Smaller Reporting Company's…

Smaller Reporting Company's Securities Blog

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

http://slgsecurities.com/
  • Dec 22

    F-Squared hit with $35M SEC penalty

    F-Squared hit with $35M SEC penalty
    Originally posted on America's Markets:Fast-growing money management firm F-Squared has agreed to pay $35 million and admit wrongdoing for defrauding investors with false ads about the firm’s flagship product, a federal regulator…
  • Feb 18

    {Video} The difference between Angel Investors and Venture Capitalist

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

    SEC Suspends Trading in 255 “Shell” Companie

    SEC Suspends Trading in 255 “Shell” Companie
    Today, the Securities and Exchange Commission (SEC) issued a Press Release announcing that as a result of its micro-cap fraud-fighting initiative they named “Operation Shell-Expel”, they suspended trading in 255 dormant shell…
Rank this Week: 3744

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: 3819

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: 3927

Stock Broker Attorney Blog

Stock Broker Attorney Blog

Covers current investigations, opinions and industry news relating to securities arbitration, investment fraud, stockbroker or brokerage firm misconduct. By Levin Papantonio Thomas Mitchell Rafferty & Proctor, P.A.

http://www.stockbrokerattorney.com/blog
  • Jan 7

    Man Sentence to 18-Months for Investment Scam

    Man Sentence to 18-Months for Investment Scam
    In Scottsdale, J'Sean Claude Butierries pleaded guilty to defrauding investors out of hundreds of thousands of dollars. He allegedly used the ill-gotten gains to buy himself luxury items like a $195,000 Audi and cosmetic surgery for his wife…
  • Jan 5

    SEC Charges Unlicensed Man with Scamming Investor

    SEC Charges Unlicensed Man with Scamming Investor
    Vinay Kumar Nevatia, of Palo Alto, has been charged by the U.S. Securities and Exchange Commission for allegedly reselling almost $900,000 stock shares of an off-shore company, CSS Technologies (Mauritius) Limited, already owned by eight…
  • Jan 1

    Broker Barred from Practice for Stealing from Elderly

    Broker Barred from Practice for Stealing from Elderly
    Jeffrey McClure, a former employee of Wells Fargo Advisors and an affiliated bank in California, was recently barred from the securities industry after stealing almost $89,000 from an elderly customer. Between December 2012 and August 2014,…
Rank this Week: 3944

Securities Industry Lawyer Blog

Securities Industry Lawyer Blog

Covers securities arbitration and litigation, regulatory defense, and securities industry employment litigation. By Herskovits PLLC.

http://www.finralawyerblog.com/
  • Jul 26

    Robert Herskovits Appears on Reuters TV Side Bar Show

    Robert Herskovits Appears on Reuters TV Side Bar Show
  • Jul 26

    Robert Herskovits Appears on Reuters TV Side Bar Show

    Robert Herskovits Appears on Reuters TV Side Bar Show
    Click on the video below to see Robert Herskovits’ appearance on Side Bar with Bill Singer, a show produced by Reuters. Robert speaks about issues concerning the Protocol for broker recruiting and transition issues faced by registered…
  • May 8

    FINRA Identifies "Red Flags" for AML Compliance

    FINRA Identifies "Red Flags" for AML Compliance
    FINRA recently entered into a settlement with Gar Wood Securities LLC (the "AWC") concerning allegations that Gar Wood facilitated the sale of restricted securities in violation of the Section 5 of the 1933 Act, and the Firm failed to…
Rank this Week: 4095

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: 4192

Recover Investment Losses Blog

Recover Investment Losses Blog

Covers investment scams, broker fraud and broker negligence. By Rex Securities Law.

http://blog.rexsecuritieslaw.com
  • Apr 23

    ForceField Energy Stock Trading Suspended-CEO Arrested for Securities Fraud

    ForceField Energy Stock Trading Suspended-CEO Arrested for Securities Fraud
    April 21, 2015- The Securities and Exchange Commission (SEC) suspended trading in the securities of ForceField Energy, Inc. (FNRG)  until May 5th due to concerns about the adequacy and accuracy of information available to investors in…
  • Apr 23

    Former D’Hanis State Bank President Indicted for Fraud & Embezzlement

    Former D’Hanis State Bank President Indicted for Fraud & Embezzlement
    April 17, 2015- San Antonio, Texas The FBI announced that Laurie Mayfield (aka Laurie H. Scott), 54, of Fredericksburg, Texas, was indicted for bank fraud and embezzlement. According to the release, Mayfield , formerly president of…
  • Apr 23

    Houston Broker Suspended for Trading Account Without Client’s Permission

    Houston Broker Suspended for Trading Account Without Client’s Permission
    April 8, 2015- Austin, Texas The Texas State Securities Board (TSSB) suspended Bruce William Schoendorf, an investment adviser of Hurwitz Associates,  for ten days for exercising discretion in a client account in violation of a…
Rank this Week: 4199

Footnoted

Footnoted

Reports on actionable information in SEC filings.

http://www.footnoted.com/
  • Apr 17

    Golden parachutes for government service?

    Golden parachutes for government service?
    A new shareholder proposal by the AFL-CIO questions accelerated vesting for employees at 4 financial services giants who leave to join the government.
  • Mar 27

    An inverse relationship at J.C. Penney

    An inverse relationship at J.C. Penney
    Before he was replaced as CEO, Marvin Ullman was a very avid user of JC Penney's corporate jet for personal travel.
  • Mar 18

    Hunting for Perks in Proxy Season

    Hunting for Perks in Proxy Season
    Proxy season invariably means the disclosure of some unique perks, including a hunting lodge at ArcBest.
Rank this Week: 4443

Subject to Inquiry

Subject to Inquiry

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

http://www.subjecttoinquiry.com/
  • Apr 24

    DOJ Criminal Division Chief Provides Guidance on Corporate Charging Decision

    DOJ Criminal Division Chief Provides Guidance on Corporate Charging Decision
    On April 17, 2015, Assistant Attorney General Leslie Caldwell provided helpful guidance regarding the Justice Department’s approach to corporate charging decisions in remarks that she delivered at New York University Law School’s…
  • Apr 24

    DOJ Criminal Division Chief Provides Guidance on Corporate Charging Decision

    DOJ Criminal Division Chief Provides Guidance on Corporate Charging Decision
    On April 17, 2015, Assistant Attorney General Leslie Caldwell provided helpful guidance regarding the Justice Department’s approach to corporate charging decisions in remarks that she delivered at New York University Law School’s…
  • Apr 23

    Agency Cooperation in Fair Lending Enforcement

    Agency Cooperation in Fair Lending Enforcement
    Joint investigations, cross-agency partnership, cooperation … terms all too familiar to regulatory and defense practitioners accustomed to collaboration among the alphabet soup of federal regulators. These terms may now be regularly…
Rank this Week: 4470

White Collar Alert

White Collar Alert

Provides news and insight to counsel and legal observers concerning white collar criminal defense, internal investigations, government litigation and regulatory compliance. By Montgomery McCracken.

http://whitecollarblog.mmwr.com
Rank this Week: 4490

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: 4491

Andrew Abramowitz, PLLC

Andrew Abramowitz, PLLC

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

http://aalegalnyc.com/blog/
  • Apr 16

    Employee vs. Independent Contractor

    Employee vs. Independent Contractor
    In my practice, the question of classification of service providers as employees or independent contractors has come up with increasing frequency.  This probably results from the increasing amount of freelancing in the economy in recent…
  • Apr 14

    Interesting Reads of the Week

    Interesting Reads of the Week
    Some interesting legal reads for the week of April 13, 2015: From DealBook, arguments in favor of allowing law firms to go public. From Bloomberg, leveraged loans are not considered securities, which is a disputed point. From the WSJ, several…
  • Apr 2

    Regulation A+ – How It Fits Into the System

    Regulation A+ – How It Fits Into the System
    The SEC recently adopted final rules implementing significant changes to securities offerings done under Regulation A.  Because of the greatly expanded scope of the offerings, they are referred to colloquially as Regulation A+…
Rank this Week: 4551

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/
  • Apr 23

    Barry Bonds, Ramblin’ Man

    Barry Bonds, Ramblin’ Man
      The federal appeals court in San Francisco recently reversed baseball player Barry Bonds’s conviction for obstruction of justice.  The criminal charge and conviction arose out of testimony that Bonds gave to a grand…
  • Apr 15

    The Old College Try, and The New College Tribunal

    The Old College Try, and The New College Tribunal
    In disciplinary proceedings involving claims of sexual assault, universities continue to find themselves in an intolerable situation, caught in a lawyer-triangle of the Department of Education’s Office of Civil Rights,…
  • Mar 28

    White-Collar Felon Registries, Hester Prynne and The Drive-By Trucker

    White-Collar Felon Registries, Hester Prynne and The Drive-By Trucker
    Although one must admire the historicist sensibilities of a state legislature that just reinstated the firing squad  as a methodology for execution, the Utah legislature’s passage of a bill to create a white-collar crime…
Rank this Week: 4578

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/
  • Mar 2

    The SEC’s Examination Priorities for 2015

    The SEC’s Examination Priorities for 2015
    The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (“OCIE”) announced the National Examination Program (“NEP”).  Below are the top 6 things to take away…
  • Feb 18

    FINRA’s Regulatory and On-Site Exam Priorities for 2015

    FINRA’s Regulatory and On-Site Exam Priorities for 2015
    Gear up and prepare yourselves –FINRA says they’re concerned with: 1)      Senior Investors. Due to the aging of “Baby Boomers,” the population of senior investors is large…
  • Feb 9

    The SEC’s View on Historic Fine

    The SEC’s View on Historic Fine
    When former federal prosecutor Mary Jo White was appointed the Chairwoman of the Securities and Exchange Commission (“SEC”), everyone in the securities industry knew right away that…
Rank this Week: 4633

TRACE Blog

TRACE Blog

Covers anti-bribery compliance.

http://traceblog.org/
  • Dec 24

    Top 10 of 2014 – Vote on the Year’s Biggest Compliance Story

    Top 10 of 2014 – Vote on the Year’s Biggest Compliance Story
    It’s been quite a year in the world of anti-bribery compliance.  Here at TRACE, we’ve compiled our “Top 10 List” based on your poll results over the last twelve months. Read through the list below for a look…
  • Dec 19

    Day 10: Online Training

    Day 10: Online Training
    For the final day of our holiday promotion, TRACE is offering one company complimentary access to our online training for one year. Our system administrators will set the winner up with a branded platform to train up to 500…
  • Dec 18

    Day 9: In-Person Training

    Day 9: In-Person Training
    Supplement your training program with a customized, in-person training session conducted by one of our experienced FCPA attorneys. This half-day session will enable one lucky company to train their employees on anti-bribery regulations and…
Rank this Week: 4769

New York Securities Lawyer Blog

New York Securities Lawyer Blog

Covers securities law. By Lax & Neville LLP.

http://www.newyorksecuritieslawyerblog.com/
Rank this Week: 4974