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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: 1909

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 27

    Private Share Litigation Cases are Challenging

    Private Share Litigation Cases are Challenging
    In a very high profile private share litigation, Theranos, a privately held health-technology and medical-laboratory-services company worth $9 billion as of 2014, has been sued this Monday by one of its largest and trusted financial backers,…
  • Jun 19

    Split Decision on Arbitration in Bank of America Case

    Split Decision on Arbitration in Bank of America Case
    This week, a Florida appeals court partially reversed a ruling denying Bank of America’s efforts to arbitrate various claims related to the Scott Rothstein Ponzi scheme. Bank of America, N.A. v. Beverly, Nos. 4D14-3167, 4D14-3168 (Fla.…
  • Jun 19

    Split Decision on Arbitration in Bank of America Case

    Split Decision on Arbitration in Bank of America Case
    This week, a Florida appeals court partially reversed a ruling denying Bank of America’s efforts to arbitrate various claims related to the Scott Rothstein Ponzi scheme. Bank of America, N.A. v. Beverly, Nos. 4D14-3167, 4D14-3168 (Fla.…
Rank this Week: 1943

Business Law Post

Business Law Post

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

http://www.businesslawpost.com
  • Mar 13

    SaaS Contracts vs Software License Agreement

    SaaS Contracts vs Software License Agreement
    Just like technology itself, technology contracts are becoming more and more complex.  Yet, the legal theories that apply to them remain the same. Understanding the technological aspects of the transaction allows attorneys to apply…
  • Mar 11

    Deconstructing Open Source Software License

    Deconstructing Open Source Software License
    When drafting and negotiating software license agreements, I frequently come across open source licenses.  This blog post is to clarify some of the myths that exist around the definition and use of open source software.First, I want to…
  • Feb 6

    Are Terms of Use and Other Online Agreements Real and Binding Contracts?

    Are Terms of Use and Other Online Agreements Real and Binding Contracts?
    It used to be that people would enter into binding agreements by manually signing them. A signature manifested the two required aspects of forming a binding contract: a notice and an assent, i.e., the signatory has read the agreement and…
Rank this Week: 2008

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: 2020

New York Securities Lawyers Blog

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

http://www.newyorksecuritieslawyersblog.com/
  • Jul 14

    What is There to Gain From Being a Whistleblower?

    What is There to Gain From Being a Whistleblower?
    It takes a lot of courage to report illegal or fraudulent misconduct by one’s own employer.  This is because being a whistleblower carries significant risks.  Whistleblowers not only risk their current employment, but possible…
  • Jul 7

    Can I Sue My Financial Advisor for Elder Abuse?

    Can I Sue My Financial Advisor for Elder Abuse?
    Financial exploitation of the elderly by a financial advisor can take many shapes and forms, and, though sometimes hard to prove, it is indeed possible to recover one’s financial losses from the broker or financial institution who…
  • Jun 22

    Can I Sue My Brokerage Firm for Filing a False Form U5?

    Can I Sue My Brokerage Firm for Filing a False Form U5?
    Can I Sue My Brokerage Firm for Filing a False Form U5? Financial firms that deal in securities do carry legal liability for filing a Form U5 with false information, and financial advisors can indeed sue their former firms for filing an…
Rank this Week: 2146

Recover Investment Losses Blog

Recover Investment Losses Blog

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

http://blog.rexsecuritieslaw.com
Rank this Week: 2262

Cady Bar the Door

Cady Bar the Door

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

http://www.secmiscellany.com
  • Jun 15

    Supreme Court Says Prosecutors Can’t Judge the Cases They Prosecute

    Supreme Court Says Prosecutors Can’t Judge the Cases They Prosecute
    Not all of the justices would put it that way.  To be fair to the dissenters, and because his version is shorter, we’ll use Justice Thomas’s description of the underlying facts from his dissent in Williams v. Pennsylvania,…
  • Jun 13

    Don’t even think about violating that penny stock bar.

    Don’t even think about violating that penny stock bar.
    The penny stock world can be rough. So rough that breaking the rules in that corner of the securities markets ban bring its own kind of injunction, one that’s much more specific than the typical don’t-break-the-law-anymore kind of…
  • May 25

    The Insider Trading Cartoon Series, Vol. IX — Tender Offer

    The Insider Trading Cartoon Series, Vol. IX — Tender Offer
    I want to talk about Rule 14e-3, because it has significant implications for insider trading liability.  But to do that, we first have to talk about tender offers, and what they are.     The post The Insider Trading Cartoon…
Rank this Week: 2293

Stock Attorneys Blog

Stock Attorneys Blog

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

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

    Cagle Fined and Suspended for Two Months by FINRA

    Cagle Fined and Suspended for Two Months by FINRA
    (FINRA Case #2016051146801) Adriane L. Cagle (CRD #6236929, Fayetteville, Georgia) submitted an AWC (Accept, Waiver & Consent) in which she was assessed a deferred fine of $5,000 and suspended from association with any FINRA member in all…
  • Jul 19

    Scott Sibley Barred from FINRA

    Scott Sibley Barred from FINRA
    (FINRA Case #2015044123501) Scott Allen Sibley (CRD #1523981, Fort Lauderdale, Florida) submitted an AWC (Accept, Waiver & Consent) in which he was barred from association with any FINRA member in all capacities. Without admitting or…
  • Jul 18

    FSC Securities Corporation censured and Fined by FINRA

    FSC Securities Corporation censured and Fined by FINRA
    (FINRA Case #2012034037602) FSC Securities Corporation (CRD #7461, Atlanta, Georgia) submitted an AWC (Accept, Waiver & Consent) in which the firm was censured and fined $200,000. Without admitting or denying the findings, the firm…
Rank this Week: 2388

Investment Fund Law Blog

Investment Fund Law Blog

Provides updates and insights on legal issues facing fund managers and investors. By Pillsbury Winthrop Shaw Pittman LLP.

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

    HFMWEEK AWARDS PILLSBURY INVESTMENT MANAGEMENT PRACTICE FOR SERVICE TO HEDGE FUND STARTUPS

    HFMWEEK AWARDS PILLSBURY INVESTMENT MANAGEMENT PRACTICE FOR SERVICE TO HEDGE FUND STARTUPS
    NEW YORK—Pillsbury has been named Best Onshore Law Firm for Hedge Fund Startups by HFMWeek at its HFM U.S. Hedge Fund Services Awards 2016.  Partner Ildiko Duckor, who is co-leader of the firm’s Investment Funds &…
  • Oct 4

    New Law Mandates Disclosure of Alternative Fund Fees By California Public Pension

    New Law Mandates Disclosure of Alternative Fund Fees By California Public Pension
    To increase the transparency of fees and expenses paid to alternative funds, every California public pension plan must require each alternative fund in which they invest to make various disclosures, and California public pension plans are…
  • Sep 21

    Higher Qualified Client Net Worth Threshold Effective August 15, 2016

    Higher Qualified Client Net Worth Threshold Effective August 15, 2016
    3(c)(1) funds should update their offering documents to reflect $2.1 million net worth requirement. Assets under management threshold remains unchanged at $1 million. Only new client relationships entered and new investors admitted in private…
Rank this Week: 2513

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
  • Jan 14

    When is “Rate of Return” not the Real Rate of Return?

    When is “Rate of Return” not the Real Rate of Return?
    Investors need to be careful when they review and rely on performance reports provided by their stockbroker or financial advisor.  I recently reviewed a performance report that was provided to an investor by a major warehouse brokerage…
  • Apr 8

    FINRA BrokerCheck: Beware the … Blue … Flags?

    FINRA BrokerCheck: Beware the … Blue … Flags?
    FINRA recently underwent some changes to its BrokerCheck website.  For those that do not know, BrokerCheck is the online repository in which the Financial Industry Regulatory Authority (FINRA) discloses certain information about stock…
  • Mar 27

    FINRA Securities Arbitration Statistics – February 2011

    FINRA Securities Arbitration Statistics – February 2011
    FINRA recently reported its February 2011 arbitration statistics. For the two-month period ended February 28, 2011, 837 claims were filed. This represents a decrease of 9% as compared to the number of cases filed in February 2010 (918). The…
Rank this Week: 2586

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: 2648

Securities Law Attorneys Blog

Securities Law Attorneys Blog

Covers securities law. By Fitapelli | Kurta.

http://www.securitieslawattorneys.net/
  • Jul 21

    Abraham Heimann Has Three Pending Customer Complaint

    Abraham Heimann Has Three Pending Customer Complaint
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 20, 2017 indicate that former Georgia-based Cetera Advisors broker Abraham Heimann has received several pending customer disputes.…
  • Jul 21

    Mike Milne Received a FINRA Sanction

    Mike Milne Received a FINRA Sanction
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 20, 2017 indicate that former Florida-based Kovack Securities broker/adviser Mike Milne has received a pending customer dispute…
  • Jul 21

    Jeb Bonner Was Discharged From a Former Employer in Connection to Alleged Rule Violation

    Jeb Bonner Was Discharged From a Former Employer in Connection to Alleged Rule Violation
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 20, 2017 indicate that former Alabama-based Raymond James & Associates broker/adviser Jeb Bonner was recently discharged from…
Rank this Week: 2658

Securities Mining Law

Securities Mining Law

Covers securities law affecting the mining industry in Canada.

http://www.securitiesmininglaw.com/
  • Oct 21

    Mining M&A and Consolidation: Are We There Yet?

    Mining M&A and Consolidation: Are We There Yet?
    For a third consecutive year, Dentons is proud to support the Mining & Investment Latin America Summit (MILA), the largest mining and investment event in Latin America, which was incepted in 2014. This year’s summit will host an…
  • Jun 9

    Compliance alert: Mine Financial Security, Reclamation and Closure Policy by Yukon Government

    Compliance alert: Mine Financial Security, Reclamation and Closure Policy by Yukon Government
    The Yukon Territorial Government has published a “Yukon Quartz Mine Financial Security, Reclamation and Closure Policy,” dated February 2016 (Policy). The Policy is intended to cover all lands in Yukon, whether Category…
  • May 20

    Insolvency and energy insights: The Redwater decision

    Insolvency and energy insights: The Redwater decision
    An Alberta court has held that provisions of the Bankruptcy and Insolvency Act allowing a trustee or receiver to disclaim real property without assuming environmental  liabilities in relation thereto renders inoperable provincial…
Rank this Week: 2696

Tim O'Connor's Blog

Tim O'Connor's Blog

Covers stockbroker fraud.

http://stockbrokerlaw.com/tim-oconnors-blog
  • Jul 19

    State Regulators – The State-by-State Resource for Victimized Senior

    State Regulators – The State-by-State Resource for Victimized Senior
    Where do North American investors go when looking for their state or province specific securities regulators? The organization ServeOurSeniors.org maintains a state-by-state resource for consumers and investors in all fifty states, as well as…
  • Jul 6

    SEC Whistleblower Award of More Than One Half Million Dollars Paid to Whistleblower Insider

    SEC Whistleblower Award of More Than One Half Million Dollars Paid to Whistleblower Insider
    In a Press Release dated May 2, 2017, the SEC announced the payment of a Whistleblower award in excess of one half million dollars to a company employee who provided specific information disclosing a fraudulent practice.  In the release,…
  • May 23

    FINRA Issues Guidance on SEC Approved Rules to Prevent Exploitation of Senior Citizen

    FINRA Issues Guidance on SEC Approved Rules to Prevent Exploitation of Senior Citizen
    The Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 17-11 offering guidance on new SEC guidelines and approvals, including the adoption of FINRA Rule 2165 (Financial Exploitation of Specified Adults). This new…
Rank this Week: 2802

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: 2926

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: 2972

The Securities Edge

The Securities Edge

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

http://www.thesecuritiesedge.com/
  • Jul 12

    On the subject of effective disclosure…

    On the subject of effective disclosure…
    The young ones among you may not be familiar with Harvey Pitt, but he is an incredibly smart man and a gifted attorney who chaired the SEC some years back.  He made some political gaffes in that role, but that doesn’t diminish his…
  • Jun 13

    Don’t stop B-lievin’: A “Journey” into benefit corporation

    Don’t stop B-lievin’: A “Journey” into benefit corporation
    When you think of corporations, you think “maximize profits for shareholders”. This notion is being turned on its head as a growing sustainable business movement asks: “Can we look to factors in addition to profit to measure…
  • Jun 12

    The CAMs are coming and other enlightened enhancements courtesy of the PCAOB

    The CAMs are coming and other enlightened enhancements courtesy of the PCAOB
    Earlier this month, after seven years of threats, the PCAOB adopted rules to drastically change the standard auditor’s report. In adopting the rules, the PCAOB noted that the standard auditor’s report had largely remained…
Rank this Week: 3004

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: 3254

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: 3340

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: 3428

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: 3504

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: 3541

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
  • May 3

    Former PNC Investments Advisor Obtains $1.8 Million Award Against the Firm

    Former PNC Investments Advisor Obtains $1.8 Million Award Against the Firm
    As reported in Investment News, a FINRA arbitration panel recently ruled against PNC Investments LLC, the broker-dealer subsidiary of PNC Bank, and in favor of a former financial advisor, awarding her $1.8 million.  The Award is notable…
  • Feb 15

    FINRA Bars Former Wells Fargo Advisors Broker Matthew Maczko

    FINRA Bars Former Wells Fargo Advisors Broker Matthew Maczko
    The securities law firm of Amato Law Firm, LLC is investigating potential securities law claims involving former Wells Fargo Advisors, LLC representative Matthew Maczko.  Mr. Maczko, who worked in Wells Fargo Advisors’ Oak Brook,…
  • Jan 19

    Large Raiding Award Against Robert W. Baird & Co. Underscores Issues with Team Transition

    Large Raiding Award Against Robert W. Baird & Co. Underscores Issues with Team Transition
    A notable (due to its size) $23.5 million FINRA arbitration award against broker-dealer Robert W. Baird & Co. (Baird) and some of its representatives, issued by a three-member FINRA panel in Kansas last week, underscores the issues that…
Rank this Week: 3560

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, a show produced by Reuters. Robert speaks about issues concerning the Protocol for broker recruiting and transition issues faced by registered representatives…
  • 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…
Rank this Week: 3744

Florida Securities Fraud Attorney…

Florida Securities Fraud Attorney Blog

Covers Florida securities fraud cases and issues. By the Law Offices of Ralph Behr.

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…
  • 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: 3869

New York Securities Lawyer Blog

New York Securities Lawyer Blog

Covers securities law. By Lax & Neville LLP.

http://www.newyorksecuritieslawyerblog.com/
Rank this Week: 3946

Subject to Inquiry

Subject to Inquiry

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

http://www.subjecttoinquiry.com/
  • Jul 21

    DOJ Takes Down AlphaBay, the World’s Largest Dark Web Marketplace

    DOJ Takes Down AlphaBay, the World’s Largest Dark Web Marketplace
    The U.S. Department of Justice has announced the seizure of AlphaBay, the largest criminal marketplace on the Internet, which was used to sell stolen financial information, identification documents and other personal data, computer hacking…
  • Jul 11

    CFPB Issues Game-Changing Rule On Arbitration Clause

    CFPB Issues Game-Changing Rule On Arbitration Clause
    On Monday, July 10, 2017, the Consumer Financial Protection Bureau (CFPB) issued a game-changing final rule regarding the use of arbitration clauses in consumer contracts.  The Rule is effective 60 days following its publication in the…
  • Jul 6

    Treasury Department Recommends Broad Reforms to CFPB

    Treasury Department Recommends Broad Reforms to CFPB
    The Department of the Treasury recently cited the CFPB’s “unaccountable structure and unduly broad regulatory powers,” in suggesting reforms to address the CFPB’s “regulatory abuses and excesses.” The…
Rank this Week: 4004

Investment Fraud Information

Investment Fraud Information

By Andrew Stoltmann.

http://www.investmentfraudtimes.com/securities-fraud-attorneys/
Rank this Week: 4023

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: 4079

Footnoted

Footnoted

Reports on actionable information in SEC filings.

http://www.footnoted.com/
Rank this Week: 4149

Regulation tomorrow

Regulation tomorrow

By Norton Rose Fulbright. Offers resources on the global financial services regulatory environment. It reports on financial services regulatory developments and provides insights and commentary across Africa, Asia, Australia, Canada, Europe and the United States.

http://www.regulationtomorrow.com/
  • Jul 21

    Latest issue of Global Asset Management Quarterly now available

    Latest issue of Global Asset Management Quarterly now available
    The sixth issue of our Global Asset Management Quarterly is now available. You can also register to automatically receive each issue as it is released. This publication highlights key developments that will be of interest to, and affect, our…
  • Jul 21

    Global Asset Management Quarterly – latest issue

    Global Asset Management Quarterly – latest issue
    The latest issue of Global Asset Management Quarterly is now available. EU / UK articles Quarterly update Cross-jurisdictional AIFMD guides 2017 FCA publishes asset management market study: not quite an earthquake but beware of the…
  • Jul 21

    ESMA opinion on asset segregation and applying depositary delegation rules to CSD

    ESMA opinion on asset segregation and applying depositary delegation rules to CSD
    The European Securities and Markets Authority (ESMA) has published an opinion addressed to the European Parliament, the Council of the EU and the European Commission in which it sets out its views on: the optimal approach to asset segregation…
Rank this Week: 4263

White Collar Wire

White Collar Wire

Covers news, cases, judicial opinions, practical tips and scholarly work regarding white-collar criminal and civil enforcement, grand jury investigations and regulatory compliance. By Jackson R. Sharman, III.

http://jacksharman.com/
  • Jul 21

    Summer Crime, “Young Lawyers,” Martini

    Summer Crime, “Young Lawyers,” Martini
    Summer’s heat is fully upon us.  Let us take a moment for crime fiction and cocktails. For recent crime-fiction releases, take a look at Midmonth Book Notes  from The Poisoned Pen bookstore. Also, here is a useful…
  • Jul 14

    Booze Beats Law: Subscribe to White Collar Wire

    Booze Beats Law: Subscribe to White Collar Wire
    Please take a moment to subscribe to White Collar Wire’s email newsletter.  You’ll get notice of articles before anyone else in the Western world. Just look to the left where it says, very helpfully: Subscribe to our…
  • Jun 22

    13 Books Every White-Collar Lawyer Should Read

    13 Books Every White-Collar Lawyer Should Read
    Of the making of lists of books, there shall be no end. Nevertheless, here is one more. Set out below are 13 works that every white-collar lawyer – defense counsel, prosecutor or judge – should read. Why take on such a…
Rank this Week: 4253

Andrew Abramowitz, PLLC

Andrew Abramowitz, PLLC

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

http://aalegalnyc.com/blog/
  • Oct 6

    Recent Trends in Financing Startup

    Recent Trends in Financing Startup
    The Wall Street Journal recently detailed trends in how startups are financing themselves. If you don’t have a Journal subscription, this article will likely be behind a paywall, but to sum it up, young businesses are using bank loans…
  • Sep 28

    Should You Start Your Legal Career at a Big Firm?

    Should You Start Your Legal Career at a Big Firm?
    John Balestriere, writing in Above the Law, argues that young attorneys should not feel bound to follow the standard advice to start one’s career at a large firm to get “training.” As someone who spent 12 years at large…
  • Sep 16

    Increased Scrutiny of Non-Competes in New York

    Increased Scrutiny of Non-Competes in New York
    Although it has historically been relatively easy for companies to enforce non-competition agreements against employees in New York State, compared to, say, California, where such provisions are unenforceable, the New York Attorney…
Rank this Week: 4264

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
  • May 4

    Equity Crowdfunding for Your Residential Construction Busine

    Equity Crowdfunding for Your Residential Construction Busine
    Canada currently has four real estate specific crowdfunding portals : Brix RCR, Open Avenue , R2Crowd, and NexusCrowd.  All of them are located in Ontario.  Canadians can expect other new equity and debt real estate…
  • May 4

    Equity Crowdfunding for Your Residential Construction Busine

    Equity Crowdfunding for Your Residential Construction Busine
    By Alixe Cormick Canada currently has four real estate specific crowdfunding portals : Brix RCR, Open Avenue , R2Crowd, and NexusCrowd.  All of them are located in Ontario.  Canadians can expect other new equity and debt…
  • May 4

    Equity Crowdfunding for Your Residential Construction Busine

    Equity Crowdfunding for Your Residential Construction Busine
    By Alixe Cormick Canada currently has four real estate specific crowdfunding portals : Brix RCR, Open Avenue , R2Crowd, and NexusCrowd.  All of them are located in Ontario.  Canadians can expect other new equity and debt…
Rank this Week: 4280

Oil & Gas Investment Fraud Lawyer…

Oil & Gas Investment Fraud Lawyer Blog

Covers securities issues with a focus on oil & gas investment fraud. By Silver Law Group, The Law Firm of David R. Chase, P.A., and Ciklin Lubitz & O'Connell.

http://www.oilgasinvestmentfraudlawyer.com/
Rank this Week: 4428

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/
  • Jan 25

    SEC’s National Examination Priorities for 2017

    SEC’s National Examination Priorities for 2017
    According to Office of Compliance Inspections and Examinations (“OCIE”)   The U.S. Securities and Exchange Commission (“SEC”) regulates more than 4,000 broker-dealers and more than 12,000 registered…
  • Jan 25

    FINRA’S 2017 Examination Prioritie

    FINRA’S 2017 Examination Prioritie
    The Financial Industry National Regulatory Authority’s (”FINRA’s”) annual examination letter is out and filled with nuggets. Fear not; the breakdown that that you need is contained below.…
  • Sep 22

    Is There “Gold” In Your Old Daily Or Monthly Statements?

    Is There “Gold” In Your Old Daily Or Monthly Statements?
    Class Action Settlement on Alleged Manipulation Offers to turn old paper or electronic statements into cold, hard cash! WHO: People who traded futures and/or options on futures…
Rank this Week: 4453

McEldrew Young Blog

McEldrew Young Blog

Covers whistleblower law and wage theft for employees.

http://www.mceldrewyoung.com/blog/
  • Jul 21

    Without Whistleblower Rewards, British Tips Decline

    Without Whistleblower Rewards, British Tips Decline
    A report earlier this month by the Financial Conduct Authority detailed the declining number of whistleblower tips reported to the British authorities. From 2014-15 to 2016-17, the number of reports has declined each year, resulting in just…
  • Jul 20

    Record Award Predicted for SEC Whistleblowers from JPMorgan Fine

    Record Award Predicted for SEC Whistleblowers from JPMorgan Fine
    A media outlet, Financial Planning, is predicting that a pair of SEC whistleblowers will share an award of approximately $70.6 million out of the $307 million in regulatory fines against JPMorgan in 2015. Another outlet, Advisor Hub, put the…
  • Jul 19

    SEC, CFTC Directors Speak on Whistleblower Program

    SEC, CFTC Directors Speak on Whistleblower Program
    The Chief of the SEC’s Office of the Whistleblower, Jane Norberg, and the Director of the CFTC Whistleblower Office, Christopher Ehrman, spoke recently at the Practicing Law Institute’s program on June 28, 2017, titled Corporate…
Rank this Week: 4541

SEC Whistleblower Lawyer Blog

SEC Whistleblower Lawyer Blog

Covers securities law. By Silver Law Group & The Law Firm of David R. Chase, P.A.

http://www.secwhistleblowerlawyers.net/
  • Jul 11

    Despite Trump Administration Uncertainty, SEC Whistleblower Program Reports Business as Usual

    Despite Trump Administration Uncertainty, SEC Whistleblower Program Reports Business as Usual
    Even with political clouds of uncertainty from the Trump administration, the head of U.S Securities and Exchange Commission is moving the agency full speed ahead, all the while chastising companies that retaliate or discourage their employees…
  • Jun 27

    CFTC Website Launches News Portal for Whistleblower Program

    CFTC Website Launches News Portal for Whistleblower Program
    The CFTC Whistleblower program today announced the launch of a news portal, event schedule, and FAQ for its whistleblower program on its website This new portal will contain industry news, CFTC Events and a FAQ covering the Whistleblower…
  • Jun 13

    SEC Declines Paying a Whistleblower Because the Tip Was Provided Prior to Dodd-Frank

    SEC Declines Paying a Whistleblower Because the Tip Was Provided Prior to Dodd-Frank
    The SEC recently declined to pay a whistleblower award to a claimant that sought the SEC’s review of its stance on payouts stemming from information provided prior to the Dodd-Frank Act’s enactment in 2010. In an SEC Order, the…
Rank this Week: 4584

Classified: The Class Action Blog

Classified: The Class Action Blog

A blog focused on the latest class action developments and trends by the attorneys of Carlton Fields Jorden Burt.

http://classifiedclassaction.com/
Rank this Week: 4663

Securities Law Blog

Securities Law Blog

Covers securities law. By Fitapelli | Kurta.

https://www.securities-law-attorney.com/
  • Jul 20

    James Schaedler: Sanctioned by FINRA Following an Investigation into Alleged Rule Violation

    James Schaedler: Sanctioned by FINRA Following an Investigation into Alleged Rule Violation
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 19, 2017 indicate that former California-based Wells Fargo Clearing Services broker/adviser James Schaedler has been sanctioned by…
  • Jul 20

    Dale Wright Has Received Two Customer Complaint

    Dale Wright Has Received Two Customer Complaint
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 18, 2017 indicate that Virginia-based Cambridge Investment Research broker/adviser Dale Wright has received resolved or pending…
  • Jul 19

    Customer Seeking $2.5 Million in Damages From Broker Daniel Haugh

    Customer Seeking $2.5 Million in Damages From Broker Daniel Haugh
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 18, 2017 indicate that Chicago-based PTI Securities & Futures LP broker/adviser Daniel Haugh has received a regulatory…
Rank this Week: 4790

Securities Fraud Lawyer Blog

Securities Fraud Lawyer Blog

Covers securities law. By The Law Office of David Liebrader, Inc.

https://www.securitiesfraudlawyerblog.net/
  • Jul 16

    Vincent Mehdizadeh agrees to $12MM settlement with SEC

    Vincent Mehdizadeh agrees to $12MM settlement with SEC
    Vincent Mehdizadeh agrees to a ban, and a $12 million fine to settle SEC charges related to Medbox. In March, 2017 entrepreneur Vincent Mehdizadeh agreed to settle charges brought by the SEC against him and his company Medbox, a legal…
  • Jul 15

    Bart Ellis pleads guilty to fraud

    Bart Ellis pleads guilty to fraud
    Bart Ellis pleads guilty to defrauding clients In July, 2017 former Ameriprise Financial broker Bart Ellis plead guilty to money laundering and defrauding his clients in a case involving over one million dollars. Ellis will be sentenced on…
  • Jul 14

    Charles Laverty hit with $1.3MM arbitration award

    Charles Laverty hit with $1.3MM arbitration award
    In May, 2017, a FINRA arbitrator panel sitting in Los Angeles issued a $1,378,800 binding arbitration award against Charles Laverty in a case involving personal loans that the clients made to Laverty. The underlying matter involved…
Rank this Week: 4800

Special Situations Law

Special Situations Law

By Norton Rose Fulbright. Covers shareholder activist and defence mandates, as well as complex reorganization transactions.

http://www.specialsituationslaw.com/
  • Jul 19

    Trends and Strategies for Companies Involved in M&A Transaction

    Trends and Strategies for Companies Involved in M&A Transaction
    In a report entitled “M&A Activism: A Special Report”[1] (the Report), the editor-in-chief of Activist Insight describes the types of companies most at risk of being targeted by shareholder demands, providing steps that can be…
  • Jul 10

    Fasten Your Seatbelts: Preparing for the Globalization of Hedge Fund Activist

    Fasten Your Seatbelts: Preparing for the Globalization of Hedge Fund Activist
    Activist hedge funds have grown up and gone global, reinforcing the need for companies of all shapes and sizes to plan ahead for the possibility of an attack. A recent article by Martin Lipton in the Harvard Law School Forum of Corporate…
  • Jul 4

    The drivers and consequences of settlement agreements in proxy fight

    The drivers and consequences of settlement agreements in proxy fight
    Activist interventions are being increasingly resolved by way of settlement agreements, with 3% of activist interventions in 2000 having resulted in a settlement agreement versus 16% in 2011.[1] In light of this emerging trend, the Columbia…
Rank this Week: 4920

Securities Fraud Lawyer Blog

Securities Fraud Lawyer Blog

Covers securities law. By Forman Law Firm.

https://www.securitiesfraudlawyerblog.com/
  • Jun 26

    “A Recovery Checklist For Victims of Investment Fraud”

    “A Recovery Checklist For Victims of Investment Fraud”
    Checklist For Victims of Investment Fraud should include hiring a competent attorney. FINRA's Checklist offers a lot of good advice and resources, but perhaps the most important advice for someone that has been a victim of a financial crime…
  • Jun 19

    FINRA Statistics-What Do They Tell Us About FINRA’s Arbitration Process and Its Fairness?

    FINRA Statistics-What Do They Tell Us About FINRA’s Arbitration Process and Its Fairness?
    FINRA Arbitration Statistics-What do they tell us about fairness of the arbitration process? In reality, not much. Advocates for the public investor community argue that mandatory arbitration is not fair, as it robs the consumer of choice,…
  • Jun 12

    Can I Sue My Stockbroker?

    Can I Sue My Stockbroker?
    Can I Sue My Stockbroker? Well, yes and no.  The question is more appropriately “How do I sue my stockbroker?” or “Where can I sue my stockbroker?”  As I will explain shortly, the common denominator to all of…
Rank this Week: 4967

Broker Misconduct Blog

Broker Misconduct Blog

Focuses on issues affecting retail investors in connection with their stock brokers and brokerage firms. By Green, Schafle & Gibbs.

https://broker-misconduct.com/blog/
  • May 24

    FINRA May Merge Securities Enforcement Program

    FINRA May Merge Securities Enforcement Program
    FINRA is considering a possible multi-year initiative called FINRA360, wherein the self-regulatory organization is conducting a whole review of day to day functions and programs, with input from both inside as well as outside the…
  • May 4

    Philadelphia Ponzi Scheme in Italian Wine and Olive Oil

    Philadelphia Ponzi Scheme in Italian Wine and Olive Oil
    Former stockbroker, William Bucci, bilked greater Philadelphia and New Jersey investors out of more than $3 million through a Ponzi scheme involving fake imports of Italian wine and olive oil.
  • May 2

    FINRA Disciplinary Action Report: April 2017

    FINRA Disciplinary Action Report: April 2017
    FINRA Disciplinary Action Report for April 2017.
Rank this Week: 5006

The California Securities…

The California Securities Attorneys

By Bruce E. Methven and Kenneth A. Priore. Covers securities offerings.

http://thecaliforniasecuritiesattorneys.com/
  • Feb 9

    Marketing Your Offering by Bruce E. Methven

    Marketing Your Offering by Bruce E. Methven
    The truth about marketing your securities offering is that you have to find investors yourself. Venture capital firms invest in only a tiny percentage of the companies that approach them. Groups that involve angel investors may work, but…
  • Oct 28

    Report on Crowdfunding by Bruce E. Methven

    Report on Crowdfunding by Bruce E. Methven
    Crowdfunding via approved internet portals became available in May of this year. So far companies have been averaging about $800 per investor and may have hundreds of investors. That’s a lot of small investors to deal with. Many…
  • May 13

    Running Another Offering With a Crowdfunding Offer by Bruce E. Methven

    Running Another Offering With a Crowdfunding Offer by Bruce E. Methven
    This is part of a series on crowdfunding; this part covers running another offer simultaneously with a crowdfunding offer. Again, true crowdfunding — offerings of stock, LLC units and promissory notes — becomes available on May…
Rank this Week: 4985