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Stock Attorneys Blog

Stock Attorneys Blog

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

http://www.stockattorneysblog.com/
  • Feb 24

    Large FINRA Arbitration Award Against UBS of Puerto Rico Regarding Bond Fund

    Large FINRA Arbitration Award Against UBS of Puerto Rico Regarding Bond Fund
    Blum Law Group, along with Place and Hanley, LLC is pleased to report a FINRA Arbitration Award against UBS Financial Services of Puerto Rico relating to the crash of UBS closed end bond funds in 2013 which were sold to Puerto Rico…
  • Mar 14

    FINRA Questioning Brokerage Firm “Culture”

    FINRA Questioning Brokerage Firm “Culture”
    FINRA has made brokerage firm “culture” one of its top priorities for 2016. FINRA refers to “culture” as how management sets the bar for the firm and how culture effects their brokers interaction with clients and their…
  • Mar 14

    FINRA Questioning Brokerage Firm “Culture”

    FINRA Questioning Brokerage Firm “Culture”
    FINRA has made brokerage firm “culture” one of its top priorities for 2016. FINRA refers to “culture” as how management sets the bar for the firm and how culture effects their brokers interaction with clients and their…
Rank this Week: 4356

McEldrew Young Blog

McEldrew Young Blog

Covers whistleblower law and wage theft for employees.

http://www.mceldrewyoung.com/blog/
  • Feb 24

    Court Rules on Confidentiality Agreements for SEC Whistleblower

    Court Rules on Confidentiality Agreements for SEC Whistleblower
    A U.S. District Court in the Southern District of California has recently ruled on the validity of a SEC whistleblower’s defense to the enforcement of a company’s confidentiality agreement.  In the decision, the Court…
  • Feb 22

    A Review of Recent Clean Energy Fraud

    A Review of Recent Clean Energy Fraud
    We have discussed the potential for whistleblower actions grounded in the protection of the environment and compliance with environmental laws here before. Most depend on the unique circumstances of the case and the fraudulent scheme in order…
  • Feb 20

    Massive Medicare Advantage Fraud Lawsuit Unveiled Against UnitedHealth

    Massive Medicare Advantage Fraud Lawsuit Unveiled Against UnitedHealth
    The United States has joined a lawsuit brought by whistleblowers under the False Claims Act accusing UnitedHealth Group of bilking Medicare by fraudulently boosting payments through the inflation of plan members’ risk scores under…
Rank this Week: 2096

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Feb 24

    “Bet-the-Company” Lawsuits Quadruple in 2 Years!

    “Bet-the-Company” Lawsuits Quadruple in 2 Years!
    According to a recent BTI study, the number of businesses facing “bet-the-company” litigation has quadrupled since 2014.  BTI interviewed over 300 lawyers at US companies with more than $1 billion in annual…
  • Feb 23

    Whistleblowers: Language for Severance Agreement

    Whistleblowers: Language for Severance Agreement
    As we’ve noted in several prior blogs, in recent months, the SEC’s Division of Enforcement has made a cottage industry out of going after companies with provisions in their standard severance agreements that it…
  • Feb 22

    GCs as Whistleblowers? SOX Trumps Attorney-Client Privilege in Retaliation Case

    GCs as Whistleblowers? SOX Trumps Attorney-Client Privilege in Retaliation Case
    This Baker Donelson memo discusses Wadler v. Bio-Rad Laboratories – a recent whistleblower retaliation case in which a jury awarded a former general counsel $8 million. This case is particularly interesting because…
Rank this Week: 2389

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: 2274

Canadian Securities Law Online

Canadian Securities Law Online

Covers Canadian securities law topics, including disclosures, corporate governance, mergers, registration and compliance. By Stikeman Elliott.

http://www.canadiansecuritieslaw.com/
  • Feb 23

    ASC plans to explore the creation and implementation of a whistleblower program

    ASC plans to explore the creation and implementation of a whistleblower program
    Julien Robitaille-Rodriguez -  A whistleblower program may be part of a comprehensive compliance and enforcement regime that the Alberta Securities Commission (ASC) recently proposed as part of its three-year Strategic Plan (the…
  • Feb 21

    Expectations for cyber security risk disclosure published by CSA

    Expectations for cyber security risk disclosure published by CSA
    Vanessa Coiteux and Jérémie Ste-Marie -  The results of the Canadian Securities Administrators’ (CSA) review of the cyber security risk disclosure of S&P/TSX Composite issuers were recently reported by the…
  • Jan 20

    Regulations for CBCA's New Diversity, Majority Voting and Notice-for-Access Provisions Released

    Regulations for CBCA's New Diversity, Majority Voting and Notice-for-Access Provisions Released
    Laura Levine and Alethea Au -  The Government of Canada has released proposed regulations to accompany the proposed amendments to the Canada Business Corporations Act under Bill C-25 (discussed here). These proposed regulations add…
Rank this Week: 4247

Footnoted

Footnoted

Reports on actionable information in SEC filings.

http://www.footnoted.com/
  • Feb 23

    PG&E’s Filing Of Misery

    PG&E’s Filing Of Misery
    It might be tough to find any company that offered a gloomier set of disclosures than the list of fires, explosions, and legal problems found in PG&E’s latest annual report. None of this seems to be bothering investors.…
  • Feb 8

    On Intuitive Surgical’s trifecta of event

    On Intuitive Surgical’s trifecta of event
    Intuitive Surgical warned about a trifecta of events in its recent 10-K
  • Jan 12

    2016: The year in filing

    2016: The year in filing
    There were 670,00 filings made to the SEC in 2016, with the largest filing over 3,330 pages!
Rank this Week: 2666

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/
  • Feb 22

    Board Watch: More Complexity, More Committee

    Board Watch: More Complexity, More Committee
    As a result of the increasing and ever-evolving responsibilities falling on the shoulders of boards of directors, the traditional three key committee model (covering audit and financial reporting, executive compensation, and director…
  • Feb 13

    Institutional investors managing US $17 trillion announce new corporate governance framework

    Institutional investors managing US $17 trillion announce new corporate governance framework
    In a move likely to have significant impacts on corporate governance, a group of institutional investors managing upwards of US $17 trillion has announced the formation of the Investor Stewardship Group (the Group). The Group has adopted a…
  • Feb 6

    M&A – key developments in 2016 and a look ahead

    M&A – key developments in 2016 and a look ahead
    January 2017 – Walied Soliman and Orestes Pasparakis, co-chairs of Norton Rose Fulbright’s Special Situations Team hosted their annual video webinar on M&A activity in Canada. They highlight the key developments of…
Rank this Week: 2073

Broke and Broker

Broke and Broker

Covers the Wall Street docket of criminal, civil, regulatory, and arbitration cases. By Bill Singer.

http://brokeandbroker.com/index.php
  • Feb 20

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
    SEC Will Not Appeal Bartko And Posts Online Form For Reversing Collateral BarsThe Securities and Exchange Commission has announced that it will not appeal the D.C. Circuit's January 17, 2017, decision in Bartko v. SEC, which vacated as…
  • Feb 20

    SEC Will Not Appeal Bartko And Posts Online Form For Reversing Collateral Bar

    SEC Will Not Appeal Bartko And Posts Online Form For Reversing Collateral Bar
    This is an update of "SEC Hit By Wave Of Petitions For Removal Of Post-Bartko Collateral Bars"(BrokeAndBroker.com Blog, February 3, 2017)In 2010, Gregory Bartko was convicted in federal court of conspiracy, mail fraud, and unregistered…
  • Feb 16

    BREAKING FAKE NEWS: THE FIDUCIARY DUTY RULE IS DEAD!!

    BREAKING FAKE NEWS: THE FIDUCIARY DUTY RULE IS DEAD!!
    BREAKING FAKE NEWS: THE FIDUCIARY DUTY RULE IS DEAD!!By Aegis J. Frumento, Partner, Stern Tannenbaum & BellOf all the tempests in all the teapots of all the world, none perturbs me less than the fiduciary responsibility of securities…
Rank this Week: 3845

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/
  • Feb 17

    How the Investment Management Firm BlackRock Undermined Whistleblower Incentive

    How the Investment Management Firm BlackRock Undermined Whistleblower Incentive
    Firm managing $5.1 trillion is forced to change improper employee whistleblower policy Until recently, the world’s largest investment management firm forced ex-employees to sign away their rights to potential whistleblower awards in…
  • Jan 23

    SEC Awards $5.5 Million to Whistleblower

    SEC Awards $5.5 Million to Whistleblower
    The Securities and Exchange Commission (the “SEC”) announced an award of more than $5.5 million to a whistleblower who provided pertinent information that helped the SEC uncover an ongoing scheme on January 6, 2017. According to…
  • Dec 23

    Proposed CFTC Rules Might Make It Easier for Whistleblowers to Inform the Government About Commodities Fraud

    Proposed CFTC Rules Might Make It Easier for Whistleblowers to Inform the Government About Commodities Fraud
    The regulatory agency has requested public comment on proposed amendments The Commodity Futures Trading Commission (CFTC), the independent US government agency that regulates futures and options markets, has requested public comment on…
Rank this Week: 2197

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
  • 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…
  • Jan 12

    JPMorgan Found to Have Retaliated Against Adviser, Filed Defamatory U5

    JPMorgan Found to Have Retaliated Against Adviser, Filed Defamatory U5
    A recent investigation by the U.S. Occupational Safety and Health Administration (OSHA) has resulted in an award of more than $160,000 for back pay and “reputational damage” to a former JPMorgan Chase & Co. financial adviser.…
Rank this Week: 2791

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: 2933

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: 2177

Federal Securities Law Blog

Federal Securities Law Blog

FedSecLaw.com is devoted to highlighting current issues in securities laws, discussing the ramifications of those issues for today’s businesses, and providing bottom-line takeaways for busy owners, managers, and executives. By Porter Wright Morris & Arthur LLP.

http://www.fedseclaw.com/
  • Feb 7

    FTC revises HSR and interlocking directorate threshold

    FTC revises HSR and interlocking directorate threshold
    The Federal Trade Commission has announced annual filing threshold revisions under the Hart-Scott-Rodino (HSR) Antitrust Improvements Act that set new antitrust reporting standards. Jay Levine, our colleague at Antitrust Law Source, provides…
  • Jan 23

    SEC enforces rules regarding use of non-GAAP measures and undisclosed perk

    SEC enforces rules regarding use of non-GAAP measures and undisclosed perk
    Last week, the Securities and Exchange Commission (SEC) made good on its promises to enforce violations of its non-GAAP financial measure disclosure rules. MDC Partners agreed to pay a $1.5 million dollar penalty to settle the SEC’s…
  • Dec 9

    Supreme Court affirms family insider trading conviction

    Supreme Court affirms family insider trading conviction
    On Tuesday, The United States Supreme Court unanimously affirmed an insider trading conviction by finding that inside information exchanged between relatives violates federal security laws. The case is Salman v. United States. The decision…
Rank this Week: 4398

Business Law Post

Business Law Post

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

http://www.businesslawpost.com
  • 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…
  • Feb 2

    How to Form a Delaware Corporation (Correctly)

    How to Form a Delaware Corporation (Correctly)
    Forming a Delaware corporation is pretty straightforward for those who have done it many times before.  You just have to follow the steps.  Skipping any of them may hurt the founders later on, when they find out that they are not…
  • Feb 1

    Filing Delaware Annual Report Made Easy

    Filing Delaware Annual Report Made Easy
    Once a year, all domestic Delaware corporations must file an annual report and pay Delaware franchise tax.  They have to do so before March 1.  Missed deadline will result in a $125 penalty plus 1.5% monthly interest rate on the…
Rank this Week: 4776

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: 2895

Tim O'Connor's Blog

Tim O'Connor's Blog

Covers stockbroker fraud.

http://stockbrokerlaw.com/tim-oconnors-blog
  • Jan 20

    Whistleblower Anonymity, Protection & Award

    Whistleblower Anonymity, Protection & Award
    Learn About Whistleblower Protection, Anonymity & AwardsAn Attorney for Whistleblowers Securities Whistleblower Incentives and Protection (15 USC 78u-6) The Federal Securities Whistleblower Incentives and Protection…
  • Jan 5

    Looking for Your Lost Retirement Account?

    Looking for Your Lost Retirement Account?
    In our mobile society, millions of Americans have lost track of former pension accounts over the past half century. Where did they go? There are a number of resources at your fingertips which could help locate your lost plan. These…
  • Nov 30

    Problems at the Family Office

    Problems at the Family Office
    The past decade has seen an explosion in the number of family offices set up by families seeking to coordinate and organize family wealth and assets, as well as issues involving the intergenerational transfer of family legacies. This growth…
Rank this Week: 3855

The Securities Edge

The Securities Edge

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

http://www.thesecuritiesedge.com/
  • Jan 2

    My 10 Best Books of 2016

    My 10 Best Books of 2016
    Posted By: Robert B. Lamm Those of you who’ve been reading my posts for a while know that I depart from securities and governance topics only once each year, to report on my 10 favorite books of the year just gone by.  I will point…
  • Dec 12

    Insider trading: there still ought to be a law

    Insider trading: there still ought to be a law
    Posted By: Robert B. Lamm In the few days since the Supreme Court handed down its decision in Salman v. United States, many commentators have said, in effect, that criminal prosecutions for insider trading are alive and well.  Alive,…
  • Nov 30

    Bob Lamm receives Lifetime Achievement award for his dedication to governance

    Bob Lamm receives Lifetime Achievement award for his dedication to governance
    Posted By: David C. Scileppi Congratulations to our esteemed colleague, Bob Lamm, for winning this prestigious award! While we all know that Bob is the guru in the governance space, it’s great that he was recognized for all of his…
Rank this Week: 3662

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
  • Dec 7

    Insider Trading and Brotherly Love at the Supreme Court

    Insider Trading and Brotherly Love at the Supreme Court
    Yesterday, the Supreme Court of the United States decided Salman v. United States, wading into the “personal benefit” requirement necessary to establish criminal insider trading liability.  Justice Alito, writing for a…
  • Dec 7

    Insider Trading and Brotherly Love at the Supreme Court

    Insider Trading and Brotherly Love at the Supreme Court
    Yesterday, the Supreme Court of the United States decided Salman v. United States, wading into the “personal benefit” requirement necessary to establish criminal insider trading liability.  Justice Alito, writing for a…
  • Nov 28

    First Circuit Confronts Perils of Non-Custodial Interrogation in Fraud Prosecution

    First Circuit Confronts Perils of Non-Custodial Interrogation in Fraud Prosecution
    Miranda warnings are one of those things most lawyers and non-lawyers alike know something about. Most know we enjoy a right under the Fifth Amendment and Miranda v. Arizona, 384 U.S. 436 (1966), to be told before being taken into custody…
Rank this Week: 2707

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/
  • Nov 27

    Christmas Movies and Serial Killer

    Christmas Movies and Serial Killer
    Today is the first Sunday in the season of Advent, a time in which Christians traditionally prepare themselves by reflection and prayer for the Incarnation, the birth of Jesus, God made flesh.  Ultimately, of course, Jesus was sacrificed…
  • Apr 22

    Handwriting On The Wall (And In The FBI’s Notes)

    Handwriting On The Wall (And In The FBI’s Notes)
    As the father of a college-bound high school senior and an eventually college-bound high school sophomore, I pass along to them helpful articles.  Whether, in the ancient words of Archbishop Cramner in the Anglican liturgy, they actually…
  • Mar 17

    “Fantastic Lies” and Corporate Criminal Prosecution

    “Fantastic Lies” and Corporate Criminal Prosecution
    When the past is dug up in documentaries (or docudramas), events are often sensationalized.  This practice is of long pedigree: Shakespeare was not above amping up an old story when it suited his needs.  Unfortunately, few…
Rank this Week: 1949

Wall Street Investment Fraud…

Wall Street Investment Fraud Lawyer Blog

Covers Ponzi schemes, investment fraud, and other scams. By The Doss Firm.

http://www.wallstreetinvestmentfraudlawyer.com/
Rank this Week: 4154

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,…
  • 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.…
Rank this Week: 1691

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: 3444

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: 3721

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: 1962

Business Blog

Business Blog

Covers business law, labor & employment, real estate and securities and finance topics. By Scarinci Hollenbeck.

http://www.businesslawnews.com/
  • Sep 27

    Business Cases to Watch on U.S. Supreme Court’s Docket

    Business Cases to Watch on U.S. Supreme Court’s Docket
    September also means the end of summer break for the U.S. Supreme Court. When the justices return to the bench for the October 2016 Term, they will consider a number of key commercial law issues. This post offers a brief summary of several…
  • Aug 17

    Are Employee Breaks Mandated by New Jersey Law?

    Are Employee Breaks Mandated by New Jersey Law?
    Are you required to provide employee breaks? Both employers and employees alike are often surprised to learn that federal employment laws do not require employers to set specific intervals or even make time for employees to take work breaks…
  • Aug 2

    SEC Adopts New Rules for Administrative Proceeding

    SEC Adopts New Rules for Administrative Proceeding
    What You Need to Know about the SEC’s New Rules for Administrative Proceedings The Securities and Exchange Commission (SEC) recently adopted several amendments to its rules of practice governing administrative proceedings. According to…
Rank this Week: 3949

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: 4030

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: 2727

William Carleton, Counselor @ Law

William Carleton, Counselor @ Law

Covers legal and investment issues facing emerging tech companies.

http://www.wac6.com/wac6/
  • Mar 16

    Secondary Sales and An Investor Covenant You Don’t Want To Mi

    Secondary Sales and An Investor Covenant You Don’t Want To Mi
    Dear Readers: This is a post I co-wrote with Joe Wallin, who has published the almost identical post here. If you are investing in early stage companies, there are certain deal terms you want. Most you probably know already: if...
  • Mar 11

    A Gift from Congress to Angel

    A Gift from Congress to Angel
    The picture here was taken by Joe Wallin, who was on a panel with me, Gary Kocher of K&L Gates, Tom Alberg of Madrona Ventures, and Dan Rosen of the Alliance of Angels, talking to the Angel Capital Association's NW...
  • Mar 3

    Looking for Mr. 506(c)

    Looking for Mr. 506(c)
    "On a relative basis, issuances claiming the new Rule 506(c) exemption have accounted for only 2.1% of the reported capital raised pursuant to Rule 506 since becoming effective in September 2014." So reads a key finding of a report,…
Rank this Week: 4691

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: 5111

Startup Law Blog

Startup Law Blog

Covers legal and regulatory developments in startup, securities law and regulation. By Joe Wallin.

http://www.startuplawblog.com/
  • Sep 17

    Chip-and-PIN (EMV) Credit Card Liability Shift is Oct. 1: Are You Ready?

    Chip-and-PIN (EMV) Credit Card Liability Shift is Oct. 1: Are You Ready?
    October 1 is right around the corner. Merchants, retailers, hotels and restaurants: are you ready for what’s in your customers’ wallets? Starting next month, the payment card industry’s transition to chip-and-PIN (also known…
  • Apr 27

    Join Us at Pacific Rim M&A Institute This Wednesday

    Join Us at Pacific Rim M&A Institute This Wednesday
    Please join us for the Pacific Rim M&A Institute’s next session. This quarter’s program features Port of Seattle CEO, Ted J. Fick, who will discuss how the Port contributes to our region’s economy. We look forward to…
  • Dec 18

    Revenue Lending

    Revenue Lending
    I recently had the chance to sit down with BJ Lackland, the CEO of Lighter Capital, to talk about life, revenue loans, and Lighter Capital. Below is a transcript of most of our talk. – JW: BJ, what’s the first … Continue…
Rank this Week: 3740

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: 3071

Ponzitracker

Ponzitracker

Covers Ponzi schemes. By Jordan Maglich.

http://www.ponzitracker.com/
  • Jan 27

    SEC Charges Wisconsin Man With $10.4 Million Ponzi Scheme

    SEC Charges Wisconsin Man With $10.4 Million Ponzi Scheme
    A Wisconsin man was charged by the Securities and Exchange Commission with operating a Ponzi scheme that took in more than $10 million from at least 122 investors.  Loren Holzhueter, 69, was the subject of an emergency enforcement action…
  • Jan 26

    Ohio CPA Gets 21 Years For Role In $40 Million Ponzi Scheme

    Ohio CPA Gets 21 Years For Role In $40 Million Ponzi Scheme
    An Ohio man was sentenced to serve twenty-one years in federal prison for his role in funnelling investors to the massive "Black Diamond" Ponzi scheme that ultimately duped over 400 investors out of at least $40 million.  Jonathan…
  • Jan 26

    California Men Plead Guilty To $100 Million ATM Ponzi Scheme

    California Men Plead Guilty To $100 Million ATM Ponzi Scheme
    Two California men have entered guilty pleas to operating a massive Ponzi scheme that allegedly caused losses of over $100 million to victims who thought they were investing in a profitable ATM leasing operation.  Joel Barry Gillis, 74,…
Rank this Week: 3085

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: 2942

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: 3689

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/
  • 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: 3328

Securities Class Action &…

Securities Class Action & Arbitration Law

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

http://securitiesattorneys.us/
Rank this Week: 4973

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: 3197

ComplianceAsia News

ComplianceAsia News

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

http://www.compliance.asia/
  • Feb 6

    WSJ report highlights significant concerns about the nature of global AML system

    WSJ report highlights significant concerns about the nature of global AML system
    Finally there is some reporting about the dirty little secret of global AML enforcement - it might not work.  The following was reported in the Wall Street Journal today and we recommend you read the full article: The Morning Risk…
  • Oct 27

    New FATF announcements regarding the progress various countries are making on AML CFT

    New FATF announcements regarding the progress various countries are making on AML CFT
    On Friday the SFC sent around a circular to licensed firms with details of a number of additions to the AML sanctions regime and this included advice from the FATF that some countries were not doing enough to improve their AML CFT…
  • Oct 23

    Mary Jo White sets out her views on the role of compliance

    Mary Jo White sets out her views on the role of compliance
    SEC Chair, Mary Jo White, recently spoke to an industry association in the United States and talked about the importance of the rule of compliance officers.  Here is the speech: Remarks at National Society of Compliance Professionals…
Rank this Week: 2981

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: 3626

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: 3939

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: 3686

Proxyland

Proxyland

Covers corporate governance.

http://proxyland.blogspot.com/
  • Mar 6

    One Blog Closes, Another Open

    One Blog Closes, Another Open
    Big news, dear readers.
  • Feb 17

    Stimulus Plan Attacks Executive Compensation: Stay Tuned

    Stimulus Plan Attacks Executive Compensation: Stay Tuned
    Everyone knows about the freaky fireball that plummeted through the Texas sky last weekend. In an unrelated development, a fireball suddenly appeared in the skies over Proxyland on Friday. That one, however, has been identified: it’s Title…
  • Feb 11

    Geithner's Financial Stability Plan, Or Whatever

    Geithner's Financial Stability Plan, Or Whatever
    C’mon now, everyone. Cheer up. At least Tim Geithner is easier on the eyes than Hank Paulson, whose face seemed to have the words “we’re all gonna die” written on it no matter what he was saying.
Rank this Week: 1585

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: 4798

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/
Rank this Week: 2235