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Inside Sarbanes Oxley

Covers Sarbanes-Oxley and compliance.

http://www.insidesarbanesoxley.com/

Sep 10
Whistleblowing – What you need to know about the Dodd-Frank Act

Whistleblowing – What you need to know about the Dodd-Frank Act

If your organization isn’t already offering incentives to ferret out inappropriate behaviors, the new Dodd-Frank Act and whistleblowing rewards just might (and could make your company the next public spectacle). Deloitte’s…
May 26
Internal Audit: The Continuous Conundrum

Internal Audit: The Continuous Conundrum

The department painstakingly went through its inventory of SOX controls to determine which ones could be assessed just by analyzing data in company systems. Then data-analytic scripts were written to allow exceptions to be found. Now, for…
May 26
How to choose the right nonexecutive board leader

How to choose the right nonexecutive board leader

Ever since stock-listing requirements prompted many US companies to name an independent director to serve as the chairman, lead director, or presiding director of the board, these companies have been grappling with what, exactly, this board…

Rank this Week: 1533

Cady Bar the Door

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

http://www.secmiscellany.com

May 8
The SEC Does Not Care about Your FINRA Document Request

The SEC Does Not Care about Your FINRA Document Request

If you are a broker-dealer or a registered representative at one, you sign on for some meddling by FINRA. The self-regulatory organization is responsible for overseeing your securities business and even for your outside business…
May 2
SEC Dings Investment Adviser for Custody Violations, Failure to Supervise

SEC Dings Investment Adviser for Custody Violations, Failure to Supervise

Readers of this space – and SEC observers generally – will recall a March 4 risk alert designed to warn investors about the ways U.S. investment advisers had recently been found to have violated the SEC’s asset custody…
Apr 22
Ralph Lauren Escapes FCPA Problems with Minimized Damage

Ralph Lauren Escapes FCPA Problems with Minimized Damage

Often, enforcement officials at the SEC and the Justice Department express their wish that securities law violators own up to their (mis)conduct as soon it comes to light. That is, come to the government and explain what has…

Rank this Week: 1841

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

http://www.hedgefundlawblog.com

May 17
Regulation A+ Deadline Passed by Congre

Regulation A+ Deadline Passed by Congre

Part of JOBS Act Regulations to be Finalized by October 31, 2013 On Wednesday May 15, the House of Representatives passed H.R. 701 which requires the SEC to finalize regulations with respect to “Regulation A+” of the JOBS Act.…
May 7
SALT Conference 2013

SALT Conference 2013

Today the SALT conference starts in Las Vegas. Continuing through the end of the week, the hedge fund industry will be descending upon the Bellagio for scheduled speakers, general information sessions and, of course, networking.…
May 5
Hedge Fund Events May 2013

Hedge Fund Events May 2013

The following are various hedge fund events happening this month. Please email us if you would like us to add your event to this list. **** May 1-3 Sponsor: IAA Event: 2013 Annual Conference Location: New Orleans, LA May 6-7 Sponsor: Schwartz…

Rank this Week: 1953

Securities Mining Law

Covers securities law affecting the mining industry in Canada.

http://www.securitiesmininglaw.com/

May 10
Canada to Strengthen its Laws Against Bribery of Foreign Public Official

Canada to Strengthen its Laws Against Bribery of Foreign Public Official

Mining and exploration companies with projects in developing nations should take note that an amendment to the Foreign Corrupt Practices Act (CFPOA) has been approved by the Senate and is currently before the House of Commons. Bill S-14…
May 10
New Bill Heightens Potential for More Investment Canada Reviews of SOE Acquisition

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

Last week the Canadian Government introduced amendments to the Investment Canada Act (ICA) to implement its revised policy towards state-owned enterprises (SOEs) which it announced in December last year. At that time, while it approved the…
May 8
The Québec Government announces a new Mining Tax Regime “Fair for all”

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

The new Québec mining tax regime was announced on May 6th 2013, by the Minister of Finance, Nicolas Marceau, accompanied by the Minister of Natural Resources, Martine Ouellet. The Québec Government has presented a new regime…

Rank this Week: 1879

Sharesleuth.com

Offers investigative reporting aimed at exposing securities fraud. By Chris Carey.

http://sharesleuth.com/

Oct 15
Rockwell Medical countersues former drug-development executive

Rockwell Medical countersues former drug-development executive

Rockwell Medical Inc. (Nasdaq: RMTI) has filed a countersuit against its former chief medical officer, alleging that he overstated his qualifications, breached a confidentiality agreement and made false and defamatory statements about the…
Oct 2
Houston American says SEC probing its Colombian resource claim

Houston American says SEC probing its Colombian resource claim

Houston American Corp. (AMEX: HUSA) says the Securities and Exchange Commission’s investigation into the company appears to be focused on disclosures about the potential of its CPO-4 prospect in Colombia in late 2009 and early 2010.…
Jun 20
Former Rockwell Medical executive alleges SEC violation

Former Rockwell Medical executive alleges SEC violation

The former head of drug development at Rockwell Medical Technologies Inc. (Nasdaq: RMTI) says the company and its chief executive knowingly issued false and misleading press releases and violated other securities laws. Dr. Richard C. Yocum,…

Rank this Week: 1996

Securities Fraud Attorney Blog

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

http://www.securitiesfraudattorneyblog.com/

Dec 9
Bloomberg Update on $383M Client Case v. Citigroup

Bloomberg Update on $383M Client Case v. Citigroup

Below is a piece by Bloomberg on our firm's $383 million claim against Citigroup. There's more on this case on the firm's website at http://www.riklawfirm.com/ Citigroup’s Mathur Said to Depart With Hybrid Traders as Pandit Cuts Jobs By…
Dec 1
American Lawyer Piece on Firm's Citigroup Case

American Lawyer Piece on Firm's Citigroup Case

Below is an American Lawyer piece which explains our clients' pending $383 million FINRA arbitration against Citigroup. It goes on to talk about how there are more and more large and complex cases at FINRA. It's true. As partner John Rich…
Nov 30
Bloomberg Piece on $383M Client Case v. Citigroup

Bloomberg Piece on $383M Client Case v. Citigroup

Below is Bloomberg piece about our client's $383 million FINRA arbitration claim against Citigroup Global Markets, Inc. related to hedge funds, private equity, and derivatives. Bloomberg Citigroup Saudi Deal Haunts Pandit By Donal Griffin -…

Rank this Week: 2032

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/

Apr 29
The Use of Social Media for Investment Advice. The Struggle Between Employee Privacy Laws and Investor Protection

The Use of Social Media for Investment Advice. The Struggle Between Employee Privacy Laws and Investor Protection

The landscape of communication has changed drastically in the past decade. Information has the capability of widespread reach through the use of various sources. In particular, social media has become an important channel of…
Apr 16
Second Circuit Finds That SEC is Immune from Lawsuit by Bernie Madoff Victim

Second Circuit Finds That SEC is Immune from Lawsuit by Bernie Madoff Victim

In Molchatsky, et al. v. United States, 11-2510-cv(L), the Plaintiffs sought to hold the United States liable for SEC employees’ failure to detect Bernard Madoff’s Ponzi scheme and for the financial losses that Plaintiffs claim…
Apr 12
Did Your Attorney Have the Authority to Settle Your Lawsuit

Did Your Attorney Have the Authority to Settle Your Lawsuit

If parties to a lawsuit dispute whether a valid settlement agreement was entered into, the party purporting that an agreement was made may file a motion to enforce the agreement with the court. Vulgamott v. Perm, 154 S.W.3d 382, 387 (Mo. App.…

Rank this Week: 2378

California Securities Fraud Lawyer…

California Securities Fraud Lawyer Blog

Covers securities regulation, fiduciaries, and securities disputes news and updates. Published By Alcala Law Firm.

http://www.californiasecuritiesfraudlawyerblog.com/

Apr 26
Securities America Fined $100,000 Over IMH Secured Loan Fund & Medical Capital Sales Practice

Securities America Fined $100,000 Over IMH Secured Loan Fund & Medical Capital Sales Practice

Securities America, Inc. has entered into a settlement with the Financial Industry Regulatory Authority (FINRA) and will pay a fine of $100,000 in connection with the sale of two private placements. As part of the settlement, Securities…
Apr 2
UBS Willow Fund L.L.C. Class Action Update

UBS Willow Fund L.L.C. Class Action Update

On December 20, 2012, a class action complaint was filed on behalf of all investors who purchased or held the UBS Willow Fund L.L.C. at any time after January 1, 2008. The matter of Ken Boudreau vs. UBS Willow Management L.L.C, UBS…
Feb 27
Update: FINRA Appeals Charles Schwab Class Action Ban

Update: FINRA Appeals Charles Schwab Class Action Ban

This is an update to our February 21, 2013, blog post: Charles Schwab Allowed to Prevent Customer Class Action Lawsuits. Yesterday, a spokesperson for the Financial Industry Regulatory Authority (FINRA) announced that an appeal had been…

Rank this Week: 2379

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/

Apr 23
Co-Directors of SEC's Enforcement Division Named

Co-Directors of SEC's Enforcement Division Named

On April 22, 2013, George Canellos and Andrew Ceresney were named as SEC's Division of Enforcement co-directors. Both have ties to SEC's new chairman Mary Jo White. Canellos worked as an assistant attorney to Ms. White while she was the…
Apr 23
Co-Directors of SEC's Enforcement Division Named

Co-Directors of SEC's Enforcement Division Named

On April 22, 2013, George Canellos and Andrew Ceresney were named as SEC's Division of Enforcement co-directors. Both have ties to SEC's new chairman Mary Jo White. Canellos worked as an assistant attorney to Ms. White while she was the...
Apr 22
FINRA Approves Proposed Rule Changes to Arbitration for Submission to SEC

FINRA Approves Proposed Rule Changes to Arbitration for Submission to SEC

On April 19, 2013, the FINRA Board of Governors approved several proposed rule changes that now will be submitted to the SEC for review and approval. Two that center on the FINRA arbitration process are detailed below: First, the Board…

Rank this Week: 2483

VC Research Network

Venture Capital blawg by Boalt Hall Law School Law Professors Jesse M. Fried, Ken Taymor, and Robert Bartlett, III

http://vc.berkeleylawblogs.org/

Apr 5
Carrots & Sticks: How VCs Induce Entrepreneurial Teams to Sell Startup

Carrots & Sticks: How VCs Induce Entrepreneurial Teams to Sell Startup

[Editor’s Note: This post comes to us from Professors Jesse Fried and Brian Broughman] Venture capitalists (VCs) play a significant role in the financing of high-risk, technology-based business ventures. VC exits usually take one of…
Mar 26
Delaware Law as Lingua Franca: Theory and Evidence

Delaware Law as Lingua Franca: Theory and Evidence

[Editor’s Note: This post comes to us from Professors Jesse Fried, Brian Broughman and Darian Ibrahim) Delaware dominates the corporate chartering market in the U.S—it is the only state that attracts a significant number of…
Feb 27
The Dynamics of Venture Capital Contract

The Dynamics of Venture Capital Contract

(Editor’s Note: This post comes to us from Professors Carsten Bienz and Julia Hirsch).

Rank this Week: 2615

The Lebrecht Group, APLC Blog

Discusses corporate securities law .

http://www.thelebrechtgroup.com/blog/

May 16
TLG Attorney to Speak on Ethics at “Accounting 101 for Attorneys” Presentation

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

Brian A. Lebrecht, founder and President of The Lebrecht Group, APLC, will be among the presenters at a seminar on May 16, 2013 by the National Business Institute entitled Accounting 101 for Attorneys. Specific topic will be Complying…
May 9
Listing a Reverse Merger Company on NASDAQ

Listing a Reverse Merger Company on NASDAQ

NASDAQ has special rules for companies that went public via a reverse merger. By: Brian A. Lebrecht, Esq. NASDAQ Markets Overview NASDAQ has three different U.S. markets, the NASDAQ Global Select Market, the NASDAQ Global Market, and…
May 8
SEC Asks for a 26% Raise

SEC Asks for a 26% Raise

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

Rank this Week: 3120

Securities Arbitration Blog

Covers the happenings in the Securities and Investment Fraud Sector. By Guiliano Law Firm.

http://www.securitiesarbitrations.com

May 7
Charles Schwabâ€™s Class Action Prohibition Antics May Inspire Death Knell to Mandatory Securities Arbitration.

Charles Schwabâ€™s Class Action Prohibition Antics May Inspire Death Knell to Mandatory Securities Arbitration.

Will the SEC Listen to Congress or NAASA and act Under Dodd-Frank Wall Street Reform and Consumer Protection Act to prohibit the use of mandatory securities arbitration ? On Monday, thirty seven members of Congress wrote to the SEC to end…
Apr 26
The Retirement Gamble Facing Us All

The Retirement Gamble Facing Us All

If youandrsquo;ve been watching any commercial television lately, you are well aware that the financial services industry is very busy running expensive ads imploring us to worry about our retirement futures. Open a new account today, they…
Apr 11
FINRA Offers Injured Investors Do it Yourself Litigation Resources.

FINRA Offers Injured Investors Do it Yourself Litigation Resources.

According to FINRA Dispute Resolution Statistics, so far in 2013, only 44% of investorsandnbsp;bringing claims against their stockbroker or brokerage firm recover any damages, and on average, even those that win, only recover 50% of…

Rank this Week: 3071

White Collar Fraud

Covers white collar crime, securities fraud, the accounting profession, internal controls and Sarbanes-Oxley. By Sam E. Antar.

http://whitecollarfraud.blogspot.com/

Jan 29
Overstock.com CEO Patrick Byrne Sleeps With a Gun

Overstock.com CEO Patrick Byrne Sleeps With a Gun

In numerous blog posts in the past, and in widespread media coverage, evidence has accumulated for years that Overstock.com CEO (NASDAQ: OSTK) Patrick Byrne has shown signs of being mentally unbalanced and paranoid. Byrne has blamed his…
Jan 22
Patrick Byrne: Armed, Dangerous, and Delusional

Patrick Byrne: Armed, Dangerous, and Delusional

Last Wednesday, Overstock.com (NASDAQ: OSTK) CEO Patrick Byrne was arrested after Transportation Security Administration (TSA) officers found a loaded pistol concealed in his carry-on bag at an airport security checkpoint. He spent several…
Dec 28
What Indicted SAC Capital Portfolio Manager Mathew Martoma Can Learn from Crazy Eddie

What Indicted SAC Capital Portfolio Manager Mathew Martoma Can Learn from Crazy Eddie

Back in March 1989, I faced an agonizing decision: Either cooperate with the F.B.I. and S.E.C. investigations of fraud at Crazy Eddie or spend a long time in prison behind bars. Likewise, former SAC Capital Advisors portfolio manager Mathew…

Rank this Week: 3093

InvestorLawyers.net

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

http://www.investorlawyers.net/blog/

Nov 28
Mark Hotton Allegedly Defrauded Clients; Investors Could Recover Losse

Mark Hotton Allegedly Defrauded Clients; Investors Could Recover Losse

Investment fraud lawyers are currently investing claims on behalf of the clients of Mark Hotton. A recent complaint filed by the Financial Industry Regulatory Authority alleges that Hotton stole or rerouted money from his clients — funds…
Nov 27
FINRA Now Arbitrating Claims Against Investment Adviser

FINRA Now Arbitrating Claims Against Investment Adviser

A recent announcement from the Financial Industry Regulatory Authority stated that arbitration is open to disputes between investors and registered investment advisers, or RIAs. According to securities fraud attorneys, this is good news for…
Nov 25
Clients of Jeffrey A. Cashmore, LPL Financial Could Recover Losse

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

Securities fraud attorneys are currently investigating claims on behalf of investors who suffered significant losses as a result of their financial investments with Jeffrey A. Cashmore and LPL Financial. According to the Financial Industry…

Rank this Week: 2940

100 F Street

Covers securities law for growing businesses. By Vanessa Schoenthaler.

http://100fstreet.com/

May 16
SEC Announces a New Director of the Division of Corporation Finance; House Wants to Know Where the JOBS Act Rules Are

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

TweetThe New Director of Division of Corporation Finance Yesterday the Securities and Exchange Commission announced the naming of Keith F. Higgins as director of the Commission’s Division of Corporation Finance. Higgins was a…
Mar 12
Mary Jo White’s Senate Confirmation Hearing Set for Today

Mary Jo White’s Senate Confirmation Hearing Set for Today

TweetAt 10:00 AM the Senate Banking Committee will hold a hearing (which you can watch here) to consider the nominations of Richard Cordray as Director of the Consumer Financial Protection Bureau and Mary Jo White as Chairman of the…
Feb 10
The New Nasdaq and NYSE Compensation Committee Listing Standard

The New Nasdaq and NYSE Compensation Committee Listing Standard

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

Rank this Week: 3663

Stock Attorneys Blog

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

http://www.stockattorneysblog.com/

Apr 11
UBS facing Millions of Dollars in Claim

UBS facing Millions of Dollars in Claim

Blum Law Group has commenced an investigation into the activities of UBS Financial with relation to its clients who purchased stocks or bonds over the past 24 months. Investors who sustained losses at UBS or in their investment accounts…
Oct 25
Blum Law Group Investigates David Lerner Associates, Inc.

Blum Law Group Investigates David Lerner Associates, Inc.

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

Blum Law Group Investigates JW Korth & Company

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

Rank this Week: 3296

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

http://www.newyorksecuritieslawyersblog.com/

Apr 1
LPL Reportedly Under Fire From State Regulator

LPL Reportedly Under Fire From State Regulator

The broker-dealer LPL, Linsco Private Ledger, has been in the news a lot recently - for all the wrong reasons. LPL was even recently featured in The New York Times for its frequent "tangles" with state and federal regulators. LPL is the…
Mar 26
Jenice Malecki to Appear Tonight on The Willis Report on Fox Busine

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

Jenice Malecki of Malecki Law will be appearing on Fox Business News tonight, March 26, 2013 between 6pm and 7pm. Ms. Malecki will be appearing on The Willis Report to discuss the recent Rasmussen Reports that indicate 50 percent of…
Mar 20
Jenice Malecki to Appear on Fox Business News on March 21, 2013 at 5pm - Topic: SEC Digging Into Fund Fee

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

Jenice Malecki of Malecki Law will be appearing on Fox Business News tomorrow, March 21, 2013, at 5pm. It has been reported that the hedge fund industry has noticeably passed the $2 trillion mark. It's the big gorilla in the room, and the…

Rank this Week: 3542

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: 3649

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: 3315

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 20
The Ongoing Raiding Dispute between Wells Fargo Advisors and Stifel Nicolau

The Ongoing Raiding Dispute between Wells Fargo Advisors and Stifel Nicolau

A noteworthy and contentious dispute (or, more accurately, series of disputes) between brokerage firm Wells Fargo Advisors, LLC (WFA) and its crosstown rival Stifel, Nicolaus & Company, Inc. (Stifel) is worth mentioning simply because of…
May 7
FINRA Regulatory Notice Relating to Non-Traded REITs Comes on Heels of New Proposed FINRA Rules on REIT Price Disclosure

FINRA Regulatory Notice Relating to Non-Traded REITs Comes on Heels of New Proposed FINRA Rules on REIT Price Disclosure

In FINRA Regulatory Notice 13-18, issued last week, FINRA seeks to provide guidance to members firms and their representatives in connection with shortcomings in how those firms and advisors communicate with the public about non-traded…
May 7
Ron Amato Quoted in Dow Jones Newswire’s Compliance Watch Column

Ron Amato Quoted in Dow Jones Newswire’s Compliance Watch Column

Attorney Ronald M. Amato’s comments recently appeared in Dow Jones newswire’s Compliance Watch column entitled “Don’t Alert Clients Before Defecting” by Dow Jones columnist Caitlin Nish. Mr.…

Rank this Week: 3938

Stock Market Loss

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

http://www.stockmarketloss.com/news/

May 10
Dispute Resolution Smackdown: Group Arbitrations vs. Securities Class Actions vs. Individual Arbitration – Part 3

Dispute Resolution Smackdown: Group Arbitrations vs. Securities Class Actions vs. Individual Arbitration – Part 3

This article was originally posted on Stock Market LossWhen Attempting to Persuade Arbitrators, a Dozen Victims are Better Than One. “So okay,” you say. “Group cases sound like they’re better than class actions. …
May 9
Dispute Resolution Smackdown: Group Arbitrations vs. Securities Class Actions vs. Individual Proceedings – Part 2

Dispute Resolution Smackdown: Group Arbitrations vs. Securities Class Actions vs. Individual Proceedings – Part 2

This article was originally posted on Stock Market LossWhile Class Members Surrender All Control to the Lawyers and Court, Group Arbitrations Keep Clients Involved and In Charge. As we noted in part 1, securities class actions tend to produce…
May 8
Dispute Resolution Smackdown: Group Arbitrations vs. Securities Class Actions vs. Individual Proceedings – Part 1

Dispute Resolution Smackdown: Group Arbitrations vs. Securities Class Actions vs. Individual Proceedings – Part 1

This article was originally posted on Stock Market LossModest Losses? In Group Arbitrations, a Lot of Little Can Be Really Big We’ve said it before, we are not a fan of class actions. In fact, except for the lawyers who handle them, no…

Rank this Week: 4234

Tim O'Connor's Blog

Covers stockbroker fraud.

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

May 10
Hidden Costs Associated with Variable Universal Life (VUL) Insurance Policie

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

The various costs associated with variable annuity policies includes surrender charges and fluctuating costs of insurance charges, all of which means that the underlying cash values of the Variable Universal Life policy must work that much…
May 6
Variable Universal Life Horror Storie

Variable Universal Life Horror Storie

The replacement of paid-up whole life insurance policies by Variable Universal Life (VUL) insurance policies has seen many retirees lose a lifetime of savings in a matter of years, due to various of the hidden cost features of Variable…
Apr 22
Insurance for Theft From Brokerage, Investment and Insurance-Type Account

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

The victims of Ponzi schemes and theft involving their financial accounts may be afforded protection offered by broker blanket bonds, fidelity bonds, broker/dealer professional liability insurance coverage, errors and omissions policies,…

Rank this Week: 3806

Securities Industry Lawyer Blog

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

http://www.finralawyerblog.com/

May 8
FINRA Identifies "Red Flags" for AML Compliance

FINRA Identifies "Red Flags" for AML Compliance

FINRA recently entered into a settlement with Gar Wood Securities LLC (the "AWC") concerning allegations that Gar Wood facilitated the sale of restricted securities in violation of the Section 5 of the 1933 Act, and the Firm failed to…
Apr 1
4th Circuit Further Defines A "Customer" Under FINRA Arbitration Rule

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

Following its broad ruling in UBS Financial Services v. Carilion Clinic, 706 F.3d 319 (4th Cir. 2013), the 4th Circuit has issued two recent decisions that somewhat lessen the impact of the UBS holding. In UBS, the court held that a customer…
Mar 26
4th Circuit Gives Further Defines A "Customer" Under FINRA Arbitration Rule

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

Following its broad ruling in UBS Financial Services v. Carilion Clinic, 706 F.3d 319 (4th Cir. 2013), the 4th Circuit has issued two recent decisions that somewhat lessen the impact of the UBS holding. In UBS, the court held that a customer…

Rank this Week: 4308

Smaller Reporting Company's…

Smaller Reporting Company's Securities Blog

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

http://slgsecurities.com/

May 7
General Solicitation, Where Are You?

General Solicitation, Where Are You?

The Jumpstart our Business Startups Act (JOBS Act) was signed into law on April 5, 2012 and was to (among other things) allow businesses to generally solicit investors for certain securities offerings as well as create…
Apr 24
Japanese Fashion Chain UNIQLO Introduces Worldwide Equal Pay System Across Its Store

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

Reblogged from RocketNews24: Tadashi Yanai, chairman and director of Fast Retailing and the main force behind the expansion of Japanese clothes retailer UNIQLO, has recently made public his intentions to introduce a worldwide universal wage…
Apr 22
'The startup is you!' Upstart gets $5.9M to help investors back college grad

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

Reblogged from VentureBeat: Upstart, the startup that can help recent graduates step off the treadmill of a corporate career, just closed its first round of funding. The San Francisco-based company, which has been described as a…

Rank this Week: 4373

Securities Law Blog

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

http://www.securitieslaw-blog.com/

May 2
SEC Urges an End to Mandatory Arbitration

SEC Urges an End to Mandatory Arbitration

Armed with an argument for protecting investors' rights, SEC member Luis Aguilar went before the North America Securities Administrators Association's annual conference in Washington, D.C to argue that mandatory arbitration agreements should…
Apr 11
SEC Finally Releases Morgan Keegan Fund Distribution

SEC Finally Releases Morgan Keegan Fund Distribution

A recent press by the Secretary of State for the State of Mississippi announced that the SEC has published their proposed plan for fund distribution to those injured by Morgan Keegan investments. This comes two years after the $200 million…
Apr 2
FINRA Bars Broker for Unsuitable and Unapproved Securities Transactions Involving 31 NFL Player

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

According to a FINRA press release, broker Jeffrey Rubin of Lighthouse Point, Florida, is barred from the securities industry for making unsuitable recommendations to invest in illiquid, high-risk securities issued in connection with a…

Rank this Week: 4336

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

http://www.blog.stockbrokerattorney.com/

Apr 2
SEC Warning to Investors: Watch Out for Fraudsters Posing As Regulator

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

Wolves in Sheep’s Clothing The SEC has issued an update of a previous alert warning investors of scammers posing as SEC employees soliciting personal and financial information. In the warning, the SEC reminds the public that it does not…
Mar 22
2011 in Review: FINRA’s Top 5 Enforcement Issue

2011 in Review: FINRA’s Top 5 Enforcement Issue

FINRA enforcement statistics experience hike in 2011 compared to 2010 An annual survey of FINRA sanctions revealed that 2011 was quite busier than 2010. In addition to banning more reps, FINRA fines jumped 51% from $48 million in 2010 to…
Feb 23
SEC Tightens Rule on Investment Advisor Performance Fee

SEC Tightens Rule on Investment Advisor Performance Fee

On February 15, 2012, the Securities and Exchange Commission (SEC) announced that it is strengthening its rule on investment advisory performance fees. It is raising the net worth requirement for investors who pay performance fees and…

Rank this Week: 4072

Dividends and Preferences Blawg

Musings on Venture Capital, Technology and Entrepreneurship. By Hank J. Heyming.

http://dividendsandpreferences.blogspot.com/

Jan 24
Microsoft/Skype -- Putting Things into Perspective

Microsoft/Skype -- Putting Things into Perspective

{EAV:984c4a016f17013d} Microsoft acquires Skype! Largest Microsoft acquisition ever!! Facebook jilted!!! Google jilted!!!! Wait, Facebook wins through Microsoft!!!!! Wait, Microsoft overpaid by $4 billion with a B!!!!!! OMG Google just…
May 10
Nerd Chic

Nerd Chic

Lately, I've noticed a new twist to the typical ebb and flow of the fashion wars. It occurred to me that, for perhaps the first time in my lifetime, it is cool right now to be a nerd.
Apr 25
Out and About

Out and About

Hey folks -- I'm getting ready to head down to the RTP area for the annual CED Venture Conference. This year it is in downtown Raleigh, instead of Pinehurst, and looks to be bigger and better than ever. So, if anyone happens to be in the…

Rank this Week: 4714

Florida Securities Fraud Attorney…

Florida Securities Fraud Attorney Blog

Covers Florida securities fraud cases and issues. By Ralph Behr, Esq. P.A.

http://www.floridasecuritiesfraudattorney.com/

Dec 21
Can JPMorgan Be Forced To Pay MF Global Customers' Claims?

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

The reports are that JP Morgan suspected some MFGlobal funds it received were customer deposits. …”But JPMorgan was not satisfied. The bank once again contacted Mr. Corzine, this time requesting a guarantee in writing.”…..[DealBook…
Dec 19
New Rules for Expungement of Certain Broker Check Complaint

New Rules for Expungement of Certain Broker Check Complaint

December 2011 may be a watershed date in the battle for fairness for stockbrokers. Constantly barraged by complaints, which are often no more than attempted extortion, the FINRA board may make some rule changes. It's a modest beginning; but…
Dec 19
WHY ARE EXPUNGEMENT ORDERS BY ARBITRATORS IGNORED BY BROKER CHECK?

WHY ARE EXPUNGEMENT ORDERS BY ARBITRATORS IGNORED BY BROKER CHECK?

A customer complaint, once filed, is technically a public record. Public records are subject to state control and cannot be expunged without an order from U.S. federal court. If your arbitration award includes an order of expunction;…

Rank this Week: 4939

Shareholder Oppression

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

http://blog.shareholderoppression.com/

Apr 14
Shareholder Oppression Newsletter No. 2

Shareholder Oppression Newsletter No. 2

Earlier this month, Fryar Law Firm published its second issue of the Shareholder Oppression Newsletter, which contained four new articles dealing with issues raised in the Dallas Court of Appeals' recent significant minority shareholder…
Apr 3
New Texas Shareholder Oppression Opinion -- Ritchie v. Rupe, No. 05-08-00615-CV, ___ S.W.3d ____, 2011 WL 1107214 (Tex. App.—Dallas 2011, ____).

New Texas Shareholder Oppression Opinion -- Ritchie v. Rupe, No. 05-08-00615-CV, ___ S.W.3d ____, 2011 WL 1107214 (Tex. App.—Dallas 2011, ____).

On March 28, 2011, the Dallas Court of Appeals issued a significant shareholder oppression opinion in Ritchie v. Rupe, No. 05-08-00615-CV, ___ S.W.3d ____, 2011 WL 1107214 (Tex. App.—Dallas 2011, ____). [Read Full Opinion] This is the first…
Mar 14
Vermont Supreme Court Affirms Breach of Fiduciary Duties by Corporate Officer and Director

Vermont Supreme Court Affirms Breach of Fiduciary Duties by Corporate Officer and Director

Vermont Supreme Court Affirms Breach of Fiduciary Duties by Corporate Officer and Director J.A. Morrissey, Inc. v. Smejkal, 6 A.3d 701 (Vt. 2010). [Read full opinion]

Rank this Week: 4676

Kueser Law Firm Blog

Covers securities and investment fraud, as well as other consumer and investor-related issues.

http://blog.jmkesquire.com

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…
Mar 26
Temporary Post Used For Theme Detection (f14a79bb-d20d-4a76-abf8-62df58de2516 – 3bfe001a-32de-4114-a6b4-4005b770f6d7)

Temporary Post Used For Theme Detection (f14a79bb-d20d-4a76-abf8-62df58de2516 – 3bfe001a-32de-4114-a6b4-4005b770f6d7)

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Mar 25
Video: How do attorneys decide which securities fraud cases to pursue?

Video: How do attorneys decide which securities fraud cases to pursue?

How do attorneys decide which securities fraud cases to pursue? Also available at KansasCityLaw.tv In this video, Jason M. Kueser discusses factors that securities fraud attorneys often evaluate in determining which cases to pursue. This…

Rank this Week: 4450

Corporate Law and Democracy

A repository of ideas, comments and papers on a range of issues related to corporate law and democracy. By Boston College Law School Professor Renee Jones.

http://reneejones.wordpress.com/

Nov 18
Whither State Securities Enforcement?

Whither State Securities Enforcement?

Susan Antilla of Bloomberg news published a recent column revisiting the question of the continued viability of state securities regulators’ enforcement authority. I spoke to Susan about my research on the issue and I am quoted in…
Sep 19
Bailout-palooza

Bailout-palooza

The federal goverment’s proposal for a bailout of the financial industry sounded somewhat familiar to me. I remembered that I had blogged about a similar proposal about a year ago on Conglomerate.
Sep 17
What a Difference a Year Make

What a Difference a Year Make

One year ago discussions surrounding corporate law policy were driven by the Sarbanes-Oxley ‘backlash.” The Paulson Committee and others were warning about how excessive regulation and litigation would lead to the ruin of Wall Street. …

Rank this Week: 5266

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