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Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • Mar 28

    Defamation v. Tortious Interference

    Defamation v. Tortious Interference
    Most of us have at least a “street-level” understanding of defamation. Individuals that hear or read damaging false statements about themselves or their business typically think: “I need to find a defamation lawyer.”…
  • Mar 19

    Defamation Reputation Damage Management

    Defamation Reputation Damage Management
    In 1378, the Statute of Scandalum Magnatum granted judges and church officials in England a legal right to compensation if they had been insulted or defamed. The first Common Law defamation action on record was filed in England in 1507. …
  • Mar 12

    Missouri Supreme Court Rejects Trade Secret Claim Over Client List

    Missouri Supreme Court Rejects Trade Secret Claim Over Client List
    Troy Kennedy (Kennedy”) left his position as director and executive officer of a trust and investment company when that company was bought by Central Trust & Investment Company (“CTI”). Kennedy left to found a competing…
Rank this Week: 1251

White Collar Fraud

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/
  • Jul 22

    Do Nu Skin Inventory Red Flags Spell Trouble Ahead?

    Do Nu Skin Inventory Red Flags Spell Trouble Ahead?
    Last Friday morning, a comment posted on Twitter by Marc Cohodes about Nu Skin Enterprises (NYSE: NUS), a Utah based multi-level marketing company, caught my curiosity. Cohodes is a legendary short-seller with an excellent track record and…
  • Jul 16

    Indicted Former Utah Attorney General Mark Shurtleff was bribed by Overstock.com too

    Indicted Former Utah Attorney General Mark Shurtleff was bribed by Overstock.com too
    My experience in dealing with former Utah Attorney General Mark Shurtleff goes way back. On October 30, 2007, Overstock.com (NASDAQ: OSTK) paid him $5,000 purportedly as a "campaign contribution." Two weeks later, Overstock.com issued a press…
  • Jul 8

    A Felon’s View of White-Collar Crime - Why Society is Very Vulnerable to Fraud

    A Felon’s View of White-Collar Crime - Why Society is Very Vulnerable to Fraud
    White-collar crime is more brutal than violent crime. The actions of one or a few corrupt public officials and corrupt businessmen can affect the livelihoods of thousands, even millions of people. Fraudsters use a combination of persuasion…
Rank this Week: 1629

Strictly Business

Strictly Business

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

http://www.strictlybusinesslawblog.com/
  • Jul 7

    Venture Capital Term Sheet Negotiation — Part 12: Preemptive Right

    Venture Capital Term Sheet Negotiation — Part 12: Preemptive Right
    This post is the twelfth in a series giving practical advice to startups with respect to understanding and negotiating a venture capital term sheet. In the prior eleven posts, we provided an introduction to negotiation of…
  • Jun 30

    Is it time for the JOBS Act, Part Two?

    Is it time for the JOBS Act, Part Two?
    When the JOBS Act was passed, a lot of people hoped that it would de-regulate startup finance, resulting in a boom of new startups being funded.  Through repealing the ban on general solicitation, allowing online angel investment…
  • Jun 29

    Venture Capital Term Sheet Negotiation — Part 11: Management and Information Right

    Venture Capital Term Sheet Negotiation — Part 11: Management and Information Right
    This post is the eleventh in a series giving practical advice to startups with respect to understanding and negotiating a venture capital term sheet. In the prior ten posts, we provided an introduction to negotiation of the term…
Rank this Week: 1977

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: 1871

Dividends and Preferences

Dividends and Preferences

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

http://www.dividendsandpreferences.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: 1881

With Vigour and Zeal

With Vigour and Zeal

Features a European's views on securities litigation. By Werner Kranenburg.

http://kranenburgesq.com/blog
  • Feb 26

    Transatlantic Litigation: “I sue first”

    Transatlantic Litigation: “I sue first”
    On Wednesday earlier this week, the New York State Bar Association’s International Section held a seminar in London on the topic of Transatlantic Litigation. I was one of the co-organisers and one of the two speakers.
  • Mar 31

    Cornerstone’s Class Actions Reviews 2009

    Cornerstone’s Class Actions Reviews 2009
    Last week and in January, the Stanford Law School Securities Class Action Clearinghouse, in cooperation with Cornerstone Research, published two annual securities class action reviews: Filings 2009 and
  • Feb 25

    Where to go in March

    Where to go in March
    In the next few weeks I will be attending the following events: an LSE lecture and Weil Gotshal webcast on the 4th, Barroway Topaz’ annual conference on the 11th and the NYSBA’s litigation roundtable on the 16th.
Rank this Week: 1732

Securities Law Blog

Securities Law Blog

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

http://www.securitieslaw-blog.com/
  • Jul 25

    Staten Island Broker To Pay $1.3M For Scam

    Staten Island Broker To Pay $1.3M For Scam
    Wayne Burmaster, a broker from Staten Island, New York, will pay $1.3 million in disgorgement to the SEC for selling unregistered penny stock. Burmaster, together with his partner Edward Hayter, sold unregistered shares to investors. Further,…
  • Jul 24

    SEC Approves FINRA Rule To Limit Expungement

    SEC Approves FINRA Rule To Limit Expungement
    The SEC approved a new FINRA rule that will make it hard for brokers to delete customer complaints from their records in arbitration cases. Rule 2081 will prevent brokers from making settlements with customers requiring the claimant to accept…
  • Jul 24

    SEC Approves FINRA Rule To Limit Expungement

    SEC Approves FINRA Rule To Limit Expungement
    The SEC approved a new FINRA rule that will make it hard for brokers to delete customer complaints from their records in arbitration cases. Rule 2081 will prevent brokers from making settlements with customers requiring the claimant to accept…
Rank this Week: 2466

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 22

    Accredited investors – potential changes and some helpful guidance

    Accredited investors – potential changes and some helpful guidance
    Posted By: Robert C. White Jr.   Potential changes. Accredited investors have long been critical participants in private financing transactions, and the success of most private financings is largely determined by the participation of…
  • Jun 26

    Congress to the rescue?: Congressman hints at legislation to reign in proxy advisory firm

    Congress to the rescue?: Congressman hints at legislation to reign in proxy advisory firm
    Posted By: David C. Scileppi Who says Congress isn’t popular?  Well, Congress may become much more popular with public company executives if Congressman Patrick McHenry (R-NC) can make good on his recent promise to challenge the…
  • Jun 20

    Fee-shifting bylaw proposal moved to the back burner pending further investigation

    Fee-shifting bylaw proposal moved to the back burner pending further investigation
    Posted By: Gustav L. Schmidt In a case of first impression, the Delaware Supreme Court held that provisions contained in a nonstock corporation’s bylaws, requiring a plaintiff stockholder to reimburse the corporation’s legal…
Rank this Week: 2597

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
  • Jul 21

    Bond Prices Plummet for Puerto Rico Power Authority

    Bond Prices Plummet for Puerto Rico Power Authority
    Puerto Rico's power authority bonds dropped from trading at around 55 cents on the dollar to 45 cents on the dollar by the end of June as investors worry about the agency's inability to pay off its bonds and bank loans. The power authority is…
  • Jul 16

    Disciplinary Action Against BlackRock Advisors Recommended by SEC

    Disciplinary Action Against BlackRock Advisors Recommended by SEC
    The Securities and Exchange Commission (SEC) has recommend disciplinary action for possible securities violations, including the failure to disclose conflicts of interest, by BlackRock Advisors.
  • Jul 13

    FINRA seeks to narrow public arbitrator definition

    FINRA seeks to narrow public arbitrator definition
    In an effort to tighten the rules for resolving investor disputes in arbitration, the Financial Industry Regulatory Authority (FINRA) has proposed a rule to narrow the definition of public arbitrator. Currently, there are 3,555 public…
Rank this Week: 2394

100 F Street

100 F Street

Covers securities law for growing businesses. By Vanessa Schoenthaler.

http://100fstreet.com/
  • Jul 9

    The SEC’s Latest C&DIs On Accredited Investors and Verifying Accredited Investor Statu

    The SEC’s Latest C&DIs On Accredited Investors and Verifying Accredited Investor Statu
    Last Thursday the Division of Corporation Finance released its latest set of Compliance and Disclosure Interpretations (C&DIs) related to defined terms in Rule 501 of Regulation D and accredited investor…
  • Jun 28

    Chair White Offers Insight Into How the SEC Views Director

    Chair White Offers Insight Into How the SEC Views Director
    This past Monday night Chair White gave a keynote address at the 20th Annual Stanford Directors’ College where she spoke about the Commission’s “mindset” on certain matters relevant to directors.…
  • Jun 18

    Automatic Disqualification Waivers: A Recurring Theme

    Automatic Disqualification Waivers: A Recurring Theme
    Last Thursday Senator Sherrod Brown (D-Ohio), Chairman of the Banking Subcommittee on Financial Institutions and Consumer Protection, penned a letter to Chair White questioning the Commission’s practices and…
Rank this Week: 2252

Perry Krumsiek & Jack Law Blog

Perry Krumsiek & Jack Law Blog

Covers business, health care, intellectual property and media law.

http://pkjlawblog.wordpress.com/
  • Feb 2

    Here’s One Government Program Worth HARPing On

    Here’s One Government Program Worth HARPing On
    If you are one of the hundreds of thousands of Americans permanently traumatized by the government’s highly lauded, but horribly executed, loan modification program, take heart.  I’m here to tell you that there’s another government…
  • Oct 27

    The Lincoln Lawyer

    The Lincoln Lawyer
    Before Abraham Lincoln became our greatest president, he was a great corporate lawyer.  And before he was a corporate lawyer, he was a brilliant trial lawyer. In the 1840s, Lincoln represented a Revolutionary War widow who had been bilked…
  • Oct 22

    Cornell Scores in Forum Case

    Cornell Scores in Forum Case
    PKJ’s Timothy Cornell scored a significant victory Friday, when U.S. District Judge Richard G. Stearns dismissed a multimillion case against an Internet company, finding that the plaintiff was bound by his contract’s forum selection…
Rank this Week: 2354

Kueser Law Firm Blog

Kueser Law Firm Blog

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

http://blog.jmkesquire.com
Rank this Week: 2484

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: 2165

Inside Sarbanes Oxley

Inside Sarbanes Oxley

Covers Sarbanes-Oxley and compliance.

http://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: 2650

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: 2434

VC Research Network

VC Research Network

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

http://vc.berkeleylawblogs.org/
  • Apr 5

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

    Carrots & Sticks: How VCs Induce Entrepreneurial Teams to Sell Startup
    [Editor’s Note: This post comes to us from Professors Jesse Fried and Brian Broughman] Venture capitalists (VCs) play a significant role in the financing of high-risk, technology-based business ventures. VC exits usually take one of…
  • Mar 26

    Delaware Law as Lingua Franca: Theory and Evidence

    Delaware Law as Lingua Franca: Theory and Evidence
    [Editor’s Note: This post comes to us from Professors Jesse Fried, Brian Broughman and Darian Ibrahim) Delaware dominates the corporate chartering market in the U.S—it is the only state that attracts a significant number of…
  • Feb 27

    The Dynamics of Venture Capital Contract

    The Dynamics of Venture Capital Contract
    (Editor’s Note: This post comes to us from Professors Carsten Bienz and Julia Hirsch).
Rank this Week: 3053

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: 2697

Stock Market Loss

Stock Market Loss

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

http://www.stockmarketloss.com/news/
  • Jul 24

    Why Do Variable Life Insurance Policies Fail?

    Why Do Variable Life Insurance Policies Fail?
    This article was originally posted on Stock Market Loss Purchasers of Variable Life and Variable Universal Life Insurance Policies often don’t understand that the values of the sub-account investments determine the sustainability of the…
  • Jul 23

    How Do Brokers and Insurance Agents Mislead You Into Buying VL and VUL Insurance Policies?

    How Do Brokers and Insurance Agents Mislead You Into Buying VL and VUL Insurance Policies?
    This article was originally posted on Stock Market Loss Brokers and agents who sell variable insurance products are supposed to comply both with state securities or insurance regulations and with regulations issued by the Securities and…
  • Jun 19

    Proposed FINRA Rule Would Keep Former Industry Insiders Off Public Arbitrator List

    Proposed FINRA Rule Would Keep Former Industry Insiders Off Public Arbitrator List
    This article was originally posted on Stock Market Loss FINRA has filed with the Securities and Exchange Commission a proposal to narrow the definition of a public arbitrator, precluding anyone with financial industry experience from…
Rank this Week: 3398

Chicago Securities Lawyer Blog

Chicago Securities Lawyer Blog

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

http://www.chicagosecuritieslawyerblog.com/
  • Jul 16

    Regulators Concerned About High Frequency Trading and Timestamp

    Regulators Concerned About High Frequency Trading and Timestamp
    The United States securities regulators, the Securities Exchange Commission ("SEC"), and the Financial Industry Regulatory Authority ("FINRA") and the United Kingdom's Financial Conduct Authority ("FCA") are tightening rules to impose…
  • Jul 9

    SEC Trying to Even the Field for Bond Market

    SEC Trying to Even the Field for Bond Market
    The Wall Street Journal reported that the Securities Exchange Commission ("SEC") wants to even the field in the bond market between small investors and Wall Street's biggest banks. The SEC unveiled plans to make real time pricing information…
  • Apr 17

    You Might Think Twice About Using A Broker Who Failed The Exam To Get His License

    You Might Think Twice About Using A Broker Who Failed The Exam To Get His License
    The Wall Street Journal reported that there are more than 51,500 stockbrokers that have failed, at least once, an exam to obtain a license to sell securities. Additionally, those brokers that failed the exam have worse disciplinary records…
Rank this Week: 3320

Startup Law Blog

Startup Law Blog

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

http://www.startuplawblog.com/
  • Jun 29

    Is Title III Equity Crowdfunding Going to Work?

    Is Title III Equity Crowdfunding Going to Work?
    I was invited to appear on HuffPost TV the other day, to talk about crowdfunding. The conversation quickly turned into a discussion of the potential negatives of crowdfunding, and the risks. Then there was this article in Salon, with the…
  • Jun 27

    How to Design for Human

    How to Design for Human
    by Bryce Merrill, SVP Fast Pitch Marketing Team The first SVP Fast Pitch Jumpstart Workshop, “How to Design for Humans” took place at Impact Hub Seattle on Wednesday, June 11. The Jumpstart Workshop series is…
  • Jun 19

    Come Meet Dan Levitan of Maveron

    Come Meet Dan Levitan of Maveron
    Seattle is privileged to have a number of outstanding VCs. In the select group that have put our community on the national/global map for venture capital is Dan Levitan. If you are not familiar with Dan, he’s the guy who ……
Rank this Week: 3209

Florida Securities Fraud Attorney…

Florida Securities Fraud Attorney Blog

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

http://www.floridasecuritiesfraudattorney.com/
  • Jun 4

    Scanning License Plates and Privacy

    Scanning License Plates and Privacy
    Fort Lauderdale police agencies have technology to read license plates. Once read, the plates are matched against outstanding traffic tickets. In addition, the owner’s name is matched against outstanding criminal warrants. At what…
  • Jun 2

    SEC Charges White Collar Crimes in Sarasota

    SEC Charges White Collar Crimes in Sarasota
    A fund manager in Sarasota, Florida was charged with defrauding investors of $3.8 million. The fund manager, Gaeton Della Penna, faces federal criminal charges in the Middle District of Florida for defrauding investors. Criminal charges,…
  • May 29

    Demands for Chemtrail Conspiracy Arrest

    Demands for Chemtrail Conspiracy Arrest
    The History Channel‘s broadcast of "Weather Warfare" focused international interest in The State of the Nation’s demand that the International Criminal Court begin a criminal investigation into what I have dubbed "The…
Rank this Week: 3696

Securities Fraud Attorney Blog

Securities Fraud Attorney Blog

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

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

    UBS in Web of Puerto Rico Bond Funds Suffering Massive Losse

    UBS in Web of Puerto Rico Bond Funds Suffering Massive Losse
    Puerto Rico bond funds have been suffering massive losses recently and regulators have already taken action. According to the SEC, UBS Financial Services of Puerto Rico Inc. (“UBS”) misled thousands of its retail investors in 23…
  • Dec 9

    Bloomberg Update on $383M Client Case v. Citigroup

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

    American Lawyer Piece on Firm's Citigroup Case

    American Lawyer Piece on Firm's Citigroup Case
    Below is an American Lawyer piece which explains our clients' pending $383 million FINRA arbitration against Citigroup. It goes on to talk about how there are more and more large and complex cases at FINRA. It's true. As partner John Rich…
Rank this Week: 3272

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: 3223

Corporate Law and Democracy

Corporate Law and Democracy

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

http://reneejones.wordpress.com/
  • Nov 18

    Whither State Securities Enforcement?

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

    Bailout-palooza

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

    What a Difference a Year Make

    What a Difference a Year Make
    One year ago discussions surrounding corporate law policy were driven by the Sarbanes-Oxley ‘backlash.”  The Paulson Committee and others were warning about how excessive regulation and litigation would lead to the ruin of Wall Street. …
Rank this Week: 3185

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 28

    “Compensation” | Paul Laurence Dunbar

    “Compensation” | Paul Laurence Dunbar
    Compensation is a matter dear to lawyers’ hearts, white-collar and otherwise.  Here’s a poem (via www.poets.org) by Paul Laurence Dunbar: Compensation Because I had loved so deeply, Because I had loved so long, God in His…
  • Jul 25

    “Appellate Jurisdiction” | Marianne Moore (1887-1972)

    “Appellate Jurisdiction” | Marianne Moore (1887-1972)
    For pondering our appeals of all sorts.   Appellate Jurisdiction by Marianne Moore Fragments of sin are a part of me. New brooms shall sweep clean the heart of me.       Shall they? Shall they? When this light life shall…
  • Jul 11

    It’s Okay To Smell A Rat: Internal Investigations, Attorney-Client Privilege and the KBR Decision

    It’s Okay To Smell A Rat: Internal Investigations, Attorney-Client Privilege and the KBR Decision
    Post-recession, we are living through an era of regulators’ grimaces and prosecutors’ giddiness. Editorialists and bloggers want business scalps, especially scalps of individuals (as opposed to simple monetary fines for…
Rank this Week: 4085

Subject to Inquiry

Subject to Inquiry

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

http://www.subjecttoinquiry.com/
Rank this Week: 4320

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
  • Jul 24

    If You are Subpoenaed to Appear Before a Pennsylvania Grand Jury, Learn from Graham Spanier’s Mistake: Take Your Lawyer

    If You are Subpoenaed to Appear Before a Pennsylvania Grand Jury, Learn from Graham Spanier’s Mistake: Take Your Lawyer
    We wrote about the ongoing fallout from the Jerry Sandusky scandal in January, and whether former Penn State General Counsel Cynthia Baldwin made some critical missteps by appearing at the grand jury with former President Graham Spanier, Vice…
  • Jul 22

    Managing an Environmental Enforcement Investigation

    Managing an Environmental Enforcement Investigation
    Although environmental prosecution is not a new trend, criminal enforcement of environmental laws is on the rise.  The recent expansion of tools and referral mechanisms to support a heightened level of criminal enforcement have led to…
  • Jul 18

    Debating Unlawful Command Influence in the Military

    Debating Unlawful Command Influence in the Military
    As readers of this blog know, Montgomery McCracken successfully represented Brigadier General Jeffrey Sinclair in his court-martial in March. General Sinclair was sentenced only to a reprimand and a $20,000 fine. Montgomery McCracken defense…
Rank this Week: 4228

Securities Litigation and…

Securities Litigation and Regulatory Enforcement Blog

Covers SEC investigations, insider trading, derivative actions, white collar defense, and whistleblowers. By Orrick, Herrington & Sutcliffe LLP.

http://blogs.orrick.com/securities-litigation/
Rank this Week: 4931

TRACE Blog

TRACE Blog

Covers anti-bribery compliance.

http://traceblog.org/
  • Jul 22

    A Royal Mess, Pt. 2: Non-Profits, Charitable Contributions and the FCPA

    A Royal Mess, Pt. 2: Non-Profits, Charitable Contributions and the FCPA
    In our previous post, we discussed the ongoing corruption case against Princess Cristina of Spain and her husband, Duke Iñaki Urdungarin. Urdangarin, a former Olympian, is accused of using his position to skim money from government…
  • Jul 15

    A Royal Mess, Pt. 1: Spanish Princess Charged with Corruption

    A Royal Mess, Pt. 1: Spanish Princess Charged with Corruption
    If there are perks to being a member of the Spanish royal family (undoubtedly there are), immunity from corruption prosecutions is not one of them. Last month, on June 25th, Princess Cristina of Spain was charged with tax fraud and money…
  • Jul 2

    AFTER ESQUENAZI, QUESTIONS STILL REMAIN

    AFTER ESQUENAZI, QUESTIONS STILL REMAIN
    Haiti in 2001 might have seemed like an entrepreneur’s playground — the kind of place where the stakes were high, the risks were big, and if you played your cards right, you might find fabulous riches. Sure, it was one of the…
Rank this Week: 4229

Amato Law Firm, LLC Blog

Amato Law Firm, LLC Blog

Overview of current developments in the area of securities law with a focus on securities arbitration and broker-dealer regulation.

http://www.ramatolaw.com/blog1
  • Jul 17

    FINRA Seeks to Delay Implementation of REIT Pricing Rule

    FINRA Seeks to Delay Implementation of REIT Pricing Rule
    According to recent reports, FINRA has sought to delay the implementation of a new rule that would provide greater clarity for investors in non-traded REITs as to the value of their shares.  The proposed rule filing would require firms…
  • Jul 10

    FINRA Pulls Controversial Recruiting Bonus Disclosure Rule

    FINRA Pulls Controversial Recruiting Bonus Disclosure Rule
    As recently reported in the financial press, FINRA late last month filed a notice with the Securities and Exchange Commission indicating that it is pulling its proposed Rule 2243.  The controversial proposed rule — which was…
  • Mar 27

    LPL Hammered by FINRA in Connection with Sales of Alternative

    LPL Hammered by FINRA in Connection with Sales of Alternative
    Independent broker-dealer LPL Financial – a leading seller of alternative investments such as non-traded real estate investment trusts (REITs) – once again is in trouble with regulators, as FINRA announced on Monday that it has…
Rank this Week: 3802

Footnoted

Footnoted

Reports on actionable information in SEC filings.

http://www.footnoted.com/
  • Jul 17

    Irony alert: A One-Time Benefit That’s Actually Three Time

    Irony alert: A One-Time Benefit That’s Actually Three Time
    The irony that we often see in SEC filings may go largely unnoticed by most. But here at footnoted, we try to keep a close eye on that. Much of this we point out via our twitter feed (see here and here and here for a few recent examples). But…
  • Jul 16

    A downgrade to first class for ex-Ford CEO

    A downgrade to first class for ex-Ford CEO
    During his tenure at Ford Motors, Alan Mulally often flew the corporate jet. Now, as a Google director it's first-class.
  • Jul 7

    Actavis’ pre-holiday dump

    Actavis’ pre-holiday dump
    A filing made by Actavis just before the July 4th holiday caught our attention for its generosity to top executives.
Rank this Week: 3820

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/
  • Jul 16

    Save Time and Money With Alternative Dispute Resolution

    Save Time and Money With Alternative Dispute Resolution
    In certain industries, lawsuits are accepted as a price of doing business. But when a legal battle breaks out, the costs can be prohibitive. Tied up in…
  • Jun 24

    When to Contact a Securities Defense Attorney

    When to Contact a Securities Defense Attorney
    A lot of things can go wrong when you handle other people’s money. Even when the risks are apparent, the investor who suffers losses (no matter the…
  • Jun 24

    What Skills Do Financial Services Lawyers Need to be Effective?

    What Skills Do Financial Services Lawyers Need to be Effective?
    At last count, there were over 1.2 million licensed lawyers in America. That’s around one lawyer for every 200 adults, making it one of the most popular…
Rank this Week: 4176

Securities Mining Law

Securities Mining Law

Covers securities law affecting the mining industry in Canada.

http://www.securitiesmininglaw.com/
Rank this Week: 4663

Andrew Abramowitz, PLLC

Andrew Abramowitz, PLLC

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

http://aalegalnyc.com/blog/
  • May 27

    Interesting Legal Reads of the Week

    Interesting Legal Reads of the Week
    Some interesting legal reads for the week of May 26, 2014: Anna Pinedo of MoFo reports on the passage by House subcommittees of various JOBS Act-related bills.  It’s unclear at this point how many will ultimately become law. Also…
  • May 23

    Term Sheets and Letters of Intent

    Term Sheets and Letters of Intent
    Particularly for complex and important transactions in a company’s life-cycle – mergers and acquisitions, institutional funding rounds, joint ventures, etc. – it’s typical that the transaction process start with the…
  • May 21

    Interesting Legal Reads for the Week of May 19

    Interesting Legal Reads for the Week of May 19
    Some interesting legal reads for the week of May 19, 2014: DealBook’s Andrew Ross Sorkin on the relatively long time (10 days) allowed for reporting the acquisition of a 5% equity stake of public companies, and the potential for abuse…
Rank this Week: 4160

Alixe Cormick: Small Cap Lawyer

Alixe Cormick: Small Cap Lawyer

Focuses on Canadian and United States securities law matters of interest to micro and small cap companies.

http://www.alixecormick.com
  • Apr 30

    Welcome to Canada! Using Regulation A+ to List on the CSE, TSX or TSX Venture Exchange

    Welcome to Canada! Using Regulation A+ to List on the CSE, TSX or TSX Venture Exchange
     By Alixe Cormick Using Regulation A in conjunction with listing on the CSE, TSX, or TSX Venture Exchange in Canada is an option that will become more practical for United States (US) based issuers once proposed changes to Regulation A…
  • Apr 21

    How Much Does an Offering Memorandum Cost?

    How Much Does an Offering Memorandum Cost?
    By Alixe Cormick Asking what the “all-in-costs” are for preparing an offering memorandum (an OM) is like asking how much it costs to build a house. A new 4,000 square foot custom-built house in West Vancouver, BC will cost more…
  • Apr 17

    Where You Can Find the Proposed Canadian Equity Crowdfunding Rules and Form

    Where You Can Find the Proposed Canadian Equity Crowdfunding Rules and Form
      By Alixe Cormick In Canada, two crowdfunding specific exemption proposals are out for public comment: a start-up crowdfunding exemption and an integrated crowdfunding exemption. Six provinces (including Saskatchewan) are…
Rank this Week: 4272

Smaller Reporting Company's…

Smaller Reporting Company's Securities Blog

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

http://slgsecurities.com/
  • Feb 18

    {Video} The difference between Angel Investors and Venture Capitalist

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

    SEC Suspends Trading in 255 “Shell” Companie

    SEC Suspends Trading in 255 “Shell” Companie
    Today, the Securities and Exchange Commission (SEC) issued a Press Release announcing that as a result of its micro-cap fraud-fighting initiative they named “Operation Shell-Expel”, they suspended trading in 255 dormant shell…
  • Jan 31

    Box has reportedly, secretly, filed for an IPO

    Box has reportedly, secretly, filed for an IPO
    Reblogged from SoshiTech - Social Media Technology - Soshitech.com: By Derrick Harris 37 mins ago No Comments A http://gigaom.com/2014/01/30/box-has-reportedly-secretly-filed-for-an-ipo/ A Summary:Cloud collaboration star Box has filed for an…
Rank this Week: 4791

Securities Industry Lawyer Blog

Securities Industry Lawyer Blog

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

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

    Robert Herskovits Appears on Reuters TV Side Bar Show

    Robert Herskovits Appears on Reuters TV Side Bar Show
  • May 8

    FINRA Identifies "Red Flags" for AML Compliance

    FINRA Identifies "Red Flags" for AML Compliance
    FINRA recently entered into a settlement with Gar Wood Securities LLC (the "AWC") concerning allegations that Gar Wood facilitated the sale of restricted securities in violation of the Section 5 of the 1933 Act, and the Firm failed to…
  • Apr 1

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

    4th Circuit Further Defines A "Customer" Under FINRA Arbitration Rule
    Following its broad ruling in UBS Financial Services v. Carilion Clinic, 706 F.3d 319 (4th Cir. 2013), the 4th Circuit has issued two recent decisions that somewhat lessen the impact of the UBS holding. In UBS, the court held that a customer…
Rank this Week: 4742