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Securities Law Prof Blog

Securities Law Prof Blog

Covers securities arbitration, state securities law, court decisions and law review articles. By Professor Barbara Black.

http://lawprofessors.typepad.com/securities/
  • May 24

    SEC Charges Dallas Trader with Front-Running

    SEC Charges Dallas Trader with Front-Running
    The SEC announced fraud charges and an asset freeze against Daniel Bergin, a senior equity trader at Cushing MLP Asset Management, a Dallas-based investment advisory firm, who allegedly profited by placing his own trades before executing…
  • May 24

    Obama Nominates Piwowar and Stein to SEC

    Obama Nominates Piwowar and Stein to SEC
    The White House announced that it is nominating two individuals to seats on the SEC: Michael Sean Piwowar, of Virginia, to be a Member of the Securities and Exchange Commission for a term expiring June 5, 2018, vice Troy A....
  • May 23

    Former Goldman Banker Settles SEC "Pay-to-Play" Charge

    Former Goldman Banker Settles SEC "Pay-to-Play" Charge
    Neil M.M. Morrison, a former VP in the investment banking division of Goldman, Sachs, settled SEC charges that he engaged in a "pay-to-play" scheme. The SEC alleged that starting in July 2008 Morrison was employed by Goldman to…
Rank this Week: 89

The Race to the Bottom

The Race to the Bottom

A faculty-student collaboration on corporate governance. By Professor J. Robert Brown, Jr.

http://www.theracetothebottom.org/home/
  • May 24

    SEC Regulatory Accountability Act of 2013: Whose Interests are Being Served?

    SEC Regulatory Accountability Act of 2013: Whose Interests are Being Served?
    On May 17th the U.S. House of Representatives by a 235-161 vote (including 17 Democrat supporters) approved the SEC Regulatory Accountability Act of 2013 (the “Accountability Act”).  The Accountability Act directs the SEC to…
  • May 23

    Two Nominees for the SEC

    Two Nominees for the SEC
    The Administration has nominated two candidates to the SEC:  Kara Stein, an aide to Jack Reed, the Senator who until recently chaired the Senate Subcommittee on Securities, and Michael Piwowar, an aide to Sen. Mike Crapo (R., Idaho),…
  • May 23

    The Lack of Impartiality in the Proxy Proce

    The Lack of Impartiality in the Proxy Proce
    The vote is in on the contest over whether position of chair and CEO should be divided at JP Morgan Chase.  But a fundamental shift in the traditional dynamics of a proxy contest occurred during the voting process.  Shareholders…
Rank this Week: 114

William Carleton, Counselor @ Law

William Carleton, Counselor @ Law

Covers legal and investment issues facing emerging tech companies.

http://www.wac6.com/wac6/
  • May 24

    San Francisco

    San Francisco
    Assessing the weather conditions for my walk to work this morning, I saw that it was drizzling, and cool. It's the Friday before a three-day weekend, I thought, so it shouldn't be a problem if I wear a sweatshirt in...
  • May 23

    President Stark

    President Stark
    The President's geopolitics are straight out of Marvel Comics.
  • May 22

    Same-sex marriage and the accredited investor standard

    Same-sex marriage and the accredited investor standard
    The accredited investor standard is effectively lower for married couples. To the extent same-sex couples are denied the right to marry, this means the accredited investor standard discriminates on the basis of sexual orientation.
Rank this Week: 118

The D & O Diary

The D & O Diary

News and commentary on Directors and Officers Liability. By Kevin M. LaCroix.

http://www.dandodiary.com/
  • May 22

    FDIC's Latest Failed Bank Litigation Update Reflects Increasing Lawsuit Filing

    FDIC's Latest Failed Bank Litigation Update Reflects Increasing Lawsuit Filing
    According to the latest update on the FDIC’s website, the pace of the agency’s filing of failed bank lawsuits picked up considerably in the last month. According to the agency’s website (here), which the agency updated on…
  • May 22

    Despite Setbacks, Libor-Scandal Claimants Press Ahead

    Despite Setbacks, Libor-Scandal Claimants Press Ahead
    The early returns in the Libor-scandal related litigation have not been favorable for the claimants. As noted here, on March 29, 2013, Southern District of New York Judge Naomi Reice Buchwald substantially granted the motion to dismiss in the…
  • May 21

    D&O Insurance: Separate Claims Deemed a Single Claim--What Are the Implications?

    D&O Insurance: Separate Claims Deemed a Single Claim--What Are the Implications?
    As I have previously noted (refer for example here), one of the most vexing issues in the D&O claims arena is the questions of whether or not two claims are or are not interrelated. If the two are interrelated, they are deemed a single…
Rank this Week: 127

Stock Broker Fraud Blog

Stock Broker Fraud Blog

Covers broker fraud, investor fraud, marketing timing, and securities fraud. By Shepherd Smith & Edwards.

http://www.stockbrokerfraudblog.com/
Rank this Week: 128

FinancialCounsel

FinancialCounsel

Features podcasts on compliance, employment and industry intelligence for investment professionals and investment, planning and regulatory intelligence for investors. By James J. Eccleston.

http://financialcounsel.typepad.com/financialcounsel/
  • May 23

    Structured Products Raise Concern

    Structured Products Raise Concern
    The SEC is pressing large investment banks to provide more disclosure on structured notes. Surging sales of structured notes, which are often complex and hard to understand, have caused concerns about how banks are valuing the products and…
  • May 23

    Non-Traded REITs Under Fire

    Non-Traded REITs Under Fire
    Massachusetts securities regulators have found significant violations and have settled with Ameriprise Financial Services, Inc., Commonwealth Financial Network, Royal Alliance Associates Inc., Securities America and Lincoln Financial Advisors…
  • May 22

    Financial Services Firms Making Changes to How They Sell Some Alternative Investment

    Financial Services Firms Making Changes to How They Sell Some Alternative Investment
    Amid increasing pressure from regulators, Berthel Fisher & Co. Financial Services Inc., VSR Financial Services Inc. and Cetera Financial Group Inc., which has four independent-contractor-broker-dealers under its umbrella, have revised…
Rank this Week: 142

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
Rank this Week: 157

footnoted.org

footnoted.org

Guide to what's hiding in SEC filings. By Michelle Leder.

http://www.footnoted.org
  • Feb 11

    Google joins the DIY group…

    Google joins the DIY group…
    Late Friday, less than 20 minutes before the SEC closed for the week, Google (GOOG) filed this 8-K, which quickly had the interwebs a-buzzing. Within minutes of the filing, CNBC tweeted this alert. Two heavyweight tech sites, TechCrunch and…
  • Jan 30

    And then there were six: Copano gets acquired…

    And then there were six: Copano gets acquired…
    Everywhere you turn these days, people seem to be talking about the “long tail” — in entertainment, in search, in insurance (where it’s been used for years). Colloquially, it tends to mean that there’s a pattern…
  • Jan 18

    Too early for worst footnote of 2013?

    Too early for worst footnote of 2013?
    Given that it’s only 18 days after the year began, it may be a wee bit premature to declare a winner of the worst footnote for 2013. Still this 8-K filed by Apollo Group (APOL) last night, is already in the running. Now Apollo, the…
Rank this Week: 255

Investment Fraud Lawyer Blog

Investment Fraud Lawyer Blog

Covers common securities broker abuses, early retirement scams, elder abuses, subprime mortages & collateralized debt obligation problems, and variable annuities and equity-indexed annuities. By Atlanta, Georgia stockbroker fraud attoneys, Page Perry.

http://www.investmentfraudlawyerblog.com/
  • Jan 8

    Today's 'Alternative Investments' Resemble 'Limited Partnerships' of the Past

    Today's 'Alternative Investments' Resemble 'Limited Partnerships' of the Past
    Wall Street’s recent promotion of alternative investments should warrant serious concern among investors. It serves as an unpleasant example of history repeating itself. In the mid-1980s, Wall Street firms became enamored with limited…
  • Jan 7

    Hedge Funds Under Regulatory Scrutiny

    Hedge Funds Under Regulatory Scrutiny
    The SEC has hired hedge fund industry professionals to assist in its investigation of problems and abuses in the hedge fund industry. Three SEC enforcement units are involved in the investigations: the Asset Management unit headed by Bruce…
  • Jan 7

    Approach Actively Traded ETFs with Caution

    Approach Actively Traded ETFs with Caution
    A recent change in policy by the SEC could have a significant impact on the risk profile of some ETFs. In response to pressure from the industry, the SEC has lifted its moratorium on the use of derivatives by certain exchange traded funds. …
Rank this Week: 256

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

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

    ISS Settles with SEC Over Breach of Confidentiality

    ISS Settles with SEC Over Breach of Confidentiality
    ISS Settles with SEC Over Breach of Confidentiality Yesterday, the SEC charged ISS with failing to safeguard confidential voting information in a number of proxy contests - and ISS settled for a $300k fine for violating the '40 Act. In...
  • May 23

    12th-23rd Say-on-Pay Failures of the Year (Including One With 9% Support!)

    12th-23rd Say-on-Pay Failures of the Year (Including One With 9% Support!)
    12th-23rd Say-on-Pay Failures of the Year (Including One With 9% Support!) Here are the latest failures - including one with 9% support, the lowest level since say-on-pay became law: - Patriot Scientific - Form 8-K (46% support) - Gentiva…
  • May 22

    Status of SEC's Political Contribution Disclosure Rulemaking: Not Yet (& Maybe Never)

    Status of SEC's Political Contribution Disclosure Rulemaking: Not Yet (& Maybe Never)
    Status of SEC's Political Contribution Disclosure Rulemaking: Not Yet (& Maybe Never) Each time I see an article from the mass media indicating that an imminent proposal from the SEC on political contribution disclosure rules, I tweet…
Rank this Week: 275

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: 389

Institutional Shareholder Services…

Institutional Shareholder Services - Insight

Covers corporate governance, accounting and securities law issues. From Institutional Shareholder Services Inc.

http://blog.issgovernance.com/
Rank this Week: 436

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/
Rank this Week: 447

About Broker Fraud Blog

About Broker Fraud Blog

Covers compliance rules, duty of disclosure, elder abuse and fraud. By the Hayes Law Firm.

http://aboutbrokerfraud.typepad.com/about_broker_fraud_blog/
  • Dec 6

    SEC Freeze Assets in Alleged Diamond-Themed Ponzi Scheme

    SEC Freeze Assets in Alleged Diamond-Themed Ponzi Scheme
    The SEC alleges that Richard Dalton and Universal Consulting Resources LLC (UCR) raised approximately $17 million from investors for two fraudulent offerings. The programs were generally referred to as the “Trading Program” and the…
  • Sep 28

    Arbitrators Award Ten Times Amount of Investment in Auction Rate Securities Case

    Arbitrators Award Ten Times Amount of Investment in Auction Rate Securities Case
    Last month an arbitration panel ordered the investment firm USB financial to pay over $80 million in consequential investments to Kajeet, Inc., a company who markets cellphones for kids. Kajeet’s award fell short of the $110 million…
  • Aug 30

    Raymond James Must Buy Back Auction Rate Securitie

    Raymond James Must Buy Back Auction Rate Securitie
    A Texas couple got some great news last week from the FINRA arbitration panel that ruled on their claim. The panel ruled that the Raymond James Financial Inc. and broker Larry Milton must buy back some $925,000 worth of auction…
Rank this Week: 471

North Carolina Business Litigation…

North Carolina Business Litigation Report

Reports on judicial decisions of significance to business and shareholders. By Mack Sperling of Brooks Pierce LLP.

http://www.ncbusinesslitigationreport.com/
  • May 21

    Business Court Sanctions Parties For Disobeying Discovery Order

    Business Court Sanctions Parties For Disobeying Discovery Order
     When you think of sanctions, your mind probably goes to Rule 11 of the Rules of Civil Procedure.  But what about Rule 37(b)(2)?  It says that:  if a party . . . fails to obey an order to provide or permit discovery, . .…
  • May 7

    Claims For Legal Malpractice Aren't Assignable In North Carolina

    Claims For Legal Malpractice Aren't Assignable In North Carolina
    Maybe you've wondered whether a claim for legal malpractice can be assigned. Maybe you haven't. But yesterday, the North Carolina Court of Appeals answered that question.  In Revolutionary Concepts, Inc. v. Clements Walker PLLC, the…
  • May 1

    Fourth Circuit Takes A Narrow View On Recovery Of E-Discovery Cost

    Fourth Circuit Takes A Narrow View On Recovery Of E-Discovery Cost
    You've undoubtedly prevailed in a federal case -- either at summary judgment or after a trial -- and you have probably struggled with what you are entitled to recover as costs under 28 U.S.C. §1920.  And recently, your client,…
Rank this Week: 480

Securities Law Blog

Securities Law Blog

Features news, commentary and thoughts on the law of the securities markets. By Mark Astarita.

http://seclaw.blogspot.com/
  • May 17

    FL Court Rules Statute of Limitations Apply in Arbitration

    FL Court Rules Statute of Limitations Apply in Arbitration
    We finally have a ruling on the questionable argument that is often advanced that the statute of limitations does not apply in arbitration. The argument is premised on a contorted interpretation of a Florida statute and requires one to…
  • May 14

    SEC, FINRA Issue Investor Alert On Pension or Settlement Income Stream

    SEC, FINRA Issue Investor Alert On Pension or Settlement Income Stream
    The SEC and FINRA issued an investor alert entitled Pension or Settlement Income Streams – What You Need to Know Before Buying or Selling Them. The investor alert informs investors about the risks involved when selling their rights to…
  • Apr 23

    FINRA Wants Your Facebook Account

    FINRA Wants Your Facebook Account
    You read that right, just as the SEC is embracing social media, FINRA wants access to brokers' Facebook accounts.We all know that an employer's demand for access to an employees Facebook account is illegal in many states, and probably illegal…
Rank this Week: 516

The White Law Group's Securities…

The White Law Group's Securities Fraud Blog

Covers securities fraud cases, investment fraud practices and securities industry regulations.

http://www.whitesecuritieslaw.com/securities-fraud/blog/
  • May 24

    Investigation of Blake Richards Investment Losse

    Investigation of Blake Richards Investment Losse
    Have you suffered losses as a result of investing with former LPL financial adviser and broker, Blake Richards?  If so, the securities attorneys of The White Law Group may be able to help you recover your losses through a FINRA…
  • May 24

    Recovery of ATEL Capital Equipment Fund Investment Losse

    Recovery of ATEL Capital Equipment Fund Investment Losse
    Have you suffered losses in an ATEL Capital Equipment Fund?  If so, the securities attorneys of The White Law Group may be able to help you recover your losses through a FINRA arbitration claim against the brokerage firm that…
  • May 21

    vFinance Investments Sanctioned by FINRA

    vFinance Investments Sanctioned by FINRA
    According to The Southern Florida Business Journal, a Boca Raton brokerage firm, vFinance Investments Inc., was fined $65,000 by the Financial Industry Regulatory Authority (FINRA) for “conducting a $5.95 million private…
Rank this Week: 528

Corporate Securities Law Blog

Corporate Securities Law Blog

Focuses on complliance, corporate governance, disclosure, mergers and tax issues. By Sheppard Mullin.

http://www.corporatesecuritieslawblog.com/
Rank this Week: 529

Securities Law Practice Center

Securities Law Practice Center

Covers news, analysis and resources in the securities field. By the Practicing Law Institute (PLI).

http://seclawcenter.pli.edu
  • Apr 5

    Tweet This! SEC Addresses Application of Regulation FD to Social Media

    Tweet This! SEC Addresses Application of Regulation FD to Social Media
    On April 2nd, the SEC issued a report of investigation that makes clear public companies may use social media such as Twitter and Facebook to announce information in compliance with Regulation FD as long as the companies made investors aware…
  • Apr 3

    Simpson Thacher: March Securities Law Alert

    Simpson Thacher: March Securities Law Alert
    We are pleased to share the most recent edition of the Simpson Thacher Securities Law Alert, edited by litigation Partners Jonathan Youngwood, Peter Kazanoff, and Paul Gluckow. The following is a summary of the March 2013 edition of the…
  • Apr 1

    Delaware Court of Chancery Enjoins Board from Resisting Insurgent Director Slate

    Delaware Court of Chancery Enjoins Board from Resisting Insurgent Director Slate
    In Kallick v. SandRidge Energy, Inc. the Delaware Court of Chancery preliminarily enjoined the board of SandRidge Energy, Inc. from impeding a consent solicitation by one of the Company’s largest stockholders to replace the incumbent…
Rank this Week: 566

DealLawyers.com Blog

DealLawyers.com Blog

Covers mergers & acquisitions. From editor Broc Romanek, who is also editor of TheCorporateCounsel.net.

http://www.deallawyers.com/Blog/
  • May 22

    NetSpend: Delaware Chancery Criticizes Single-Buyer Negotiating, Use of DADW & Revlon Process, But Denies Injunction

    NetSpend: Delaware Chancery Criticizes Single-Buyer Negotiating, Use of DADW & Revlon Process, But Denies Injunction
    NetSpend: Delaware Chancery Criticizes Single-Buyer Negotiating, Use of DADW & Revlon Process, But Denies Injunction Here's news from Greenberg Traurig's Cliff Neimeth: Vice Chancellor Glasscock's decision yesterday in Koehler v. Netspend…
  • May 20

    Safe Harbor: Del Monte in a Minor Key

    Safe Harbor: Del Monte in a Minor Key
    Safe Harbor: Del Monte in a Minor Key Here is an article from "The Deal": Corporate directors and their outside advisers would seem to have fulfilled their fiduciary duties to shareholders handsomely by agreeing to sell a company…
  • May 14

    In re Plains Exploration: A Revlon Review & the Kitchen Sink

    In re Plains Exploration: A Revlon Review & the Kitchen Sink
    In re Plains Exploration: A Revlon Review & the Kitchen Sink John Grossbauer of Potter Anderson notes: In In re Plains Exploration & Production Co. Shareholder Litigation, Delaware Vice Chancellor Noble rejected claims for breach of…
Rank this Week: 581

California Corporate & Securities…

California Corporate & Securities Law

Covers California securities law, corporate governance, mergers & acquisitions and securities litigation. By Keith Paul Bishop.

http://www.calcorporatelaw.com/
  • May 24

    Court Holds Non-Parties May Enforce Arbitration Agreement Even Though The General Rule Is That They Can’t

    Court Holds Non-Parties May Enforce Arbitration Agreement Even Though The General Rule Is That They Can’t
    The Financial Industry Regulatory Authority, more commonly known as FINRA, has adopted a Code of Arbitration for Customer Disputes (FINRA has a separate code for industry disputes).  Under FINRA’s Customer Code, a claim…
  • May 23

    Two Very Good Reasons To Visit The Department’s Website

    Two Very Good Reasons To Visit The Department’s Website
    When I joined the Department of Corporations, it had no website.  I remember reviewing possible designs for a site.  Now, it seems hard to imagine that there was a time when state agencies didn’t have websites.  Today,…
  • May 22

    Sealing A Contract May Mean Nothing Or 20 Years!

    Sealing A Contract May Mean Nothing Or 20 Years!
    The California Corporations Code endows corporations with certain rights, including the right to “adopt, use and alter” a seal.  Cal. Corp. Code § 207(a).  The Corporations Code does not define a “seal”…
Rank this Week: 603

Representing Investors

Representing Investors

Covers securities arbitration, litigation and regulatory news. By Maddox Hargett & Caruso, P.C.

http://www.investorprotection.com/blog
  • May 24

    Former LPL Financial Broker Charged by SEC

    Former LPL Financial Broker Charged by SEC
    A former adviser affiliated with LPL Financial LLC has been charged by the Securities and Exchange Commission (SEC) of defrauding investors and stealing $2 million from at least six clients. According to the civil complaint, former LPL…
  • May 17

    B-Ds Address Sales of Alternative Investment

    B-Ds Address Sales of Alternative Investment
    Alternative investments like non-traded REITs and private placements have levied financial havoc on many investors in recent years. Now, facing pressure from regulators, some broker/dealers are making changes to how they sell these kinds of…
  • May 16

    Report: Senior Designations Can Confuse the Elderly

    Report: Senior Designations Can Confuse the Elderly
    A May 7 story by NPR highlights some of the ways in which bogus financial advisers use the “art of confusion” to siphon money from unsuspecting elder Americans. A contributing factor to this type of elder fraud is the myriad of…
Rank this Week: 606

Hedge Fund Law Blog

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: 802

The Law Planet Blog

The Law Planet Blog

Discusses investment, labor, and employment law, as well as securities arbitration, stockbroker issues, and legal technology. By LaBovick Law Group.

http://www.thelawplanetblog.com/
  • May 23

    The Importance of Continuing Treatment While Trying to Get SSD Benefit

    The Importance of Continuing Treatment While Trying to Get SSD Benefit
    By far, the most critical part of an application for Social Security disability benefits is the medical documentation. This is important for two reasons: First, if the claimant has continued to treat for several months or years, it…
  • May 22

    What are the basics to creating a living will?

    What are the basics to creating a living will?
    Having a will to dispose of assets is only the beginning of a well-thought out estate plan. Combining the advantages of a will, a revocable trust, a durable power of attorney and a living will is the best way to achieve your post-mortem…
  • May 20

    Is Signing an Affidavit Naming Paternity a Double-Edged Sword?

    Is Signing an Affidavit Naming Paternity a Double-Edged Sword?
    There are now more children born to single parents than to parents who are married. Florida has a statute dealing with unmarried parents that lists the father on the birth certificate. A lot of unmarried couples end up breaking up and having…
Rank this Week: 864

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/
  • 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: 877

Business Blog

Business Blog

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

http://www.businesslawnews.com/
  • May 24

    Is “Secret” Business Court Coming Back to Delaware?

    Is “Secret” Business Court Coming Back to Delaware?
    Many corporations call Delaware home because of its business friendly legal environment. It is an attractive place to incorporate a business, and it can also provide substantial court decision precedents for corporate disputes, making it more…
  • May 23

    Technology Spurs New Type of Lease Agreement

    Technology Spurs New Type of Lease Agreement
    In a digital world, even small businesses can quickly run out of storage space for their data. To ensure that customer databases, product lists and email systems are all stored securely, many companies are turning to data…
  • May 22

    Is Your New York Business Prepared to Stop a Data Breach?

    Is Your New York Business Prepared to Stop a Data Breach?
    Late last month, hackers sent a fake tweet from the Associated Press' Twitter account referencing an explosion at the White House. The tweet caused the Dow Jones Industrial Average to plunge more than 100 points within seconds. This latest…
Rank this Week: 894

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • May 24

    Reading the Tea Leave

    Reading the Tea Leave
    Section 11 of the '33 Act creates liability for material misrepresentations in a registration statement. According to the Second Circuit (Fait) and Ninth Circuit (Rubke), however, if the alleged misrepresentation is an opinion, the plaintiff…
  • May 17

    Shrug, Concur, and Move On

    Shrug, Concur, and Move On
    In a famous market manipulation that lead to multiple criminal convictions, the A.R. Baron brokerage engaged in a pump-and-dump scheme to induce customers to purchase the securities of small companies at artificially inflated prices. Among…
  • May 10

    What Next?

    What Next?
    Based on the Supreme Court's recent decisions, a plaintiff is not required to prove the existence of loss causation (Halliburton) or materiality (Amgen) to certify an investor class. In the Halliburton case, however, the defendants pursued a…
Rank this Week: 932

Florida Securities Fraud Lawyer…

Florida Securities Fraud Lawyer Blog

Covers securities fraud, investor fraud and Ponzi schemes. By McCabe Rabin, P.A.

http://www.floridasecuritiesfraudlawyerblog.com/
  • May 22

    FINRA Hits LPL With $7.5 Million Fine in E-mail Failure Case

    FINRA Hits LPL With $7.5 Million Fine in E-mail Failure Case
    LPL Financial LLC has signed a Letter of Acceptance, Waiver and Consent ("AWC") to resolve allegations by FINRA that it made material misrepresentations to the regulator during its investigation of significant and repeated e-mail failures by…
  • May 16

    Ranbaxy USA, Inc. Agrees to $500 Million Settlement

    Ranbaxy USA, Inc. Agrees to $500 Million Settlement
    Ranbaxy USA, Inc., a division of generic drug manufacturer Ranbaxy Laboratories Limited based in India, has agreed with the U.S. to settle criminal and civil charges. The charges relate to the manufacture and distribution of allegedly…
  • May 14

    C.R. Bard Agrees to Settle Qui Tam Suit

    C.R. Bard Agrees to Settle Qui Tam Suit
    New Jersey-based C.R. Bard, Inc. ("Bard"), a manufacturer and marketer of medical products, has agreed to settle a qui tam action for $48.26 million. According to the Justice Department, the suit relates to Bard's sales of brachytherapy…
Rank this Week: 1063

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: 1068

Ponzitracker

Ponzitracker

Covers Ponzi schemes. By Jordan Maglich.

http://www.ponzitracker.com/
Rank this Week: 1118

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. Published by Porter, Wright,

http://www.fedseclaw.com/
  • May 15

    SEC and CFTC Red Flag Rules Become Effective May 20, 2013

    SEC and CFTC Red Flag Rules Become Effective May 20, 2013
    The Securities and Exchange Commission and the Commodity Futures Trading Commission have adopted rules that require most broker-dealers, mutual funds, investment advisers, and certain other regulated entities to create programs to prevent…
  • May 7

    The Timken Board: Between a Rock and a Hard Place

    The Timken Board: Between a Rock and a Hard Place
    On May 7, 2013, Timken Co. announced that its shareholders approved a nonbinding proposal from activist shareholders (Relational Investors and Calstrs—California State Teachers' Retirement System, who together own 7.28% of the…
  • Apr 25

    Zillow, Inc. To Use Twitter For Earnings Call

    Zillow, Inc. To Use Twitter For Earnings Call
    The real estate website company Zillow, Inc. announced it would use Twitter and Facebook to field questions on its first quarter earnings call.  The company claims that it is the first to take questions in this manner, but will continue…
Rank this Week: 1214

BD Law Blog

BD Law Blog

Features news, updates and thoughts regarding broker-dealer and investment adviser regulation and legal and compliance issues. By the Beck Law Firm, LLC.

http://www.bdlawblog.com/
  • May 21

    Florida Supreme Court Rules Statute of Limitations Applies to Arbitration

    Florida Supreme Court Rules Statute of Limitations Applies to Arbitration
    This month, the Florida Supreme Court held that Florida's statutes of limitations apply in arbitration proceedings. In the case of Raymond James Financial Services, Inc. v. Barbara J. Phillips, etc. et. al., (No. SC11-2513), the Court held…
  • May 17

    Broker-Dealer Enforcement Roundup

    Broker-Dealer Enforcement Roundup
    FINRA has published the notice of disciplinary cases for April 2013 online. A few cases I think are worthy of discussion. In one case, a firm agreed to settle an action through an AWC and was censured and fined $150,000....
  • May 17

    Broker-Dealer Enforcement Roundup

    Broker-Dealer Enforcement Roundup
    FINRA has published the notice of disciplinary cases for April 2013 online. A few cases I think are worthy of discussion. In one case, a firm agreed to settle an action through an AWC and was censured and fined $150,000....
Rank this Week: 1219

Inside Sarbanes Oxley

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: 1303

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: 1365

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
Rank this Week: 1369

Securities Compliance Sentinel

Securities Compliance Sentinel

Covers securities industry compliance and enforcement issues. By Fox Rothschild LLP.

http://securitiescompliancesentinel.foxrothschild.com
  • May 22

    What Broker-Dealers Need To Know About FINRA

    What Broker-Dealers Need To Know About FINRA
    Recently, FINRA publicized penalties against three companies and associated individuals for failing to implement adequate anti-money laundering procedures.  These fines should serve as a warning to the industry as a whole that FINRA is…
  • May 22

    Apply To Showcase Your Company at This Year's IMPACT Venture Summit

    Apply To Showcase Your Company at This Year's IMPACT Venture Summit
    As the host of IMPACT 2013 Venture Summit, Fox invites you or your clients in the technology, healthcare or early stage sectors to be a featured company during the Mid-Atlantic's premiere venture capital conference. Featured companies receive…
  • May 20

    What Investment Advisers Need To Know About The SEC

    What Investment Advisers Need To Know About The SEC
    The SEC recently announced that its top priority is to increase the number of investment adviser examinations it conducts on an annual basis.  Considering that the SEC only examined 8% of all investment advisers in 2012 (where 40% have…
Rank this Week: 1459

Institutional Investor Securities…

Institutional Investor Securities Blog

Covers investment fraud involving auction-rate securities, credit rating agencies, hedge funds and mortgage-backed securities. By Shepherd Smith Edwards & Kantas.

http://www.institutionalinvestorsecuritiesblog.com/
Rank this Week: 1546

Securities Arbitration Blog

Securities Arbitration Blog

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

http://www.securitiesarbitrations.com
Rank this Week: 1577

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: 1703

Startup Law Blog

Startup Law Blog

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

http://startuplawblog.com
  • May 20

    Washington State to Regulate Fund Manager

    Washington State to Regulate Fund Manager
    This article is appearing simultaneously on The Venture Alley and on Startup Law Blog. Readers may feel free to re-post this content elsewhere as well. The world is changing for venture funds and similar funds in Washington…
  • May 17

    SEC Fires Another Salvo in the “Finder” Debate

    SEC Fires Another Salvo in the “Finder” Debate
    The SEC recently issued orders against two individuals and a company and, in doing so, continued the debate over what conduct requires someone acting as a “finder” to be registered as a broker or dealer or associated with a…
  • May 17

    Young Entrepreneur Social Charity Auction

    Young Entrepreneur Social Charity Auction
    Do you want to make a local impact right now? Are you someone interested in encouraging young entrepreneurs and leaders here in Seattle? Or, are you a young leader yourself who is interested in building a better community locally? On June…
Rank this Week: 1724

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: 1757

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
  • May 23

    Seizure Alert Dog Business Sham

    Seizure Alert Dog Business Sham
    Rather than try and digest this disgusting bit of business, I prefer to present it to you in full-text so as to retain the depths to which this low life defendant fell.(From the May 23, 2013, NYSAG Press Release). Compliments to the NYAG for…
  • May 23

    Feds Say Pastor Stole From Peter To Pay Peter In Real Estate Scam

    Feds Say Pastor Stole From Peter To Pay Peter In Real Estate Scam
    According to a federal Indictment  in the Southern District of Texas returned one May 8, 2013 and unsealed on May 23, 2013, Samuel Ray Palasota, 52, Houston, TX , engaged in some 21 counts of mail fraud and 3 counts of wire fraud…
  • May 22

    Customers Complain That Edward Jones Didn't Stop In The Name Of Love

    Customers Complain That Edward Jones Didn't Stop In The Name Of Love
    The line in the song goes: Stop in the name of love before you break my heart. Apparently that refrain became the basis for a customer arbitration.  Did Edward Jones break the claimants' account? In a Financial Industry Regulatory…
Rank this Week: 1929

Sharesleuth.com

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: 1989

Dividends and Preferences Blawg

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: 2001

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

http://www.seclawyersblog.com/
Rank this Week: 2051