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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: 30

Recover Investment Losses Blog

Recover Investment Losses Blog

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

http://blog.rexsecuritieslaw.com
Rank this Week: 164

Financial Counsel

Financial Counsel

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

http://financialcounselblog.com
  • Feb 24

    RIA Found Guilty of Misappropriating Funds from Mike Tyson

    RIA Found Guilty of Misappropriating Funds from Mike Tyson
    From the Desk of Jim Eccleston at Eccleston Law LLC:Brian Ourand, a former registered investment adviser in Washington, D.C. was found guilty by the SEC for misappropriating funds from his clients, which included many professional athletes…
  • Feb 23

    SEC Charges Fuel Cell Company with Defrauding Investor

    SEC Charges Fuel Cell Company with Defrauding Investor
    From the Desk of Jim Eccleston at Eccleston Law LLC:The SEC charged a California-based penny stock company, along with four corporate officers, with misleading investors about the research, development, and profitability of its purported…
  • Feb 22

    Morgan Stanley to Pay an $8 Million Penalty

    Morgan Stanley to Pay an $8 Million Penalty
    From the Desk of Jim Eccleston at Eccleston Law LLC:Morgan Stanley Smith Barney has agreed to pay an $8 million penalty and admit wrongdoing in order to settle charges by the SEC.According to the complaint, the SEC alleged that Morgan Stanley…
Rank this Week: 130

California Corporate & Securities…

California Corporate & Securities Law

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

http://calcorporatelaw.com/
  • Feb 24

    Officers And The Business Judgment Rule

    Officers And The Business Judgment Rule
    Last weekend, I attended a symposium at the UCLA School of Law entitled “Can Delaware Be Dethroned? Evaluating Delaware’s Dominance of Corporate Law”.  The event, organized by ever erudite Professor Stephen…
  • Feb 23

    Court Finds Promissory Notes Are Not Securitie

    Court Finds Promissory Notes Are Not Securitie
    Yesterday’s post concerned the Court of Appeal’s decision in People v. Black, 2017 Cal. App. LEXIS 130 (Cal. App. 6th Dist. Feb. 16, 2017).  The case involved the criminal prosecution of an individual for making false…
  • Feb 22

    Silver Hills Doesn’t Mute Howey

    Silver Hills Doesn’t Mute Howey
    Anyone who has studied securities regulation since 1946 should be familiar with the U.S. Supreme Court’s definition of a “security” as enunciated by Justice Frank Murphy in S.E.C. v. Howey Co., 328 U.S. 293…
Rank this Week: 245

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: 288

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/
  • Feb 23

    Purshe Kaplan Sterling Investments Fined $3.4 Million

    Purshe Kaplan Sterling Investments Fined $3.4 Million
    Financial Advisor Gopi Vungarala sells $190 million in non-traded REITs and BDCs to Native American Tribe According to FINRA, Purshe Kaplan Sterling Investments will pay close to $3.4 million in restitution to a Native American tribe. The…
  • Feb 22

    AARP Reports Common Traits of Investment Fraud Target

    AARP Reports Common Traits of Investment Fraud Target
    AARP Fraud Watch Network Campaign Survey Identifies Investment Fraud Targets According to a recent AARP survey, investment fraud targets typically exhibit an unusually high degree of confidence in unregulated investments. They also tend to…
  • Feb 21

    FINRA Awards $9 Million to Puerto Rican Municipal Bond Investor

    FINRA Awards $9 Million to Puerto Rican Municipal Bond Investor
    Concerned about investment losses in Puerto Rican municipal bonds? Have you suffered losses investing in Puerto Rican municipal bonds? If so, The White Law Group may be able to help you recover your losses by filing a FINRA arbitration claim…
Rank this Week: 290

Stock Broker Fraud Blog

Stock Broker Fraud Blog

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

http://www.stockbrokerfraudblog.com/
Rank this Week: 207

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Jan 31

    Jesus Rodriguez: Received Resolved or Pending Customer Dispute

    Jesus Rodriguez: Received Resolved or Pending Customer Dispute
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on January 26, 2017 indicate that Florida-based IMS Securities broker Jesus Rodriguez has received resolved or pending pending customer disputes.…
  • Jan 31

    Jean Paul Skovronck: One Pending Customer Complaint

    Jean Paul Skovronck: One Pending Customer Complaint
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on January 26, 2017 indicate that New York-based Alexander Capital broker Jean Paul Skovronck has been named in a pending customer dispute. Fitapelli…
  • Jan 31

    Christian Webb Terminated From LPL Financial

    Christian Webb Terminated From LPL Financial
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on January 26, 2017 indicate that former Texas-based LPL Financial broker/adviser Christian Webb has been terminated from LPL Financial and is…
Rank this Week: 180

InvestorLawyers.net

InvestorLawyers.net

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

http://www.investorlawyers.net/blog/
  • Oct 13

    Former NEXT Financial Broker Douglas P. Simanski Barred for Alleged Theft

    Former NEXT Financial Broker Douglas P. Simanski Barred for Alleged Theft
      Financial Industry Regulatory Authority (FINRA) records indicate that Douglas P. Simanski (Simanski), a former stockbroker who was associated with NEXT Financial Group, has been permanently barred from the brokerage…
  • Oct 13

    Platinum Partners Hedge Funds Under Scrutiny

    Platinum Partners Hedge Funds Under Scrutiny
    Platinum Partners LP Funds are under scrutiny after federal agents reportedly raided the funds’ New York offices in July 2016.  Hedge fund entities sponsored by Platinum Partners include the Platinum Partners Value Arbitrage Funds,…
  • Oct 13

    FINRA Fines Investors Capital Over Unit Investment Trust Sale

    FINRA Fines Investors Capital Over Unit Investment Trust Sale
    The Financial Industry Regulatory Authority (FINRA) recently fined Investors Capital Corporation $250,000 over the sale of unit investment trusts (UITs).  Investors Capital did not admit or deny the allegations leading to the fine, but…
Rank this Week: 147

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/
  • Dec 31

    A Securities Lawyer's Top 10 Tips for Senior Investor

    A Securities Lawyer's Top 10 Tips for Senior Investor
    Reject aggressive salespeople. Don't feel pressured to act quickly. Give yourself time to do your homework. Don't be afraid to say "no." Request to be put on the "do not call" list. Ask questions. Ask what licenses the salesperson has. Get…
  • Dec 31

    A Securities Lawyer's Top 10 Tips for Senior Investor

    A Securities Lawyer's Top 10 Tips for Senior Investor
    Reject aggressive salespeople. Don't feel pressured to act quickly. Give yourself time to do your homework. Don't be afraid to say "no." Request to be put on the "do not call" list. Ask questions. Ask what licenses the salesperson has. Get…
  • Nov 10

    Investor Alert: Magnum Hunter Resources to be Delisted

    Investor Alert: Magnum Hunter Resources to be Delisted
    Today, the New York Stock Exchange (NYSE) announced their decision to proceed with delisting Magnum Hunter Resources Corporation (NYSE: MHR). Trading in MHR's common stock will be suspended immediately causing irreparable harm to many main…
Rank this Week: 201

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/
  • Aug 28

    The SEC and Administrative Proceedings (Part 2)

    The SEC and Administrative Proceedings (Part 2)
    We are discussing some of the issues raised by Peter Henning in his DealBook column, The S.E.C.’s Use of the ‘Rocket Docket’ Is Challenged.   In any event, the limits on discovery, the fact that ALJ decisions are…
  • Aug 26

    The SEC and Administrative Proceedings (Part 1)

    The SEC and Administrative Proceedings (Part 1)
    Peter Henning wrote an interesting piece over at DealBook on the SEC's use of administrative proceedings in place of actions in federal district court.  See The S.E.C.’s Use of the ‘Rocket Docket’ Is Challenged.…
  • Aug 26

    Morrison, the Second Circuit, and the Reverse Effects Test: ParkCentral Global Hub Limited v. Porsche Automobile Holdings (Part 2)

    Morrison, the Second Circuit, and the Reverse Effects Test: ParkCentral Global Hub Limited v. Porsche Automobile Holdings (Part 2)
    We are discussing the Second Circuit's decision in ParkCentral Global Hub Limited v. Porsche Automobile Holdings, a case that effectively created a "reverse effects test" that was contrary to the Supreme Court's analysis…
Rank this Week: 263

Perry Krumsiek & Jack Law Blog

Perry Krumsiek & Jack Law Blog

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

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

    Here’s One Government Program Worth HARPing On

    Here’s One Government Program Worth HARPing On
    If you are one of the hundreds of thousands of Americans permanently traumatized by the government’s highly lauded, but horribly executed, loan modification program, take heart.  I’m here to tell you that there’s another government…
  • Feb 2

    Here’s One Government Program Worth HARPing On

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

    The Lincoln Lawyer

    The Lincoln Lawyer
    Before Abraham Lincoln became our greatest president, he was a great corporate lawyer.  And before he was a corporate lawyer, he was a brilliant trial lawyer. In the 1840s, Lincoln represented a Revolutionary War widow who had been bilked…
Rank this Week: 259

Securities Lawyer 101

Securities Lawyer 101

Covers securities enforcement, securities law and going public matters. By Hamilton & Associates.

https://www.securitieslawyer101.com/blog/
  • Jan 1

    Going Public Blog l Securities Lawyer 101

    Going Public Blog l Securities Lawyer 101
    Going Public Lawyer  Securities Lawyer 101 Blog Going public is a big step for any company.  The process of “going public” is complex and at times precarious.  While going public offers many benefits it also comes…
  • Jan 1

    Going Public Blog l Securities Lawyer 101

    Going Public Blog l Securities Lawyer 101
      Securities Lawyer 101 Blog Going public is a big step for any company.  The process of “going public” is complex and at times precarious.  While going public offers many benefits it also comes with risks and…
  • Jan 23

    SEC Final Judgment Entered Against Graduate Leverage

    SEC Final Judgment Entered Against Graduate Leverage
    Going Public LawyerOn December 23, 2016, the United States District Court for the District of Massachusetts entered final judgments against Graduate Leverage, LLC, GL Capital Partners, LLC, GL Investment Services, LLC, Taft Financial…
Rank this Week: 2624

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

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

    Somebody Else Said It

    Somebody Else Said It
    Is paying someone else to make a misstatement to investors the same as making the misstatement yourself for purposes of securities fraud liability?  Two recent appellate decisions address this question and come to different conclusions…
  • Feb 10

    Compare and Contrast

    Compare and Contrast
    NERA Economic Consulting and Cornerstone Research have released their respective 2016 annual reports on federal securities class action filings.  As usual, the different methodologies employed by the two organizations have led to…
  • Jan 30

    Transparently Aspirational

    Transparently Aspirational
    Can shareholders bring a claim for securities fraud when a corporate official violates the company’s code of conduct after publicly touting the business’s high standards for ethics and compliance?  According to the U.S. Court…
Rank this Week: 2273

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • Feb 24

    Get Your Own Lawyer, Darn It!

    Get Your Own Lawyer, Darn It!
    Financial advisors facing an arbitration claim or regulatory inquiry often count on their broker-dealer or registered investment advisor for legal counsel. These “employers” will frequently provide them with an ostensibly…
  • Feb 8

    In re Behrends: FINRA Arbitration Awards May Not Be Dischargeable In Bankruptcy But Make Sure To Register Them As Judgments.

    In re Behrends: FINRA Arbitration Awards May Not Be Dischargeable In Bankruptcy But Make Sure To Register Them As Judgments.
    11 U.S.C. §523(a)(19), which was part of the Sarbanes-Oxley Act of 2002, states that a discharge [in bankruptcy] does not discharge an individual debtor from any debt that           …
  • Feb 6

    Sentinel Growth Fund Management and Mark…

    Sentinel Growth Fund Management and Mark Varacchi:  Even Rich People Should Stick With Registered Financial Advisors. February 6, 2017On Thursday, February 2, 2017, the SEC filed a civil complaint in Connecticut federal court…
Rank this Week: 4039

Securities Law Attorneys Blog

Securities Law Attorneys Blog

Covers securities law. By Fitapelli | Kurta.

http://www.securitieslawattorneys.net/
  • Feb 24

    Ronald Grasso: One Pending Customer Complaint

    Ronald Grasso: One Pending Customer Complaint
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on February 20, 2017 indicate that Massachusetts-based Morgan Stanley broker/adviser Ronald Grasso, Jr. has been named in a pending customer dispute.…
  • Feb 24

    Shawn Davis Has Two Pending Customer Complaint

    Shawn Davis Has Two Pending Customer Complaint
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on February 20, 2017 indicate that California-based Independent Financial Company broker/adviser Shawn Davis has been the subject of resolved or…
  • Feb 24

    Douglas Schrager: Two Customer Complaint

    Douglas Schrager: Two Customer Complaint
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on February 20, 2017 indicate that Florida-based Ameriprise Financial Services broker/adviser Douglas Schrager has been the subject of customer…
Rank this Week: 1942

Investment Fraud Information

Investment Fraud Information

By Andrew Stoltmann.

http://www.investmentfraudtimes.com/securities-fraud-attorneys/
  • Feb 24

    Update For Investors: Thomas Vilord; Summit Brokerage Services; Turnersville, New Jersey; 08012

    Update For Investors: Thomas Vilord; Summit Brokerage Services; Turnersville, New Jersey; 08012
    According to a recent Disciplinary Report by the Financial Industry Regulatory Authority (FINRA), Thomas Vilord, a former Summit Brokerage Services broker was barred from the industry. Vilord allegedly participated in undisclosed private…
  • Feb 24

    Joel Price; Institutional Securities Corporation; Gig Harbor, Washington

    Joel Price; Institutional Securities Corporation; Gig Harbor, Washington
    According to recent reports by the Financial Industry Regulatory Authority (FINRA), Joel Price, a registered broker with Institutional Securities Corp, allegedly failed to conduct proper due diligence, violated firm policies with respect to…
  • Feb 24

    Update For Investors: Alejandro Falla Barred From Industry: BAC Florida Investment

    Update For Investors: Alejandro Falla Barred From Industry: BAC Florida Investment
    Alejandro Falla, a former broker with BAC Florida Investments, was recently barred from the industry by the Financial Industry Regulatory Authority (FINRA). He was accused of charging the firm’s clients undisclosed markups and markdowns…
Rank this Week: 1973

Stock Attorneys Blog

Stock Attorneys Blog

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

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

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

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

    FINRA Questioning Brokerage Firm “Culture”

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

    FINRA Questioning Brokerage Firm “Culture”

    FINRA Questioning Brokerage Firm “Culture”
    FINRA has made brokerage firm “culture” one of its top priorities for 2016. FINRA refers to “culture” as how management sets the bar for the firm and how culture effects their brokers interaction with clients and their…
Rank this Week: 978

McEldrew Young Blog

McEldrew Young Blog

Covers whistleblower law and wage theft for employees.

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

    Court Rules on Confidentiality Agreements for SEC Whistleblower

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

    A Review of Recent Clean Energy Fraud

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

    Massive Medicare Advantage Fraud Lawsuit Unveiled Against UnitedHealth

    Massive Medicare Advantage Fraud Lawsuit Unveiled Against UnitedHealth
    The United States has joined a lawsuit brought by whistleblowers under the False Claims Act accusing UnitedHealth Group of bilking Medicare by fraudulently boosting payments through the inflation of plan members’ risk scores under…
Rank this Week: 1740

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Feb 24

    Minerals review comments start to flow, disagreement on cost

    Minerals review comments start to flow, disagreement on cost
    By Mark S. Nelson, J.D.Early comments on the SEC’s review of its conflict minerals rule guidance are divided on the contours of and need for the disclosure regime mandated by the Dodd-Frank Act. Still, commenters appeared united on…
  • Feb 23

    Some proxy access proposals meet with success, while others fail

    Some proxy access proposals meet with success, while others fail
    By Jacquelyn LumbJohn Chevedden was successful in gaining inclusion in multiple companies’ proxy materials of his proposal asking the boards to take the necessary steps to allow up to 50 shareholders to aggregate their shares for the…
  • Feb 22

    Supremes won't hear petition on ‘same price’ test to rebut reliance presumption

    Supremes won't hear petition on ‘same price’ test to rebut reliance presumption
    By Rodney F. Tonkovic, J.D.The Supreme Court has denied certiorari for a petition asking that it clarify the proper way to rebut the presumption of reliance. The petition maintained that the proper way to rebut the presumption of reliance is…
Rank this Week: 2259

Regulation tomorrow

Regulation tomorrow

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

http://www.regulationtomorrow.com/
Rank this Week: 1720

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/
  • Feb 24

    John Tales: The First Dozen

    John Tales: The First Dozen
    Here are the first dozen stories that have run in my new “John Tales Blog”: 1. “Strategic Sandbagging – Let the Buyer Beware” 2. “Disclaimers & Limits on Claims Outside the Contract” 3.…
  • Feb 23

    Activism: Wachtell on Hedge Funds & Other Activist

    Activism: Wachtell on Hedge Funds & Other Activist
    Wachtell Lipton recently published its annual memo on dealing with hedge funds & other activists. Although assets managed by activist hedge funds declined somewhat in 2016, there are still more than 100 hedge funds currently engaged…
  • Feb 22

    Doing the Right Thing: M&A & The Limits of Contract Right

    Doing the Right Thing: M&A & The Limits of Contract Right
    This article from Prof. Lawrence Cunningham makes a point that most M&A lawyers probably would agree with – there are often very important parts of a business deal that can’t be completely reduced to…
Rank this Week: 2257

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

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

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

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

    Whistleblowers: Language for Severance Agreement

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

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

    GCs as Whistleblowers? SOX Trumps Attorney-Client Privilege in Retaliation Case
    This Baker Donelson memo discusses Wadler v. Bio-Rad Laboratories – a recent whistleblower retaliation case in which a jury awarded a former general counsel $8 million. This case is particularly interesting because…
Rank this Week: 2271

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • Feb 23

    Tasmania, Baby. (Seriously. Tasmania.)

    Tasmania, Baby. (Seriously. Tasmania.)
    Tasmania. Ten thousand miles away and about as far away from home as you can get. Tasmania — an island state off the southeastern coast of Australia and about an hour’s plane flight from Melbourne. Its capital city, Hobart, is…
  • Feb 22

    Guest Post: How Not to Write a Class Action “Reform” Bill

    Guest Post: How Not to Write a Class Action “Reform” Bill
    On February 10, 2017, as I noted in a recent post, Rep. Bob Goodlatte of Virginia introduced a bill in Congress seeking to introduce a number of reforms to class action litigation. In the following guest post, Columbia Law School Professor…
  • Feb 20

    Melbourne

    Melbourne
    The D&O Diary is on assignment in Australia this week, for meetings and for little bit of a look around. The first stop on this sojourn down under was in Melbourne, in the Australian state of Victoria, on the Southeastern quadrant of…
Rank this Week: 850

Classified: The Class Action Blog

Classified: The Class Action Blog

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

http://classifiedclassaction.com/
Rank this Week: 1908

Canadian Securities Law Online

Canadian Securities Law Online

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

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

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

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

    Expectations for cyber security risk disclosure published by CSA

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

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

    Regulations for CBCA's New Diversity, Majority Voting and Notice-for-Access Provisions Released
    Laura Levine and Alethea Au -  The Government of Canada has released proposed regulations to accompany the proposed amendments to the Canada Business Corporations Act under Bill C-25 (discussed here). These proposed regulations add…
Rank this Week: 3952

Footnoted

Footnoted

Reports on actionable information in SEC filings.

http://www.footnoted.com/
  • Feb 23

    PG&E’s Filing Of Misery

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

    On Intuitive Surgical’s trifecta of event

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

    2016: The year in filing

    2016: The year in filing
    There were 670,00 filings made to the SEC in 2016, with the largest filing over 3,330 pages!
Rank this Week: 2338

Special Situations Law

Special Situations Law

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

http://www.specialsituationslaw.com/
  • Feb 22

    Board Watch: More Complexity, More Committee

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

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

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

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

    M&A – key developments in 2016 and a look ahead
    January 2017 – Walied Soliman and Orestes Pasparakis, co-chairs of Norton Rose Fulbright’s Special Situations Team hosted their annual video webinar on M&A activity in Canada. They highlight the key developments of…
Rank this Week: 1719

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: 1366

Securities Law Prof Blog

Securities Law Prof Blog

Covers securities arbitration, state securities law, court decisions and law review articles. By Eric C. Chaffee.

http://lawprofessors.typepad.com/securities/
  • Feb 21

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: Sara Almousa, Comment, Friends with Benefits? Clarifying the Role Relationships Play in Satisfying the Personal Benefit Requirement under…
  • Feb 6

    Reminder: National Business Law Scholars Conference Paper Submissions Due February 17

    Reminder: National Business Law Scholars Conference Paper Submissions Due February 17
    National Business Law Scholars Conference (NBLSC) Thursday & Friday, June 8-9, 2017 Call for Papers The National Business Law Scholars Conference (NBLSC) will be held on Thursday and Friday, June 8-9, 2017, at the University of Utah S.J.…
  • Feb 6

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: S. Burcu Avci, Cindy A. Schipani & H. Nejat Seyhun, Manipulative Games of Gifts by Corporate Executives, 18 U. Pa. J. Bus. L. 1131…
Rank this Week: 4243

Subject to Inquiry

Subject to Inquiry

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

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

    D.C. Circuit Grants Rehearing in PHH Case

    D.C. Circuit Grants Rehearing in PHH Case
    On Thursday, February 16, 2017, the D.C. Circuit granted the Consumer Financial Protection Bureau’s (CFPB) petition for rehearing en banc in PHH Corporation v. Consumer Financial Protection Bureau.  The Order marks the latest twist…
  • Feb 13

    Pending Senate Bill Would Restructure CFPB Leadership

    Pending Senate Bill Would Restructure CFPB Leadership
    On January 11, 2017, a trio of Republican Senators introduced a bill that would change the leadership structure of the Consumer Financial Protection Bureau (“CFPB”) from a single director to a five-member bipartisan “Board…
  • Feb 8

    Will Cryptocurrency Abuse be an Enforcement Focus for the IRS this Tax Season?

    Will Cryptocurrency Abuse be an Enforcement Focus for the IRS this Tax Season?
    Tax filing season began January 23rd, and with its arrival the IRS began rolling out its annual list of the so-called “Dirty Dozen.” The Dirty Dozen list is an educational effort to inform the public about scams, but it also…
Rank this Week: 1624

Broke and Broker

Broke and Broker

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

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

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

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

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

    BREAKING FAKE NEWS: THE FIDUCIARY DUTY RULE IS DEAD!!
    BREAKING FAKE NEWS: THE FIDUCIARY DUTY RULE IS DEAD!!By Aegis J. Frumento, Partner, Stern Tannenbaum & BellOf all the tempests in all the teapots of all the world, none perturbs me less than the fiduciary responsibility of securities…
  • Feb 13

    Investment Adviser Charged With Fake Withdrawals and Forgerie

    Investment Adviser Charged With Fake Withdrawals and Forgerie
    The thing about financial fraud is that it often victimizes more than the man or woman whose pockets have been picked. The con artist often harms multiple parties other than the apparent victim: an employer, a business, those responsible for…
Rank this Week: 3685

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: 4731

SEC Whistleblower Lawyer Blog

SEC Whistleblower Lawyer Blog

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

http://www.secwhistleblowerlawyers.net/
  • Feb 17

    How the Investment Management Firm BlackRock Undermined Whistleblower Incentive

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

    SEC Awards $5.5 Million to Whistleblower

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

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

    Proposed CFTC Rules Might Make It Easier for Whistleblowers to Inform the Government About Commodities Fraud
    The regulatory agency has requested public comment on proposed amendments The Commodity Futures Trading Commission (CFTC), the independent US government agency that regulates futures and options markets, has requested public comment on…
Rank this Week: 1849

Stock Market Loss

Stock Market Loss

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

http://www.stockmarketloss.com/news/
Rank this Week: 3407

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
  • Feb 16

    Morgan Stanley Smith Barney to Pay $8M Penalty

    Morgan Stanley Smith Barney to Pay $8M Penalty
    Morgan Stanley Smith Barney has agreed to pay an $8 million penalty and admit wrongdoing to settle SEC charges that the firm made unsuitable recommendations about single inverse exchange traded fund (“ ETF”)  investments to…
  • Feb 13

    Variable Annuity Rider

    Variable Annuity Rider
    One of the most common investments sold by financial advisors to investors is the Variable Annuity (VA). These products are often sold because they pay among the highest commissions to the advisor. In recent years, we have seen many cases…
  • Feb 6

    Morgan Stanley Financial Advisor Barry Connell Arrested for Stealing more than $5 million from Client Account

    Morgan Stanley Financial Advisor Barry Connell Arrested for Stealing more than $5 million from Client Account
    On January 3, 2017, Preet Bharara, the United States Attorney for the Southern District of New York, and William F. Sweeney Jr., the Assistant Director-in-Charge of the New York Field Office of the Federal Bureau of Investigation…
Rank this Week: 4178

New York Securities Lawyers Blog

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

http://www.newyorksecuritieslawyersblog.com/
  • Feb 16

    Jenice Malecki Makes An Appearance on CNBC’s American Greed

    Jenice Malecki Makes An Appearance on CNBC’s American Greed
    Source: Jenice Malecki Makes An Appearance on CNBC’s American Greed
  • Feb 14

    BROKER REPORT: Financial Advisor Matthew Maczko

    BROKER REPORT: Financial Advisor Matthew Maczko
    The securities fraud attorneys at Malecki Law are interested in hearing from investors who have complaints against stockbroker Matthew Maczko.  Mr. Maczko was employed and registered with Wells Fargo Advisors, LLC, a national…
  • Feb 14

    FINRA Bars Wells Fargo Broker Matthew Maczko

    FINRA Bars Wells Fargo Broker Matthew Maczko
      Former Wells Fargo broker Matthew Maczko has been barred by FINRA for allegedly churning an elderly client’s accounts, according to reports. Maczko is accused of churning four accounts belonging to a client, who was over 90 years…
Rank this Week: 2769

New York Securities Lawyer Blog

New York Securities Lawyer Blog

Covers securities law. By Lax & Neville LLP.

http://www.newyorksecuritieslawyerblog.com/
Rank this Week: 1467

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/
  • Feb 16

    SEC News - Stolen Funds, Ponzi Scheme, Overbilling Client

    SEC News - Stolen Funds, Ponzi Scheme, Overbilling Client
    Financial Adviser Charged With Stealing From Client AccountsAn investment adviser representative has been charged with stealing approximately $5 million from client accounts by initiating unauthorized wire transfers and issuing checks to…
  • Feb 1

    SEC News - Impeding Whistleblowers, Accounting Failures, Misuse of EB-5 Investment

    SEC News - Impeding Whistleblowers, Accounting Failures, Misuse of EB-5 Investment
    Financial Company Charged With Improper Accounting and Impeding WhistleblowersSeattle-based financial services company HomeStreet Inc. has agreed to pay a $500,000 penalty to settle charges that it conducted improper hedge accounting and…
  • Jan 31

    SEC News - Internalization, Miscalculations, and FCPA Violation

    SEC News - Internalization, Miscalculations, and FCPA Violation
    Citadel Securities Paying $22 Million for Misleading Clients About Pricing TradesThe SEC’s order finds that Citadel Execution Services suggested to its broker-dealer clients that upon receiving retail orders they forwarded from their…
Rank this Week: 2266

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • Feb 15

    Ed Raleigh Publishes Mail and Wire Fraud Article

    Ed Raleigh Publishes Mail and Wire Fraud Article
    Our colleague Ed Raleigh in our DC office has published an insightful article on Mail and Wire Fraud in the ABA’s Criminal Justice Magazine.  We invite you to read it.  Continue Reading…
  • Feb 15

    Ed Raleigh Publishes Mail and Wire Fraud Article

    Ed Raleigh Publishes Mail and Wire Fraud Article
    Our colleague, Ed Raleigh, in our DC Office has published an insightful article on Mail and Wire Fraud in the ABA’s Criminal Justice Magazine.  Here is the link for your…
  • Feb 13

    SEC’s Exam Deficiencie

    SEC’s Exam Deficiencie
    The SEC recently released its findings relating to exams of investment advisers.  https://www.sec.gov/ocie/Article/risk-alert-5-most-frequent-ia-compliance-topics.pdf. In particular, the SEC’s Office of Compliance Inspections and…
Rank this Week: 3867

Amato Law Firm, LLC Blog

Amato Law Firm, LLC Blog

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

http://www.ramatolaw.com/blog1
  • Feb 15

    FINRA Bars Former Wells Fargo Advisors Broker Matthew Maczko

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

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

    Large Raiding Award Against Robert W. Baird & Co. Underscores Issues with Team Transition
    A notable (due to its size) $23.5 million FINRA arbitration award against broker-dealer Robert W. Baird & Co. (Baird) and some of its representatives, issued by a three-member FINRA panel in Kansas last week, underscores the issues that…
  • Jan 12

    JPMorgan Found to Have Retaliated Against Adviser, Filed Defamatory U5

    JPMorgan Found to Have Retaliated Against Adviser, Filed Defamatory U5
    A recent investigation by the U.S. Occupational Safety and Health Administration (OSHA) has resulted in an award of more than $160,000 for back pay and “reputational damage” to a former JPMorgan Chase & Co. financial adviser.…
Rank this Week: 2554

Strictly Business

Strictly Business

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

http://www.strictlybusinesslawblog.com/
Rank this Week: 2658

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Feb 13

    Broker Investigation: Customer Complaints Against Scott Palmer

    Broker Investigation: Customer Complaints Against Scott Palmer
    The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Scott Palmer (Palmer). According to BrokerCheck records, Palmer is subject to at least five…
  • Feb 13

    Advisor Robert Estevez Subject to Multiple Regulatory Action

    Advisor Robert Estevez Subject to Multiple Regulatory Action
    The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Robert Estevez (Estevez). According to BrokerCheck records there are at least 9…
  • Feb 10

    Michael Spears Subject to Claims Over Non-Traded REIT

    Michael Spears Subject to Claims Over Non-Traded REIT
    Our investment attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Michael Spears (Spears) currently associated with IMS Securities, Inc. alleging negligence, failure to…
Rank this Week: 2392

The California Securities…

The California Securities Attorneys

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

http://thecaliforniasecuritiesattorneys.com/
  • Feb 9

    Marketing Your Offering by Bruce E. Methven

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

    Report on Crowdfunding by Bruce E. Methven

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

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

    Running Another Offering With a Crowdfunding Offer by Bruce E. Methven
    This is part of a series on crowdfunding; this part covers running another offer simultaneously with a crowdfunding offer. Again, true crowdfunding — offerings of stock, LLC units and promissory notes — becomes available on May…
Rank this Week: 1827

Federal Securities Law Blog

Federal Securities Law Blog

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

http://www.fedseclaw.com/
  • Feb 7

    FTC revises HSR and interlocking directorate threshold

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

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

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

    Supreme Court affirms family insider trading conviction

    Supreme Court affirms family insider trading conviction
    On Tuesday, The United States Supreme Court unanimously affirmed an insider trading conviction by finding that inside information exchanged between relatives violates federal security laws. The case is Salman v. United States. The decision…
Rank this Week: 1038