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Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

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

    NASAA Adopts Model Business Continuity Rule for Adviser

    NASAA Adopts Model Business Continuity Rule for Adviser
    By John M. Jascob, J.D.NASAA has adopted a state model rule and related guidance concerning business continuity and succession planning for investment advisers. The model rule and guidance are intended to ensure that smaller advisers fulfill…
  • Apr 23

    State Treasurers Ask SEC to Bring Dark Money Spending Into the Light

    State Treasurers Ask SEC to Bring Dark Money Spending Into the Light
    By John Filar AtwoodFive state treasurers have written to the SEC asking it to adopt a rule to require all publicly traded companies to disclose their political spending. The treasurers of Oregon, North Carolina, Rhode Island, Washington and…
  • Apr 22

    ALJ Puts Agency’s Case Against ‘Turnaround Queen’ Tilton on Hold

    ALJ Puts Agency’s Case Against ‘Turnaround Queen’ Tilton on Hold
    By Mark S. Nelson, J.D.SEC administrative law judge (ALJ) Carol Fox Foelak has at least temporarily put the brakes on the agency’s administrative case against self-proclaimed “Turnaround Queen” Lynn Tilton and her firm…
Rank this Week: 18

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: 55

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/
  • Apr 24

    OSC follows CSA in issuing registration exemptions for certain U.S. Broker-Dealers and Adviser

    OSC follows CSA in issuing registration exemptions for certain U.S. Broker-Dealers and Adviser
    Darin Renton - Today, the OSC published OSC Rule 32-505 Conditional Exemption from Registration for United States Broker-Dealers and Advisers Servicing U.S. Clients from Ontario. OSC Rule 32-505 provides an exemption from the dealer and…
  • Apr 24

    BCSC Releases First Annual Enforcement Report

    BCSC Releases First Annual Enforcement Report
    Earlier this week, the British Columbia Securities Commission (BCSC) released its 2014 Enforcement Report, which represents the first annual enforcement report to be published by the BCSC. The 31-page report provides an overview of the…
  • Apr 22

    Supreme Court of Canada denies authorization in first Quebec secondary market securities class action

    Supreme Court of Canada denies authorization in first Quebec secondary market securities class action
    Alan D’Silva and Sinziana Hennig - On April 17, 2015, the Supreme Court of Canada released its decision in Theratechnologies inc. v. 121851 Canada inc., the first case to consider the authorization of a secondary market class action…
Rank this Week: 105

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • Apr 23

    Securities Suits Hit Companies Using Stock Promoter

    Securities Suits Hit Companies Using Stock Promoter
    When plaintiffs’ lawyers filed a complaint against the company earlier this week, Cellular Biomedicine Group became the latest firm to be hit with a securities class action lawsuit relating to the company’s alleged use of a stock…
  • Apr 23

    Advisen Report: Decline in Corporate and Securities Lawsuit Filings Continued in First Quarter

    Advisen Report: Decline in Corporate and Securities Lawsuit Filings Continued in First Quarter
    The recent trend toward declining numbers of corporate and securities lawsuit filings continued in the first quarter of 2015, according to a report from the insurance industry information firm, Advisen. If the level of activity in the…
  • Apr 21

    Guest Post: Cybersecurity Enforcement: The FTC is Out There

    Guest Post: Cybersecurity Enforcement: The FTC is Out There
    Along with the disruption and the reputational damage, a company experiencing a data breach can also find itself attracting the unwanted attention of regulators. Among the federal regulators that has proven to be active in data…
Rank this Week: 123

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/
  • Apr 10

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: Derek Fischer, Note, Dodd-Frank's Failure to Address CFTC Oversight of Self-Regulatory Organization Rulemaking, 115 Colum. L. Rev. 69…
  • Apr 4

    Assistant Director of the Center for Transactional Law and Practice Emory Law School

    Assistant Director of the Center for Transactional Law and Practice Emory Law School
    Bobby Ahdieh (Emory) forwarded me this announcement about a position in Emory's outstanding Center for Transactional Law and Practice: Emory Law School seeks an Assistant Director of the Center for Transactional Law and Practice to teach in…
  • Apr 4

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: Adam Adler, Student Article, High Frequency Regulation: A New Model for Market Monitoring, 39 Vt. L. Rev. 161 (2014). Vladimir Atanasov,…
Rank this Week: 116

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Apr 24

    Attorneys investigate Garden State Securities broker, David Persaud

    Attorneys investigate Garden State Securities broker, David Persaud
      The securities and investment fraud law firm, Fitapelli Kurta, is interested in speaking to investors who have complaints relating to David (Dwarka) Persaud formerly of Garden State Securities. According to his BrokerCheck Report,…
  • Apr 24

    Attorneys seek complaints – Ameriprise broker, Julie Irene Smith

    Attorneys seek complaints – Ameriprise broker, Julie Irene Smith
    The securities and investment fraud law firm, Fitapelli Kurta, is interested in speaking to investors who have complaints regarding Ameriprise Financial broker, Julie Irene Smith. The post Attorneys seek complaints – Ameriprise broker,…
  • Apr 23

    Miami based Northeast Securities broker, Patrick McGrath III, suspended/fined

    Miami based Northeast Securities broker, Patrick McGrath III, suspended/fined
    The securities and investment fraud law firm, Fitapelli Kurta, is interested in speaking to investors who have complaints regarding Patrick McGrath III, of Northeast Securities’ Miami, Florida office. The post Miami based Northeast…
Rank this Week: 157

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/
  • Apr 24

    CalPERS Board Member Contests Attorney General’s Conflicts Position

    CalPERS Board Member Contests Attorney General’s Conflicts Position
    Last December, I wrote about J.J. Jelincic, a long-term CalPERS employee who was elected for a four-year term to the Board of Administration of the California Public Employees Retirement System (aka CalPERS). Following Mr. Jelincic’s…
  • Apr 23

    Finders Bill Finds Success In Assembly Committee

    Finders Bill Finds Success In Assembly Committee
    In February, I wrote about the resurrection of a bill that would clarify the status of finders under the California Corporate Securities Law of 1968.  Earlier this week, the bill, AB 667 (Wagner) cleared its first policy committee…
  • Apr 22

    Who Files The Most Permit Applications?

    Who Files The Most Permit Applications?
    California Corporations Code Section 25113(d) requires the Commissioner of Business Oversight to prepare and publicize an annual report of the number of permits that it issues for the offer and sale of securities. The report must…
Rank this Week: 185

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/
  • Apr 22

    Business Court Denies TRO In The Midst of A Proxy Fight

    Business Court Denies TRO In The Midst of A Proxy Fight
    The Defendant in Allcorn v. Bradley Creek Boatominium, Inc. sought an injunction against the Plaintiffs in the midst of a proxy fight as to their allegedly defamatory statements in connection with the election of the Defendant's board of…
  • Apr 14

    Some Stats On The Business Court

    Some Stats On The Business Court
    When the North Carolina Legislature "modernized" the Business Court last year, it added a provision to the General Statutes mandating that the Director of the Administrative Office of the Courts prepare a report, twice a year, showing the…
  • Apr 10

    NC Business Court Takes On The Oxford Comma

    NC Business Court Takes On The Oxford Comma
    You most likely have heard of the Oxford Comma.  It is also referred to as the "serial comma."  If you are not familiar with this literary device, it is a comma placed before the word "and" or another conjunction (like or or nor) in…
Rank this Week: 181

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/
  • Apr 24

    SEC News - Fraud, FCPA Violations, and Microcap Scheme

    SEC News - Fraud, FCPA Violations, and Microcap Scheme
    L.A.-Based Pacific West Capital Group Charged With Fraud in Sale of Life Settlement InvestmentsLos Angeles-based Pacific West Capital Group Inc. and its owner have been charged with fraud in the sale of “life settlement”…
  • Apr 24

    SEC News - Military Investment Scheme, Stolen Funds, Fraud

    SEC News - Military Investment Scheme, Stolen Funds, Fraud
    SEC Halts Investment Scheme Targeting Military PersonnelA man living in central Texas faces fraud charges and an asset freeze after being accused of telling false tales about his stockbroking experience to lure current and former U.S.…
  • Apr 22

    SEC News - Undisclosed Perks, Insider Trading, and Fraud

    SEC News - Undisclosed Perks, Insider Trading, and Fraud
    Fraud Charges Against Investment Adviser Accused of Concealing Poor Performance of Fund Assets From InvestorsAn investment adviser and her New York-based firms have been accused of hiding the poor performance of loan assets in three…
Rank this Week: 220

Representing Investors

Representing Investors

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

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

    Report on National Senior Investor Initiative Released by FINRA & SEC

    Report on National Senior Investor Initiative Released by FINRA & SEC
    Over the next 15 years more and more baby boomers will be turning 65, the SEC and FINRA issued a report this month to help broker-dealers evaluate, craft, or improve their policies and processes for investors as they prepare for and enter…
  • Apr 20

    Zero Coupon Bonds Risky for Investor

    Zero Coupon Bonds Risky for Investor
    Investors are rushing into the uncertain and most volatile corner of the U.S. government bond market in search of bigger returns. Zero-coupon Treasury bonds, mature in more than 25 years have handed investors a return of 5.79% year to date,…
  • Apr 20

    Toll-Free FINRA Securities Helpline for Seniors Launched

    Toll-Free FINRA Securities Helpline for Seniors Launched
    FINRA launched their toll-free FINRA Securities Helpline for SeniorsTM this week. Senior investors can call the new toll-free number at (844-57-HELPS or 844-574-3577) from 9:00 a.m. – 5:00 p.m. ET, Monday through Friday, and get…
Rank this Week: 283

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

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

    The SEC’s Coming Pay-for-Performance Proposal: My Eight Cent

    The SEC’s Coming Pay-for-Performance Proposal: My Eight Cent
    As I blogged yesterday, the SEC has calendared an open Commission meeting for Wednesday, April 29th to finally propose the pay-for-performance rules as required by Dodd-Frank. This rulemaking is important as it could become the new standard…
  • Apr 23

    Proxy Access: Proponents Actively Solicit Support

    Proxy Access: Proponents Actively Solicit Support
    Here’s news from this blog by Davis Polk’s Ning Chiu: Companies with proxy access shareholder proposals on their annual meeting ballots are confronting a notice of exempt solicitation filed by the California Public Employees…
  • Apr 22

    Got Your Feedback: Our Home Page Goes Back to “Normal”

    Got Your Feedback: Our Home Page Goes Back to “Normal”
    In the wake of poll results indicating a strong preference to having the full menu of our offerings available straight from our home page, I have reverted the home page back to whence it came. The new large tabs at the top are the same…
Rank this Week: 236

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
  • Apr 25

    Former MLB Pitcher Sues His Former Financial Adviser

    Former MLB Pitcher Sues His Former Financial Adviser
    From the Desk of Jim Eccleston at Eccleston Law LLC:Former MLB pitcher, Jaret Wright, is suing his advisers at CSI Capital Management, Sun Trust Bank and accounting firm Taylor & Faust for fraud, misrepresentation, negligence and other…
  • Apr 24

    Former Broker Allegedly Involved In Outside Business Activitie

    Former Broker Allegedly Involved In Outside Business Activitie
    From the Desk of Jim Eccleston at Eccleston Law LLC:Patric Baccam, a former Centaurus Financial broker, allegedly was involved in outside business activities. According to FINRA, Baccam received at least five customer complaints regarding his…
  • Apr 23

    FINRA Rule Related to Transaction Based Compensation Fee Has Been Approved

    FINRA Rule Related to Transaction Based Compensation Fee Has Been Approved
    From the Desk of Jim Eccleston at Eccleston Law LLC:The SEC recently approved Rule 2040 proposed by FINRA which applies to the payment of transaction based compensation to unregistered persons by member firms.  Rule 2040 will allow…
Rank this Week: 373

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/
  • Apr 24

    FINRA Expels Aaeon Parthemer From Securities Industry

    FINRA Expels Aaeon Parthemer From Securities Industry
    According to Investment News, the Financial Industry Regulatory Authority (FINRA) has barred Wells Fargo broker and Miami socialite Aaeon Parthemer for failure to disclose his involvement in various outside businesses. FINRA rules require…
  • Apr 22

    Investigation into Broker Michael Oppenheim

    Investigation into Broker Michael Oppenheim
    Have you been defrauded by JPMorgan Chase & Co broker Michael Oppenheim? If so, the securities attorneys of The White Law Group may be able to help. According to 12News, Michael Oppenheim was arrested for allegedly stealing approximately…
  • Apr 22

    Recovery of Losses in Gulf Coast Rig & Equipment

    Recovery of Losses in Gulf Coast Rig & Equipment
    Have you suffered investment losses in Gulf Coast Rig & Equipment? If so, The White Law Group may be able to help. Unfortunately for many investors the risks associated with private placements may have been understated and misrepresented…
Rank this Week: 369

New York Securities Lawyers Blog

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

http://www.newyorksecuritieslawyersblog.com/
Rank this Week: 457

Recover Investment Losses Blog

Recover Investment Losses Blog

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

http://blog.rexsecuritieslaw.com
  • Apr 23

    ForceField Energy Stock Trading Suspended-CEO Arrested for Securities Fraud

    ForceField Energy Stock Trading Suspended-CEO Arrested for Securities Fraud
    April 21, 2015- The Securities and Exchange Commission (SEC) suspended trading in the securities of ForceField Energy, Inc. (FNRG)  until May 5th due to concerns about the adequacy and accuracy of information available to investors in…
  • Apr 23

    Former D’Hanis State Bank President Indicted for Fraud & Embezzlement

    Former D’Hanis State Bank President Indicted for Fraud & Embezzlement
    April 17, 2015- San Antonio, Texas The FBI announced that Laurie Mayfield (aka Laurie H. Scott), 54, of Fredericksburg, Texas, was indicted for bank fraud and embezzlement. According to the release, Mayfield , formerly president of…
  • Apr 23

    Houston Broker Suspended for Trading Account Without Client’s Permission

    Houston Broker Suspended for Trading Account Without Client’s Permission
    April 8, 2015- Austin, Texas The Texas State Securities Board (TSSB) suspended Bruce William Schoendorf, an investment adviser of Hurwitz Associates,  for ten days for exercising discretion in a client account in violation of a…
Rank this Week: 624

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/
  • Apr 23

    Proxy Contests Tick Up in 2015

    Proxy Contests Tick Up in 2015
    Here’s news from Chris Cernich and Cristiano Guerra in ISS’s Special Situations Research: Thus far, 2015 is on track to be a record year for the number of U.S. proxy contests going to a vote, according to an analysis by ISS’…
  • Apr 22

    Preserving Net Operating Losses (NOL) Carryforward: Your Action Item

    Preserving Net Operating Losses (NOL) Carryforward: Your Action Item
    Many are getting inquires about NOL pills now that a lot of companies have turned the corner. In 2014, the number of companies adopting NOL Rights Plans hit a three-year high and a tie for the most such adoptions in any year since 1998, the…
  • Apr 21

    Shareholder Activism: Are You Prepared? PwC Wants to Assess You

    Shareholder Activism: Are You Prepared? PwC Wants to Assess You
    In this blog, “The Activist Investor” pushes back against PwC’s recent report on activist investors…
Rank this Week: 406

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/
  • Apr 22

    Trader Blamed in 2010 Flash Crash is Arrested in London

    Trader Blamed in 2010 Flash Crash is Arrested in London
    Almost five years after the 20-minute Flash Crash when the Dow Jones Industrial Average plunged nearly 600 points and then quickly rebounded, the U.S. Department of Justice has arrested trader Navinder Singh Sarao. He is accused of allegedly…
  • Apr 18

    Texas Securities Scam Allegedly Bilked Investors of $4.4M

    Texas Securities Scam Allegedly Bilked Investors of $4.4M
    The Securities and Exchange Commission has filed a lawsuit accusing Mieka Energy Corporation of Texas Securities Fraud. The oil and gas company and Daro Ray Blankenship, its president and founder, allegedly defrauded at least 60 investors…
  • Apr 16

    Former JPMorgan Chase Investment Adviser Faces Criminal and Civil Charges for Allegedly Stealing $20M from Client

    Former JPMorgan Chase Investment Adviser Faces Criminal and Civil Charges for Allegedly Stealing $20M from Client
    Michael Oppenheim, an ex-JPMorgan Chase (JPM) investment adviser, was arrested this week and charged with bilking clients of at least $20 million. Oppenheim worked for the firm from 2002 until March of this year. Authorities claim that…
Rank this Week: 578

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: 453

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

http://www.seclawyersblog.com/
  • Apr 13

    Sonn|Erez Investigating Claims Involving Former Wells Fargo Broker Michael Vincent Borja

    Sonn|Erez Investigating Claims Involving Former Wells Fargo Broker Michael Vincent Borja
    Sonn|Erez is investigating claims regarding Michael Vincent Borja (CRD #5451360, Miami, Florida). Borja recently submitted an AWC in which he assessed a deferred fine of $5,000 and suspended from association with any FINRA member in any…
  • Apr 10

    Sonn|Erez Investigating Claims Involving Gregg Alan Beemer

    Sonn|Erez Investigating Claims Involving Gregg Alan Beemer
    Sonn|Erez is investigating claims regarding Gregg Alan Beemer (CRD #2248923, Dayton, Ohio). Beemer recently submitted an AWC in which he was barred from association with any FINRA member in any capacity. See FINRA Case #2014043570801).…
  • Apr 6

    Sonn|Erez Investigating Claims Involving Bernard G. McGee

    Sonn|Erez Investigating Claims Involving Bernard G. McGee
    Sonn|Erez is investigating claims regarding Bernard G. McGee (CRD #1203327, Cazenovia, New York). Following a FINRA hearing, McGee was barred from association with any FINRA member in any capacity; ordered to pay $236,202.50, plus interest,…
Rank this Week: 516

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: 667

William Carleton, Counselor @ Law

William Carleton, Counselor @ Law

Covers legal and investment issues facing emerging tech companies.

http://www.wac6.com/wac6/
  • Feb 20

    First Cherry Blossom

    First Cherry Blossom
    Wet and temperate in Seattle this morning. And look, Spring!
  • Feb 9

    Lark & Environ

    Lark & Environ
    Interesting stuff going on at, let's call it 10th and Seneca, about a half block east of Broadway off Madison. Lark has recently moved there, and, based on one dinner experience at the new location, is as good or better...
  • Jan 25

    One Thousand Things Worth Knowing

    One Thousand Things Worth Knowing
    This weekend I've read Paul Muldoon's newly published collection of poems, "One Thousand Things Worth Knowing." (The dust jacket sports a very pleasing design by the ubiquitous Quemadura, a brilliant designer and a kind man I will…
Rank this Week: 415

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: 362

Securities Lawyer 101

Securities Lawyer 101

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

http://www.securitieslawyer101.com/blog/
  • Sep 10

    Corporate Hijackings 101 l Securities Lawyer 101 Blog

    Corporate Hijackings 101 l Securities Lawyer 101 Blog
    Securities Lawyer 101 Blog Corporate hijackings, also known as corporate identity theft, of public shell companies has been around for more than a decade.  It  is a growing method used by fraudsters to acquire…
  • Jan 1

    Going Public Blog l Securities Lawyer 101

    Going Public Blog l Securities Lawyer 101
    Going Public LawyerGoing 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 quantities of…
  • 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…
Rank this Week: 1670

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Apr 25

    Former RBS Securities Advisor Matthew Katke Plead Guilty For RMBS and CLO Fraud

    Former RBS Securities Advisor Matthew Katke Plead Guilty For RMBS and CLO Fraud
    According to the Department of Justice (DOJ), Matthew Katke (Katke) recently waived his right to indictment and pleaded guilty today in Hartford federal court to participating in a multimillion securities fraud scheme. Katke was registered…
  • Apr 22

    Former Ameriprise Advisor Jack McBride Discharged Over Soliciting Leveraged ETF

    Former Ameriprise Advisor Jack McBride Discharged Over Soliciting Leveraged ETF
    According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Jack McBride (McBride) has been the subject of at least 4 customer complaints over the course of his career. Customers have filed to recent…
  • Apr 22

    Top Merrill Lynch Broker Thomas Buck Terminated Under Unusual Circumstance

    Top Merrill Lynch Broker Thomas Buck Terminated Under Unusual Circumstance
    According to news sources, Thomas Buck (Buck) and his daughter Ann Buck, were recently terminated by Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch), now known as Bank of America, NA (Bank of America) under unusual…
Rank this Week: 1765

New York Securities Lawyer Blog

New York Securities Lawyer Blog

Covers securities law. By Lax & Neville LLP.

http://www.newyorksecuritieslawyerblog.com/
Rank this Week: 1862

White Collar Alert

White Collar Alert

Provides news and insight to counsel and legal observers concerning white collar criminal defense, internal investigations, government litigation and regulatory compliance. By Montgomery McCracken.

http://whitecollarblog.mmwr.com
Rank this Week: 1497

Business Blog

Business Blog

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

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

    Is Your Business Doing Enough to Combat Distracted Driving?

    Is Your Business Doing Enough to Combat Distracted Driving?
    In recognition of Distracted Driving Awareness Month, we would like to share a startling statistic — distracted driving is currently the most common cause of workplace fatalities in the United States. To keep employees safe and avoid…
  • Apr 22

    In Light of Earth Day: Could Your Business Use a Little More “Green?”

    In Light of Earth Day: Could Your Business Use a Little More “Green?”
    Earth Day was first created as an environmental awareness event in the United States in 1970. Today, it is celebrated around the world. The initial demonstration, which included 20 million Americans protesting in cities across the country, is…
  • Apr 21

    Getting Employees (Through Training) on Board Is Key to Data Security

    Getting Employees (Through Training) on Board Is Key to Data Security
    Would your employees sell their business passwords to a third party for a measly $150? While most employers would likely respond with a resounding “NO,” such confidence may not be so justified when it comes to data security.…
Rank this Week: 3750

Subject to Inquiry

Subject to Inquiry

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

http://www.subjecttoinquiry.com/
  • Apr 24

    DOJ Criminal Division Chief Provides Guidance on Corporate Charging Decision

    DOJ Criminal Division Chief Provides Guidance on Corporate Charging Decision
    On April 17, 2015, Assistant Attorney General Leslie Caldwell provided helpful guidance regarding the Justice Department’s approach to corporate charging decisions in remarks that she delivered at New York University Law School’s…
  • Apr 24

    DOJ Criminal Division Chief Provides Guidance on Corporate Charging Decision

    DOJ Criminal Division Chief Provides Guidance on Corporate Charging Decision
    On April 17, 2015, Assistant Attorney General Leslie Caldwell provided helpful guidance regarding the Justice Department’s approach to corporate charging decisions in remarks that she delivered at New York University Law School’s…
  • Apr 23

    Agency Cooperation in Fair Lending Enforcement

    Agency Cooperation in Fair Lending Enforcement
    Joint investigations, cross-agency partnership, cooperation … terms all too familiar to regulatory and defense practitioners accustomed to collaboration among the alphabet soup of federal regulators. These terms may now be regularly…
Rank this Week: 1934

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/
  • Apr 23

    Delaware Chancery Awards Investors $171 Million

    Delaware Chancery Awards Investors $171 Million
    On April 20, 2015, the Delaware Court of Chancery issued a decision awarding $171 million in damages to the common unitholders of a limited partnership against its general partner in connection with a “dropdown” transaction. …
  • Apr 21

    Internal Investigations: Do No Harm

    Internal Investigations: Do No Harm
    Internal investigations are an ever-present challenge for companies. They can involve virtually any topic and arise in myriad ways.  Embezzlement, accounting improprieties, bribery, and financial statement adjustments can all lead to a…
  • Apr 14

    Remote Tippees Beware: Even if the DOJ Can’t Reach You After Newman, The SEC Can

    Remote Tippees Beware: Even if the DOJ Can’t Reach You After Newman, The SEC Can
    The fall-out from the Second Circuit’s decision in U.S. v. Newman continued last week in SEC v. Payton, when Southern District of New York Judge Jed S. Rakoff denied a motion to dismiss an SEC civil enforcement action against two Read…
Rank this Week: 3325

The Securities Edge

The Securities Edge

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

http://www.thesecuritiesedge.com/
  • Apr 23

    The third horseman leaves the paddock

    The third horseman leaves the paddock
    Posted By: Robert B. Lamm It shouldn’t come as a surprise to anyone nerdy enough to be reading this blog that the Dodd-Frank Act mandated SEC rulemaking in four areas relating to the disclosure of executive compensation: pay ratio,…
  • Apr 17

    A high mark (would you believe an A+?) for the SEC

    A high mark (would you believe an A+?) for the SEC
    Posted By: Robert B. Lamm I’ve done my share of griping about the SEC, but credit needs to be given where credit is due. And credit is due to the SEC for adopting a new, improved version of Regulation A that has become known as…
  • Apr 13

    CEO pay ratios: ineffective disclosure on steroid

    CEO pay ratios: ineffective disclosure on steroid
    Posted By: Robert B. Lamm On Sunday, April 12, the Business section of the New York Times led with an article by Gretchen Morgenson taking the SEC to task for not having adopted rules requiring disclosure of CEO pay ratios. This follows…
Rank this Week: 3482

White Collar Wire

White Collar Wire

Covers news, cases, judicial opinions, practical tips and scholarly work regarding white-collar criminal and civil enforcement, grand jury investigations and regulatory compliance. By Jackson R. Sharman, III.

http://jacksharman.com/
  • Apr 23

    Barry Bonds, Ramblin’ Man

    Barry Bonds, Ramblin’ Man
      The federal appeals court in San Francisco recently reversed baseball player Barry Bonds’s conviction for obstruction of justice.  The criminal charge and conviction arose out of testimony that Bonds gave to a grand…
  • Apr 15

    The Old College Try, and The New College Tribunal

    The Old College Try, and The New College Tribunal
    In disciplinary proceedings involving claims of sexual assault, universities continue to find themselves in an intolerable situation, caught in a lawyer-triangle of the Department of Education’s Office of Civil Rights,…
  • Mar 28

    White-Collar Felon Registries, Hester Prynne and The Drive-By Trucker

    White-Collar Felon Registries, Hester Prynne and The Drive-By Trucker
    Although one must admire the historicist sensibilities of a state legislature that just reinstated the firing squad  as a methodology for execution, the Utah legislature’s passage of a bill to create a white-collar crime…
Rank this Week: 2005

Securities Fraud Attorney Blog

Securities Fraud Attorney Blog

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

http://www.securitiesfraudattorneyblog.com/
  • Apr 22

    Merrill Lynch Fined for Faulty Trade Reporting

    Merrill Lynch Fined for Faulty Trade Reporting
    Merrill Lynch was fined almost $20 million by the Financial Conduct Authority (FCA) in London for incorrectly reporting more than 35 million transactions from 2007 to 2014. Merrill Lynch didn’t report, at all, another 120,000…
  • Apr 15

    Labor Department Proposes New Rule Imposing Fiduciary Duty on Broker

    Labor Department Proposes New Rule Imposing Fiduciary Duty on Broker
    In what has become a hot issue this Spring, the Labor Department yesterday proposed a new set of standards for brokers who offer advice in connection with 401(k)’s and other retirement accounts. Currently, brokers are required only to…
  • Apr 10

    Concern Mounts Over the Lack of a Rule Imposing a Fiduciary Duty on Broker

    Concern Mounts Over the Lack of a Rule Imposing a Fiduciary Duty on Broker
    I noted in my March 20 post that the Chair of the SEC had just come out in favor of a rule requiring brokers to act in their clients best interests. While investors wait for the SEC to move forward on the issue, the New York City…
Rank this Week: 868

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • Apr 21

    Why Reverse Churning Does Not Create Cream From Butter.

    Why Reverse Churning Does Not Create Cream From Butter.
    For years, firms have been using wrap products to charge an annual fee based upon the value of assets under management regardless of the number of trades, as opposed to fees per trade. In other words, wrap accounts were an effective tool to…
  • Apr 17

    Fox’s Frank Razzano Publishes New Securities Article in Securities Regulation Law Journal

    Fox’s Frank Razzano Publishes New Securities Article in Securities Regulation Law Journal
    Our partner, Frank C. Razzano, has recently published an article, entitled “What Lies Ahead: Halliburton v. Erica P. John Fund, Inc.,” in the Securities Regulation Law Journal (Spring 2015).  It is a great article…
  • Apr 16

    The DOL Proposes A Fiduciary Duty Rule; Is This The Beginning Of The End

    The DOL Proposes A Fiduciary Duty Rule; Is This The Beginning Of The End
    The Department of Labor delivered on a longstanding but controversial promise when it recently proposed a fiduciary duty rule for all brokers who work with retirement accounts. The primary purpose of the proposed rule is avoidance of…
Rank this Week: 3630

Cady Bar the Door

Cady Bar the Door

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

http://www.secmiscellany.com
  • Apr 20

    Two Regulatory Crise

    Two Regulatory Crise
    It strikes me that two civil regulators are facing dire attacks on aspects of their enforcement programs – both in different U.S. Courts of Appeals – at the same time.  Both of these attacks arise out of generalized statutes…
  • Apr 19

    A Non-Insider Trading Case in the District of Massachusett

    A Non-Insider Trading Case in the District of Massachusett
    Insider trading prosecutions can be difficult.  Because of the haphazard and tortuous growth of insider trading law itself, the prosecutions involve proving lots of different pesky elements.  Fiduciary duties, materiality, trading .…
  • Apr 9

    Three Thoughts about the SEC’s First “Pretaliation” Case

    Three Thoughts about the SEC’s First “Pretaliation” Case
    I was on a flight last Wednesday when the SEC released the first of what whistleblower chief Sean McKessy has dubbed “pretaliation” cases against KBR, Inc.  When I landed I had several emails from colleagues, asking,…
Rank this Week: 3840

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: 4730

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
  • Apr 20

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
    FINRA Named As Defendant In Case Alleging Altered Electronic FilesToday's BrokeAndBroker.com Blog discusses a civil Complaint involving the somewhat esoteric legal issue of "spoliation," which involves the alleged…
  • Apr 20

    FINRA Named As Defendant In Case Alleging Altered Electronic File

    FINRA Named As Defendant In Case Alleging Altered Electronic File
    Today's BrokeAndBroker.com Blog discusses a civil Complaint involving the somewhat esoteric legal issue of "spoliation," which involves the alleged destruction or alteration of evidence. Although that doesn't necessarily sound like a…
  • Apr 20

    SEC Awards Compliance Officer Million Dollar Whistleblower Bounty

    SEC Awards Compliance Officer Million Dollar Whistleblower Bounty
    On April 22, 2015, the Securities And Exchange Commission announced it was awarding to a compliance professional a whistleblower award of between $1.4 and $1.6 million. According to the SEC's Press Release "SEC Announces Million-Dollar…
Rank this Week: 2881

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Apr 17

    Creating Your Own Losse

    Creating Your Own Losse
    Under the PSLRA, the presumptive lead plaintiff in a securities class action is the applicant with the “largest financial interest in the relief sought by the class.”  The largest financial interest is measured by assessing…
  • Mar 25

    Omnicare Decided

    Omnicare Decided
    The U.S. Supreme Court has issued a decision in the Omnicare case holding that opinions presented in registration statements can be subject to Section 11 liability if either (a) the opinion was not genuinely held, or (b) the registration…
  • Mar 20

    The Streak Is Over

    The Streak Is Over
    Plaintiffs in securities class actions often point to insider trades as evidence that the individual defendants had a pecuniary motive to commit fraud.   But if the plaintiffs do not make any allegations related to insider…
Rank this Week: 2544

Footnoted

Footnoted

Reports on actionable information in SEC filings.

http://www.footnoted.com/
  • Apr 17

    Golden parachutes for government service?

    Golden parachutes for government service?
    A new shareholder proposal by the AFL-CIO questions accelerated vesting for employees at 4 financial services giants who leave to join the government.
  • Mar 27

    An inverse relationship at J.C. Penney

    An inverse relationship at J.C. Penney
    Before he was replaced as CEO, Marvin Ullman was a very avid user of JC Penney's corporate jet for personal travel.
  • Mar 18

    Hunting for Perks in Proxy Season

    Hunting for Perks in Proxy Season
    Proxy season invariably means the disclosure of some unique perks, including a hunting lodge at ArcBest.
Rank this Week: 1526

Andrew Abramowitz, PLLC

Andrew Abramowitz, PLLC

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

http://aalegalnyc.com/blog/
  • Apr 16

    Employee vs. Independent Contractor

    Employee vs. Independent Contractor
    In my practice, the question of classification of service providers as employees or independent contractors has come up with increasing frequency.  This probably results from the increasing amount of freelancing in the economy in recent…
  • Apr 14

    Interesting Reads of the Week

    Interesting Reads of the Week
    Some interesting legal reads for the week of April 13, 2015: From DealBook, arguments in favor of allowing law firms to go public. From Bloomberg, leveraged loans are not considered securities, which is a disputed point. From the WSJ, several…
  • Apr 2

    Regulation A+ – How It Fits Into the System

    Regulation A+ – How It Fits Into the System
    The SEC recently adopted final rules implementing significant changes to securities offerings done under Regulation A.  Because of the greatly expanded scope of the offerings, they are referred to colloquially as Regulation A+…
Rank this Week: 1567

Securities Mining Law

Securities Mining Law

Covers securities law affecting the mining industry in Canada.

http://www.securitiesmininglaw.com/
  • Apr 13

    Mining Issuers: Ensure your Websites and Investor Presentations Comply with NI 43-101

    Mining Issuers: Ensure your Websites and Investor Presentations Comply with NI 43-101
    Mining issuers have their qualified persons (“QPs”) and occasionally legal counsel review technical disclosure, including news releases and technical reports, to ensure they comply with National Instrument 43-101 Standards of…
  • Mar 3

    Welcome Tax Measures Announced at the PDAC 2015 Convention

    Welcome Tax Measures Announced at the PDAC 2015 Convention
    On Sunday March 1, 2015, the Honourable Joe Oliver, Federal Minister of Finance addressed the Prospectors & Developers Association of Canada (“PDAC”) at the annual PDAC Convention in Toronto and announced certain proposals…
  • Feb 23

    PDAC

    PDAC
    Only going to one mining investment show? Make it this one. PDAC International Convention, Trade Show & Investors Exchange is the world’s leading Convention for people, companies and organizations in, or connected with, mineral…
Rank this Week: 3340

Kueser Law Firm Blog

Kueser Law Firm Blog

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

http://blog.jmkesquire.com
Rank this Week: 4043

Tim O'Connor's Blog

Tim O'Connor's Blog

Covers stockbroker fraud.

http://stockbrokerlaw.com/tim-oconnors-blog
  • Apr 6

    Fifteen Investment Tips for 2015

    Fifteen Investment Tips for 2015
    The Office of Investor Education and Advocacy of the United States Securities and Exchange Commission recently issued an Investor Bulletin entitled, “15 Investment Tips for 2015.” The Bulletin highlights a number of suggestions…
  • Apr 1

    FINRA Issues Cybersecurity Investor Alert

    FINRA Issues Cybersecurity Investor Alert
    On February 3, 2015, FINRA issued an investor alert, entitled “Cybersecurity and Your Brokerage Firm,” outlining the essential questions investors should ask that brokerage firms regarding the safeguarding of their personal…
  • Aug 12

    ERISA Plan Trustees Subject to Offsets for Prohibited Transactions as Functional Fiduciarie

    ERISA Plan Trustees Subject to Offsets for Prohibited Transactions as Functional Fiduciarie
    ERISA-Qualified Pension Plans The past decade has seen an explosion of new investment products being purchased in ERISA-qualified pension plans. These products, including structured products, auction rate notes, private placements, managed…
Rank this Week: 2865

Stock Market Loss

Stock Market Loss

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

http://www.stockmarketloss.com/news/
  • Apr 3

    Merrill Lynch Axes $1.3 Billion Broker Thomas Buck for Alleged Abuse

    Merrill Lynch Axes $1.3 Billion Broker Thomas Buck for Alleged Abuse
    This article was originally posted on Stock Market Loss An Investment News article reports today that Thomas J. Buck, who was Merrill Lynch’s top financial adviser in Indiana by assets under management – reportedly $1.3 billion…
  • Mar 31

    Stockbroker Does Not Have a Fiduciary Duty to an Investor

    Stockbroker Does Not Have a Fiduciary Duty to an Investor
    This article was originally posted on Stock Market Loss The relationship that an investor has with his or her stockbroker is considered by most to be one of absolute trust. An investor entrusts a significant amount of his or her hard earned…
  • Mar 9

    Can a Stock Broker or Investor Be Sued?

    Can a Stock Broker or Investor Be Sued?
    This article was originally posted on Stock Market Loss Losing money in the stock market is not unheard of; many investors may even expect it. However, some investors may find that the loss they experience is not necessarily due to the…
Rank this Week: 3380

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/
Rank this Week: 1192

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

http://www.hedgefundlawblog.com
  • Apr 1

    Hedge Fund Events April 2015

    Hedge Fund Events April 2015
    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. **** Date: April 1, 2015 Sponsor: 100WHF Event: Investing in Healthcare Location: Boston, MA Date:…
  • Mar 10

    Hedge Fund Events March 2015

    Hedge Fund Events March 2015
    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. ****l Date: March 2-3, 2015 Sponsor: Information Management Network Event: Alpha Hedge East…
  • Feb 1

    Hedge Fund Events February 2015

    Hedge Fund Events February 2015
    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. **** Date: February 1, 2015 Sponsor: The Venture Capital and Private Equity Club at Harvard Business…
Rank this Week: 1109