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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: 64

Securities Lawyer 101

Securities Lawyer 101

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

http://www.securitieslawyer101.com/blog/
Rank this Week: 117

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/
  • Oct 20

    This Hobby Lobby Proposal Is Much Mistaken

    This Hobby Lobby Proposal Is Much Mistaken
    Suzanne Weakley, editor-in-chief of the CEB Business Law Practitioner, recently called my attention to this letter from six professors at U.C. Berkeley (Robert P. Bartlett III, Richard Buxbaum, Stavros Gadinis, Justin McCrary, Steven…
  • Oct 17

    The Point Of An Unenforceable Noncompete May Be Very Sharp Indeed

    The Point Of An Unenforceable Noncompete May Be Very Sharp Indeed
    Writing for Mother Jones, Kevin Drum recently asked “What’s the point of an unenforceable noncompete agreement?”  He posits two possible answers: First, it’s just boilerplate language they don’t really care…
  • Oct 16

    Why Including The Year Of Enactment Can Be Important

    Why Including The Year Of Enactment Can Be Important
    Several provisions of the California Corporate Securities Law of 1968 need to be brought up to date.  Section 25100(i) is one of them.  That section exempts from the qualification requirements of Sections 25110, 25120 and 25130…
Rank this Week: 133

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/
  • Oct 17

    Recovery of United Mortgage Trust Investment Losse

    Recovery of United Mortgage Trust Investment Losse
    Did you suffer losses investing in United Mortgage Trust? If so, The White Law Group may be able to help recover your investment loss through a FINRA dispute resolution claim against the broker dealer that sold you the investment.…
  • Oct 17

    Recovery of TIER REIT Investment Losse

    Recovery of TIER REIT Investment Losse
    Did you suffer losses investing in TIER REIT? If so, The White Law Group may be able to help recover your investment loss through a FINRA dispute resolution claim against the broker dealer that sold you the investment. According to…
  • Oct 17

    Recovery of Inland American Real Estate Trust Investment Losse

    Recovery of Inland American Real Estate Trust Investment Losse
    Did you suffer losses investing in Inland American Real Estate Trust? If so, The White Law Group may be able to help recover your investment loss through a FINRA dispute resolution claim against the broker dealer that sold you the…
Rank this Week: 118

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Oct 20

    When Will the SEC’s EDGAR Get Hacked? (Or Has It Already?)

    When Will the SEC’s EDGAR Get Hacked? (Or Has It Already?)
    About a decade ago, I blogged: “Personally, I am always amazed that there have not been any reported hacks of the EDGAR system – as that has to be one of the most popular targets of the hacking community, even for the youngsters…
  • Oct 17

    Our New “Rule 10b5-1 Trading Plans Handbook”

    Our New “Rule 10b5-1 Trading Plans Handbook”
    Spanking brand new. By popular demand, this comprehensive “Rule 10b5-1 Trading Plans Handbook” covers a topic that many have requested. This one is a real gem – 72 pages of guidance. DOJ Staffer Provides Fresh Guidance on…
  • Oct 16

    ISS: New Draft Approaches to Equity Plan & Independent Board Chair Proposal

    ISS: New Draft Approaches to Equity Plan & Independent Board Chair Proposal
    Yesterday, ISS released a group of draft policy changes for comment – two of them relating to the US: a new “scorecard” approach to evaluating equity compensation plan proposals and independent board chair proposals.…
Rank this Week: 182

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
  • Oct 8

    SEC Warns Investors of The Risks of Private Placement

    SEC Warns Investors of The Risks of Private Placement
    From the Desk of Jim Eccleston at Eccleston Law Offices: In a recent Investor Bulletin as well as an Investor Alert, the Securities and Exchange Commission (SEC) has issued warnings to investors as to the risks…
  • Oct 7

    Former Merrill Lynch Brokers Fired for Promoting Outside Hedge Fund

    Former Merrill Lynch Brokers Fired for Promoting Outside Hedge Fund
    From the Desk of Jim Eccleston at Eccleston Law Offices: Two former Merrill Lynch brokers, Stephen S. Brown and James P. Goetz, were fired for selling away hedge funds outside of the brokerage firm. “Selling…
  • Oct 2

    Former VSR Broker Made Unsuitable Recommendations on Non-Traded REIT

    Former VSR Broker Made Unsuitable Recommendations on Non-Traded REIT
    From the Desk of Jim Eccleston at Eccleston Law Offices: Since the real estate crisis of 2008, non-traded real estate investment trusts have been in the regulators’ sights because of questions about their fees,…
Rank this Week: 152

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: 306

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/
  • Oct 8

    Sixth Circuit Narrows Scope of Liability Under ICA Sections 36(a) and (b)

    Sixth Circuit Narrows Scope of Liability Under ICA Sections 36(a) and (b)
    In Laborers’ Local 265 Pension Fund v. iShares Trust, No. 13-6486, 2014 U.S. App. LEXIS 18627 (6th Cir. Sept. 30, 2014), the United States Court of Appeals for the Sixth Circuit affirmed the dismissal of claims alleging violations of…
  • Sep 22

    Second Circuit Holds Forum Selection Clause Supersedes FINRA’s Mandatory Arbitration Rule

    Second Circuit Holds Forum Selection Clause Supersedes FINRA’s Mandatory Arbitration Rule
    In Goldman, Sachs & Co. v. Golden Empire Schools Financing Authority, No. 13-797-cv, 2014 WL 4099289 (2d Cir. Aug. 21, 2014), the United States Court of Appeals for the Second Circuit held that a forum selection clause in a broker-dealer…
  • Sep 9

    NASDAQ Proposes The Adoption Of A New All-Inclusive Annual Listing Fee

    NASDAQ Proposes The Adoption Of A New All-Inclusive Annual Listing Fee
    On August 26, 2014, The NASDAQ Stock Market LLC (“NASDAQ”) filed with the Securities and Exchange Commission (the “SEC”) certain proposed amendments to the NASDAQ Stock Market Rules (the “Amendments”) to…
Rank this Week: 282

Business Law Post

Business Law Post

Covers corporate law, securities law, intellectual property, and social entrepreneurship. By Arina Shulga.

http://www.businesslawpost.com
  • Oct 6

    CPOs Can Now Engage in General Solicitation

    CPOs Can Now Engage in General Solicitation
    The big legal news in September was that the staff at the Commodity Futures Trading Commission (CFTC) published an exemptive letter No. 14-116 (available here) that allows certain commodity pool operators (CPOs) to engage in general…
  • Aug 22

    New Seed Financing Documents (500 Startups and Y Combinator)

    New Seed Financing Documents (500 Startups and Y Combinator)
    The startup industry keeps on coming up with new innovative solutions to seed financing.  The latest trend is convertible equity.  Two startup venture funds and incubators, 500 Startups and Y Combinator, recently released their…
  • Aug 22

    Unregistered IPOs of Bitcoin Companies Do Not Go Unnoticed By the SEC

    Unregistered IPOs of Bitcoin Companies Do Not Go Unnoticed By the SEC
    As I previously discussed in my blog here, the SEC does not have a mandate to regulate Bitcoin. Not unless it is used in a securities offering, especially in an unregistered initial public offering conducted over the Internet in violation of…
Rank this Week: 323

About Broker Fraud Blog

About Broker Fraud Blog

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

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

    SEC Freeze Assets in Alleged Diamond-Themed Ponzi Scheme

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

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

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

    Raymond James Must Buy Back Auction Rate Securitie

    Raymond James Must Buy Back Auction Rate Securitie
    A Texas couple got some great news last week from the FINRA arbitration panel that ruled on their claim. The panel ruled that the Raymond James Financial Inc. and broker Larry Milton must buy back some $925,000 worth of auction…
Rank this Week: 223

InvestorLawyers.net

InvestorLawyers.net

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

http://www.investorlawyers.net/blog/
Rank this Week: 886

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Oct 20

    Top 10 Signs of Investment Fraud

    Top 10 Signs of Investment Fraud
    Every year dozens of investors contact our firm seeking to recover losses due to sham or bogus investments. Only a fraction of those defrauded people were fortunate enough to working with a licensed broker who wasn’t being properly…
  • Oct 17

    FINRA Sanctions Huntleigh Securities Concerning Non-Traditional ETF Sales Practice

    FINRA Sanctions Huntleigh Securities Concerning Non-Traditional ETF Sales Practice
    The Financial Industry Regulatory Authority (FINRA) has sanctioned brokerage firm Huntleigh Securities Corporation (Huntleigh) concerning allegations that the firm failed to establish and maintain a supervisory system regarding the sale of…
  • Oct 16

    Broker Edward Wendol Barred by FINRA Over Failure to Respond to Outside Business Activity Inquirie

    Broker Edward Wendol Barred by FINRA Over Failure to Respond to Outside Business Activity Inquirie
    The Financial Industry Regulatory Authority (FINRA) barred broker Edward Wendol (Wendol) concerning allegations that during the course of FINRA’s investigation into whether Wendol was involved in undisclosed outside business and private…
Rank this Week: 591

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • Oct 20

    A Whole Bunch of Interesting Litigation and Enforcement Statistics and Analyse

    A Whole Bunch of Interesting Litigation and Enforcement Statistics and Analyse
    A single case may involve a host of interesting issues but sometimes the important lessons can only be discerned when many cases are considered collectively. This past week saw the release of some interesting analyses of aggregate litigation…
  • Oct 16

    Advisan Releases Third Quarter Corporate and Securities Claims Trends Report

    Advisan Releases Third Quarter Corporate and Securities Claims Trends Report
    Continuing an recent downward trend, corporate and securities litigation filings during the third quarter declined, both compared to the prior quarter and compared to the third quarter last year, according a new report from Advisen, the…
  • Oct 14

    IPO Companies and Fee-Shifting Bylaw

    IPO Companies and Fee-Shifting Bylaw
    One of the more interesting recent developments in the D&O liability arena has been the emergence of issues surrounding fee-shifting bylaws. As readers will recall, in May 2014, the Delaware Supreme Court in the ATP Tours case upheld the…
Rank this Week: 840

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Oct 19

    PCAOB Panel Discusses Valuations of Financial Asset

    PCAOB Panel Discusses Valuations of Financial Asset
    The PCAOB Standing Advisory Group (SAG) discussed one of the most controversial and complex issues of financial accounting and auditing, estimates and measurements of financial assets, at a special meeting today. This discussion came against…
  • Oct 18

    Chairman Massad Addresses the CFTC’s Most Pressing Issue

    Chairman Massad Addresses the CFTC’s Most Pressing Issue
    [This story previously appeared in Securities Regulation Daily.]By Matthew Garza, J.D.In remarks before the Outlook 2014 conference, sponsored by the Managed Funds Association, CFTC Chairman Timothy Massad shared his views on two of the most…
  • Oct 16

    Maryland Adopts Intrastate Small Business Exemption

    Maryland Adopts Intrastate Small Business Exemption
    [This story previously appeared in Securities Regulation Daily.]By Jay Fishman, J.D.The Maryland Legislature adopted, effective October 1, 2014, a non-crowdfunding intrastate small business exemption. Legislation. The exemption covers…
Rank this Week: 646

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
Rank this Week: 669

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/
Rank this Week: 760

Florida Securities Fraud Lawyer…

Florida Securities Fraud Lawyer Blog

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

http://www.floridasecuritiesfraudlawyerblog.com/
Rank this Week: 501

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
  • Oct 15

    FINRA Alarm Bells Awaken Sleepwalking Supervisor

    FINRA Alarm Bells Awaken Sleepwalking Supervisor
    Once upon a time, Wall Street's regulators seemed to view so-called "Failure To Supervise" matters as a last resort -- the final arrow in a quiver.  Whether benign neglect or a considered policy, those supervising the industry's…
  • Oct 15

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
    Athena No Goddess Says SEC in HFT SettlementOctober 17, 2014In an effort to cultivate an orderly daily closing, ten minutes before the close at 3:50:00 p.m., NASDAQ releases a Net Order Imbalance Indicator, whi...Read OnCommissioner Piwowar…
  • Oct 8

    Athena No Goddess Says SEC in HFT Settlement

    Athena No Goddess Says SEC in HFT Settlement
    In an effort to cultivate an orderly daily closing, ten minutes before the close at 3:50:00 p.m., NASDAQ releases a Net Order Imbalance Indicator, which is updated every five seconds until the last message at 3:59:55 p.m.  It sounds…
Rank this Week: 906

White Collar Fraud

White Collar Fraud

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

http://whitecollarfraud.blogspot.com/
  • Sep 8

    Nu Skin Inventory Red Flags Remain Even After $50 Million Impairment Charge

    Nu Skin Inventory Red Flags Remain Even After $50 Million Impairment Charge
    On July 22, 2014, I warned investors that Utah-based multi-level marketing company Nu Skin Enterprises' (NYSE: NUS) surging inventory levels might lead it "to recognize a material impairment charge against inventory in a future period." On…
  • Aug 4

    Why Nu Skin Must Come Clean on Troubling Inventory Red Flag

    Why Nu Skin Must Come Clean on Troubling Inventory Red Flag
    Co-authored by Sam E. Antar and Zachary PrenskyThis coming Wednesday morning, Utah based multi-level marketing company Nu Skin Enterprises (NYSE: NUS) is scheduled to report its second quarter earnings. In its Q1 2014 10-Q report issued in…
  • Jul 22

    Do Nu Skin Inventory Red Flags Spell Trouble Ahead?

    Do Nu Skin Inventory Red Flags Spell Trouble Ahead?
    Last Friday morning, a comment posted on Twitter by Marc Cohodes about Nu Skin Enterprises (NYSE: NUS), a Utah based multi-level marketing company, caught my curiosity. Cohodes is a legendary short-seller with an excellent track record and…
Rank this Week: 747

Securities Arbitration Blog

Securities Arbitration Blog

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

http://www.securitiesarbitrations.com
  • Jun 10

    Pittsburgh Area Stockbroker Patricia S. Miller Alleged to Have Stolen Millions from Customer

    Pittsburgh Area Stockbroker Patricia S. Miller Alleged to Have Stolen Millions from Customer
    andnbsp;Hairdressor, Marcy Salandra went to her stockbrokerandrsquo;s office at Investors Capital Corporation in McMurray Pennsylvania to withdraw money to buy a house. andnbsp;However, instead of meeting her broker Patricia S. Miller, she…
  • Apr 18

    Lawyers Tempt Fate Before Second Circuit and No One Likes What They May Get

    Lawyers Tempt Fate Before Second Circuit and No One Likes What They May Get
    Last year, a Connecticut based hedge fund, Turnberry Capital Management LP, filed a FINRA arbitration securities claim against SunTrust Banks, Inc. to recover $13 million it lost in 2007 by investing in mortgage backed securities. However,…
  • Mar 13

    Investment Fraudsters: You have a friend in Pennsylvania

    Investment Fraudsters: You have a friend in Pennsylvania
    What does a big firm commercial defense lawyer, a banker, a healthcare lobbyist, a parking authority commissioner and an Allegheny parks commissioner all have in common? andnbsp; Apparently, they are all friends of Pennsylvania Governor Tom…
Rank this Week: 464

Securities Attorney Law Blog

Securities Attorney Law Blog

Reviews Federal Securities Fraud Litigation, Arbitration, Whistleblower Claims & Derivative Lawsuits. By Jay Eng.

http://securitiesattorneys.us/
Rank this Week: 910

VC Research Network

VC Research Network

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

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

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

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

    Delaware Law as Lingua Franca: Theory and Evidence

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

    The Dynamics of Venture Capital Contract

    The Dynamics of Venture Capital Contract
    (Editor’s Note: This post comes to us from Professors Carsten Bienz and Julia Hirsch).
Rank this Week: 546

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/
  • Dec 29

    Wells Fargo Reaches $591 Million Mortgage Deal with Fannie Mae

    Wells Fargo Reaches $591 Million Mortgage Deal with Fannie Mae
    Wells Fargo & Co. (WFC) has arrived at a $591 million mortgage settlement with Fannie Mae (FNMA). The arrangement resolves claims that the banking institution sold faulty mortgages to the government run-home loan financier and covers…
  • Oct 14

    Barclays to Pay $20M To Settle Libor Manipulation

    Barclays to Pay $20M To Settle Libor Manipulation
    Barclays PLC (BARC) has consented to pay $20 million to settle complaints over the manipulation of the London interbank offered rate benchmark. As part of the accord, the bank will cooperate with a group of Eurodollar-futures traders that…
  • Oct 11

    Credit Suisse, Goldman Sachs, JPMorgan, and 16 Other Banks Agree to Swaps Contract Modifications to Assist Failed Firm

    Credit Suisse, Goldman Sachs, JPMorgan, and 16 Other Banks Agree to Swaps Contract Modifications to Assist Failed Firm
    JPMorgan Chase & Co. (JPM), HSBC Holdings Plc (HSBA), Goldman Sachs Group Inc. (GS), Credit Suisse (CS), and fourteen other big banks have agreed to changes that will be made to swaps contracts. The modifications are designed to assist in…
Rank this Week: 3082

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
  • Oct 20

    Of Dropbox and Data Breaches: Highlighting the need for increased cyber-security at home and in the workplace

    Of Dropbox and Data Breaches: Highlighting the need for increased cyber-security at home and in the workplace
    This guest post is authored by Michael B. Hayes. Hayes’ practice concentrates on commercial litigation, government and corporate investigations. Hayes is frequently called upon by clients and colleagues to provide legal expertise and…
  • Oct 15

    DOJ Policy Shift: No Waiver for Ineffective Assistance of Counsel Claim

    DOJ Policy Shift: No Waiver for Ineffective Assistance of Counsel Claim
    Back in January, we wrote about the challenge facing counsel when the United States Attorney’s Office requires a defendant to waive his or her Sixth Amendment claims of ineffective assistance of counsel as part of any plea deal. Today,…
  • Oct 14

    Supreme Court Denies Review of “Acquitted Conduct” Sentence

    Supreme Court Denies Review of “Acquitted Conduct” Sentence
    A defendant exercises his constitutional right to a jury trial and is proven guilty by a jury of his peers. The jury, confronted with multiple charges against the defendant, weighs the evidence and acquits on all counts, save one for ……
Rank this Week: 2371

The Securities Edge

The Securities Edge

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

http://www.thesecuritiesedge.com/
  • Oct 20

    My inaugural Uptick: How about never? Does never work for you?

    My inaugural Uptick: How about never? Does never work for you?
    Posted By: Robert B. Lamm I have read several reports quoting Mary Jo White, Chair of the SEC, as saying that the remaining Dodd-Frank corporate governance rulemakings will be out by year-end.  Admittedly, the reports aren’t clear…
  • Oct 17

    No more secret identities: Broker-dealers may soon be required to identify beneficial owners of legal entity customer

    No more secret identities: Broker-dealers may soon be required to identify beneficial owners of legal entity customer
    Posted By: Stephanie Quiñones As we blogged about in May, the Bank Secrecy Act (“BSA”), which requires financial institutions in the United States to assist U.S. government agencies to detect and prevent money laundering,…
  • Oct 9

    10 nuggets on corporate governance hot topic

    10 nuggets on corporate governance hot topic
    Posted By: Robert B. Lamm On September 30, Bob Lamm moderated a panel at a “Say-on-Pay Workshop” held during the 11th Annual Executive Compensation Conference in Las Vegas, Nevada.  The Conference is an annual event…
Rank this Week: 1950

Business Blog

Business Blog

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

http://www.businesslawnews.com/
  • Oct 20

    U.S. Supreme Court Adds to Growing Business Docket

    U.S. Supreme Court Adds to Growing Business Docket
    The U.S. Supreme Court may not consider same-sex marriage this term, but it will address a number of important cases impacting the business community. Reuters reports that, at last tally, more than half the 48 cases on the Court’s…
  • Oct 17

    Does the Accredited Investor Definition Need a Makeover?

    Does the Accredited Investor Definition Need a Makeover?
    Does the Accredited Investor Definition Need a Makeover? The definition of “accredited investor” may be headed for some significant changes. The Securities and Exchange Commission’s (SEC) Investor Advisory Committee is the…
  • Oct 16

    The Key to a Successful Start-Up? Practice Makes Perfect

    The Key to a Successful Start-Up? Practice Makes Perfect
    While it may seem that some entrepreneurs are destined to succeed, a new study confirms that hard work and experience play a key role. In fact, researchers found that the most successful entrepreneurs had done it all before. As detailed by…
Rank this Week: 1729

Canadian Securities Law Online

Canadian Securities Law Online

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

http://www.canadiansecuritieslaw.com/
Rank this Week: 4782

Securities Law Blog

Securities Law Blog

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

http://www.securitieslaw-blog.com/
  • Oct 20

    Florida Investment Company VP Sentenced To 14 Years Imprisonment

    Florida Investment Company VP Sentenced To 14 Years Imprisonment
    Louis Gallo, former vice president of Commodities Online LLC, a Florida-based investment company, was sentenced last week to fourteen years imprisonment and ordered to pay nearly $20 million in restitution for his participation in a $21…
  • Oct 17

    Broker Pleads Guilty To $2.4M Fraud

    Broker Pleads Guilty To $2.4M Fraud
    Richard L. Pearson, a broker affiliated with Rothstein Rosenfeldt Adler PA and alleged to have played a role in Scott Rothstein’s $1.2 billion Ponzi scheme, pleaded guilty in Florida federal court to a wire fraud charge, noting that he…
  • Oct 16

    SEC Adopts Securities Arbitration Fraud Intervention Rule

    SEC Adopts Securities Arbitration Fraud Intervention Rule
    The SEC adopted a rule that will allow securities arbitrators to immediately disclose frauds that have the potential to threaten the investing public when they learn of such frauds in the midst of a case. The SEC’s acceptance of the…
Rank this Week: 2747

Subject to Inquiry

Subject to Inquiry

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

http://www.subjecttoinquiry.com/
  • Oct 20

    Taking Aim – the SEC’s Continued Focus on Hedge Fund

    Taking Aim – the SEC’s Continued Focus on Hedge Fund
    “It is difficult to overstate how much the regulatory landscape for hedge fund managers has changed over the past four years.” So said Norm Champ, director of the Securities and Exchange Commission’s Division of Investment…
  • Oct 17

    Update: Supreme Court Declines to Define Instrumentality under FCPA

    Update: Supreme Court Declines to Define Instrumentality under FCPA
    On October 6, 2014, the U.S. Supreme Court denied an August 14, 2014, petition for writ of certiorari by Joel Esquenazi and Carlos Rodriquez, former owners of Terra Communications (Terra). The petition asked the court to define who counts as…
  • Oct 15

    A Harbinger of Things to Come – CFPB Announces First Action for Violations of New Mortgage Servicing Rule

    A Harbinger of Things to Come – CFPB Announces First Action for Violations of New Mortgage Servicing Rule
    In what is certainly an indication of its enforcement priorities as well as a warning to mortgage servicers, the CFPB recently announced its first enforcement action for violations of its Mortgage Servicing Rules, which went into effect last…
Rank this Week: 2214

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/
  • Oct 20

    SEC Commissioner: 13D Reform Unlikely Next Year

    SEC Commissioner: 13D Reform Unlikely Next Year
    Since the SEC Chair typically sets the agenda for the agency, I was a little surprised to see this WSJ blog stating that SEC Commissioner Gallagher said that we shouldn’t expect changes to the 13D window “this year or next.”…
  • Oct 17

    Canadian Shareholder Activism

    Canadian Shareholder Activism
    In this podcast, Amy Freedman of Kingsdale Shareholder Services discusses her firm’s new report on Canadian shareholder activism-related developments & trends, including: – Can you describe the level of proxy contest activity…
  • Oct 15

    Canadian Regulators Keep Early Warning Threshold at 10%

    Canadian Regulators Keep Early Warning Threshold at 10%
    Here’s news from Davies Ward: In an update issued last week, the CSA announced that it will not be lowering Canada’s early warning reporting threshold from 10% ownership to 5% as previously proposed. The CSA had proposed lowering…
Rank this Week: 2868

Securities Mining Law

Securities Mining Law

Covers securities law affecting the mining industry in Canada.

http://www.securitiesmininglaw.com/
  • Oct 17

    Relaunching the Northern Plan

    Relaunching the Northern Plan
    The Northern Plan will focus on the integrated and coherent development of the area covered by the Northern Plan which includes all of Québec located north of the 49th degree of north latitude and north of the St. Lawrence River and…
  • Aug 27

    Mining & Investment Latin America Summit in Peru

    Mining & Investment Latin America Summit in Peru
    Dentons is proud to be a Silver Sponsor of the largest Mining & Investment event in Latin America at the Mining & Investment Latin America Summit October 27-28 2014 in Lima, Peru. Mining & Investment Latin America Summit is the…
  • Jun 2

    Case Bulletin: R v Karigar, 2014 ONSC 3093

    Case Bulletin: R v Karigar, 2014 ONSC 3093
    For the first time in Canada, an individual has been sentenced to jail time for bribing a foreign public official. The three-year penitentiary sentence was handed down by the Ontario Court of Justice under the Corruption of Foreign Public…
Rank this Week: 2627

Startup Law Blog

Startup Law Blog

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

http://www.startuplawblog.com/
  • Oct 17

    SEC Advisory Committee Makes Accredited Investor Recommendation

    SEC Advisory Committee Makes Accredited Investor Recommendation
    Summary SEC Investor Advisory Committee makes recommendations to the SEC regarding “accredited investor” definition and related considerations No specific changes to financial thresholds recommended New “financial…
  • Oct 8

    Crowdfunding! @ Seattle Startup Week

    Crowdfunding! @ Seattle Startup Week
    My team at Davis Wright Tremaine and I are excited and honored to be able to help kick off the first day of Seattle Startup Week 2014 with an intensive meetup about the legal ins-and-outs surrounding Washington State Equity Crowdfunding.…
  • Sep 29

    FAA Grants Limited Exemptions Allowing Hollywood to Film With Drone

    FAA Grants Limited Exemptions Allowing Hollywood to Film With Drone
    By Diana Marina Cooper In a surprising move last week, the Federal Aviation Administration (FAA) granted permission to six Hollywood companies to film using unmanned aerial vehicles (UAVs). The FAA is currently developing rules to integrate…
Rank this Week: 2545

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: 1370

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/
  • Oct 17

    Customer Hit with $80,000 in Respondents' Attorney's Fee

    Customer Hit with $80,000 in Respondents' Attorney's Fee
    It is not often that a public customer is forced to pay a respondent's attorneys fees, but in a recent FINRA arbitration, that is exactly what happened.According to the description in the FINRA arbitration award it appears that a public…
  • Oct 16

    Third Party Bene is Not a Customer for Arbitration Purpose

    Third Party Bene is Not a Customer for Arbitration Purpose
    A FINRA arbitration panel has dismissed a $32 million claim because the claimant was not a customer of the brokerage firms, and did not have an account with the Respondents.The Claimant had alleged that he was an undisclosed third-party…
  • Oct 16

    The Need for Narrow SEC Subpoena

    The Need for Narrow SEC Subpoena
    Two common criticisms of investigations by the Securities and Exchange Commission have been the length of time investigations take and the enormous costs they impose on private parties. The issues raised by those criticisms have grown in…
Rank this Week: 2864

William Carleton, Counselor @ Law

William Carleton, Counselor @ Law

Covers legal and investment issues facing emerging tech companies.

http://www.wac6.com/wac6/
  • Oct 16

    Changing the rules for who is allowed to invest in startup

    Changing the rules for who is allowed to invest in startup
    By now, you've probably heard that the SEC is considering making changes to the accredited investor definition. The definition is important to entrepreneurs, angel investors, and the startups they work on together, because it defines the…
  • Jun 25

    Where I've been

    Where I've been
    Friends, I want to thank you for all the support you've given this blog over the past three or four years. It's been a good run. Two or three years ago, I started blogging every day, and that was the...
  • Jun 18

    The world is not totally fucked up: Exhibit A

    The world is not totally fucked up: Exhibit A
    Here is Exhibit A for the proposition that the world is not, in fact, totally and completely fucked up: sculpture being readied, as we speak, at Jefferson Park in Seattle. What's more, this public art is to be "skateable." I...
Rank this Week: 3326

Cady Bar the Door

Cady Bar the Door

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

http://www.secmiscellany.com
  • Oct 15

    Wrapping up Securities Enforcement Forum 2014

    Wrapping up Securities Enforcement Forum 2014
    I was lucky enough to spend Tuesday at Bruce Carton’s Securities Enforcement Forum 2014.  In three years, it has gone from zero to the preeminent securities enforcement law conference anywhere.  I blogged it hurriedly…
  • Oct 14

    Securities Enforcement Forum 2014 — Current Developments in Trials, Testimony, Wells, APs and Settlement

    Securities Enforcement Forum 2014 — Current Developments in Trials, Testimony, Wells, APs and Settlement
    This is a rough and not verbatim transcript. Phil Khinda at Steptoe & Johnson moderating. Brad Karp at Paul Weiss:  We represented Citi in its case with the SEC.  The model had worked just fine for JPMorgan, but our case landed…
  • Oct 14

    Securities Forum 2014: SEC/FINRA Investigations & Cybersecurity Prioritie

    Securities Forum 2014: SEC/FINRA Investigations & Cybersecurity Prioritie
    This is a rough, not verbatim transcript. Jacob Frenkel at Shulman Rogers moderating: Stephanie Avakian, SEC’s Deputy Director of Enforcement: An array of cases against IAs.  Misrepresentations, undisclosed conflicts and fees.…
Rank this Week: 4344

BD Law Blog

BD Law Blog

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

http://www.bdlawblog.com/
  • Oct 15

    A Milestone, I suppose. 500 posts.

    A Milestone, I suppose. 500 posts.
    I didn't notice it, but when I hit the publish button on the post immediately before this one today, I published the 500th post here on BDLawBlog.com. 500 posts in a little over seven years. I doubt that most of...
  • Oct 15

    FINRA Cautions Firms on Confidentiality Provisions In Settlement Agreements and Arbitration Discovery Stipulation

    FINRA Cautions Firms on Confidentiality Provisions In Settlement Agreements and Arbitration Discovery Stipulation
    FINRA recently issued Regulatory Notice 14-40, cautioning broker-dealer firms (and associated persons) against including overly restrictive confidentiality language in both settlement agreements and in arbitration discovery stipulations.…
  • Oct 8

    PIABA Report: FINRA Arbitrator Pool for Lack of Diversity, Fails to Detect Biase

    PIABA Report: FINRA Arbitrator Pool for Lack of Diversity, Fails to Detect Biase
    In a report and press release issued this week, the Public Investors Arbitration Bar Association (PIABA) issued a report asserting that FINRA's arbitration panel pool lacks diversity and also took issue with the "almost total lack of…
Rank this Week: 1830

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/
  • Oct 15

    The Interrogatory That Does Not Warrant An Objection Based On Privilege

    The Interrogatory That Does Not Warrant An Objection Based On Privilege
    There was enough worth talking about in Judge Bledsoe's opinion in National Financial Partners Corp. v. Ray, 2014 NCBC 49, which I posted about yesterday, to warrant a second post. What I didn't discuss yesterday was the question answered in…
  • Oct 14

    Don't Throw The Kitchen Sink Of Defenses Into Your Answer

    Don't Throw The Kitchen Sink Of Defenses Into Your Answer
    Say you are filing an Answer to a Complaint.  NC Rule of Civil Procedure 8(c)  lists a host of affirmative defenses you might raise.  They are: accord and satisfaction, arbitration and award, assumption of risk, contributory…
  • Oct 14

    One Superior Court Judge Overruling Another?

    One Superior Court Judge Overruling Another?
    You are all familiar with the old adage that "one Superior Court Judge cannot overrule another Superior Court Judge."  But apparently there is at least a little bend in that rule, as illustrated by Judge Bledsoe's opinion this past…
Rank this Week: 1424

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

http://www.seclawyersblog.com/
  • Oct 14

    Sonn|Erez Investigating Claims of Selling Away Involving Houston Broker James "Jeb" Bashaw

    Sonn|Erez Investigating Claims of Selling Away Involving Houston Broker James "Jeb" Bashaw
    Sonn|Erez is investigating claims regarding James "Jeb" Bashaw (CRD #1251491, Houston, Texas). Bashaw was registered with LPL Financial LLC in Houston from November 2001 until his termination in September 2014. Investment News reports that…
  • Oct 13

    UBS Settles Claims with Puerto Rico Regulator

    UBS Settles Claims with Puerto Rico Regulator
    Puerto Rico's Office of the Commissioner of Financial Institutions recently announced a settlement with UBS regarding the offering and sale of Puerto Rico closed-end mutual funds. Under the settlement, UBS will offer $1.7 million restitution…
  • Oct 9

    Sonn|Erez Investigating Excessive Trading Claims Involving Newport Coast Securities, Inc.

    Sonn|Erez Investigating Excessive Trading Claims Involving Newport Coast Securities, Inc.
    Sonn|Erez is investigating claims regarding Newport Coast Securities, Inc. (CRD #16944, New York, New York), Marc Anthony Arena (CRD #2754309, Hicksville, New York), Donald Andrew Bartelt (CRD #1377935, Cave Creek, Arizona), Antonio Costanzo…
Rank this Week: 1192

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Oct 10

    Confirmatory Information

    Confirmatory Information
    In its Halliburton II decision, the Supreme Court held that a securities fraud defendant can overcome the fraud-on-the-market presumption of reliance at the class certification stage of a case “through evidence that the…
  • Oct 3

    Duties to Disclose

    Duties to Disclose
    Item 303 of Regulation S-K requires issuers to disclose known trends or uncertainties “reasonably likely” to have a material effect on operations, capital, and liquidity.  Plaintiffs often contend that if the disclosure…
  • Sep 26

    Standing Alone

    Standing Alone
    Can the announcement of an investigation act as a “corrective disclosure” sufficient to support the existence of loss causation?  Last year, the Eleventh Circuit concluded that investigations do not “in and of…
Rank this Week: 2695

Footnoted

Footnoted

Reports on actionable information in SEC filings.

http://www.footnoted.com/
Rank this Week: 2028

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/
  • Oct 10

    “The Bandits’ Club” gets its due

    “The Bandits’ Club” gets its due
    Our colleagues at Antitrust Law Source posted an interesting update about probable charges alleging that traders at approximately a dozen global banks – including Deutsche Bank, JPMorgan Chase, Barclays, and USB – fixed the…
  • Oct 7

    Supreme Court refuses to review FCPA challenge

    Supreme Court refuses to review FCPA challenge
    By W. Kelly Johnson The U.S. Supreme Court on Monday refused to review the first Foreign Corrupt Practices Act (FCPA) case appealed to the highest Court. The appeal sought to limit the scope of the FCPA by narrowing the law’s definition…
  • Sep 18

    Whistleblowers wanted; Holder seeks increased compensation for financial crime informant

    Whistleblowers wanted; Holder seeks increased compensation for financial crime informant
    By W. Kelly Johnson In the first major public comment about white collar crime in more than a year, the Department of Justice (DOJ) called for an increase in compensation for whistleblowers under the Financial Institutions Reform, Recovery…
Rank this Week: 1629

Sharesleuth.com

Sharesleuth.com

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

http://sharesleuth.com/
  • Oct 7

    Kandi Technologies Group Inc.: The return of the cyber shill

    Kandi Technologies Group Inc.: The return of the cyber shill
    Last June, shares of Kandi Technologies Group Inc. (Nasdaq: KNDI) doubled in the space of a week, spurred on by a mysterious network of social-media touters who later deleted their posts or shut down their accounts…
  • Jun 17

    Telestone Technologies revisited: SEC letters reveal doubts about revenues and receivable

    Telestone Technologies revisited: SEC letters reveal doubts about revenues and receivable
    Recently released letters between the Securities and Exchange Commission and Telestone Technologies Corp. (Pink Sheets: TSTC) show that regulators have significant concerns about the Chinese wireless communication company’s reported…
  • Jun 3

    Guanwei Recycling Corp. and Kandi Technologies Group Inc.: The Rui Wang Connection

    Guanwei Recycling Corp. and Kandi Technologies Group Inc.: The Rui Wang Connection
    A Chinese businessman who figures into a fraud case involving Guanwei Recycling Corp. (Nasdaq: GPRC) also has an intriguing connection to Kandi Technologies Group Inc. (Nasdaq: KNDI), whose shares were allegedly manipulated by the same group.…
Rank this Week: 2865

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • Oct 7

    The Uniform Fiduciary Duty Standard – It Seems Like Déjà vu All Over Again

    The Uniform Fiduciary Duty Standard – It Seems Like Déjà vu All Over Again
    Although it has been many years since Yogi Berra uttered this famous line, it seems like he must have been thinking about the debate regarding the adoption of a uniform fiduciary duty standard.  All kidding aside, one SEC commissioner…
  • Sep 23

    So Who Wants To Hire A Registered Representative

    So Who Wants To Hire A Registered Representative
    If you answered in the affirmative, then you need to be aware of a recent FINRA proposal submitted to the SEC.  The proposal would require member firms to take a harder look when they vet new hires.  About the rule, FINRA said that…
  • Sep 8

    Cyber-Security – What Do Enforcement Actions Tell You

    Cyber-Security – What Do Enforcement Actions Tell You
    In a recent NSCP Currents article, Giselle Casella addressed what every compliance office must know about cyber-security.  One of the more compelling lessons was what can be learned from enforcement actions dealing with…
Rank this Week: 4269

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

http://www.hedgefundlawblog.com
  • Oct 6

    Hedge Fund Events October 2014

    Hedge Fund Events October 2014
    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: October 1, 2014 Sponsor: iGlobal Forum Event: Global REIT Summit 2014 Location: New York, NY…
  • Sep 5

    Hedge Fund Events September 2014

    Hedge Fund Events September 2014
    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: September 8, 2014 Sponsor: NYSSA Event: Russian and Central & Eastern European Capital…
  • Aug 6

    NFA Action Against Firm for Inadequate 1101 Investigation

    NFA Action Against Firm for Inadequate 1101 Investigation
    Doing Business with Non-Members – NFA Action Raises Compliance Questions Under NFA Bylaw 1101, NFA members are restricted from doing business with individuals or entities that should be, but are not, registered with the CFTC and members…
Rank this Week: 4455