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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: 38

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Feb 6

    Investor Recovery Options for Energy Transfer Partners, L.P. (ETP) Losse

    Investor Recovery Options for Energy Transfer Partners, L.P. (ETP) Losse
    The investment attorneys with Gana LLP continue to report on investor related losses in oil and gas and commodities related investments. Investors may have potential legal remedies due to unsuitable recommendations by their broker to invest…
  • Feb 6

    Broker Investigation: Customer Complaints Against McNally Financial Broker Marshall Cassedy

    Broker Investigation: Customer Complaints Against McNally Financial Broker Marshall Cassedy
    The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Marshall Cassedy (Cassedy). According to BrokerCheck records Cassedy is subject to 17…
  • Feb 5

    Investment Investigation: Sales of Adageo Energy Private Placement

    Investment Investigation: Sales of Adageo Energy Private Placement
    The securities lawyers of Gana LLP are investigating potential unsuitable investments and recommendations in a number of oil and gas related ventures including Adageo Energy. According to the company’s website Adageo Energy specializes…
Rank this Week: 81

Financial Counsel

Financial Counsel

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

http://financialcounselblog.com
  • Feb 5

    Former Advisors Indicted in $35 Million Fraud Scheme

    Former Advisors Indicted in $35 Million Fraud Scheme
    From the Desk of Jim Eccleston at Eccleston Law LLC:Angelo Alleca and Mark Morrow were indicted for their alleged involvement in a scheme that defrauded more than 300 investors of $35 million. During the time of the scheme, Alleca was…
  • Feb 4

    Fraud Scheme and Market Manipulation Spans the Country Defrauding 100 Investors of Over $14 million

    Fraud Scheme and Market Manipulation Spans the Country Defrauding 100 Investors of Over $14 million
    From the Desk of Jim Eccleston at Eccleston Law LLC:Edward Durante was released from prison in 2009 after being convicted of conspiracy to commit securities fraud, wire fraud, and money laundering. Disgorgement totaled over $39 million. No…
  • Feb 2

    CFPs Censured for Encounters with FINRA

    CFPs Censured for Encounters with FINRA
    From the Desk of Jim Eccleston at Eccleston Law LLC:The CFP Board has been busy handing out sanctions to almost a dozen advisors who were barred from the industry by FINRA. Among the allegations were “deceptive, fraudulent and…
Rank this Week: 72

New York Securities Lawyer Blog

New York Securities Lawyer Blog

Covers securities law. By Lax & Neville LLP.

http://www.newyorksecuritieslawyerblog.com/
Rank this Week: 66

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 31

    SEC’s Report Evaluates The Definition of An Accredited Investor

    SEC’s Report Evaluates The Definition of An Accredited Investor
    The U.S. Securities and Exchange Commission (SEC) has put out a report assessing the definition of who qualifies as an accredited investor. The 2010 Dodd-Frank Act mandates that this definition be reevaluated every four years. Accredited…
  • Dec 29

    Wells Fargo Sued by Commerz Bank in Mortgage-Backed Securities Case

    Wells Fargo Sued by Commerz Bank in Mortgage-Backed Securities Case
    Commerzbank is suing Wells Fargo (WFC) for losses sustained on failed mortgage-backed securities (MBS). The German finance firm claims the California lending giant did not properly supervise MBS during the housing bubble, which Commerzbank…
  • Jan 31

    Senator Warren Accuses the SEC of Poor Enforcement

    Senator Warren Accuses the SEC of Poor Enforcement
    U.S. Senator Elizabeth Warren has issued a report in which she claims that the U.S. Securities and Exchange Commission and the U.S. Department of Justice have been doing a poor job on enforcement when it comes to going after companies and…
Rank this Week: 179

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/
  • Dec 31

    Puerto Rico Will Make $330M in Bond Payments, Defaults on About $37M

    Puerto Rico Will Make $330M in Bond Payments, Defaults on About $37M
    The U.S. Commonwealth of Puerto Rico will pay about $330 million of what it owes on general obligation bonds, while defaulting on bonds of approximately $37 million that are mostly owed to the Puerto Rico Infrastructure Financing Authority…
  • Dec 26

    Man Released from Prison Faces New Fraud Charges in $11M Investor Stock Scam

    Man Released from Prison Faces New Fraud Charges in $11M Investor Stock Scam
    The Securities and Exchange Commission is charging Edward Durante with bilking investors once again. Durante, who already served a 10-year sentence for a previous securities fraud conviction, is accused of using different aliases to defraud…
  • Jan 29

    Hedge Fund Manager to Repay Investors $2.87M for Losse

    Hedge Fund Manager to Repay Investors $2.87M for Losse
    QED Benchmark Management LLC and its hedge fund manager Peter Kuperman will resolve U.S. Securities and Exchange Commission charges accusing them of misleading investors about the QED Benchmark LP hedge fund’s historical performance and…
Rank this Week: 176

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Feb 5

    Jeffrey Gainer Named in SEC Complaint for Ponzi Scheme

    Jeffrey Gainer Named in SEC Complaint for Ponzi Scheme
    According to the Financial Industry Regulatory Authority (FINRA), former Ohio-based Prime Solutions broker Jeffrey Gainer has been permanently barred from acting as a broker or otherwise associating with firms that sell securities to the…
  • Feb 5

    Nicholas Giallourakis (VSR Financial): Complaint

    Nicholas Giallourakis (VSR Financial): Complaint
    The securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against Florida-based VSR broker/adviser Nicholas Giallourakis (CRD# 4496285). Nicholas Giallourakis has spent 13 years in the securities…
  • Feb 5

    Gregg Templeton (Aegis Corporation) Faces Pending Complaint

    Gregg Templeton (Aegis Corporation) Faces Pending Complaint
    The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding New York-based Aegis Capital broker Gregg Templeton (CRD# 2412775). Gregg Templeton has spent 21 years in the…
Rank this Week: 183

California Corporate & Securities…

California Corporate & Securities Law

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

http://calcorporatelaw.com/
  • Feb 5

    A Failure To Mediate Results In A Failure To Litigate

    A Failure To Mediate Results In A Failure To Litigate
    Mediation is often viewed as less costly alternative to litigation.  Therefore, it is not unusual for parties to include a mediation provision in their contracts, such as the following: The parties agree that any disputes or…
  • Feb 4

    9th Circuit Holds Subsidiary Could Be The General Manager Of Its Parent

    9th Circuit Holds Subsidiary Could Be The General Manager Of Its Parent
    Section 2110 of the California Corporations Code governs service of process on a foreign corporation.  One means of valid service under the statute is by delivering process by hand to the corporation’s general manager in…
  • Feb 3

    What Vote Should Be Required To Pull The Plug On An LLC?

    What Vote Should Be Required To Pull The Plug On An LLC?
    There are three paths to dissolution under California’s Revised Uniform Limited Liability Company Act (RULLCA).  First, an event of dissolution set forth in a written operating agreement or the articles of organization…
Rank this Week: 177

ComplianceAsia News

ComplianceAsia News

Provides information for compliance professionals dealing with issues in financial regulation with a focus on the Asian region.

http://www.compliance.asia/
  • Feb 6

    WSJ report highlights significant concerns about the nature of global AML system

    WSJ report highlights significant concerns about the nature of global AML system
    Finally there is some reporting about the dirty little secret of global AML enforcement - it might not work.  The following was reported in the Wall Street Journal today and we recommend you read the full article: The Morning Risk…
  • Oct 27

    New FATF announcements regarding the progress various countries are making on AML CFT

    New FATF announcements regarding the progress various countries are making on AML CFT
    On Friday the SFC sent around a circular to licensed firms with details of a number of additions to the AML sanctions regime and this included advice from the FATF that some countries were not doing enough to improve their AML CFT…
  • Oct 23

    Mary Jo White sets out her views on the role of compliance

    Mary Jo White sets out her views on the role of compliance
    SEC Chair, Mary Jo White, recently spoke to an industry association in the United States and talked about the importance of the rule of compliance officers.  Here is the speech: Remarks at National Society of Compliance Professionals…
Rank this Week: 136

Recover Investment Losses Blog

Recover Investment Losses Blog

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

http://blog.rexsecuritieslaw.com
Rank this Week: 339

The White Law Group's Securities…

The White Law Group's Securities Fraud Blog

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

http://www.whitesecuritieslaw.com/securities-fraud/blog/
  • Feb 5

    Wall Street V. Main Street Podcast – Episode 13

    Wall Street V. Main Street Podcast – Episode 13
    The following is a transcription of a recent episode of Wall Street vs. Main Street, a radio show hosted by the firm’s managing partner D. Daxton White. To listen to the episode, visit WallStreetVMainStreet.com. In this episode, Mr.…
  • Feb 4

    Recovery of Penneco Investment Losse

    Recovery of Penneco Investment Losse
    Have you suffered losses in an Penneco investment program? If so, The White Law Group may be able to help you recover some of your losses through a FINRA dispute resolution claim against the brokerage firm that recommended the investment.…
  • Feb 4

    Recovery of Waveland Investment Losse

    Recovery of Waveland Investment Losse
    Have you suffered losses in an Waveland investment program? If so, The White Law Group may be able to help you recover some of your losses through a FINRA dispute resolution claim against the brokerage firm that recommended the investment.…
Rank this Week: 348

Broke and Broker

Broke and Broker

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

http://brokeandbroker.com/index.php
  • Feb 3

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
    FINRA Statement Of Corrective Action Defamation Lawsuit Slams Brokerage FirmAttendant to entering into an Acceptance, Waiver and Consent ("AWC") regulatory settlement with the Financial Industry Regulatory Authority ("FINRA"), respondents are…
  • Feb 1

    FINRA Statement of Corrective Action Defamation Lawsuit Slams Brokerage Firm

    FINRA Statement of Corrective Action Defamation Lawsuit Slams Brokerage Firm
    Attendant to entering into an Acceptance, Waiver and Consent ("AWC") regulatory settlement with the Financial Industry Regulatory Authority ("FINRA"), respondents are permitted to attach to the formal AWC settlement agreement…
  • Jan 26

    Morgan Stanley Hit With Punitive Damages In Customers Arbitration

    Morgan Stanley Hit With Punitive Damages In Customers Arbitration
    Three public customers sued FINRA member firm Morgan Stanley Smith Barney for $1.28 million in damages. After arguing their case before a FINRA Arbitration Panel, the customers emerged victorious. The arbitrators not only…
Rank this Week: 270

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • Jan 31

    Two German Cities in Winter

    Two German Cities in Winter
    The D&O Diary is on assignment in Germany this week, with the first stop for a meeting and a short visit in the Free and Hanseatic City of Hamburg – “Free,” as a free Imperial city under the Holy Roman Empire, and…
  • Jan 26

    Delaware Chancellor Rejects Disclosure-Only Settlement, Signals What’s Next for Merger Objection Suit

    Delaware Chancellor Rejects Disclosure-Only Settlement, Signals What’s Next for Merger Objection Suit
    In a January 22, 2016 Delaware Court of Chancery decision that likely will prove to be significant because of the light it sheds on the future of disclosure-only settlements in merger objection lawsuits in Delaware, Chancellor Andre Bouchard…
  • Jan 26

    The Game of Name

    The Game of Name
    Long-time readers know that I am a huge fan of European soccer. When I have the time, there is just about nothing else that I would rather do than watch a match in one of the top leagues. Part of the reason I enjoy it so much is that the…
Rank this Week: 309

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
  • Jan 28

    Breaking Bad, the Junk Bond Edition

    Breaking Bad, the Junk Bond Edition
    Junk bonds, better known as high-yeild debt have seen much better days and strategists say that investors may be focusing too much on the role energy has played in the decline while underestimating other risks. According to Matthew Mish,…
  • Jan 24

    SEC Releases Examination Priorities for 2016

    SEC Releases Examination Priorities for 2016
    Released by the Office of Compliance Inspections and Examinations of the Securities and Exchange Commission, Examination Priorities for 2016. The post SEC Releases Examination Priorities for 2016 appeared first on Maddox Hargett & Caruso.
  • Jan 19

    Goldman Sachs to Pay $5B To End MBS Probe

    Goldman Sachs to Pay $5B To End MBS Probe
    CEO Lloyd Blankfien of Goldman Sachs plans on paying $5.06B to end federal and state investigations of its underwriting and sale of mortgage-backed securities from 2005 to 2007. The investment banking giant will pay $2.3B in civil penalties,…
Rank this Week: 312

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/
  • Jan 21

    Higher Filing Thresholds for HSR Act Premerger Notifications and Interlocking Directorates Announced

    Higher Filing Thresholds for HSR Act Premerger Notifications and Interlocking Directorates Announced
    1. Higher Thresholds For HSR Filings On January 21, 2016, the Federal Trade Commission announced revised, higher thresholds for premerger filings under the Hart-Scott-Rodino Antitrust Improvements Act of 1976. The filing thresholds are…
  • Jan 14

    What You Need to Know About Mergers and Acquisitions Involving Government Contractors and Their Supplier

    What You Need to Know About Mergers and Acquisitions Involving Government Contractors and Their Supplier
    Volume 1 – The Structure of the Deal and Government Consent With today’s posting, we begin a ten-part series on unique issues that arise in connection with the acquisition or disposition of a company that performs government…
  • Dec 21

    FAST Act Speeds-Up Raising Capital

    FAST Act Speeds-Up Raising Capital
    On December 4, 2015, President Obama signed into law the Fixing America’s Surface Transportation Act, or FAST Act. Although primarily a transportation bill, the FAST Act also made changes to the federal securities laws as described…
Rank this Week: 234

Wall Street Investment Fraud…

Wall Street Investment Fraud Lawyer Blog

Covers Ponzi schemes, investment fraud, and other scams. By The Doss Firm.

http://www.wallstreetinvestmentfraudlawyer.com/
  • Jan 11

    SEC Accuses VGTel Owner and Investment Advisers with Securities Fraud

    SEC Accuses VGTel Owner and Investment Advisers with Securities Fraud
    On December 15, 2015, the Securities and Exchange Commission commenced an action in federal district court in the Southern District of New York against Edward Durante for fraud in the sale of millions of dollars of VGTel stock to numerous of…
  • Nov 2

    State Securities Regulators Propose Model Act to Protect Vulnerable Adults from Financial Exploitation

    State Securities Regulators Propose Model Act to Protect Vulnerable Adults from Financial Exploitation
    On September 29, 2015, the North American Securities Administrators Association (NASAA) released for public comment a proposed model to help broker-dealers, investment firms, and employees to better recognize if a senior or other vulnerable…
  • Oct 14

    Florida Invest Adviser Charged with Defrauding Georgia Client

    Florida Invest Adviser Charged with Defrauding Georgia Client
    Fraud is always a danger in the world of investment advisers. In a recent example of this, the Securities and Exchange Commission announced fraud charges against Arthur F. Jacob, age 56, and his firm, Innovative Business Solutions LLC…
Rank this Week: 389

Stock Broker Attorney Blog

Stock Broker Attorney Blog

Covers current investigations, opinions and industry news relating to securities arbitration, investment fraud, stockbroker or brokerage firm misconduct. By Levin Papantonio Thomas Mitchell Rafferty & Proctor, P.A.

http://www.stockbrokerattorney.com/blog
  • Jan 7

    Man Sentence to 18-Months for Investment Scam

    Man Sentence to 18-Months for Investment Scam
    In Scottsdale, J'Sean Claude Butierries pleaded guilty to defrauding investors out of hundreds of thousands of dollars. He allegedly used the ill-gotten gains to buy himself luxury items like a $195,000 Audi and cosmetic surgery for his wife…
  • Jan 5

    SEC Charges Unlicensed Man with Scamming Investor

    SEC Charges Unlicensed Man with Scamming Investor
    Vinay Kumar Nevatia, of Palo Alto, has been charged by the U.S. Securities and Exchange Commission for allegedly reselling almost $900,000 stock shares of an off-shore company, CSS Technologies (Mauritius) Limited, already owned by eight…
  • Jan 1

    Broker Barred from Practice for Stealing from Elderly

    Broker Barred from Practice for Stealing from Elderly
    Jeffrey McClure, a former employee of Wells Fargo Advisors and an affiliated bank in California, was recently barred from the securities industry after stealing almost $89,000 from an elderly customer. Between December 2012 and August 2014,…
Rank this Week: 263

Page Perry LLC Blog

Page Perry LLC Blog

Covers securities broker abuses, early retirement scams, elder abuses, subprime mortages, collateralized debt obligations, and annuities.

http://www.pageperry.com/blog/
  • Jul 16

    CYNK Latest Wall Street Trap?

    CYNK Latest Wall Street Trap?
    Cynk is a social network company that has no revenue, no assets, and no profits. Until last week, it was the hottest stock on Wall Street, according to a Business Insider report by Hunter Walker and Julia La Roche (July 14, 2014).  Its…
  • Jul 14

    Former LPL Broker Jason Parker Leaves Trail Of Complaint

    Former LPL Broker Jason Parker Leaves Trail Of Complaint
    By law, a broker has to recommend suitable investments. To be considered suitable, an investment should align with the client’s investment objectives. Dumping all client funds into a single foreign stock, despite the client’s low…
  • Jun 13

    Pension Advisers Fall Under Scrutiny

    Pension Advisers Fall Under Scrutiny
    The problem of conflicts of interest for pension advisers attracted Congressional attention, according to a Wall Street Journal article by Dan Fitzpatrick  (June 9, 2014).  U.S. Representative George Miller (D., Calif.) has written…
Rank this Week: 213

Dividends and Preferences

Dividends and Preferences

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

http://www.dividendsandpreferences.com/
  • Jan 24

    Microsoft/Skype -- Putting Things into Perspective

    Microsoft/Skype -- Putting Things into Perspective
    {EAV:984c4a016f17013d} Microsoft acquires Skype! Largest Microsoft acquisition ever!! Facebook jilted!!! Google jilted!!!! Wait, Facebook wins through Microsoft!!!!! Wait, Microsoft overpaid by $4 billion with a B!!!!!! OMG Google just…
  • May 10

    Nerd Chic

    Nerd Chic
    Lately, I've noticed a new twist to the typical ebb and flow of the fashion wars.  It occurred to me that, for perhaps the first time in my lifetime, it is cool right now to be a nerd.
  • Apr 25

    Out and About

    Out and About
    Hey folks -- I'm getting ready to head down to the RTP area for the annual CED Venture Conference.  This year it is in downtown Raleigh, instead of Pinehurst, and looks to be bigger and better than ever. So, if anyone happens to be in the…
Rank this Week: 266

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: 226

Securities Lawyer 101

Securities Lawyer 101

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

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

    Going Public Blog l Securities Lawyer 101

    Going Public Blog l Securities Lawyer 101
    Going Public 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…
  • Jan 1

    Going Public Blog l Securities Lawyer 101

    Going Public Blog l Securities Lawyer 101
      Securities Lawyer 101 Blog Going public is a big step for any company.  The process of “going public” is complex and at times precarious.  While going public offers many benefits it also comes with risks and…
Rank this Week: 2423

New York Securities Lawyers Blog

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

http://www.newyorksecuritieslawyersblog.com/
  • Feb 5

    Investor Recovery Options for United Development Funding Investor

    Investor Recovery Options for United Development Funding Investor
    United Development Funding (“UDF”) has come under fire in recent months – being accused of operating like a “Ponzi scheme.”  It has allegedly disclosed that since April 2014, it has been under SEC…
  • Feb 5

    SEC Announces 2016 Priorities that Involve Securities Industry Participant

    SEC Announces 2016 Priorities that Involve Securities Industry Participant
    The sad truth is that the Government loves the easy kill.  It is often easier for regulators to extract settlements and punishments against smaller market participants, including brokers, traders and analysts, than the giant wire houses,…
  • Feb 5

    Broker Transition: The Upfront Bonus/Forgivable Note

    Broker Transition: The Upfront Bonus/Forgivable Note
    Thinking about leaving your broker-dealer?  Looking to make the transition to a new firm? It has been reported recently that brokers from Credit Suisse, Deutsche Bank and potentially Merrill Lynch are being heavily recruited to leave and…
Rank this Week: 3095

Securities Law Blog

Securities Law Blog

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

http://seclaw.blogspot.com/
  • Feb 5

    SEC Charges Company Executive With Insider Trading

    SEC Charges Company Executive With Insider Trading
    The Securities and Exchange Commission today charged an executive at Stamford, Conn.-based electronics company Harman International Industries with insider trading in the company’s stock.The SEC alleges that Dennis Wayne Hamilton made…
  • Feb 5

    Federal Court Says You Can Waive FINRA Arbitration

    Federal Court Says You Can Waive FINRA Arbitration
    Firms can force employees to waive FINRA rules and arbitrate before a private arbitrator.We have held in several cases that an SRO's arbitration provisions are default rules which may be overridden by more specific contractual terms. See,…
  • Feb 4

    SEC: Miami Firm Broke Anti-Money Laundering Protocol

    SEC: Miami Firm Broke Anti-Money Laundering Protocol
    The Securities and Exchange Commission today announced that a Miami-based brokerage firm agreed to pay a $1 million penalty to settle charges that it violated anti-money laundering rules by allowing foreign entities to buy and sell securities…
Rank this Week: 2081

Securities Law Attorneys Blog

Securities Law Attorneys Blog

Covers securities law. By Fitapelli | Kurta.

http://www.securitieslawattorneys.net/
  • Feb 5

    Bob Hardcastle Named in Four Complaint

    Bob Hardcastle Named in Four Complaint
    The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Missouri-based VSR broker/adviser Bob Hardcastle (CRD# 1101791). Mr. Hardcaslt has spent 29 years in the…
  • Feb 5

    Stephen Densing (Merrill Lynch) Has Complaint

    Stephen Densing (Merrill Lynch) Has Complaint
    According FINRA( the Financial Industry Regulatory Authority), former Florida-based Merrill Lynch broker Stephen Densing, Sr. is currently not licensed to act as a broker or an investment adviser. The securities and investment fraud law firm…
  • Feb 5

    Drew Johnson (Sagepoint Financial): Broker Spotlight

    Drew Johnson (Sagepoint Financial): Broker Spotlight
    The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Minnesota-based Sagepoint Financial broker Drew Johnson (CRD# 2449525). Drew Johnson has spent 21 years in…
Rank this Week: 1760

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Feb 5

    SEC Should Require Gender Pay Discrepancy Disclosure, Adviser Say

    SEC Should Require Gender Pay Discrepancy Disclosure, Adviser Say
    By John Filar AtwoodPay equity is an indicator of a well-managed, well-governed company, according to investment adviser Pax Ellevate Management, which has asked the SEC to require public companies to disclose gender pay ratios every year. If…
  • Feb 4

    SEC Study: NYSE Trading Suspension Resulted in Migration to Other Exchange

    SEC Study: NYSE Trading Suspension Resulted in Migration to Other Exchange
    By Amanda Maine, J.D.The SEC issued a research paper analyzing the movement of trading following the NYSE’s suspension of trading for over three hours in July 2015. The paper was published on the SEC’s equity market structure…
  • Feb 3

    House Passes Bill to Expand Accredited Investor Definition

    House Passes Bill to Expand Accredited Investor Definition
    By Mark S. Nelson, J.D.The House has once again begun a new year by moving forward on a few securities bills, including one that would broaden the definition of accredited investor. Two other bills that add to the SEC’s responsibilities…
Rank this Week: 2085

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

http://www.seclawyersblog.com/
  • Feb 5

    Sonn|Erez Investigating Claims Related to Babson Capital Global Short Duration High Yield Fund (NYSE: BGH)

    Sonn|Erez Investigating Claims Related to Babson Capital Global Short Duration High Yield Fund (NYSE: BGH)
    Sonn|Erez is investigating investment losses related to Babson Capital Global Short Duration High Yield Fund (NYSE: BGH), a closed end short duration high yield bond fund managed by Babson Capital Management, LLC. The Fund “seeks to…
  • Jan 21

    Price Declines Prompt Mandatory Redemption of Two UBS Leveraged ETNS

    Price Declines Prompt Mandatory Redemption of Two UBS Leveraged ETNS
    Shares of UBS' ETRACS 2x Monthly Leveraged S&P MLP Index ETN (MLPV) and ETRACS 2x Monthly Leveraged Long Alerian MLP Infrastructure ETN (MLPL) will be "mandatorily redeemed," and investors will receive payment of an "acceleration amount"…
  • Jan 20

    Master Limited Partnerships Cut, Suspend Dividends to Improve Liquidity

    Master Limited Partnerships Cut, Suspend Dividends to Improve Liquidity
    Sonn|Erez is investigating claims related to master limited partnerships ("MLPs") such as Kinder Morgan, Inc. (KMI), Southcross Energy Partners LP (SXE), Atlas Resource Partners LP (ARP), and Breitburn Energy Partners LP (BBEP). A master…
Rank this Week: 3243

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Feb 5

    More Congressional Action Coming for the Securities Laws?

    More Congressional Action Coming for the Securities Laws?
    The ink is barely dry from the FAST Act – which had been tucked into a transportation bill and the mashup of numerous bills that had been floated in the US House of Representatives last year – than the House passes three more…
  • Feb 4

    Is Warren Buffett Writing Governance Best Practices?

    Is Warren Buffett Writing Governance Best Practices?
    This Cooley blog recaps this letter from BlackRock’s CEO to 500 companies about being wary of short-termism (as noted in this Davis Polk blog, the letter also urges companies to scrap quarterly earnings guidance). And here’s an…
  • Feb 3

    Crowdfunding: SEC Approves FINRA’s Portal Rules (& 1st Portal Files With the SEC)

    Crowdfunding: SEC Approves FINRA’s Portal Rules (& 1st Portal Files With the SEC)
    As Steven Quinlivan notes in this blog, the first crowdfunding portal has filed to be registered with the SEC – and as noted in this MoFo blog, the SEC recently approved FINRA’s funding portal rules that were subject to technical…
Rank this Week: 2087

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/
  • Feb 4

    When Money Buys Stress, not Happine

    When Money Buys Stress, not Happine
    Many people work their entire lives to accumulate a nest egg of savings for retirement.   Others find financial success mid-career.  Either way, accumulating money can be surprising in one respect:  wealth often leads to…
  • Feb 1

    The Big Short: What is Short Selling Anyway?

    The Big Short: What is Short Selling Anyway?
     The recent release of the movie-version of the best-selling book, The Big Short, reminds us of the risky bets that some investors take when they anticipate the stock market, a particular industry, or a certain stock will decline in…
  • Jan 20

    Top Priorities for Securities Regulators in 2016

    Top Priorities for Securities Regulators in 2016
    The Financial Industry Regulatory Authority (FINRA) recently released its annual list of regulation and examination priorities for 2016.  As usual, there are many recurring themes from previous years’ lists, with a few new items…
Rank this Week: 4909

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: 3923

DealLawyers.com Blog

DealLawyers.com Blog

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

http://www.deallawyers.com/Blog/
  • Feb 4

    Activist Activity: Three Perspective

    Activist Activity: Three Perspective
    On the heels of the NACD’s annual survey of more than 1,000 directors, which found that more than 20% of respondents’ boards were approached by activist investors during the past year – yet 46% of those surveyed have no plan…
  • Feb 3

    Tackling Cybersecurity in the Boardroom: Special M&A Consideration

    Tackling Cybersecurity in the Boardroom: Special M&A Consideration
    Here’s an excerpt from this Akin Gump blog: Companies are at increased risk during the time of an acquisition: – They may not be fully investing in updates and system upgrades. – Data shows an average of 200+ days for…
  • Feb 2

    Webcast: “Activist Profiles & Playbooks”

    Webcast: “Activist Profiles & Playbooks”
    Tune in tomorrow for the webcast – “Activist Profiles and Playbooks” – to hear Bruce Goldfarb of Okapi Partners, Damien Park of Hedge Fund Solutions and Renee Soto of Sard Verbinnen identify who the activists are…
Rank this Week: 2083

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • Feb 3

    Are regulations regarding elder investors inevitable

    Are regulations regarding elder investors inevitable
    With the exception of those of you who have literally been asleep for the last few years, you are well-versed in the attention FINRA and the SEC are giving to issues surrounding elder investors. Among other things, there is a real focus on…
  • Feb 2

    Why system passwords are not as easy as 123

    Why system passwords are not as easy as 123
    As we all know, cybersecurity remains a top priority for the SEC and FINRA. Unfortunately, a recent Investment News article would suggest that firms do not take it as seriously, or, at least, firm employees do not. A recent study of passwords…
  • Jan 26

    SEC Exam Priorities; It Seems Like Deja Vu All Over Again

    SEC Exam Priorities; It Seems Like Deja Vu All Over Again
    Those famous words of the immortal Yogi Berra hold true when it comes to the SEC exam priorities for 2016. Among those at the top of the list are two familiar friends; protecting retail investors and investors saving for retirement. It is…
Rank this Week: 3535

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/
  • Feb 3

    A Couple Of Things Not To Do In The NC Business Court

    A Couple Of Things Not To Do In The NC Business Court
    The NC Business Court's decision last month in Krawiec v. Manly, 2016 NCBC 7, illustrates a couple of things not to do in the Court. Don't Make "Aiding and Abetting" Claims The Plaintiff made a claim against some of the Defendants for aiding…
  • Jan 18

    Arbitration Provision Which Completely Prohibited Any Discovery Enforced By NC Business court.

    Arbitration Provision Which Completely Prohibited Any Discovery Enforced By NC Business court.
    I don't draft arbitration provisions in agreements, but if I did I would not draft one like the one in Taggart v. Physicians Pharmacy Alliance, Inc.  Not because it turned out to be unenforceable, but because it was found to be…
  • Jan 12

    NC Business Court Revokes Pro Hac Vice Admission Of Out Of State Lawyer

    NC Business Court Revokes Pro Hac Vice Admission Of Out Of State Lawyer
    Judge McGuire came down pretty hard on a Florida attorney admitted pro hac vice (meaning "for this one particular occasion") by another Superior Court Judge, in McCarthy v. Hampton, 2016NCBC 4.  He revoked the lawyer's admission and…
Rank this Week: 1242

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/
  • Feb 3

    The Freedom of Little Joe Cartwright: Tax Crime, Edgar Allan Poe, Noir Film and Lacrosse

    The Freedom of Little Joe Cartwright: Tax Crime, Edgar Allan Poe, Noir Film and Lacrosse
    Notes for the week. Prosecuting Individuals Federal criminal tax lawyer Jack Townsend blogs at Federal Tax Crimes.  Here is his note on Prosecuting Corporate Employees, particularly in the tax context: I have previously blogged on…
  • Dec 24

    White (Collar) Christmas: Gin, Crime, Theology and the Rat Pack

    White (Collar) Christmas: Gin, Crime, Theology and the Rat Pack
      The hour is upon us, so herewith a few Christmas items. Cocktails Here from the archives is a recipe (via Garden & Gun magazine) for Milk Punch for Christmas Morning and a new recipe for An Old Old-Fashioned   . From…
  • Dec 12

    Why You Need More Email

    Why You Need More Email
    Actually, that’s not true.  You don’t need more email; rather, you need better email. Other than a missive alerting you to a sale on gin at your local booze-provider, what constitutes “better” email”?…
Rank this Week: 1517

Tim O'Connor's Blog

Tim O'Connor's Blog

Covers stockbroker fraud.

http://stockbrokerlaw.com/tim-oconnors-blog
  • Feb 2

    Best Execution Failure by Two Brokers Results in SEC Bar

    Best Execution Failure by Two Brokers Results in SEC Bar
    Their press release dated October 28, 2015 the SEC disclosed the bar of two brokers involved with favoring certain customers in certain securities purchase transactions while also garnering extra commissions for their firm in the process. As…
  • Jan 26

    FINRA Registered Stockbrokers and Representatives, Investment Advisor Representatives, or Both?

    FINRA Registered Stockbrokers and Representatives, Investment Advisor Representatives, or Both?
    Recent statistics of the Financial Industry Regulatory Authority (FINRA) indicates that there are over 637,000 individual registered representative associated person stockbrokers in the United States employed by over 4,000 FINRA broker dealer…
  • Jan 19

    FINRA Issues Investor Alert Warning of Fraudster Phone Scam

    FINRA Issues Investor Alert Warning of Fraudster Phone Scam
    On November 5, 2015 the Financial Industry Regulatory Authority issued an investor alert entitled “Tools of the Fraud Trade: Phones and Emotions” warning investors’ prevalence commonly emergent phone scam wherein fraudsters…
Rank this Week: 2750

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: 3216

The Securities Edge

The Securities Edge

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

http://www.thesecuritiesedge.com/
  • Feb 2

    Corporate venture capital investments – Good for startups?

    Corporate venture capital investments – Good for startups?
    Posted By: Robert C. White Jr. Corporate venture capital has quickly developed into a major funding source for startup companies. This type of startup funding is available to some innovative startups and early stage companies, and the dollars…
  • Jan 4

    My top 10 for 2015

    My top 10 for 2015
    Posted By: Robert B. Lamm This time I’m not writing about disclosure or governance. Rather, I’m posting my annual list of my 10 favorite books. For those of you who haven’t seen these lists before, (1) I apologize if this…
  • Jan 4

    They’re back…

    They’re back…
    Posted By: Robert B. Lamm Those of you who’ve been following my postings know that I’m not a fan of Congressional interference in the workings of the SEC. Well, those same wonderful folks who’ve garnered the lowest opinion…
Rank this Week: 3375

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/
  • Jan 29

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: Weiling Chou, Note, Restoring Integrity in American Businesses: A Broad Interpretation of the Foreign Corrupt Practices Act, 60 Wayne L.…
  • Jan 29

    Candadian Crowdfunding Exemption

    Candadian Crowdfunding Exemption
    The securities regulatory authorities in Manitoba, Ontario, Québec, New Brunswick and Nova Scotia have adopted in final form Multilateral Instrument 45-108, which governs crowdfunding in those jurisdictions. The Canadian Securities…
  • Jan 29

    This Week in Securities Litigation

    This Week in Securities Litigation
    The SEC Actions Blog has compiled This Week In Securities Litigation (Week ending January 29, 2016).
Rank this Week: 976

Amato Law Firm, LLC Blog

Amato Law Firm, LLC Blog

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

http://www.ramatolaw.com/blog1
  • Jan 29

    New Pricing Rule for Non-Traded REITs Will Impact Independent Broker-Dealers and Their Customer

    New Pricing Rule for Non-Traded REITs Will Impact Independent Broker-Dealers and Their Customer
    At long last, FINRA’s revisions to Rules 2340 and 2310 (originally proposed in 2014) have been approved by the SEC and will go into effect on April 11, 2016.  In short, the purpose of the new rules is to provide increased…
  • Jun 16

    Ronald Amato Quoted in IA Watch Article Regarding Broker U5 Issue

    Ronald Amato Quoted in IA Watch Article Regarding Broker U5 Issue
    Attorney Ron Amato recently was quoted in an article appearing in IA Watch entitled “Vindicated Rep Offers Warning that U5 System Can Punish Whistleblowers.”   The article relates to a Form U5 defamation case, brought in…
  • Jun 8

    FINRA Re-examines Need for Broker Recruiting Bonus Disclosure

    FINRA Re-examines Need for Broker Recruiting Bonus Disclosure
    Months after shelving a financial advisor “bonus” disclosure rule that it previously had filed with the SEC, FINRA has proposed a revised bonus disclosure rule that emphasizes educating investors about questions potentially to ask…
Rank this Week: 2316

Business Blog

Business Blog

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

http://www.businesslawnews.com/
  • Jan 29

    Surviving the Hard Sell: The Pros and Cons of Timeshare Ownership

    Surviving the Hard Sell: The Pros and Cons of Timeshare Ownership
    What are the pros and cons of timeshare ownership? Is it worth it? After taking a dive during the recession, time share sales are heating up again. With more money available for leisure, many Americans are considering the benefits of a…
  • Jan 19

    FTC to Rely on Existing Laws to Police Corporate Use of Big Data

    FTC to Rely on Existing Laws to Police Corporate Use of Big Data
    FTC to Rely on Existing Laws to Police Corporate Use of Big Data The Federal Trade Commission (FTC) recently issued a report outlining a number of legal concerns for businesses to consider regarding their use of big data analytics –…
  • Jan 18

    Corporate Use of Big Data is Growing, But are the Laws that Police them?

    Corporate Use of Big Data is Growing, But are the Laws that Police them?
    The Federal Trade Commission (FTC) recently issued a report outlining a number of legal concerns for businesses to consider regarding the corporate use of big data analytics – namely, the process of collecting, organizing, and analyzing…
Rank this Week: 3695

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/
  • Jan 28

    Delaware Courts continue scrutiny of “disclosure only” settlements in M&A litigation

    Delaware Courts continue scrutiny of “disclosure only” settlements in M&A litigation
    On Jan. 22, 2016, the Delaware Court of Chancery released its opinion in In re Trulia Stockholder Litigation in which it rejected a “disclosure only” settlement of a shareholders’ suit challenging an M&A transaction.…
  • Jan 22

    Supreme Court to review insider trading case

    Supreme Court to review insider trading case
    The Supreme Court has agreed to consider something that lies at the center of nearly every insider trading case: what prosecutors need to prove an insider trading conviction. This case aims to determine exactly what benefits corporate…
  • Jan 6

    Article sheds light on practice of private equity

    Article sheds light on practice of private equity
    Andrew Ross Sorkin wrote an interesting article in Tuesday’s New York Times regarding the practice of private equity firms designating the legal counsel to be used by its lenders in a leveraged buyout financing. In other words, the…
Rank this Week: 1280

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • Jan 27

    FINRA's BrokerCheck Posting Terminations More Quickly, but Firms Still have 30 days to Report

    FINRA's BrokerCheck Posting Terminations More Quickly, but Firms Still have 30 days to Report
    FINRA's RegulatoryNotice 15-39 is getting a little blog time, but sadly some law firms writing about it seem to misunderstand not only the Notice itself, but also the implications of the changes that have been implemented.  FINRA Rule…
  • Jan 7

    SEC Continues to Crack Down on EB-5 Fraud

    SEC Continues to Crack Down on EB-5 Fraud
    Late last year, investors who claimed the $8.5 million frozen by the Securities and Exchange Commission (SEC) was rightfully theirs were denied access to the money by a federal judge. U.S. District Judge Joan Lenard ruled that management of…
  • Jan 7

    DID YOU JUST BUY OR SELL AN UNREGISTERED SECURITY?

    DID YOU JUST BUY OR SELL AN UNREGISTERED SECURITY?
    Generally speaking, if an investment is a security it either needs to be registered or exempt from registration. And yet it is far too commonplace to read headlines about enforcement actions related to the sale of unregistered securities, or…
Rank this Week: 4277

Subject to Inquiry

Subject to Inquiry

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

http://www.subjecttoinquiry.com/
Rank this Week: 1485

Stock Market Loss

Stock Market Loss

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

http://www.stockmarketloss.com/news/
  • Jan 26

    Coin Flipping Beats Wall Street Strategist

    Coin Flipping Beats Wall Street Strategist
    This article was originally posted on Stock Market Loss Economists have suggested for years that while stockbrokers and brokerage firms will occasionally outperform the market, those instances are pretty much a product of random chance. Over…
  • Jan 25

    Thomas Buck Wrongdoing Exceeds Settlement

    Thomas Buck Wrongdoing Exceeds Settlement
    This article was originally posted on Stock Market Loss Former Merrill Lynch broker Thomas J. Buck has been named in several complaints, already costing the company over $4.1 million in settlements. Many of the complaints allege that Mr. Buck…
  • Jan 25

    FINRA’s Arbitration and Expungement Changes Not Enough

    FINRA’s Arbitration and Expungement Changes Not Enough
    This article was originally posted on Stock Market Loss A report from a FINRA task force recommends 51 changes to the arbitration process. Among these changes is increasing the stipend for arbitrators, explanation of arbitration decisions…
Rank this Week: 3322

Cady Bar the Door

Cady Bar the Door

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

http://www.secmiscellany.com
  • Jan 25

    The Insider Trading Cartoon Series, Vol. V — Misappropriation Theory

    The Insider Trading Cartoon Series, Vol. V — Misappropriation Theory
    We’ve spent a few episodes talking about insider trading when the trader owes a fiduciary duty to the company whose securities are being traded.  But what if the trader isn’t connected to the company? Enter the…
  • Dec 18

    Martin Shkreli, Criminal Forfeiture, and the Wu-Tang Clan

    Martin Shkreli, Criminal Forfeiture, and the Wu-Tang Clan
    The S&P Schadenfreude Index hit an all-time high yesterday when Martin Shkreli was arrested and indicted for securities fraud related to a hedge fund he used to run.  The SEC sued him, too.  Here’s how the Justice…
  • Dec 9

    The Insider Trading Cartoon Series, Vol. IV — Rank-and-File Employee

    The Insider Trading Cartoon Series, Vol. IV — Rank-and-File Employee
    Having covered corporate officers and temporary insiders, we now turn briefly to regular employees, still under the classical theory of insider trading liability. The post The Insider Trading Cartoon Series, Vol. IV — Rank-and-File…
Rank this Week: 3742

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Jan 25

    Not Enough Studying

    Not Enough Studying
    Yelp is an online networking platform that hosts user-generated reviews of local businesses.  In a recent securities class action (Curry v. Yelp, Inc., 2015 WL 7454137 (N.D. Cal. Nov. 24, 2015)), the court considered claims that Yelp…
  • Dec 4

    Omnicare’s Scope

    Omnicare’s Scope
    In its Omnicare decision issued earlier this year, the U.S. Supreme Court held that opinions presented in registration statements can be subject to liability under Section 11 of the Securities Act of 1933 if either (a) the…
  • Oct 30

    Innocent Third Partie

    Innocent Third Partie
    The scienter (i.e., fraudulent intent) of an officer who makes a false or misleading statement can be imputed to the company based on the law of agency, but that rule potentially is subject to an…
Rank this Week: 2079