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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: 32

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
  • Jul 25

    Law Firm Found Responsible for Ponzi Scheme Fraud

    Law Firm Found Responsible for Ponzi Scheme Fraud
    From the Desk of Jim Eccleston at Eccleston Law LLC:In recent news, Allen Stanford was convicted for his role as the leader of a$7 billion Ponzi scheme. For much of the proceedings, it appeared as if the investors in this enormous Ponzi…
  • Jul 22

    Two Toledo Advisors Barred For Fee Disclosure Failure

    Two Toledo Advisors Barred For Fee Disclosure Failure
    From the Desk of Jim Eccleston at Eccleston Law LLC:According to a recent settlement with FINRA, Gary Lee Rathbun and Douglas Scott Miller failed to disclose “monitoring fees” regarding the sale of investments to both their…
  • Jul 21

    Clever Independent Brokerage Firm Seeks to Circumvent Law and Hit Transitioning Reps Hard

    Clever Independent Brokerage Firm Seeks to Circumvent Law and Hit Transitioning Reps Hard
    From the Desk of Jim Eccleston at Eccleston Law LLC:We recently examined a promissory note agreement for a rep considering a move to an independent brokerage firm.  We noted the following trap for the unwary broker, and are issuing this…
Rank this Week: 84

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/
  • Jul 22

    Investor Alert: former Wells Fargo advisor Bradley Smegal

    Investor Alert: former Wells Fargo advisor Bradley Smegal
    According to reports, fired Wells Fargo investment adviser Bradley Smegal is facing federal securities fraud charges for allegedly stealing more than $5 million from clients. Authorities purportedly allege that from…
  • Jul 20

    Possible huge step forward for investors.

    Possible huge step forward for investors.
    It is being reported that FINRA’s board of governors is privately debating the creation of a relief fund for unpaid arbitration awards. Such a fund, which has been pushed for by PIABA (the Public Investors Arbitration Bar Association,…
  • Jul 19

    Jonothon Lieberman barred from securities industry.

    Jonothon Lieberman barred from securities industry.
    According to FINRA, Jonothon Michael Lieberman (CRD #2237428, Woodbury, New York) recently submitted an AWC in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Lieberman…
Rank this Week: 86

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…
  • Jul 27

    Bondholders Sue Puerto Rico As Debt Talks Falter

    Bondholders Sue Puerto Rico As Debt Talks Falter
    A group of hedge funds in New York that invested in Puerto Rico general obligation bonds are suing the island’s government. The bond lawsuit came just days before the island is expected to default on a $2 billion debt payment due,…
Rank this Week: 293

New York Securities Lawyers Blog

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

http://www.newyorksecuritieslawyersblog.com/
  • Jul 25

    BROKER REPORT: Anthony Manougian

    BROKER REPORT: Anthony Manougian
    The investment and securities fraud attorneys at Malecki Law are interested in hearing from investors who have complaints regarding Oppenheimer & Co. financial advisor Anthony Manougian. According to his BrokerCheck report maintained by…
  • Jul 22

    BROKER REPORT: Financial Advisor Barry D. Abram

    BROKER REPORT: Financial Advisor Barry D. Abram
    The securities fraud attorneys at Malecki Law are interested in hearing from investors who have complaints against stockbroker Barry D. Abrams.  Mr. Abrams is currently employed and registered with Ameriprise Financial Services, Inc.,…
  • Jul 22

    Jenice L. Malecki to Address the Securities Experts Roundtable This Weekend

    Jenice L. Malecki to Address the Securities Experts Roundtable This Weekend
    Securities Experts Roundtable (SER) is hosting its 24th Annual Conference and Membership Meeting on July 22 and July 23 at a private and exclusive destination, The Union League Club. Ms. Malecki will participate in two of their panels…
Rank this Week: 226

Securities Law Attorneys Blog

Securities Law Attorneys Blog

Covers securities law. By Fitapelli | Kurta.

http://www.securitieslawattorneys.net/
  • Jul 25

    Brian Weese Has Misrepresentation Complaint

    Brian Weese Has Misrepresentation Complaint
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 18, 2016 indicate that Utah-based Wells Fargo Advisors broker/adviser Brian Weese has received numerous resolved or pending customer…
  • Jul 25

    Carmine Capone Sanctioned and Fined by FINRA

    Carmine Capone Sanctioned and Fined by FINRA
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 18, 2016 indicate that Florida-based GMS Group broker Carmine Capone has been sanctioned by FINRA. The securities and investment fraud law firm…
  • Jul 25

    Broker Spotlight: Howard Lee (Morgan Stanley)

    Broker Spotlight: Howard Lee (Morgan Stanley)
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 17, 2016 indicate that California-based Morgan Stanley broker/adviser Howard Lee is the subject of pending customer complaints. The securities…
Rank this Week: 134

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/
  • Jul 25

    LAN Airlines Settles FCPA Charge

    LAN Airlines Settles FCPA Charge
    The Securities and Exchange Commission today announced that South American-based LAN Airlines has agreed to pay more than $22 million to settle parallel civil and criminal cases related to improper payments it authorized during a dispute…
  • Jul 22

    Vincente L. Martinez, Chief of Office of Market Intelligence, to Leave SEC

    Vincente L. Martinez, Chief of Office of Market Intelligence, to Leave SEC
    The Securities and Exchange Commission today announced that Vincente L. Martinez, Chief of the SEC’s Office of Market Intelligence is planning to leave the agency in early August.Mr. Martinez began working in the SEC’s Enforcement…
  • Jul 22

    Deputy Chief Accountant Brian T. Croteau to Leave SEC

    Deputy Chief Accountant Brian T. Croteau to Leave SEC
    The Securities and Exchange Commission today announced that Brian T. Croteau, Deputy Chief Accountant, is planning to leave the agency.Since he was appointed Deputy Chief Accountant in 2010, Mr. Croteau has managed the activities of the…
Rank this Week: 240

Business Blog

Business Blog

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

http://www.businesslawnews.com/
  • Jul 21

    Are Intrastate Crowdfunding Laws Still Relevant?

    Are Intrastate Crowdfunding Laws Still Relevant?
    While everyone was waiting for the Securities and Exchange Commission (SEC) to finalize its equity crowdfunding rules, many states took matters into their own hands. Now that the federal regulations are finally in place, it remains unclear…
  • Jul 19

    SEC Proposes New BCP Rule for Investment Adviser

    SEC Proposes New BCP Rule for Investment Adviser
    The Securities and Exchange Commission (SEC) recently proposed a rule that would require registered investment advisers to adopt or amend their current business continuity and transition plans (BCP). Under the proposed BCP rule, the plans…
  • Jul 7

    New Report Raises Questions About Ad Agency Contract

    New Report Raises Questions About Ad Agency Contract
    Business owners: Now is the time to review your ad agency contracts New York and New Jersey businesses may want to review their existing ad agency contracts. A new report raises questions about whether agencies are recommending media…
Rank this Week: 160

Securities Law Prof Blog

Securities Law Prof Blog

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

http://lawprofessors.typepad.com/securities/
  • Apr 28

    Call for Papers AALS Section on Securities Regulation - 2017 AALS Annual Meeting

    Call for Papers AALS Section on Securities Regulation - 2017 AALS Annual Meeting
    The AALS Section on Securities Regulation invites papers for its program on “Securities Regulation and Technological Change” at the 2017 AALS annual meeting. TOPIC DESCRIPTION: This panel discussion will explore the intersection of…
  • Apr 28

    Save the Date: Central States Law Schools Scholarship Conference

    Save the Date: Central States Law Schools Scholarship Conference
    The Central States Law Schools Association 2016 Scholarship Conference will be held on Friday, September 23 and Saturday, September 24 at the University of North Dakota School of Law in Grand Forks, ND. CSLSA is an organization of law…
  • Apr 28

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: Ivet A. Bell, Note, The Constitutionality of the SEC Pay to Play Rule: Why 206(4)-5 Survives the Deregulatory Trend in Campaign Finance, 49…
Rank this Week: 326

Sharesleuth.com

Sharesleuth.com

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

http://sharesleuth.com/
  • Nov 22

    SEC expands fraud case to include Lenco Mobile, subject of a prior Sharesleuth investigation

    SEC expands fraud case to include Lenco Mobile, subject of a prior Sharesleuth investigation
    The Securities and Exchange Commission has quietly expanded its fraud case against financier Izak Zirk De Maison, adding seven more people as codefendants and identifying five more stocks he used in his schemes. According to the SEC’s…
  • Feb 4

    Trick Play: Memorabilia company peddled Patriots, Seahawks gear with forged player autograph

    Trick Play: Memorabilia company peddled Patriots, Seahawks gear with forged player autograph
      Just days after the Seattle Seahawks and New England Patriots claimed their spots in Super Bowl XLIX, a memorabilia company called The Highland Mint contacted customers with a tantalizing list of autographed collectibles. Highland…
  • Dec 31

    Kandi Technologies Group Inc.: Where are the Go-Karts?

    Kandi Technologies Group Inc.: Where are the Go-Karts?
    When the global economy collapsed in the fall of 2008, the sharp drop in consumer spending threw the power sports industry into a steep decline. Sales of motorcycles, go-karts and all-terrain vehicles each plunged by 30 percent or more,…
Rank this Week: 237

Securities Lawyer 101

Securities Lawyer 101

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

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

    Going Public Blog l Securities Lawyer 101

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

    Going Public Blog l Securities Lawyer 101

    Going Public Blog l Securities Lawyer 101
      Securities Lawyer 101 Blog Going public is a big step for any company.  The process of “going public” is complex and at times precarious.  While going public offers many benefits it also comes with risks and…
  • Jul 25

    Thomas and Stuart Conrad Charged With Securities Fraud

    Thomas and Stuart Conrad Charged With Securities Fraud
    Going Public LawyerOn Friday, July 15, 2016, the Securities and Exchange Commission (“SEC”) charged two residents of Alpharetta, Georgia, Thomas Conrad, Jr. and his son, Stuart Conrad, and their two unregistered advisory firms,…
Rank this Week: 2387

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…
  • Jul 21

    Following Securities Fraud Allegations, Visium Asset Management and Alliance Bernstein Reach Preliminary Sales Deal

    Following Securities Fraud Allegations, Visium Asset Management and Alliance Bernstein Reach Preliminary Sales Deal
    Visium Asset Management has arrived at a preliminary sales deal with AllianceBernstein Holding LLP (AB). As part of the agreement, the asset manager will sell the Visium Global Fund, which was its remaining hedge fund. It was just recently…
Rank this Week: 4665

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: 1933

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • Jul 25

    D&O Insurance: Prior and Pending Litigation Provisions Do Not Undercut Interrelated Claims Provision

    D&O Insurance: Prior and Pending Litigation Provisions Do Not Undercut Interrelated Claims Provision
    In a June 6, 2016 opinion (here), Middle District of Florida Judge Sheri Polster Chappell, applying Florida law, held that subsequent claims filed in 2011 and 2012 were interrelated with claims first made in 2008, and therefore deemed made at…
  • Jul 24

    Securities Regulators Around the World Adopt Whistleblower Reporting Program

    Securities Regulators Around the World Adopt Whistleblower Reporting Program
    One of the Dodd-Frank Act’s signature features was its creation of potentially massive bounties for whistleblowers that reported financial fraud to the SEC. During the time that the Dodd-Frank whistleblower program has been in place,…
  • Jul 24

    A Local Perspective on the Republican National Convention

    A Local Perspective on the Republican National Convention
    As most of you undoubtedly are aware, the Republican Party held its National Convention last week in Cleveland, Ohio, The D&O Diary’s home town. In light of this special event right in our own backyard, we deputized a special events…
Rank this Week: 1214

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Jul 25

    Clyde Jones Has Pending and Settled Complaint

    Clyde Jones Has Pending and Settled Complaint
    Public records provided by the Financial Industry Regulatory Authority (FINRA) on July 18, 2016 indicate that Oklahoma-based Titan Securities broker/adviser Clyde Jones has been the subject of numerous resolved or pending customer complaints.…
  • Jul 25

    Richard Hveem Has Two Regulatory Sanction

    Richard Hveem Has Two Regulatory Sanction
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 18, 2016 indicate that New Jersey-based Hennion & Walsh broker/adviser Richard Hveem has received numerous resolved or pending customer…
  • Jul 25

    Samuel Koltun (RBC) Received Regulatory Sanction

    Samuel Koltun (RBC) Received Regulatory Sanction
    Public records published by the Financial Industry Regulatory Authority (FINRA) on July 18, 2016 indicate that Florida-based RBC broker/adviser Samuel Koltun has received numerous resolved or pending customer disputes. The securities and…
Rank this Week: 2501

The Securities Edge

The Securities Edge

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

http://www.thesecuritiesedge.com/
  • Jul 25

    Top Five Considerations in a Challenging IPO Market

    Top Five Considerations in a Challenging IPO Market
    Posted By: Robert B. Lamm This posting is a reprint of an article, co-authored by Bob Lamm and David Scileppi, that appeared in the Daily Business Review on July 15, 2016.     Recent months have been difficult for the initial…
  • Jul 22

    SEC issues guidance on Securities Act Rule 701in context of merger

    SEC issues guidance on Securities Act Rule 701in context of merger
    Posted By: Stephanie Quiñones The SEC’s Division of Corporation Finance recently issued new Compliance and Disclosure Interpretations (“C&DIs”) for Securities Act Rule 701 which clarify application of the Rule in…
  • Jul 20

    To 13G or not to 13G

    To 13G or not to 13G
    Posted By: Robert B. Lamm On July 14, the SEC Staff published a new Compliance and Disclosure Interpretation clarifying when an investor who may not be entirely passive may nonetheless remain eligible to file a beneficial ownership report on…
Rank this Week: 3367

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: 1498

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Jul 25

    SIFMA urges principles, priorities for SEC’s disclosure reform

    SIFMA urges principles, priorities for SEC’s disclosure reform
    By Mark S. Nelson, J.D.The Securities Industry and Financial Markets Association said it wants the SEC to focus its efforts to reform Regulation S-K on the development of principles-based rules, the primacy of materiality, and to avoid…
  • Jul 22

    Derek Jeter's undies endorsement flummoxes chancery court

    Derek Jeter's undies endorsement flummoxes chancery court
    By Anne Sherry, J.D.A governance-based endorsement deal between Derek Jeter and sports-underwear maker RevolutionWear soured, prompting the Delaware Court of Chancery to warn about "the mixing of roles in a corporate-governance setting." The…
  • Jul 21

    In absence of scienter, Crocs auditor walks away

    In absence of scienter, Crocs auditor walks away
    By Rodney F. Tonkovic, J.D.A Tenth Circuit panel has affirmed a district court judgment giving the boot to a complaint against the auditor for Crocs, Inc. The complaint, which the district court dismissed for failure to state a claim, alleged…
Rank this Week: 2048

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/
  • Jul 25

    How Many Companies Are Being Targeted By Hedge Fund Activists?

    How Many Companies Are Being Targeted By Hedge Fund Activists?
    Here’s an excerpt from this PwC memo on hedge fund activism: Neither size nor status is a defense. Nearly 1,300 unique companies were activated against from 2010 to 2015. In 2015 alone, 343 public US companies were targets; 113 have…
  • Jul 21

    Spinoffs: IRS Changes Course With “Active Trade or Business Requirement” Proposal

    Spinoffs: IRS Changes Course With “Active Trade or Business Requirement” Proposal
    Here’s news via this summary of this memo (also see these memos in our “Spinoffs” Practice Area): On July 14, 2016, the IRS and Treasury Department released proposed regulations regarding tax-free spinoffs by a parent…
  • Jul 20

    Halo’s Enhanced Patent Infringement Damages Bring Enhanced M&A Risk

    Halo’s Enhanced Patent Infringement Damages Bring Enhanced M&A Risk
    Here’s the intro from this Cleary Gottlieb blog: In a recent ruling (Halo Elecs., Inc. v. Pulse Electronics, Inc. and Stryker Corp. v. Zimmer, Inc.), the US Supreme Court adopted a relaxed and more plaintiff-friendly standard for…
Rank this Week: 2050

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Jul 25

    Lynn Turner: The State of Auditing

    Lynn Turner: The State of Auditing
    As part of my “Big Legal Minds” podcast series – check out this one-hour podcast, during which Lynn Turner describes his diverse – and fascinating – career, as well as offers his perspectives on the state of…
  • Jul 22

    The High-Level “Commonsense Corporate Governance Principles”

    The High-Level “Commonsense Corporate Governance Principles”
    The effort by 13 prominent business leaders – including Warren Buffett & Jamie Dimon – and large institutional investors to draw up a set of “Commonsense Corporate Governance Principles” is complete. Not an easy…
  • Jul 21

    More on “Congress Being Congress: What Does “Defunding” a Rule Even Mean?”

    More on “Congress Being Congress: What Does “Defunding” a Rule Even Mean?”
    Recently, I blogged about how it wasn’t clear what Congress would mean if it passed a budget bill that wouldn’t allow the SEC to conduct rulemaking or enforce certain rules. I indicated that the SEC hasn’t been faced with…
Rank this Week: 2100

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/
  • Jul 25

    When A Share Rescission Is Not A Distribution

    When A Share Rescission Is Not A Distribution
    Section 166 of the California Corporations Code defines “distribution to its shareholders”.  Knowing what constitutes a distribution to shareholders is important because Chapter 5 of the General Corporation Law imposes…
  • Jul 22

    Nevada Supreme Court Refuses To “Blue Pencil” Unreasonable Non-Compete

    Nevada Supreme Court Refuses To “Blue Pencil” Unreasonable Non-Compete
    Nevada, unlike California, applies a reasonableness test to non-compete agreements.  Although the Nevada courts haven’t identified a specific heuristic to be followed, a covenant not to compete will be found to…
  • Jul 21

    In The DBO’s World, Money, Money, Money Transmitter

    In The DBO’s World, Money, Money, Money Transmitter
    Many may not realize that the Money Transmitter Division of the California Department of Business Oversight licenses and regulates money transmitters.  Money transmitters include issuers of payment instruments (money orders),…
Rank this Week: 4441

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
Rank this Week: 1558

New York Securities Lawyer Blog

New York Securities Lawyer Blog

Covers securities law. By Lax & Neville LLP.

http://www.newyorksecuritieslawyerblog.com/
Rank this Week: 1702

Corporate Securities Law Blog

Corporate Securities Law Blog

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

http://www.corporatesecuritieslawblog.com/
Rank this Week: 1178

Tim O'Connor's Blog

Tim O'Connor's Blog

Covers stockbroker fraud.

http://stockbrokerlaw.com/tim-oconnors-blog
  • Jul 19

    SEC Updates Investment Advisor Public Disclosure Website

    SEC Updates Investment Advisor Public Disclosure Website
    The Securities and Exchange decision has updated its Investment Advisor Public Disclosure webpage, affording investors easy access to the disciplinary histories of registered investment advisors and individual investment advisor…
  • Jul 12

    FINRA Resource for Brokers With Form U4 and U5 Question

    FINRA Resource for Brokers With Form U4 and U5 Question
    The Financial Industry Regulatory Authority (FINRA) maintains a comprehensive archive of frequently asked questions regarding a registered person’s reporting obligations with respect to mandated Forms U4 and U5. Many brokers have been…
  • Jul 6

    Timothy J. O’Connor Featured on Benchmark

    Timothy J. O’Connor Featured on Benchmark
    On February 16, 2016 Timothy J. O’Connor was featured on Benchmark Television in an interview on the topic of Financial Fraud having been interviewed by Colonie Town Judge Peter Crummey. In the interview Mr. O’Connor answered a…
Rank this Week: 2764

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/
  • Jul 19

    Will It Be Enough?: SEC Amends Rules to Look More Like Federal Court

    Will It Be Enough?: SEC Amends Rules to Look More Like Federal Court
    In a move that will make Securities and Exchange Commission administrative proceedings look more like civil litigation in federal court, on July 13, 2016, the SEC announced that it had adopted amendments to its rules of practice.  These…
  • Jul 15

    Shareholder Derivative Suit Following Data Breach Misses Target

    Shareholder Derivative Suit Following Data Breach Misses Target
    On July 7, 2016, Judge Paul A. Magnuson of the United States District Court for the District of Minnesota granted Defendants’ Motions to Dismiss a shareholder class action that had been initiated following a 2013 holiday season data…
  • Jul 7

    Equity Trust Notches a Rare Defense Win in SEC Administrative Proceeding

    Equity Trust Notches a Rare Defense Win in SEC Administrative Proceeding
    On June 27, 2016, SEC Administrative Law Judge Carol Fox Foelak dismissed the Division of Enforcement’s charges against IRA custodian Equity Trust Company in connection with the company’s processing of investments marketed by two…
Rank this Week: 3175

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • Jul 19

    84 Year Old Takes on Edward Jones for Unauthorized Trading

    84 Year Old Takes on Edward Jones for Unauthorized Trading
    An elderly St. Louis man has filed a FINRA arbitration claim against Edward Jones and one of its financial advisers. The elderly client alleges that the financial adviser over-rode his objections to liquidating over a thousand shares of…
  • Jul 8

    Broker-Dealers Using Compliance as a WMD

    Broker-Dealers Using Compliance as a WMD
    There seems to be a new trend in town: broker-dealers unleashing compliance or “reputation managers” upon rich-target independent branch operators.  Perhaps it isn’t really that new of a trend.  Indeed, after…
  • Jun 22

    Ignore At Your Own Peril: “Training Fees” Provisions in Financial Industry Employment Contract

    Ignore At Your Own Peril: “Training Fees” Provisions in Financial Industry Employment Contract
                It has long been the practice of many broker-dealers, wire houses, and other financial firms to put provisions in employee contracts allowing them to recover so-called “training fees”…
Rank this Week: 4291

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
  • Jul 19

    Wells Fargo Customer Wins $181,000 For Failure to Cash Out

    Wells Fargo Customer Wins $181,000 For Failure to Cash Out
    BrokeAndBroker.com Blog publisher Bill Singer doesn't like today's reported FINRA Arbitration Decision involving a customer complaint. First, it's unclear whether the customer claims alleged misconduct that should have resulted in any…
  • Jul 18

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
    Feds Unfriend Facebook Fraud FleecersOne of the things that I remember about early 2012 was the number of calls that I was getting asking my legal opinion about any number of deals whereby some group or individual purportedly had purchased…
  • Jul 15

    Feds Unfriend Facebook Fraud Fleecer

    Feds Unfriend Facebook Fraud Fleecer
    One of the things that I remember about early 2012 was the number of calls that I was getting asking my legal opinion about any number of deals whereby some group or individual purportedly had purchased thousands of shares before the…
Rank this Week: 3574

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
  • Jul 18

    Prosecutorial Discretion under the CFAA Gets More Discretionary: US v. Nosal

    Prosecutorial Discretion under the CFAA Gets More Discretionary: US v. Nosal
    This guest post was authored by our colleague Jeremy D. Mishkin, partner and co-chair of the Litigation Department of Montgomery McCracken.  The Computer Fraud and Abuse Act, 18 U.S.C. § 1030 (“CFAA”), has become…
  • Jun 29

    VW Clears the Air with $14.7B Emissions Settlement

    VW Clears the Air with $14.7B Emissions Settlement
    This guest post was authored by Mara Smith, a summer associate with Montgomery McCracken. This Tuesday, Volkswagen agreed to pay the largest auto-related class action settlement in U.S. history, totaling $14.7 billion. The settlement was…
  • Jun 24

    Yuengling to Settle Up on Expensive Tab after Feds Discover Excessive Suds Byproducts in Water

    Yuengling to Settle Up on Expensive Tab after Feds Discover Excessive Suds Byproducts in Water
    Someone at local D.G. Yuengling and Son, Inc. could probably go for a cold one right now, as settlement negotiations with the U.S. Environmental Protection Agency (“USEPA”) have finally come to a head.   In a consent…
Rank this Week: 1583

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/
  • Jul 15

    To pay or not to pay: whistleblower programs launch in Ontario and Quebec

    To pay or not to pay: whistleblower programs launch in Ontario and Quebec
    Julien Robitaille-Rodriguez and Laura Levine - Whistleblower programs aimed at encouraging individuals to report securities related misconduct that occurs in Ontario and Quebec have been launched by the Ontario Securities Commission (the OSC)…
  • Jul 15

    New exempt market disclosure obligations - impact on investment fund

    New exempt market disclosure obligations - impact on investment fund
    Anne Ramsay and Laura Levine - The new harmonized Form 45-106F1 Report of Exempt Distribution (the New Report) that came into effect on June 30, 2016 imposes new disclosure obligations, including specific requirements applicable only to…
  • Jul 14

    Custody requirements and EMD permitted activities targeted in proposed amendments to NI 31-103

    Custody requirements and EMD permitted activities targeted in proposed amendments to NI 31-103
    The Canadian Securities Administrators (CSA) have proposed amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (NI 31-103) in respect of custody arrangements for certain registered…
Rank this Week: 3921

Stock Market Loss

Stock Market Loss

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

http://www.stockmarketloss.com/news/
  • Jul 14

    Using Common Sense Can Keep You Safe From a Ponzi Scheme

    Using Common Sense Can Keep You Safe From a Ponzi Scheme
    This article was originally posted on Stock Market Loss Put as simply as possible, a Ponzi scheme is an investment fraud in which funds contributed by new investors are used to pay purported “returns” or “profits” to…
  • Jun 29

    FINRA’s New Changes Don’t Address Transparency Issue

    FINRA’s New Changes Don’t Address Transparency Issue
    This article was originally posted on Stock Market Loss Although FINFA received 51 recommendations from a task force designed to improve the arbitration process, it recently announced only a few modest changes to the system. The number of…
  • Jun 29

    Hugh Berkson Calls for More Rules on Nontraded REIT

    Hugh Berkson Calls for More Rules on Nontraded REIT
    This article was originally posted on Stock Market Loss New FINRA rules regarding nontraded REITs have some advisors crying off this investment. The rule requires advisers to report the actual value of those investments – less…
Rank this Week: 3324

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • Jul 12

    The SEC Now Has A Lead Cybersecurity Senior Adviser; Now What

    The SEC Now Has A Lead Cybersecurity Senior Adviser; Now What
    The SEC recently created a new position associated with cybersecurity; senior adviser to the chair for cybersecurity (Christopher R. Hetner). Mr. Hetner has an extensive background in information technology and, in particular, cybersecurity.…
  • Jul 5

    Elder abuse takes another twist and turn

    Elder abuse takes another twist and turn
    If you thought the SEC and FINRA were serious about elder issues, welcome to the Alabama, Indiana and Vermont. Each has focused on elder abuse issues. These states will have mandatory reporting to state officials in instances involving the…
  • Jun 27

    So what’s your firm’s culture

    So what’s your firm’s culture
    If you cannot answer this question, you may have an issue when you have your next FINRA exam. After all, firm culture is a FINRA exam priority. Does your firm have a culture of compliance? This question only leads to another; what is a…
Rank this Week: 3735

Strictly Business

Strictly Business

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

http://www.strictlybusinesslawblog.com/
  • Jul 12

    The Pros and Cons of Taking Venture Capital Money

    The Pros and Cons of Taking Venture Capital Money
    In many ways, the dilemma of deciding whether to take venture capital money from an interested VC firm can be filed under “Good Problems to Have.” The majority of startups never get to this point, either failing outright, or, even…
  • Jun 14

    5 Questions to Answer As You Prepare Your Startup for a Seed or Angel Round

    5 Questions to Answer As You Prepare Your Startup for a Seed or Angel Round
    Last month I wrote about the four stages of startup capital – (1) seed rounds, (2) angel rounds, (3) venture rounds, and (4) bridge/pre-ipo stage rounds. This month we’ll take a look at what startups need to do to prepare…
  • May 16

    Title III Crowdfunding Is Here

    Title III Crowdfunding Is Here
    Title III crowdfunding is here! The first funding portals can begin operations today, May 16, 2016. On Friday, I was a guest on the “This Week in Law” Podcast, where I talked about the impact this will have on startups, technology…
Rank this Week: 2716

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/
  • Jul 8

    Broker Obligations When Selling Municipal Bond

    Broker Obligations When Selling Municipal Bond
    Many brokers and customers mistakenly believe that municipal bonds are always a “safe” place to be.  The recent debacle in Puerto Rico proves this is not the case. The law imposes special obligations upon brokers who sell…
  • Jun 30

    ABLE Plans: Helping Families of Kids With Special Needs Save for the Future

    ABLE Plans: Helping Families of Kids With Special Needs Save for the Future
    Starting July 1, Florida families with children who have special needs will have another option available to help them save for the future costs of caring for their loved one.  Florida’s ABLE United Program is one of four such…
  • Jun 23

    How to Make Sense of Your Monthly Account Statement

    How to Make Sense of Your Monthly Account Statement
    Brokerage account statements can be lengthy and complicated.  Having a basic idea of what you are looking at, however, can help you spot mistakes, unauthorized activity, and even fraud. Here are the key types of information generally…
Rank this Week: 4985

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Jul 6

    Scienter Samba

    Scienter Samba
    The Sixth Circuit continues to be a source of interesting opinions regarding corporate scienter.  In 2014, the court held in its Omnicare decision that only a limited set of corporate officers (including officers who had either…
  • May 25

    Shaky Ground

    Shaky Ground
    In Halliburton II, the U.S. Supreme Court held that defendants can rebut the fraud-on-the-market presumption of reliance at the class certification stage with evidence of a lack of stock price impact.  In a typical case, where the…
  • Apr 25

    Tell Me Something New

    Tell Me Something New
    Plaintiffs often establish the existence of loss causation by pointing to a “corrective disclosure” that allegedly revealed the fraud and led to a stock price decline. What a disclosure must contain to be deemed…
Rank this Week: 2073

Representing Investors

Representing Investors

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

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

    Merrill Lynch Market-Linked Notes: Investor Beware?

    Merrill Lynch Market-Linked Notes: Investor Beware?
    Merrill Lynch underwrites, manages and markets the sale of Market-Linked Notes issued by its parent company, Bank of America Corporation, and numerous other unaffiliated banks. Market-Linked Notes were purportedly recommended by Merrill Lynch…
  • Jun 22

    SEC Places Merrill Lynch in its Crosshairs over Sales of Structured Note

    SEC Places Merrill Lynch in its Crosshairs over Sales of Structured Note
    A recent article in The Wall Street Journal (“SEC Readies Case Against Merrill Lynch Over Notes That Lost 95%”) stated that the Securities and Exchange Commission is preparing a civil enforcement case against Merrill Lynch over a…
  • Jun 9

    Oppenheimer & Co. – Widespread Culture of Corruption?

    Oppenheimer & Co. – Widespread Culture of Corruption?
    Oppenheimer & Co., one of the most sanctioned and criticized brokerage firms on Wall Street, has been once again the subject of a massive regulatory fine (“FINRA Sanctions Oppenheimer & Co. $2.9 Million for Unsuitable Sales of…
Rank this Week: 3854

May Law, PC Blog

May Law, PC Blog

Covers investment law, securities laws the requirements of the Financial Industry Regulatory Authority (FINRA).

http://www.maylawpc.net/category/blog/
  • Jun 23

    FINRA Takes a Closer Look at Variable Annuity Sale

    FINRA Takes a Closer Look at Variable Annuity Sale
    The things we spend our money on tend to change as we get older. There’s a good chance you have a lot more money in your pocket…
  • Jun 2

    Who is May Law?

    Who is May Law?
    Press play on the video below for an inside look into what sets May Law apart from other firms and why Andrew May feels so passionately about…
  • May 20

    The Evolution of Insider Trading

    The Evolution of Insider Trading
    In the world of finance, one of the most malleable legal terms is “insider trading.” It may seem obvious to financial experts, but many don’t fully appreciate…
Rank this Week: 2290

Cady Bar the Door

Cady Bar the Door

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

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

    Supreme Court Says Prosecutors Can’t Judge the Cases They Prosecute

    Supreme Court Says Prosecutors Can’t Judge the Cases They Prosecute
    Not all of the justices would put it that way.  To be fair to the dissenters, and because his version is shorter, we’ll use Justice Thomas’s description of the underlying facts from his dissent in Williams v. Pennsylvania,…
  • Jun 13

    Don’t even think about violating that penny stock bar.

    Don’t even think about violating that penny stock bar.
    The penny stock world can be rough. So rough that breaking the rules in that corner of the securities markets ban bring its own kind of injunction, one that’s much more specific than the typical don’t-break-the-law-anymore kind of…
  • May 25

    The Insider Trading Cartoon Series, Vol. IX — Tender Offer

    The Insider Trading Cartoon Series, Vol. IX — Tender Offer
    I want to talk about Rule 14e-3, because it has significant implications for insider trading liability.  But to do that, we first have to talk about tender offers, and what they are.     The post The Insider Trading Cartoon…
Rank this Week: 3721

Securities Mining Law

Securities Mining Law

Covers securities law affecting the mining industry in Canada.

http://www.securitiesmininglaw.com/
  • Jun 9

    Compliance alert: Mine Financial Security, Reclamation and Closure Policy by Yukon Government

    Compliance alert: Mine Financial Security, Reclamation and Closure Policy by Yukon Government
    The Yukon Territorial Government has published a “Yukon Quartz Mine Financial Security, Reclamation and Closure Policy,” dated February 2016 (Policy). The Policy is intended to cover all lands in Yukon, whether Category…
  • May 20

    Insolvency and energy insights: The Redwater decision

    Insolvency and energy insights: The Redwater decision
    An Alberta court has held that provisions of the Bankruptcy and Insolvency Act allowing a trustee or receiver to disclaim real property without assuming environmental  liabilities in relation thereto renders inoperable provincial…
  • Apr 14

    Canadian Securities Administrators amend take-over bid rule

    Canadian Securities Administrators amend take-over bid rule
    Effective May 9, 2016, the Canadian Securities Administrators will implement new take-over bid rules that will introduce significant changes to bid mechanics, including lengthier minimum deposit periods.  For a description of the…
Rank this Week: 3429

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/
  • May 20

    SEC forces Mickelson to return $1 million from insider trading

    SEC forces Mickelson to return $1 million from insider trading
    PGA golfer Phil Mickelson agreed to forfeit almost $1 million that the Securities and Exchange Commission (SEC) said was obtained through insider trading. Mickelson was named as a “relief defendant” in a criminal case, filed in…
  • 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…
Rank this Week: 1247

Andrew Abramowitz, PLLC

Andrew Abramowitz, PLLC

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

http://aalegalnyc.com/blog/
  • May 18

    Title III Crowdfunding is Now Live

    Title III Crowdfunding is Now Live
    The effectiveness of Title III crowdfunding got the high-profile Sunday New York Times treatment this past weekend. I think it will take some time for the flow of these deals to come, as portals apply for and receive approval from the SEC and…
  • May 6

    Prince and the Consequences of Reflexive Distrust of Advisor

    Prince and the Consequences of Reflexive Distrust of Advisor
    As part of the extensive media coverage of Prince’s recent death, it’s been reported that Prince died without a will as a result of his distrust of lawyers. If true, it’s a pretty disastrous result from an estate…
  • Apr 27

    The SEC’s Discussion of Risk Factor

    The SEC’s Discussion of Risk Factor
    The SEC recently issued a long concept release seeking public comment on ways to modernize Regulation S-K, the set of disclosure requirements used both for Securities Act registration statements like Form S-1 and Exchange Act reports like…
Rank this Week: 1420

Footnoted

Footnoted

Reports on actionable information in SEC filings.

http://www.footnoted.com/
  • May 17

    LendingClub tries to buck up its troops!

    LendingClub tries to buck up its troops!
    LendingClub, which has been struggling, managed to give its top executives and directors hefty raises this week.
  • May 2

    Yahoo gets defensive on compensation

    Yahoo gets defensive on compensation
    A late Friday filing by Yahoo attempts to explain -- over and over -- why compensation was so high in 2015.
  • Apr 5

    On tax inversions and relocation allowance

    On tax inversions and relocation allowance
    The current crop of proxies show how so-called tax inversion companies are not only avoiding taxes -- they're paying hefty amounts for their executives to live here in the U.S.
Rank this Week: 1531

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
  • May 16

    Credit Suisse Deferred Compensation Claim

    Credit Suisse Deferred Compensation Claim
    Amato Law Firm, LLC is investigating claims against Credit Suisse (CS) on behalf of its former U.S.-based advisers who have transitioned to firms other than Wells Fargo Advisors.  As recently reported in On Wall Street, more than…
  • Feb 24

    United Development Funding Investment Losse

    United Development Funding Investment Losse
    The securities law firm of Amato Law Firm, LLC is investigating potential securities law claims involving United Development Funding (UDF) and its real estate investment trusts (REITs) including United Development Funding IV (UDF IV), a…
  • Feb 24

    Oil and Gas Investments Rack Up Large Losse

    Oil and Gas Investments Rack Up Large Losse
    The securities law firm of Amato Law Firm, LLC is investigating large losses in oil and gas related investments, such as publicly-traded master limited partnerships (MLPs) and private placements (limited partnerships that do not trade on a…
Rank this Week: 2327

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/
  • May 10

    Attention Former Customers of Leavitt Freeman Sanders: You May Be Able To Recover Your Investment Losse

    Attention Former Customers of Leavitt Freeman Sanders: You May Be Able To Recover Your Investment Losse
    Our firm has already filed many individual lawsuits alleging, among other things, investment fraud against Leavitt Sanders and the firms that he traded through.  Those firms include Invest Financial, Triad Advisors, Capital Asset…
  • May 4

    Record Oil Industry Bankruptcies Take a Toll on Investor

    Record Oil Industry Bankruptcies Take a Toll on Investor
    Reuters reports that bankruptcies in the U.S. oil industry have reached record levels.  The number of bankrupt oil and gas companies is 59 and counting, and we are not even half-way through the wave of bankruptcy filings, according to a…
  • Mar 10

    Greenville Broker Claus Foerster Indicted in $2.8 Million Ponzi Scheme

    Greenville Broker Claus Foerster Indicted in $2.8 Million Ponzi Scheme
    A South Carolina grand jury has indicted a Greenville broker named Claus Foerster for defrauding his clients out of $2.8 million.  According to news reports, the indictments states that Foerster persuaded clients to invest in a…
Rank this Week: 4085

Alixe Cormick: Small Cap Lawyer

Alixe Cormick: Small Cap Lawyer

Focuses on Canadian and United States securities law matters of interest to micro and small cap companies.

http://www.alixecormick.com
  • May 4

    Equity Crowdfunding for Your Residential Construction Busine

    Equity Crowdfunding for Your Residential Construction Busine
    By Alixe Cormick Canada currently has four real estate specific crowdfunding portals : Brix RCR, Open Avenue , R2Crowd, and NexusCrowd.  All of them are located in Ontario.  Canadians can expect other new equity and debt…
  • May 4

    Equity Crowdfunding for Your Residential Construction Busine

    Equity Crowdfunding for Your Residential Construction Busine
    By Alixe Cormick Canada currently has four real estate specific crowdfunding portals : Brix RCR, Open Avenue , R2Crowd, and NexusCrowd.  All of them are located in Ontario.  Canadians can expect other new equity and debt…
  • Mar 23

    Equity Crowdfunding Portal Update and Latest Presentation Slide Deck

    Equity Crowdfunding Portal Update and Latest Presentation Slide Deck
    By Alixe Cormick As of today’s date there are seventeen (17) equity crowdfunding portals active in Canada. There are also five (5) marketplace lending platforms aimed at small business. Canadians can expect other new equity and debt…
Rank this Week: 1401