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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/
  • Dec 19

    This May Not Be Rocket Science, But Is NASAA’s Form D Filing Fee Legal?

    This May Not Be Rocket Science, But Is NASAA’s Form D Filing Fee Legal?
    Earlier this week, the North American Securities Administrators Association (aka NASAA) announced the launch of its Electronic Filing Depository (EFD).  The EFD allows issuers to file Form Ds in Rule 506 offerings online.  A number…
  • Dec 18

    9th Circuit Upholds Issue Preclusion In Subsequent Derivative Suit

    9th Circuit Upholds Issue Preclusion In Subsequent Derivative Suit
    Derivative suits rarely arrive alone.  When something goes awry, directors and officers can be expected to see multiple suits based on demand futility as well as wrongful demand refusal.  Often, suits will be filed at different…
  • Dec 17

    Ninth Circuit Requires Particularity In All Elements Of Securities Fraud Pleading

    Ninth Circuit Requires Particularity In All Elements Of Securities Fraud Pleading
    Sometimes, I find it useful to take a step back and review the legal standard applicable to securities fraud claims under Section 10(b) and Rule 10b-5.  To stay in court, and securities litigation all about surviving motions to dismiss,…
Rank this Week: 190

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Dec 16

    Investor Warning: FS Energy & Power Fund

    Investor Warning: FS Energy & Power Fund
    The nationally acclaimed stock fraud law firm, Fitapelli Kurta, is investigating potential claims against FS2 Capital Partners, LPL Financial, Ameriprise Financial, and any other broker-dealer firm who recommended FS Energy & Power…
  • Dec 16

    FINRA Complaint Report: Week Ending December 12, 2014

    FINRA Complaint Report: Week Ending December 12, 2014
    The following are complaints filed with FINRA against brokers or broker-dealer firms for the week ending December 12, 2014. The post FINRA Complaint Report: Week Ending December 12, 2014 appeared first on Stock Fraud News & Information.
  • Dec 12

    GT Advanced Technologies (GTAT) – Bankrupt – Stock fraud attorneys investigate

    GT Advanced Technologies (GTAT) – Bankrupt – Stock fraud attorneys investigate
    As millions held their breath and awaited the much anticipated release of Apple’s IPhone 6, GT Advanced Technologies (GTAT) cringed and awaited the inevitable – bankruptcy. The post GT Advanced Technologies (GTAT) – Bankrupt…
Rank this Week: 165

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
  • Dec 15

    Former MidAmerica Financial Broker Fined for Outside Business Activity

    Former MidAmerica Financial Broker Fined for Outside Business Activity
    From the Desk of Jim Eccleston at Eccleston Law Offices: FINRA has fined Brian G. Wolf, a former broker from MidAmerica Financial Services, Inc. (“MFS”) for being involved in an outside business…
  • Dec 12

    Ex-New York Islanders Owners Sentenced for Securities Fraud

    Ex-New York Islanders Owners Sentenced for Securities Fraud
    From the Desk of Jim Eccleston at Eccleston Law Offices: Paul Greenwood and Stephen Walsh, former executives at WG Trading Co., were sentenced to 10 years in prison for participating in a fraud valued at roughly $554…
  • Dec 11

    FINRA Fines Ameriprise for Arbitration Discovery Abuse

    FINRA Fines Ameriprise for Arbitration Discovery Abuse
    From the Desk of Jim Eccleston at Eccleston Law Offices: FINRA has sanctioned Ameriprise and one of its brokers for altering documents and refusing to produce documents in an arbitration proceeding. According…
Rank this Week: 214

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/
  • Dec 11

    Second Circuit Limits “Tippee” Insider Trading Liability

    Second Circuit Limits “Tippee” Insider Trading Liability
    In United States v. Newman, No. 13-1837 (2d Cir. Dec. 10, 2014), the United States Court of Appeals for the Second Circuit reversed the 2013 convictions of Anthony Chiasson and Todd Newman on charges of conspiracy to commit insider trading…
  • Dec 5

    Recent SEC Enforcement Actions Highlight Importance of Robust Insider Trading Compliance Policie

    Recent SEC Enforcement Actions Highlight Importance of Robust Insider Trading Compliance Policie
    Recently the SEC announced enforcement actions which highlight the importance of complying with the beneficial ownership reporting requirements under Sections 13(d), 13(g) and 16(a) of the Securities Exchange Act of 1934, or the Exchange Act.…
  • Nov 24

    How Will the White House Announcement on Immigration Affect Your Company?

    How Will the White House Announcement on Immigration Affect Your Company?
    Most companies will be impacted by the immigration initiatives announced by the White House this week.  It will take up to several months for the initiatives to be implemented in order to give the U.S. Department of Homeland Security…
Rank this Week: 146

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: 178

Securities Arbitration Blog

Securities Arbitration Blog

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

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

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

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

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

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

    Investment Fraudsters: You have a friend in Pennsylvania

    Investment Fraudsters: You have a friend in Pennsylvania
    What does a big firm commercial defense lawyer, a banker, a healthcare lobbyist, a parking authority commissioner and an Allegheny parks commissioner all have in common? andnbsp; Apparently, they are all friends of Pennsylvania Governor Tom…
Rank this Week: 149

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/
Rank this Week: 343

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/
  • Dec 15

    Fallout from Landmark Insider Trading Decision Begin

    Fallout from Landmark Insider Trading Decision Begin
    A ruling that tossed out the insider trading convictions of two hedge fund managers may have opened the door for others charged with wrongful trading to get their cases or pleas dismissed.US District Court Judge, Andrew L. Carter Jr.,…
  • Dec 12

    Efforts Continue to "BankofAmericanize" Merrill Brokers - No Compensation for "Small" Account

    Efforts Continue to "BankofAmericanize" Merrill Brokers - No Compensation for "Small" Account
    I am not quite sure when a $250,000 account became a small account, but Merrill Lynch told its brokers on Wednesday that it is eliminating pay for servicing clients with less than $250,000Now, if you are a client at Merrill, with an account…
  • Dec 11

    Fraudulent Apple Trades Cost Morgan Stanley $4 Million in Fine

    Fraudulent Apple Trades Cost Morgan Stanley $4 Million in Fine
    Morgan Stanley will pay $4 million to settle charges that it failed to stop a rogue Rochdale Securities LLC trader from fraudulently buying $525 million in Apple stock in 2012.For more information, go to Morgan Stanley Fined $4 Million for…
Rank this Week: 584

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/
  • Dec 3

    A compliance problem truly “Made in the USA”

    A compliance problem truly “Made in the USA”
    Following the expiration of a public comment period last week, the ink is now dry on the Federal Trade Commission’s consent decree against Made in USA Brand, LLC, settling charges that the Columbus, Ohio-based company sold its…
  • Nov 25

    FCPA to increasingly target individual

    FCPA to increasingly target individual
    The head of the Department of Justice (DOJ) Criminal Division warned Friday that Foreign Criminal Practices Act (FCPA) prosecutions will increasingly target individuals wrongdoers, rather than corporations. Assistant Attorney General Leslie…
  • Oct 10

    “The Bandits’ Club” gets its due

    “The Bandits’ Club” gets its due
    Our colleagues at Antitrust Law Source posted an interesting update about probable charges alleging that traders at approximately a dozen global banks – including Deutsche Bank, JPMorgan Chase, Barclays, and USB – fixed the…
Rank this Week: 370

Securities Lawyer 101

Securities Lawyer 101

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

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

    Corporate Hijackings 101 l Securities Lawyer 101 Blog

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

    Going Public Blog l Securities Lawyer 101

    Going Public Blog l Securities Lawyer 101
    Going Public 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: 1532

Institutional Investor Securities…

Institutional Investor Securities Blog

Covers investment fraud involving auction-rate securities, credit rating agencies, hedge funds and mortgage-backed securities. By Shepherd Smith Edwards & Kantas.

http://www.institutionalinvestorsecuritiesblog.com/
  • Dec 29

    Wells Fargo Reaches $591 Million Mortgage Deal with Fannie Mae

    Wells Fargo Reaches $591 Million Mortgage Deal with Fannie Mae
    Wells Fargo & Co. (WFC) has arrived at a $591 million mortgage settlement with Fannie Mae (FNMA). The arrangement resolves claims that the banking institution sold faulty mortgages to the government run-home loan financier and covers…
  • Dec 17

    Whistleblower Earns $57M Payout in Second Lawsuit Against Bank of America

    Whistleblower Earns $57M Payout in Second Lawsuit Against Bank of America
    Edward O'Donnell, an ex-Countrywide Financial executive, will receive $57 million for a second whistleblower lawsuit accusing parent company Bank of America Corp. (BAC) of fraud. In this case, O’Donnell accused a Countrywide unit of…
  • Dec 11

    Morgan Stanley Fined $4M by the SEC for Market Access Rule Violation

    Morgan Stanley Fined $4M by the SEC for Market Access Rule Violation
    The Securities and Exchange Commission is ordering Morgan Stanley (MS) to pay $4 million for violating the market access rule. The rule mandates that brokerage firms implement adequate risk controls before giving customers market access. An…
Rank this Week: 4718

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
Rank this Week: 2431

Recover Investment Losses Blog

Recover Investment Losses Blog

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

http://blog.rexsecuritieslaw.com
  • Dec 20

    Douglas Furth Charged By SEC With Manipulation of SearchPath HCS Stock

    Douglas Furth Charged By SEC With Manipulation of SearchPath HCS Stock
    December 15, 2014 The US Securities and Exchange Commission (SAC) filed a civil injunction in the Eastern District of New York charging stock promoter Douglas Furth of Solon, Ohio, with manipulating the common stock of SearchPath HCS, Inc.…
  • Dec 20

    Bernard McGee, Former Cadaret Grant Broker- Barred From Securities Industry

    Bernard McGee, Former Cadaret Grant Broker- Barred From Securities Industry
    December 19,2014- Syracuse, New York In FINRA Disciplinary Proceeding No. 2012034389202, Bernard G. McGee was barred in all capacities from associating with any FINRA member for making unsuitable recommendations to a customer who was advised…
  • Dec 20

    Rockwell Global Capital Loses To Customer in Florida Arbitration Proceeding

    Rockwell Global Capital Loses To Customer in Florida Arbitration Proceeding
    November 24, 2014-Tampa, FL In a recent arbitration proceeding before the Financial Industry Regulatory Authority (FINRA) Rockwell Global Capital was ordered to compensate an investor for losses suffered in his investment account. Frederick…
Rank this Week: 950

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Dec 19

    FINRA Alleges SWS Financial Services Failed to Supervise Variable Annuity Transaction

    FINRA Alleges SWS Financial Services Failed to Supervise Variable Annuity Transaction
    The Financial Industry Regulatory Authority (FINRA) filed a complaint against brokerage firm SWS Financial Services, Inc. (SWS Financial) over allegations that from September 2009, to May 2011, SWS Financial had inadequate supervisory systems…
  • Dec 17

    Atlas Energy Oil and Gas Investments: Risks Investors Should Know Part II

    Atlas Energy Oil and Gas Investments: Risks Investors Should Know Part II
    This article follows up on a recent article reported in Reuters concerning Atlas Energy LP’s private placement partnerships in oil and gas. Atlas Resources LLC, a subsidiary the energy group, has filed documents with the SEC for Atlas…
  • Dec 16

    Atlas Energy Oil and Gas Investments: A Risky Proposition Part I

    Atlas Energy Oil and Gas Investments: A Risky Proposition Part I
    As recently reported in Reuters, Atlas Energy LP has marketed itself to investors as a way to get into the U.S. energy boom. By contributing at least $25,000 in a private placement partnership that will drill for oil and gas in states such as…
Rank this Week: 1627

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/
  • Dec 19

    Russia sanctions expanded

    Russia sanctions expanded
    The Canadian government today announced it is expanding sanctions that target certain individuals and activities associated with Russia and Ukraine. While a number of designated individuals were added to the Ukraine sanctions, the Russia…
  • Dec 19

    IIROC releases final guidance on underwriting due diligence

    IIROC releases final guidance on underwriting due diligence
    On December 18, the Investment Industry Regulatory Organization of Canada released final guidance in respect of underwriting due diligence. Ultimately, the document sets out a number of key principles respecting underwriting due diligence, as…
  • Dec 19

    Ontario issues comfort letter to address effects of provincial surtax on mutual fund trust

    Ontario issues comfort letter to address effects of provincial surtax on mutual fund trust
    Katy Pitch and Darin Renton -  On December 11, Ontario’s Ministry of Finance issued a comfort letter to address the unintended effects of the new provincial surtax which have caused a mismatch of a mutual fund trust’s capital…
Rank this Week: 4367

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: 3287

BD Law Blog

BD Law Blog

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

http://www.bdlawblog.com/
  • Dec 19

    Lessons learned from putting on "the Suit."

    Lessons learned from putting on "the Suit."
    Every now and then I use my blog to share with you things not necessarily related to the law, or to our practice areas of financial markets law, estate planning or business law. Today's one of those days, and I...
  • Dec 9

    SEC Sanctions Audit Firm

    SEC Sanctions Audit Firm
    The SEC announced settled administrative proceedings against eight audit firms for alleged violations of the auditor independence rules in connection with audits of broker-dealers. According to the SEC's press release, in agreeing to settle…
  • Nov 11

    The Basics of Rule 2510 - Discretionary Account

    The Basics of Rule 2510 - Discretionary Account
    NASD Rule 2510 governs discretionary accounts. It details how discretionary accounts are to be established and also sets forth the requirements for the use of time and price discretion. In this short video, Joel Beck provides an overview of…
Rank this Week: 1337

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • Dec 19

    Insolvent Company Directors’ Duties to Creditors Under Delaware Law

    Insolvent Company Directors’ Duties to Creditors Under Delaware Law
    A question that frequently recurs is whether or not directors of insolvent companies have fiduciary duties to creditors. Creditors often attempt to argue that as companies move into the “zone of insolvency,” directors’…
  • Dec 19

    Mug Shot Greetings for the Holiday Season

    Mug Shot Greetings for the Holiday Season
    On several occasions I have published what I thought would be the last of the D&O Diary mug shots, only to find afterwards that still more mug shots were arriving in my email mailbox. That has happened yet again, and this time some of the…
  • Dec 17

    D&O Insurance: Eleventh Circuit Holds Insured v. Insured Exclusion’s Applicability to FDIC Failed Bank Claims Ambiguou

    D&O Insurance: Eleventh Circuit Holds Insured v. Insured Exclusion’s Applicability to FDIC Failed Bank Claims Ambiguou
    Going all the way back to the S&L crisis, a recurring insurance coverage issue that has arisen in the failed bank context has been the question of whether or not coverage for a claim brought by the FDIC in its capacity as receiver of a…
Rank this Week: 1387

TRACE Blog

TRACE Blog

Covers anti-bribery compliance.

http://traceblog.org/
  • Dec 19

    Day 10: Online Training

    Day 10: Online Training
    For the final day of our holiday promotion, TRACE is offering one company complimentary access to our online training for one year. Our system administrators will set the winner up with a branded platform to train up to 500…
  • Dec 18

    Day 9: In-Person Training

    Day 9: In-Person Training
    Supplement your training program with a customized, in-person training session conducted by one of our experienced FCPA attorneys. This half-day session will enable one lucky company to train their employees on anti-bribery regulations and…
  • Dec 17

    Day 8: Consulting Hour

    Day 8: Consulting Hour
    One randomly selected winner will receive a complimentary 3-hour consultation with one of our experienced FCPA attorneys. This consultation opportunity allows you to ask compliance questions or to simply learn more about industry best…
Rank this Week: 1739

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • Dec 19

    My Client Is Ignoring Me, Now What

    My Client Is Ignoring Me, Now What
    Anyone who is in a service industry frequently faces this question.  It is what you do in response that makes the difference between being a target for a lawsuit and moving on to greener pastures. The most important thing is not to…
  • Dec 18

    Reverse-Flash: SEC and FINRA Looking to Slow High-Speed Traders?

    Reverse-Flash: SEC and FINRA Looking to Slow High-Speed Traders?
    High-frequency trading is the latest craze hitting the market.  Popularized by Michael Lewis’s Flash Boys, high-frequency or high-speed trading involves the use of sophisticated technological tools and computer algorithms to…
  • Dec 11

    Who Wants To Speak With Me, Oh No

    Who Wants To Speak With Me, Oh No
    Anyone in a service industry has had that dreaded feeling.  You see your email or caller identification and realize it is “that” client trying to reach you.  The client I reference is that extremely difficult client that…
Rank this Week: 3612

Business Blog

Business Blog

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

http://www.businesslawnews.com/
  • Dec 19

    NJ Appeals Court Sides With Hospital in Suit Over Doctor Discipline

    NJ Appeals Court Sides With Hospital in Suit Over Doctor Discipline
    The Appellate Division of the New Jersey Superior Court recently held that New Jersey hospitals are immune from monetary damages when stripping physicians of their clinical privileges after an internal investigation, so long as they…
  • Dec 18

    Year in Review: Cybersecurity and Data Privacy

    Year in Review: Cybersecurity and Data Privacy
    The recent hack of Sony Pictures is only the latest security breach to impact the business community. Overall, 2014 saw several key developments in the arena of cybersecurity and data privacy. In case you missed some of our posts, below is a…
  • Dec 17

    New Court Rule to Protect Personal Information in Court Filing

    New Court Rule to Protect Personal Information in Court Filing
    Given the growing risk of identity theft, the New York State Office of Court Administration (OCA) is taking additional steps to protect personal information included in court filings. The OCA recently announced changes to the Uniform Civil…
Rank this Week: 3772

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Dec 19

    JOBS Act: SEC Proposes ’34 Act Registration Requirement

    JOBS Act: SEC Proposes ’34 Act Registration Requirement
    On Wednesday, the SEC proposed a number of JOBS Act changes to the thresholds for registration, termination of registration & suspension of ’34 Act reporting including (here’s an overview in this blog): 1. Amending Rules 12g-1…
  • Dec 18

    IFRS: The SEC’s Saga Continue

    IFRS: The SEC’s Saga Continue
    During the recent annual AICPA Conference, SEC Chief Accountant Jim Schnurr delivered this speech about the SEC possibly continuing to consider the use of IFRS by domestic companies. As noted in this blog by George Wilson: “While he did…
  • Dec 17

    Transcript: “Proxy Access: A New World of Private Ordering”

    Transcript: “Proxy Access: A New World of Private Ordering”
    We have posted the transcript for our recent popular webcast: “Proxy Access: A New World of Private Ordering.” I’m not a big SNL fan – but this recent bit about Hobbits in the style of “The Office” is…
Rank this Week: 2406

Startup Law Blog

Startup Law Blog

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

http://www.startuplawblog.com/
  • Dec 18

    Revenue Lending

    Revenue Lending
    I recently had the chance to sit down with BJ Lackland, the CEO of Lighter Capital, to talk about life, revenue loans, and Lighter Capital. Below is a transcript of most of our talk. – JW: BJ, what’s the first … Continue…
  • Nov 28

    Current Funding Trends and Capital Raising Tip

    Current Funding Trends and Capital Raising Tip
    How Are You Planning to Fund Your Big Idea in 2015? Due to cheaper tools, the cost of getting a startup off the ground has markedly decreased over the past dozen or so years. However, despite lower costs, it can … Continue reading…
  • Nov 4

    Crowdfunding Industry Panel

    Crowdfunding Industry Panel
    Earlier this year Governor Jay Inslee signed HB 2023 into law making equity Crowdfunding legal in Washington State and giving startups an innovative new way to raise funds. Under the bipartisan measure, a Washington business could raise up to…
Rank this Week: 3522

Strictly Business

Strictly Business

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

http://www.strictlybusinesslawblog.com/
Rank this Week: 2765

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/
  • Dec 18

    Is Arbitration Cheaper than Litigation?

    Is Arbitration Cheaper than Litigation?
    Many think that arbitration is less expensive than litigation. As a result, many aggrieved investors begin the process with unrealistic expectations about how much it will cost.…
  • Nov 24

    The Impact FINRA’s CARDS Plan Will Have on the Financial Industry

    The Impact FINRA’s CARDS Plan Will Have on the Financial Industry
    The largest independent regulator of securities firms in the U.S., the Financial Industry Regulatory Authority (FINRA) purports to protect investors by making sure brokerage firms play by…
  • Nov 14

    The Top 5 Financial Crimes of the 21st Century

    The Top 5 Financial Crimes of the 21st Century
    At a time when violent crime rates are reaching historic lows, a different kind of criminal was getting filthy rich by fleecing others in America. Instead of…
Rank this Week: 1638

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
  • Dec 18

    Merrill Lynch Fined $1.9M and Ordered to Pay $540k Restitution by FINRA

    Merrill Lynch Fined $1.9M and Ordered to Pay $540k Restitution by FINRA
    FINRA has fined Merrill Lynch, Pierce, Fenner & Smith Incorporated $1.9 million for fair pricing and supervisory violations in connection with more than 700 retail customer transactions in distressed securities over a two-year time…
  • Dec 16

    10 Wall Street Banks in Trouble for Offering Encouraging Research to Win IPO

    10 Wall Street Banks in Trouble for Offering Encouraging Research to Win IPO
    Citigroup Inc., Goldman Sachs Group Inc. and eight other securities firms were fined $43.5 million by regulators who said the companies presented favorable stock research in hopes of winning underwriting business in an initial public offering…
  • Dec 12

    Fredrick Griffin v. Rockwell Global Capital LLC FINRA Dispute Resolution Award

    Fredrick Griffin v. Rockwell Global Capital LLC FINRA Dispute Resolution Award
    Griffin requested compensatory damages of approximately $200,000.00, attorneys’ fees, interest, costs, punitive damages, and such in a claim against Rockwell Global Capital LLC in January 2013. Griffin stated that Rockwell Global…
Rank this Week: 3941

The Securities Edge

The Securities Edge

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

http://www.thesecuritiesedge.com/
  • Dec 17

    There ought to be a law

    There ought to be a law
    Posted By: Robert B. Lamm A great deal has been written about the recent reversal of two insider trading convictions.  Specifically, the U.S. Court of Appeals for the Second Circuit threw out the convictions of Todd Newman and Anthony…
  • Dec 11

    What’s good for the goose…

    What’s good for the goose…
    Posted By: Robert B. Lamm A few weeks ago – “From the same wonderful folks who brought you conflict minerals (among other things)” – I complained about Senator Blumenthal’s attempt to tell the SEC what to…
  • Dec 8

    Directors and Officers Beware: You could be individually liable for your entity’s Bank Secrecy Act or Office of Foreign Assets Control violation

    Directors and Officers Beware: You could be individually liable for your entity’s Bank Secrecy Act or Office of Foreign Assets Control violation
    Posted By: Stephanie Quiñones In recent years, the Financial Crimes Enforcement Network (“FinCEN”) and federal regulators of the financial services industry have more aggressively enforced the Bank Secrecy Act…
Rank this Week: 3448

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/
  • Dec 17

    The Comverge Case: Fiduciary Duties and Break-Up Fees in M&A

    The Comverge Case: Fiduciary Duties and Break-Up Fees in M&A
    Here’s a blog by Richard Renck of Duane Morris: In In re Comverge, Inc. Shareholders Litig., C.A. No. 7368-VCP, a decision on a motion to dismiss by Court of Chancery, Vice Chancellor Parsons provided practitioners and clients with a…
  • Dec 16

    M&A Communications Challenges Posed by Tax Inversion Deal

    M&A Communications Challenges Posed by Tax Inversion Deal
    Here’s a blog by Kal Goldberg & Charles Nathan of Finsbury: Tax inversion deals are clearly the most talked about M&A deal structure we have seen for many years. Unlike other hot-topic M&A deal structures (think LBOs or…
  • Dec 11

    2014 MAC Survey

    2014 MAC Survey
    Recently, Nixon Peabody posted its “2014 MAC Survey.” Here is an excerpt: Our inaugural survey, which studied 2001 to 2002, reflected the effects on dealmaking of the September 11, 2001, attacks. The following year’s study…
Rank this Week: 2434

Stock Broker Fraud Blog

Stock Broker Fraud Blog

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

http://www.stockbrokerfraudblog.com/
Rank this Week: 2248

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • Dec 16

    Are You Stuck in a REIT?

    Are You Stuck in a REIT?
    Realty Capital Securities, LLC (RCS) is a Boston-based unit of American Realty Capital (ARC).  According to its website, ARC is a “full service investment advisory firm sponsoring a series of investment programs with an emphasis on…
  • Nov 30

    What Will be on the SEC’s 2015 Exam Priorities for Investment Advisers?

    What Will be on the SEC’s 2015 Exam Priorities for Investment Advisers?
    Each January, The SEC’s National Exam Program (“NEP”) issues examination priorities for the year ahead.  The priorities are based upon the SEC’s evaluation of those areas in the financial markets that it believes…
  • Nov 30

    Business Torts in the Financial Industry Arena

    Business Torts in the Financial Industry Arena
    The attorneys at Cosgrove Law Group, LLC frequently handle business disputes on a contingent fee basis in arbitrations and the courts.  We are typically litigating in the financial industry arena where slashing, cross-checking and…
Rank this Week: 4338

New York Securities Lawyers Blog

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

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

    Merrill Lynch Fined For Fair Pricing and Supervisory Violation

    Merrill Lynch Fined For Fair Pricing and Supervisory Violation
    The Financial Industry Regulatory Authority (FINRA) has announced that Merrill Lynch has been fined $1.9 million and ordered to pay restitution in the amount of $540,000 for fair pricing violations as well as supervisory violations related to…
  • Dec 15

    Citigroup Fined for ETF Prospectus Failure

    Citigroup Fined for ETF Prospectus Failure
    Citigroup, Inc. has reportedly agreed to pay a $3 million fine for failing to properly deliver prospectuses to some customers.  Specifically, according to the Financial Industry Regulatory Authority (FINRA), Citigroup failed to deliver…
  • Dec 8

    Malecki Law is Investigating Possible Claims Related to the Sale of Shares of Amarin

    Malecki Law is Investigating Possible Claims Related to the Sale of Shares of Amarin
    Malecki Law is investigating possible unsuitability claims against stock brokers and financial advisors who sold shares of Amarin to investors for whom the stock was not appropriate. Amarin is a biopharmaceutical company based out of New…
Rank this Week: 3108

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

http://www.seclawyersblog.com/
Rank this Week: 3314

Stock Market Loss

Stock Market Loss

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

http://www.stockmarketloss.com/news/
  • Dec 15

    FINRA Members Denounce Unfair Aspects of Administrative Proceeding

    FINRA Members Denounce Unfair Aspects of Administrative Proceeding
    This article was originally posted on Stock Market Loss The Financial Industry Regulatory Association (FINRA), a self-regulatory organization created and funded by the brokerage industry, wields powers ceded to it by its benevolent overseer,…
  • Sep 26

    Not Quite Investments: Binary Options Are Purely A Gamble

    Not Quite Investments: Binary Options Are Purely A Gamble
    This article was originally posted on Stock Market Loss The Ohio Division of Securities recently initiated an administrative action against an online binary options platform operating from the United Kingdom. The Division alleges that Vault…
  • Jul 28

    VARIABLE LIFE INSURANCE ALERT!

    VARIABLE LIFE INSURANCE ALERT!
    This article was originally posted on Stock Market Loss The lawyers of stockmarketloss.com, a practice group of Cleveland, OH law firm Hermann, Cahn & Schneider LLC, are receiving a growing number of inquiries from victims of variable…
Rank this Week: 3369

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
  • Dec 15

    BrokeAndBroker.com by Bill Singer WEEK IN REVIEW

    BrokeAndBroker.com by Bill Singer WEEK IN REVIEW
    Till Death And Redemptions Do Husband, Wife, Stockbroker, And Bob Marley PartWe start with a wife and her children. We add a husband. We toss into that scene a stockbroker. Then come the redemptions. All of which sets the stage for a Wall…
  • Dec 12

    Till Death And Redemptions Do Husband, Wife, And Stockbroker Part

    Till Death And Redemptions Do Husband, Wife, And Stockbroker Part
    We start this ballad with a wife. We add a husband. We toss into that scene a stockbroker. Add some redemptions from the account's under the wife's control. All of which sets the stage for a Wall Street torch song about pain, sadness, and a…
  • Dec 12

    18 Reps Fall Off Firm's Email Radar

    18 Reps Fall Off Firm's Email Radar
    In a recent FINRA regulatory settlement, 18 registered folks sort of fell off their firm's compliance radar.  It's not a case involving earth-shattering misconduct. Sometimes stuff just falls through the cracks. Every wrong on Wall…
Rank this Week: 2876

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
  • Dec 12

    UPDATE: Second Circuit Reverses “Downstream Tippee” Conviction

    UPDATE: Second Circuit Reverses “Downstream Tippee” Conviction
    This guest post was authored by our colleague Mark B. Sheppard, a partner in the firm’s Litigation Department. Mark focuses his practice on white collar criminal defense, SEC Enforcement and complex commercial civil litigation. He can…
  • Dec 11

    Britain’s Serious Fraud Office Secures First Convictions Under Bribery Act

    Britain’s Serious Fraud Office Secures First Convictions Under Bribery Act
    Last Friday, news came from across the Atlantic that Britain’s Serious Fraud Office (“SFO”) had successfully obtained its first series of convictions under the UK’s Bribery Act of 2010 (the “Bribery Act”),…
  • Dec 4

    ABA Task Force Proposes Significant Change to Fraud Guideline

    ABA Task Force Proposes Significant Change to Fraud Guideline
    When the U.S. Sentencing Commission adopted the original Sentencing Guidelines in 1987, it sought to ensure that white collar offenders faced “short but definite period[s] of confinement.” U.S. Sentencing Commission, Fifteen Years…
Rank this Week: 2052

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Dec 12

    Interpreting Halliburton

    Interpreting Halliburton
    In its Halliburton II decision, the Supreme Court held that a securities fraud defendant can overcome the fraud-on-the-market presumption of reliance at the class certification stage of a case “through evidence that the…
  • Nov 24

    One Percent Responsible

    One Percent Responsible
    Longtop Financial Technologies, a Chinese financial software company, was a notorious financial fraud (see here for a NYT column on the discovery of the fraud).  Both its outside auditors, Deloitte Touche Tohmatsu, and its…
  • Nov 5

    Omnicare Argued

    Omnicare Argued
    On Monday, the U.S. Supreme Court heard oral argument in the Omnicare, Inc. v. Laborers District Council Construction Industry Pension Fund case, which addresses the pleading standard for a claim under Section 11 of the…
Rank this Week: 2430

Subject to Inquiry

Subject to Inquiry

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

http://www.subjecttoinquiry.com/
  • Dec 12

    CFPB Reaches Settlement Agreement with Debt Relief Company and Law Firm

    CFPB Reaches Settlement Agreement with Debt Relief Company and Law Firm
    Last Thursday, December 4, 2014, the Consumer Financial Protection Bureau (CFPB) reached a settlement agreement with Premier Consulting Group LLC  and the  Law Office of Michael Lupoloverrequiring the defendants to pay a fine…
  • Dec 9

    A Question of Ethics: The Year in Government Ethic

    A Question of Ethics: The Year in Government Ethic
    Roll Call | December 9, 2014 As long as there are governments, there will be government corruption. The temptations to abuse power are never going away, and neither is human frailty, which means government ethics will remain an important…
  • Dec 9

    Public Databases Increase Qui Tam Risk for Healthcare Provider

    Public Databases Increase Qui Tam Risk for Healthcare Provider
    In 2014, the Centers for Medicare and Medicaid Services (CMS) released two new sources of data that are intended to increase transparency related to federal payments to physicians. They also, however, present a risk of being used by…
Rank this Week: 1807

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/
Rank this Week: 1378

Cady Bar the Door

Cady Bar the Door

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

http://www.secmiscellany.com
Rank this Week: 3804

Footnoted

Footnoted

Reports on actionable information in SEC filings.

http://www.footnoted.com/
Rank this Week: 1967

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/
  • Dec 7

    Request for Submissions: National Business Law Scholars Conference

    Request for Submissions: National Business Law Scholars Conference
    National Business Law Scholars Conference Thursday & Friday, June 4-5, 2015 Seton Hall University School of Law, Newark, NJ This is the sixth annual meeting of the NBLSC, a conference which annually draws together legal scholars from…
  • Dec 7

    Request for Submissions: Yale/Stanford/Harvard Junior Faculty Forum

    Request for Submissions: Yale/Stanford/Harvard Junior Faculty Forum
    Professor Adriaan Lani forwarded me the following announcement about the Yale/Stanford/Harvard Junior Faculty Forum, which offers an exciting venue for junior scholars to present their work: Yale, Stanford, and Harvard Law Schools announce…
  • Dec 7

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: Holly Baird, Comment, The Preculsive Effect of Disgorgement Orders in Non- Dischargeability Actions Under Section 523(a)(19), 30 Emory…
Rank this Week: 1468

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/
Rank this Week: 1797

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/
  • Dec 5

    FINRA Increases Arbitrator Pay- Passes Costs to Partie

    FINRA Increases Arbitrator Pay- Passes Costs to Partie
    According to Regulatory Notice 14-49 (“RN 14-49”) issued by the Financial Industry Regulatory Authority (“FINRA”), FINRA is increasing the pay for arbitrators assigned to hear FINRA cases and passing the costs of the…
  • Nov 20

    Former Florida Broker Permanently Barred for Alleged Theft

    Former Florida Broker Permanently Barred for Alleged Theft
    According to his BrokerCheck Report, Jeffrey Brian Grove of Melbourne, Florida has been permanently barred from the financial services industry by the Financial Industry Regulatory Authority (“FINRA”).   According to…
  • Oct 16

    SEC Approves Rule to Help Non-Traded REIT Investor

    SEC Approves Rule to Help Non-Traded REIT Investor
    The Securities and Exchange Commission has approved the Financial Industry Regulatory Authority’s (“FINRA”) proposed revisions to NASD Rule 2340 regarding per share estimated valuations of unlisted REITs held by…
Rank this Week: 4806

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

http://www.hedgefundlawblog.com
  • Dec 4

    Hedge Fund Events December 2014

    Hedge Fund Events December 2014
    The following are various hedge fund events happening this month. Please email us if you would like us to add your event to this list. **** Date: December 3, 2014 Sponsor: Morgan Stanley Event: Dive into New Portfolio Strategies Location: New…
  • Nov 11

    3rd Annual Alternative Investments Summit – November 20th

    3rd Annual Alternative Investments Summit – November 20th
    Please see below information on the Seattle Investment Association event on November 20th. **** The Seattle Alternative Investment Association, together with the CFA Society of Seattle, invites you to join us on November 20th, 2014 for the…
  • Oct 26

    Cole-Frieman & Mallon LLP 2014 Third Quarter Update

    Cole-Frieman & Mallon LLP 2014 Third Quarter Update
    www.colefrieman.com October 23, 2014 Clients and Friends: It has already been a busy fourth quarter, but we would like to take this opportunity to provide you with a brief overview of some of the legal, business and regulatory updates from…
Rank this Week: 1137

Securities Mining Law

Securities Mining Law

Covers securities law affecting the mining industry in Canada.

http://www.securitiesmininglaw.com/
  • Dec 3

    Important Changes to Offerings to Existing Security Holders and Rights Offerings and their Impact on the Mining Sector in Canada

    Important Changes to Offerings to Existing Security Holders and Rights Offerings and their Impact on the Mining Sector in Canada
    Two important developments were announced today that affect how Canadian reporting issuers can raise capital from their existing security holders: The Ontario Securities Commission (“OSC”) announced the introduction of a new…
  • Nov 5

    Mining seminar

    Mining seminar
    Please join Dentons’ Mining Group at the Terminal City Club on Tuesday, November 18, 2014, as we discuss the following topics: “Tax pitfalls and planning for the mining sector,” presented by Anne Calverley, Partner (Dentons…
  • Oct 31

    INFONEX – MD&A for mining (2014)

    INFONEX – MD&A for mining (2014)
    INFONEX – MD&A for mining (2014) from Dentons …
Rank this Week: 3407