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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: 25

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: 41

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Jan 26

    Update: First Allied Securities’ William “Bill” Tatro complaint

    Update: First Allied Securities’ William “Bill” Tatro complaint
    According to FINRA’s BrokerCheck Report, William L. Tatro has had an astounding 48 investor complaints filed against him in his 35 years in the securities industry. The post Update: First Allied Securities’ William…
  • Jan 23

    Securities fraud attorneys investigating suspended broker, Randy L. Bostick

    Securities fraud attorneys investigating suspended broker, Randy L. Bostick
    The securities and investment fraud law firm, Fitapelli Kurta, is investigating potential claims against currently suspended Janney Montgomery Scott stockbroker, Randy L. Bostick. The post Securities fraud attorneys investigating suspended…
  • Jan 23

    Investors Capital Corp. broker, Stephen Y. Dealy fined and suspended from financial industry

    Investors Capital Corp. broker, Stephen Y. Dealy fined and suspended from financial industry
    On January 21, 2015, Port Orange, Florida based Investors Capital Corp. broker, Stephen Y. Dealy was fined $10,000 and suspended from the financial industry to four months for failing to report customer complaints. The post Investors Capital…
Rank this Week: 198

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Jan 26

    NAM Backs Wal-Mart's ‘Ordinary Business’ Argument

    NAM Backs Wal-Mart's ‘Ordinary Business’ Argument
    [This story previously appeared in Securities Regulation Daily.]By Rodney F. Tonkovic, J.D.The National Association of Manufacturers (NAM) has filed an amicus brief in support of Wal-Mart Stores, Inc.'s appeal regarding a shareholder…
  • Jan 23

    FSOC Considers Greater Transparency in Nonbank Designation Proce

    FSOC Considers Greater Transparency in Nonbank Designation Proce
    [This story previously appeared in Securities Regulation Daily.]By Jacquelyn LumbSEC Chair Mary Jo White signaled her support for enhancing the transparency of the Financial Stability Oversight Council’s process for considering nonbank…
  • Jan 22

    Chairman Massad Praises Progress by U.S., Japan on Cross-Border Issue

    Chairman Massad Praises Progress by U.S., Japan on Cross-Border Issue
    [This story previously appeared in Securities Regulation Daily.]By Lene Powell, J.D.In an address to the Futures Industry Association in Tokyo, CFTC Chairman Timothy Massad talked about the interconnectedness of the global derivatives…
Rank this Week: 172

Business Blog

Business Blog

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

http://www.businesslawnews.com/
  • Jan 26

    Affidavit of Merit in Negligence Suit Must Be From Like-Licensed Professional

    Affidavit of Merit in Negligence Suit Must Be From Like-Licensed Professional
    The Appellate Division recently held that New Jersey’s Affidavit of Merit (AOM) statute requires a supporting AOM from a “like-licensed” professional in all malpractice or negligence cases within the scope of the statute.…
  • Jan 23

    Eat More Kale Trademark Dispute Is A David vs. Goliath Situation

    Eat More Kale Trademark Dispute Is A David vs. Goliath Situation
    The battle over the Eat More Kale trademark appears to be over. After a much-publicized dispute with fast-food company Chick-fil-A, a Vermont small business owner can now take the final steps to perfect his federal trademark. The trademark…
  • Jan 22

    President’s Initiatives Regarding Cybersecurity and Data Protection

    President’s Initiatives Regarding Cybersecurity and Data Protection
    On January 20, President Barak Obama made his State of the Union Address. Among the “tasks that lie ahead,” the President’s initiatives involve cybersecurity and data privacy. In his address, the President’s…
Rank this Week: 141

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

http://www.seclawyersblog.com/
  • Jan 23

    Sonn|Erez Investigating Claims Involving Arque Capital, Ltd., and GWG Renewable Debenture

    Sonn|Erez Investigating Claims Involving Arque Capital, Ltd., and GWG Renewable Debenture
    Sonn|Erez is investigating claims regarding Arque Capital, Ltd. (CRD #121192, Scottsdale, AZ) and sales of GWG Renewable Debentures. Arque Capital recently submitted an AWC in which the firm was censured and fined $50,000. See FINRA Case…
  • Jan 21

    SEC Charges Elm Tree Investment Adviser and Manager in Fort Lauderdale, Florida-Based Fraud

    SEC Charges Elm Tree Investment Adviser and Manager in Fort Lauderdale, Florida-Based Fraud
    The Securities and Exchange Commission today announced fraud charges and an asset freeze against Fort Lauderdale, Florida-based investment advisory firm, its manager, and three related funds in a scheme that raised more than $17 million since…
  • Jan 19

    FINRA Cautions Investors Regarding E-Cigarette Stock Scam

    FINRA Cautions Investors Regarding E-Cigarette Stock Scam
    FINRA recently issued an Investor Alert, "E-Cigarette Stock Scams: New Smoking Technology Could Light Up Pump-and-Dump Fraud." In the Alert, FINRA warns investors of aggressive promotions advertising stocks that allegedly capitalize on the…
Rank this Week: 199

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
  • Jan 22

    Florida Based Investment Advisor Firm Is Charged in Ponzi Scheme

    Florida Based Investment Advisor Firm Is Charged in Ponzi Scheme
    From the Desk of Jim Eccleston at Eccleston Law Offices: The SEC has charged a Florida based investment advisor firm, Elm Tree Investment Advisors LLC, its founder Frederic Elm, and its private funds Elm…
  • Jan 21

    Wheat Ridge, Colorado Man Pleads Guilty to Orchestrating a $4.8 Million Ponzi Scheme

    Wheat Ridge, Colorado Man Pleads Guilty to Orchestrating a $4.8 Million Ponzi Scheme
    From the Desk of Jim Eccleston at Eccleston Law Offices: Perry Sawano pled guilty to swindling investors in a $4.8 million Ponzi scheme between 2007 and 2013. Sawano was accused of running the scheme…
  • Jan 21

    UBS’ Richest Clients Chase After Dollars and Scrap Swiss Franc

    UBS’ Richest Clients Chase After Dollars and Scrap Swiss Franc
    From the Desk of Jim Eccleston at Eccleston Law Offices: Last week, the Swiss National Bank abolished the franc’s three year-old cap of 1.20 per euro, which caused the currency to soar as much as 41 percent against…
Rank this Week: 194

Page Perry LLC Blog

Page Perry LLC Blog

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

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

    CYNK Latest Wall Street Trap?

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

    Former LPL Broker Jason Parker Leaves Trail Of Complaint

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

    Pension Advisers Fall Under Scrutiny

    Pension Advisers Fall Under Scrutiny
    The problem of conflicts of interest for pension advisers attracted Congressional attention, according to a Wall Street Journal article by Dan Fitzpatrick  (June 9, 2014).  U.S. Representative George Miller (D., Calif.) has written…
Rank this Week: 120

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: 432

100 F Street

100 F Street

Covers securities law for growing businesses. By Vanessa Schoenthaler.

http://100fstreet.com/
Rank this Week: 402

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/
  • Jan 26

    Commissioner Ponders Whether To Exempt Real Estate Brokers From Investment Adviser Registration

    Commissioner Ponders Whether To Exempt Real Estate Brokers From Investment Adviser Registration
    Last week, the Commissioner of Business Oversight issued an invitation for comment on whether to exempt real estate brokers from the investment adviser certification requirement under the Corporate Securities Law of 1968.  The exemption…
  • Jan 23

    Magna Carta Friday – King John Guarantees The Freedom Of The English Church

    Magna Carta Friday – King John Guarantees The Freedom Of The English Church
    As I’ve mentioned, this year marks the 800th anniversary of the sealing of the Magna Carta by King John at Runnymede.  I previously posted the introduction and my translation of the original Latin of the 1215 version.  Today,…
  • Jan 22

    Some LLC Names Slip Past California’s Statutory Ban

    Some LLC Names Slip Past California’s Statutory Ban
    The California Revised Uniform Limited Liability Company Act explicitly bans a number of different words from being included in LLC names: The name shall not include the words “bank,” “trust,” “trustee,”…
Rank this Week: 463

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/
  • Jan 23

    Investigation into Alpha Natural Resources LLC

    Investigation into Alpha Natural Resources LLC
    Have you suffered losses in Alpha Natural Resources, LLC.,a subsidiary of Alpha Natural Resource Inc. (NYSE: ANR)? If so, the White Law Group may be able to help you recover your investment losses. Alpha Natural Resources is a leading…
  • Jan 23

    Recovery of First Trust ISE Global Engineering and Construction Index Fund Losse

    Recovery of First Trust ISE Global Engineering and Construction Index Fund Losse
    Have you suffered losses investing in First Trust ISE Global Engineering and Construction Index Fund?  If so, the securities attorneys of The White Law Group may be able to help you recover your losses in a FINRA arbitration…
  • Jan 23

    Recovery of First Trust Germany AlphaDEX Fund Losse

    Recovery of First Trust Germany AlphaDEX Fund Losse
    Have you suffered losses investing in First Trust Germany AlphaDEX Fund?  If so, the securities attorneys of The White Law Group may be able to help you recover your losses in a FINRA arbitration claim against the brokerage…
Rank this Week: 428

Federal Securities Law Blog

Federal Securities Law Blog

FedSecLaw.com is devoted to highlighting current issues in securities laws, discussing the ramifications of those issues for today’s businesses, and providing bottom-line takeaways for busy owners, managers, and executives. By Porter Wright Morris & Arthur LLP.

http://www.fedseclaw.com/
  • Jan 20

    Comment by Feb. 16 on proposed uniform state model rule for M&A broker

    Comment by Feb. 16 on proposed uniform state model rule for M&A broker
    The Broker-Dealer Section of the North American Securities Administrators Association is seeking comments no later than Feb. 16, 2015, on a proposed uniform state model rule exempting certain merger and acquisition brokers from registration…
  • Dec 29

    Bill governing M&A brokers should resurface in 2015

    Bill governing M&A brokers should resurface in 2015
    During 2014, Congress has gained momentum toward creating an exemption from federal broker-dealer registration for “M&A brokers” who facilitate mergers, acquisitions, sales and similar transactions involving privately held…
  • 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…
Rank this Week: 268

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/
  • Jan 16

    UBS Settles SEC Dark Pool Case for $14M

    UBS Settles SEC Dark Pool Case for $14M
    A UBS AG (UBS) subsidiary has consented to pay $14.4 million to resolve Securities and Exchange Commission claims that the firm committed violations involving the marketing and operation of its dark pool. The subsidiary, UBS Securities LLC,…
  • Jan 15

    SEC Accuses Canadian Man of Fraudulent Trading Scam, Use of “Layering” Strategy

    SEC Accuses Canadian Man of Fraudulent Trading Scam, Use of “Layering” Strategy
    The Securities and Exchange Commission is charging a Canadian citizen with running a market manipulation scam that involved making orders to trick others into selling or purchasing U.S. publicly traded stocks at prices that were depressed or…
  • Jan 13

    Investment Adviser News: Barred Representative is Now a Finance Coach, Bellingham Man Gets Prison Term for Bilking Senior

    Investment Adviser News: Barred Representative is Now a Finance Coach, Bellingham Man Gets Prison Term for Bilking Senior
    According to the Securities and Exchange Commission, ex-investment adviser Sherwin Brown is continuing to offer financial advice even though the regulator barred him from the industry and ordered him to pay $1.3 million for allegedly…
Rank this Week: 516

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

http://www.hedgefundlawblog.com
  • Jan 5

    Cole-Frieman & Mallon LLP 2014 Fourth Quarter Update

    Cole-Frieman & Mallon LLP 2014 Fourth Quarter Update
    www.colefrieman.com December 29, 2014 Clients, Friends, Associates: December is the busiest month of the year for most private fund managers. In addition to end of year administrative upkeep, the regulatory landscape has shifted dramatically…
  • 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…
Rank this Week: 383

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
  • Apr 30

    Welcome to Canada! Using Regulation A+ to List on the CSE, TSX or TSX Venture Exchange

    Welcome to Canada! Using Regulation A+ to List on the CSE, TSX or TSX Venture Exchange
     By Alixe Cormick Using Regulation A in conjunction with listing on the CSE, TSX, or TSX Venture Exchange in Canada is an option that will become more practical for United States (US) based issuers once proposed changes to Regulation A…
  • Apr 21

    How Much Does an Offering Memorandum Cost?

    How Much Does an Offering Memorandum Cost?
    By Alixe Cormick Asking what the “all-in-costs” are for preparing an offering memorandum (an OM) is like asking how much it costs to build a house. A new 4,000 square foot custom-built house in West Vancouver, BC will cost more…
  • Apr 17

    Where You Can Find the Proposed Canadian Equity Crowdfunding Rules and Form

    Where You Can Find the Proposed Canadian Equity Crowdfunding Rules and Form
      By Alixe Cormick In Canada, two crowdfunding specific exemption proposals are out for public comment: a start-up crowdfunding exemption and an integrated crowdfunding exemption. Six provinces (including Saskatchewan) are…
Rank this Week: 456

Corporate Law and Democracy

Corporate Law and Democracy

A repository of ideas, comments and papers on a range of issues related to corporate law and democracy. By Boston College Law School Professor Renee Jones.

http://reneejones.wordpress.com/
  • Nov 18

    Whither State Securities Enforcement?

    Whither State Securities Enforcement?
    Susan Antilla of Bloomberg news published a recent column  revisiting the question of the continued viability of state securities regulators’ enforcement authority.  I spoke to Susan about my research  on the issue and I am quoted in…
  • Sep 19

    Bailout-palooza

    Bailout-palooza
    The federal goverment’s proposal for a bailout of the financial industry sounded somewhat familiar to me.  I remembered that I had blogged about a similar proposal about a year ago on Conglomerate.
  • Sep 17

    What a Difference a Year Make

    What a Difference a Year Make
    One year ago discussions surrounding corporate law policy were driven by the Sarbanes-Oxley ‘backlash.”  The Paulson Committee and others were warning about how excessive regulation and litigation would lead to the ruin of Wall Street. …
Rank this Week: 526

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/
  • Jan 26

    10 ETFs To Be Excited About In 2015

    10 ETFs To Be Excited About In 2015
    Investors were introduced to more than 180 new exchange-traded products in 2014, as well as a handful of ETF issuer newcomers.While the majority of new offerings offer more traditional investment objectives, there are a passel of funds that…
  • Jan 26

    Good News - FINRA Chief Says FINRA Won't Be Piling On.

    Good News - FINRA Chief Says FINRA Won't Be Piling On.
    In discussing the state of FINRA enforcement's activities, FINRA Enforcement Director Brad Bennett said he will not pursue a violator if the Securities and Exchange Commission or state regulators are going after the same individuals and…
  • Jan 22

    Investor Alert - Owen Li crashes Canarsie Capital in New York

    Investor Alert - Owen Li crashes Canarsie Capital in New York
    Owen Li, the manager of Canarsie Capital has apparently lost nearly 100 million dollars in what he calls overzealous investments, which caused devastating losses.Fund managers who invest the funds assets in an inappropriate manner are liable…
Rank this Week: 2522

Recover Investment Losses Blog

Recover Investment Losses Blog

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

http://blog.rexsecuritieslaw.com
  • Jan 26

    Mervyn Phelan, Loan Broker, Sentenced in Investment Scam

    Mervyn Phelan, Loan Broker, Sentenced in Investment Scam
    January 26, 2015 Mervyn Phelan, Sr. , 74, of California was sentenced to five years in prison and ordered to pay restitution of $17.4 million. Court documents indicate that Phelan operated IAG Underwriters and worked with the McCloskey Group…
  • Jan 26

    Lewis Hunter, Former HD Vest Broker in Katy, Texas, Facing Wire Fraud Charges in Michigan

    Lewis Hunter, Former HD Vest Broker in Katy, Texas, Facing Wire Fraud Charges in Michigan
    January 21, 2015- Grand Rapids, MI Lewis Joseph Hunter, formerly a stockbroker and financial advisor in Grand Rapids, is charged with wire fraud and is accused of contacting former clients and convincing them to invest in worthless stocks.…
  • Jan 26

    Former Yankee Pitcher Ted Lilly Charged with Insurance Fraud

    Former Yankee Pitcher Ted Lilly Charged with Insurance Fraud
    January 24, 2015-San Luis Obispo, California The Wall Street Journal reports that former NY Yankee Ted Lilly has been charged with three felonies related to insurance fraud connected to false claims Lilly filed last year for his damaged RV.…
Rank this Week: 1861

New York Securities Lawyers Blog

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

http://www.newyorksecuritieslawyersblog.com/
  • Jan 26

    Broker-Dealers May Be Held Liable, If Found To Have Misled Brokers About a Product

    Broker-Dealers May Be Held Liable, If Found To Have Misled Brokers About a Product
    Broker-dealers may be held liable to brokers who they threatened, misled, and/or lied to about the features and relative safety of an investment sold to their customers. The stockbroker and broker-dealer relationship can be characterized as…
  • Jan 23

    NY Hedge Fund a Total Loss – Manager is “Truly Sorry”

    NY Hedge Fund a Total Loss – Manager is “Truly Sorry”
    Various news sources, including the New York Post, the Wall Street Journal and CNBC reported on January 22, 2015 that Owen Li, the manager of Canarsie Capital, published a letter to investors apologizing for the almost complete loss of money,…
  • Jan 23

    Brokers in Product Cases Can Be Victims Too

    Brokers in Product Cases Can Be Victims Too
    It is no secret on Wall Street today of what is happening in Puerto Rico in connection with the devastation of the UBS Puerto Rican Closed End Bond Funds.  For many on the island and others in the 50 states, it is a whopper of a problem.…
Rank this Week: 3114

Cady Bar the Door

Cady Bar the Door

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

http://www.secmiscellany.com
  • Jan 26

    The SEC Totally Cares about Its Injunction

    The SEC Totally Cares about Its Injunction
    Last week I wrote a post discussing the injunctions the SEC typically obtains against defendants in federal court.  I noted the oddity of these obey-the-law injunctions and wondered aloud why the Commission never pursues findings of…
  • Jan 20

    Retrench of DOJ’s Equitable Sharing Program Could be Boon to N.C. School

    Retrench of DOJ’s Equitable Sharing Program Could be Boon to N.C. School
    “Equitable Sharing” sounds so reasonable.  Who could argue with it?  Here’s what it is, and what it does:  The Justice Department’s Equitable Sharing program allows federal law enforcement agencies to…
  • Jan 19

    The SEC Does Not Care about Its Injunction

    The SEC Does Not Care about Its Injunction
    It won’t surprise you to learn that the U.S. Code includes this provision: “A court of the United States shall have power to punish by fine or imprisonment, or both, at its discretion, such contempt of its authority . . . as . . .…
Rank this Week: 3815

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Jan 26

    FINRA Fines Sigma Financial Over Supervisory Failures Part I

    FINRA Fines Sigma Financial Over Supervisory Failures Part I
    The Financial Industry Regulatory Authority (FINRA) recently sanctioned Sigma Financial Corporation (Sigma Financial) alleging from April 25, 2011, through June 24, 2012, supervisory deficiencies existed at Sigma in specific areas of…
  • Jan 23

    FINRA Bars Broker Chase Casson For Failing to Respond to Inquiries Over Private Transaction

    FINRA Bars Broker Chase Casson For Failing to Respond to Inquiries Over Private Transaction
    The Financial Industry Regulatory Authority (FINRA) recently barred broker Chase Casson (Casson) alleging that Casson failed to provide documents and information to FINRA in response to demands made to investigate the broker’s…
  • Jan 22

    Overconcentrated in Oil and Gas Investments?

    Overconcentrated in Oil and Gas Investments?
    A strengthening dollar and increased global supply of oil has sent crude oil prices tumbling in the second half of 2014. Recently, crude futures for delivery in February 2015 fell to $52.69 a barrel, the lowest finish since April 2009. Some…
Rank this Week: 1703

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
  • Jan 26

    WHITE HOUSE TAKING NOTICE OF FINACIAL ADVISORS COSTING WORKERS BILLIONS IN RETIREMENT SAVINGS

    WHITE HOUSE TAKING NOTICE OF FINACIAL ADVISORS COSTING WORKERS BILLIONS IN RETIREMENT SAVINGS
    A top economic adviser under President Obama is calling for stricter rules on Wall Street after finding some bad broker practices costing investors $8 billion to $17 billion a year. Chairman of President Obama’s Council of Economic…
  • Jan 23

    WHAT HAPPENS WHEN YOUR BROKERS AGE CATCHES UP WITH THEM?

    WHAT HAPPENS WHEN YOUR BROKERS AGE CATCHES UP WITH THEM?
    Just like an average person who ages, an older financial adviser is more likely to show signs of aging. Red flags that a financial adviser might be suffering from senior moments: forgetfulness, a tendency to repeat things, a disregard for…
  • Jan 20

    SEC Compliance Inspections and Examinations Office Released Examination Priorities for 2015

    SEC Compliance Inspections and Examinations Office Released Examination Priorities for 2015
    The Examination priorities for 2015 address issues across a variety of financial institutions, including investment advisers, investment companies, broker-dealers, transfer agents, clearing agencies, and national securities exchanges. …
Rank this Week: 3967

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Jan 26

    Proxy Access Punt: Glass Lewis’ New Policy on Counterproposal

    Proxy Access Punt: Glass Lewis’ New Policy on Counterproposal
    On Friday, Glass Lewis issued a statement about how it will treat proxy access shareholder proposals through this WSJ article. The article opens with: Proxy advisory firm Glass, Lewis & Co. is considering recommending shareholders vote…
  • Jan 23

    Our New “Proxy Advisors Handbook”

    Our New “Proxy Advisors Handbook”
    Spanking brand new. By popular demand, this comprehensive “Proxy Advisors Handbook” covers all you need to know about dealing with ISS and Glass Lewis (it’s now posted on our “Proxy Advisors” Practice Area). This…
  • Jan 22

    Academic Gang War! 34 Professors Protest Grundfest/Gallagher Paper

    Academic Gang War! 34 Professors Protest Grundfest/Gallagher Paper
    The sporadic occasion of law firms coming together to issue a white paper on a topic that could use consensus perhaps has spread to the academic world. Except the professors don’t seek a consensus view – they seek a retraction.…
Rank this Week: 2517

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/
  • Jan 26

    Corp Fin’s No-Action Relief: 5-Business Day Debt Tender Offers Allowed

    Corp Fin’s No-Action Relief: 5-Business Day Debt Tender Offers Allowed
    On Friday, Corp Fin’s Office of Mergers & Acquisitions issued a no-action response as fleshed out by this Gibson Dunn blog by Jim Moloney & Andrew Fabens (we’re posting memos about this in our “Tender Offers”…
  • Jan 22

    M&A Retention Plans: Market Trends & Best Practice

    M&A Retention Plans: Market Trends & Best Practice
    Here’s an excerpt from this recent Towers Watson memo from Scott Oberstaedt and Mary Chico: When we dissected the responses to identify retention plan design features and practices that were most effective in enhancing retention,…
  • Jan 21

    Model Rule Exempting M&A Brokers Proposed by NASAA

    Model Rule Exempting M&A Brokers Proposed by NASAA
    Here’s news from this blog by David Jenson of Stinson Leonard Street: The Broker-Dealer section of the North American Securities Administrators Association (NASAA) has proposed a model uniform state rule (the “Model Rule”)…
Rank this Week: 2623

William Carleton, Counselor @ Law

William Carleton, Counselor @ Law

Covers legal and investment issues facing emerging tech companies.

http://www.wac6.com/wac6/
  • Jan 25

    One Thousand Things Worth Knowing

    One Thousand Things Worth Knowing
    This weekend I've read Paul Muldoon's newly published collection of poems, "One Thousand Things Worth Knowing." (The dust jacket sports a very pleasing design by the ubiquitous Quemadura, a brilliant designer and a kind man I will…
  • Nov 16

    ACA Webinar on Accredited Investor Definition and Established Angel Group Certification

    ACA Webinar on Accredited Investor Definition and Established Angel Group Certification
    I've just listened to an archived recording of an excellent webinar presented by the Angel Capital Association last week (I had intended to listen in real time, but got pulled away): ACA Webinar on Accredited Investor Definition and…
  • Nov 4

    A Sestina About Copyright

    A Sestina About Copyright
    Sestinas are all about copyright!
Rank this Week: 4788

The Securities Edge

The Securities Edge

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

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

    In sickness and in health

    In sickness and in health
    Posted By: Robert B. Lamm Jamie Dimon, CEO of JPMorgan Chase, is reputed to be a decisive person with a strong personality.  Of course, that shouldn’t be news to anyone who follows business or who knows what it takes to be CEO of…
  • Jan 20

    Update to the JOBS Act? Probably not…

    Update to the JOBS Act? Probably not…
    Posted By: David C. Scileppi   On January 14th, the House passed H.R. 37 “Promoting Job Creation and Reducing Small Business Burdens Act.”  Although passed with some support from the Democrats (29 votes, which in these…
  • Jan 17

    Shock and awe at the SEC (and turning it into chicken salad)

    Shock and awe at the SEC (and turning it into chicken salad)
    Posted By: Robert B. Lamm Something shocking happened at the SEC yesterday.  SEC Chair Mary Jo White directed the SEC Staff to review its long-standing position on when a shareholder proposal conflicts with a company proposal and may be…
Rank this Week: 3447

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Jan 24

    Domestic Statu

    Domestic Statu
    Under the Morrison test for extraterritoriality, a Section 10(b) claim for securities fraud may only be brought if the transaction involved “the purchase or sale of a security listed on an American stock exchange” or “the…
  • Jan 15

    That Escalated Quickly

    That Escalated Quickly
    Item 303 of Regulation S-K requires issuers to disclose known trends or uncertainties “reasonably likely” to have a material effect on operations, capital, and liquidity. Plaintiffs often contend that if the disclosure required…
  • Dec 31

    The Circumstances of Fraud

    The Circumstances of Fraud
    Federal Rule of Civil Procedure 9(b) states that “[i]n alleging fraud or mistake, a party must state with particularity the circumstances  fraud or mistake.”  Whether FRCP 9(b) applies to the…
Rank this Week: 2524

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/
  • Jan 23

    TSX proposes additional listing exemptions for interlisted issuer

    TSX proposes additional listing exemptions for interlisted issuer
    Jonah Mann -  The Toronto Stock Exchange yesterday proposed amendments to its Company Manual that would adopt a broader deference model in respect of certain exchange requirements where an interlisted issuer is subject to the…
  • Jan 23

    Regulators adopt changes to CRM2 project

    Regulators adopt changes to CRM2 project
    Earlier this week, the Investment Industry Regulatory Organization of Canada announced that Phase 2 of its Client Relationship Model amendments (CRM2) have been approved by the applicable securities regulatory authorities and will come…
  • Jan 23

    CSA issue guidance on structured notes filing

    CSA issue guidance on structured notes filing
    The Canadian Securities Administrators yesterday issued a notice setting out the views of CSA staff concerning the offering of structured notes under the shelf prospectus system. Structured (or linked) notes are specified derivatives…
Rank this Week: 4357

Securities Law Prof Blog

Securities Law Prof Blog

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

http://lawprofessors.typepad.com/securities/
  • Jan 23

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: David K. Brown & Derek B. Swanson, Securities Regulation, 65 Mercer L. Rev. 1087 (2014). Winthrop N. Brown, With This ring, I Thee…
  • Jan 23

    Jackson, Jiang & Mitts on Information Dissemination

    Jackson, Jiang & Mitts on Information Dissemination
    Robert J. Jackson Jr., Wei Jiang, and Joshua Mitts have posted How Quickly Do Markets Learn? Private Information Dissemination in a Natural Experiment on SSRN with the following abstract: Using data from a unique episode in which the SEC…
  • Jan 23

    Heese on SEC Enforcement

    Heese on SEC Enforcement
    Jonas Heese has posted Government Preferences and SEC Enforcement on SSRN with the following abstract: I examine whether political pressure by the government as a response to voters’ general interest in protecting employment is reflected in…
Rank this Week: 620

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/
  • Jan 23

    A Couple Of Things To Know Before Bringing A Piercing The Corporate Veil Claim

    A Couple Of Things To Know Before Bringing A Piercing The Corporate Veil Claim
    You might remember the case of  Cold Springs Ventures, LLC v. Gilead Sciences, Inc..  Last year, Judge Jolly stayed an arbitration proceeding pending a ruling on a piercing the corporate veil claim.  If you are a reader of this…
  • Jan 16

    Reading Before Signing Is Advisable

    Reading Before Signing Is Advisable
    It's pretty basic that your clients should read the agreements that they sign before they sign them.  Or you should at least explain to your client the key provisions in what they are going to sign, if they are not going to read it. In…
  • Jan 6

    Do You Have To Be The Owner Of A Trade Secret To Sue For Misappropriation?

    Do You Have To Be The Owner Of A Trade Secret To Sue For Misappropriation?
    Can an exclusive licensee of a trade secret sue for its misappropriation?  Maybe, even though North Carolina's version of the Uniform Trade Secrets Protection Act reserves the right to sue to an "owner."  N.C. Gen. Stat.…
Rank this Week: 1352

Subject to Inquiry

Subject to Inquiry

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

http://www.subjecttoinquiry.com/
  • Jan 22

    White House Proposes Expansive Data Breach Notification Bill

    White House Proposes Expansive Data Breach Notification Bill
    Last week, President Obama proposed wide-reaching legislation to establish a uniform, nationwide standard for data breach notifications that envisions a significant enforcement role for the Consumer Financial Protection Bureau (CFPB). The…
  • Jan 16

    House Takes Action to Delay Volcker Rule

    House Takes Action to Delay Volcker Rule
    On Wednesday, the House passed a bill that would further delay the full implementation of the Volcker Rule – a highly controversial rule introduced under the Dodd-Frank Wall Street Reform and Consumer Protection Act that prohibits banks…
  • Jan 14

    CFPB Director Cordray Touts Mortgage Servicing Progress, New Consumer Tool

    CFPB Director Cordray Touts Mortgage Servicing Progress, New Consumer Tool
    At a January 13 Brookings Institution event, Consumer Financial Protection Bureau (CFPB) Director Richard Cordray delivered remarks on the current state of the mortgage market.Touting the recently enacted CFPB mortgage rules as evidence of…
Rank this Week: 2016

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
Rank this Week: 997

White Collar Alert

White Collar Alert

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

http://whitecollarblog.mmwr.com
Rank this Week: 1578

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/
  • Jan 21

    New House Bill Aims to Reduce Some Dodd-Frank Regulatory Burden

    New House Bill Aims to Reduce Some Dodd-Frank Regulatory Burden
    On January 24, 2015, the U.S. House of Representatives passed a bill that loosens certain Dodd-Frank requirements and reduces the scope of the SEC’s regulatory authority over certain private equity firms, small businesses, and emerging…
  • Jan 13

    Corporate Whistleblowing: Key Issues In Responding to Possible Violation

    Corporate Whistleblowing: Key Issues In Responding to Possible Violation
    The need to detect and investigate reported allegations of wrongdoing within a corporation has long been a fact of corporate life. In the last 15 years, however, a combination of circumstances has contributed to an explosion of activity in…
  • Jan 7

    Delaware Supreme Court Holds That Revlon Does Not Require An Active Market Check

    Delaware Supreme Court Holds That Revlon Does Not Require An Active Market Check
    On December 19, 2014, the Supreme Court of Delaware reversed the Delaware Court of Chancery’s November decision to preliminarily enjoin for 30 days a vote by C&J Energy Services stockholders on a merger with Nabors Red Lion Limited,…
Rank this Week: 3261

Securities Compliance Sentinel

Securities Compliance Sentinel

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

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

    What Is Big Brother Focused On In 2015

    What Is Big Brother Focused On In 2015
    It is that time of year again.  The SEC Office of Compliance and Inspection (OCIE) has announced its examination priorities for 2015.  Knowing what these priorities are will help firms gauge their compliance and supervision efforts…
  • Jan 20

    Why You Need To Think Twice About That New Hire

    Why You Need To Think Twice About That New Hire
    Starting July 1, member firms are required to have written procedures to verify the accuracy and completeness of the information in a registered representative’s U-4 within 30 days of the U-4 being filed with FINRA.  The question…
  • Dec 23

    Whistleblower Tips Continue to Rise in 2014

    Whistleblower Tips Continue to Rise in 2014
    The number of whistleblower tips to the Securities and Exchange Commission (SEC) continues to rise, according to the SEC’s 2014 Annual Report to Congress on the Dodd-Frank Whistleblower Program.  In the November 17, 2014 report,…
Rank this Week: 3810

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
  • Jan 21

    SEC Sings You're Gonna Have To Serve Somebody With A Proper Brief

    SEC Sings You're Gonna Have To Serve Somebody With A Proper Brief
    Imagine that you're broke and can't afford a fabulous but high-priced regulatory lawyer like me and you need to submit a brief in response to some absolutely outrageous allegations made against you by the Securities and Exchange Commission…
  • Jan 20

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
    Chinese Pharma Private Securities TransactionsAs the economy recovers from the Great Recession, a number of regulatory violations that had been somewhat dormant for the past few years are once again showing up on the radar screen. With…
  • Jan 20

    Chinese Pharma Private Securities Transaction

    Chinese Pharma Private Securities Transaction
    As the economy recovers from the Great Recession, a number of regulatory violations that had been somewhat dormant for the past few years are once again showing up on the radar screen. With increasing number of deals, we're also…
Rank this Week: 2843

Business Law Post

Business Law Post

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

http://www.businesslawpost.com
  • Jan 19

    How to Comply with New York Blue Sky Laws?

    How to Comply with New York Blue Sky Laws?
    As I previously explained here, Rule 506 private placements involve the filing of a Form D with the SEC as well as complying with blue sky notice filings requirements in each state where the investors participating in the offering reside.…
  • Jan 19

    The SEC Increases Focus On Digital Currencie

    The SEC Increases Focus On Digital Currencie
    It is clear that the SEC has been focusing on securities fraud involving digital currencies.  In July 2013, the SEC charged Trendon T. Shavers, the founder and operator of Bitcoin Savings and Trust, with defrauding investors in a…
  • Dec 26

    Blue Sky Filings Made Easy?

    Blue Sky Filings Made Easy?
    One of the reasons that explains why Rule 506 offerings have been so popular as a means of conducting a private placement is because they are exempt from state regulation.  In 1996, the National Securities Markets Improvement Act…
Rank this Week: 4541

Institutional Investor Securities…

Institutional Investor Securities Blog

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

http://www.institutionalinvestorsecuritiesblog.com/
Rank this Week: 4703

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: 1929

Stock Market Loss

Stock Market Loss

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

http://www.stockmarketloss.com/news/
Rank this Week: 3392

Footnoted

Footnoted

Reports on actionable information in SEC filings.

http://www.footnoted.com/
Rank this Week: 1479

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: 2741

InvestorLawyers.net

InvestorLawyers.net

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

http://www.investorlawyers.net/blog/
Rank this Week: 3335

Stock Broker Attorney Blog

Stock Broker Attorney Blog

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

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

    Man Sentence to 18-Months for Investment Scam

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

    SEC Charges Unlicensed Man with Scamming Investor

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

    Broker Barred from Practice for Stealing from Elderly

    Broker Barred from Practice for Stealing from Elderly
    Jeffrey McClure, a former employee of Wells Fargo Advisors and an affiliated bank in California, was recently barred from the securities industry after stealing almost $89,000 from an elderly customer. Between December 2012 and August 2014,…
Rank this Week: 3142