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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: 44

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/
  • Mar 1

    New Arbitrator Rule - Customer and Firm Attorneys are No Longer Public Arbitrator

    New Arbitrator Rule - Customer and Firm Attorneys are No Longer Public Arbitrator
    The SEC has approved a FINRA rule proposal which will dramatically change the composition of arbitration panels. For years attorneys who solely represent customers have been complaining that there are too many arbitrators with ties to the…
  • Feb 24

    Stifel Confirms Acquisition of Sterne Agee

    Stifel Confirms Acquisition of Sterne Agee
    After weeks of speculation, St. Louis-based Stifel Financial announced it has entered a definitive merger agreement to acquire Birmingham's Sterne Agee Group Inc. in a $150 million deal. Sterne Agee brings 730 financial advisers and…
  • Feb 23

    With 100% Success Rate, SEC's Use of In-House Judges Questioned by Commissioner Piwowar

    With 100% Success Rate, SEC's Use of In-House Judges Questioned by Commissioner Piwowar
    The SEC's increased use of administrative proceedings as the forum for its enforcement actions has come under fire in recent months, with many of the respondents in those cases filing lawsuits arguing (unsuccessfully) that administrative…
Rank this Week: 135

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Feb 27

    Chair Massad Highlights Recent CFTC Actions and Prioritie

    Chair Massad Highlights Recent CFTC Actions and Prioritie
    [This story previously appeared in Securities Regulation Daily.]By Amanda Maine, J.D.The global financial crisis demonstrated how excessive risk in the over-the-counter (OTC) derivatives market can contribute to systemic risk, according…
  • Feb 26

    Commission Puts the Brakes on Goodyear FCPA Violation

    Commission Puts the Brakes on Goodyear FCPA Violation
    [This story previously appeared in Securities Regulation Daily.]By Rodney F. Tonkovic, J.D.The Goodyear Tire & Rubber Company will pay over $16 million to settle charges of FCPA violations arising from bribes paid by subsidiaries in…
  • Feb 25

    IM Guidance Recommends Policy Updates to Guard Against Buyoff

    IM Guidance Recommends Policy Updates to Guard Against Buyoff
    [This story previously appeared in Securities Regulation Daily.]By Amy Leisinger, J.D.The SEC’s Division of Investment Management has issued guidance to caution investment advisers regarding the conflict of interest that arises…
Rank this Week: 273

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Feb 27

    Capital Investment Group broker, Wanda Newton Cooper: stock fraud firm hearing complaint

    Capital Investment Group broker, Wanda Newton Cooper: stock fraud firm hearing complaint
    New York based stock fraud attorneys at Fitapelli Kurta are interested in speaking to investors who have complaints about Capital Investment Group or Wanda Newton Cooper. The post Capital Investment Group broker, Wanda Newton Cooper: stock…
  • Feb 26

    Berthel, Fisher’s Thomas Biesheuvel faces pending complaint

    Berthel, Fisher’s Thomas Biesheuvel faces pending complaint
    Thomas Biesheuvel is the CEO of InConcert Financial Group, an independent consulting company offering securities through Berthel, Fisher & Co. InConcert Financial Group is located in El Cerrito, California. Thomas Biesheuval is a…
  • Feb 10

    Broker-dealer firm, M & T Securities, fined $300,000 by FINRA

    Broker-dealer firm, M & T Securities, fined $300,000 by FINRA
    February 10, 2015, New York – M & T Securities, a Buffalo based broker-dealer firm, was fined $300,000 by the Financial Industry Regulatory Authority (FINRA) on January 29, 2015. The post Broker-dealer firm, M & T Securities,…
Rank this Week: 237

Financial Counsel

Financial Counsel

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

http://financialcounselblog.com
  • Feb 27

    World Equity Group Is Charged for Failing to Supervise Sales of Risky Investment

    World Equity Group Is Charged for Failing to Supervise Sales of Risky Investment
    From the Desk of Jim Eccleston at Eccleston Law Offices:FINRA has accused World Equity Group, an Illinois based brokerage firm, of failing to supervise the sale of non-traditional Exchange Traded Funds (ETFs), failing to properly document due…
  • Feb 24

    First American Securities Charged for Failing to Supervise Broker

    First American Securities Charged for Failing to Supervise Broker
    From the Desk of Jim Eccleston at Eccleston Law Offices: First American Securities, Inc., an Ohio-based brokerage firm, was fined by FINRA for failing to implement, maintain and enforce a proper supervisory system. According to FINRA,…
  • Feb 18

    Deferred Compensation Is the New Black For Wirehouses Payment Grid

    Deferred Compensation Is the New Black For Wirehouses Payment Grid
    From the Desk of Jim Eccleston at Eccleston Law Offices:Many wirehouses have deferred compensations for their advisors. Even though the whole grids were largely left intact, compensation is inarguably more back loaded, and therefore somewhat…
Rank this Week: 162

North Carolina Business Litigation…

North Carolina Business Litigation Report

Reports on judicial decisions of significance to business and shareholders. By Mack Sperling of Brooks Pierce LLP.

http://www.ncbusinesslitigationreport.com/
  • Feb 25

    A Valuable Point From The NC Business Court On Subpoenas Without Deposition

    A Valuable Point From The NC Business Court On Subpoenas Without Deposition
    Can you send a subpoena duces tecum -- which translated from Latin is "a writ commanding a person to produce in court certain designated documents or evidence " --  without coupling it with a deposition? Maybe that question has never…
  • Feb 12

    The Business Court Rules Again On Claims Under The North Carolina Securities Act

    The Business Court Rules Again On Claims Under The North Carolina Securities Act
    Last week's decision in Atkinson v. Lackey, 2015 NCBC 13 doesn't tell you everything you wanted to know about the North Carolina Securities Act (the "NCSA"), but it comes pretty close. The lawsuit was brought by three individuals who had made…
  • Feb 11

    An Answer To A Million Dollar Question About Designating Cases To The NC Business Court

    An Answer To A Million Dollar Question About Designating Cases To The NC Business Court
    This past Friday, I went to a seminar put on by the Antitrust and Complex Business Disputes Law Section of the North Carolina Bar Association in an almost successful effort to finish getting my required CLE hours for 2014.  This seminar…
Rank this Week: 229

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/
  • Feb 23

    SEC Speaks 2015

    SEC Speaks 2015
    At SEC Speaks 2015 on February 20, 2015 in Washington, D.C., Chair Mary Jo White, Commissioner Luis A. Aguilar, Commissioner Daniel M. Gallagher, Commissioner Michael S. Piwowar, and Commissioner Kara M. Stein delivered remarks. The texts of…
  • Feb 23

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: Jesse Scott, Student Article, The JOBS Act: Encouraging Capital Formation, But Not IPOs, 7 J. Bus. Entrepreneurship & L. 367 (2014).…
  • Feb 23

    This Week in Securities Litigation

    This Week in Securities Litigation
    The SEC Actions Blog has compiled This Week In Securities Litigation (Week ending February 20, 2015).
Rank this Week: 207

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
Rank this Week: 184

Sharesleuth.com

Sharesleuth.com

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

http://sharesleuth.com/
  • Feb 4

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

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

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

    Kandi Technologies Group Inc.: Where are the Go-Karts?
    When the global economy collapsed in the fall of 2008, the sharp drop in consumer spending threw the power sports industry into a steep decline. Sales of motorcycles, go-karts and all-terrain vehicles each plunged by 30 percent or more,…
  • Oct 7

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

    Kandi Technologies Group Inc.: The return of the cyber shill
    Last June, shares of Kandi Technologies Group Inc. (Nasdaq: KNDI) doubled in the space of a week, spurred on by a mysterious network of social-media touters who later deleted their posts or shut down their accounts…
Rank this Week: 284

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 LawyerGoing public is a big step for any company.  The process of “going public” is complex and at times precarious.  While going public offers many benefits it also comes with risks and quantities of…
  • Jan 1

    Going Public Blog l Securities Lawyer 101

    Going Public Blog l Securities Lawyer 101
    Going Public Lawyer  Securities Lawyer 101 Blog Going public is a big step for any company.  The process of “going public” is complex and at times precarious.  While going public offers many benefits it also comes…
Rank this Week: 432

The White Law Group's Securities…

The White Law Group's Securities Fraud Blog

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

http://www.whitesecuritieslaw.com/securities-fraud/blog/
  • Feb 27

    Investigation into Unite Realty Trust

    Investigation into Unite Realty Trust
    Recent news regarding the real estate investment trust, United Realty Trust, may be of concern to some investors. According to Investment news, a former executive of Cabot Lodge securities, Al Akerman, sent a letter to the SEC’s Office…
  • Feb 20

    Jason Muskey Accused of Fraud

    Jason Muskey Accused of Fraud
    Have you suffered financial losses as a result of investments made with Jason Muskey? If so, The White Law Group may be able to help you recover your investment losses through an arbitration claim with the Financial Industry Regulatory…
  • Feb 20

    Fraud Charges filed against Timothy S. Demski and Walter F. Grenda

    Fraud Charges filed against Timothy S. Demski and Walter F. Grenda
    If you suffered losses investing in Prestige Wealth Management Fund, the securities attorneys of The White Law Group may be able to help you recover your investment losses. According to a press release, the Securities and Exchange Commission…
Rank this Week: 842

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Feb 27

    Gana LLP Broker Spotlight: Wade Lawrence

    Gana LLP Broker Spotlight: Wade Lawrence
    According to the records kept by the Financial Industry Regulatory Authority (FINRA) broker Wade Lawrence (Lawrence) has been suspended following the broker’s failure to comply with an arbitration award or settlement and by failing to…
  • Feb 27

    FINRA Files Complaint Against Daniel McCourt Concerning Promissory Note

    FINRA Files Complaint Against Daniel McCourt Concerning Promissory Note
    The Financial Industry Regulatory Authority (FINRA) filed a complaint against broker Daniel McCourt (McCourt) concerning allegations McCourt participated in private securities transactions, also known as “selling away”, without…
  • Feb 26

    FINRA Sanctions Broker Douglas Campbell Jr. Over Unsuitable Investment Advice

    FINRA Sanctions Broker Douglas Campbell Jr. Over Unsuitable Investment Advice
    The Financial Industry Regulatory Authority (FINRA) sanctioned broker Douglas Campbell Jr. (Campbell) concerning allegations that between May 2008 and September 2008, while registered with Wedbush Morgan Securities, Inc. (Wedbush), he engaged…
Rank this Week: 449

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Feb 27

    Proxy Access: Citigroup Joins GE & Others (Sorta Kinda)

    Proxy Access: Citigroup Joins GE & Others (Sorta Kinda)
    A few weeks ago, I blogged that General Electric and two other companies had adopted proxy access bylaws in the face of shareholder proposals seeking access. Now comes the news from this WSJ article (& this Reuters piece) – in this…
  • Feb 26

    Should the SEC Shorten Its Adopting Releases By Providing Less Guidance, Etc.?

    Should the SEC Shorten Its Adopting Releases By Providing Less Guidance, Etc.?
    Recently, SEC Commissioner Piwowar delivered this speech entitled “A Fair, Orderly, and Efficient SEC.” The piece of the speech that interested me was the one below calling for shorter adopting releases – and perhaps even…
  • Feb 25

    Proxy Access: CalPERS & CalSTRS Weigh In

    Proxy Access: CalPERS & CalSTRS Weigh In
    In this recent joint statement about climate change, CalPERS and CalSTRS note that they intend to ramp up their engagement efforts on this topic. In the announcement, CalPERS states it has sent proxy access shareholder proposals to 33 energy…
Rank this Week: 305

California Corporate & Securities…

California Corporate & Securities Law

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

http://calcorporatelaw.com/
  • Feb 27

    Is Anything Fishy With The SEC’s Whistleblower Inquiries?

    Is Anything Fishy With The SEC’s Whistleblower Inquiries?
    Yesterday, Rachel Louise Ensign of The Wall Street Journal wrote that the SEC recently sent letters “to a number of companies asking for years of nondisclosure agreements, employment contracts and other documents”.  According…
  • Feb 26

    Finders Bill Was Lost, But Now Is Found

    Finders Bill Was Lost, But Now Is Found
    In the last legislative biennium, the Corporations Committee of the Business Law Section of the California State Bar sponsored a bill, AB 713 (Wagner), to clarify the status of finders under the California Corporate Securities Law of…
  • Feb 25

    The “Long Arm” Of Section 2115 May Be Shorter Than Some Believe

    The “Long Arm” Of Section 2115 May Be Shorter Than Some Believe
    Recently, I came across a prospectus that included a description of California Corporations Code Section 2115 under the caption “Description of Capital Stock”.  The description began: We are a Delaware corporation, governed…
Rank this Week: 471

DealLawyers.com Blog

DealLawyers.com Blog

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

http://www.deallawyers.com/Blog/
  • Feb 26

    Activision: Shareholder Challenging $275 Million Settlement

    Activision: Shareholder Challenging $275 Million Settlement
    This Reuters article provides an interesting summary of some of the issues relating to the proposed settlement – and the expected objection – in the In re Activision Blizzard settlement announced last November. In addition to an…
  • Feb 25

    Webcast: “Private M&A Wake-Up Calls”

    Webcast: “Private M&A Wake-Up Calls”
    Tune in tomorrow for the webcast – “Private M&A Wake-Up Calls: Conflicted Board Risks, Post-Closing Unenforceability & Shareholder Approval/Duty of Care Traps” – to hear Cleary Gottlieb’s Ethan…
  • Feb 23

    One Plaintiff, Dozens of Merger Objection Lawsuits, Millions in Attorneys’ Fees, Zero for Shareholder

    One Plaintiff, Dozens of Merger Objection Lawsuits, Millions in Attorneys’ Fees, Zero for Shareholder
    Here’s an excerpt from this blog by Kevin LaCroix of the D&O Diary: It is now well-established that pretty much every M&A deal attracts at least one lawsuit from a shareholder objecting to the transaction. According to research…
Rank this Week: 310

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/
  • Feb 18

    U.S. Bank National Association Must Pay $18M to Peregrine Customers, Says Court

    U.S. Bank National Association Must Pay $18M to Peregrine Customers, Says Court
    A district court issued a Consent Order placing a permanent injunction against the U.S. Bank National Association and mandating that the bank return $18 million to customers of Peregrine Financial Group, Inc. customers. US Bank has offices…
  • Feb 17

    DOJ Investigating UBS Over Losses Related To Firm’s V10 Enhanced FX Carry Strategy

    DOJ Investigating UBS Over Losses Related To Firm’s V10 Enhanced FX Carry Strategy
    UBS Group AG (UBS) is under scrutiny over losses related to its V10 Enhanced FX Carry Strategy. The complex financial product was sold to fund managers, businesses, and individual investors and touted as a high-yielding foreign-exchange…
  • Feb 16

    Jury Says Ex-Envoy Involved in Stanford Ponzi Scam Must Pay $750K

    Jury Says Ex-Envoy Involved in Stanford Ponzi Scam Must Pay $750K
    A federal jury has decided that ex-U.S. Ambassador to Ecuador Peter Romero would not be allowed to keep over $758K in expenses, fees, and interest he earned while lending his legal counsel and credibility to Allen Stanford. Instead, he will…
Rank this Week: 654

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/
  • Feb 9

    Once again, House takes up bill governing M&A broker

    Once again, House takes up bill governing M&A broker
    HR 686, The Small Business Mergers, Acquisitions, Sales & Brokerage Simplification Act, was introduced in the U.S. House of Representatives on Feb. 3, 2015. This bill is identical to HR 2274, which was passed unanimously in the U.S. House…
  • 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…
Rank this Week: 570

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: 457

Tim O'Connor's Blog

Tim O'Connor's Blog

Covers stockbroker fraud.

http://stockbrokerlaw.com/tim-oconnors-blog
  • Aug 12

    ERISA Plan Trustees Subject to Offsets for Prohibited Transactions as Functional Fiduciarie

    ERISA Plan Trustees Subject to Offsets for Prohibited Transactions as Functional Fiduciarie
    ERISA-Qualified Pension Plans The past decade has seen an explosion of new investment products being purchased in ERISA-qualified pension plans. These products, including structured products, auction rate notes, private placements, managed…
  • Jul 31

    Tenants-in-Common Investments: An Accident Waiting to Happen

    Tenants-in-Common Investments: An Accident Waiting to Happen
    The most common form of tenancy-in-common interests involves ownership interests in real property, with two or more persons possessing undivided interests in the property. Section 1031 of the Internal Revenue Code codified permissible…
  • Jul 21

    New York State Deferred Compensation Plan Beneficiary Designation

    New York State Deferred Compensation Plan Beneficiary Designation
    The New York State Deferred Compensation Plan is presently administered through Nationwide, and curiously, beneficiary designation forms must be mailed to an address in Ohio, not New York State. The New York State Deferred Compensation Plan…
Rank this Week: 812

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: 531

Florida Securities Fraud Attorney…

Florida Securities Fraud Attorney Blog

Covers Florida securities fraud cases and issues. By Ralph Behr, Esq. P.A.

http://www.floridasecuritiesfraudattorney.com/
  • Jun 4

    Scanning License Plates and Privacy

    Scanning License Plates and Privacy
    Fort Lauderdale police agencies have technology to read license plates. Once read, the plates are matched against outstanding traffic tickets. In addition, the owner’s name is matched against outstanding criminal warrants. At what…
  • Jun 2

    SEC Charges White Collar Crimes in Sarasota

    SEC Charges White Collar Crimes in Sarasota
    A fund manager in Sarasota, Florida was charged with defrauding investors of $3.8 million. The fund manager, Gaeton Della Penna, faces federal criminal charges in the Middle District of Florida for defrauding investors. Criminal charges,…
  • May 29

    Demands for Chemtrail Conspiracy Arrest

    Demands for Chemtrail Conspiracy Arrest
    The History Channel‘s broadcast of "Weather Warfare" focused international interest in The State of the Nation’s demand that the International Criminal Court begin a criminal investigation into what I have dubbed "The…
Rank this Week: 516

Securities Attorney Law Blog

Securities Attorney Law Blog

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

http://securitiesattorneys.us/
Rank this Week: 445

Dividends and Preferences

Dividends and Preferences

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

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

    Microsoft/Skype -- Putting Things into Perspective

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

    Nerd Chic

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

    Out and About

    Out and About
    Hey folks -- I'm getting ready to head down to the RTP area for the annual CED Venture Conference.  This year it is in downtown Raleigh, instead of Pinehurst, and looks to be bigger and better than ever. So, if anyone happens to be in the…
Rank this Week: 780

Inside Sarbanes Oxley

Inside Sarbanes Oxley

Covers Sarbanes-Oxley and compliance.

http://insidesarbanesoxley.com/
  • Sep 10

    Whistleblowing – What you need to know about the Dodd-Frank Act

    Whistleblowing – What you need to know about the Dodd-Frank Act
    If your organization isn’t already offering incentives to ferret out inappropriate behaviors, the new Dodd-Frank Act and whistleblowing rewards just might (and could make your company the next public spectacle). Deloitte’s…
  • May 26

    Internal Audit: The Continuous Conundrum

    Internal Audit: The Continuous Conundrum
    The department painstakingly went through its inventory of SOX controls to determine which ones could be assessed just by analyzing data in company systems. Then data-analytic scripts were written to allow exceptions to be found. Now, for…
  • May 26

    How to choose the right nonexecutive board leader

    How to choose the right nonexecutive board leader
    Ever since stock-listing requirements prompted many US companies to name an independent director to serve as the chairman, lead director, or presiding director of the board, these companies have been grappling with what, exactly, this board…
Rank this Week: 326

The Securities Edge

The Securities Edge

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

http://www.thesecuritiesedge.com/
  • Mar 1

    Political contributions disclosure: My Exchange Act report is bigger than your

    Political contributions disclosure: My Exchange Act report is bigger than your
    Posted By: Robert B. Lamm As some of us contemplate which disclosure rules we’d like to do away with, others are thinking about new rules that would require more disclosure. One possible area of rulemaking relates to disclosure of…
  • Feb 20

    Ineffective disclosure

    Ineffective disclosure
    Posted By: Robert B. Lamm It’s not for nothing that I’m a securities lawyer.  I sincerely believe in the need for and efficacy of full and fair disclosure, both professionally and personally.  That’s one of the…
  • Feb 12

    Marketplace lending: A hot new industry looking for crowdfunding

    Marketplace lending: A hot new industry looking for crowdfunding
    Posted By: Gregory K. Bader Marketplace lending surely had its day in the sun in 2014.  Peer-to-peer lending, which now goes by the term marketplace lending, took a big step forward last year.  We saw the IPO of Lending Club rocket…
Rank this Week: 2881

Recover Investment Losses Blog

Recover Investment Losses Blog

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

http://blog.rexsecuritieslaw.com
  • Mar 1

    “Wings Network” Named by SEC in Ponzi Scheme Targeting Latino

    “Wings Network” Named by SEC in Ponzi Scheme Targeting Latino
    February 27, 2015 The U.S. Securities & Exchange Commission (SEC) filed charges against 3 company officers and 12 promoters who were operating an international pyramid scheme using  Portuguese companies operating under the name Wings…
  • Feb 27

    Charles Kilway of North Richland Hills, TX, Sentenced for Securities Fraud

    Charles Kilway of North Richland Hills, TX, Sentenced for Securities Fraud
    February 19, 2015- North Richland Hills, Texas The Texas State Securities Board announced that Charles Wayne Kilway was sentenced to 15 years in state prison for the fraudulent sale of securities and 15 years for theft of property from the…
  • Feb 27

    Newbridge Securities Agrees to Pay $850,000 in Inflated Postage Charge Class Action

    Newbridge Securities Agrees to Pay $850,000 in Inflated Postage Charge Class Action
    February 27, 2015- Ft. Lauderdale, FL The InvestmentNews reports that Newbridge Securities Corp. , which is headquartered in Ft. Lauderdale, Florida, has agreed to pay $850,000 to resolve a class action lawsuit alleging that Newbridge…
Rank this Week: 2246

White Collar Wire

White Collar Wire

Covers news, cases, judicial opinions, practical tips and scholarly work regarding white-collar criminal and civil enforcement, grand jury investigations and regulatory compliance. By Jackson R. Sharman, III.

http://jacksharman.com/
  • Feb 27

    Read Our White Collar Magazine on Flipboard. Seriously.

    Read Our White Collar Magazine on Flipboard. Seriously.
    This weekend, flip through White Collar magazine (by Jack Sharman) http://flip.it/rkxEc and follow it for white-collar news and notes. If you don’t use Flipboard, it is very handy as a personalized news aggregator.  …
  • Feb 21

    White Collar Wire Now on Facebook and Tumblr

    White Collar Wire Now on Facebook and Tumblr
      With some trepidation, we finally took the plunge and established a White Collar Wire page on Facebook. Please go over there and “like” it, “friend” it an otherwise approve us.  I promise it will…
  • Feb 20

    When Your Lawyer Dimes You In A Wireless World: Undercover Techniques and White-Collar Investigation

    When Your Lawyer Dimes You In A Wireless World: Undercover Techniques and White-Collar Investigation
    It has become commonplace to note the ascendancy in white-collar investigations of techniques previously reserved for investigations of organized crime and violent, life-and-death offenses. Three recent articles bring the issue around again.…
Rank this Week: 2317

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/
  • Feb 27

    CSA release 2014 Enforcement Report

    CSA release 2014 Enforcement Report
    The Canadian Securities Administrators recently released their 2014 Enforcement Report, which provides a summary of the enforcement actions undertaken by CSA members over the past year. According to the report, CSA member staff initiated 105…
  • Feb 27

    IIROC proposes adjusting margin requirements for agency lending agreement

    IIROC proposes adjusting margin requirements for agency lending agreement
    The Investment Industry Regulatory Organization of Canada yesterday proposed amendments to Dealer Member Form 1 intended to address concerns that current rules do not set out specific margin requirements for agency cash and security…
  • Feb 26

    OSC releases 2014 report for investment fund and structured product issuer

    OSC releases 2014 report for investment fund and structured product issuer
    Darin Renton -  The OSC last week released its annual Summary Report for Investment Fund and Structured Product Issuers, which reviewed the OSC's initiatives for 2014 that impact investment fund and structured product issuers (including…
Rank this Week: 4868

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: 1888

Business Blog

Business Blog

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

http://www.businesslawnews.com/
  • Feb 27

    List of FINRA Exam Priorites for 2015

    List of FINRA Exam Priorites for 2015
    The Financial Industry Regulatory Authority (“FINRA”) recently published its 2015 Regulatory and Examinations Priorities Letter. The priorities for this year are divided into the following three categories: key sales practices,…
  • Feb 26

    Monitoring Employees Internet Use: Is It Ok to Snoop?

    Monitoring Employees Internet Use: Is It Ok to Snoop?
    From posting to social media to online shopping, the Internet can be a major distraction in the workplace. For employers concerned about productivity, it is important to understand what you can and cannot when it comes to monitoring employees…
  • Feb 25

    What You Can Do If Your Bank Account Been Hacked.

    What You Can Do If Your Bank Account Been Hacked.
    If you use your debit card at a store or gas station where you don’t know the workers, there is added danger that your bank information could be swiped and the stolen information used by a thief to access your bank account using…
Rank this Week: 1440

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • Feb 27

    Cornerstone Research Releases 2014 M&A Litigation Report

    Cornerstone Research Releases 2014 M&A Litigation Report
    According to the latest report from Cornerstone Research, during 2014, over 90 percent of M&A transactions resulting in at least one lawsuit, but each deal attracted a smaller average number of lawsuits and in fewer jurisdictions than in…
  • Feb 27

    The D&O Diary Goes Down Under

    The D&O Diary Goes Down Under
    The D&O Diary is on assignment in Australia this week. Here’s what you need to know about Sydney in late February – if you traverse the vast expanse of the Pacific Ocean, fly across the Equator and the International Date Line,…
  • Feb 25

    Guest Post: Despite SLUSA, Plaintiffs File IPO Lawsuits in State Court

    Guest Post: Despite SLUSA, Plaintiffs File IPO Lawsuits in State Court
    In a recent post, I noted the curious phenomenon of plaintiffs filing IPO-related securities class lawsuits in state court. Plaintiffs have this option under the concurrent jurisdiction provisions of the ’33 Act, but I still wondered…
Rank this Week: 1417

Cady Bar the Door

Cady Bar the Door

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

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

    Two-Factor Authentication May Be Coming to a Bank Near You

    Two-Factor Authentication May Be Coming to a Bank Near You
    When I was at the SEC and online broker-dealers’ customers were the victims of hacking incidents, I used to wonder, why don’t the broker-dealers require multi-factor authentication to gain access to accounts?  It was a silly…
  • Feb 23

    In Ordering Disgorgement in SEC Cases, Courts Have Discretion, but Not That Much Discretion

    In Ordering Disgorgement in SEC Cases, Courts Have Discretion, but Not That Much Discretion
    When defendants argue in federal court against the SEC’s calculation of a disgorgement figure, they hear a lot of this: “A district court has broad discretion to order disgorgement of profits obtained through violation of federal…
  • Feb 19

    The FCPA on Prezi

    The FCPA on Prezi
    I spoke at the UNC Festival of Legal Learning last week about recent developments in the law surrounding the FCPA.  It’s always a little tricky speaking to novices in any area, because you have to lay a lot of groundwork for the…
Rank this Week: 4137

Subject to Inquiry

Subject to Inquiry

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

http://www.subjecttoinquiry.com/
  • Feb 26

    SEC Speaks 2015: Enforcement Highlight

    SEC Speaks 2015: Enforcement Highlight
    On February 20, 2015, the Securities and Exchange Commission (SEC) held its annual SEC Speaks conference, which updated the public regarding the staff’s work over the last year and its plans for 2015. The conference covered several…
  • Feb 23

    Guilty Plea in DOJ’s First Criminal Prosecution for Campaign Finance Coordination

    Guilty Plea in DOJ’s First Criminal Prosecution for Campaign Finance Coordination
    The news media has already engaged in rampant speculation regarding the potential candidates from both parties in the 2016 presidential election. Inextricably tied to the talk of political campaigns is the public discussion about campaign…
  • Feb 20

    PCAOB Update: 2015 Budget and Broker-Dealer Audit

    PCAOB Update: 2015 Budget and Broker-Dealer Audit
    On Feb. 4, 2015, Public Company Accounting Oversight Board (PCAOB) Chairman James R. Doty provided an update on the Board’s 2015 budget at the Securities and Exchange Commission’s (SEC’s) Open Meeting in Washington, D.C.…
Rank this Week: 2427

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

http://www.seclawyersblog.com/
Rank this Week: 1352

Broke and Broker

Broke and Broker

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

http://brokeandbroker.com/index.php
  • Feb 25

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
    After Credit Card Expense Suspension, Stockbroker Barred By Liens And JudgmentsIf you were lucky to dodge a regulatory bullet, don't count on your deft footwork to bail you out a second time.  In a recent FINRA regulatory settlement, we…
  • Feb 25

    After Credit Card Expense Suspension, Stockbroker Barred By Liens And Judgment

    After Credit Card Expense Suspension, Stockbroker Barred By Liens And Judgment
    If you were lucky to dodge a regulatory bullet, don't count on your deft footwork to bail you out a second time.  In a recent FINRA regulatory settlement, we have the circumstance of a registered person who improperly charged his firm's…
  • Feb 24

    Supreme Court Asks If A Fish Is Always A Fish Or Sometimes A Computer Hard Drive

    Supreme Court Asks If A Fish Is Always A Fish Or Sometimes A Computer Hard Drive
    Sometimes a cigar is a cigar. Sometimes a fish is a fish -- or a grouper. Sometimes, however, federal prosecutors would have you believe that a fish is a digital drive on which evidence is written and archived and .  . . well, you know…
Rank this Week: 3406

Securities Fraud Attorney Blog

Securities Fraud Attorney Blog

Covers securities fraud, and other areas of securities law and banking and finance law. By Rich, Intelisano & Katz, LLP.

http://www.securitiesfraudattorneyblog.com/
  • Feb 25

    Brokers May Soon Be Subject to Fiduciary Duty to Their IRA Investor

    Brokers May Soon Be Subject to Fiduciary Duty to Their IRA Investor
    A leaked White House memo supports imposing fiduciary duties on brokers in their dealings with IRA investors, as reported by the New York Times. Current rules provide a weaker standard for brokers. The memo estimates that the absence of…
  • Feb 19

    Securities Arbitration Award Against Merrill Lynch Upheld

    Securities Arbitration Award Against Merrill Lynch Upheld
    This week, the New Jersey Supreme Court denied the appeal of an arbitration award against Merrill Lynch by the Associated Humane Societies Inc. of Tinton Falls, N.J. In the original FINRA arbitration, the society alleged that certain of its…
  • Feb 19

    Brokers Must Consider New Market Realities When Determining the Suitability of Asset Allocation for Young Investor

    Brokers Must Consider New Market Realities When Determining the Suitability of Asset Allocation for Young Investor
    Does the conventional wisdom regarding asset allocation hold up in today’s economy? The New York Times recently featured an article suggesting that a portfolio teeming with risky stocks, derivatives, and other exotic investments may,…
Rank this Week: 989

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: 958

Footnoted

Footnoted

Reports on actionable information in SEC filings.

http://www.footnoted.com/
Rank this Week: 1939

New York Securities Lawyers Blog

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

http://www.newyorksecuritieslawyersblog.com/
Rank this Week: 3596

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • Feb 23

    Josh Horn’s Great Guidance on RIA Conflicts of Interest

    Josh Horn’s Great Guidance on RIA Conflicts of Interest
    We are pleased to share with everyone Josh Horn’s excellent guidance on RIA conflicts of interest, recently, published in the Practical Compliance and Risk Management for the Securities Industry, a professional journal published by…
  • Feb 23

    What FINRA Is Doing About Private Placement

    What FINRA Is Doing About Private Placement
    FINRA recently censured and fined a broker-dealer $175,000.00 for failing to perform appropriate due diligence and supervision regarding private placements that the firm and its registered representatives offered. This penalty should serve as…
  • Feb 18

    FINRA in 2015 – High-Risk and Recidivist Broker

    FINRA in 2015 – High-Risk and Recidivist Broker
    FINRA is planning on turning up the heat on perceived “high-risk” brokers this year, and the firms that hire them.  Continuing our discussion regarding FINRA’s 2015 Regulatory and Examinations Priorities Letter, this…
Rank this Week: 4026

InvestorLawyers.net

InvestorLawyers.net

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

http://www.investorlawyers.net/blog/
Rank this Week: 1652

Securities Mining Law

Securities Mining Law

Covers securities law affecting the mining industry in Canada.

http://www.securitiesmininglaw.com/
  • Feb 23

    PDAC

    PDAC
    Only going to one mining investment show? Make it this one. PDAC International Convention, Trade Show & Investors Exchange is the world’s leading Convention for people, companies and organizations in, or connected with, mineral…
  • 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…
Rank this Week: 1135

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: 2017

100 F Street

100 F Street

Covers securities law for growing businesses. By Vanessa Schoenthaler.

http://100fstreet.com/
  • Feb 20

    ISS Releases FAQs Related to Its 2015 Proxy Voting Policie

    ISS Releases FAQs Related to Its 2015 Proxy Voting Policie
    Yesterday Institutional Shareholder Services (ISS) released a set of five frequently asked questions related to select proxy voting policies for the 2015 proxy season. The first two questions address shareholder proxy…
  • Feb 16

    Catching Up on All Things Proxy Related From Last Week

    Catching Up on All Things Proxy Related From Last Week
    Among the many things Commission-related going on as of late, here’s a round of up some of the more notable proxy-related matters from the week that was February 9th. The Upcoming Proxy Voting Roundtable On Thursday the Commission…
  • Feb 9

    The SEC Issues Proposed Rules Regarding Disclosure of Hedging by Employees and Director

    The SEC Issues Proposed Rules Regarding Disclosure of Hedging by Employees and Director
    Yesterday the Securities and Exchange Commission announced the adoption of proposed rules to implement Section 955 of the Dodd-Frank Wall Street Reform and Consumer Protection Act which addresses disclosure of company policies…
Rank this Week: 4004

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Feb 20

    Give and Take

    Give and Take
    To what extent does a company have to anticipate that its actions could result in a negative regulatory outcome?  In Fire and Police Pension Association of Colorado v. Abiomed, Inc., 2015 WL 500748 (1st Cir. Feb. 6, 2015), the…
  • Jan 30

    Compare and Contrast

    Compare and Contrast
    NERA Economic Consulting and Cornerstone Research (in conjunction with the Stanford Securities Class Action Clearinghouse) have released their 2014 annual reports on securities class action filings.  As usual, the different methodologies…
  • 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…
Rank this Week: 2542