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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 19

    History Repeating Itself: Microcap Fraud and Tertiary Player

    History Repeating Itself: Microcap Fraud and Tertiary Player
    According to the WSJ, the SEC is looking into microcap fraud. Microcap fraud typically involves a dishonest broker (someone has to facilitate the sale of the shares) and often a dishonest company (someone has to tell the market a false…
  • Aug 18

    Insider Trading and the Unexpected Dangers of Information Shared in Alcoholics Anonymou

    Insider Trading and the Unexpected Dangers of Information Shared in Alcoholics Anonymou
    As an academic, writing an exam that tests the law of insider trading can be enjoyable. We faculty can often come up with the most outlandish scenarios and test whether students can apply the arcane and definitely not intuitive law of insider…
  • Aug 15

    Mandating Arbitration of Securities Class Action Lawsuits: Commonwealth Reit v. Portnoy

    Mandating Arbitration of Securities Class Action Lawsuits: Commonwealth Reit v. Portnoy
    Recent decisions out of Delaware have given broad license to companies to adopt bylaws that directly interfere with actions brought by shareholders and other investors.  Delaware courts have upheld bylaws that require actions to be…
Rank this Week: 43

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…
  • Aug 15

    By: EAkHCuax

    By: EAkHCuax
    <strong>EAkHCuax</strong>Securities Law and Going Public Blog
  • Aug 5

    By: lexutilispl - bookmarks.blogme24.com

    By: lexutilispl - bookmarks.blogme24.com
    […] is gonna kill meDrum Building Secrets!Make Your Mark Online With These Design Tips : BACKLINKSSecurities Lawyer101 l Securities Law Blog l Hamilton & AssociatesPennySaverUSA.com Blog - The Best Resource for Online Classifieds,…
Rank this Week: 47

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: 236

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/
  • Aug 18

    Chu on Credit Rating

    Chu on Credit Rating
    Chenghuan Sean Chu has posted Empirical Analysis of Credit Ratings Inflation as a Game of Incomplete Information on SSRN with the following abstract: This paper models competition among credit rating agencies as an auction. Equilibrium…
  • Aug 18

    Rapp on the Office of Market Intelligence

    Rapp on the Office of Market Intelligence
    Geoffrey Christopher Rapp has posted Intelligence Design: An Analysis of the SEC's New Office of Market Intelligence and its Goal of Using Big Data to Improve Securities Enforcement on SSRN with the following abstract: This contribution to…
  • Aug 18

    NASAA Annual Conference to Focus on Meeting Tomorrow’s Challenges Today

    NASAA Annual Conference to Focus on Meeting Tomorrow’s Challenges Today
    Details available here.
Rank this Week: 196

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/
  • Aug 18

    Azim Nakhooda Fined by FINRA

    Azim Nakhooda Fined by FINRA
    Have you suffered investment losses as a result of your dealings with Azim Nakhooda and Cedar Brook Financial Partners? If so, White Law Group may be able to recover some of your investment losses through a FINRA arbitration claim. According…
  • Aug 18

    Howard Slater Fined by FINRA

    Howard Slater Fined by FINRA
    Have you suffered investment losses as a result of your dealings with Howard Slater and Cedar Brook Financial Partners? If so, The White Law Group may be able to recover some of your investment losses through a FINRA arbitration claim.…
  • Aug 18

    Michael Perlmuter Fined by FINRA

    Michael Perlmuter Fined by FINRA
    Have you suffered investment losses as a result of your dealings with Michael Perlmuter and Cedar Brook Financial Partners? If so, White Law Group may be able to recover some of your investment losses through a FINRA arbitration claim.…
Rank this Week: 222

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/
  • Aug 14

    Mark Your Calendar For October 1st For Changes To The Business Court

    Mark Your Calendar For October 1st For Changes To The Business Court
    If you litigate cases in the NC Business Court, mark your calendar for October 1st.  That's when the General Assembly's "modernization" of the Business Court is due to become effective.  The bill containing these changes was signed…
  • Aug 12

    Can You Get A Ruling From A Superior Court Judge After Your Case Is Designated To The Business Court?

    Can You Get A Ruling From A Superior Court Judge After Your Case Is Designated To The Business Court?
    If you've been reading this blog for a while, you know that once a case is in the Business Court, it is in there forever, even if the issues that justified it being there in the first place are subsequently resolved.  But when does the…
  • Jul 18

    An Important Tip On Appealing A Decision From The NC Business Court

    An Important Tip On Appealing A Decision From The NC Business Court
    The Business Court is electronic.  Paper copies of documents are not filed with the Business Court.  So when you e-file a Notice of Appeal, is that sufficient for purposes of Rule 3 of the NC Rules of Appellate Procedure? Let's look…
Rank this Week: 242

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: 209

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/
  • Aug 20

    SEC Continues to Permit Reps to Sell their Company's Stock to Client

    SEC Continues to Permit Reps to Sell their Company's Stock to Client
    Dually registered investment advisory and broker-dealer firms will be able to continue selling stock from their own accounts to some clients, the Securities and Exchange Commission said.The SEC has announced it plans to extend by another two…
  • Aug 19

    Avoiding Marijuana Stock Scam

    Avoiding Marijuana Stock Scam
    It seems that whenever something new comes along, there are investors willing to jump on a perceived opportunity to profit from the next new thing. It seems that medical marijuana is that next new thing.We wrote about marijuana stock…
  • Aug 19

    SEC Charges Atlanta-Based Accountant With Insider Trading on Confidential Information From Client

    SEC Charges Atlanta-Based Accountant With Insider Trading on Confidential Information From Client
    The Securities and Exchange Commission announced charges against an accounting firm partner in Atlanta for insider trading in the stock of a restaurant company based on confidential information he learned from a client on the board of…
Rank this Week: 254

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Aug 19

    IM Staff Reports on Use of Form PF Data

    IM Staff Reports on Use of Form PF Data
    [This story previously appeared in Securities Regulation Daily.]By Amy Leisinger, J.D.The staff of the SEC’s Division of Investment Management has issued its second annual report relating to the use of data collected from private fund…
  • Aug 18

    Senate and House Companion Bills Would Provide Tax Credit for Angel Investor

    Senate and House Companion Bills Would Provide Tax Credit for Angel Investor
    Senator Chris Murphy (D-CT) introduced legislation that would provide incentives to angel investors to invest significant capital in startups. The Angel Tax Credit Act, S. 2497, would allow them to claim a tax credit equal to 25 percent of…
  • Aug 18

    Timing of Announcement of Ford Payments Did Not Show Fraud

    Timing of Announcement of Ford Payments Did Not Show Fraud
    [This story previously appeared in Securities Regulation Daily.]By Matthew Garza, J.D.A Ford investor was unable to convince a Third Circuit panel that the auto maker or an investment trust it created violated Exchange Act Rule 10b-17 through…
Rank this Week: 277

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
  • Aug 19

    SEC Announces Sweeping Examinations of Brokerage Firm

    SEC Announces Sweeping Examinations of Brokerage Firm
    From the Desk of Jim Eccleston at Eccleston Law Offices: The SEC is planning to examine brokerages in 2015 with a focus on sales of expensive mutual funds as well as problem brokers. Sales of expensive…
  • Aug 19

    Former UBS Broker Pleads Guilty to Ponzi Scheme

    Former UBS Broker Pleads Guilty to Ponzi Scheme
    From the Desk of Jim Eccleston at Eccleston Law Offices: Donna Tucker, a former UBS Wealth Management Americas broker, was charged by the SEC with perpetrating a five-year Ponzi scheme. Tucker began her career…
  • Aug 18

    SEC Charges Morgan Stanley with Misleading Investors in Subprime RMBS Offering

    SEC Charges Morgan Stanley with Misleading Investors in Subprime RMBS Offering
    From the Desk of Jim Eccleston at Eccleston Law Offices: The SEC charged three Morgan Stanley entities with misleading investors in a pair of residential mortgage-backed securities (RMBS) securitizations that the firms…
Rank this Week: 354

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Aug 19

    Woodstock Financial Group Broker Daniel Barthold Suspended

    Woodstock Financial Group Broker Daniel Barthold Suspended
    On August 14, 2014, FINRA, or the Financial Industry Regulatory Authority, announced the suspension of Daniel Barthold.  Daniel Barthold is a broker associated with Woodstock Financial Group. He has been associated with Woodstock since…
  • Aug 18

    Investigation: Former Clients of Michael Zukowski

    Investigation: Former Clients of Michael Zukowski
    Fitapelli Kurta is investigating customer complaints against Michael Zukowski, who was formerly associated with Wall Street Financial Group and RBC Capital Markets in Massachusetts. In November, 2010, RBC Capital Markets permitted Michael…
  • Aug 12

    Fitapelli Kurta Files Complaint Against Newport Coast Securities, Inc. and Former Stratton Oakmont Broker Andre LaBarbera

    Fitapelli Kurta Files Complaint Against Newport Coast Securities, Inc. and Former Stratton Oakmont Broker Andre LaBarbera
    The stock and investment fraud law firm Fitapelli Kurta recently filed a securities arbitration case against Newport Coast Securities, Inc. and former Stratton Oakmont broker Andre LaBarbera.  In the arbitration, the Claimant alleges…
Rank this Week: 309

Securities Compliance Sentinel

Securities Compliance Sentinel

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

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

    Tightening the Definition of ‘Public Arbitrator’

    Tightening the Definition of ‘Public Arbitrator’
    FINRA proposed amendments to the organization’s arbitration code would tighten the definition of “public” arbitrator for FINRA arbitration purposes. In a release, FINRA said the proposed rule changes would provide that a…
  • Aug 18

    FINRA Wants To Ban Settled CRD Expungement

    FINRA Wants To Ban Settled CRD Expungement
    FINRA proposed a rule to bar brokers and their firms from requiring customers to consent to the removal of a dispute from the Central Registration Depository as a condition of settling the disagreement. In a release, FINRA said the proposal…
  • Aug 18

    What Do FINRA’s Enforcement Statistics Mean

    What Do FINRA’s Enforcement Statistics Mean
    At the halfway point of the year, the Sutherland Asbill firm has issued its report on FINRA’s fines to date.  That report reflects that, although fines are on a record pace this year, the number of actions by FINRA is behind…
Rank this Week: 274

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/
  • Aug 19

    If A Tree Falls In The City, Is It Serving A Public Purpose?

    If A Tree Falls In The City, Is It Serving A Public Purpose?
    Today’s posting has nothing to do with corporate law and everything to do with trees.  On November 30 and December 1, 2011, the City of Pasadena experienced an unusually violent windstorm.  Wind speeds in excess of 100 miles…
  • Aug 18

    California Finders Bill Trapped In The Weeds As Legislative Deadline Loom

    California Finders Bill Trapped In The Weeds As Legislative Deadline Loom
    The question of whether finders’ fees can be paid in securities transactions has bedeviled issuers for decades.  The Corporations Committee of the Business Law Section of the California has tried to address this recurring problem…
  • Aug 15

    Some Questions About Delaware’s New Law Allowing Parties To Extend The Statute Of Limitation

    Some Questions About Delaware’s New Law Allowing Parties To Extend The Statute Of Limitation
    Delaware recently amended its law to allow parties to a written contract involving at least $100,000 to provide that any action based on that contract may be brought within a period specified in that contract provided that the action is…
Rank this Week: 343

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
  • Jul 25

    Leveraged and Inverse Exchange-Traded Funds are a Ticking Bomb!

    Leveraged and Inverse Exchange-Traded Funds are a Ticking Bomb!
    Leveraged ETFs are designed to provide investors with a certain percentage return over the movement of a market over the span of a day. Inverse funds are supposed to move in the opposite direction of a specific index, to provide protection…
  • Jul 23

    Nontraded Real-Estate Investments mean Risky Busine

    Nontraded Real-Estate Investments mean Risky Busine
    Nontraded REITs have been growing in popularity lately. Through June of this year, nontraded REITs have raised $8.8 billion. These real-estate investment trusts are similar to their public counterparts, which trade like stocks and allow…
  • Jul 18

    Attorney Mark Maddox named to FINRA’s Arbitrartion Task Force

    Attorney Mark Maddox named to FINRA’s Arbitrartion Task Force
    We are proud to share that Attorney Mark Maddox will be part of FINRA’s new arbitration task force. Click this link for details: http://www.finra.org/Newsroom/NewsReleases/2014/P554192The post Attorney Mark Maddox named to FINRA’s…
Rank this Week: 366

Perry Krumsiek & Jack Law Blog

Perry Krumsiek & Jack Law Blog

Covers business, health care, intellectual property and media law.

http://pkjlawblog.wordpress.com/
  • Feb 2

    Here’s One Government Program Worth HARPing On

    Here’s One Government Program Worth HARPing On
    If you are one of the hundreds of thousands of Americans permanently traumatized by the government’s highly lauded, but horribly executed, loan modification program, take heart.  I’m here to tell you that there’s another government…
  • Oct 27

    The Lincoln Lawyer

    The Lincoln Lawyer
    Before Abraham Lincoln became our greatest president, he was a great corporate lawyer.  And before he was a corporate lawyer, he was a brilliant trial lawyer. In the 1840s, Lincoln represented a Revolutionary War widow who had been bilked…
  • Oct 22

    Cornell Scores in Forum Case

    Cornell Scores in Forum Case
    PKJ’s Timothy Cornell scored a significant victory Friday, when U.S. District Judge Richard G. Stearns dismissed a multimillion case against an Internet company, finding that the plaintiff was bound by his contract’s forum selection…
Rank this Week: 263

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: 350

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

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

    Adam Gana of Gana LLP Receives the AVVO 2014 Cleints’ Choice Award

    Adam Gana of Gana LLP Receives the AVVO 2014 Cleints’ Choice Award
    Adam Gana of Gana LLP received the Avvo’s Clients’ Choice Award for 2014. “This is a tremendous honor,” said Mr. Gana, “Clients are the life blood of our business and we work tirelessly to make sure they are…
  • Aug 19

    Business Development Companies (BDC) – The Next Risky Wall Street Cash Cow?

    Business Development Companies (BDC) – The Next Risky Wall Street Cash Cow?
    Since the financial crisis, the product development squad on Wall Street has been hard at work putting new spins on old ideas. The usual plan is merely to rebrand an old idea with a new label and convince investors looking for the latest and…
  • Aug 18

    Gana LLP Represents Seven Former Clients of Sean Sheridan Against JP Turner (Part II)

    Gana LLP Represents Seven Former Clients of Sean Sheridan Against JP Turner (Part II)
    Continuing our prior post, the law office of Gana LLP recently filed securities arbitration case on behalf of a group of seven investors against J.P. Turner Company, L.L.C. (JP Turner), Ridgeway & Conger, Inc. (Ridgeway), and Newbridge…
Rank this Week: 506

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: 875

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/
  • Aug 15

    UBS Wealth, OppenheimerFunds Take Financial Hit From Puerto Rico Muni Bond

    UBS Wealth, OppenheimerFunds Take Financial Hit From Puerto Rico Muni Bond
    Even though UBS Wealth Management Americas (UBS) has been generating record revenue, the financial firm saw its profits drop upon reporting that had it put aside $44 million for litigation costs primarily related to Puerto Rico bond fraud…
  • Aug 14

    Former MIT Professor and His Son Plead Guilty to $140M Hedge Fund Fraud

    Former MIT Professor and His Son Plead Guilty to $140M Hedge Fund Fraud
    Gabriel Bitran, an ex- Massachusetts Institute of Technology professor, and his son Marco Bitran have pled guilty to securities fraud charges accusing them of bilking investors of $140 million. Through their company, GMP Capital Management,…
  • Aug 13

    LPL to Pay Illinois $2 Million Fine Related to Variable Annuity Exchange

    LPL to Pay Illinois $2 Million Fine Related to Variable Annuity Exchange
    In a settlement reached with the Illinois Securities Department, LPL Financial (LPLA) agreed to pay a $2 million fine and $820K in restitution for inadequate books and records maintenance involving 1035 exchanges. According to the…
Rank this Week: 444

BD Law Blog

BD Law Blog

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

http://www.bdlawblog.com/
  • Aug 8

    The Power of Connections: Finding Good Advisors for your Busine

    The Power of Connections: Finding Good Advisors for your Busine
    I had lunch today with a new friend who has recently left a career in the corporate world and started his own business. Though quite an experienced and knowledgeable guy, he's new to running his own business, and, while looking...
  • Aug 7

    Yep, that tweet is a reportable complaint. FINRA Issues FAQs on Rule 4530 Reporting

    Yep, that tweet is a reportable complaint. FINRA Issues FAQs on Rule 4530 Reporting
    FINRA Rule 4530 became effective in July 2011, replacing the former NASD Rule 3070. The rule requires firms to report certain events and items to FINRA. These reports are in addition to any required disclosures that may be needed for...
  • Aug 6

    Estate Planning for Parents: "Do I need a Will?"

    Estate Planning for Parents: "Do I need a Will?"
    One of the common questions I get from parents of minor-aged children is this, "Do I need a Will? I don't have much." The answer is almost always a resounding yes, you do. The Will may not be so much...
Rank this Week: 687

Chicago Securities Lawyer Blog

Chicago Securities Lawyer Blog

Covers FINRA and securities fraud. By Thomas F. Burke, P.C.

http://www.chicagosecuritieslawyerblog.com/
  • Jul 29

    Steven Stahler Under FINRA Investigation

    Steven Stahler Under FINRA Investigation
    On March 25, 2014 the Financial Industry Regulatory Authority ("FINRA"), through a Wells Notice, made a preliminary determination to recommend that disciplinary action be brought against Steven Stahler for potential violations of NASD Rule…
  • Jul 16

    Regulators Concerned About High Frequency Trading and Timestamp

    Regulators Concerned About High Frequency Trading and Timestamp
    The United States securities regulators, the Securities Exchange Commission ("SEC"), and the Financial Industry Regulatory Authority ("FINRA") and the United Kingdom's Financial Conduct Authority ("FCA") are tightening rules to impose…
  • Jul 9

    SEC Trying to Even the Field for Bond Market

    SEC Trying to Even the Field for Bond Market
    The Wall Street Journal reported that the Securities Exchange Commission ("SEC") wants to even the field in the bond market between small investors and Wall Street's biggest banks. The SEC unveiled plans to make real time pricing information…
Rank this Week: 666

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/
  • Jul 22

    Delaware Court of Chancery Rejects Indemnification Sleight of Hand

    Delaware Court of Chancery Rejects Indemnification Sleight of Hand
    In Branin v. Stein Roe Inv. Counsel, LLC, C.A. 8481-VCN, 2014 WL 2961084 (Del. Ch. June 30, 2014), the Delaware Court of Chancery held that a vested right to indemnification may not be rescinded by a subsequent amendment to the governing…
  • Jul 15

    Is Your Out-of-State LLC “Doing Business” in California?

    Is Your Out-of-State LLC “Doing Business” in California?
    Individuals and entities, including those from outside California, who invest in or do business through an out-of-state limited liability company (“LLC”) may be surprised to find out that they have filing obligations and tax…
  • Jul 7

    Second Circuit Overturns District Court’s Rejection of SEC-Citigroup Fraud Settlement

    Second Circuit Overturns District Court’s Rejection of SEC-Citigroup Fraud Settlement
    In a closely-watched decision involving judicial review of agency settlements, the Unites States Court of Appeals for the Second Circuit vacated United States District Court Judge Jed Rakoff’s 2011 order rejecting a proposed $285…
Rank this Week: 630

Florida Securities Fraud Lawyer…

Florida Securities Fraud Lawyer Blog

Covers securities fraud, investor fraud and Ponzi schemes. By McCabe Rabin, P.A.

http://www.floridasecuritiesfraudlawyerblog.com/
Rank this Week: 631

William Carleton, Counselor @ Law

William Carleton, Counselor @ Law

Covers legal and investment issues facing emerging tech companies.

http://www.wac6.com/wac6/
  • Jun 25

    Where I've been

    Where I've been
    Friends, I want to thank you for all the support you've given this blog over the past three or four years. It's been a good run. Two or three years ago, I started blogging every day, and that was the...
  • Jun 18

    The world is not totally fucked up: Exhibit A

    The world is not totally fucked up: Exhibit A
    Here is Exhibit A for the proposition that the world is not, in fact, totally and completely fucked up: sculpture being readied, as we speak, at Jefferson Park in Seattle. What's more, this public art is to be "skateable." I...
  • May 20

    If it ain't broke, don't fix it

    If it ain't broke, don't fix it
    Time again to safeguard the current accredited investor standard.
Rank this Week: 706

Securities Arbitration Blog

Securities Arbitration Blog

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

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

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

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

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

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

    Investment Fraudsters: You have a friend in Pennsylvania

    Investment Fraudsters: You have a friend in Pennsylvania
    What does a big firm commercial defense lawyer, a banker, a healthcare lobbyist, a parking authority commissioner and an Allegheny parks commissioner all have in common? andnbsp; Apparently, they are all friends of Pennsylvania Governor Tom…
Rank this Week: 694

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/
  • Oct 25

    UBS in Web of Puerto Rico Bond Funds Suffering Massive Losse

    UBS in Web of Puerto Rico Bond Funds Suffering Massive Losse
    Puerto Rico bond funds have been suffering massive losses recently and regulators have already taken action. According to the SEC, UBS Financial Services of Puerto Rico Inc. (“UBS”) misled thousands of its retail investors in 23…
  • Dec 9

    Bloomberg Update on $383M Client Case v. Citigroup

    Bloomberg Update on $383M Client Case v. Citigroup
    Below is a piece by Bloomberg on our firm's $383 million claim against Citigroup. There's more on this case on the firm's website at http://www.riklawfirm.com/ Citigroup’s Mathur Said to Depart With Hybrid Traders as Pandit Cuts Jobs By…
  • Dec 1

    American Lawyer Piece on Firm's Citigroup Case

    American Lawyer Piece on Firm's Citigroup Case
    Below is an American Lawyer piece which explains our clients' pending $383 million FINRA arbitration against Citigroup. It goes on to talk about how there are more and more large and complex cases at FINRA. It's true. As partner John Rich…
Rank this Week: 826

Corporate Finance & Securities Law…

Corporate Finance & Securities Law Blog

Covers mergers and acquisitions, private to public transactions, public company disclosure, regulatory defense, and other financial issues. By The Lebrecht Group.

http://www.thelebrechtgroup.com/blog/
  • Jul 11

    SEC Allows Solicitation in Private Offering

    SEC Allows Solicitation in Private Offering
    At long last, the SEC has approved general solicitation in 506 offerings.  I have previously blogged on the subject here and here. It seems each stakeholder group is claiming it as their own victory.  Hedge funds, crowdfunders,…
  • Jun 19

    Sponsored Research. When Is It Independent?

    Sponsored Research. When Is It Independent?
    This week, Fox Business News contributor Tobin Smith was terminated because he violated their policy that “no contributor to FBN [Fox Business Network], nor his/her firm, and/or family members are allowed to accept financial…
  • Jun 6

    When Is It a Good Strategy To Lie to the SEC?

    When Is It a Good Strategy To Lie to the SEC?
    This, of course, is a misleading question.  The answer is never.  In case you need some law to back up that conclusion, take a look at the recent case of Robert J. Vitale.  Mr. Vitale was the subject of an SEC enforcement…
Rank this Week: 479

The Lebrecht Group, APLC Blog

The Lebrecht Group, APLC Blog

Discusses corporate securities law .

http://www.thelebrechtgroup.com/blog/
  • Jul 11

    SEC Allows Solicitation in Private Offering

    SEC Allows Solicitation in Private Offering
    At long last, the SEC has approved general solicitation in 506 offerings.  I have previously blogged on the subject here and here. It seems each stakeholder group is claiming it as their own victory.  Hedge funds, crowdfunders,…
  • Jun 19

    Sponsored Research. When Is It Independent?

    Sponsored Research. When Is It Independent?
    This week, Fox Business News contributor Tobin Smith was terminated because he violated their policy that “no contributor to FBN [Fox Business Network], nor his/her firm, and/or family members are allowed to accept financial…
  • Jun 6

    When Is It a Good Strategy To Lie to the SEC?

    When Is It a Good Strategy To Lie to the SEC?
    This, of course, is a misleading question.  The answer is never.  In case you need some law to back up that conclusion, take a look at the recent case of Robert J. Vitale.  Mr. Vitale was the subject of an SEC enforcement…
Rank this Week: 877

Kueser Law Firm Blog

Kueser Law Firm Blog

Covers securities and investment fraud, as well as other consumer and investor-related issues.

http://blog.jmkesquire.com
Rank this Week: 914

About Broker Fraud Blog

About Broker Fraud Blog

Covers compliance rules, duty of disclosure, elder abuse and fraud. By the Hayes Law Firm.

http://aboutbrokerfraud.typepad.com/about_broker_fraud_blog/
  • Dec 6

    SEC Freeze Assets in Alleged Diamond-Themed Ponzi Scheme

    SEC Freeze Assets in Alleged Diamond-Themed Ponzi Scheme
    The SEC alleges that Richard Dalton and Universal Consulting Resources LLC (UCR) raised approximately $17 million from investors for two fraudulent offerings. The programs were generally referred to as the “Trading Program” and the…
  • Sep 28

    Arbitrators Award Ten Times Amount of Investment in Auction Rate Securities Case

    Arbitrators Award Ten Times Amount of Investment in Auction Rate Securities Case
    Last month an arbitration panel ordered the investment firm USB financial to pay over $80 million in consequential investments to Kajeet, Inc., a company who markets cellphones for kids. Kajeet’s award fell short of the $110 million…
  • Aug 30

    Raymond James Must Buy Back Auction Rate Securitie

    Raymond James Must Buy Back Auction Rate Securitie
    A Texas couple got some great news last week from the FINRA arbitration panel that ruled on their claim. The panel ruled that the Raymond James Financial Inc. and broker Larry Milton must buy back some $925,000 worth of auction…
Rank this Week: 739

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/
  • Aug 19

    AMF extends comment period on draft derivatives data reporting regulation

    AMF extends comment period on draft derivatives data reporting regulation
    The period to provide comments on Quebec’s draft Regulation to amend Regulation 91-507 respecting Trade Repositories and Derivatives Data Reporting, which was initially set to expire on August 2, 2014, has been extended…
  • Aug 15

    A closer look at investment fund modernization

    A closer look at investment fund modernization
    Darin Renton and Nick Badeen -  The Canadian Securities Administrators recently announced the adoption of final amendments that will implement certain aspects of Phase 2 of the Modernization of Investment Fund Product Regulation Project…
  • Aug 15

    OSC releases 2014 annual report

    OSC releases 2014 annual report
    The Ontario Securities Commission recently released its 2014 annual report, which provides an overview of the OSC's key accomplishments over the course of the last year in relation to its stated goals. Among other things, the report notes…
Rank this Week: 4312

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: 3278

Securities Law Blog

Securities Law Blog

News and comments on securities law. By The Frankowski Firm, LLC

http://www.securitieslaw-blog.com/
  • Aug 19

    Three Sentenced For Church-Targeting Ponzi Scheme

    Three Sentenced For Church-Targeting Ponzi Scheme
    Two people from North Carolina and one from Florida were sentenced earlier this month for what federal authorities have called a church-targeting Ponzi scheme. All three individuals had previously testified against Thomas Kimmel from Indiana…
  • Aug 18

    FINRA Panel Orders Morgan Stanley To Pay $4.5M

    FINRA Panel Orders Morgan Stanley To Pay $4.5M
    Morgan Stanley & Co. lost a FINRA arbitration dispute last week to Banco Nacional de Mexico SA. A FINRA panel ordered Morgan Stanley to pay the Mexican bank, commonly referred to as Banamex, $4.5 million, finding Morgan Stanley liable for…
  • Aug 14

    Indiana Investment Advisor Pleads Guilty To Securities Fraud

    Indiana Investment Advisor Pleads Guilty To Securities Fraud
    Lynn A. Simon, an investment advisor from Evansville, Indiana, pleaded guilty yesterday to charges arising from allegations last year that he conned over $1 million out of investors in the area. The charges included three counts of securities…
Rank this Week: 2510

TRACE Blog

TRACE Blog

Covers anti-bribery compliance.

http://traceblog.org/
  • Aug 19

    The Role of Academia in Anti-Corruption Collective Action

    The Role of Academia in Anti-Corruption Collective Action
    Last week TRACE joined leading anti-corruption experts and academics from all over the world in Vienna, Austria to discuss effective teaching and pedagogy in anti-corruption studies within institutions of higher learning. The workshop, which…
  • Aug 11

    Demystifying Anti-Bribery Certification

    Demystifying Anti-Bribery Certification
    Over the past few weeks, we here at TRACEblog have noticed a few interesting critiques of anti-bribery certifications. Harvard Law Professor Matthew Stephenson writes on his blog that he holds “a fair amount of skepticism”…
  • Aug 6

    Research Call for Case Studies to Advance Third Party Due Diligence

    Research Call for Case Studies to Advance Third Party Due Diligence
    Until now, if ten companies all work with the same ten distributors, these relationships generated a total of 100 due diligence reports.   Each company paid ten times and each distributor completed ten labor-intensive…
Rank this Week: 1797

Business Blog

Business Blog

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

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

    NLRB Policy Shift Could Lead to Liability for Franchisor

    NLRB Policy Shift Could Lead to Liability for Franchisor
    The National Labor Relations Board (NLRB) Office of the General Counsel recently adopted a new policy that could lead to increased liability for franchisors. It found that McDonald’s, USA, LLC could be held responsible for unfair labor…
  • Aug 18

    Does Your Business Insurance Cover Cyberattacks?

    Does Your Business Insurance Cover Cyberattacks?
    For many U.S. businesses, data breaches are inevitable. So while prevention is still important, it also pays to be prepared for the aftermath. For those companies hoping to rely on commercial general liability (CGL) policies, it’s…
  • Aug 14

    Second Circuit Rules Ground Zero Cross Does Not Violate Constitution

    Second Circuit Rules Ground Zero Cross Does Not Violate Constitution
    A steel cross that was uncovered in the rubble at Ground Zero will remain on display at the National September 11 Museum. The Court of Appeals for the Second Circuit recently affirmed the dismissal of a lawsuit that alleged that exhibiting…
Rank this Week: 3686

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/
  • Aug 19

    U.S. Mid Year Activism Review: Slow Start, Big Finish

    U.S. Mid Year Activism Review: Slow Start, Big Finish
    From ISS: The resurgence in proxy contest activism that began in 2012 appeared to have stalled by Q1 of 2014 when only two contested situations went to a shareholder vote, compared to eight in the first quarter of 2013. Both of these…
  • Aug 14

    Strine Wears New Robes: News at 11

    Strine Wears New Robes: News at 11
    I chuckled to see this article from DelawareOnline about the new style of judicial robe that Chief Justice Strine is rocking. Legal fashion is in baby! Justice of a different stripe?
  • Aug 13

    Survey: Transformative Deals Drive Deal Growth

    Survey: Transformative Deals Drive Deal Growth
    As noted in this press release, PwC found that the first half of 2014 saw deal value surge to $982 billion, its highest level since the first six months of 2007, pre-recession. Almost half of the total value was driven by large…
Rank this Week: 2469

Ponzitracker

Ponzitracker

Covers Ponzi schemes. By Jordan Maglich.

http://www.ponzitracker.com/
  • Aug 18

    Tennessee Man Gets 14-Year Sentence For $18 Million Ponzi Scheme

    Tennessee Man Gets 14-Year Sentence For $18 Million Ponzi Scheme
    A Tennessee man was sentenced to serve the next fourteen years in federal prison after pleading guilty to masterminding an $18 million Ponzi scheme.  Terry Kretz, 61, received the sentence from U.S. District Judge Todd J Campbell, and…
  • Aug 14

    Accused of $100 Million Ponzi Scheme, Utah Man Walks Free On Technicality

    Accused of $100 Million Ponzi Scheme, Utah Man Walks Free On Technicality
    A Utah federal judge dismissed criminal charges against a Utah man accused of operating one of the largest Ponzi schemes in Utah history, ruling that prosecutors' failure to timely pursue the case was a violation of federal law and warranted…
  • Aug 12

    Feds: Ponzi Schemer Hid $400,000 In Gold, Silver, And Cash With Wife And Brother

    Feds: Ponzi Schemer Hid $400,000 In Gold, Silver, And Cash With Wife And Brother
    Federal authorities announced criminal charges against a convicted Ponzi schemer, as well as his wife and brother, for conspiring to hide more than $400,000 in gold, silver, and currency in ammunition canisters out of the reach of…
Rank this Week: 2736

Stock Attorneys Blog

Stock Attorneys Blog

Covers FINRA arbitration, securities litigation, and stockbroker misconduct. By Blum Law Group.

http://www.stockattorneysblog.com/
  • Aug 18

    LPL Financial Fraught with Allegations of Supervisory Failure

    LPL Financial Fraught with Allegations of Supervisory Failure
    Advisor Independence Achilles Heel for Gigantic Investment Organization LPL Financial is one of the nation’s largest broker/dealer investment firms, yet it is not an investment firm in the traditional sense. Whereas most investment…
  • Aug 12

    Total Wealth Management Sanctions Kickback

    Total Wealth Management Sanctions Kickback
    Top Executives Foster Flagrant Fraud Practices It goes without saying that there is a lot of money to be made in the investment industry. Even when investment firms and advisors follow the rules that govern the industry, they stand to earn…
  • Aug 4

    U.S. Attorney’s Office Files Parallel Action in Response to Previous CFTC Fraud Charge

    U.S. Attorney’s Office Files Parallel Action in Response to Previous CFTC Fraud Charge
    The types of investments that one can invest in are nearly as diverse as the brokers who trade them and the investors who invest in them. One such investment practice is commodity futures pools. This type of investment is a private…
Rank this Week: 1376

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
  • Aug 18

    The Gov. Rick Perry Indictment: Another Weak Case that Shouldn’t Have Been Charged

    The Gov. Rick Perry Indictment: Another Weak Case that Shouldn’t Have Been Charged
    The news outlets exploded this weekend with commentary on the Gov. Rick Perry indictment, and the criticism was fast and swift to deem it a very weak case. On Friday, Perry was indicted on two felony counts that arose from … Continue…
  • Aug 14

    Federal Lawsuit Highlights Powerful Civil Forfeiture Tool

    Federal Lawsuit Highlights Powerful Civil Forfeiture Tool
    This post was co-authored by White Collar Alert contributor, Erin Dougherty. In a federal complaint filed on Monday, three Philadelphia homeowners whose homes have been targeted for state civil forfeiture have sued the city of Philadelphia,…
  • Aug 6

    Public Officials: Don’t Drive the Ferrari and Don’t Take the Rolex

    Public Officials: Don’t Drive the Ferrari and Don’t Take the Rolex
    Whether or not prosecutors will prove the 14 count indictment against former Governor Bob McDonnell of Virginia and his wife, Maureen, remains to be seen. The public corruption trial is currently into the second week, and the New York Times…
Rank this Week: 2104

The Securities Edge

The Securities Edge

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

http://www.thesecuritiesedge.com/
  • Aug 18

    Bob Lamm joins The Securities Edge (and returns to Gunster)

    Bob Lamm joins The Securities Edge (and returns to Gunster)
    Posted By: David C. Scileppi The Securities Edge is excited to announce a new blogger to the fold: Bob Lamm!  After a 12-year “hiatus”, Bob has rejoined Gunster.   Bob is widely considered a national…
  • Aug 17

    Trying to save its own neck? ISS works to assure “data integrity”

    Trying to save its own neck? ISS works to assure “data integrity”
    Posted By: David C. Scileppi On Thursday, Institutional Shareholder Services Inc. (ISS) announced the launch of a new data verification portal to be used for equity-based compensation plans that U.S. companies submit for approval by their…
  • Jul 30

    Delaware vs Florida: Where should you incorporate?

    Delaware vs Florida: Where should you incorporate?
    Posted By: Gustav L. Schmidt There is an attraction for companies to incorporate in Delaware, likely due to the abundance of well-known publicly traded corporations that have chosen to incorporate there. However, it is not necessarily true…
Rank this Week: 3443

Footnoted

Footnoted

Reports on actionable information in SEC filings.

http://www.footnoted.com/
  • Aug 18

    From $1 to $675K for new LA Times chief!

    From $1 to $675K for new LA Times chief!
    When the LA Times named a new publisher and CEO last week, it was widely noted that he once took a $1 salary. Not anymore.
  • Aug 13

    EZCorp: The gift that keeps on giving

    EZCorp: The gift that keeps on giving
    Some companies filings are gifts that keep on giving. Take pawn shop company EZCORP for example.
  • Aug 7

    Walgreen’s CFOs: coming and going

    Walgreen’s CFOs: coming and going
    Lots of news out of Walgreens lately, but we still found details in an 8-K that haven't received much coverage.
Rank this Week: 2041

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

http://www.seclawyersblog.com/
  • Aug 18

    FINRA Cautions Investors on Viral Disease Stock Scam

    FINRA Cautions Investors on Viral Disease Stock Scam
    FINRA recently issued an Investor Alert, "Viral Disease Stock Scams: Don't Let Them Infect Your Portfolio." In the Alert, FINRA warns that dramatic news stories viral outbreaks, such as Ebola and Middle Eastern Respiratory Syndrome ("MERS"),…
  • Aug 15

    Sonn|Erez Investigating Claims Involving Paul Gerard Chiampa

    Sonn|Erez Investigating Claims Involving Paul Gerard Chiampa
    Sonn|Erez is investigating claims regarding Paul Gerard Chiampa (CRD #1133609, East Longmeadow, Massachusetts). Chiampa recently entered into a Letter of Acceptance, Waiver, and Consent ("AWC") in which he was fined $7,500 and suspended from…
  • Jul 27

    SEC Approves FINRA Rule to Prohibit Conditioning Settlements on Expungement

    SEC Approves FINRA Rule to Prohibit Conditioning Settlements on Expungement
    The Securities and Exchange Commission recently approved the implementation of FINRa Rule 2081, which prohibits brokers from making settlements of customer disputes contingent on the claimant's agreement not to oppose expungement of the…
Rank this Week: 3269

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Aug 18

    Survey Results: CEO Succession Planning

    Survey Results: CEO Succession Planning
    I have posted the results of our survey regarding CEO succession planning, repeated below (compare to a similar survey from ’11): 1. Our company: - Has a written CEO succession plan in a formal document or policy – 14% - Has a…
  • Aug 18

    Poll: How Are You Responding to Your SDX Shareholder Engagement Letter?

    Poll: How Are You Responding to Your SDX Shareholder Engagement Letter?
    In the course of my blog entitled “Shareholder Engagement: Should Directors Be Politicians? 10 Things to Consider,” I noted that 1000 companies recently received a letter from SDX asking boards to “consider adopting and…
  • Aug 15

    ISS’ New “Equity Compensation Plans” Data Verification Portal: 10 Things to Know

    ISS’ New “Equity Compensation Plans” Data Verification Portal: 10 Things to Know
    Perhaps as a reaction to the SEC’s SLB 20 – or Commissioner Gallagher’s continuing war of words against the current state of proxy advisors – yesterday, ISS announced the upcoming launch of a new “data…
Rank this Week: 2471

Startup Law Blog

Startup Law Blog

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

http://www.startuplawblog.com/
  • Aug 16

    Intrastate Crowdfunding and the 499 Shareholder Problem

    Intrastate Crowdfunding and the 499 Shareholder Problem
    In prior posts I have lamented the problems with the federal crowdfunding law.  The SEC is still behind on finalizing rules implementing the crowdfunding provisions of the JOBS Act. In the meantime, Washington State and a handful of…
  • Aug 16

    Intrastate Crowdfunding and the 499 Unaccredited Shareholder Problem

    Intrastate Crowdfunding and the 499 Unaccredited Shareholder Problem
    In prior posts I have lamented the problems with the federal crowdfunding law.  The SEC is still behind on finalizing rules implementing the crowdfunding provisions of the JOBS Act. In the meantime, Washington State and a handful of…
  • Aug 4

    How Does Private Equity Develop M&A Investment Strategies?

    How Does Private Equity Develop M&amp;A Investment Strategies?
    Please join us for the Pacific Rim M&A Institute’s Q3 session. This session will address questions such as: How does private equity develop M&A investment strategies? What is the investment life cycle of various different types…
Rank this Week: 3524

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Aug 15

    Cornerstone Releases Midyear Report

    Cornerstone Releases Midyear Report
    Cornerstone Research (in conjunction with the Stanford Securities Class Action Clearinghouse) has released its 2014 midyear report on federal securities class action filings. The findings for the first half of 2014 include: (1) There were 78…
  • Jul 25

    Too Tangential

    Too Tangential
    In its recent Chadbourne decision, the U.S. Supreme Court held that to be "in connection with" the purchase or sale of a security, an alleged securities fraud must involve "victims who took, who tried to take, who divested…
  • Jul 18

    Doubling Down

    Doubling Down
    In Spitzberg v. Houston American Energy Corp., 2014 WL 3442515 (5th Cir. July 15, 2014), the Fifth Circuit reversed the dismissal of a securities class action based on alleged false statements concerning oil and gas reserves. The decision…
Rank this Week: 2476