Most Popular Securities Law Blawgs Expanded View List View

RSS Subscribe: Latest 20 posts | Latest 100 posts
Blogs 1 - 45 of 76
Sorted by Popularity | Sort by Name | Sort by Last Post Date
Today | This Week | This Month | All Time |

William Carleton, Counselor @ Law

William Carleton, Counselor @ Law

Covers legal and investment issues facing emerging tech companies.

http://www.wac6.com/wac6/
  • May 24

    San Francisco

    San Francisco
    Assessing the weather conditions for my walk to work this morning, I saw that it was drizzling, and cool. It's the Friday before a three-day weekend, I thought, so it shouldn't be a problem if I wear a sweatshirt in...
  • May 23

    President Stark

    President Stark
    The President's geopolitics are straight out of Marvel Comics.
  • May 22

    Same-sex marriage and the accredited investor standard

    Same-sex marriage and the accredited investor standard
    The accredited investor standard is effectively lower for married couples. To the extent same-sex couples are denied the right to marry, this means the accredited investor standard discriminates on the basis of sexual orientation.
Rank this Week: 20

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
Rank this Week: 81

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

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

    Reading the Tea Leave

    Reading the Tea Leave
    Section 11 of the '33 Act creates liability for material misrepresentations in a registration statement. According to the Second Circuit (Fait) and Ninth Circuit (Rubke), however, if the alleged misrepresentation is an opinion, the plaintiff…
  • May 17

    Shrug, Concur, and Move On

    Shrug, Concur, and Move On
    In a famous market manipulation that lead to multiple criminal convictions, the A.R. Baron brokerage engaged in a pump-and-dump scheme to induce customers to purchase the securities of small companies at artificially inflated prices. Among…
  • May 10

    What Next?

    What Next?
    Based on the Supreme Court's recent decisions, a plaintiff is not required to prove the existence of loss causation (Halliburton) or materiality (Amgen) to certify an investor class. In the Halliburton case, however, the defendants pursued a…
Rank this Week: 90

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: 145

Business Blog

Business Blog

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

http://www.businesslawnews.com/
  • May 25

    Property Owners – Be Careful What You Wish For

    Property Owners – Be Careful What You Wish For
    In these times of falling property values, many property owners are quick to file tax appeals to reduce their tax burden. Most of these appeals have merit. However, be mindful of the fact that a municipality has the right to file a…
  • May 24

    Is “Secret” Business Court Coming Back to Delaware?

    Is “Secret” Business Court Coming Back to Delaware?
    Many corporations call Delaware home because of its business friendly legal environment. It is an attractive place to incorporate a business, and it can also provide substantial court decision precedents for corporate disputes, making it more…
  • May 23

    Technology Spurs New Type of Lease Agreement

    Technology Spurs New Type of Lease Agreement
    In a digital world, even small businesses can quickly run out of storage space for their data. To ensure that customer databases, product lists and email systems are all stored securely, many companies are turning to data…
Rank this Week: 168

Stock Broker Fraud Blog

Stock Broker Fraud Blog

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

http://www.stockbrokerfraudblog.com/
Rank this Week: 166

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/
  • May 24

    Investigation of Blake Richards Investment Losse

    Investigation of Blake Richards Investment Losse
    Have you suffered losses as a result of investing with former LPL financial adviser and broker, Blake Richards?  If so, the securities attorneys of The White Law Group may be able to help you recover your losses through a FINRA…
  • May 24

    Recovery of ATEL Capital Equipment Fund Investment Losse

    Recovery of ATEL Capital Equipment Fund Investment Losse
    Have you suffered losses in an ATEL Capital Equipment Fund?  If so, the securities attorneys of The White Law Group may be able to help you recover your losses through a FINRA arbitration claim against the brokerage firm that…
  • May 21

    vFinance Investments Sanctioned by FINRA

    vFinance Investments Sanctioned by FINRA
    According to The Southern Florida Business Journal, a Boca Raton brokerage firm, vFinance Investments Inc., was fined $65,000 by the Financial Industry Regulatory Authority (FINRA) for “conducting a $5.95 million private…
Rank this Week: 235

FinancialCounsel

FinancialCounsel

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

http://financialcounsel.typepad.com/financialcounsel/
  • May 23

    Structured Products Raise Concern

    Structured Products Raise Concern
    The SEC is pressing large investment banks to provide more disclosure on structured notes. Surging sales of structured notes, which are often complex and hard to understand, have caused concerns about how banks are valuing the products and…
  • May 23

    Non-Traded REITs Under Fire

    Non-Traded REITs Under Fire
    Massachusetts securities regulators have found significant violations and have settled with Ameriprise Financial Services, Inc., Commonwealth Financial Network, Royal Alliance Associates Inc., Securities America and Lincoln Financial Advisors…
  • May 22

    Financial Services Firms Making Changes to How They Sell Some Alternative Investment

    Financial Services Firms Making Changes to How They Sell Some Alternative Investment
    Amid increasing pressure from regulators, Berthel Fisher & Co. Financial Services Inc., VSR Financial Services Inc. and Cetera Financial Group Inc., which has four independent-contractor-broker-dealers under its umbrella, have revised…
Rank this Week: 223

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: 226

Securities Law Prof Blog

Securities Law Prof Blog

Covers securities arbitration, state securities law, court decisions and law review articles. By Professor Barbara Black.

http://lawprofessors.typepad.com/securities/
  • May 24

    SEC Charges Dallas Trader with Front-Running

    SEC Charges Dallas Trader with Front-Running
    The SEC announced fraud charges and an asset freeze against Daniel Bergin, a senior equity trader at Cushing MLP Asset Management, a Dallas-based investment advisory firm, who allegedly profited by placing his own trades before executing…
  • May 24

    Obama Nominates Piwowar and Stein to SEC

    Obama Nominates Piwowar and Stein to SEC
    The White House announced that it is nominating two individuals to seats on the SEC: Michael Sean Piwowar, of Virginia, to be a Member of the Securities and Exchange Commission for a term expiring June 5, 2018, vice Troy A....
  • May 23

    Former Goldman Banker Settles SEC "Pay-to-Play" Charge

    Former Goldman Banker Settles SEC "Pay-to-Play" Charge
    Neil M.M. Morrison, a former VP in the investment banking division of Goldman, Sachs, settled SEC charges that he engaged in a "pay-to-play" scheme. The SEC alleged that starting in July 2008 Morrison was employed by Goldman to…
Rank this Week: 292

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • May 24

    ISS Settles with SEC Over Breach of Confidentiality

    ISS Settles with SEC Over Breach of Confidentiality
    ISS Settles with SEC Over Breach of Confidentiality Yesterday, the SEC charged ISS with failing to safeguard confidential voting information in a number of proxy contests - and ISS settled for a $300k fine for violating the '40 Act. In...
  • May 23

    12th-23rd Say-on-Pay Failures of the Year (Including One With 9% Support!)

    12th-23rd Say-on-Pay Failures of the Year (Including One With 9% Support!)
    12th-23rd Say-on-Pay Failures of the Year (Including One With 9% Support!) Here are the latest failures - including one with 9% support, the lowest level since say-on-pay became law: - Patriot Scientific - Form 8-K (46% support) - Gentiva…
  • May 22

    Status of SEC's Political Contribution Disclosure Rulemaking: Not Yet (& Maybe Never)

    Status of SEC's Political Contribution Disclosure Rulemaking: Not Yet (& Maybe Never)
    Status of SEC's Political Contribution Disclosure Rulemaking: Not Yet (& Maybe Never) Each time I see an article from the mass media indicating that an imminent proposal from the SEC on political contribution disclosure rules, I tweet…
Rank this Week: 267

Ponzitracker

Ponzitracker

Covers Ponzi schemes. By Jordan Maglich.

http://www.ponzitracker.com/
Rank this Week: 285

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/home/
  • May 24

    SEC Regulatory Accountability Act of 2013: Whose Interests are Being Served?

    SEC Regulatory Accountability Act of 2013: Whose Interests are Being Served?
    On May 17th the U.S. House of Representatives by a 235-161 vote (including 17 Democrat supporters) approved the SEC Regulatory Accountability Act of 2013 (the “Accountability Act”).  The Accountability Act directs the SEC to…
  • May 23

    Two Nominees for the SEC

    Two Nominees for the SEC
    The Administration has nominated two candidates to the SEC:  Kara Stein, an aide to Jack Reed, the Senator who until recently chaired the Senate Subcommittee on Securities, and Michael Piwowar, an aide to Sen. Mike Crapo (R., Idaho),…
  • May 23

    The Lack of Impartiality in the Proxy Proce

    The Lack of Impartiality in the Proxy Proce
    The vote is in on the contest over whether position of chair and CEO should be divided at JP Morgan Chase.  But a fundamental shift in the traditional dynamics of a proxy contest occurred during the voting process.  Shareholders…
Rank this Week: 297

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • May 22

    FDIC's Latest Failed Bank Litigation Update Reflects Increasing Lawsuit Filing

    FDIC's Latest Failed Bank Litigation Update Reflects Increasing Lawsuit Filing
    According to the latest update on the FDIC’s website, the pace of the agency’s filing of failed bank lawsuits picked up considerably in the last month. According to the agency’s website (here), which the agency updated on…
  • May 22

    Despite Setbacks, Libor-Scandal Claimants Press Ahead

    Despite Setbacks, Libor-Scandal Claimants Press Ahead
    The early returns in the Libor-scandal related litigation have not been favorable for the claimants. As noted here, on March 29, 2013, Southern District of New York Judge Naomi Reice Buchwald substantially granted the motion to dismiss in the…
  • May 21

    D&O Insurance: Separate Claims Deemed a Single Claim--What Are the Implications?

    D&O Insurance: Separate Claims Deemed a Single Claim--What Are the Implications?
    As I have previously noted (refer for example here), one of the most vexing issues in the D&O claims arena is the questions of whether or not two claims are or are not interrelated. If the two are interrelated, they are deemed a single…
Rank this Week: 327

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/
Rank this Week: 382

California Corporate & Securities…

California Corporate & Securities Law

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

http://www.calcorporatelaw.com/
  • May 24

    Court Holds Non-Parties May Enforce Arbitration Agreement Even Though The General Rule Is That They Can’t

    Court Holds Non-Parties May Enforce Arbitration Agreement Even Though The General Rule Is That They Can’t
    The Financial Industry Regulatory Authority, more commonly known as FINRA, has adopted a Code of Arbitration for Customer Disputes (FINRA has a separate code for industry disputes).  Under FINRA’s Customer Code, a claim…
  • May 23

    Two Very Good Reasons To Visit The Department’s Website

    Two Very Good Reasons To Visit The Department’s Website
    When I joined the Department of Corporations, it had no website.  I remember reviewing possible designs for a site.  Now, it seems hard to imagine that there was a time when state agencies didn’t have websites.  Today,…
  • May 22

    Sealing A Contract May Mean Nothing Or 20 Years!

    Sealing A Contract May Mean Nothing Or 20 Years!
    The California Corporations Code endows corporations with certain rights, including the right to “adopt, use and alter” a seal.  Cal. Corp. Code § 207(a).  The Corporations Code does not define a “seal”…
Rank this Week: 355

The Law Planet Blog

The Law Planet Blog

Discusses investment, labor, and employment law, as well as securities arbitration, stockbroker issues, and legal technology. By LaBovick Law Group.

http://www.thelawplanetblog.com/
  • May 23

    The Importance of Continuing Treatment While Trying to Get SSD Benefit

    The Importance of Continuing Treatment While Trying to Get SSD Benefit
    By far, the most critical part of an application for Social Security disability benefits is the medical documentation. This is important for two reasons: First, if the claimant has continued to treat for several months or years, it…
  • May 22

    What are the basics to creating a living will?

    What are the basics to creating a living will?
    Having a will to dispose of assets is only the beginning of a well-thought out estate plan. Combining the advantages of a will, a revocable trust, a durable power of attorney and a living will is the best way to achieve your post-mortem…
  • May 20

    Is Signing an Affidavit Naming Paternity a Double-Edged Sword?

    Is Signing an Affidavit Naming Paternity a Double-Edged Sword?
    There are now more children born to single parents than to parents who are married. Florida has a statute dealing with unmarried parents that lists the father on the birth certificate. A lot of unmarried couples end up breaking up and having…
Rank this Week: 404

Securities Law Practice Center

Securities Law Practice Center

Covers news, analysis and resources in the securities field. By the Practicing Law Institute (PLI).

http://seclawcenter.pli.edu
  • Apr 5

    Tweet This! SEC Addresses Application of Regulation FD to Social Media

    Tweet This! SEC Addresses Application of Regulation FD to Social Media
    On April 2nd, the SEC issued a report of investigation that makes clear public companies may use social media such as Twitter and Facebook to announce information in compliance with Regulation FD as long as the companies made investors aware…
  • Apr 3

    Simpson Thacher: March Securities Law Alert

    Simpson Thacher: March Securities Law Alert
    We are pleased to share the most recent edition of the Simpson Thacher Securities Law Alert, edited by litigation Partners Jonathan Youngwood, Peter Kazanoff, and Paul Gluckow. The following is a summary of the March 2013 edition of the…
  • Apr 1

    Delaware Court of Chancery Enjoins Board from Resisting Insurgent Director Slate

    Delaware Court of Chancery Enjoins Board from Resisting Insurgent Director Slate
    In Kallick v. SandRidge Energy, Inc. the Delaware Court of Chancery preliminarily enjoined the board of SandRidge Energy, Inc. from impeding a consent solicitation by one of the Company’s largest stockholders to replace the incumbent…
Rank this Week: 362

Securities Mining Law

Securities Mining Law

Covers securities law affecting the mining industry in Canada.

http://www.securitiesmininglaw.com/
  • May 24

    Accessing Asian Capital by Canadian Companies – the case for listing in Hong Kong

    Accessing Asian Capital by Canadian Companies – the case for listing in Hong Kong
    Why Hong Kong Michael Chan, Assistant Vice President of the Global Markets Division of the Hong Kong Stock Exchange (“HKEx”), was recently in Canada, visiting Calgary, Toronto and Vancouver and delivering a presentation entitled…
  • May 10

    Canada to Strengthen its Laws Against Bribery of Foreign Public Official

    Canada to Strengthen its Laws Against Bribery of Foreign Public Official
    Mining and exploration companies with projects in developing nations should take note that an amendment to the Foreign Corrupt Practices Act (CFPOA) has been approved by the Senate and is currently before the House of Commons. Bill S-14…
  • May 10

    New Bill Heightens Potential for More Investment Canada Reviews of SOE Acquisition

    New Bill Heightens Potential for More Investment Canada Reviews of SOE Acquisition
    Last week the Canadian Government introduced amendments to the Investment Canada Act (ICA) to implement its revised policy towards state-owned enterprises (SOEs) which it announced in December last year. At that time, while it approved the…
Rank this Week: 746

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. Published by Porter, Wright,

http://www.fedseclaw.com/
  • May 15

    SEC and CFTC Red Flag Rules Become Effective May 20, 2013

    SEC and CFTC Red Flag Rules Become Effective May 20, 2013
    The Securities and Exchange Commission and the Commodity Futures Trading Commission have adopted rules that require most broker-dealers, mutual funds, investment advisers, and certain other regulated entities to create programs to prevent…
  • May 7

    The Timken Board: Between a Rock and a Hard Place

    The Timken Board: Between a Rock and a Hard Place
    On May 7, 2013, Timken Co. announced that its shareholders approved a nonbinding proposal from activist shareholders (Relational Investors and Calstrs—California State Teachers' Retirement System, who together own 7.28% of the…
  • Apr 25

    Zillow, Inc. To Use Twitter For Earnings Call

    Zillow, Inc. To Use Twitter For Earnings Call
    The real estate website company Zillow, Inc. announced it would use Twitter and Facebook to field questions on its first quarter earnings call.  The company claims that it is the first to take questions in this manner, but will continue…
Rank this Week: 687

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/
  • May 21

    Business Court Sanctions Parties For Disobeying Discovery Order

    Business Court Sanctions Parties For Disobeying Discovery Order
     When you think of sanctions, your mind probably goes to Rule 11 of the Rules of Civil Procedure.  But what about Rule 37(b)(2)?  It says that:  if a party . . . fails to obey an order to provide or permit discovery, . .…
  • May 7

    Claims For Legal Malpractice Aren't Assignable In North Carolina

    Claims For Legal Malpractice Aren't Assignable In North Carolina
    Maybe you've wondered whether a claim for legal malpractice can be assigned. Maybe you haven't. But yesterday, the North Carolina Court of Appeals answered that question.  In Revolutionary Concepts, Inc. v. Clements Walker PLLC, the…
  • May 1

    Fourth Circuit Takes A Narrow View On Recovery Of E-Discovery Cost

    Fourth Circuit Takes A Narrow View On Recovery Of E-Discovery Cost
    You've undoubtedly prevailed in a federal case -- either at summary judgment or after a trial -- and you have probably struggled with what you are entitled to recover as costs under 28 U.S.C. §1920.  And recently, your client,…
Rank this Week: 866

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/
  • May 17

    FL Court Rules Statute of Limitations Apply in Arbitration

    FL Court Rules Statute of Limitations Apply in Arbitration
    We finally have a ruling on the questionable argument that is often advanced that the statute of limitations does not apply in arbitration. The argument is premised on a contorted interpretation of a Florida statute and requires one to…
  • May 14

    SEC, FINRA Issue Investor Alert On Pension or Settlement Income Stream

    SEC, FINRA Issue Investor Alert On Pension or Settlement Income Stream
    The SEC and FINRA issued an investor alert entitled Pension or Settlement Income Streams – What You Need to Know Before Buying or Selling Them. The investor alert informs investors about the risks involved when selling their rights to…
  • Apr 23

    FINRA Wants Your Facebook Account

    FINRA Wants Your Facebook Account
    You read that right, just as the SEC is embracing social media, FINRA wants access to brokers' Facebook accounts.We all know that an employer's demand for access to an employees Facebook account is illegal in many states, and probably illegal…
Rank this Week: 823

VC Research Network

VC Research Network

Venture Capital blawg by Boalt Hall Law School Law Professors Jesse M. Fried, Ken Taymor, and Robert Bartlett, III

http://vc.berkeleylawblogs.org/
  • Apr 5

    Carrots & Sticks: How VCs Induce Entrepreneurial Teams to Sell Startup

    Carrots & Sticks: How VCs Induce Entrepreneurial Teams to Sell Startup
    [Editor’s Note: This post comes to us from Professors Jesse Fried and Brian Broughman] Venture capitalists (VCs) play a significant role in the financing of high-risk, technology-based business ventures. VC exits usually take one of…
  • Mar 26

    Delaware Law as Lingua Franca: Theory and Evidence

    Delaware Law as Lingua Franca: Theory and Evidence
    [Editor’s Note: This post comes to us from Professors Jesse Fried, Brian Broughman and Darian Ibrahim) Delaware dominates the corporate chartering market in the U.S—it is the only state that attracts a significant number of…
  • Feb 27

    The Dynamics of Venture Capital Contract

    The Dynamics of Venture Capital Contract
    (Editor’s Note: This post comes to us from Professors Carsten Bienz and Julia Hirsch).
Rank this Week: 844

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: 783

The PSLRA Nugget

The PSLRA Nugget

Covers securities class action case law. By Christopher S. Jones.

http://pslranugget.blogspot.com/
  • Feb 3

    The Nugget is Moving to a New Home

    The Nugget is Moving to a New Home
    Please update your bookmarks, as the PSLRA Nugget is moving to a new easier to remember website address.  Also if you are getting this by email, and you would like to continue getting it that way, you just need to go to
  • Feb 2

    Yes Shorter is Better (at least in legal briefing)

    Yes Shorter is Better (at least in legal briefing)
    OK, you know who you are.  The serial page extension requesters.  But Judge, we have to have 100 pages to explain it.  I know, I know, we've all done it.  And yes I agree sometimes it's necessary.  But District Judge Joy Flowers Conti…
  • Mar 18

    Confidential Sources Still Alive & Kicking

    Confidential Sources Still Alive & Kicking
    What's that? You thought Tellabs banned confidential witnesses? Well, let's not get carried away here, as there's certainly at least two ways to read that opinion. Of course, after the 7th Circuit decided Higginbotham v. Baxter, it was…
Rank this Week: 807

Securities Attorney Law Blog

Securities Attorney Law Blog

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

http://securitiesattorneylaw.com/
Rank this Week: 1633

Securities Attorneys Law Blog

Securities Attorneys Law Blog

Covers securities class action litigation and FINRA arbitrations, SEC regulatory developments and FINRA disciplinary decisions. By Jay Eng.

http://securitiesattorneys.us/
Rank this Week: 1229

Strictly Business

Strictly Business

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

http://blog.alexanderdavie.com/
Rank this Week: 1563

The Securities Edge

The Securities Edge

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

http://www.thesecuritiesedge.com/
Rank this Week: 1463

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

http://www.seclawyersblog.com/
Rank this Week: 1058

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/
  • May 22

    FINRA Hits LPL With $7.5 Million Fine in E-mail Failure Case

    FINRA Hits LPL With $7.5 Million Fine in E-mail Failure Case
    LPL Financial LLC has signed a Letter of Acceptance, Waiver and Consent ("AWC") to resolve allegations by FINRA that it made material misrepresentations to the regulator during its investigation of significant and repeated e-mail failures by…
  • May 16

    Ranbaxy USA, Inc. Agrees to $500 Million Settlement

    Ranbaxy USA, Inc. Agrees to $500 Million Settlement
    Ranbaxy USA, Inc., a division of generic drug manufacturer Ranbaxy Laboratories Limited based in India, has agreed with the U.S. to settle criminal and civil charges. The charges relate to the manufacture and distribution of allegedly…
  • May 14

    C.R. Bard Agrees to Settle Qui Tam Suit

    C.R. Bard Agrees to Settle Qui Tam Suit
    New Jersey-based C.R. Bard, Inc. ("Bard"), a manufacturer and marketer of medical products, has agreed to settle a qui tam action for $48.26 million. According to the Justice Department, the suit relates to Bard's sales of brachytherapy…
Rank this Week: 1264

Business Law Post

Business Law Post

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

http://www.businesslawpost.blogspot.com/
  • May 21

    Can For-Profit Businesses Use Unpaid Interns in New York?

    Can For-Profit Businesses Use Unpaid Interns in New York?
    Even though I have previously written about it, I keep getting many questions regarding whether unpaid interns can work for a for-profit business. My conclusion is YES BUT… it can be risky for the business. In New York, interns can…
  • May 18

    Crowdfunding Update

    Crowdfunding Update
    We are still patiently waiting for the SEC to develop rules implementing the crowdfunding provisions of the JOBS Act. While we are waiting, the industry prepares for the crowdfunding transactions. Recently, two interesting articles about…
  • May 12

    Who Owns #Hashtags?

    Who Owns #Hashtags?
    Proliferation of social media continues to stretch the boundaries of the law and its definitions. It prompts us to apply the proven legal concepts to new technological and social phenomena with no clear and well-defined answers.A good…
Rank this Week: 1341

Startup Law Blog

Startup Law Blog

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

http://startuplawblog.com
  • May 20

    Washington State to Regulate Fund Manager

    Washington State to Regulate Fund Manager
    This article is appearing simultaneously on The Venture Alley and on Startup Law Blog. Readers may feel free to re-post this content elsewhere as well. The world is changing for venture funds and similar funds in Washington…
  • May 17

    SEC Fires Another Salvo in the “Finder” Debate

    SEC Fires Another Salvo in the “Finder” Debate
    The SEC recently issued orders against two individuals and a company and, in doing so, continued the debate over what conduct requires someone acting as a “finder” to be registered as a broker or dealer or associated with a…
  • May 17

    Young Entrepreneur Social Charity Auction

    Young Entrepreneur Social Charity Auction
    Do you want to make a local impact right now? Are you someone interested in encouraging young entrepreneurs and leaders here in Seattle? Or, are you a young leader yourself who is interested in building a better community locally? On June…
Rank this Week: 1077

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
Rank this Week: 1517

Sharesleuth.com

Sharesleuth.com

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

http://sharesleuth.com/
  • Oct 15

    Rockwell Medical countersues former drug-development executive

    Rockwell Medical countersues former drug-development executive
    Rockwell Medical Inc. (Nasdaq: RMTI) has filed a countersuit against its former chief medical officer, alleging that he overstated his qualifications, breached a confidentiality agreement and made false and defamatory statements about the…
  • Oct 2

    Houston American says SEC probing its Colombian resource claim

    Houston American says SEC probing its Colombian resource claim
    Houston American Corp. (AMEX: HUSA) says the Securities and Exchange Commission’s investigation into the company appears to be focused on disclosures about the potential of its CPO-4 prospect in Colombia in late 2009 and early 2010.…
  • Jun 20

    Former Rockwell Medical executive alleges SEC violation

    Former Rockwell Medical executive alleges SEC violation
    The former head of drug development at Rockwell Medical Technologies Inc. (Nasdaq: RMTI) says the company and its chief executive knowingly issued false and misleading press releases and violated other securities laws. Dr. Richard C. Yocum,…
Rank this Week: 1495

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: 1177

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
  • May 24

    Former LPL Financial Broker Charged by SEC

    Former LPL Financial Broker Charged by SEC
    A former adviser affiliated with LPL Financial LLC has been charged by the Securities and Exchange Commission (SEC) of defrauding investors and stealing $2 million from at least six clients. According to the civil complaint, former LPL…
  • May 17

    B-Ds Address Sales of Alternative Investment

    B-Ds Address Sales of Alternative Investment
    Alternative investments like non-traded REITs and private placements have levied financial havoc on many investors in recent years. Now, facing pressure from regulators, some broker/dealers are making changes to how they sell these kinds of…
  • May 16

    Report: Senior Designations Can Confuse the Elderly

    Report: Senior Designations Can Confuse the Elderly
    A May 7 story by NPR highlights some of the ways in which bogus financial advisers use the “art of confusion” to siphon money from unsuspecting elder Americans. A contributing factor to this type of elder fraud is the myriad of…
Rank this Week: 4711

Cady Bar the Door

Cady Bar the Door

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

http://www.secmiscellany.com
  • May 23

    Keeping Internal Investigations Independent and Conflict-Free

    Keeping Internal Investigations Independent and Conflict-Free
    Internal investigations can arise in a number of different ways and can concern a number of different subjects.  Allegations of financial misconduct, employment-related missteps, and breaches of fiduciary duty, among others, can all lead…
  • May 8

    The SEC Does Not Care about Your FINRA Document Request

    The SEC Does Not Care about Your FINRA Document Request
    If you are a broker-dealer or a registered representative at one, you sign on for some meddling by FINRA.  The self-regulatory organization is responsible for overseeing your securities business and even for your outside business…
  • May 2

    SEC Dings Investment Adviser for Custody Violations, Failure to Supervise

    SEC Dings Investment Adviser for Custody Violations, Failure to Supervise
    Readers of this space – and SEC observers generally – will recall a March 4 risk alert designed to warn investors about the ways U.S. investment advisers had recently been found to have violated the SEC’s asset custody…
Rank this Week: 4153

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
  • May 23

    Seizure Alert Dog Business Sham

    Seizure Alert Dog Business Sham
    Rather than try and digest this disgusting bit of business, I prefer to present it to you in full-text so as to retain the depths to which this low life defendant fell.(From the May 23, 2013, NYSAG Press Release). Compliments to the NYAG for…
  • May 23

    Feds Say Pastor Stole From Peter To Pay Peter In Real Estate Scam

    Feds Say Pastor Stole From Peter To Pay Peter In Real Estate Scam
    According to a federal Indictment  in the Southern District of Texas returned one May 8, 2013 and unsealed on May 23, 2013, Samuel Ray Palasota, 52, Houston, TX , engaged in some 21 counts of mail fraud and 3 counts of wire fraud…
  • May 22

    Customers Complain That Edward Jones Didn't Stop In The Name Of Love

    Customers Complain That Edward Jones Didn't Stop In The Name Of Love
    The line in the song goes: Stop in the name of love before you break my heart. Apparently that refrain became the basis for a customer arbitration.  Did Edward Jones break the claimants' account? In a Financial Industry Regulatory…
Rank this Week: 4012

Amato Law Firm, LLC Blog

Amato Law Firm, LLC Blog

Overview of current developments in the area of securities law with a focus on securities arbitration and broker-dealer regulation.

http://www.ramatolaw.com/blog1
  • May 22

    Amato Law Firm Successfully Defends Broker-Dealer Client in Alabama Arbitration

    Amato Law Firm Successfully Defends Broker-Dealer Client in Alabama Arbitration
    Amato Law Firm, LLC is pleased to announce that its independent broker-dealer client has been vindicated following a FINRA arbitration hearing before a three member Alabama panel.  The industry dispute involved allegations of breach of…
  • May 22

    In Face of Regulatory Scrutiny, Some B-Ds Rein in Alternative

    In Face of Regulatory Scrutiny, Some B-Ds Rein in Alternative
    Rumor has it that some independent broker-dealers, including VSR Financial Services, Inc. and Berthel Fisher (among others) have revised guidelines relating to the sale of alternative investments such as non-traded REITs.  As recently…
  • May 20

    The Ongoing Raiding Dispute between Wells Fargo Advisors and Stifel Nicolau

    The Ongoing Raiding Dispute between Wells Fargo Advisors and Stifel Nicolau
    A noteworthy and contentious dispute (or, more accurately, series of disputes) between brokerage firm Wells Fargo Advisors, LLC (WFA) and its crosstown rival Stifel, Nicolaus & Company, Inc. (Stifel) is worth mentioning simply because of…
Rank this Week: 2432

Securities Arbitration Blog

Securities Arbitration Blog

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

http://www.securitiesarbitrations.com
Rank this Week: 4374

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/
  • May 22

    NetSpend: Delaware Chancery Criticizes Single-Buyer Negotiating, Use of DADW & Revlon Process, But Denies Injunction

    NetSpend: Delaware Chancery Criticizes Single-Buyer Negotiating, Use of DADW & Revlon Process, But Denies Injunction
    NetSpend: Delaware Chancery Criticizes Single-Buyer Negotiating, Use of DADW & Revlon Process, But Denies Injunction Here's news from Greenberg Traurig's Cliff Neimeth: Vice Chancellor Glasscock's decision yesterday in Koehler v. Netspend…
  • May 20

    Safe Harbor: Del Monte in a Minor Key

    Safe Harbor: Del Monte in a Minor Key
    Safe Harbor: Del Monte in a Minor Key Here is an article from "The Deal": Corporate directors and their outside advisers would seem to have fulfilled their fiduciary duties to shareholders handsomely by agreeing to sell a company…
  • May 14

    In re Plains Exploration: A Revlon Review & the Kitchen Sink

    In re Plains Exploration: A Revlon Review & the Kitchen Sink
    In re Plains Exploration: A Revlon Review & the Kitchen Sink John Grossbauer of Potter Anderson notes: In In re Plains Exploration & Production Co. Shareholder Litigation, Delaware Vice Chancellor Noble rejected claims for breach of…
Rank this Week: 2591

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • May 22

    What Broker-Dealers Need To Know About FINRA

    What Broker-Dealers Need To Know About FINRA
    Recently, FINRA publicized penalties against three companies and associated individuals for failing to implement adequate anti-money laundering procedures.  These fines should serve as a warning to the industry as a whole that FINRA is…
  • May 22

    Apply To Showcase Your Company at This Year's IMPACT Venture Summit

    Apply To Showcase Your Company at This Year's IMPACT Venture Summit
    As the host of IMPACT 2013 Venture Summit, Fox invites you or your clients in the technology, healthcare or early stage sectors to be a featured company during the Mid-Atlantic's premiere venture capital conference. Featured companies receive…
  • May 20

    What Investment Advisers Need To Know About The SEC

    What Investment Advisers Need To Know About The SEC
    The SEC recently announced that its top priority is to increase the number of investment adviser examinations it conducts on an annual basis.  Considering that the SEC only examined 8% of all investment advisers in 2012 (where 40% have…
Rank this Week: 4170

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: 4745

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/
  • May 21

    Florida Supreme Court Rules Statute of Limitations Applies to Arbitration

    Florida Supreme Court Rules Statute of Limitations Applies to Arbitration
    This month, the Florida Supreme Court held that Florida's statutes of limitations apply in arbitration proceedings. In the case of Raymond James Financial Services, Inc. v. Barbara J. Phillips, etc. et. al., (No. SC11-2513), the Court held…
  • May 17

    Broker-Dealer Enforcement Roundup

    Broker-Dealer Enforcement Roundup
    FINRA has published the notice of disciplinary cases for April 2013 online. A few cases I think are worthy of discussion. In one case, a firm agreed to settle an action through an AWC and was censured and fined $150,000....
  • May 17

    Broker-Dealer Enforcement Roundup

    Broker-Dealer Enforcement Roundup
    FINRA has published the notice of disciplinary cases for April 2013 online. A few cases I think are worthy of discussion. In one case, a firm agreed to settle an action through an AWC and was censured and fined $150,000....
Rank this Week: 2651