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Startup Law Blog

Startup Law Blog

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

http://startuplawblog.com
  • Jun 19

    Discounted Stock Options and Section 409A: A Cautionary Tale

    Discounted Stock Options and Section 409A: A Cautionary Tale
    Guest Post By Scott Usher of Bader Martin, P.S. In the startup ecosphere, stock options are commonplace. They’re one way young companies can compensate for sweat equity and lower-than-market salaries or consulting fees, and generally…
  • Jun 10

    Incorporating an LLC

    Incorporating an LLC
    By Joe Wallin and Scott Usher of Bader Martin, P.S. It is not uncommon for founders to start their companies as LLCs and then want to or need to incorporate or convert to a corporation later. Incorporating an LLC does not have to be a…
  • Jun 10

    A Story

    A Story
    A Story I am in the middle of a Rule 506 all accredited investor offering. One of the folks who wants to invest in my company was stumped at my accredited investor questionnaire. He earns $175,000 a year. He doesn’t have a $1M net…
Rank this Week: 1578

William Carleton, Counselor @ Law

William Carleton, Counselor @ Law

Covers legal and investment issues facing emerging tech companies.

http://www.wac6.com/wac6/
Rank this Week: 35

Smaller Reporting Company's…

Smaller Reporting Company's Securities Blog

Covers securities law issues for entrepreneurs, emerging companies, investors and shareholders. By Stoecklein Law Group, LLP.

http://slgsecurities.com/
  • Jun 19

    The Small Business Brokerage Act Summary

    The Small Business Brokerage Act Summary
    On June 6, 2013, H.R. 2274, the Small Business Mergers, Acquisitions, Sales and Brokerage Simplification Act of 2013, (“Small Business Brokerage Act”) was introduced to the House of Representatives.  The Bill would amend the…
  • Jun 6

    When can a founder be a good CEO?

    When can a founder be a good CEO?
    Reblogged from The American CEO: People often say that entrepreneurs who start out as CEO will need to be replaced at some point with a “professional” CEO. The thought is that the entrepreneur won’t be able to scale as the…
  • May 27

    Corporate Social Responsibility or just a Marketing Tool?!

    Corporate Social Responsibility or just a Marketing Tool?!
    Reblogged from Ca$hewTree: In today's society it seems that one of the ugliest and most despicable things one can be called by one's opponents is a "capitalist". Probably since Karl Marx's "The Capital" capitalism and "the…
Rank this Week: 3889

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/
  • 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…
  • May 16

    TLG Attorney to Speak on Ethics at “Accounting 101 for Attorneys” Presentation

    TLG Attorney to Speak on Ethics at “Accounting 101 for Attorneys” Presentation
    Brian A. Lebrecht, founder and President of The Lebrecht Group, APLC, will be among the presenters at a seminar on May 16, 2013 by the National Business Institute entitled Accounting 101 for Attorneys.  Specific topic will be Complying…
Rank this Week: 3714

The Lebrecht Group, APLC Blog

The Lebrecht Group, APLC Blog

Discusses corporate securities law .

http://www.thelebrechtgroup.com/blog/
  • 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…
  • May 16

    TLG Attorney to Speak on Ethics at “Accounting 101 for Attorneys” Presentation

    TLG Attorney to Speak on Ethics at “Accounting 101 for Attorneys” Presentation
    Brian A. Lebrecht, founder and President of The Lebrecht Group, APLC, will be among the presenters at a seminar on May 16, 2013 by the National Business Institute entitled Accounting 101 for Attorneys.  Specific topic will be Complying…
Rank this Week: 4092

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/
  • Jun 19

    SEC Chair Says Agency Will Require Admissions in Some Settlement

    SEC Chair Says Agency Will Require Admissions in Some Settlement
    It has been widely reported that SEC Chair White stated that the agency will seek admissions in settlements in certain cases, because "public accountability in particular kinds of cases can be quite important." Reuters, UPDATE…
  • Jun 18

    Deloitte Agrees to One-Year Suspension from Consulting Work at New York Financial Institution

    Deloitte Agrees to One-Year Suspension from Consulting Work at New York Financial Institution
    Deloitte Financial Advisory Services agreed to a one-year suspension from consulting work at financial institutions regulated by the New York State Dept. of Financial Services because of alleged misconduct during its consulting work at…
  • Jun 18

    Schwartz on Crowdfunding

    Schwartz on Crowdfunding
    Crowdfunding Securities, by Andrew A. Schwartz, University of Colorado Law School, was recently posted on SSRN. Here is the abstract: A new federal statute authorizes the online "crowdfunding" of securities, a new idea based on the…
Rank this Week: 165

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

http://www.seclawyersblog.com/
Rank this Week: 493

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/
  • Jun 19

    Establishing Children as Co-Trustees of a Revocable Trust

    Establishing Children as Co-Trustees of a Revocable Trust
    One of the more difficult decisions to make when communicating wishes to your estate planning attorney is choosing a trustee for a revocable trust. I have a number of clients who named two or more of their children as co-trustees of a…
  • Jun 18

    Social Security Disability Benefits Available for Mental Illne

    Social Security Disability Benefits Available for Mental Illne
    When people first think of Social Security disability they think of the injured factory worker or coal miner who is reaching retirement age and can no longer perform his/her physically demanding occupation. But there is a whole other group…
  • Jun 14

    Is Palm Beach County's Growth Plan Too Conservative?

    Is Palm Beach County's Growth Plan Too Conservative?
    If you live in South Florida, you have noticed the expansion of residential communities extending westward past the Florida Turnpike. Palm Beach County has grown exponentially since the 80’s, and highly concentrated populations now live…
Rank this Week: 644

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/
  • Jun 19

    Report: Wealthiest Clients Want to Consolidate Advisor

    Report: Wealthiest Clients Want to Consolidate Advisor
    Here is an interesting report - the World Health Report 2013 found that the majority of wealth managers are keeping their richest clients happy. More than 60% of high-net-worth clients expressed a high degree of trust in both their wealth…
  • Jun 19

    Janney Adds Advisors from Morgan Stanley and Ameriprise

    Janney Adds Advisors from Morgan Stanley and Ameriprise
    Financial advisors continue to change firms and a quick pace. Janney has added two former Morgan Stanley advisors and a branch manager from Ameriprise to its ranks. Industry veterans.  Alfred DeRenzis and Scott Ford joined in the…
  • Jun 19

    Piper to Buy Edgeview Partner

    Piper to Buy Edgeview Partner
    Investment bank and asset management firm Piper Jaffray Cos. is buying middle-market advisory firm Edgeview Partners LP.  Financial terms were not disclosed. Edgeview Partners specializes in mergers and acquisitions. Piper Jaffray said…
Rank this Week: 125

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/
  • Jun 19

    FINRA Panel Sets $18.5 Million Award Against WFP Securitie

    FINRA Panel Sets $18.5 Million Award Against WFP Securitie
    On May 30, 2013, a FINRA arbitration panel issued an $18.5 million award against WFP Securities Corp. in connection with its sales of Provident Royalties, LLC (“Provident Royalties”). WFP Securities which went out business in…
  • Jun 17

    Allied Beacon’s Financial Health in Question

    Allied Beacon’s Financial Health in Question
    Allied Beacon Partners Inc. (“Allied Beacon”) has informed its financial advisers that the firm is in violation of industry rules requiring that sufficient capital be kept on hand to remain open for business. Reps no longer can…
  • Jun 4

    Eccleston Law Offices, P.C. Investigates Mark Morrow, Angelo Alleca and Landmark Investment Group

    Eccleston Law Offices, P.C. Investigates Mark Morrow, Angelo Alleca and Landmark Investment Group
    The attorneys at Eccleston Law Offices, P.C. have launched an investigation of claims involving Mark Morrow, Angelo Alleca and Landmark Investment Group. Recently, the Securities and Exchange Commission has alleged that Morrow issued…
Rank this Week: 321

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/
  • Jun 19

    Recovery of Ponzi Scheme Investment Losse

    Recovery of Ponzi Scheme Investment Losse
    Have you suffered losses as a result of your dealings with Maxwell B. Smith and Health Care Financial Partners? If so the securities attorneys of The White Law Group may be able to help. According to reports, New Jersey financial advisor and…
  • Jun 13

    Recovery of Noble Royalties Investment Losse

    Recovery of Noble Royalties Investment Losse
    Have you suffered substantial losses in your investment with Noble Royalties? If so, the securities fraud attorneys at The White Law Group may be able to help you recover your losses. According to Noble Royalties website, the company…
  • Jun 13

    Will the bond bubble burst?

    Will the bond bubble burst?
    When disclosing the risk of a particular bond offering, a financial advisor must make the investor fully aware of the following risks associated with all bonds: (1) Inflationary risk – i.e., the risk that fixed-income investments…
Rank this Week: 380

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
Rank this Week: 106

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/
Rank this Week: 225

Business Blog

Business Blog

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

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

    NJ Court Rules Building Owner Not Responsible for Safety of Water Supply

    NJ Court Rules Building Owner Not Responsible for Safety of Water Supply
    New Jersey’s Appellate Division recently ruled that a building owner could not be held liable when an employee contracted Legionnaires' disease from the building’s water supply. The case, Vellucci v. Allstate Insurance Company,…
  • Jun 18

    NY and NJ Employment Law: Use of Temporary Workers Has Legal Risk

    NY and NJ Employment Law: Use of Temporary Workers Has Legal Risk
    U.S. companies are found to increasingly rely upon “temporary” workers to fill out their workforces. In fact, there are 2.86 million temporary and “contract” workers likely hard at work right now in companies across…
  • Jun 17

    DOL Provides Updated Guidance on Notice of Exchange Required by PPACA

    DOL Provides Updated Guidance on Notice of Exchange Required by PPACA
    The Patient Protection and Affordable Care Act (PPACA) imposes a number of new obligations on New York and New Jersey employers. One of the most significant notification requirements involves the health insurance marketplaces that will be…
Rank this Week: 810

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

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

    Video Killed the Radio Star: Launch of My "Take Two" Video

    Video Killed the Radio Star: Launch of My "Take Two" Video
    Video Killed the Radio Star: Launch of My "Take Two" Videos I've been wanting to get more into video for a long time. A really long time. And now that most of us have iPads and other devices attached to...
  • Jun 18

    More on "Survey Results: Rule 10b5-1 Plan Practices"

    More on "Survey Results: Rule 10b5-1 Plan Practices"
    More on "Survey Results: Rule 10b5-1 Plan Practices" Last week, I ran this blog providing survey results on Rule 10b5-1 plans and received many emails in response. David Smyth of Brooks Pierce even blogged this analysis about them:…
  • Jun 17

    Juicy Lawsuit Pays Off for Reinstated SEC Assistant Inspector General: $580k!

    Juicy Lawsuit Pays Off for Reinstated SEC Assistant Inspector General: $580k!
    Juicy Lawsuit Pays Off for Reinstated SEC Assistant Inspector General: $580k! As I blogged six months ago, SEC Assistant Inspector General David Weber filed a $20 million lawsuit alleging he was fired for being a whistleblower (you may recall…
Rank this Week: 746

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/
  • Jun 19

    Client Secrets Must Be Kept Even When Not Privileged

    Client Secrets Must Be Kept Even When Not Privileged
    Yesterday, I discussed whether an SEC attorney might commit an ethical violation by encouraging an attorney to disclose her client’s confidences.  That discussion was prompted by a recent posting by Lawrence A. West addressing…
  • Jun 18

    Does An SEC Attorney Commit An Ethical Violation By Encouraging Whistleblowing Lawyers?

    Does An SEC Attorney Commit An Ethical Violation By Encouraging Whistleblowing Lawyers?
    The Harvard Law School Forum on Corporate Governance and Financial Regulation included a comprehensive post by Lawrence A. West which tackles the question of whether attorneys can be award seeking whistleblowers.  I want…
  • Jun 17

    FTB Fights Underground Regulation Determination – Why Won’t It Simply Do What’s Right?

    FTB Fights Underground Regulation Determination – Why Won’t It Simply Do What’s Right?
    Just last week, the California Taxpayers Association reported: For at least several months, the Franchise Tax Board has been sending filing enforcement notices to nonresidents of California, including many foreign nonregistered…
Rank this Week: 338

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • Jun 19

    The Curse of Post-Close Merger Objection Litigation

    The Curse of Post-Close Merger Objection Litigation
    There days, virtually every M&A transaction attracts litigation, usually involving multiple lawsuits. These cases have proven attractive to plaintiffs’ lawyers because the pressure to close the deal affords claimants leverage to…
  • Jun 18

    A Critical Question Directors Should Be Asking Company Management About Cyber Risk

    A Critical Question Directors Should Be Asking Company Management About Cyber Risk
    Cyber security and related privacy issues increasingly dominate the headlines. And for good reason: according to statistics cited in a recent Wall Street Journal article, cyber attacks --ranging from malicious software to denial of…
  • Jun 17

    Guest Post: J.P. Morgan Decision Curtails the Phantom "Restitution Defense" to D&O Coverage

    Guest Post: J.P. Morgan Decision Curtails the Phantom "Restitution Defense" to D&O Coverage
    As I discussed in a recent post (here), in a June 11, 2013 opinion, the New York Court of Appeals held that J.P Morgan (which had acquired Bear Stearns) is not barred from seeking insurance coverage for a $160 million portion of an SEC…
Rank this Week: 101

ComplianceAsia News

ComplianceAsia News

Provides information for compliance professionals dealing with issues in financial regulation with a focus on the Asian region.

http://www.compliance.asia/
  • Jun 18

    Good luck Jame

    Good luck Jame
    In major Hong Kong related compliance news, James Shipton, formerly with Goldman Sachs and before that with ComplianceAsia, has been appointed an Executive Director of the HK SFC in charge of a new combined Licensing and Intermediaries…
  • Jun 18

    SFC bans rep for life

    SFC bans rep for life
    The SFC has banned a representative for life after her defalcation of client assets.  Theft of client assets remains the most serious of issues and the SFC has taken action accordingly.  Full details below: SFC bans Michelle Ng Man…
  • Jun 13

    CS in HK fined for position limit breache

    CS in HK fined for position limit breache
    The HK SFC has fined Credit Suisse in Hong Kong HK$1.6m for breaches of options position limits.  This is not the first time that an institution has been fined for this issue.  Buy side firms should ensure that they only use one PB…
Rank this Week: 888

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: 915

Ponzitracker

Ponzitracker

Covers Ponzi schemes. By Jordan Maglich.

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

    Guilty Plea in $600 Million Prepaid-Funeral Ponzi Scheme

    Guilty Plea in $600 Million Prepaid-Funeral Ponzi Scheme
    A St. Louis woman has pled guilty to her role in a massive Ponzi scheme that billed itself as a nationwide leader in the sale of prearranged funerals.  Sharon Nekol Province, 69, of Baldwin, Missouri, entered into a plea agreement…
  • Jun 13

    Six Years Later, Boy Band Founder's Ponzi Scheme Victims Set For 4% Payout

    Six Years Later, Boy Band Founder's Ponzi Scheme Victims Set For 4% Payout
    Photo: AP Photo/ John RaouxMore than six years after his $300 million Ponzi scheme collapsed, victims of former boy band mogul Lou Pearlman's scheme are set to receive an initial payout of just four cents on the dollar.  In a…
  • Jun 13

    New Zealand's 'Madoff' Charged With Country's Largest Ponzi Scheme

    New Zealand's 'Madoff' Charged With Country's Largest Ponzi Scheme
    A New Zealand fund manager was charged with masterminding a $320 million Ponzi scheme which, if true, would rank as the largest Ponzi scheme in New Zealand's history.  David Ross, 63, was charged with four counts of false accounting and…
Rank this Week: 162

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: 363

Cady Bar the Door

Cady Bar the Door

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

http://www.secmiscellany.com
  • Jun 18

    Lenny Dykstra Is Open for Business!

    Lenny Dykstra Is Open for Business!
    On Dealbreaker last week, Bess Levin hilariously reported former baseball player Lenny Dykstra’s release from a California prison after his guilty plea and sentencing for three felony counts – bankruptcy fraud, concealment of…
  • Jun 17

    SEC Considers Returning to Its Root

    SEC Considers Returning to Its Root
    The SEC has recently taken a well-deserved beating for its lack of attention to financial fraud at publicly traded companies.  The numbers speak for themselves.  In 2012, the SEC brought 79 financial fraud cases, when in years past…
  • Jun 13

    Companies Finding Little Use for Quick, Efficient Way to Avoid Liability

    Companies Finding Little Use for Quick, Efficient Way to Avoid Liability
    When I was on the SEC’s enforcement staff, I had a case once where we were pretty sure our prospective defendant had engaged in insider trading.  Our conversation with his lawyer went something like this:¹…
Rank this Week: 1203

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: 842

Representing Investors

Representing Investors

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

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

    Risky Business: Alternative Mutual Fund

    Risky Business: Alternative Mutual Fund
    Alternative mutual funds have exploded in popularity in recent years. But there is a dark side to alternative mutual funds. Last week, the Financial Industry Regulator (FINRA) warned investors about this very issue, cautioning them in an…
  • Jun 18

    Massachusetts Regulators Settle With B-Ds Over Improper REIT Sale

    Massachusetts Regulators Settle With B-Ds Over Improper REIT Sale
    Sales of non-traded real estate investment trusts (REITs) have once again come under the radar of securities regulators, with Massachusetts Secretary of the Commonwealth William Galvin announcing settlements with five leading independent…
  • Jun 11

    Municipal Bonds: What Investors Need to Know

    Municipal Bonds: What Investors Need to Know
    Investors who are planning to invest in municipal bonds need to do their homework; if not, they may unknowingly give their first year’s worth of income to their broker. A June 7 article by the Wall Street Journal sheds a spotlight on…
Rank this Week: 731

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • Jun 18

    Do You Want To Know What Keeps The Regulator Up At Night

    Do You Want To Know What Keeps The Regulator Up At Night
    At a regulator's round table during a recent National Society of Compliance Professionals meeting, the regulators framed out those issues that are keeping them up at night.  The issues include: The increasing complexity of investment…
  • Jun 17

    Who Wants To Know What FINRA Has Planned For Your CRD

    Who Wants To Know What FINRA Has Planned For Your CRD
    The Financial Industry Regulatory Authority (FINRA) recently announced that it expects to send a proposal to the SEC to make it easier for registered representatives to clear their record of black marks.  Up until now, the process for…
  • 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…
Rank this Week: 1577

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • Jun 18

    U.S. Supreme Court Upholds Narrow Grounds for Vacating an Arbitration Award in Sutter v. Oxford Health Plan

    U.S. Supreme Court Upholds Narrow Grounds for Vacating an Arbitration Award in Sutter v. Oxford Health Plan
    In today’s world, parties are often encouraged to settle legal disputes through means of alternative dispute resolution such as arbitration.  However, in order to prevent the losing party to an arbitration dispute from essentially…
  • Jun 14

    In The News: Swaps and Naked Short

    In The News: Swaps and Naked Short
    A flurry of recent events suggest that many of the provisions of the Dodd-Frank Act are finally being implemented by rule or coming of age. The June 11, 2013 edition of the Wall Street Journal lays out some perfect examples of the regulatory…
  • Jun 10

    Hey Brokers--Think Before You Sign the State Consent Order

    Hey Brokers--Think Before You Sign the State Consent Order
    A state regulator has threatened to bring an enforcement action against you for unsuitability relative to the sale of an annuity and barely exceeding the expected churn ratio in an elderly client's brokerage account. Your sister's younger…
Rank this Week: 988

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: 44

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/
  • Jun 18

    IRS Permits Elective Basis Step-Up in Taxable Spin-Offs & Other Taxable Disposition

    IRS Permits Elective Basis Step-Up in Taxable Spin-Offs & Other Taxable Disposition
    IRS Permits Elective Basis Step-Up in Taxable Spin-Offs & Other Taxable Dispositions Here's news culled from this Wachtell Lipton memo (here are related memos): The IRS recently finalized regulations under Internal Revenue Code Section…
  • Jun 14

    SEC Settles with Revlon Over Misleading Shareholders in Going Private Deal

    SEC Settles with Revlon Over Misleading Shareholders in Going Private Deal
    SEC Settles with Revlon Over Misleading Shareholders in Going Private Deal Yesterday, as noted in this press release, the SEC settled charges with Revlon that it misled shareholders during a "going private transaction." The company…
  • Jun 6

    Webcast: "Conflicts of Interest: How to Handle in Deals"

    Webcast: "Conflicts of Interest: How to Handle in Deals"
    Webcast: "Conflicts of Interest: How to Handle in Deals" Tune in today for the webcast - "Conflicts of Interest: How to Handle in Deals" - to hear Steven Haas of Hunton & Williams, Mike Reilly of Potter Anderson and…
Rank this Week: 1106

Strictly Business

Strictly Business

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

http://blog.alexanderdavie.com/
  • Jun 17

    The JOBS Act, a Year Later – Part 7: Titles V and VI and Concluding Thought

    The JOBS Act, a Year Later – Part 7: Titles V and VI and Concluding Thought
    This post is the seventh and final in a series examining the impact of the Jumpstart Our Business Startups Act (or JOBS Act) one year after its passage and focuses on Titles V and VI of the law and provides some final concluding thoughts.…
  • Jun 9

    The JOBS Act, a Year Later – Part 6: Regulation A+

    The JOBS Act, a Year Later – Part 6: Regulation A+
    This post is the sixth in a series examining the impact of the Jumpstart Our Business Startups Act (or JOBS Act) one year after its passage and focuses on the provision instructing the SEC to create a new securities registration exemption…
  • May 30

    The JOBS Act, a Year Later – Part 5: Crowdfunding

    The JOBS Act, a Year Later – Part 5: Crowdfunding
    This post is the fifth in a series examining the impact of the Jumpstart Our Business Startups Act (or JOBS Act) one year after its passage and focuses on the provisions related to crowdfunding. Previously in this series, I discussed the…
Rank this Week: 974

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
  • Jun 17

    Wells Fargo Hit By Email Hacker LOA

    Wells Fargo Hit By Email Hacker LOA
    These days, you just never quite know who you are dealing with online.  Email, instant messaging, social media -- sure, their "handle" or address says one thing but are you really sure about who is behind the message?  Consider the…
  • Jun 17

    Real Estate Short Sale Short Circuits Stockbroker

    Real Estate Short Sale Short Circuits Stockbroker
    For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of…
  • Jun 17

    Wells Fargo Broker Took Regulatory Bank Shot

    Wells Fargo Broker Took Regulatory Bank Shot
    Maybe they gotta rethink the whole idea about having one person working at both a brokerage firm and its banking affiliate. If you go by some recent cases, it seems like having all that cash around is just too much a temptation for some…
Rank this Week: 1986

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: 345

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Jun 14

    Fire The Torpedoe

    Fire The Torpedoe
    The class certification decision in In Diamond Foods, Inc. Sec. Litig., 2013 WL 1891382 (N.D. Cal. May 6, 2013) contains a number of interesting holdings. (1) Market efficiency is an issue for the finder of fact - A rebuttable presumption...
  • May 31

    Something Systemic

    Something Systemic
    In Massachusetts Retirement Systems v. CVS Caremark Corp., 2013 WL 2278599 (1st Cir. May 24, 2013), the plaintiffs asserted that the company had failed to disclose integration problems following a merger. The district court dismissed on loss…
  • 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…
Rank this Week: 311

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
  • Jun 14

    FINRA Issues Investor Alert Regarding Alternative (or “Alt”) Mutual Fund

    FINRA Issues Investor Alert Regarding Alternative (or “Alt”) Mutual Fund
    A recently-issued Investor Alert cautions retail customers regarding the danger of investing in some alternative, or “alt”, mutual funds.  FINRA’s alert should serve as a reminder to investors (as well as financial…
  • Jun 11

    Former Merrill Lynch Broker Prevails in Arbitration, Defeats Promissory Note Claim

    Former Merrill Lynch Broker Prevails in Arbitration, Defeats Promissory Note Claim
    In what has become more and more of a rarity, a Chicago FINRA arbitration panel recently denied brokerage wirehouse Merrill Lynch’s claim to recover approximately $437,430 purportedly due under a promissory note, and awarded a former…
  • 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…
Rank this Week: 1094

Chicago Securities Lawyer Blog

Chicago Securities Lawyer Blog

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

http://www.chicagosecuritieslawyerblog.com/
  • Jun 14

    Commodity Futures Trading Commission Chairman to Meet With European Regulator

    Commodity Futures Trading Commission Chairman to Meet With European Regulator
    Gary Gensler, the Commodity Futures Trading Commission ("CFTC") Chairman is scheduled to meet with European regulators in Montreal on June 20 to disucss his plan to impose U.S. derivatives rules on foreign-based bank. The meeting comes as a…
  • Jun 13

    SEC Charges Chicago Board Options Exchange for Regulatory Failure

    SEC Charges Chicago Board Options Exchange for Regulatory Failure
    The Securities and Exchange Commission charged the Chicago Board Options Exchange (CBOE) and an affiliate for various systemic breakdowns in their regulatory and compliance functions as a self-regulatory organization, including a failure to…
  • May 14

    Investors Watch as Federal Reserve's Mood May Be Changing

    Investors Watch as Federal Reserve's Mood May Be Changing
    The Federal Reserve's QE Infinity program may be finite rather than "infinite" after all. QE Infinity has been the tongue-in-cheek term given the Fed's Quantitative Easing program, which has expanded into their purchasing $85 billion per…
Rank this Week: 1995

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/
Rank this Week: 1101

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/
  • Jun 13

    SEC Issues Pump & Dump Stock Scam Warning

    SEC Issues Pump & Dump Stock Scam Warning
    The SEC issued an interesting alert concerning pump and dump stock emails today: Pump-and-dump promoters frequently claim to have “inside” information about an impending development. Others may say they use an…
  • Jun 9

    Investment News Reports That Arbitration Awards In Favor of Customers in Tenant-in-Common Exchange Sales Hold Steady

    Investment News Reports That Arbitration Awards In Favor of Customers in Tenant-in-Common Exchange Sales Hold Steady
    The Investment News is reporting that arbitration awards in favor of brokerage firm customers concerning sales of tenant-in-common investments are holding steady.  According to the article: The number of arbitration awards won by…
  • Jun 9

    Special Risks with Trading on Margin

    Special Risks with Trading on Margin
    FINRA has issued an investor alert concerning investments purchased “on margin.”  A “margin” account allows an investor to borrow money from a brokerage account to purchase additional securities.  This loan…
Rank this Week: 4484

Securities Attorney Law Blog

Securities Attorney Law Blog

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

http://securitiesattorneylaw.com/
  • Jun 13

    SEC Issues Pump & Dump Stock Scam Warning

    SEC Issues Pump & Dump Stock Scam Warning
    The SEC issued an interesting alert concerning pump and dump stock emails today: Pump-and-dump promoters frequently claim to have “inside” information about an impending development. Others may say they use an…
  • Jun 9

    Investment News Reports That Arbitration Awards In Favor of Customers in Tenant-in-Common Exchange Sales Hold Steady

    Investment News Reports That Arbitration Awards In Favor of Customers in Tenant-in-Common Exchange Sales Hold Steady
    The Investment News is reporting that arbitration awards in favor of brokerage firm customers concerning sales of tenant-in-common investments are holding steady.  According to the article: The number of arbitration awards won by…
  • Jun 9

    Special Risks with Trading on Margin

    Special Risks with Trading on Margin
    FINRA has issued an investor alert concerning investments purchased “on margin.”  A “margin” account allows an investor to borrow money from a brokerage account to purchase additional securities.  This loan…
Rank this Week: 3070

New York Securities Lawyers Blog

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

http://www.newyorksecuritieslawyersblog.com/
  • Jun 12

    Maxwell B. Smith Sentenced for Running a New Jersey Ponzi Scheme: Investors Should Look to His Brokerage Firm for Relief

    Maxwell B. Smith Sentenced for Running a New Jersey Ponzi Scheme: Investors Should Look to His Brokerage Firm for Relief
    Maxwell B. Smith was sentenced to serve the next seven years in federal prison for operating a $9 million Ponzi scheme. Maxwell sold investments as a fund that made loans to nursing homes. Smith had previously plead guilty to several counts…
  • Apr 1

    LPL Reportedly Under Fire From State Regulator

    LPL Reportedly Under Fire From State Regulator
    The broker-dealer LPL, Linsco Private Ledger, has been in the news a lot recently - for all the wrong reasons. LPL was even recently featured in The New York Times for its frequent "tangles" with state and federal regulators. LPL is the…
  • Mar 26

    Jenice Malecki to Appear Tonight on The Willis Report on Fox Busine

    Jenice Malecki to Appear Tonight on The Willis Report on Fox Busine
    Jenice Malecki of Malecki Law will be appearing on Fox Business News tonight, March 26, 2013 between 6pm and 7pm. Ms. Malecki will be appearing on The Willis Report to discuss the recent Rasmussen Reports that indicate 50 percent of…
Rank this Week: 2170

The Securities Edge

The Securities Edge

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

http://www.thesecuritiesedge.com/
  • Jun 11

    Social media and brokers: FINRA wants broker-dealers to be “friends” with their employee

    Social media and brokers: FINRA wants broker-dealers to be “friends” with their employee
    Posted By: Gustav L. Schmidt With newer methods to communicate and interact with the so-called social network popping up on almost a daily basis, securities regulators have been giving more and more attention to social media and how…
  • Jun 5

    The SEC gets tough – Nasdaq to pay record $10 million fine to settle Facebook IPO allegation

    The SEC gets tough – Nasdaq to pay record $10 million fine to settle Facebook IPO allegation
    Posted By: Robert C. White Jr. May 29, 2013 was a bad day at the office for The Nasdaq Stock Market, LLC as it agreed to pay a $10 million fine to settle allegations arising from the troubled May 18, 2012 Facebook IPO. This payment was…
  • May 30

    New SEC Chair: Mary Jo White

    New SEC Chair: Mary Jo White
    Posted By: Gregory K. Bader The mission of the U.S. Securities and Exchange Commission (“SEC”) is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. This sounds great, but how…
Rank this Week: 4000

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/
  • Jun 10

    Stockbroker & Investment Advisor Form U4 Disclosure Issues for Non-Securities Lawyer

    Stockbroker & Investment Advisor Form U4 Disclosure Issues for Non-Securities Lawyer
    Individuals involved in the financial industry can run afoul of regulations pertaining to disclosure in a variety of ways, even when they are dealing with matters that seem unrelated to the securities world and do not involve industry sales…
  • Jun 6

    Does this get reported on my Form U4? Get a U4Review.

    Does this get reported on my Form U4? Get a U4Review.
    I regularly get questions from brokers all across the country asking about whether or not an incident or two in their background has to be reported on their Form U4. For some folks, they've been in the industry for some...
  • 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…
Rank this Week: 1756

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

http://www.hedgefundlawblog.com
  • Jun 9

    FATCA Hedge Fund Compliance Event

    FATCA Hedge Fund Compliance Event
    June 19, 2013 – Sponsored by SS&C GlobeOp We have previously discussed the Foreign Account Tax Compliance Act (“FATCA”) and the legal and compliance implications for hedge fund managers.  As the date draws near…
  • Jun 1

    Hedge Fund Events June 2013

    Hedge Fund Events June 2013
    The following are various hedge fund events happening this month. Please email us if you would like us to add your event to this list. **** June 2-4 Sponsor: Marcus Evans Event: Private Wealth Management Location: Atlanta, GA June 3 Sponsor:…
  • May 17

    Regulation A+ Deadline Passed by Congre

    Regulation A+ Deadline Passed by Congre
    Part of JOBS Act Regulations to be Finalized by October 31, 2013 On Wednesday May 15, the House of Representatives passed H.R. 701 which requires the SEC to finalize regulations with respect to “Regulation A+” of the JOBS Act.…
Rank this Week: 2218

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/
  • Jun 8

    Do You Need Those Stinkin' Signatures? Maybe Not.

    Do You Need Those Stinkin' Signatures? Maybe Not.
    Let's say you are a corporate lawyer.  You spend your pitiful and lonely life surrounded by marked up papers and red pens, drafting or revising agreements.  You send your final versions out to your clients to sign, with…
  • Jun 4

    Usurpation Of Corporate Opportunity Yields Preliminary Injunction

    Usurpation Of Corporate Opportunity Yields Preliminary Injunction
    A breach of fiduciary duty by the Defendants resulted in a sweeping preliminary injunction in an Order entered by the Business Court last Friday, in Esposito v. Esposito. The parties were co-shareholders of Anthem Leather, Inc., a Delaware…
  • Jun 3

    There's No Attorney-Client Privilege For The Communication Of Fact

    There's No Attorney-Client Privilege For The Communication Of Fact
    It's been nearly ten years since the North Carolina Supreme Court decided a case involving the attorney-client privilege.  That case was In re Miller, 357 N.C. 316, 584 S.E.2d 772 (2003), which raised the question whether the privilege…
Rank this Week: 2716

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/
  • Jun 6

    SEC charges the City of Victorville, CA and Others with Defrauding Municipal Bond Investor

    SEC charges the City of Victorville, CA and Others with Defrauding Municipal Bond Investor
    The Securities and Exchange Commission (SEC) has charged the City of Victorville in California, City Manager Keith Metzler, the Southern California Logistics Airport Authority, and Kinsell, Newcomb & DeDios (KND) - the Airport Authority's…
  • Jun 6

    Stanford Ponzi Scheme Receiver and Liquidators agree to distribute $300 Million to Defrauded Investor

    Stanford Ponzi Scheme Receiver and Liquidators agree to distribute $300 Million to Defrauded Investor
    Attorney Ralph Janvey, the U.S. receiver of Stanford Financial Group, and accountants Marcus Wide and Hugh Dickinson, international liquidators of Stanford International Bank Ltd. (the "Bank"), have agreed to distribute up to $300 million of…
  • 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…
Rank this Week: 1438

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: 4140

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: 1939