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100 F Street

Covers securities law for growing businesses. By Vanessa Schoenthaler.

http://100fstreet.com/

May 16
SEC Announces a New Director of the Division of Corporation Finance; House Wants to Know Where the JOBS Act Rules Are

SEC Announces a New Director of the Division of Corporation Finance; House Wants to Know Where the JOBS Act Rules Are

TweetThe New Director of Division of Corporation Finance Yesterday the Securities and Exchange Commission announced the naming of Keith F. Higgins as director of the Commission’s Division of Corporation Finance. Higgins was a…
Mar 12
Mary Jo White’s Senate Confirmation Hearing Set for Today

Mary Jo White’s Senate Confirmation Hearing Set for Today

TweetAt 10:00 AM the Senate Banking Committee will hold a hearing (which you can watch here) to consider the nominations of Richard Cordray as Director of the Consumer Financial Protection Bureau and Mary Jo White as Chairman of the…
Feb 10
The New Nasdaq and NYSE Compensation Committee Listing Standard

The New Nasdaq and NYSE Compensation Committee Listing Standard

TweetOver the next week or so I’ll hopefully be catching up on a few things that I haven’t been able to get to from the last several weeks, the first being the new Nasdaq and NYSE compensation committee listing standards: By way…

Rank this Week: 3975

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: 1248

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: 1040

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: 1698

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
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…
Jun 17
EMPLOYMENT TUESDAY at BrokeAndBroker.com

EMPLOYMENT TUESDAY at BrokeAndBroker.com

EMPLOYMENT TUESDAY AT BROKEANDBROKER.COMStockbroker, Compliance, Legal, and Regulatory JobsVisit the BrokeAndBroker Employment Page ...

Rank this Week: 1814

Business Blog

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

http://www.businesslawnews.com/

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…
Jun 14
Affordable Care Act Lawsuit Alleges Discrimination Against Pregnant Dependent

Affordable Care Act Lawsuit Alleges Discrimination Against Pregnant Dependent

The Affordable Care Act continues to cause confusion for employers. The latest concern is whether a healthcare plan that fails to provide maternity coverage for an employee’s dependent daughter runs afoul of the law. Under the Pregnancy…

Rank this Week: 686

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: 2844

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: 1215

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 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…
Jun 14
If You Pay More, Do You Actually Get More?

If You Pay More, Do You Actually Get More?

The typical private fund is organized as a limited partnership or limited liability company that is managed by a general partner or manager. The fund manager is usually compensated in three ways – an annual management fee (often…

Rank this Week: 352

California Securities Fraud Lawyer…

California Securities Fraud Lawyer Blog

Covers securities regulation, fiduciaries, and securities disputes news and updates. Published By Alcala Law Firm.

http://www.californiasecuritiesfraudlawyerblog.com/

Apr 26
Securities America Fined $100,000 Over IMH Secured Loan Fund & Medical Capital Sales Practice

Securities America Fined $100,000 Over IMH Secured Loan Fund & Medical Capital Sales Practice

Securities America, Inc. has entered into a settlement with the Financial Industry Regulatory Authority (FINRA) and will pay a fine of $100,000 in connection with the sale of two private placements. As part of the settlement, Securities…
Apr 2
UBS Willow Fund L.L.C. Class Action Update

UBS Willow Fund L.L.C. Class Action Update

On December 20, 2012, a class action complaint was filed on behalf of all investors who purchased or held the UBS Willow Fund L.L.C. at any time after January 1, 2008. The matter of Ken Boudreau vs. UBS Willow Management L.L.C, UBS…
Feb 27
Update: FINRA Appeals Charles Schwab Class Action Ban

Update: FINRA Appeals Charles Schwab Class Action Ban

This is an update to our February 21, 2013, blog post: Charles Schwab Allowed to Prevent Customer Class Action Lawsuits. Yesterday, a spokesperson for the Financial Industry Regulatory Authority (FINRA) announced that an appeal had been…

Rank this Week: 2017

Canadian Securities Law Online

Covers Canadian securities law topics, including disclosures, corporate governance, mergers, registration and compliance. By Stikeman Elliott.

http://www.canadiansecuritieslaw.com/

Jun 18
OSC calls for improved disclosure of forward-looking information

OSC calls for improved disclosure of forward-looking information

The Ontario Securities Commission recently released the results of a review of the forward-looking information disclosure of 60 reporting issuers. In its review, the OSC notes that forward-looking information (FLI) is a key area of interest…
Jun 14
IIROC adopts new rule to clarify prohibition on personal financial dealings with clients and conduct of outside business activitie

IIROC adopts new rule to clarify prohibition on personal financial dealings with clients and conduct of outside business activitie

IIROC announced yesterday that it is adopting a new rule to clarify that approved persons and dealers are generally prohibited from engaging in personal financial dealings with clients. IIROC is also codifying its previous position…
Jun 13
Client reporting requirements receive Ministerial approval

Client reporting requirements receive Ministerial approval

The OSC announced last week that amendments to NI 31-103 that would set out requirements for, among other things, client reporting with respect to cost disclosure, investment performance reporting and client…

Rank this Week: 849

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: 2183

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: 1344

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 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…
May 9
Listing a Reverse Merger Company on NASDAQ

Listing a Reverse Merger Company on NASDAQ

NASDAQ has special rules for companies that went public via a reverse merger. By: Brian A. Lebrecht, Esq. NASDAQ Markets Overview NASDAQ has three different U.S. markets, the NASDAQ Global Select Market, the NASDAQ Global Market, and…

Rank this Week: 4037

Corporate Law and Democracy

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

http://reneejones.wordpress.com/

Nov 18
Whither State Securities Enforcement?

Whither State Securities Enforcement?

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

Bailout-palooza

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

What a Difference a Year Make

One year ago discussions surrounding corporate law policy were driven by the Sarbanes-Oxley ‘backlash.” The Paulson Committee and others were warning about how excessive regulation and litigation would lead to the ruin of Wall Street. …

Rank this Week: 1770

Corporate Securities Law Blog

Focuses on complliance, corporate governance, disclosure, mergers and tax issues. By Sheppard Mullin.

http://www.corporatesecuritieslawblog.com/

Jun 17
Final Section 336(e) Regulations Allow Step-Up in Asset Tax Basis in Certain Stock Acquisition

Final Section 336(e) Regulations Allow Step-Up in Asset Tax Basis in Certain Stock Acquisition

By Matthew Richardson and Paul Metzger Final regulations were issued last month under IRC Section 336(e). These regulations present beneficial planning opportunities in certain circumstances. For qualifying transactions occurring on or after…
Jun 12
Sixth Circuit Splits with Second and Ninth Circuits Regarding Need to Allege Defendants' State of Mind for Claims Challenging Soft Information Under Section 11 of the Securities Act of 1933

Sixth Circuit Splits with Second and Ninth Circuits Regarding Need to Allege Defendants' State of Mind for Claims Challenging Soft Information Under Section 11 of the Securities Act of 1933

In Indiana State District Council of Laborers & Hod Carriers Pension & Welfare Fund v. Omnicare, Inc., 2013 WL 2248970 (6th Cir. May 23, 2013), the United States Court of Appeals for the Sixth Circuit held that a claim alleging a…
May 31
California State Senate Passes Measure Providing Partial Relief From Cutler Decision (re: QSBS)

California State Senate Passes Measure Providing Partial Relief From Cutler Decision (re: QSBS)

By Matthew Richardson The California State Senate yesterday approved a measure providing relief (albeit only partial relief) to those taxpayers facing retroactive tax assessments by reason of the Cutler decision. In Cutler v. Franchise…

Rank this Week: 280

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: 1018

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: 1072

Dividends and Preferences Blawg

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

http://dividendsandpreferences.blogspot.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: 2644

FedSecLaw.com is devoted to highlighting current issues in securities laws, discussing the ramifications of those issues for todayâ€™s businesses, and providing bottom-line takeaways for busy owners, managers, and executives. Published by Porter, Wright,

http://www.fedseclaw.com/

Jun 13
SEC Charges Revlon with Misleading Shareholders in Going Private Transaction

SEC Charges Revlon with Misleading Shareholders in Going Private Transaction

On June 13, 2013, the Securities and Exchange Commission (“SEC”) charged Revlon with violating federal securities laws when the company misled shareholders during a going private transaction. Specifically, the SEC found that…
Jun 13
Introduction of H.R. 2274 - The Small Business Mergers, Acquisitions, Sales and Brokerage Simplification Act of 2013

Introduction of H.R. 2274 - The Small Business Mergers, Acquisitions, Sales and Brokerage Simplification Act of 2013

H.R. 2274, the Small Business Mergers, Acquisitions, Sales and Brokerage Simplification Act of 2013, was introduced in the U.S. House of Representatives by Rep. Bill Huizenga on June 6, 2013. The bill is intended to reduce the…
Jun 5
SEC Issues Investor Alert for Private Oil & Gas Offering

SEC Issues Investor Alert for Private Oil & Gas Offering

We previously blogged about securities regulation of interests in oil and gas exploration and development. Industry participants, state and federal securities regulators have recently cautioned investors regarding investing in oil and gas…

Rank this Week: 1202

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 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…
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…

Rank this Week: 424

Florida Securities Fraud Attorney…

Florida Securities Fraud Attorney Blog

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

http://www.floridasecuritiesfraudattorney.com/

Dec 21
Can JPMorgan Be Forced To Pay MF Global Customers' Claims?

Can JPMorgan Be Forced To Pay MF Global Customers' Claims?

The reports are that JP Morgan suspected some MFGlobal funds it received were customer deposits. …”But JPMorgan was not satisfied. The bank once again contacted Mr. Corzine, this time requesting a guarantee in writing.”…..[DealBook…
Dec 19
New Rules for Expungement of Certain Broker Check Complaint

New Rules for Expungement of Certain Broker Check Complaint

December 2011 may be a watershed date in the battle for fairness for stockbrokers. Constantly barraged by complaints, which are often no more than attempted extortion, the FINRA board may make some rule changes. It's a modest beginning; but…
Dec 19
WHY ARE EXPUNGEMENT ORDERS BY ARBITRATORS IGNORED BY BROKER CHECK?

WHY ARE EXPUNGEMENT ORDERS BY ARBITRATORS IGNORED BY BROKER CHECK?

A customer complaint, once filed, is technically a public record. Public records are subject to state control and cannot be expunged without an order from U.S. federal court. If your arbitration award includes an order of expunction;…

Rank this Week: 4842

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: 1286

footnoted.org

Guide to what's hiding in SEC filings. By Michelle Leder.

http://www.footnoted.org

Feb 11
Google joins the DIY group…

Google joins the DIY group…

Late Friday, less than 20 minutes before the SEC closed for the week, Google (GOOG) filed this 8-K, which quickly had the interwebs a-buzzing. Within minutes of the filing, CNBC tweeted this alert. Two heavyweight tech sites, TechCrunch and…
Jan 30
And then there were six: Copano gets acquired…

And then there were six: Copano gets acquired…

Everywhere you turn these days, people seem to be talking about the “long tail” — in entertainment, in search, in insurance (where it’s been used for years). Colloquially, it tends to mean that there’s a pattern…
Jan 18
Too early for worst footnote of 2013?

Too early for worst footnote of 2013?

Given that it’s only 18 days after the year began, it may be a wee bit premature to declare a winner of the worst footnote for 2013. Still this 8-K filed by Apollo Group (APOL) last night, is already in the running. Now Apollo, the…

Rank this Week: 1122

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: 1982

Inside Sarbanes Oxley

Covers Sarbanes-Oxley and compliance.

http://www.insidesarbanesoxley.com/

Sep 10
Whistleblowing – What you need to know about the Dodd-Frank Act

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

If your organization isn’t already offering incentives to ferret out inappropriate behaviors, the new Dodd-Frank Act and whistleblowing rewards just might (and could make your company the next public spectacle). Deloitte’s…
May 26
Internal Audit: The Continuous Conundrum

Internal Audit: The Continuous Conundrum

The department painstakingly went through its inventory of SOX controls to determine which ones could be assessed just by analyzing data in company systems. Then data-analytic scripts were written to allow exceptions to be found. Now, for…
May 26
How to choose the right nonexecutive board leader

How to choose the right nonexecutive board leader

Ever since stock-listing requirements prompted many US companies to name an independent director to serve as the chairman, lead director, or presiding director of the board, these companies have been grappling with what, exactly, this board…

Rank this Week: 2551

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/

Jun 15
SEC Risk Fin Director Wants Public Input About Investor Protection-Related Costs and Benefit

SEC Risk Fin Director Wants Public Input About Investor Protection-Related Costs and Benefit

The Securities and Exchange Commission's Division of Risk, Strategy and Financial Innovation’s director Craig Lewis wants members of the public to be more proactive about offering information regarding investor-protection related…
Jun 12
CBOE Will Pay $6M Penalty Over SEC Charges Alleging Failure to Enforce Trading Rule

CBOE Will Pay $6M Penalty Over SEC Charges Alleging Failure to Enforce Trading Rule

The Chicago Board Options Exchange, which is the largest options exchange in the United States, has consented to pay $6 million penalty to settle Securities and Exchange Commission charges accusing it of not fulfilling its obligation to…
Jun 10
As Their Prices Hit a 2-Year Low, Gold ETFs Liquidate En Masse

As Their Prices Hit a 2-Year Low, Gold ETFs Liquidate En Masse

Gold, once a hot commodity in the markets, is, at least for now, considered incredibly passé. ETF Trends editor Tom Lydon says that over 600,000 pounds of gold have been disposed of this year. He says that gold is out of favor for at…

Rank this Week: 1042

Institutional Shareholder Services…

Institutional Shareholder Services - Insight

Covers corporate governance, accounting and securities law issues. From Institutional Shareholder Services Inc.

http://blog.issgovernance.com/

May 10
Midseason Update on Proxy Access - Sean Quinn, ISS Governance Institute - Governance

Midseason Update on Proxy Access - Sean Quinn, ISS Governance Institute - Governance

Proxy access was one of the most highly anticipated issues of the 2012 U.S. proxy season, and here at the halfway mark of the season, this issue has lived up to its billing. To date, only three proxy access shareholder proposals have gone to…
May 8
Greater Investor Support for Independent Chair Proposals - Ted Allen - Governance

Greater Investor Support for Independent Chair Proposals - Ted Allen - Governance

So far this year, investors have been more receptive to shareholder proposals that seek an independent board chair.
May 7
Four More Firms Fail to Win Majority Support on Pay - Ted Allen - Governance

Four More Firms Fail to Win Majority Support on Pay - Ted Allen - Governance

Four additional firms--Mylan, Tower Group, Sterling Bancorp., and Manitowoc Co.--reported that they failed to win majority support for their executive compensation practices. Overall, 12 U.S.-listed companies have not obtained majority…

Rank this Week: 1320

Investment Fraud Lawyer Blog

Covers common securities broker abuses, early retirement scams, elder abuses, subprime mortages & collateralized debt obligation problems, and variable annuities and equity-indexed annuities. By Atlanta, Georgia stockbroker fraud attoneys, Page Perry.

http://www.investmentfraudlawyerblog.com/

Jan 8
Today's 'Alternative Investments' Resemble 'Limited Partnerships' of the Past

Today's 'Alternative Investments' Resemble 'Limited Partnerships' of the Past

Wall Street’s recent promotion of alternative investments should warrant serious concern among investors. It serves as an unpleasant example of history repeating itself. In the mid-1980s, Wall Street firms became enamored with limited…
Jan 7
Hedge Funds Under Regulatory Scrutiny

Hedge Funds Under Regulatory Scrutiny

The SEC has hired hedge fund industry professionals to assist in its investigation of problems and abuses in the hedge fund industry. Three SEC enforcement units are involved in the investigations: the Asset Management unit headed by Bruce…
Jan 7
Approach Actively Traded ETFs with Caution

Approach Actively Traded ETFs with Caution

A recent change in policy by the SEC could have a significant impact on the risk profile of some ETFs. In response to pressure from the industry, the SEC has lifted its moratorium on the use of derivatives by certain exchange traded funds. …

Rank this Week: 888

InvestorLawyers.net

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

http://www.investorlawyers.net/blog/

Nov 28
Mark Hotton Allegedly Defrauded Clients; Investors Could Recover Losse

Mark Hotton Allegedly Defrauded Clients; Investors Could Recover Losse

Investment fraud lawyers are currently investing claims on behalf of the clients of Mark Hotton. A recent complaint filed by the Financial Industry Regulatory Authority alleges that Hotton stole or rerouted money from his clients — funds…
Nov 27
FINRA Now Arbitrating Claims Against Investment Adviser

FINRA Now Arbitrating Claims Against Investment Adviser

A recent announcement from the Financial Industry Regulatory Authority stated that arbitration is open to disputes between investors and registered investment advisers, or RIAs. According to securities fraud attorneys, this is good news for…
Nov 25
Clients of Jeffrey A. Cashmore, LPL Financial Could Recover Losse

Clients of Jeffrey A. Cashmore, LPL Financial Could Recover Losse

Securities fraud attorneys are currently investigating claims on behalf of investors who suffered significant losses as a result of their financial investments with Jeffrey A. Cashmore and LPL Financial. According to the Financial Industry…

Rank this Week: 2081

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/

Jun 16
House Passes Legislation Codifying Dodd-Frank Deruvatives End User Exemption and Ending Indemnification

House Passes Legislation Codifying Dodd-Frank Deruvatives End User Exemption and Ending Indemnification

The House of Representatives has passed by an overwhelming bipartisan vote of 411-12 H.R. 634, the Business Risk Mitigation and Price Stabilization Act, which codifies an exemption for non-financial end users that use derivatives in their…
Jun 16
Senator Tom Udall Named to Appropriations Post Overseeing SEC and CFTC Funding

Senator Tom Udall Named to Appropriations Post Overseeing SEC and CFTC Funding

Senator Tom Udall (D-NM) has been named the Chairman of the Senate Appropriations Financial Services and General Government Subcommittee, which has jurisdiction over the annual funding for financial-related agencies including the Department…
Jun 16
House Passes Bi-Partisan Legislation Requiring Congruent SEC-CFTC Regulations on Cross-Border Derivatives Transaction

House Passes Bi-Partisan Legislation Requiring Congruent SEC-CFTC Regulations on Cross-Border Derivatives Transaction

The House of Representatives passed the Swap Jurisdiction Certainty Act (HR 1256) by a bi-partisan vote of 301-124, which would direct the SEC and CFTC to adopt joint regulations on the oversight of cross-border derivatives transactions. The…

Rank this Week: 105

Kueser Law Firm Blog

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

http://blog.jmkesquire.com

Mar 27
FINRA Securities Arbitration Statistics – February 2011

FINRA Securities Arbitration Statistics – February 2011

FINRA recently reported its February 2011 arbitration statistics. For the two-month period ended February 28, 2011, 837 claims were filed. This represents a decrease of 9% as compared to the number of cases filed in February 2010 (918). The…
Mar 26
Temporary Post Used For Theme Detection (f14a79bb-d20d-4a76-abf8-62df58de2516 – 3bfe001a-32de-4114-a6b4-4005b770f6d7)

Temporary Post Used For Theme Detection (f14a79bb-d20d-4a76-abf8-62df58de2516 – 3bfe001a-32de-4114-a6b4-4005b770f6d7)

This is a temporary post that was not deleted. Please delete this manually. (ced5c41a-819a-49bd-a3cc-fef6f2971c30 – 3bfe001a-32de-4114-a6b4-4005b770f6d7)
Mar 25
Video: How do attorneys decide which securities fraud cases to pursue?

Video: How do attorneys decide which securities fraud cases to pursue?

How do attorneys decide which securities fraud cases to pursue? Also available at KansasCityLaw.tv In this video, Jason M. Kueser discusses factors that securities fraud attorneys often evaluate in determining which cases to pursue. This…

Rank this Week: 4784

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: 1325

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: 2537

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: 2920

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: 154

Proxyland

Covers corporate governance.

http://proxyland.blogspot.com/

Mar 6
One Blog Closes, Another Open

One Blog Closes, Another Open

Big news, dear readers.
Feb 17
Stimulus Plan Attacks Executive Compensation: Stay Tuned

Stimulus Plan Attacks Executive Compensation: Stay Tuned

Everyone knows about the freaky fireball that plummeted through the Texas sky last weekend. In an unrelated development, a fireball suddenly appeared in the skies over Proxyland on Friday. That one, however, has been identified: it’s Title…
Feb 11
Geithner's Financial Stability Plan, Or Whatever

Geithner's Financial Stability Plan, Or Whatever

C’mon now, everyone. Cheer up. At least Tim Geithner is easier on the eyes than Hank Paulson, whose face seemed to have the words “we’re all gonna die” written on it no matter what he was saying.

Rank this Week: 2197

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: 782

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

http://www.seclawyersblog.com/

Jun 13
FINRA Fines, Censures vFinance Investments, Inc., Regarding Private Placement, Failure to Supervise Registered Representative

FINRA Fines, Censures vFinance Investments, Inc., Regarding Private Placement, Failure to Supervise Registered Representative

vFinance Investments, Inc. (CRD #44962, Boca Raton, Florida) submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $65,000. See FINRA Case #2009016160002. Without admitting or denying the findings,…
Jun 12
Sonn|Erez Investigating Claims Regarding the Late S. Mark Powell of Atlantic Trust Private Wealth Management (Austin, Texas)

Sonn|Erez Investigating Claims Regarding the Late S. Mark Powell of Atlantic Trust Private Wealth Management (Austin, Texas)

Sonn|Erez is investigating claims involving financial transactions and investments made through former Atlantic Trust Private Wealth Management ("Atlantic Trust") Managing Partner, S. Mark Powell ("Powell"), who died earlier this month.…
Jun 11
FINRA Fines, Censures Raymond James & Associates, Inc., and Order Restitution of More Than $25,000 for Improper Pricing and Supervisory Failures Regarding Municipal Securitie

FINRA Fines, Censures Raymond James & Associates, Inc., and Order Restitution of More Than $25,000 for Improper Pricing and Supervisory Failures Regarding Municipal Securitie

Raymond James & Associates, Inc. (CRD #705, St. Petersburg, Florida) submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured, fined $75,000, required to pay $25,603.28, plus interest, in restitution to…

Rank this Week: 223

SEC Whistleblower Blog

Covers corporate whistleblower programs and whistleblower protection issues.

http://www.secwhistleblowerprogram.org/SEC-Whistleblower-Blog/

Jan 10
Whistleblower Protection under the SEC Whistleblower Program

Whistleblower Protection under the SEC Whistleblower Program

In our web site, we established the types of anti-retaliatory protections offered employees under the SEC Whistleblower Program.
Dec 10
SEC Whistleblowers can Help Uncover "Soft Dollar" Practice

SEC Whistleblowers can Help Uncover "Soft Dollar" Practice

Hedge fund operators (politely called “Investment Managers” on Wall Street) can make the plaintiffs’ bar look like expensively dressed social workers. The hedge fund industry is estimated to be a $2.5 trillion industry.
Dec 6
Five travel expense related FCPA violation

Five travel expense related FCPA violation

Here’s a tip for potential Foreign Corrupt Practices Act whistleblowers: travel expenses clearly fall within FCPA guidelines.

Rank this Week: 4838

Securities Arbitration Blog

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

http://www.securitiesarbitrations.com

May 22
Guiliano Law Firm Files Action Against Stockbroker and Issuer of Unregistered Securitie

Guiliano Law Firm Files Action Against Stockbroker and Issuer of Unregistered Securitie

The Guiliano Law Firm filed a series of actions, both in federal district court and before the Financial Industry Regulatory Association, in connection with the sale of the unregistered securities or Corporate Debentures issued by Aregatta…
May 22
Guiliano Law Firm Files Action Against Stockbroker and Issuer of Unregistered Securitie

Guiliano Law Firm Files Action Against Stockbroker and Issuer of Unregistered Securitie

The Guiliano Law Firm filed a series of actions, both in federal district court and before the Financial Industry Regulatory Association, in connection with the sale of the unregistered securities or Corporate Debentures issued by Aregatta…
May 22
Former J.P. Turner Broker Sean Sheridan Barred By FINRA for Short Term Trading of Investment Company Share

Former J.P. Turner Broker Sean Sheridan Barred By FINRA for Short Term Trading of Investment Company Share

The Financial Industry Regulatory Authority (FINRA) found that Sean M. Sheridan, during the course of his association with J.P. Turner andamp; Co., Inc. fraudulently obtained $267,000 from at least eight customers, who also lost approximately…

Rank this Week: 2488

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: 2814

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: 1914

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: 1479

Securities Fraud Attorney Blog

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

http://www.securitiesfraudattorneyblog.com/

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…
Nov 30
Bloomberg Piece on $383M Client Case v. Citigroup

Bloomberg Piece on $383M Client Case v. Citigroup

Below is Bloomberg piece about our client's $383 million FINRA arbitration claim against Citigroup Global Markets, Inc. related to hedge funds, private equity, and derivatives. Bloomberg Citigroup Saudi Deal Haunts Pandit By Donal Griffin -…

Rank this Week: 3483

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