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Mortgage Fraud Blog

Mortgage Fraud Blog

Covers mortgage fraud information, fraud schemes and indictments. By Rachel Dollar.

http://mortgagefraudblog.com/
  • Jan 16

    Short Sale Fraud Indictment Alleging Non-Arms Length Transaction

    Short Sale Fraud Indictment Alleging Non-Arms Length Transaction
    Mortgage Fraud Blog. Gary P. DeCicco, 59, Nahant, Massachusetts, and Pamela M. Avedisian, 54, Nahant, Massachusetts, were charged in an indictment with one count of conspiracy to commit wire fraud and one count of wire fraud in connection…
  • Jan 16

    Inflated Purchase Prices Kink LTVs in Guilty Plea

    Inflated Purchase Prices Kink LTVs in Guilty Plea
    Mortgage Fraud Blog. Abolghasseni “Abe” Alizadeh, 59, Granite Bay, California, pleaded guilty  to wire fraud, bank fraud and making false statements to a federally insured financial institution. According to court…
  • Jan 16

    Foreclosure Rescue Schemer Pleads Guilty

    Foreclosure Rescue Schemer Pleads Guilty
    Mortgage Fraud Blog. Sergio Roman Barrientos, 64, Poway, California pleaded guilty to conspiracy to commit wire fraud affecting a financial institution and bank fraud. According to court documents, from about September 2004 through…
Rank this Week: 2

Illinois Business Law Journal

Illinois Business Law Journal

Covers recent developments affecting business law. From the University of Illinois College of Law.

https://publish.illinois.edu/illinoisblj/
Rank this Week: 136

Walinski & Associates, P.C. Blog

Walinski & Associates, P.C. Blog

Covers debt collection.

http://www.walinskilaw.com/chicago-collections-lawyer
  • Feb 9

    Convenience Fees Not Allowed Without Consent in Debt Agreement

    Convenience Fees Not Allowed Without Consent in Debt Agreement
    Debtors have multiple payment methods they can use to transfer money when repaying debts. Some forms of payment incur additional convenience fees, such as when debtors use credit cards or money orders. Creditors have…
  • Jan 24

    Six Reasons to Object to a Chapter 13 Bankruptcy Plan

    Six Reasons to Object to a Chapter 13 Bankruptcy Plan
    When facing bankruptcy, some debtors prefer filing for Chapter 13 bankruptcy instead of Chapter 7 bankruptcy. A well-constructed Chapter 13 repayment plan can prevent property foreclosure and repossession while clearing the filer of debt…
  • Jan 8

    FHA Loans Add Extra Steps to Mortgage Foreclosure

    FHA Loans Add Extra Steps to Mortgage Foreclosure
    The Federal Housing Administration, through the Department of Housing and Urban Development, offers protected loans to help lower income borrowers obtain mortgages. The FHA insures the loan, which gives the lender greater certainty that it…
Rank this Week: 181

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Feb 21

    Federated urges elimination of bucketing reqs in liquidity risk management rule

    Federated urges elimination of bucketing reqs in liquidity risk management rule
    By Amy Leisinger, J.D.In comments on the SEC’s new liquidity risk management rule, Federated Investors, Inc. urged the Commission to re-propose Rule 22e-4 to eliminate the bucketing framework and related portfolio-level liquidity…
  • Feb 20

    SEC’s Jackson questions rationale for dual-class ‘forever shares’

    SEC’s Jackson questions rationale for dual-class ‘forever shares’
    By Mark S. Nelson, J.D. New SEC Commissioner Robert Jackson hit the ground running in his first substantive speech as a commissioner by taking on the topic of the proliferation of companies that have adopted dual-class share structures.…
  • Feb 19

    Iowa proposes BD merger exemption, IA business succession rule

    Iowa proposes BD merger exemption, IA business succession rule
    By Jay Fishman, J.D. The Iowa Insurance Division has proposed the following amendments and additions to its securities rules: Adds a merger acquisition exemption from licensing for qualified broker-dealers; Iowa adopts the NASAA model…
Rank this Week: 494

Bank Lawyer's Blog

Bank Lawyer's Blog

Covers accounting/auditing, commercial lending, credit unions, electronic banking, privacy, RESPA and stocks. By Kevin Funnell.

http://www.banklawyersblog.com/3_bank_lawyers/
  • Feb 19

    The Ins and Outs of Bank Robbery

    The Ins and Outs of Bank Robbery
    Over the decades I have practiced bank law, many bank executives have told me that their primary fear of theft comes not from outsiders but from insiders. Like this guy in Kentucky. According to the U.S. Attorney’s Office for the...
  • Feb 11

    Fourth Corner's "Victory"

    Fourth Corner's "Victory"
    Credit union consultant Marvin Umholtz was kind enough to alert me to the news that our favorite marijuana-fueled credit union, Fourth Corner Credit Union, had finally received what it had for so long longed: a master account with the…
  • Feb 4

    PHH and the CFPB: Winners and Loser

    PHH and the CFPB: Winners and Loser
    A pithy and insightful analysis of last week's "stunning" (according to one clueless media maven) decision by the full US Court of Appeals for the District of Columbia that upheld the constitutionality of the CFPB's director being…
Rank this Week: 491

Payment Law Advisor

Payment Law Advisor

Provides legal commentary and resources for the payment industry. By Davis Wright Tremaine LLP.

http://www.paymentlawadvisor.com/
  • Feb 16

    Rumors of UDAAP’s Demise May be Exaggerated

    Rumors of UDAAP’s Demise May be Exaggerated
    New Priorities at the CFPB… On February 12, 2018, Acting Director of the Consumer Financial Protection Bureau (“CFPB” or the “Bureau”) and Director of the Office of Management and Budget (“OMB”),…
  • Feb 15

    CARD Act Report: The CFPB Departs from Precedent

    CARD Act Report: The CFPB Departs from Precedent
    Editors’ Note: The following is one part of DWT’s ongoing coverage of the 2017 CARD Act Report.  Other parts include our prior PLA post The Consumer Credit Market: The CFPB’s 2017 CARD Act Report and a recent FSR…
  • Feb 9

    CSBS Takes Another Step Towards Multi-State Licensing for New MSB Applicant

    CSBS Takes Another Step Towards Multi-State Licensing for New MSB Applicant
    The Conference of State Bank Supervisors (“CSBS”) has announced a multi-state framework for state regulators to process an application by a person to become a licensed money services business (“MSB”).  The…
Rank this Week: 404

Sharesleuth.com

Sharesleuth.com

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

http://sharesleuth.com/
Rank this Week: 495

Mandelman Matters

Mandelman Matters

Covers the foreclosure crisis. By Martin Andelman.

http://mandelman.ml-implode.com
  • Feb 19

    The HECM Mortgage is Controversial?  Well, it shouldn’t be.

    The HECM Mortgage is Controversial?  Well, it shouldn’t be.
    Everyone approaching or in retirement should know about the HECM program and how it might impact their retirement years. There’s absolutely nothing wrong with today’s HECM mortgages... no matter what you've heard in the past.
  • Nov 20

    We teach our children to compromise, but have we forgotten how to do it as adults?

    We teach our children to compromise, but have we forgotten how to do it as adults?
    We seem to have forgotten that compromise is crucial to our collective future… that without dedication to compromise we are doomed to underperform our potential, assuming we make any progress at all.
  • Oct 25

    Well Played – The Republican Tax Cut Strategy

    Well Played – The Republican Tax Cut Strategy
    While we argue over how Trump handled a condolence call, the GOP has moved much closer towards the passage of their treasured tax cuts.
Rank this Week: 582

North Carolina Business Litigation…

North Carolina Business Litigation Report

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

http://www.ncbusinesslitigationreport.com/
  • Feb 19

    NC Business Court: Choice Of Law Dooms Trade Secrets Claim

    NC Business Court: Choice Of Law Dooms Trade Secrets Claim
    What choice of law rule applies to trade secrets claims?  No North Carolina appellate court has answered that question, but Judge Robinson of the NC Business Court stepped into that breach in his Opinion in SciGrip v. Osae, 2018…
  • Feb 7

    "Holding All The Cards" And Fiduciary Duty Claim

    "Holding All The Cards" And Fiduciary Duty Claim
    It is hard to base your case on a breach of fiduciary duty when there is a contract in place between the parties.  Contracting parties owe no special duties to each other beyond the terms of the contract.  Branch Banking & …
  • Jan 23

    A Case Doesn't Have To Be "Complex" To Be Designated To The NC Business Court

    A Case Doesn't Have To Be "Complex" To Be Designated To The NC Business Court
    The North Carolina Business Court sent a message to all lawyers practicing in the Business Court last week in Barclift v. Martin, 2018 NCBC 5.  Judge Gale said in the ruling that: The  Court is publishing this Order & …
Rank this Week: 789

Securities Fraud Attorney Blog

Securities Fraud Attorney Blog

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

http://www.securitiesfraudattorneyblog.com/
  • Jan 30

    Broker Protocol — Legal Pitfalls for Brokers/Advisors Switching Firms Post-Protocol

    Broker Protocol — Legal Pitfalls for Brokers/Advisors Switching Firms Post-Protocol
    Morgan Stanley, UBS and Citigroup recently left the Protocol for Broker Recruiting (“Protocol”), which established procedures allowing advisors to switch firms and bring their clients with them. The Protocol helped…
  • Oct 27

    Private Share Litigation Cases are Challenging

    Private Share Litigation Cases are Challenging
    In a very high profile private share litigation, Theranos, a privately held health-technology and medical-laboratory-services company worth $9 billion as of 2014, has been sued this Monday by one of its largest and trusted financial backers,…
  • Jun 19

    Split Decision on Arbitration in Bank of America Case

    Split Decision on Arbitration in Bank of America Case
    This week, a Florida appeals court partially reversed a ruling denying Bank of America’s efforts to arbitrate various claims related to the Scott Rothstein Ponzi scheme. Bank of America, N.A. v. Beverly, Nos. 4D14-3167, 4D14-3168 (Fla.…
Rank this Week: 888

RESPA Lawyer Blog

RESPA Lawyer Blog

Covers the Real Estate Settlement Procedures Act (RESPA). By Sterbcow Law Group LLC.

http://www.respalawyer.com/
  • Nov 15

    CFPB Director Richard Cordray Announces His Resignation

    CFPB Director Richard Cordray Announces His Resignation
    The Consumer Financial Protection Bureau (CFPB) Director Richard Cordray, announced today in an email to CFPB employees that he will be stepping down as the Director at the end of November.  It is widely expected that…
  • Apr 17

    Marx Sterbcow speaking at the Escrow Institute of California’s 70th Annual Conference

    Marx Sterbcow speaking at the Escrow Institute of California’s 70th Annual Conference
    Marx Sterbcow of the Sterbcow Law Group will present at the Escrow Institute of California’s 70th Anniversary Conference  at the Hyatt Regency Indian Wells Resort & Spa in Palm Springs, California on May 5, 2017. …
  • Apr 15

    MARX STERBCOW TO PRESENT AT 2017 RESPRO ANNUAL CONFERENCE

    MARX STERBCOW TO PRESENT AT 2017 RESPRO ANNUAL CONFERENCE
    Marx Sterbcow, Managing Attorney, of the Sterbcow Law Group will present in two sessions at the 2017 Real Estate Service Providers Council “RESPRO” Annual Conference at the Bellagio Hotel in Las Vegas, Nevada on April 19,…
Rank this Week: 776

Ponzitracker

Ponzitracker

Covers Ponzi schemes. By Jordan Maglich.

http://www.ponzitracker.com/
  • Nov 2

    After Mistrial, Feds Will Retry Accused $100 Million Ponzi Schemer

    After Mistrial, Feds Will Retry Accused $100 Million Ponzi Schemer
    Nearly eight years after a Utah man was indicted on charges he masterminded a $100 million Ponzi scheme, federal authorities announced that they will retry the man after a recent trial ended in a mistrial.  Rick Koerber was originally…
  • Nov 1

    SEC Investigating Mortgage Company That Raised $1 Billion From Investor

    SEC Investigating Mortgage Company That Raised $1 Billion From Investor
    The Securities and Exchange Commission has asked a Miami federal judge to enforce subpoenas against nearly 250 companies affiliated with Woodbridge Group of Companies, LLC ("Woodbridge") in connection with the Commission's investigation into…
  • Feb 13

    For Galemmo Ponzi Victims, Recovery Chances Depend On Clawback

    For Galemmo Ponzi Victims, Recovery Chances Depend On Clawback
    When a Cincinnati money manager's $100 million Ponzi scheme collapsed over three years ago, authorities seemingly acknowledged the bleak prospects of recovery in declining to seek appointment of a receiver to marshal and gather assets for…
Rank this Week: 945

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • Apr 17

    REPRESENTING ELDERS AND ATHLETES

    REPRESENTING ELDERS AND ATHLETES
    It wouldn’t seem likely that elders and athletes would have much, if anything, in common.  But they do.  They are frequently blessed with substantial semi-liquid assets, and are therefore the targets of fraudulent or reckless…
  • Mar 24

    Kokesh v. SEC: Implications for the Statute of Limitations for Missouri Securities Enforcement Action

    Kokesh v. SEC: Implications for the Statute of Limitations for Missouri Securities Enforcement Action
     Kokesh v. SEC, Docket No. 16-529 (oral argument date April 18, 2017) – Implications for the Statute of Limitations for Missouri State Securities Enforcement Actions.By John R. Phillips, Counsel for Cosgrove Law Group, LLC and…
  • Feb 24

    Get Your Own Lawyer, Darn It!

    Get Your Own Lawyer, Darn It!
    Financial advisors facing an arbitration claim or regulatory inquiry often count on their broker-dealer or registered investment advisor for legal counsel. These “employers” will frequently provide them with an ostensibly…
Rank this Week: 524

Regulation tomorrow

Regulation tomorrow

By Norton Rose Fulbright. Offers resources on the global financial services regulatory environment. It reports on financial services regulatory developments and provides insights and commentary across Africa, Asia, Australia, Canada, Europe and the United States.

http://www.regulationtomorrow.com/
  • Feb 21

    Treasury Select Committee SME finance inquiry terms of reference

    Treasury Select Committee SME finance inquiry terms of reference
    The House of Commons’ Treasury Select Committee has published the terms of reference for its inquiry into the state of the small and medium-sized enterprise (SME) finance market. The inquiry will consider the state of the SME finance…
  • Feb 21

    FCA call for input on using technology to achieve smarter regulatory reporting

    FCA call for input on using technology to achieve smarter regulatory reporting
    The FCA regularly explores how technology can make its regulation more efficient. One of the ways it does this is through TechSprints that bring together financial services providers, technology companies and subject matter experts to explore…
  • Feb 21

    Bank of England supervision of FMIs annual report 2018

    Bank of England supervision of FMIs annual report 2018
    The Bank of England (BoE) has published its annual report on the supervision of financial market infrastructures (FMIs). In terms of future developments and priorities for 2018, the BoE has noted the following: supervisory priorities: the BoE…
Rank this Week: 2655

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Feb 21

    Cancelled: Today’s “Cybersecurity Disclosure” Open Meeting

    Cancelled: Today’s “Cybersecurity Disclosure” Open Meeting
    Just 90 minutes before the meeting was supposed to start, the SEC posted a simple note saying today’s open Commission meeting – which would have given us interpretive guidance on cybersecurity disclosure – has been…
  • Feb 21

    Three Women on Every Board! That’s Progress?

    Three Women on Every Board! That’s Progress?
    I blogged a few weeks ago about BlackRock’s desire for a quota of two women on every board. I’m glad that BlackRock is advocating for two women on every board – but I’m sad that an investor has to advocate for such a…
  • Feb 20

    Edgar Problems: The Crisis Continue

    Edgar Problems: The Crisis Continue
    I’m calling it a “crisis” because periodic problems continue to happen – and the SEC continues to provide very little (if any) transparency around what is going on with Edgar. The last time that I blogged about Edgar…
Rank this Week: 1719

The Reverse Merger & SPAC Blog

The Reverse Merger & SPAC Blog

Covers reverse mergers, special purpose acquisition companies (SPACs), and other alternatives to initial public offerings (IPOs). By David Feldman.

http://www.reversemergerblog.com/
  • Feb 21

    Reasons to Sell Your Busine

    Reasons to Sell Your Busine
    Being a founder is a tough and lonely road, whether there are multiples founders or not. Sometimes it is reassuring to know you are not alone. This post covers the common reasons why people decide to sell their businesses. If you have decided…
  • Feb 18

    In Vitro Diagnostics: Operating Condition

    In Vitro Diagnostics: Operating Condition
    The In Vitro Diagnostics (IVD) market is expected to experience accelerated growth of 5.9%[i] from 2016-2022 and continue to be the largest segment of the global MedTech industry.[ii] The operating conditions of the IVD market are…
  • Feb 17

    Token Velocity — Why it Matters for Initial Coin Offerings (ICOs)

    Token Velocity — Why it Matters for Initial Coin Offerings (ICOs)
    Token velocity is a calculated measurement that is necessary to understand before successfully launching an Initial Coin Offering (ICO) or Token Generation Event (TGE). Velocity influences the long-term, non-speculative value of a token.…
Rank this Week: 4499

Financial Institutions Legal…

Financial Institutions Legal Snapshot

Covers banking, finance and insurance law in South Africa. By Norton Rose Fulbright.

http://www.financialinstitutionslegalsnapshot.com/
  • Feb 20

    Duty of disclosure: is the refusal to renew residential policy material to a commercial policy?

    Duty of disclosure: is the refusal to renew residential policy material to a commercial policy?
    Higherdelta Ltd was the owner of commercial properties including a restaurant in Scotland. Its company secretary, director and shareholder was also the owner of a portfolio of residential properties. The non-disclosure of prior events…
  • Feb 20

    SARB announces establishment of Fintech programme

    SARB announces establishment of Fintech programme
    The South African Reserve Bank (SARB) has established a Financial Technology (Fintech) programme to assess the emergence of technological innovations in the financial sector and consider their regulatory implications. In a statement issued on…
  • Feb 19

    Strict compliance with policy cancellation provisions is necessary

    Strict compliance with policy cancellation provisions is necessary
    Two 2017 US cases illustrate the importance of a notice cancelling a policy complying strictly with the requirements of the policy and the law. In Las Vegas Inc v Oregon Mutual Insurance Co, the notice of cancellation became effective on a…
Rank this Week: 2657

Financial Industry Review

Financial Industry Review

Covers asset management, litigation, and rating agencies. By Orrick, Herrington & Sutcliffe LLP.

http://blogs.orrick.com/financial/
  • Feb 20

    U.S. Pay-for-Results Funding

    U.S. Pay-for-Results Funding
      The U.S. budget bill enacted on February 9, 2018 provides funding for states and localities for pay-for-success projects and feasibility studies. Title VIII of the bill, titled “Supporting Social Impact Partnerships to Pay…
  • Feb 20

    ECB Speech on European Retail Payments Development

    ECB Speech on European Retail Payments Development
      On February 15, 2018, the European Central Bank (“ECB“) published a speech by Yves Mersch, ECB executive board member, on European retail payments markets developments. The speech is available here. In the speech, Mr.…
  • Feb 20

    Council of EU Agrees to Delay Application Date of IDD

    Council of EU Agrees to Delay Application Date of IDD
    The Council of the European Union (“EU“) has agreed to delay the transposition deadline of the Insurance Distribution Directive ((EU) 2016/97) (“IDD“) to July 1, 2018, and the application date to October 1, 2018. On…
Rank this Week: 1146

www.lawblogswitzerland.ch

www.lawblogswitzerland.ch

Covers Swiss, European and international legal news. It focuses on data protection, privacy, technology law, IT/IP law, criminal law, administrative law, civil law, tax law, banking and finance law, bankruptcy, competition law and construction as well as real estate law.

http://www.lawblogswitzerland.ch
Rank this Week: 1931

Strictly Business

Strictly Business

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

http://www.strictlybusinesslawblog.com/
  • Feb 19

    Intro to Private Equity Fund

    Intro to Private Equity Fund
    A private equity fund is an investment entity formed by an investment adviser (often also referred to as a fund manager or sponsor), that raises capital from investors to make investments in private companies under a specified investment…
  • Jan 31

    The Legal Pitfalls of Rewards-Based Crowdfunding Campaign

    The Legal Pitfalls of Rewards-Based Crowdfunding Campaign
    Rewards-based crowdfunding sites, such as Kickstarter and IndieGoGo have become a common way to get innovative businesses and products off the ground. The premise behind these crowdfunding sites is that, by raising small monetary…
  • Nov 29

    Using Side Letters in Private Fund

    Using Side Letters in Private Fund
    At some point while raising capital for a private fund, you will likely be asked by one or more potential investors to enter into a side letter. A side letter is an agreement between the fund and one particular investor to vary the terms of…
Rank this Week: 3228

Broke and Broker

Broke and Broker

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

http://brokeandbroker.com/index.php
  • Feb 18

    Pfeffer

    Pfeffer
    The Financial Industry Regulatory Authority has a problem when it comes to issuing arbitration decisions. For some reason, FINRA likes to play hide and seek. Notwithstanding that public customers and industry associated person are forced to…
  • Feb 18

    Securities Industry Commentator by Bill Singer Esq

    Securities Industry Commentator by Bill Singer Esq
    Recommendation to FINRA Regarding Arbitration Procedures Relating to Expungement (Securities and Exchange Commission Office of the Investor Advocate, Letter to  FINRA dated February 15,…
  • Feb 16

    Securities Industry Commentator by Bill Singer Esq

    Securities Industry Commentator by Bill Singer Esq
    Jury Convicts KC Man of Investment Fraud Scheme (DOJ Press Release) https://www.justice.gov/usao-wdmo/pr/jury-convicts-kc-man-investment-fraud-scheme After about two hours of deliberation, a federal jury convicted Ryan Scott Luscombe of…
Rank this Week: 3952

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/
  • Feb 17

    Pet Company Name Change to Include "Blockchain" - Stock Soar

    Pet Company Name Change to Include "Blockchain" - Stock Soar
    According to a report at CNBC.com, a company known for having a veterinary products patent and developing new ways to test for disease changed its name to Riot Blockchain, and watched its stock soar from $8 per share to $40 per share. The…
  • Feb 13

    Stock Market Got You Confused? 13 Questions and Answer

    Stock Market Got You Confused? 13 Questions and Answer
    The stock market was down, way down, see-sawing, way up, topsy turvy, way down and then up again last week.Stock futures were rising Monday morning.You probably have a ton of questions. From…
  • Feb 13

    Deutsche Bank To Pay About $4.4 Mln To Settle SEC Charge It Misled Consumers - Nasdaq.com

    Deutsche Bank To Pay About $4.4 Mln To Settle SEC Charge It Misled Consumers - Nasdaq.com
    Deutsche Bank To Pay About $4.4 Mln To Settle SEC Charge It Misled Consumers - Nasdaq.comDeutsche Bank AG ( DB ) agreed to pay more than $4.4 million to settle regulatory claims that it failed to supervise traders who misled customers about…
Rank this Week: 1730

Zamansky LLC Blog

Zamansky LLC Blog

Covers stock broker fraud or negligence.

http://www.zamansky.com/news-media/
  • Feb 16

    Jacob Zamansky Comments on CNBC’s Investigation into Riot Blockchain

    Jacob Zamansky Comments on CNBC’s Investigation into Riot Blockchain
    CNBC recently launched an investigation into Riot Blockchain, which until October was called Bioptix.  The company owned a veterinary patent and researched and developed new ways to test for diseases.  The October name change,…
  • Feb 8

    The Dumb Money Investor Was Crushed This Week In The Stock Market

    The Dumb Money Investor Was Crushed This Week In The Stock Market
    Mom and Pop retail investors, known on Wall Street as “dumb money”, are always the last ones to the party.  That holds especially true today. In the case of the recent stock market crash, the dumb money retail investors are…
  • Feb 2

    Puerto Rico’s Finances Are Anyone’s Gue

    Puerto Rico’s Finances Are Anyone’s Gue
    Regular readers of this blog know that a U.S. government appointed board is struggling to restructure Puerto Rico’s $73 billion in public debt and $50 billion in pension obligations. That’s why it was such a surprise for Puerto…
Rank this Week: 2145

AG Deal Diary

AG Deal Diary

A collection of insights and analysis on hot topics impacting companies, funds, dealmakers and directors. By Akin Gump.

http://www.akingump.com/en/experience/practices/corporate/ag-deal-diary/index.html
  • Feb 15

    Recommended Reading: EY Report on 2018 Proxy Season Preview

    Recommended Reading: EY Report on 2018 Proxy Season Preview
    This week, we highlight a report by EY Center for Board Matters on the top five priorities for companies in 2018 based on outreach conversations with institutional investors. Investors offer that their top five priorities this year are: Board…
  • Feb 13

    President Trump Releases Infrastructure Plan

    President Trump Releases Infrastructure Plan
    The White House released its long-anticipated infrastructure plan on Monday, February 12. The plan would spend $200 billion over 10 years to leverage $1.5 trillion in total spending, give greater control and authority to state and local…
  • Feb 11

    Top 10 Topics for Directors in 2018: Trade and sanction

    Top 10 Topics for Directors in 2018: Trade and sanction
    Trade and sanctions U.S. sanctions administered by the U.S. Department of the Treasury’s Office of Foreign Assets Control (OFAC) apply to U.S. persons, including companies incorporated in the U.S. and U.S. citizens and permanent…
Rank this Week: 2355

Canadian M&A Perspectives

Canadian M&A Perspectives

Covers developments in private and public mergers and acquisitions, and private equity. By McCarthy Tetrault.

http://www.canadianmergersacquisitions.com
  • Feb 15

    New 2018 Investment Canada Act Threshold for State-Owned Enterprise WTO Investment

    New 2018 Investment Canada Act Threshold for State-Owned Enterprise WTO Investment
    By Oliver J. Borgers and Michele F. Siu The pre-closing review threshold for direct acquisitions of Canadian businesses by non-Canadian, WTO investors that are state-owned for 2018 has increased to C$398 million in asset value of the…
  • Feb 15

    Competition Act Update

    Competition Act Update
    By Oliver J. Borgers and Michele F. Siu New 2018 Competition Act Merger Notification Threshold The pre-merger notification transaction-size threshold for 2018 has increased to C$92 million from the 2017 threshold of C$88 million.1  The…
  • Feb 12

    “Should I Stay or Should I Go?”: Whether to Form a Limited Partnership in Manitoba rather than Ontario

    “Should I Stay or Should I Go?”: Whether to Form a Limited Partnership in Manitoba rather than Ontario
    By Matthew Cumming, Nicole Rumble and Paulina Bogdanova Limited partnerships are widely used in Ontario (and other Canadian jurisdictions) and have many benefits, including limited liability for limited partners. However, this benefit is…
Rank this Week: 1552

RIA Compliance Blog

RIA Compliance Blog

Covers registered investment advisor regulations. By Parker MacIntyre.

http://www.riacomplianceblog.com/
  • Feb 14

    Form ADV Amendments Vexing Some Adviser

    Form ADV Amendments Vexing Some Adviser
    The amendments to Form ADV, Part 1 that became effective October 1, 2017 are presenting some registered investment advisers with unforeseen problems as we move into “annual amendment season” in 2018.  As we previously…
  • Feb 12

    OCIE Publishes its 2018 Examination Prioritie

    OCIE Publishes its 2018 Examination Prioritie
    On February 7, 2018, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) published its Examination Priorities for 2018.  The Examination Priorities cover “certain practices, products, and services…
  • Feb 8

    Advertising Remains a Concern to the SEC’s RIA Examination Staff

    Advertising Remains a Concern to the SEC’s RIA Examination Staff
    Whether or not the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) will formally name advertising as among its priorities in 2018, it is clear from its activity and that of the Enforcement Division in 2017…
Rank this Week: 3016

Financial Regulatory Report

Financial Regulatory Report

Covers financial services regulation, compliance, enforcement and litigation. By Reed Smith LLP.

http://www.financialregulatoryreport.com/
  • Feb 13

    Statement Released That Multiple Crypto Exchanges Warned by Hong Kong Securities Commission

    Statement Released That Multiple Crypto Exchanges Warned by Hong Kong Securities Commission
    On February 9, 2018, the Hong Kong Securities and Futures Commission (“SFC”) released a statement which, among other things, informs the marketplace that the SFC sent letters to seven Hong Kong cryptocurrency exchanges warning…
  • Feb 7

    Treasury Secretary Suggests Greener Pastures for Marijuana Banking

    Treasury Secretary Suggests Greener Pastures for Marijuana Banking
    On Tuesday February 6, 2018, U.S. Treasury Secretary Steven Mnuchin, in a speech before the House Financial Services Committee, offered some insights into how the Treasury Department may respond the growing area of marijuana banking. As we…
  • Feb 1

    More Enforcement Action Taken by the SEC on Crypto Sale

    More Enforcement Action Taken by the SEC on Crypto Sale
    On January 30, 2018, dissatisfied crypto token purchasers filed a class action lawsuit against Paragon Coin, Inc. (“Paragon”) and founders Jessica VerSteeg and Egor Lavrov, alleging that the Paragon initial coin offering…
Rank this Week: 1430

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

https://10b5daily.com/
  • Feb 11

    No Confession Required

    No Confession Required
    As The 10b-5 Daily recently has noted, it is difficult for corporate defendants to avoid securities fraud liability when they fail to disclose hidden wrongdoing at the company.  But what if the company’s CEO is engaged in…
  • Jan 9

    Two Bites At The Apple

    Two Bites At The Apple
    In Halliburton II, the U.S. Supreme Court held that defendants can rebut the fraud-on-the-market presumption of reliance at the class certification stage with evidence of a lack of stock price impact.  There are at…
  • Dec 29

    Credible Complaint

    Credible Complaint
    Can the filing of a judicial complaint against a company constitute a revelation of the alleged fraud sufficient to establish loss causation?  In Norfolk Country Retirement System v. Community Health Systems, Inc., 2017 WL…
Rank this Week: 1727

Banking Law Update

Banking Law Update

Provides updates and commentary on developments in law affecting banks and financial institutions. By Verrill Dana LLP.

http://www.bankinglawupdate.com/
  • Jan 30

    Financial Institutions . . . In the New

    Financial Institutions . . . In the New
    New Hampshire’s legislature is debating changes to foreclosure laws.  (Concord Monitor 1.29.18) Record breaking sales of Maine homes in 2017 kept prices surging in Cumberland and York counties.  (PPH 1.24.18) Marion Colombo…
  • Jan 16

    Trump’s Tax Plan WILL Affect You – But How?

    Trump’s Tax Plan WILL Affect You – But How?
    On December 22, 2017, in one of the fastest-moving pieces of legislation to come across a President’s desk, President Trump signed into law a bill generally known as the “Tax Cuts and Jobs Act,” formally HR1 – An Act…
  • Nov 8

    House Tax Bill Targets Deferred Compensation Earned After January 1, 2018 (Really)

    House Tax Bill Targets Deferred Compensation Earned After January 1, 2018 (Really)
    It’s early days yet for the Tax Cuts and Jobs Act released last week by the House Ways and Means Committee, but one thing is clear:  Congressional tax writers are scouring the landscape to find a combination of more revenue and…
Rank this Week: 4295

NextGen Financial Services Report

NextGen Financial Services Report

By Dykema. Provides news and analysis of legal issues affecting the financial services industry.

http://www.nextgenfinancialservicesreport.com/
  • Jan 16

    Fasten Your Seatbelts: Are You Ready for Another Eventful Year?

    Fasten Your Seatbelts: Are You Ready for Another Eventful Year?
    2018 has a tough act to follow, after a 2017 full of momentous developments—starting with a new Administration and wrapping up with a showdown over the right to serve as Acting Director of the Consumer Financial Protection Bureau (CFPB)…
  • Jan 10

    The Challenges of Marijuana Banking Just Got Even More Challenging

    The Challenges of Marijuana Banking Just Got Even More Challenging
    The state-legal marijuana sector operates in a largely cash-based economy—only about 400 banks and credit unions in the U.S. actively provide financial services to this sector—because marijuana remains illegal under federal law,…
  • Nov 30

    While CFPB Leadership Fight Continues, Broader Questions Remain About Future of Consumer Financial Regulation

    While CFPB Leadership Fight Continues, Broader Questions Remain About Future of Consumer Financial Regulation
    It has been a tumultuous few days for the Consumer Financial Protection Bureau (CFPB), with dueling acting directors and emergency hearings. But while Office of Management and Budget (OMB) Director Mick Mulvaney is now officially the acting…
Rank this Week: 1976

The Venture Alley

The Venture Alley

Covers business and legal issues for entrepreneurs, startups, venture capitalists and angel investors. By DLA Piper.

http://www.theventurealley.com
  • Jan 8

    Delaware Franchise Tax due date: a reminder for Delaware corporation

    Delaware Franchise Tax due date: a reminder for Delaware corporation
    By Trent Dykes, Ossie Ravid and Jennifer Tornow Just a reminder to those who have Delaware corporations: your annual report and franchise tax payment are both due by March 1. At this point, you have likely already received from Delaware your…
  • Dec 12

    The SEC has the Munchees: Eating away at the “utility token” theory

    The SEC has the Munchees: Eating away at the “utility token” theory
    Yesterday, the SEC issued an enforcement order regarding Munchee’s token offering and SEC Chairman Jay Clayton released a general public statement on cryptocurrencies and ICOs.  For those who previously read our post about the…
  • Dec 1

    Finance Rules of the World: see how different jurisdictions allow for finance & investment

    Finance Rules of the World: see how different jurisdictions allow for finance & investment
    Compliments of over 100 of our DLA Piper colleagues around the world, DLA Piper has launched Finance Rules of the World, which gives you answers to key legal questions that you may consider when initially looking at financing or investing in…
Rank this Week: 1572

BeyondVC

BeyondVC

Covers entrepreneurship, venture capital, technology, investing, and globalizaiton. By Ed Sim.

http://www.beyondvc.com/
  • Jan 6

    boldstart in 2017, enterprise tech in 2018

    boldstart in 2017, enterprise tech in 2018
    2017 Recap 2017 was another year of growing, learning, investing and partnering with amazing founders. Once again, we are grateful to have the opportunity to work with so many amazing founders, advisors, co-investors, and other collaborators…
  • Dec 11

    All Platforms Need a Killer App – Cryptokitties is the one for blockchain

    All Platforms Need a Killer App – Cryptokitties is the one for blockchain
    I’ve always loved investing in companies that can become platforms but not investing in platforms. What does that mean? Well, to be succinct, it’s quite hard to sell a platform. You need to show users/customers how your platform…
  • Apr 23

    Blurring lines in enterprise SaaS; the race to own customer data

    Blurring lines in enterprise SaaS; the race to own customer data
    I’ve written before about the competitive nature of SaaS and the amount of entrants in every category. Lately after every conversation, I feel like the world is being divided into two camps and there is a massive battle going on in…
Rank this Week: 1040

Mortgage Crisis & Financial…

Mortgage Crisis & Financial Services Watch

Covers business and legal issues affecting loan repurchases, mortgage-backed securities and mortgage insurance. By Bilzin Sumberg.

http://www.financialserviceswatchblog.com/
  • Jan 2

    The Eighth Circuit Raises the Bar for Would-Be Indemnitee

    The Eighth Circuit Raises the Bar for Would-Be Indemnitee
    Here is a situation that comes up quite a bit in the world of business contracts containing indemnification provisions, and in the insurance industry as well. First, a party (“Party A”) gets sued, or threatened with a suit, and…
  • Nov 2

    CFPB Arbitration Rule Eliminated by Congress and President

    CFPB Arbitration Rule Eliminated by Congress and President
    On November 1, President Trump formally did away with a Consumer Financial Protection Bureau (CFPB) arbitration rule that would have given consumers the opportunity to file class actions against banks and other companies in the financial…
  • Jun 2

    You Are the Target: 75 Different Ways Your Company Can Be Hacked

    You Are the Target: 75 Different Ways Your Company Can Be Hacked
    Join us on Thursday, June 15th from 12:00PM to 1:00PM for an in-depth webinar as Philip R. Stein, a partner in Bilzin Sumberg’s Litigation Practice, and Ray Vasquez, a director in Enterprise Risk Management’s…
Rank this Week: 4084

Texas Debt Suit Defense 101

Texas Debt Suit Defense 101

Covers credit card and other debt suit litigation in Texas from the defense side, including substantive legal and evidentiary issues, and comparative analysis of pleadings, legal theories, and litigation strategy. By Wolfgang Demino.

http://debt-suit-litigation-in-texas.blogspot.com
Rank this Week: 1310

Investment Fund Law Blog

Investment Fund Law Blog

Provides updates and insights on legal issues facing fund managers and investors. By Pillsbury Winthrop Shaw Pittman LLP.

http://www.investmentfundlawblog.com/
  • Nov 8

    Initial Coin Offerings (ICOs): The Current State of Play

    Initial Coin Offerings (ICOs): The Current State of Play
    The ICO boom in 2017 brings with it questions of jurisdiction and compliance, and a need for further guidance. Takeaways The benefits of ICOs in raising capital, as well as in providing a marketing push for a new business model, are so…
  • Oct 17

    HFM US Hedge Fund Performance Awards 2017

    HFM US Hedge Fund Performance Awards 2017
    We are pleased to announce that Pillsbury has been shortlisted in the category of “Best Onshore Law Firm – Client Service” by HFM Week’s US Hedge Fund Performance Awards 2017. In 2016, we were awarded “Best…
  • Sep 15

    SEC Risk Alert! Most Frequent Advertising Rule Compliance Issues by Investment Adviser

    SEC Risk Alert! Most Frequent Advertising Rule Compliance Issues by Investment Adviser
    The Office of Compliance Inspections and Examinations (OCIE) of the SEC issued a Risk Alert yesterday providing a list of the most frequently identified compliance issues relating to the Advertising Rule (Rule 206(4)-1) under the Investment…
Rank this Week: 3460

Al-Mirsal

Al-Mirsal

Covers Middle East banking and finance law. By Latham & Watkins LLP.

http://www.al-mirsal.com/
  • Nov 2

    Dubai Health Authority Issues New Telehealth Regulation

    Dubai Health Authority Issues New Telehealth Regulation
    International and local health providers in the UAE are increasingly looking to provide telemedicine services in the region. While the regulation of telemedicine remains inconsistent across the country, Dubai seems to be leading the way with…
  • Jun 1

    Key Considerations for Middle East Entities Looking to Invest in US Technology Companie

    Key Considerations for Middle East Entities Looking to Invest in US Technology Companie
    Four of Latham & Watkins’ leading emerging company partners in Silicon Valley, Luke Bergstrom, Tad Freese, Jim Morrone and JD Marple, recently hosted a webinar titled “Achieving Successful Outcomes as a Non-US Company…
  • Jun 1

    Key Considerations for Middle East Entities Looking to Invest in US Technology Companie

    Key Considerations for Middle East Entities Looking to Invest in US Technology Companie
    Four of Latham & Watkins’ leading emerging company partners in Silicon Valley, Luke Bergstrom, Tad Freese, Jim Morrone and JD Marple, recently hosted a webinar titled “Achieving Successful Outcomes as a Non-US Company…
Rank this Week: 4043

Kueser Law Firm Blog

Kueser Law Firm Blog

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

http://blog.jmkesquire.com
  • Sep 21

    Non-Traded REITs Causing Problems for SII Investment

    Non-Traded REITs Causing Problems for SII Investment
    Earlier today, the Massachusetts Securities Division filed an administrative complaint against SII Investments for violating securities laws with respect to its sale of Real Estate Investment Trusts (REITs) and its failure to supervise…
  • Jan 14

    When is “Rate of Return” not the Real Rate of Return?

    When is “Rate of Return” not the Real Rate of Return?
    Investors need to be careful when they review and rely on performance reports provided by their stockbroker or financial advisor.  I recently reviewed a performance report that was provided to an investor by a major warehouse brokerage…
  • Apr 8

    FINRA BrokerCheck: Beware the … Blue … Flags?

    FINRA BrokerCheck: Beware the … Blue … Flags?
    FINRA recently underwent some changes to its BrokerCheck website.  For those that do not know, BrokerCheck is the online repository in which the Financial Industry Regulatory Authority (FINRA) discloses certain information about stock…
Rank this Week: 2835

Lenders 360

Lenders 360

Provides news, information and commentary on important issues affecting the financial services industry. By Higier Allen & Lautin, P.C.

http://www.lenders360blog.com/
  • Sep 10

    FDIC Administrative Law Judges Likely Unconstitutional

    FDIC Administrative Law Judges Likely Unconstitutional
    An appeals court holding, and pending U.S. Supreme Court case, could up-end FDIC enforcement procedures.  One of the interesting recent themes in Game of Thrones is the basis for power.  In these United States, the power of judges…
  • Sep 10

    FDIC Administrative Law Judges Likely Unconstitutional

    FDIC Administrative Law Judges Likely Unconstitutional
    An appeals court holding, and pending U.S. Supreme Court case, could up-end FDIC enforcement procedures.  One of the interesting recent themes in Game of Thrones is the basis for power.  In these United States, the power of judges…
  • Sep 10

    FDIC Administrative Law Judges Likely Unconstitutional

    FDIC Administrative Law Judges Likely Unconstitutional
    An appeals court holding, and pending U.S. Supreme Court case, could up-end FDIC enforcement procedures.  One of the interesting recent themes in Game of Thrones is the basis for power.  In these United States, the power of judges…
Rank this Week: 2764

Lenders 360.

Lenders 360.

Covers business and legal issues affecting the financial services industry. By Winstead PC.

http://www.lenders360blog.com
  • Sep 10

    FDIC Administrative Law Judges Likely Unconstitutional

    FDIC Administrative Law Judges Likely Unconstitutional
    An appeals court holding, and pending U.S. Supreme Court case, could up-end FDIC enforcement procedures.  One of the interesting recent themes in Game of Thrones is the basis for power.  In these United States, the power of judges…
  • Sep 10

    FDIC Administrative Law Judges Likely Unconstitutional

    FDIC Administrative Law Judges Likely Unconstitutional
    An appeals court holding, and pending U.S. Supreme Court case, could up-end FDIC enforcement procedures.  One of the interesting recent themes in Game of Thrones is the basis for power.  In these United States, the power of judges…
  • Sep 10

    FDIC Administrative Law Judges Likely Unconstitutional

    FDIC Administrative Law Judges Likely Unconstitutional
    An appeals court holding, and pending U.S. Supreme Court case, could up-end FDIC enforcement procedures.  One of the interesting recent themes in Game of Thrones is the basis for power.  In these United States, the power of judges…
Rank this Week: 4108

NC Business & Banking Law Blog

NC Business & Banking Law Blog

Legal news and analysis on matters affecting financial institutions and other businesses, with an emphasis on North Carolina. By Matt Cordell.

http://bizlawnc.com/
  • Sep 8

    What You Should Do Today In Response To The Equifax Breach

    What You Should Do Today In Response To The Equifax Breach
    You've probably heard that Equifax revealed on Thursday that it was the subject of a data security breach that resulted in the exposure of 143 million Americans--almost half the population.  It is likely the largest data security breach…
  • Jul 27

    Reflections on a Rewarding Year with the NCBA YLD

    Reflections on a Rewarding Year with the NCBA YLD
    I'm no longer a young lawyer.A few days ago, I handed over an enormous gavel, signifying the end of my term as leader of the more than 6,400 members of the Young Lawyers Division of the North Carolina Bar Association. It has been an…
  • Jul 27

    It's Time for a Change

    It's Time for a Change
    Over the past six years, I have really enjoyed sharing thoughts with you on this blog and participating in some of the conversations that have arisen from the posts.Having recently departed private practice to work as in-house counsel, my…
Rank this Week: 4139

Financial Institutions Law Blog

Financial Institutions Law Blog

Covers issues such as usury, form compliance for federal and state consumer transactions, UCC and securitization issues. By Sheppard Mullin.

http://www.financialinstitutionlawblog.com/
Rank this Week: 1000

Pension Risk Matters

Pension Risk Matters

Focuses on pension financial risk issues from a governance and fiduciary perspective. Published by Susan M. Mangiero.

http://www.pensionriskmatters.com/
  • May 15

    CLE Webinar About ERISA and Hedge Funds and Private Equity Fund

    CLE Webinar About ERISA and Hedge Funds and Private Equity Fund
  • Apr 25

    Investment Fraud and the Role of Trust

    Investment Fraud and the Role of Trust
    This article entitled “Investment Fraud and the Role of Trust” by Dr. Susan Mangiero was originally published on April 19, 2017 in The Fraud Examiner, a publication of the Association of Certified Fraud Examiners that is…
  • Apr 9

    Funny Courtroom Film Still Used For Teaching

    Funny Courtroom Film Still Used For Teaching
    I had a chance to watch My Cousin Vinny on television the other night and was reminded how humor is such a powerful storytelling tool. How many times do we remember important concepts because the speaker or writer makes us laugh? Tickling our…
Rank this Week: 3456

Private Funds Law Update

Private Funds Law Update

Covers private funds and alternative investments. By Reed Smith LLP.

http://www.privatefundslaw.com/
  • Mar 14

    10 takeaway points on Luxembourg’s RAIF

    10 takeaway points on Luxembourg’s RAIF
    The Luxembourg law on reserved alternative investment funds (RAIF) is a welcome addition to the alternative investment funds (AIF) industry and we have seen keen interest from the fund and asset management industry in this new platform. Since…
  • Aug 9

    ESMA Advice Extending the AIFMD Passport: Including the United States, Hong Kong, Singapore and Switzerland

    ESMA Advice Extending the AIFMD Passport: Including the United States, Hong Kong, Singapore and Switzerland
    On 18 July 2016 the European Securities and Markets Authority (ESMA) published its advice to the European Parliament, the Council and the Commission on the application of the Alternative Investment Fund Managers Directive (AIFMD) passport to…
  • Aug 9

    The SBEEA: Register of Significant Beneficial Ownership

    The SBEEA: Register of Significant Beneficial Ownership
    The SBEEA (Part I: People with Significant Control) Against the backdrop of an increasing push for greater transparency of company ownership, the Small Business Enterprise and Employment Act 2015 (“SBEEA“) took effect on 6 April…
Rank this Week: 1429

Financial Law Blog

Financial Law Blog

Updates on Banking Law, Investment Management Law, Securities Law, and Commodities/Derivatives Law. By Valentin Agafonov.

http://www.finlawblog.com
Rank this Week: 2073

The Swap Report

The Swap Report

Covers regulatory and transactional issues related to derivatives. By Reed Smith LLP.

http://www.theswapreport.com/
Rank this Week: 1512