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Mortgage Fraud Blog

Mortgage Fraud Blog

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

http://mortgagefraudblog.com/
  • Sep 8

    60 Month Sentence in Pennsylvania Loan Fraud

    60 Month Sentence in Pennsylvania Loan Fraud
    Mortgage Fraud Blog. Zaki M. Bey, 39, Philadelphia, Pennsylvania, was sentenced to 60 months in prison. Bey previously pleaded guilty to one count of conspiracy to commit loan and bank fraud, one count of conspiracy to defraud…
  • Sep 8

    Phoenix Family Members Sentenced in FNMA REO Fraud

    Phoenix Family Members Sentenced in FNMA REO Fraud
    Mortgage Fraud Blog. Daphne Iatridis, 59, and her husband, Arthur Telles, 59, were each sentenced to 30 months in prison and ordered to forfeit 26 fraudulently purchased properties to the United States. Both had previously…
  • Sep 6

    California Loan Broker Indicted for Wire Fraud

    California Loan Broker Indicted for Wire Fraud
    Mortgage Fraud Blog. Hooshang Noori, a loan broker who operated Finance for Americans, Corp, doing business as Pacific Realty, Lake Forest, California, was indicted on one count of wire fraud in the Central District of California. According…
Rank this Week: 4

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: 78

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/
Rank this Week: 99

Mandelman Matters

Mandelman Matters

Covers the foreclosure crisis. By Martin Andelman.

http://mandelman.ml-implode.com
Rank this Week: 126

OFAC SDN Sanctions Removal Lawyers

OFAC SDN Sanctions Removal Lawyers

Covers the Department of Treasury's Office of Foreign Assets Control and its Specially Designated Nationals list. By McNabb Associates, P.C.

https://ofac-sdn-list-removal.com
Rank this Week: 173

Australian Regulatory Compliance…

Australian Regulatory Compliance Review

Covers legal and regulatory impacts on Australian businesses. By David Jacobson.

http://www.djacobson.com/australian_regulatory_rev/
  • Jun 15

    Are ASIC investigations of financial service providers private?

    Are ASIC investigations of financial service providers private?
    Are ASIC investigations of financial service providers private? Not automatically. In dealing with ASIC and other regulators it is important to understand that the Freedom of Information Act 1982 applies to government agency records and…
  • Jun 15

    Can a special general meeting be adjourned?

    Can a special general meeting be adjourned?
    In the matter of Re1 Limited (ABN 80 145 743 862) and Re2 Limited as responsible entities for Westfield Retail Trust 1 and Westfield Retail Trust 2 (No 3) [2014] NSWSC 762 the NSW Supreme Court considered the adjournment of the adjournment of…
  • Jun 15

    Small amount credit change

    Small amount credit change
    The National Consumer Credit Protection Amendment (Small Amount Credit Contracts) Regulation 2014 was registered on 12 June 2014. The Regulation clarifies the changes introduced on 1 July 2013 which imposed a cap on costs and a limit on fees…
Rank this Week: 169

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

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

    Wow! Edgar Hacked!

    Wow! Edgar Hacked!
    Last night, SEC Chair Jay Clayton issued a statement on cybersecurity disclosing a 2016 hack of the SEC’s Edgar system.  Here’s an excerpt: In August 2017, the Commission learned that an incident previously detected…
  • Sep 20

    The Kid & the “Proxy Season Disclosure Treatise”

    The Kid & the “Proxy Season Disclosure Treatise”
    I was excited to get my “feet wet” by editing the new 2018 Edition of the popular “Proxy Season Disclosure Treatise.” It just came back from the printers – and you can order now so that you receive it hot off the…
  • Sep 19

    Course Materials: The “Pay Ratio Employee Considerations” Guide

    Course Materials: The “Pay Ratio Employee Considerations” Guide
    For those registered for the upcoming “Pay Ratio & Proxy Disclosure Conference,” we have just posted this invaluable set of course materials: The “Pay Ratio Employee Considerations” Guide. For many companies, the…
Rank this Week: 257

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: 248

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
  • Sep 18

    TD Ameritrade Acquires Scottrade Subject To Outdated NASD Rule

    TD Ameritrade Acquires Scottrade Subject To Outdated NASD Rule
    The other day I read "TD Ameritrade Closes Acquisition of Scottrade Financial Services, Inc." (TDAmeritrade Press Release, September 18, 2017), which announced that TD Ameritrade Holding Corporation had completed its acquisition of Scottrade…
  • Sep 18

    Wachovia Customer Sues Wells Fargo Over FundSource Losse

    Wachovia Customer Sues Wells Fargo Over FundSource Losse
    Among the most frustrating aspects of practicing law is when you have a client who has been wronged, terribly wronged, but it's just too late to do anything about it. Whether called statutes of repose, eligibility, or limitation, there are…
  • Sep 18

    Harbour and Geneos Customers Win FINRA Arbitration Against Stockbroker

    Harbour and Geneos Customers Win FINRA Arbitration Against Stockbroker
    Two public customers were angered by the misconduct of their servicing stockbroker and what they perceived to be the negligent oversight of his employers. As is often the case with such unhappiness, the customers sued and their case was…
Rank this Week: 532

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/
  • Aug 21

    New CFPB Online Inquiry Form Offers New Way to Ask Regulatory Question

    New CFPB Online Inquiry Form Offers New Way to Ask Regulatory Question
    The Consumer Financial Protection Bureau (CFPB)’s Office of Regulations has long offered the public the opportunity to ask the agency questions about specific regulatory provisions and receive informal feedback from CFPB attorneys,…
  • Aug 16

    Outside Bank Directors Take Note: Could Regulators’ Expectations Be Changing (Again)?

    Outside Bank Directors Take Note: Could Regulators’ Expectations Be Changing (Again)?
    Last week, the Federal Reserve issued proposed guidance that could dial back some regulatory expectations for directors of financial institutions. The proposed guidance, applicable to Fed-supervised entities like bank holding companies and…
  • Aug 14

    2017 Texas Legislative Recap of New Laws Affecting Financial Institutions Operating in Texa

    2017 Texas Legislative Recap of New Laws Affecting Financial Institutions Operating in Texa
    Every other year, the Texas Legislature convenes for roughly six months in Austin. Given the tight timeframe and biennial nature, sessions of the Texas Legislature tend to be “fast and furious” (and also full of drama). There were…
Rank this Week: 524

Sharesleuth.com

Sharesleuth.com

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

http://sharesleuth.com/
Rank this Week: 498

That Credit Union Blog

That Credit Union Blog

Covers current issues affecting the credit union industry. By the law firm of Weltman, Weinberg & Reis.

http://thatcreditunionblog.wordpress.com
  • Feb 24

    How IRS Form 982 Can Aid Credit Unions and their Members with Debt Settlement

    How IRS Form 982 Can Aid Credit Unions and their Members with Debt Settlement
    By: Nicholas K. Rohner, Esq. For any credit union seeking to negotiate with one of its members over a lump-sum settlement of the member’s delinquent, unsecured debt,[1] one potential roadblock is IRS Form 1099-C. This form reports the…
  • Nov 20

    Bankruptcy Forms to Change December 1st

    Bankruptcy Forms to Change December 1st
    By Keri P. Ebeck, Partner As of December 1, 2015, the United States Bankruptcy Courts will mandate usage and filing of the forms approved at the Judicial Conference in September 2015. Although many of the official bankruptcy forms will…
  • Oct 16

    Fraud Alert-Forged Paystub

    Fraud Alert-Forged Paystub
    By Matthew M. Young, Attorney While forging paystubs to obtain credit is not a new concept, I have a number of credit unions that have advised me of an alarming increase in the use of these phony documents to support employment and…
Rank this Week: 339

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/
  • Sep 21

    SEC Adopts Interpretive Guidance on Pay Ratio Rule

    SEC Adopts Interpretive Guidance on Pay Ratio Rule
    The Securities and Exchange Commission has approved interpretive guidance to assist companies in their efforts to comply with the pay ratio disclosure requirement mandated by Section 953(b) of the Dodd-Frank Wall Street Reform and…
  • Sep 21

    Telecommunications Company Paying $965 Million For FCPA Violation

    Telecommunications Company Paying $965 Million For FCPA Violation
    Sweden-based telecommunications provider Telia Company AB has agreed to pay $965 million in a global settlement with the Securities and Exchange Commission, U.S. Department of Justice, and Dutch and Swedish law enforcement to resolve charges…
  • Sep 20

    SEC Chairman Clayton Issues Statement on Cybersecurity

    SEC Chairman Clayton Issues Statement on Cybersecurity
    SEC Chairman Jay Clayton today issued a statement highlighting the importance of cybersecurity to the agency and market participants, and detailing the agency’s approach to cybersecurity as an organization and as a regulatory body.The…
Rank this Week: 698

Financial Industry Review

Financial Industry Review

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

http://blogs.orrick.com/financial/
Rank this Week: 764

Payment Law Advisor

Payment Law Advisor

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

http://www.paymentlawadvisor.com/
  • Jul 21

    Regulatory Alert: Debt Collection

    Regulatory Alert: Debt Collection
    Among the announcements in its Spring 2017 rulemaking agenda, which was just released on July 20, the Consumer Financial Protection Bureau (CFPB) announced that later this year it plans to issue a Notice of Proposed Rulemaking (NPRM)…
  • Jul 5

    OCC Issues Retail Lending Handbook Booklet

    OCC Issues Retail Lending Handbook Booklet
    On April 12, 2017, the Office of the Comptroller of the Currency (the “OCC”) issued a Retail Lending booklet (“Booklet”) as part of the Comptroller’s Handbook.  The OCC’s Booklet outlines a framework…
  • Jun 29

    Second Circuit Holds That Printing of Expiration Date Is a Bare Procedural Violation of FACTA That Is Inadequate Under Spokeo to Confer Standing to Sue

    Second Circuit Holds That Printing of Expiration Date Is a Bare Procedural Violation of FACTA That Is Inadequate Under Spokeo to Confer Standing to Sue
    Addressing the issue of when “a bare procedural violation of a statutory right constitute[s] an injury in fact sufficient for standing to bring suit in federal court”, the U.S. Court of Appeals for the Second Circuit has joined…
Rank this Week: 1165

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: 1140

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/
  • Mar 16

    Keeping an AI on Technological Advances in Business Law

    Keeping an AI on Technological Advances in Business Law
    Source: The Economist By Elizabeth Rice Download full note here. This Note explores the role that artificial intelligence plays in the legal world today and the ways in which it may affect the legal profession in the future. …
  • Mar 16

    Timing Brexit Right: Theresa May’s Great Political Challenge

    Timing Brexit Right: Theresa May’s Great Political Challenge
    Source: Andy Rain of EPA Download full note here. By Julian Jankowski The Prime Minister of the United Kingdom, Theresa May, in her expressed pursuit for a hard Brexit, faces economic, legal, and political challenges in her endeavors to…
  • Mar 16

    Driving Solo: Solutions to the Current Patchwork of Legislation Concerning Automated Vehicle

    Driving Solo: Solutions to the Current Patchwork of Legislation Concerning Automated Vehicle
    Source: AP Download full note here. By Bryan Boccelli This Note argues that states across the nation should expand upon and in some cases begin to introduce legislation in regards to self-driving vehicles. Although there are currently a…
Rank this Week: 750

Ponzitracker

Ponzitracker

Covers Ponzi schemes. By Jordan Maglich.

http://www.ponzitracker.com/
  • 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…
  • Feb 13

    Zeek Rewards Mastermind Sentenced To Nearly Fifteen Years In Prison

    Zeek Rewards Mastermind Sentenced To Nearly Fifteen Years In Prison
    The North Carolina man who drew comparisons to Bernard Madoff for his operation of a Ponzi scheme that duped tens of thousands of victims out of nearly $1 billion learned from a federal judge today that he, like Madoff, will likely spendthe…
  • Oct 17

    Another Cay Clubs Principal Indicted On Bank Fraud And Tax Charge

    Another Cay Clubs Principal Indicted On Bank Fraud And Tax Charge
    A Florida man is facing bank fraud and tax charges for his involvement in the alleged $300 million Cay Clubs Ponzi scheme, making him the third person to be criminally charged in what was one of the largest schemes in Florida history.…
Rank this Week: 1085

Bank D&O Liability Law Blog

Bank D&O Liability Law Blog

Covers bank director and officer liability. By Jennings, Strouss & Salmon, PLC.

http://www.bankdandolaw.com/
Rank this Week: 1203

Dividends and Preferences

Dividends and Preferences

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

http://www.dividendsandpreferences.com/
  • 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…
  • Apr 19

    Securities Law FAIL

    Securities Law FAIL
    Longtime viewers of this blog will recall that one of my favorite memes is -- "Try Not to Violate Securities Laws."  It never ceases to amaze me how easily and often folks violate securities laws.  It is a war of information, people, and…
  • Apr 18

    Someone Wrote a Book About Me!

    Someone Wrote a Book About Me!
    (Well, maybe not a whole book, but at least a short chapter...) Hey folks!  I know it has been a little while since I've posted anything.  I typically take a break over the winter holidays, but have really let it go for too long.…
Rank this Week: 822

Venture Law Lines

Venture Law Lines

Venture capital and startup business advice. By Suzie Dingwall Williams.

http://venturelaw.blogspot.com/
  • Nov 17

    When University Commercialization Offices Turn Troll

    When University Commercialization Offices Turn Troll
    Bloomberg reports that the patent licensing office at the University of New Mexico has launched a lawsuit against Intel alleging infringement of a UNM patent for a process of making circuit boards.The lawsuit comes on the heels of rumoured…
  • Nov 16

    What to do When Blackberry KIKs You to the Curb

    What to do When Blackberry KIKs You to the Curb
    This morning the blogosphere was abuzz with news that Blackberry had removed KIK from the Blackberry APP World store, without apparently providing any reason for doing so. It's not clear whether this is actually the case, but let's assume for…
  • Sep 23

    Founder CEOs and Severance Agreements: Drafting tips from Mark Hurd

    Founder CEOs and Severance Agreements: Drafting tips from Mark Hurd
    The value of a severance agreements for departing CEOs lies not only in how much they promise to pay, but in what protection it preserves. Mark Hurd's agreement with HP sets out some of the subtleties that you should ensure your own…
Rank this Week: 748

Strictly Business

Strictly Business

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

http://www.strictlybusinesslawblog.com/
  • Sep 21

    3(c)(1) Funds vs. 3(c)(7) Fund

    3(c)(1) Funds vs. 3(c)(7) Fund
    The process of starting a new hedge fund or private equity fund involves choosing whether the fund will be structured as a “3(c)(1) fund” or a “3(c)(7) fund.” Many new fund managers are confused by the difference…
  • Aug 29

    Can Initial Coin Offerings Be Regulated As Securities? The SEC Says Yes.

    Can Initial Coin Offerings Be Regulated As Securities? The SEC Says Yes.
    Recently, there has been a lot of buzz involving so-called “Initial Coin Offerings” (ICOs), which are crowdfunded offerings powered by distributed ledger technology (a.k.a. “the blockchain”), which is also the…
  • Aug 17

    Accredited Investors vs. Qualified Clients vs. Qualified Purchasers: Understanding Investor Qualification

    Accredited Investors vs. Qualified Clients vs. Qualified Purchasers: Understanding Investor Qualification
    Private funds, such has hedge funds, private equity funds, and venture capital funds, are governed by a host of intersecting federal laws that impact who can invest in these fund, including the Securities Act of 1933, the Securities Exchange…
Rank this Week: 2717

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: 4537

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/
Rank this Week: 2424

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

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

    New C&DIs target Regulation D and Rule 147

    New C&DIs target Regulation D and Rule 147
    By Mark S. Nelson, J.D.The SEC’s Division of Corporation Finance issued a set of new and revised Compliance & Disclosure Interpretations covering various aspects of Regulation D and Securities Act Rule 147. Regulation D had been…
  • Sep 20

    Stein calls for global approach to cybersecurity challenge

    Stein calls for global approach to cybersecurity challenge
    By Jacquelyn LumbCommissioner Kara Stein spoke at the Eurofi financial forum in Tallinn, Estonia, about developments in technology, the challenges of cybersecurity, and their impact on internationally connected markets. She emphasized the…
  • Sep 19

    ISDA offers suggestions for cross-border harmonization, CCP recovery and resolution

    ISDA offers suggestions for cross-border harmonization, CCP recovery and resolution
    By Lene Powell, J.D.To reduce cross-border regulatory conflict and duplication, the International Swaps and Derivatives Association, Inc. (ISDA) published a framework to allow for substituted compliance based on risk-based principles.…
Rank this Week: 2239

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
  • Sep 20

    Deadlines Approach for Government Contractors on Cybersecurity Compliance

    Deadlines Approach for Government Contractors on Cybersecurity Compliance
    Government contractors are subject to cybersecurity requirements, found in the Federal Acquisition Regulation (FAR) and each agency’s supplement to the FAR, and some important deadlines are fast approaching. Set forth below is a…
  • Sep 14

    Senate Democrats Introduce “Better Deal” Antitrust Enforcement Legislation

    Senate Democrats Introduce “Better Deal” Antitrust Enforcement Legislation
    As part of the effort to rebrand the party and reconnect with working-class voters who were lost in the presidential election, congressional Democrats revealed a new populist policy agenda, titled “A Better Deal: Better Jobs, Better…
  • Aug 31

    Recommended Reading: The Trends of Audit Committee Reporting to Shareholders in 2017

    Recommended Reading: The Trends of Audit Committee Reporting to Shareholders in 2017
    This week we highlight a study by the EY Center for Board Matters, “Audit Committee Reporting to Shareholders in 2017.” EY reviewed audit committee-related proxy disclosures by Fortune 100 companies to examine trends in voluntary…
Rank this Week: 2217

Financial Institutions Legal…

Financial Institutions Legal Snapshot

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

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

    Aggregation of claims for related transaction

    Aggregation of claims for related transaction
    Where a policy aggregated claims for ‘similar acts or omissions in a series of related matters or transactions’ the enquiry was whether there was a real connection between the transactions in which they occurred. The use of the…
  • Sep 20

    Insurance claim barred because of once-and-for-all rule (US)

    Insurance claim barred because of once-and-for-all rule (US)
    A New Jersey appeals court held that a contractor’s lawsuit against the insurer demanding cover for a claim against the contractors arising from a construction defect was barred because the claim should have been brought in a previous…
  • Sep 19

    Insurance exclusion for ‘that particular part’ on which ‘performing operations’ (US)

    Insurance exclusion for ‘that particular part’ on which ‘performing operations’ (US)
    The insured subcontracted a builder to build 53 prefabricated modular units for its residential blindness rehabilitation facility. The insurer denied an indemnity for water damage under a partly completed roof saying that the applicable…
Rank this Week: 2419

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/
  • Sep 19

    10 Steps to Raising Capital

    10 Steps to Raising Capital
    Many middle-market businesses normally find raising capital an uphill task. While raising capital sounds simple in principle, it is difficult in practice. As simple as it may seem, raising capital needs, one to be conversant with certain…
  • Jul 13

    Factors Affecting SaaS Business Valuation

    Factors Affecting SaaS Business Valuation
    In our work developing valuation analyses for our clients, and based on our experience with public comparables and precedent transactions, we often plot ranges spanning several tens of millions of dollars. Company valuations do fluctuate…
  • Jul 12

    Emotional Preparedness for a Business Sale

    Emotional Preparedness for a Business Sale
    The process of selling a business can become a psychological and emotional roller-coaster. The bumpiness of the ride is dependent on many independent factors including the preparedness of the business itself, the  effectiveness of the…
Rank this Week: 4069

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/
  • Sep 17

    We're Actually Nice To Them!

    We're Actually Nice To Them!
    When we last checked in on Vernon Hill almost two years ago, he had taken the millions he'd made in community banking in the U.S. and launched an effort to replicate his previous success on the mother ship: the U.K....
  • Sep 11

    Bad Optics Make Bad Law

    Bad Optics Make Bad Law
    Last week's announcement by Equifax that nearly one-half of Americans (and miscellaneous Canadians and Brits) had scads of personal information hacked by parties unknown, but almost certainly up to no good, set off a storm of criticism, much…
  • Sep 4

    The Cry Goes Out: Give The CFPB More Power!

    The Cry Goes Out: Give The CFPB More Power!
    The recent news that Wells Fargo has uncovered at least another 1.4 million fake accounts left many commentators on the verge of stroking out. One of those commentators was Housing Wire's Not-so-Gentle Ben Lane, who seethed with the heat…
Rank this Week: 2250

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/
  • 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…
  • Sep 6

    T+2 Settlement Becomes Mandatory for Most Broker-Dealer Transaction

    T+2 Settlement Becomes Mandatory for Most Broker-Dealer Transaction
    T+2 Settlement becomes mandatory for most broker-dealer transactions on September 5.   While Rule 15c6-1(d) allows, in connection with firm commitment underwritings, the issuer and underwriters to agree to different settlement…
  • Jul 27

    Girls Who Invest – Changing the Face of Asset Management

    Girls Who Invest – Changing the Face of Asset Management
    Pillsbury is hosting an event with the Association of Women in Alternative Investing (AWAI) on Wednesday, August 9, 2017.  Kathleen Dunlap, CEO of Girls Who Invest (www.girlswhoinvest.org) will be speaking about the GWI program and how…
Rank this Week: 3151

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
  • Sep 15

    The Securities and Futures Commission of Hong Kong comments on ICO

    The Securities and Futures Commission of Hong Kong comments on ICO
    Article prepared by and republished courtesy of our colleagues Luke Gannon, Scott Thiel and Hayden Lau; originally published here: https://www.dlapiper.com/en/us/insights/publications/2016/11/the-trump-tax-reform-plan The Securities and…
  • Jul 26

    SEC Report on Tokens as Securities: Seven Takeaway

    SEC Report on Tokens as Securities: Seven Takeaway
    One of the more interesting phenomena in early-stage investing is the recent emergence of initial coin offerings (“ICOs”), token generation events (“TGEs”), or similar distributed ledger or blockchain-enabled means for…
  • Jun 7

    Getting up to speed on blockchain, Bitcoin, Ethereum, cryptocurrencies and ICO

    Getting up to speed on blockchain, Bitcoin, Ethereum, cryptocurrencies and ICO
    Much has been written recently on blockchain, Bitcoin, Ethereum, cryptocurrencies and initial coin offerings (ICO). Unfortunately, for non-computer scientists (like me), trying to understand these concepts and their potential implications can…
Rank this Week: 3652

RIA Compliance Blog

RIA Compliance Blog

Covers registered investment advisor regulations. By Parker MacIntyre.

http://www.riacomplianceblog.com/
  • Sep 12

    DOL Proposes Additional Extension of Fiduciary Rule Transition Period

    DOL Proposes Additional Extension of Fiduciary Rule Transition Period
    The Department of Labor (DOL) recently published its proposal to extend the transition period of the Fiduciary Rule and delay the second phase of implementation from January 1, 2018 to July 1, 2019. Currently only adherence to the impartial…
  • Sep 6

    SEC Settles Charges with Investment Adviser Over Insufficient Disclosure of Fee

    SEC Settles Charges with Investment Adviser Over Insufficient Disclosure of Fee
    On August 14, 2017, the Securities and Exchange Commission (“SEC”) issued an Order Instituting Administrative and Cease and Desist Proceedings (“Order”) against Coachman Energy Partners, LLC (“Coachman”),…
  • Sep 1

    SEC Charges Investment Adviser with Misappropriating $2.8 Million From her Client

    SEC Charges Investment Adviser with Misappropriating $2.8 Million From her Client
    On August 23, 2017, the Securities and Exchange Commission (“SEC”) filed a complaint in the United States District Court for the District of Colorado against Sonya D. Camarco (“Camarco”), an investment adviser. …
Rank this Week: 2778

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/
  • Sep 12

    Financial Institutions . . . In the New

    Financial Institutions . . . In the New
    High flood insurance premiums endanger waterfront investments.  (PPH 9.9.17) Data breach at Equifax puts 143 million people across the United States at risk of identity theft.  (Central Maine 9.8.17) Governor LePage supports a…
  • Aug 9

    Financial Institutions . . . In the New

    Financial Institutions . . . In the New
    Elizabeth Hayes, President and CEO of Infinity Federal Credit Union, was recently named one of the Women to Watch in 2017.  (Mainebiz 8.7.17) LEAF Commercial Capital, Inc. is acquired by People’s United Bank.  (PR Newswire…
  • Jul 11

    Financial Institutions . . . In the New

    Financial Institutions . . . In the New
    Thirteen employees at Saco & Biddeford Savings Institution earned certificates and high honor awards this year through the Center for Financial Training and Education Alliance (CFTEA). (BDN 7.10.17) Mainers affected by State government…
Rank this Week: 2814

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…
  • Jul 17

    Bitcoin: Everyone is Talking Blockchain and its Not too Late to Get on the Band Wagon

    Bitcoin: Everyone is Talking Blockchain and its Not too Late to Get on the Band Wagon
    Bitcoin first came into public existence in 2008 with the first coins “mined” by a person/group named Satoshi Nakamoto.  As you are probably aware, Bitcoin is a method of transferring value electronically and without the need…
Rank this Week: 2099

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…
  • Jul 17

    Bitcoin: Everyone is Talking Blockchain and its Not too Late to Get on the Band Wagon

    Bitcoin: Everyone is Talking Blockchain and its Not too Late to Get on the Band Wagon
    Bitcoin first came into public existence in 2008 with the first coins “mined” by a person/group named Satoshi Nakamoto.  As you are probably aware, Bitcoin is a method of transferring value electronically and without the need…
Rank this Week: 3618

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: 3469

Consumer Finance Law Ledger

Consumer Finance Law Ledger

By Fox Rothschild LLP.

https://consumerfinance.foxrothschild.com/
  • Sep 1

    The CFPB Takes Action To Ban Credit Repair Company

    The CFPB Takes Action To Ban Credit Repair Company
    On August 30, 2017, the Consumer Financial Protection Bureau (CFPB) and Prime Marketing Holdings L.L.C. filed their proposed stipulated final judgment and order in United States District Court, the Central District of California to resolve a…
  • Sep 1

    Implications of the CFPB’s Arbitration Rule

    Implications of the CFPB’s Arbitration Rule
    On July 10, 2017, the Consumer Financial Protection Bureau issued its arbitration agreements rule which implemented Section 1028(b) of the Dodd-Frank Wall Street Reform and Consumer Protection Act.  The rule will become effective…
  • Jun 15

    3 Takeaways from the CFPB’s Report on Strategies for Promoting Diversity and Inclusion in the Mortgage Industry

    3 Takeaways from the CFPB’s Report on Strategies for Promoting Diversity and Inclusion in the Mortgage Industry
    On April 27, 2017, the CFPB issued a report on strategies for promoting diversity and inclusion in the mortgage industry. The report identifies what many people are already aware of, a company that promotes and encourages a culture of…
Rank this Week: 1404

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
Rank this Week: 3658

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

https://10b5daily.com/
  • Aug 21

    On Track Betting

    On Track Betting
    Is “on track” the most dangerous phrase a corporation can use to describe its business? Over the years, there have been a significant number of securities class actions alleging a company’s statement that a regulatory…
  • Jul 20

    Top 100 Settlement

    Top 100 Settlement
    With the dog days of summer comes the issuance of statistical reports on securities class actions.  ISS Securities Class Actions puts out an interesting report, now updated through 2016, on “The Top 100 U.S. Settlements…
  • Jun 28

    CalPERS Decided

    CalPERS Decided
    The U.S. Supreme Court has issued a decision in the CalPERS v. ANZ Securities case holding that the three-year statute of repose for Section 11 and Section 12(a) claims (misrepresentation in a registration statement or…
Rank this Week: 2235

Financial Regulatory Report

Financial Regulatory Report

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

http://www.financialregulatoryreport.com/
  • Aug 15

    ISDA Considers the Suitability of Swaps Documentation to the Blockchain

    ISDA Considers the Suitability of Swaps Documentation to the Blockchain
    On August 3, 2017, the International Swaps and Derivatives Association (“ISDA”) released a whitepaper that considers whether derivative contracts could operate on a blockchain (the “Whitepaper”).[1]  The…
  • Aug 14

    Robert Jaworski to Speak on TRID Compliance at MBA Conference

    Robert Jaworski to Speak on TRID Compliance at MBA Conference
    Bob Jaworski will be speaking at the Mortgage Bankers Association of America’s annual Regulatory Compliance Conference in Washington, D.C.. The conference will be held on September 17-19, 2017 at the Grand Hyatt, Washington. Bob…
  • Jun 19

    Nevada Passes FinTech Law

    Nevada Passes FinTech Law
    A number of states have jumped into the FinTech fray by enacting legislation or issuing guidance regarding new technologies and digital currencies. The latest of these technology-forward states is Nevada. Following the example set by Arizona,…
Rank this Week: 3553

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/
  • 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…
  • May 23

    New Wave of Lehman Litigation Appears to Be Imminent

    New Wave of Lehman Litigation Appears to Be Imminent
    Thousands of mortgage lenders across the country either recently received, or will soon be receiving, this document from Lehman Brothers Holdings, Inc. (LBHI). It is a notice of a motion to approve a proposed settlement of Residential…
  • May 1

    Supreme Court Ruling Permits City Lawsuits Against Banks Under FHA to Proceed

    Supreme Court Ruling Permits City Lawsuits Against Banks Under FHA to Proceed
    The U.S. Supreme Court ruled today, in Bank of America Corp. v. City of Miami, Case No. 15-1111 that cities may qualify as “aggrieved persons” under the Fair Housing Act (“FHA”), thus placing them within the…
Rank this Week: 3608

Al-Mirsal

Al-Mirsal

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

http://www.al-mirsal.com/
Rank this Week: 3539

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: 3166

BeyondVC

BeyondVC

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

http://www.beyondvc.com/
  • 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…
  • Mar 29

    Why I love and fear AWS

    Why I love and fear AWS
    The AWS launch of Amazon Connect (see techcrunch article) got me thinking about the current state of play in SaaS. Amazon Connect is a call center in a box, the same tech it uses in-house for their current platform. With that release,…
  • Mar 21

    Thoughts from Mulesoft and AppDynamics IPO Filing

    Thoughts from Mulesoft and AppDynamics IPO Filing
    I finally had a chance to take a quick read of the respective S1 filings for AppDynamics and Mulesoft. While the growth for each company is quite amazing, two thoughts jumped out at me. As we move to a cloud-only world with instant-on…
Rank this Week: 2240

RESPA Lawyer Blog

RESPA Lawyer Blog

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

http://www.respalawyer.com/
Rank this Week: 3741