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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: 3

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: 226

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: 379

Mandelman Matters

Mandelman Matters

Covers the foreclosure crisis. By Martin Andelman.

http://mandelman.ml-implode.com
Rank this Week: 342

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: 408

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Apr 25

    Cybersecurity: SEC Sends Yahoo! a $35 Million Message

    Cybersecurity: SEC Sends Yahoo! a $35 Million Message
    When the SEC issued new cybersecurity disclosure guidance earlier this year, you just knew that a “message” enforcement action couldn’t be too far behind.  Yesterday, the SEC delivered that message to Altaba…
  • Apr 24

    E&S Shareholder Proposals: “We’re No. 1!”

    E&S Shareholder Proposals: “We’re No. 1!”
    This “Corporate Secretary” article says that – for the first time in a generation – E&S shareholder proposals topped governance proposals during 2017. This excerpt provides some of the details: In 2017, E&S…
  • Apr 23

    Insider Trading: “Good Guess! You’re Under Arrest.”

    Insider Trading: “Good Guess! You’re Under Arrest.”
    Broc recently blogged about the insider trading case involving an Equifax executive. While it appears on the surface to be pretty plain vanilla, this McGuireWoods blog says that the case may be pushing the envelope when it comes to what…
Rank this Week: 611

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/
  • Apr 11

    Regulators Calling Your Clients? Maybe Yes, Maybe No.

    Regulators Calling Your Clients? Maybe Yes, Maybe No.
    Anyone who has been involved in an SEC or FINRA investigation into a sales practice issue has experienced the infuriating problem of the Staff calling the firm's customers as part of their investigation.While they claim to have every right to…
  • Apr 10

    Longfin Accountants Resign

    Longfin Accountants Resign
    On Thursday, April 5, Longfin said it was notified that public accounting firm CohnReznick would no longer work with the company, effective immediately, according to an 8-K filing Monday with the SEC.The accounting firm also told Longfin…
  • Apr 10

    Unusual Confidentiality Provision in Sexual Harassment Settlement

    Unusual Confidentiality Provision in Sexual Harassment Settlement
    The NYT is reporting that there are six publicly known settlements involving former Fox News star Bill O’Reilly, five for sexual harassment and one for verbal abuse, that total about $45 million. According to the article the…
Rank this Week: 603

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: 535

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: 664

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: 468

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Apr 25

    Justices hear oral argument on constitutionality of SEC ALJ

    Justices hear oral argument on constitutionality of SEC ALJ
    By Rodney F. Tonkovic, J.D.The Supreme Court has heard oral argument in Raymond Lucia's case disputing the constitutionality of the SEC’s administrative law judges. Lucia has asked the court to reverse a D.C. Circuit holding that the…
  • Apr 24

    CBS board could face liability for paying salary to incapacitated former chairman

    CBS board could face liability for paying salary to incapacitated former chairman
    By Lene Powell, J.D. Despite the extremely high bar for showing corporate waste, the Delaware Court of Chancery held that demand was partly excused in a shareholder action challenging compensation paid to former CBS executive chairman and…
  • Apr 23

    FINRA testimony insufficient for ‘whistleblower’ status under Dodd-Frank

    FINRA testimony insufficient for ‘whistleblower’ status under Dodd-Frank
    By R. Jason Howard, J.D.The United States District Court for the District of New Jersey has determined that a former UBS employee's testimony before FINRA did not equate to providing information to the SEC as required by the Dodd-Frank…
Rank this Week: 683

Financial Institutions Legal…

Financial Institutions Legal Snapshot

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

http://www.financialinstitutionslegalsnapshot.com/
  • Apr 25

    Rules of interpretation of contract

    Rules of interpretation of contract
    Clauses in a contract must be interpreted: by having regard to the language used in the light of the ordinary rules of grammar and syntax; in the context of the clauses being interpreted and the agreement as a whole; and taking into account…
  • Apr 25

    Dependants can’t sue Road Accident Fund where breadwinner dies in single vehicle accident

    Dependants can’t sue Road Accident Fund where breadwinner dies in single vehicle accident
    The surviving wife and children of a breadwinner sued the Road Accident Fund for damages when he died as a result of a single vehicle accident in which the deceased’s negligence was the sole cause of the collision. The court held that…
  • Apr 25

    UK parliament criticises insurance regulator for inflexible solvency requirement

    UK parliament criticises insurance regulator for inflexible solvency requirement
    The UK House of Commons Treasury select committee has produced a report criticising the EU Solvency II Directive and its impact on the UK insurance industry. Solvency II is a European directive but the UK Prudential Regulation…
Rank this Week: 1287

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/
  • Apr 11

    The Future of the ERISA Fiduciary Rule

    The Future of the ERISA Fiduciary Rule
    The future of the Department of Labor’s Fiduciary rule is in limbo following the Fifth Circuit’s decision striking it down “in toto.” Takeaways The future of the Fiduciary rule is uncertain, particularly in light of…
  • Mar 13

    REGISTERED FIRMS: ANNUAL COMPLIANCE OBLIGATIONS—WHAT YOU NEED TO KNOW

    REGISTERED FIRMS: ANNUAL COMPLIANCE OBLIGATIONS—WHAT YOU NEED TO KNOW
    This alert contains a summary of the primary annual and periodic compliance-related obligations that may apply to investment advisers registered with the Securities and Exchange Commission (the “SEC”) or with a particular state…
  • 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…
Rank this Week: 1197

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/
  • Apr 9

    NC Business Court On Shareholder Inspection Right

    NC Business Court On Shareholder Inspection Right
    It's been a while since the Business Court devoted a full opinion to a shareholder's rights to inspect corporate records.  But last week, Judge Bledsoe filled that gap with his Order and Final Judgment in Sharman v. Fortran Corp., 2018…
  • Mar 29

    NC Business Court Refuses To Swallow Poison Pill

    NC Business Court Refuses To Swallow Poison Pill
    The "poison pill" has been an accepted defensive measure against a corporate takeover since the 1980's.  Commonly referred to as a "Shareholder Rights Plan," this type of defense usually gives shareholders the right to buy more shares at…
  • 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…
Rank this Week: 1277

Sharesleuth.com

Sharesleuth.com

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

http://sharesleuth.com/
Rank this Week: 860

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: 1260

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: 1210

Southeast VC

Southeast VC

Covers businesses, trends, technology and venture investing in the Southeast. By Jason Caplain.

http://southeastvc.blogs.com/southeast_vc/
  • Feb 11

    Public SaaS Valuations Are Diving. How Should You React?

    Public SaaS Valuations Are Diving. How Should You React?
    I received data 48 hours ago from Pacific Crest which shows valuations of SaaS companies in a sharp decline. Given 90% of our investments are into software companies, this is very relevant and I forwarded the data to a few...
  • Sep 14

    Why It's a Mistake to Raise Money Too Soon

    Why It's a Mistake to Raise Money Too Soon
    The topic of raising money is popular with many entrepreneurs. But here is some great advice to from Joel Holland, CEO Washington DC-based VideoBlocks. He tells founders to wait as long as possible and not have a "race to raise."...
  • Jun 16

    Andreessen Horowitz: What's Going on in Venture Capital

    Andreessen Horowitz: What's Going on in Venture Capital
    Really good deck from Scott Kupor and the guys at Andreessen Horowitz on the current VC market and thought it would be good to share here. Topics: What's going on in the public markets. What are all these unicorns What's...
Rank this Week: 742

Big Four Blog

Big Four Blog

Covers accounting news, events and opinions by Big Four alumni.

http://bigfouralumni.blogspot.com/
Rank this Week: 1118

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/
  • Apr 25

    DNB consultation on outsourcing good practices for insurer

    DNB consultation on outsourcing good practices for insurer
    On 24 April 2018, the Dutch Central Bank (De Nederlandsche Bank, DNB) published a news item announcing that it has launched a consultation on good practices for controlling outsourcing risks. According to DNB, insurers outsource various…
  • Apr 25

    Latest financial services and Brexit video

    Latest financial services and Brexit video
    Our latest financial services and Brexit video is now available here.… Continue Reading
  • Apr 25

    City Week speech – Vice-president Valdis Dombrovski

    City Week speech – Vice-president Valdis Dombrovski
    On 24 April 2018, the European Commission published a speech given by Vice-President Valdis Dombrovskis at City Week in London. Key points in the speech include: the Commission is working at “full speed” to deepen and integrate…
Rank this Week: 1901

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/
  • Apr 25

    Carve-out transactions: Six key steps to ensuring succe

    Carve-out transactions: Six key steps to ensuring succe
    Over the past few years, divestitures have accounted for a rapidly increasing percentage of total M&A activity. Organizations generally complete more acquisitions than divestitures, in particular during times of outlook. makes it a…
  • Apr 21

    Private Equity Recapitalization — Taking Some Chips Off the Table

    Private Equity Recapitalization — Taking Some Chips Off the Table
    Any business owner, whether young or old, has investigated a succession plan or at least wrestled with the idea of selling their business. Sometimes this can happen during a period where significant growth lies ahead, or in times when…
  • Apr 19

    Blockchain’s Impact in Residential and Commercial Real Estate: Transactions & Industry Performance

    Blockchain’s Impact in Residential and Commercial Real Estate: Transactions & Industry Performance
    This article is the second part of a series outlining the impacts of blockchain technology in the Residential & Commercial Real Estate Industry. In 2017, ICOs raised a lot of eyebrows as the total funding raised by the new crowdfunding…
Rank this Week: 3736

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
  • Apr 25

    Former Ameriprise Rep Wins Split Decision In FINRA Arbitration

    Former Ameriprise Rep Wins Split Decision In FINRA Arbitration
    You ever start reading a decision in a lawsuit and once you get past the introduction, you're pretty sure that you know how the matter will be decided? Today's two-for-one FINRA Arbitration was just such a case. To be candid, I had placed my…
  • Apr 24

    Securities Industry Commentator by Bill Singer, Esq.

    Securities Industry Commentator by Bill Singer, Esq.
    On May 1, 2017, the Securities and Exchange Commission ("SEC") filed an Order Instituting Administrative Proceedings, Making Findings, and Imposing a Cease-and-Desist Order (the "OIPs") against Respondent Altaba Inc. f/d/b/a Yahoo! Inc.. In…
  • Apr 23

    Securities Industry Commentator by Bill Singer Esq

    Securities Industry Commentator by Bill Singer Esq
    In the Matter of Martin Shkreli, Respondent (Order Making Findings and Imposing Remedial Sanctions, SEC, Invest. Adv. Act Rel,. 4895; Admin. Proc. File 3-18127)https://www.sec.gov/litigation/admin/2018/ia-4895.pdfMartin Shkreli was the…
Rank this Week: 3500

RIA Compliance Blog

RIA Compliance Blog

Covers registered investment advisor regulations. By Parker MacIntyre.

http://www.riacomplianceblog.com/
Rank this Week: 2777

Financial Regulatory Report

Financial Regulatory Report

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

http://www.financialregulatoryreport.com/
  • Apr 23

    State Attorneys General Zero in on Elder Abuse, Financial Exploitation

    State Attorneys General Zero in on Elder Abuse, Financial Exploitation
    The 2018 National Association of Attorneys General (NAAG) Presidential Initiative, “Protecting America’s Seniors: Attorneys General United Against Elder Abuse,” has come to a close with a summit held April 17-18 in…
  • Apr 19

    Proposed TRID Title Insurance Clarification: Senator Warren Cries Wolf

    Proposed TRID Title Insurance Clarification: Senator Warren Cries Wolf
    Recently, I came across an article written by Senator Elizabeth Warren entitled “Don’t Make Bad Bill on Bank Deregulation Worse.”  In this article, the Senator warned against efforts by the House to add additional…
  • Apr 6

    New Jersey AG Attempts to Fill Perceived Void Left By CFPB Retrenchment

    New Jersey AG Attempts to Fill Perceived Void Left By CFPB Retrenchment
    On March 27, 2018, the New Jersey Attorney General, Gurbir S. Grewal, announced the appointment of Paul R. Rodriguez to be the new Director of the New Jersey Division of Consumer Affairs.  Mr. Rodriguez, a New Jersey native, previously…
Rank this Week: 3639

Walinski & Associates, P.C. Blog

Walinski & Associates, P.C. Blog

Covers debt collection.

http://www.walinskilaw.com/chicago-collections-lawyer
  • Apr 23

    Debt Collection Tips for Small Business Owner

    Debt Collection Tips for Small Business Owner
    As a small business owner, you likely do not think of yourself as a creditor. However, that is the role you have taken when you allow customers to repay you over time for products or services provided. Collecting debt sometimes requires being…
  • Apr 7

    Law Protects Servicemembers During Vehicle Repossession

    Law Protects Servicemembers During Vehicle Repossession
    Before repossessing a vehicle, an auto lender must confirm whether the owner is a U.S. military member on active duty. The Servicemembers Civil Relief Act includes a section protecting active servicemembers who default on their auto loans.…
  • Mar 22

    Nuances of Business to Business Debt Collection

    Nuances of Business to Business Debt Collection
    Businesses are some of the most lucrative clients for finance companies because they need loans to purchase goods or equipment. A well-timed loan can help a business eventually turn a profit and lead to long-term relationships with…
Rank this Week: 2126

Lenders 360.

Lenders 360.

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

http://www.lenders360blog.com
  • Apr 23

    Attorney Client Privilege – There is no Attorney Fairy Dust to Protect Everything

    Attorney Client Privilege – There is no Attorney Fairy Dust to Protect Everything
    In some recent minor news coverage the issue of attorney-client privilege has come up.  It often is surprising to non-lawyers (and non-litigators) how limited that privilege actually is in scope.  Many clients tend to assume that…
  • Apr 9

    Non-Fiat Currency – What is its Legal Character?

    Non-Fiat Currency – What is its Legal Character?
    In prior posts I have discussed what bit coin is, in terms of describing the technical aspects of the thing.  Bit coin is only one of numerous non-fiat currencies which currently exist, and seems to be the most common.  In this post…
  • Apr 2

    When the Product is Free, You Are the Product

    When the Product is Free, You Are the Product
    Facebook terms reviewed.  This blog is usually not a data security blog (although it’s something I care about); but the recent scandal with Facebook made me curious just what users agree to by using the site.  As the saying…
Rank this Week: 3663

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/
  • Apr 23

    Attorney Client Privilege – There is no Attorney Fairy Dust to Protect Everything

    Attorney Client Privilege – There is no Attorney Fairy Dust to Protect Everything
    In some recent minor news coverage the issue of attorney-client privilege has come up.  It often is surprising to non-lawyers (and non-litigators) how limited that privilege actually is in scope.  Many clients tend to assume that…
  • Apr 9

    Non-Fiat Currency – What is its Legal Character?

    Non-Fiat Currency – What is its Legal Character?
    In prior posts I have discussed what bit coin is, in terms of describing the technical aspects of the thing.  Bit coin is only one of numerous non-fiat currencies which currently exist, and seems to be the most common.  In this post…
  • Apr 2

    When the Product is Free, You Are the Product

    When the Product is Free, You Are the Product
    Facebook terms reviewed.  This blog is usually not a data security blog (although it’s something I care about); but the recent scandal with Facebook made me curious just what users agree to by using the site.  As the saying…
Rank this Week: 2490

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
  • Apr 22

    From China to the World: Cross-border Transaction

    From China to the World: Cross-border Transaction
    Akin Gump Corporate Partner, Meng Ru attended the 2018 Harvard China Law Symposium and participated on the panel, From China to the World: Cross-border Transactions. The overall theme of the conference was Entrepreneurship and Development of…
  • Apr 18

    Countdown to Brexit

    Countdown to Brexit
    Akin Gump has issued an alert delineating the Brexit timeline, including key milestone dates leading up to “BREXIT Day” and thereafter. Click here to read the full alert.
  • Apr 15

    ISS Launches New Online Communications Portal, Updates U.S. Voting Policy FAQ

    ISS Launches New Online Communications Portal, Updates U.S. Voting Policy FAQ
    New ISS Help Center On April 9, 2018, Institutional Shareholder Services Inc. (ISS) launched a new online communications portal, the ISS Help Center, to provide a simplified interface for submitting questions to ISS Research.  The new…
Rank this Week: 2758

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
  • Apr 22

    Änderungen bei der Quellenbesteuerung treten 2021 in Kraft

    Änderungen bei der Quellenbesteuerung treten 2021 in Kraft
    Gemäss Medienmitteilung hat der Bundesrat beschlossen, dass das am 16. Dezember 2016 verabschiedete Bundesgesetz über die Revision der Quellenbesteuerung des Erwerbseinkommens zusammen mit mehreren darauf basierenden…
  • Mar 30

    BGer 6B_1356/2017: Die Sicherheitsleistung anderer Personen als Privatkläger im Rechtsmittelverfahren

    BGer 6B_1356/2017: Die Sicherheitsleistung anderer Personen als Privatkläger im Rechtsmittelverfahren
    Die erste Instanz verurteilte einen Beschuldigten wegen diversen Wirtschaftsdelikten. Drei weitere Personen, gegen diese aber keine strafrechtlichen Vorwürfe erhoben wurden, wurden als andere Verfahrensbeteiligte i.S.v. Art. 105 Abs. 1…
  • Mar 22

    Neue Steuerabzüge für Hausbesitzer ab 2020

    Neue Steuerabzüge für Hausbesitzer ab 2020
    Am 9. März 2018 hat der Bundesrat an seiner Sitzung die totalrevidierte Liegenschaftskostenverordnung verabschiedet (Vorabdruck hier abrufbar). Die Verordnung konkretisiert die im Zuge der Energiestrategie 2050 beschlossenen neuen…
Rank this Week: 1743

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/
  • Apr 20

    Financial Institutions . . . In the New

    Financial Institutions . . . In the New
    Wells Fargo Bank $1 billion fine is among the largest set by regulators.  (Central Maine 4.19.2018) Federal Reserve Chairman Jerome Powell maintains that slow and steady increases in rates is the right course of action to strengthen the…
  • Mar 5

    Financial Institutions . . . In the New

    Financial Institutions . . . In the New
    Maine banks encountered a positive 2017 and 2018 looks promising.  (The Ellsworth American  3.5.2018) Federal Reserve Chairman Jerome Powell plans gradual increase in interest rates.  (PPH 3.1.2018) Equifax breach affected…
  • 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…
Rank this Week: 2924

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/
  • Apr 16

    Cutback of CFPB Activities Invites State Authorities to Act — But Will They?

    Cutback of CFPB Activities Invites State Authorities to Act — But Will They?
    Amid the uncertainty over the future of the CFPB, another continuing question is whether state consumer protection authorities will act to fill gaps left by the CFPB’s inaction. State attorneys general have tools available to pursue…
  • Apr 10

    CFPB Requests for Public Comments Foreshadow Possible Large-Scale Change

    CFPB Requests for Public Comments Foreshadow Possible Large-Scale Change
    As federal legislation abridging the Dodd-Frank Act remains in play, comparably radical changes to federal financial supervision could come without any need for Congressional action. This could happen through federal banking agencies’…
  • Feb 27

    Latest PHH v. CFPB Ruling Brings RESPA and CFPB Enforcement Approaches Back in Focu

    Latest PHH v. CFPB Ruling Brings RESPA and CFPB Enforcement Approaches Back in Focu
    It has been almost easy to forget that the PHH v. CFPB case started life as an appeal of an enforcement action taken by the Consumer Financial Protection Bureau (CFPB) for purported violations of the Real Estate Settlement Procedures Act…
Rank this Week: 1736

Zamansky LLC Blog

Zamansky LLC Blog

Covers stock broker fraud or negligence.

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

    Phan, et al., v. Ivy Investment Management Company, et al. – NOTICE OF PENDENCY AND SETTLEMENT OF SHAREHOLDER DERIVATIVE ACTION

    Phan, et al., v. Ivy Investment Management Company, et al. – NOTICE OF PENDENCY AND SETTLEMENT OF SHAREHOLDER DERIVATIVE ACTION
    Please find below the Stipulation and Agreement of Settlement and Notice of Pendency and Settlement of Shareholder Derivative Action in Phan, et al., v. Ivy Investment Management Company, et al., Case No. 16CV02338, pending in the District…
  • Apr 6

    Tech Wreck 2.0

    Tech Wreck 2.0
    In the year 2000, when the historic “Tech Bubble” popped, millions of investors were left holding the bag after their financial advisors over-concentrated them in unsuitable and risky high technology and internet stocks. What…
  • Mar 30

    401k Losses? You May Have a Claim for Financial Fraud

    401k Losses? You May Have a Claim for Financial Fraud
    As an employee who is saving for retirement, you are told to expect variations in the value of your 401k over time. The market fluctuates. Unanticipated events impact the value of blue chip stocks. But, in the end, if you save enough for a…
Rank this Week: 1985

Payment Law Advisor

Payment Law Advisor

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

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

    Fintech Sandboxes – Update on State Approache

    Fintech Sandboxes – Update on State Approache
    Arizona’s Fintech Sandbox Last month Arizona became the first U.S. state to enact a law allowing for the establishment of a fintech regulatory sandbox program (H.B. 2434) to facilitate the growth of innovative financial products and…
  • Apr 13

    Federal Regulatory Agencies Advise on Cyber Insurance for Information Security Program

    Federal Regulatory Agencies Advise on Cyber Insurance for Information Security Program
    Federal regulatory agencies, acting through the Federal Financial Institutions Examination Council (FFIEC), have issued guidance for financial institutions about the role of cyber insurance in risk management of information technology…
  • Mar 6

    Discrimination and Algorithms in Financial Services: Unintended Consequences of AI

    Discrimination and Algorithms in Financial Services: Unintended Consequences of AI
    It’s troubling enough when facial recognition software couldn’t recognize Asian faces, the crime prediction algorithm targeted black neighborhoods, the job bank was more likely to show men highly paid executive jobs, and the…
Rank this Week: 2691

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

https://10b5daily.com/
  • Apr 11

    Mr. Roberts Moves Firm

    Mr. Roberts Moves Firm
    On a personal note, Lyle Roberts (the author of The 10b-5 Daily) has joined the Washington, DC office of Shearman & Sterling LLP.  The firm’s press release can be found here.  Posting has been correspondingly light, but…
  • Mar 25

    Cyan Decided

    Cyan Decided
    The U.S. Supreme Court has issued a decision in the Cyan v. Beaver County Employees Retirement Fund case holding that the Securities Litigation Uniform Standards Act of 1998 (SLUSA) does not divest state courts of jurisdiction over…
  • 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…
Rank this Week: 1574

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/
  • Apr 5

    A Decade on, Crisis-Era Litigation Still Bedevils Bank

    A Decade on, Crisis-Era Litigation Still Bedevils Bank
    Banks and other financial institutions might reasonably have expected that, 10 years after the collapse of Bear Stearns and the demise of Lehman Brothers, they would finally be free and clear of lawsuits spawned by the financial crisis. That…
  • Mar 27

    EB-5 Program Extension Allows Developers More Time to Obtain Financing

    EB-5 Program Extension Allows Developers More Time to Obtain Financing
    Last week H.R.1625 – Consolidated Appropriations Act, 2018 was enacted. The Act includes a continuation of funding, until September 30, 2018, for the EB-5 Regional Center Program. EB-5 financing has been a low cost financing alternative…
  • Mar 19

    Lehman RMBS Settlement Likely to Spur Additional Claim

    Lehman RMBS Settlement Likely to Spur Additional Claim
    On March 8, the Bankruptcy Court for the Southern District of New York concluded a lengthy “claims estimation” trial to determine the appropriate final settlement price for a resolution of lawsuits filed on behalf of investors in…
Rank this Week: 3660

BeyondVC

BeyondVC

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

http://www.beyondvc.com/
  • Apr 4

    The Enterprise Strikes Back

    The Enterprise Strikes Back
    Consumer companies are the ones that drive the headlines, that generate the most clicks on Techcrunch, and are top of mind for many in the tech industry. So I’d like to celebrate this brief point in time where the enterprise strikes…
  • Mar 18

    Snyk, from first check to leader in dev-friendly open source security

    Snyk, from first check to leader in dev-friendly open source security
    We are thrilled to announce our investment in Snyk, which is a developer-first security solution that helps companies use open source code and stay secure. We couldn’t be more excited to be leading this new round of capital again with…
  • 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…
Rank this Week: 1554

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
  • Mar 28

    First Hit under the New Take-Over Bid Regime: Lessons from the Aurora Cannabis Bid for CanniMed

    First Hit under the New Take-Over Bid Regime: Lessons from the Aurora Cannabis Bid for CanniMed
    By David E. Woollcombe, Robert Hansen, Shane C. D'Souza, Heidi Gordon and Vanessa Chung The Ontario Securities Commission and the Financial and Consumer Affairs Authority of Saskatchewan (Commissions) recently published reasons for their…
  • Mar 7

    Five Key M&A Cases from 2017 to consider this proxy season

    Five Key M&A Cases from 2017 to consider this proxy season
    By David E. Woollcombe, Jonathan Grant, Shea Small, Robert Hansen, Shane C. D'Souza, Vanessa Chung and Simon Cameron Heading into the 2018 proxy season, we have summarized five Canadian M&A cases from 2017 and their potential impact.…
  • 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…
Rank this Week: 3688

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • Mar 9

    The Opaque World of Arbitration Might Soon Become Clearer in New York

    The Opaque World of Arbitration Might Soon Become Clearer in New York
    The New York Legislature has two bills pending in the Assembly and Senate which would make public, for the first time, details of private arbitrations. A09769 and S07146, sponsored by Matthew Titone and Brian Kavanagh respectively, are both…
  • 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…
Rank this Week: 4462

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 28

    Is New York’s Form 99 Required When a Rule 506 Offering Has New York Investors?

    Is New York’s Form 99 Required When a Rule 506 Offering Has New York Investors?
    Although states are not permitted to require issuers in Rule 506 offerings to register with state authorities, states can require notice filings substantially similar to the Form D notice filing required to be filed with the SEC within 15…
  • 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…
Rank this Week: 2953

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 25

    Vaya Con Dio

    Vaya Con Dio
    While it's been a good 14-year run, it's time to put this blog to bed. My apologies to recent subscribers and a tip of the hat to recent unsubscribers. Unfortunately, all sales are final. Thank you all for reading over...
  • 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…
Rank this Week: 1553

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: 4038

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…
  • 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…
Rank this Week: 3685

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: 3672

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: 4242

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: 3519