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Mortgage Fraud Blog

Mortgage Fraud Blog

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

http://mortgagefraudblog.com/
  • Jun 6

    Builder Bailout Fraud Scheme Gets Two Orange County Men Sentenced

    Builder Bailout Fraud Scheme Gets Two Orange County Men Sentenced
    Mortgage Fraud Blog. Maher Obagi, 32, Huntington Beach, California was sentenced on Tuesday to 78 months in prison and ordered to pay just over $10 million in restitution.  A second defendant, Mohamed Salah, 43, Mission Viejo, California…
  • Jun 1

    Inflated Purchase Prices Gets Developer Sentenced

    Inflated Purchase Prices Gets Developer Sentenced
    Mortgage Fraud Blog. Abolghasseni “Abe” Alizadeh, 59, Granite Bay, California was sentenced today to four years and eight months in prison.  Alizadeh pleaded guilty on January 12, 2018 to wire fraud, bank fraud and making…
  • May 31

    Son of House-Stealing Scheme Mastermind Sentenced

    Son of House-Stealing Scheme Mastermind Sentenced
    Mortgage Fraud Blog. Terrell Hampton, 37, was sentenced today to 119 months in prison for defrauding the City of Philadelphia, the Commonwealth of Pennsylvania, and innocent owners and purchasers of Philadelphia, Pennsylvania real estate.…
Rank this Week: 5

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

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

    SEC Director Hinman’s Ether comments wake up cryptocurrency markets and industry

    SEC Director Hinman’s Ether comments wake up cryptocurrency markets and industry
    By Brad Rosen, J.D. The highlight of the Yahoo All Markets Summit: Crypto was the remarks by SEC Corporation Finance Director William Hinman where he stated, “Based on my understanding of the present state of Ether, the Ethereum network…
  • Jun 15

    Is it back to the drawing board for Form CRS?

    Is it back to the drawing board for Form CRS?
    By Anne Sherry, J.D. Witnesses at the SEC Investor Advisory Committee meeting suggested that much more work needs to be done to craft a relationship summary for broker-dealer and investment adviser clients that complements Regulation Best…
  • Jun 14

    Chairman Giancarlo expounds on grit and sharp moves in remarks to Women in Derivative

    Chairman Giancarlo expounds on grit and sharp moves in remarks to Women in Derivative
    By Brad Rosen, J.D.Margaret Thatcher once observed, “If you want something said, ask a man; if you want something done, ask a woman.” So noted CFTC Chairman J. Christopher Giancarlo in his opening remarks before the Women in…
Rank this Week: 141

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: 163

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: 178

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: 187

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/
  • May 14

    Hands Off the Wheel: An Analysis of Ethical and Legal Issues Facing Autonomous Automobile

    Hands Off the Wheel: An Analysis of Ethical and Legal Issues Facing Autonomous Automobile
    Source: www.thenextweb.com By George Cortina Download full note here. The days of having our hands on the wheel while cruising along a highway will soon be over. The advent of autonomous and semi-autonomous automobiles presents many new…
  • May 14

    Legislating Low-Wage Non-Competes: Reconciling Policy Interests with Common Law

    Legislating Low-Wage Non-Competes: Reconciling Policy Interests with Common Law
    Source: www.businesslawutah.com By Derek Franklin Download full note here. In August 2016, the Illinois General Assembly enacted the Illinois Freedom to Work Act, which prohibits non-compete agreements with private sector employees…
  • May 14

    To Infinity & Beyond: Legal Implications for Space Tourism

    To Infinity & Beyond: Legal Implications for Space Tourism
    Source: www.nytimes.com By Colin Mummery Download full note here. The drastic rise of numerous space tourism companies suggests that the prospects of viable and even cost-conscious space tourism may be in reach. This entirely new…
Rank this Week: 202

Mandelman Matters

Mandelman Matters

Covers the foreclosure crisis. By Martin Andelman.

http://mandelman.ml-implode.com
Rank this Week: 217

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Jun 18

    Corp Fin Director Weighs In Big-Time: Digital Assets as “Securities”

    Corp Fin Director Weighs In Big-Time: Digital Assets as “Securities”
    Last week, Corp Fin Director Bill Hinman delivered this speech on digital assets as “securities” – which caused a stir. Here’s an excerpt from this Debevoise & Plimpton memo about it (also see this WSJ article):…
  • Jun 15

    Generic Risk Factors: PSLRA & Comment Letter Benefits?

    Generic Risk Factors: PSLRA & Comment Letter Benefits?
    This research analyzes why companies continue to use long, generic risk factors despite negative capital market consequences, a decline in the ability of analysts to assess fundamental risks and Corp Fin’s criticism of boilerplate…
  • Jun 14

    First Universal Proxy Card!

    First Universal Proxy Card!
    For years there’s been a debate over universal proxy cards. The SEC hasn’t acted on its 2016 proposal. But according to this press release, we now we have the first US-incorporated company using one – SandRidge Energy. The…
Rank this Week: 274

Securities Law Blog

Securities Law Blog

Features news, commentary and thoughts on the law of the securities markets. By Mark Astarita.

http://seclaw.blogspot.com/
  • Jun 17

    SEC CorpFin Director's Big Crypto Speech

    SEC CorpFin Director's Big Crypto Speech
    SEC Division of Corporate Finance Director William Hinman’s detailed his thoughts on ICOs at the Yahoo Finance All Markets Summit in San Francisco.He stated that ether is not considered a security, and touched upon the fact that…
  • May 25

    US Justice Department reportedly opens criminal investigation into bitcoin price manipulation

    US Justice Department reportedly opens criminal investigation into bitcoin price manipulation
    The US Justice Department has launched an investigation into traders who are manipulating bitcoin prices.The Bloomberg report states that the probe is focused on "spoofing" - a practice where an investor intentionally manipulates the…
  • May 25

    Fed Probe Rattles Bitcoin Market

    Fed Probe Rattles Bitcoin Market
    Investors should be aware that the government is cracking down on the bitcoin market.The Justice Department has started an investigation into manipulated bitcoin prices, as well as other digital coins. In conjunction with the Commodity…
Rank this Week: 469

North Carolina Business Litigation…

North Carolina Business Litigation Report

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

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

    NC Business Court Schools Plaintiff's Attorney On How To File A Document Under Seal In The Court

    NC Business Court Schools Plaintiff's Attorney On How To File A Document Under Seal In The Court
    The attorney for the Plaintiff in Preiss v. Wine and Design Franchise, LLC, 2018 NCBC 53, apparently didn't bother to read the Business Court's Rules on what must be done in order to file a document under seal.  That lawyer failed on…
  • May 21

    NC Business Court Rejects The Idea Of A "Settlement Privilege"

    NC Business Court Rejects The Idea Of A "Settlement Privilege"
    Statements made in the course of settlement negotiations are inadmissible at trial, per Rule 408 of the NC Rules of Evidence.  But does that dead end to admissibility protect against the production of such items during discovery? No,…
  • May 1

    Another NC Business Court Appeal Bites The Dust

    Another NC Business Court Appeal Bites The Dust
    I guess that every North Carolina lawyer doesn't know that since October 2014, appeals of final decisions by the NC Business Court go directly to the NC Supreme Court instead of to the NC Court of Appeals. You didn't know that?  Well you…
Rank this Week: 480

Ponzitracker

Ponzitracker

Covers Ponzi schemes. By Jordan Maglich.

http://www.ponzitracker.com/
  • May 1

    Feds Allege Mississippi Man Ran $85 Million Timber Ponzi Scheme

    Feds Allege Mississippi Man Ran $85 Million Timber Ponzi Scheme
    "Greed is not good. Greed drove this individual to lie, cheat and steal from fellow Mississippians, and led him to prey upon others outside our state, simply to personally benefit himself." - U.S. Attorney D. Michael Hurst, Jr.  In what…
  • 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…
Rank this Week: 624

Big Four Blog

Big Four Blog

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

http://bigfouralumni.blogspot.com/
Rank this Week: 689

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: 721

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: 844

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: 860

Sharesleuth.com

Sharesleuth.com

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

http://sharesleuth.com/
Rank this Week: 903

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: 977

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: 1050

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • Jun 7

    EX-CITIGROUP BROKER VINDICATED WITH $4M FINRA ARBITRATION AWARD

    EX-CITIGROUP BROKER VINDICATED WITH $4M FINRA ARBITRATION AWARD
    A Miami broker, formerly with Citigroup, won a nearly $4 million award in a recent FINRA arbitration case regarding wrongful termination.  Christian Gherardi “worked at Smith Barney and other Citigroup units in Miami from the start…
  • May 30

    FINRA’S NEW DISCLOSURE REVIEWS MAY HELP LIFT BURDEN FOR FIRMS AND REPRESENTATIVES

    FINRA’S NEW DISCLOSURE REVIEWS MAY HELP LIFT BURDEN FOR FIRMS AND REPRESENTATIVES
    Beginning July 9, 2018, FINRA will conduct an individual public records search on every applicant when a broker-dealer files a form U-4 application for registration.  FINRA currently performs this search for all registered…
  • May 18

    Missouri Securities Division Bars Two Former Owners of Local Broker-Dealer

    Missouri Securities Division Bars Two Former Owners of Local Broker-Dealer
    Steven Larson and Michael Standley owned Oakbridge Financial Services along with Kathy Winter.  All three of them functioned as registered representatives of the broker-dealer as well.  The three were also associated with a state…
Rank this Week: 1102

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/
  • Jun 18

    Virtual Reality / Augmented Reality: Industry Introduction

    Virtual Reality / Augmented Reality: Industry Introduction
    This is the first in a multi-part series that will focus on the growth, investment, and M&A trends in the virtual reality and augmented reality industry. Industry Introduction Rapid changes in technology are providing new experiences that…
  • Jun 15

    Strategies for Boosting Business Value Before Selling

    Strategies for Boosting Business Value Before Selling
    Business owners looking to sell in the short- to mid-term should do everything in their capacity to boost value when the time comes around to closing a transaction. There are numerous ways of doing so, and thankfully, most of them are more…
  • Jun 12

    When is the Best Age to Sell Your Business and Retire?

    When is the Best Age to Sell Your Business and Retire?
    The question of when to retire isn’t always an easy one for people to answer and it’s all the more complex for business owners. Whereas most people can, health-permitting, choose a time frame for retirement, business owners will…
Rank this Week: 1148

Broke and Broker

Broke and Broker

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

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

    Securities Industry Commentator by Bill Singer Esq

    Securities Industry Commentator by Bill Singer Esq
    On June 18, 2018, the United States Supreme Court granted certiorari of Francis V. Lorenzo, Petitioner, v. Securities and Exchange Commission, Respondent (17-1077) As set forth under the heading "Questions Presented" in Petitioner Lorenzo's…
  • Jun 18

    Paige Pierce For 2017 FINRA NAC Small Firm Member

    Paige Pierce For 2017 FINRA NAC Small Firm Member
    Paige Pierce For 2017 FINRA NAC Small Firm Member November 1, 2017As set forth on the Financial Industry Regulatory Authority's ("FINRA's") website:The National Adjudicatory Council (NAC) is a FINRA committee that reviews initial…
  • Jun 17

    Securities Industry Commentator by Bill Singer Esq

    Securities Industry Commentator by Bill Singer Esq
    Theranos Founder and Former Chief Operating Officer Charged In Alleged Wire Fraud SchemesElizabeth Holmes and Ramesh “Sunny” Balwani Are Alleged To Have Perpetrated Multi-million Dollar Schemes To Defraud Investors, Doctors, and…
Rank this Week: 1162

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: 1223

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: 1322

Financial Industry Review

Financial Industry Review

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

http://blogs.orrick.com/financial/
  • Jun 18

    FHFA Issues Proposed Rule on Enterprise Capital

    FHFA Issues Proposed Rule on Enterprise Capital
      On June 12, 2018, the Federal Housing Finance Agency (“FHFA“) issued a proposed regulation on capital requirements for Fannie Mae and Freddie Mac (the Enterprises). The proposed rule would implement a new framework for…
  • Jun 18

    Agencies Issue Final Rulemaking to Shorten Settlement Cycle

    Agencies Issue Final Rulemaking to Shorten Settlement Cycle
      On June 1, 2018, the Office of the Comptroller of the Currency (the “OCC“) and the Federal Deposit Insurance Corporation (the “FDIC“) issued a final rule to shorten the standard settlement cycle for securities…
  • Jun 18

    ECB Revised Assessment Methodology For Payment System

    ECB Revised Assessment Methodology For Payment System
      The European Central Bank (“ECB“) published a revised assessment methodology for payment systems on June 15, 2018. The principles for financial market infrastructures (“PFMIs“) developed by the Committee on…
Rank this Week: 1333

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: 1392

Redeye VC

Redeye VC

Offers a view of startup ecosystem. By Josh Kopelman.

http://redeye.firstround.com/
  • Sep 24

    WhatsApp Used This Pricing Strategy to Win and You Can Too

    WhatsApp Used This Pricing Strategy to Win and You Can Too
    Seven years ago, First Round Partner Josh Kopelman wrote a seminal blog post on the importance of free services in consumer-facing business models. He argued that most entrepreneurs misunderstand how subscription pricing works and…
  • Sep 22

    7 Tactics to Get the Most Out of Your Startup's Advisor

    7 Tactics to Get the Most Out of Your Startup's Advisor
    It happens all the time. A founder surrounds him or herself with a skilled group of advisors — maybe one or two from investors, a trusted mentor from their past, perhaps someone influential who can open doors. But as the company…
  • Sep 15

    Make Engineering Interns Truly Effective with This Startup's Program

    Make Engineering Interns Truly Effective with This Startup's Program
    At just three years old, Sift Science has accomplished a surprising amount. Its product, which combats fraud using machine learning, is an important tool for companies like Kickstarter, Airbnb, Uber and Opentable. But with just over 30…
Rank this Week: 1437

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: 1555

Strictly Business

Strictly Business

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

http://www.strictlybusinesslawblog.com/
  • May 31

    The Venture Capital Adviser Exemption Explained

    The Venture Capital Adviser Exemption Explained
    Section 203(l) of the Investment Advisers Act of 1940 (the “Advisers Act”), also known as the venture capital adviser exemption, provides that an investment adviser that solely advises venture capital funds is exempt from…
  • 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…
Rank this Week: 1666

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: 1710

The PSLRA Nugget

The PSLRA Nugget

Covers securities class action case law. By Christopher S. Jones.

http://pslranugget.blogspot.com/
  • Feb 3

    The Nugget is Moving to a New Home

    The Nugget is Moving to a New Home
    Please update your bookmarks, as the PSLRA Nugget is moving to a new easier to remember website address.  Also if you are getting this by email, and you would like to continue getting it that way, you just need to go to
  • Feb 2

    Yes Shorter is Better (at least in legal briefing)

    Yes Shorter is Better (at least in legal briefing)
    OK, you know who you are.  The serial page extension requesters.  But Judge, we have to have 100 pages to explain it.  I know, I know, we've all done it.  And yes I agree sometimes it's necessary.  But District Judge Joy Flowers Conti…
  • Mar 18

    Confidential Sources Still Alive & Kicking

    Confidential Sources Still Alive & Kicking
    What's that? You thought Tellabs banned confidential witnesses? Well, let's not get carried away here, as there's certainly at least two ways to read that opinion. Of course, after the 7th Circuit decided Higginbotham v. Baxter, it was…
Rank this Week: 1729

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/
  • Jun 6

    RIK investigating TD Ameritrade for unregistered former TD broker Ralph Wood, Jr.’s illegal trading activity

    RIK investigating TD Ameritrade for unregistered former TD broker Ralph Wood, Jr.’s illegal trading activity
    RIK recently filed a FINRA arbitration against TD Ameritrade last week on behalf of a New Jersey family. A former TD Ameritrade broker named Ralph Wood, Jr., acted as an unregistered advisor to numerous customer accounts in the Short Hills,…
  • 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,…
Rank this Week: 1755

Asset Hunter: Tracking…

Asset Hunter: Tracking International Financial Fraud

Covers the legal ramifications of financial fraud related to multinational corporations, multinational financial institutions, foreign governments, foreign officials and high-profile individuals in sensitive regulatory, civil and international criminal matters. By Michael Diaz, Jr.

http://www.michaeldiazjr.com
  • Dec 2

    Diaz Reus Forms Drone Legal Practice

    Diaz Reus Forms Drone Legal Practice
    In response to the growing phenomenon of domestic drones and legal/regulatory issues surrounding their use, the Florida-based international law firm of Diaz Reus announces the launch of its Unmanned Aircraft Systems (UAS) practice. Headed by…
  • Feb 5

    Diaz Reus & Targ LLP scored a stunning…

    Diaz Reus & Targ LLP scored a stunning victory in the U.S. District Court for the Southern District of New York last week on behalf of the government of Venezuela, obtaining complete and final dismissal with prejudice of a suit brought by…
  • Sep 25

    Bolivia’s Anti-Corruption Colonel, Mario Fabrizio Ormachea, Arrested in Miami FBI Sting | Trial period set for October

    Bolivia’s Anti-Corruption Colonel, Mario Fabrizio Ormachea, Arrested in Miami FBI Sting | Trial period set for October
    Mario Fabrizio Ormachea, the colonel leading Bolivia’s Anti-Corruption Unit, is being held without bail in Miami, awaiting an October 21 trial period after being arrested in an August 31 Miami FBI sting operation where he attempted to…
Rank this Week: 1771

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: 2051

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/
  • May 23

    The Joke’s on Us! – SEC Demonstrates Sense of Humor and Serious Lessons about Fraudulent Coin Offering

    The Joke’s on Us! – SEC Demonstrates Sense of Humor and Serious Lessons about Fraudulent Coin Offering
    The rapid growth of cryptocurrency markets, digital asset products and initial coin offerings (ICOs), and the alarmingly high number of fraudulent ICO attempts among them, has prompted the SEC to engage the public in some creative investor…
  • May 22

    Investment Funds Authority Ildiko Duckor Demystifies Quant Funds and Their Risk

    Investment Funds Authority Ildiko Duckor Demystifies Quant Funds and Their Risk
    Pillsbury Investment Funds practice co-leader Ildiko Duckor recently spoke with The Hedge Fund Law Report about the strategies and risks inherent in investing in and managing quant funds, which utilize highly sophisticated computer-based…
  • 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…
Rank this Week: 2234

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: 2293

Attorney R. Tamara de Silva's Blog

Attorney R. Tamara de Silva's Blog

Features a skeptical lawyer's take on financial reform, Wall Street and white collar crime.

http://attyrtamaradesilva.wordpress.com
  • Aug 19

    Fat Tail and the Bail Out

    Fat Tail and the Bail Out
    “It ain’t what you don’t know that gets you into trouble. It’s what you know for sure that just ain’t so.” Mark Twain
  • Aug 19

    Fat Tail and the Bail Out

    Fat Tail and the Bail Out
    “It ain’t what you don’t know that gets you into trouble. It’s what you know for sure that just ain’t so.” Mark Twain Risk management is the difference between success and ruin in the financial…
  • Aug 19

    Market Transparency

    Market Transparency
    Market Transparency and Accountability Act of 2009 Misses the Mark R. Tamara de Silva February 22, 2009
Rank this Week: 2309

Al-Mirsal

Al-Mirsal

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

http://www.al-mirsal.com/
  • May 23

    UAE Free Zone Navigator

    UAE Free Zone Navigator
    United Arab Emirates (UAE) free zones are attractive jurisdictions for early and growth-stage companies. Free zones are designed to encourage startups and foreign investors through simpler processes and procedures, permiting 100% foreign…
  • 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…
Rank this Week: 2316

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: 2318

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 30

    Chase Lets Loose a Barrage of New Indemnification Demand Letter

    Chase Lets Loose a Barrage of New Indemnification Demand Letter
    Ten years after the financial crisis, mortgage companies and regional/local banks are still getting hit with new breach of contract and indemnification claims related to loans sold before the crisis. The latest case in point…
  • 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…
Rank this Week: 2331

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: 2347

Lenders 360.

Lenders 360.

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

http://www.lenders360blog.com
  • May 28

    Loan Modification vs Forbearance. Things to Consider.

    Loan Modification vs Forbearance. Things to Consider.
    At the point in time when the economic structure of loan becomes financially unsupportable for the borrower, a lender is faced with a few options.  The lender could simply default the loan and begin collection activity. …
  • May 21

    Steps to Attach and Perfect – The Mystery of Proper Collateralization

    Steps to Attach and Perfect – The Mystery of Proper Collateralization
    When making a secured loan, the process of making sure your collateral is actually – legally – your collateral can be more difficult than expected or later determined. The steps are fairly simple, but the analysis and execution…
  • May 14

    A Quick Note on the Retail Sector

    A Quick Note on the Retail Sector
    Things are not great in brick and mortar retail, and they really haven’t been for some time.  Most people are aware of this, but this is a quick note on the status of retail bankruptcy cases and the outlook for the year.   In…
Rank this Week: 2353

The Swap Report

The Swap Report

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

http://www.theswapreport.com/
Rank this Week: 2559

RIA Compliance Blog

RIA Compliance Blog

Covers registered investment advisor regulations. By Parker MacIntyre.

http://www.riacomplianceblog.com/
  • Jun 15

    SEC No-Action Letter Addresses Financial Exploitation of Client

    SEC No-Action Letter Addresses Financial Exploitation of Client
    On June 1, 2018, the Securities and Exchange Commission’s Division of Investment Management issued a No-Action Letter to the Investment Company Institute.  The ICI asked the Division to assure that it would not recommend…
  • Jun 14

    SEC Directors Stress Importance of Budget Request to Expand and Improve Investment Adviser Examination

    SEC Directors Stress Importance of Budget Request to Expand and Improve Investment Adviser Examination
    On May 16, 2018, SEC Co-Directors Stephanie Avakian and Stephen Piekin appeared before the Subcommittee on Capital Markets, Securities, and Investment, a subcommittee of the House of Representatives’ Committee on Financial…
  • May 31

    SEC’s 12b-1 Self-Reporting Deadline Loom

    SEC’s 12b-1 Self-Reporting Deadline Loom
    In February, the Securities and Exchange Commission’s Enforcement Division announced the Share Class Selection Disclosure Initiative (the “SCSD Initiative”), encouraging investment advisers to self-report violations of…
Rank this Week: 2567

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: 2574

Private Funds Law Update

Private Funds Law Update

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

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

    10 takeaway points on Luxembourg’s RAIF

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

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

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

    The SBEEA: Register of Significant Beneficial Ownership

    The SBEEA: Register of Significant Beneficial Ownership
    The SBEEA (Part I: People with Significant Control) Against the backdrop of an increasing push for greater transparency of company ownership, the Small Business Enterprise and Employment Act 2015 (“SBEEA“) took effect on 6 April…
Rank this Week: 3400