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Securities Law Attorneys Blog

Securities Law Attorneys Blog

Covers securities law. By Fitapelli | Kurta.

http://www.securitieslawattorneys.net/
  • Jun 15

    John Casimir: Puerto Rico Bonds Complaint

    John Casimir: Puerto Rico Bonds Complaint
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 14, 2018 indicate that New Hampshire-based Citizens Securities broker/adviser John Casimir has received a pending customer…
  • Jun 14

    Thomas Belvin: Five Customer Complaints and One Pending Complaint

    Thomas Belvin: Five Customer Complaints and One Pending Complaint
    Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 13, 2018 indicate that Virginia-based Edward Jones broker/adviser Thomas Belvin has received several resolved or pending customer disputes.…
  • Jun 14

    Brian Hussey: One Customer Complaint and One FINRA Sanction

    Brian Hussey: One Customer Complaint and One FINRA Sanction
    Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 13, 2018 indicate that former Florida-based Ameriprise Financial Services broker/adviser Brian Hussey has been sanctioned by FINRA in…
Rank this Week: 37

Securities Law Prof Blog

Securities Law Prof Blog

Covers securities arbitration, state securities law, court decisions and law review articles. By Eric C. Chaffee.

http://lawprofessors.typepad.com/securities/
  • Jun 6

    Lazaro on Fiduciary Standard

    Lazaro on Fiduciary Standard
    Christine Lazaro has posted Defining 'Fiduciary': Differences in Fiduciary Standards within the Securities Industry on SSRN with the following abstract: Investment professionals are subject to varying standards of conduct when providing…
  • Jun 6

    Loewenstein on Materiality

    Loewenstein on Materiality
    Mark Loewenstein has posted Thinking Fast and Slow About the Concept of Materiality on SSRN with the following abstract: Determining whether, for securities law purposes, a misrepresentation or omission is material raises interesting…
  • Jun 6

    Solomon on Shareholder Voting

    Solomon on Shareholder Voting
    Dov Solomon has posted The Importance of Inferior Voting Rights in Dual-Class Firms on SSRN with the following abstract: Over the past several years, corporate law scholarship has carefully analyzed the effects of dual-class capital…
Rank this Week: 51

The Race to the Bottom

The Race to the Bottom

A faculty-student collaboration on corporate governance. By Professor J. Robert Brown, Jr.

http://www.theracetothebottom.org/
Rank this Week: 52

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Jun 15

    John Boatright: Suitability Complaint

    John Boatright: Suitability Complaint
    Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 14, 2018 indicate that Georgia-based Newbridge Securities Corporation broker John Boatright has received resolved or pending customer…
  • Jun 15

    Herbert Shiraishi: Variable Annuity Complaint

    Herbert Shiraishi: Variable Annuity Complaint
    Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 14, 2018 indicate that Hawaii-based Independent Financial Group broker/adviser Herbert Shiraishi has received pending customer disputes.…
  • Jun 14

    William Kastelz Recently Resigned from Northwestern Mutual While Under Review

    William Kastelz Recently Resigned from Northwestern Mutual While Under Review
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 13, 2018 indicate that former Florida-based Northwestern Mutual Investment Services broker William Kastelz, who has received…
Rank this Week: 65

The White Law Group's Securities…

The White Law Group's Securities Fraud Blog

Covers securities fraud cases, investment fraud practices and securities industry regulations.

http://www.whitesecuritieslaw.com/securities-fraud/blog/
  • Jun 17

    Viaspace Inc. – Investigating Potential Claim

    Viaspace Inc. – Investigating Potential Claim
    Securities Investigation – Viaspace Inc. Are you concerned about your investment in Viaspace, Inc? If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA Arbitration claim against the brokerage…
  • Jun 15

    Oncolytics Biotech Inc. – Investigating Potential Claim

    Oncolytics Biotech Inc. – Investigating Potential Claim
    Securities Investigation- Oncolytics Biotech Inc. Are you concerned about your investment in Oncolytics Biotech Inc.? If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA Arbitration claim against…
  • Jun 15

    Merrill Lynch, Pierce, Fenner & Smith Inc. to pay $15 Million

    Merrill Lynch, Pierce, Fenner & Smith Inc. to pay $15 Million
    SEC Charges Merrill Lynch Failure to Supervise According to a press announcement on Monday, the Securities and Exchange Commission announced that Merrill Lynch, Pierce, Fenner & Smith Inc. will pay more than $15 million to settle charges…
Rank this Week: 71

Stock Attorneys Blog

Stock Attorneys Blog

Covers FINRA arbitration, securities litigation, and stockbroker misconduct. By Blum Law Group.

http://www.stockattorneysblog.com/
  • Jun 7

    LaMarre Fined and Suspended for Unsuitable Recommendation

    LaMarre Fined and Suspended for Unsuitable Recommendation
    (FINRA Case #2015046052701)  Jodie Ann LaMarre (CRD #2127928, Sarasota, Florida)– An AWC (Accept, Waiver & Consent) was issued in which LaMarre was assessed a deferred fine of $10,000 and suspended from association with any…
  • May 25

    Degner Fined and Suspended by FINRA

    Degner Fined and Suspended by FINRA
    (FINRA Case #2015045703002)  Mark Brian Degner (CRD #2364726, Shady Cove, Oregon) – An AWC (Accept, Waiver & Consent) was issued in which Degner was fined $7,500 and suspended from association with any FINRA member in all…
  • May 17

    Lawrence J. Fawcett Jr. Fined and Suspended by FINRA

    Lawrence J. Fawcett Jr. Fined and Suspended by FINRA
    (FINRA Case #2015043939101) Lawrence John Fawcett Jr. (CRD #5851474, Dix Hills, New York) – An AWC (Accept, Waiver & Consent) was issued in which Fawcett was fined $2,500, suspended from association with any FINRA member in all…
Rank this Week: 87

Securities Fraud Lawyer Blog

Securities Fraud Lawyer Blog

Covers securities law. By The Law Office of David Liebrader, Inc.

https://www.securitiesfraudlawyerblog.net/
  • Feb 15

    Sheaff Brock Option Trading Investigation

    Sheaff Brock Option Trading Investigation
    Sheaff Brock Put Option Income Strategy Caused Losses The securities attorneys at The Law Office of David Liebrader have opened an investigation into the securities related conduct of Sheaff Brock a registered investment advisor that offered…
  • Feb 15

    Peter Lewis Morgan Stanley Broker Pending Investigation

    Peter Lewis Morgan Stanley Broker Pending Investigation
    Peter Lewis Morgan Stanley broker TSLA option trading investigation The securities attorneys at The Law Office of David Liebrader have opened an investigation into the securities related conduct of Peter Lewis a registered representative…
  • Jan 18

    Allegis Investment Advisors Hit With $900k Arbitration Award

    Allegis Investment Advisors Hit With $900k Arbitration Award
    Allegis Investment Advisors ordered to pay investors $911,000. On January 8, 2018 an American Arbitration Association panel issued a $911,000 binding arbitration award to clients of the Law Office of David Liebrader.  The award stems…
Rank this Week: 105

California Securities Fraud Lawyer…

California Securities Fraud Lawyer Blog

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

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

    Justice for Small Investors Using FINRA’s Simplified Arbitration Proce

    Justice for Small Investors Using FINRA’s Simplified Arbitration Proce
    I get just as excited about a $15,000 win by the University of San Francisco School of Law’s Investor Justice Clinic (“IJC”) as I do by a six-figure recovery at my securities law firm. On October 30, 2017, an arbitrator with…
  • Oct 5

    October is FINRA Mediation Settlement Month

    October is FINRA Mediation Settlement Month
    During Mediation Settlement Month, FINRA is reducing their standard mediation fees and costs in order to promote the benefits of mediation. As a longtime securities arbitration lawyer, I am a big supporter of mediation to resolve FINRA…
  • Aug 3

    Securities Whistleblower Awarded More Than $1.7 Million by SEC

    Securities Whistleblower Awarded More Than $1.7 Million by SEC
    A company insider was recently awarded more than $1.7 million by the Securities and Exchange Commission pursuant to the SEC’s securities fraud whistleblower program.  Whistleblowers who provide the SEC with original and credible…
Rank this Week: 93

Stock Broker Fraud Blog

Stock Broker Fraud Blog

Covers broker fraud, investor fraud, marketing timing, and securities fraud. By Shepherd Smith Edwards & Kantas.

http://www.stockbrokerfraudblog.com/
Rank this Week: 123

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana Weinstein LLP.

http://www.securitieslawyersblog.com/
  • Jun 16

    Ameriprise Financial Advisor Anthony Salerno Alleged to Have Recommended Unsuitable Securitie

    Ameriprise Financial Advisor Anthony Salerno Alleged to Have Recommended Unsuitable Securitie
    According to BrokerCheck records financial advisor Anthony Salerno (Salerno), employed by Ameriprise Financial Services, Inc. (Ameriprise), has been subject to three customer complaints.  According to records kept by The Financial…
  • Jun 16

    Alvery Bartlett Subject to Multiple Customer Complaints Over Alternative Investment

    Alvery Bartlett Subject to Multiple Customer Complaints Over Alternative Investment
    Current Arete Wealth Management, LLC (Arete Wealth) broker Alvery Bartlett (Bartlett) has been subject to three customer complaints.  According to a BrokerCheck report many of the complaints concern alternative investments, private…
  • Jun 15

    FINRA Suspends Brad Lawing for Unsuitable Investment Recommendation

    FINRA Suspends Brad Lawing for Unsuitable Investment Recommendation
    The investment lawyers of Gana Weinstein LLP are investigating the regulatory action brought by the Financial Industry Regulatory Authority (FINRA) against Brad Lawing (Lawing).  According to BrokerCheck records, Lawing has…
Rank this Week: 153

Financial Counsel

Financial Counsel

Covers compliance, employment and industry intelligence for investment professionals and investment, planning and regulatory intelligence for investors. By James J. Eccleston.

http://financialcounselblog.com
  • Jun 23

    Destructive Impact of Fund Fee

    Destructive Impact of Fund Fee
    A retiree living off her portfolio may lose hundreds of dollars a year in income for each added basis point of fund expense ratio — or adviser fee. BY CRAIG L. ISRAELSENFEES DIRECTLY REDUCE PORTFOLIO RETURNS … AND that comes…
  • Apr 7

    Customer Sues Merrill Lynch for Fraud in Connection with Its Use of Funds in a Reserve Account

    Customer Sues Merrill Lynch for Fraud in Connection with Its Use of Funds in a Reserve Account
    From the Desk of Jim Eccleston at Eccleston Law LLC: A former customer of Merrill Lynch has sued the firm in California civil court for engaging in fraud. According to the lawsuit, Merrill Lynch misused the customer’s cash that…
  • Apr 5

    New Recommendations by the FINRA Dispute Resolution Task Force (15th Article)

    New Recommendations by the FINRA Dispute Resolution Task Force (15th Article)
    From the Desk of Jim Eccleston at Eccleston Law LLC:This is the fifteenth in a series of posts to discuss the 51 recommendations that the FINRA Dispute Resolution Task Force (Task Force) has made to the National Arbitration and Mediation…
Rank this Week: 141

Page Perry LLC Blog

Page Perry LLC Blog

Covers securities broker abuses, early retirement scams, elder abuses, subprime mortages, collateralized debt obligations, and annuities.

http://www.pageperry.com/blog/
  • Jul 16

    CYNK Latest Wall Street Trap?

    CYNK Latest Wall Street Trap?
    Cynk is a social network company that has no revenue, no assets, and no profits. Until last week, it was the hottest stock on Wall Street, according to a Business Insider report by Hunter Walker and Julia La Roche (July 14, 2014).  Its…
  • Jul 14

    Former LPL Broker Jason Parker Leaves Trail Of Complaint

    Former LPL Broker Jason Parker Leaves Trail Of Complaint
    By law, a broker has to recommend suitable investments. To be considered suitable, an investment should align with the client’s investment objectives. Dumping all client funds into a single foreign stock, despite the client’s low…
  • Jun 13

    Pension Advisers Fall Under Scrutiny

    Pension Advisers Fall Under Scrutiny
    The problem of conflicts of interest for pension advisers attracted Congressional attention, according to a Wall Street Journal article by Dan Fitzpatrick  (June 9, 2014).  U.S. Representative George Miller (D., Calif.) has written…
Rank this Week: 185

About Broker Fraud Blog

About Broker Fraud Blog

Covers compliance rules, duty of disclosure, elder abuse and fraud. By the Hayes Law Firm.

http://aboutbrokerfraud.typepad.com/about_broker_fraud_blog/
  • Dec 6

    SEC Freeze Assets in Alleged Diamond-Themed Ponzi Scheme

    SEC Freeze Assets in Alleged Diamond-Themed Ponzi Scheme
    The SEC alleges that Richard Dalton and Universal Consulting Resources LLC (UCR) raised approximately $17 million from investors for two fraudulent offerings. The programs were generally referred to as the “Trading Program” and the…
  • Sep 28

    Arbitrators Award Ten Times Amount of Investment in Auction Rate Securities Case

    Arbitrators Award Ten Times Amount of Investment in Auction Rate Securities Case
    Last month an arbitration panel ordered the investment firm USB financial to pay over $80 million in consequential investments to Kajeet, Inc., a company who markets cellphones for kids. Kajeet’s award fell short of the $110 million…
  • Aug 30

    Raymond James Must Buy Back Auction Rate Securitie

    Raymond James Must Buy Back Auction Rate Securitie
    A Texas couple got some great news last week from the FINRA arbitration panel that ruled on their claim. The panel ruled that the Raymond James Financial Inc. and broker Larry Milton must buy back some $925,000 worth of auction…
Rank this Week: 184

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 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…
  • Jun 15

    Securities Industry Commentator by Bill Singer Esq

    Securities Industry Commentator by Bill Singer Esq
    New York A.G. Underwood Leads $100 Million 42-State Settlement With Citibank For Manipulating Interest Rate Benchmarks / To Date, State AGs Have Recovered $420 Million from USD LIBOR-Setting Panel Banks for Misconduct (NYAG Press…
  • Jun 15

    arb expunge interesting lie

    arb expunge interesting lie
    AwardFINRA Office of Dispute ResolutionIn the Matter of the Arbitration Between:Claimant Case Number: 17-03288, June 13, 2018Eric Todd HarrisVS.Respondent Hearing Site: Tampa, FloridaMSI Financial Services, Inc.Nature of the Dispute:…
Rank this Week: 263

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: 304

Investor Lawyers Blog

Investor Lawyers Blog

Covers securities law. By Law Office of Christopher J. Gray, P.C.

https://www.investorlawyers.net/blog/
Rank this Week: 290

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: 257

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: 292

Institutional Investor Securities…

Institutional Investor Securities Blog

Covers investment fraud involving auction-rate securities, credit rating agencies, hedge funds and mortgage-backed securities. By Shepherd Smith Edwards & Kantas.

http://www.institutionalinvestorsecuritiesblog.com/
Rank this Week: 244

Wall Street Investment Fraud…

Wall Street Investment Fraud Lawyer Blog

Covers Ponzi schemes, investment fraud, and other scams. By The Doss Firm.

http://www.wallstreetinvestmentfraudlawyer.com/
Rank this Week: 294

Cady Bar the Door

Cady Bar the Door

Provides insight and commentary on SEC enforcement actions. By Brooks Pierce.

http://www.brookspierce.com/news-insights/our-blogs/cady-bar-door
  • Oct 31

    The Insider Trading Cartoon Series, Vol. 17 -- Regulation FD (Part 1)

    The Insider Trading Cartoon Series, Vol. 17 -- Regulation FD (Part 1)
    Cady Bar the DoorIf you're an officer of a publicly traded company, you might want to discuss your company's material, nonpublic information with outsiders from time to time.  But if you do, be very careful, or you might get caught…
  • Feb 2

    The Insider Trading Cartoon Series, Vol. 16 -- Salman v. United State

    The Insider Trading Cartoon Series, Vol. 16 -- Salman v. United State
    Cady Bar the DoorSalman v. United States , 137 S. Ct. 420 (2016), was one of the most anticipated Supreme Court insider trading cases in almost twenty years. It ended up not being revolutionary, but in reaffirming Dirks v. SEC on the contours…
  • Jan 25

    The Insider Trading Cartoon Series, Vol. 15 -- United States v. Newman (Part 2)

    The Insider Trading Cartoon Series, Vol. 15 -- United States v. Newman (Part 2)
    Cady Bar the DoorWelcome to the exciting conclusion to the United States v. Newman mini-series. Today we discuss Newman 's doomed personal benefit test. It would eventually be undone by Salman v. United States , but it's still helpful in…
Rank this Week: 259

Recover Investment Losses Blog

Recover Investment Losses Blog

Covers investment scams, broker fraud and broker negligence. By Rex Securities Law.

http://blog.rexsecuritieslaw.com
Rank this Week: 321

The D & O Diary

The D & O Diary

News and commentary on Directors and Officers Liability. By Kevin M. LaCroix.

http://www.dandodiary.com/
  • Jun 17

    A Q&A on Wage & Hour Insurance

    A Q&A on Wage & Hour Insurance
    My recent post about wage and hour exposure and insurance triggered an email exchange with one of the blog’s readers, Machua Millett, who is the Chief Innovation Officer for the financial and professional unit (FINPRO) at Marsh.…
  • Jun 13

    Is a Digital Coin that Functions as a Medium of Exchange a “Security”?

    Is a Digital Coin that Functions as a Medium of Exchange a “Security”?
    One of the cutting-edge legal issues – one that is raised in a number of pending securities class action lawsuits – is the question of whether cryptocurrencies are “securities” and therefore required to be registered…
  • Jun 12

    Litigants Have to Disclose Insurance, Does That Mean Litigation Financing Should be Disclosed, Too?

    Litigants Have to Disclose Insurance, Does That Mean Litigation Financing Should be Disclosed, Too?
    One of the hot topics in the litigation arena these day is the question of whether or not litigants should be obliged to disclose their litigation funding arrangements to opposing parties. Indeed, as discussed here, last month three U.S.…
Rank this Week: 461

New York Securities Lawyers Blog

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

http://www.newyorksecuritieslawyersblog.com/
Rank this Week: 341

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • 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…
  • Jun 13

    SEC to publish ‘bedbug’ letters on EDGAR

    SEC to publish ‘bedbug’ letters on EDGAR
    By Mark S. Nelson, J.D. Halloween came early to the SEC as the Division of Corporation Finance announced that it has decided to deal publicly with a creepy-crawly issue of sorts by posting ‘bedbug’ letters on EDGAR. Letters the…
Rank this Week: 411

Securities Arbitration Lawyers…

Securities Arbitration Lawyers Blog

Covers securities law. By Silver Law Group.

https://www.silverlaw.com/blog/
Rank this Week: 480

Investment Fraud Information

Investment Fraud Information

By Andrew Stoltmann.

http://www.investmentfraudtimes.com/securities-fraud-attorneys/
  • Jun 13

    FINRA Bars Former MML Investors Services Broker Brian Traver

    FINRA Bars Former MML Investors Services Broker Brian Traver
    The Financial Industry Regulatory Authority (FINRA) recently barred former MML Investors Services broker Brian Travers from the industry. Mr. Travers was alleged to have engaged in private securities transactions, and FINRA was investigating…
  • Jun 13

    Former Royal Alliance Broker Kimberly Kitts May Have Misappropriated $2 Million in Client Fund

    Former Royal Alliance Broker Kimberly Kitts May Have Misappropriated $2 Million in Client Fund
    Stoltmann Law Offices is investigating Kimberly Kitts, a former Royal Alliance broker who was terminated from the firm concerning allegations that she misappropriated client funds. Royal Alliance stated that it received notice from one of her…
  • Jun 12

    Investor Update: Former Broker Matthew Eckstein Arrested

    Investor Update: Former Broker Matthew Eckstein Arrested
    Stoltmann Law Offices has learned that former Sisk Investment Services broker Matthew Eckstein was arrested on June 7th, 2018 by Nassau County, New York. Mr. Eckstein, along with another broker, Kevin Brody, were involved with Conmac Funding…
Rank this Week: 344

Corporate Securities Law Blog

Corporate Securities Law Blog

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

http://www.corporatesecuritieslawblog.com/
Rank this Week: 324

New York Securities Lawyer Blog

New York Securities Lawyer Blog

Covers securities law. By Lax & Neville LLP.

http://www.newyorksecuritieslawyerblog.com/
  • Jun 10

    SEC Charges Steven Pagartanis with $8 Million Ponzi-Like Fraud

    SEC Charges Steven Pagartanis with $8 Million Ponzi-Like Fraud
    On May 30, 2018 the Securities and Exchange Commission (“SEC”) charged Steven Pagartanis (“Mr. Pagartanis”) with an $8 million fraud. Mr. Pagartanis was a registered representative of Lombard Securities Incorporated…
  • May 30

    Former Bear Stearns Manager Defrauds Cancer Patient and Others of $3 Million

    Former Bear Stearns Manager Defrauds Cancer Patient and Others of $3 Million
    Paul James Marshall (“Marshall”), a former Bear Stearns manager with over two decades in the wealth management industry, perpetrated a brazen fraud against clients through his registered investment advisory (“RIA”)…
  • Apr 20

    $1 Billion Settlement for Wells Fargo Related to Risk Management Claim

    $1 Billion Settlement for Wells Fargo Related to Risk Management Claim
    On Friday, April 20, 2018, regulators announced a $1 billion fine against Wells Fargo over claims of misconduct and poor oversight in the auto lending and mortgage lending channels of Wells Fargo’s business. This $1 billion settlement…
Rank this Week: 371

White Collar Alert

White Collar Alert

Provides news and insight to counsel and legal observers concerning white collar criminal defense, internal investigations, government litigation and regulatory compliance. By Montgomery McCracken.

http://whitecollarblog.mmwr.com
Rank this Week: 435

Subject to Inquiry

Subject to Inquiry

Looks at white collar, congressional, SEC, energy enforcement and other government inquiries. By McGuireWoods.

http://www.subjecttoinquiry.com/
  • May 29

    State Regulators Announce Cryptocurrency Crackdown

    State Regulators Announce Cryptocurrency Crackdown
    On May 21, the North American Securities Administrators Association (“NASAA”) announced a massive and coordinated series of enforcement actions by U.S. state and Canadian provincial regulators to combat fraudulent practices…
  • May 25

    Series of DOJ Enforcement Policy Announcements Provides Promising Guidance

    Series of DOJ Enforcement Policy Announcements Provides Promising Guidance
    In a series of key policy announcements between November 2017 and May 2018, the Department of Justice has demonstrated an increasingly coherent perspective on how it will handle key aspects of white collar criminal enforcement. The policies…
  • May 2

    No Changes to CFPB This Year

    No Changes to CFPB This Year
    In a statement on Thursday, April 26, a key House Republican on CFPB issues effectively admitted that despite his own efforts and those of the Trump Administration including Acting CFPB Director, Mick Mulvaney, Congress will almost certainly…
Rank this Week: 440

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: 373

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/
  • 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…
  • 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…
Rank this Week: 462

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: 351

Federal Securities Law Blog

Federal Securities Law Blog

FedSecLaw.com is devoted to highlighting current issues in securities laws, discussing the ramifications of those issues for today’s businesses, and providing bottom-line takeaways for busy owners, managers, and executives. By Porter Wright Morris & Arthur LLP.

http://www.fedseclaw.com/
  • Apr 11

    Virtual shareholder meetings: advantages, disadvantages and practical consideration

    Virtual shareholder meetings: advantages, disadvantages and practical consideration
    As spring approaches, so do annual shareholder meetings for many public companies. Traditionally, these meetings were held in-person. However, due to fairly recent advances in technology, companies now have the option to hold these meetings…
  • Mar 13

    How to avoid registration under the Investment Company Act of 1940

    How to avoid registration under the Investment Company Act of 1940
    One of the worse situations a company may face to be determined to be an investment company under the Investment Company Act of 1940, as amended (the act). If determined to be an investment company, the company is subject to the full…
  • Feb 7

    SEC seeks to regulate transactions utilizing cryptocurrencies under federal securities law

    SEC seeks to regulate transactions utilizing cryptocurrencies under federal securities law
    Any person who regularly monitors the U.S. financial markets has likely noticed the recent emergence of digital currency, also referred to as “cryptocurrency,” in recent months. For example, the price of bitcoin, the most widely…
Rank this Week: 467

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: 410

Representing Investors

Representing Investors

Covers securities arbitration, litigation and regulatory news. By Maddox Hargett & Caruso, P.C.

http://www.investorprotection.com/blog
  • Feb 13

    ProShares Short XIV Short-Term Futures ETF Drops Almost 90%

    ProShares Short XIV Short-Term Futures ETF Drops Almost 90%
    On Monday, February 5, 2018,  we watched one of the most volatile days in the history of the stock markets and its largest single day point drop. The ProShares Short XIV Short-Term Futures ETF (NYSE ARCA: SVXY), plunged by nearly 90% in…
  • Jan 25

    Greenwood Broker Robert Hayes Hoffman Banned for Life By the Securities Industry

    Greenwood Broker Robert Hayes Hoffman Banned for Life By the Securities Industry
    The Financial Industry Regulatory Authority (“FINRA”) recently banned Robert Hayes Hoffman from the securities industry for failing to cooperate with an investigation into a customer complaint against him while he was registered…
  • Jan 12

    Discount Brokerage Firms May Be Hazardous to Investors’ Financial Health

    Discount Brokerage Firms May Be Hazardous to Investors’ Financial Health
    A front page article in The Wall Street Journal on January 11, 2018 (“Advisers at Leading Discount Brokers Win Bonuses to Push Higher-Priced Products”) exposed the fact that Fidelity, Charles Schwab and TD Ameritrade employees win…
Rank this Week: 389

California Corporate & Securities…

California Corporate & Securities Law

Covers California securities law, corporate governance, mergers & acquisitions and securities litigation. By Keith Paul Bishop.

http://calcorporatelaw.com/
  • Dec 29

    The Form 8-Ks That The SEC May Have Overlooked

    The Form 8-Ks That The SEC May Have Overlooked
    As reported by Cydney Posner, Broc Romanek and undoubtedly many others, Corporation Finance staff issued a new Compliance and Disclosure Interpretation addressing whether a re-measurement of a deferred tax asset to incorporate the…
  • Dec 28

    Does Choice Of Law Include The Parol Evidence Rule?

    Does Choice Of Law Include The Parol Evidence Rule?
    On the antepenultimate day before Christmas, the California Court of Appeal issued an opinion that should be of interest and concern to lawyers documenting merger and acquisition agreements.  Kanno v. Marwit Capital, No. G052348, 2017…
  • Dec 22

    Nevada Supreme Court Won’t Allow Advisory Mandamus Escape Hatch

    Nevada Supreme Court Won’t Allow Advisory Mandamus Escape Hatch
    In Archon v. Eight Jud. Dist. Ct., 133 Nev. Adv. Op. 101 (2017), the Nevada Supreme Court provides a concise explanation of the uses of mandamus and administrative mandamus as escape hatches from the final judgment rule.  The…
Rank this Week: 316

Securities Arbitration Blog

Securities Arbitration Blog

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

https://securitiesarbitrations.com/category/news/
  • Dec 11

    Feds Catch Up With Wayne Ponzi Schemer

    Feds Catch Up With Wayne Ponzi Schemer
    On December 7, 2017, the United States Securities and Exchange Commission and the Department of Justice, through the United States Attorney for the Eastern District of Pennsylvania filed a civil action and a criminal indictment against Paul…
  • Nov 27

    Bad Investment Strategy Not Stock Fraud in Bankruptcy

    Bad Investment Strategy Not Stock Fraud in Bankruptcy
    In 2002, in the wake Worldcom and Enron the United States Congress among other things amended the United States Bankruptcy Code to provide that Bankruptcy Code does not discharge an individual debtor from any debt incurred in connection with…
  • Oct 11

    Elder Abuse Cases At FINRA, How Prevalent and How Successful?

    Elder Abuse Cases At FINRA, How Prevalent and How Successful?
    By: Dana N. Pescosolido We’ve all heard the warnings, for many years now. The population is aging, the baby-boomers are starting to retire, and as they age, the opportunities for exploitation by unscrupulous brokers will increase…
Rank this Week: 434

William Carleton, Counselor @ Law

William Carleton, Counselor @ Law

Covers legal and investment issues facing emerging tech companies.

http://www.wac6.com/wac6/
  • Mar 16

    Secondary Sales and An Investor Covenant You Don’t Want To Mi

    Secondary Sales and An Investor Covenant You Don’t Want To Mi
    Dear Readers: This is a post I co-wrote with Joe Wallin, who has published the almost identical post here. If you are investing in early stage companies, there are certain deal terms you want. Most you probably know already: if...
  • Mar 11

    A Gift from Congress to Angel

    A Gift from Congress to Angel
    The picture here was taken by Joe Wallin, who was on a panel with me, Gary Kocher of K&L Gates, Tom Alberg of Madrona Ventures, and Dan Rosen of the Alliance of Angels, talking to the Angel Capital Association's NW...
  • Mar 3

    Looking for Mr. 506(c)

    Looking for Mr. 506(c)
    "On a relative basis, issuances claiming the new Rule 506(c) exemption have accounted for only 2.1% of the reported capital raised pursuant to Rule 506 since becoming effective in September 2014." So reads a key finding of a report,…
Rank this Week: 470

BD Law Blog

BD Law Blog

Features news, updates and thoughts regarding broker-dealer and investment adviser regulation and legal and compliance issues. By the Beck Law Firm, LLC.

http://www.bdlawblog.com/
  • Feb 13

    We've Moved. Great Content Still - But at New Site!

    We've Moved. Great Content Still - But at New Site!
    Posts here at BDLawBlog.com have been infrequent of late. We've been working to roll out a new online presence for The Beck Law Firm, LLC, that incorporates our blog. After more than seven years here, and more than 500 posts,...
  • Jan 7

    SEC Affirms FINRA Sanctions for Broker Taking Client Info. to New Firm

    SEC Affirms FINRA Sanctions for Broker Taking Client Info. to New Firm
    On December 15, 2014, the SEC affirmed a FINRA disciplinary action finding that a broker violated Conduct Rule 2110 when that broker downloaded certain confidential and nonpublic customer information for more than 2000 clients of his former…
  • Dec 19

    Lessons learned from putting on "the Suit."

    Lessons learned from putting on "the Suit."
    Every now and then I use my blog to share with you things not necessarily related to the law, or to our practice areas of financial markets law, estate planning or business law. Today's one of those days, and I...
Rank this Week: 337

Perry Krumsiek & Jack Law Blog

Perry Krumsiek & Jack Law Blog

Covers business, health care, intellectual property and media law.

http://pkjlawblog.wordpress.com/
  • Feb 2

    Here’s One Government Program Worth HARPing On

    Here’s One Government Program Worth HARPing On
    If you are one of the hundreds of thousands of Americans permanently traumatized by the government’s highly lauded, but horribly executed, loan modification program, take heart.  I’m here to tell you that there’s another government…
  • Feb 2

    Here’s One Government Program Worth HARPing On

    Here’s One Government Program Worth HARPing On
    If you are one of the hundreds of thousands of Americans permanently traumatized by the government’s highly lauded, but horribly executed, loan modification program, take heart.  I’m here to tell you that there’s…
  • Oct 27

    The Lincoln Lawyer

    The Lincoln Lawyer
    Before Abraham Lincoln became our greatest president, he was a great corporate lawyer.  And before he was a corporate lawyer, he was a brilliant trial lawyer. In the 1840s, Lincoln represented a Revolutionary War widow who had been bilked…
Rank this Week: 357

Proxyland

Proxyland

Covers corporate governance.

http://proxyland.blogspot.com/
  • Mar 6

    One Blog Closes, Another Open

    One Blog Closes, Another Open
    Big news, dear readers.
  • Feb 17

    Stimulus Plan Attacks Executive Compensation: Stay Tuned

    Stimulus Plan Attacks Executive Compensation: Stay Tuned
    Everyone knows about the freaky fireball that plummeted through the Texas sky last weekend. In an unrelated development, a fireball suddenly appeared in the skies over Proxyland on Friday. That one, however, has been identified: it’s Title…
  • Feb 11

    Geithner's Financial Stability Plan, Or Whatever

    Geithner's Financial Stability Plan, Or Whatever
    C’mon now, everyone. Cheer up. At least Tim Geithner is easier on the eyes than Hank Paulson, whose face seemed to have the words “we’re all gonna die” written on it no matter what he was saying.
Rank this Week: 309

Corporate Law and Democracy

Corporate Law and Democracy

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

http://reneejones.wordpress.com/
  • Nov 18

    Whither State Securities Enforcement?

    Whither State Securities Enforcement?
    Susan Antilla of Bloomberg news published a recent column  revisiting the question of the continued viability of state securities regulators’ enforcement authority.  I spoke to Susan about my research  on the issue and I am quoted in…
  • Nov 18

    Whither State Securities Enforcement?

    Whither State Securities Enforcement?
    Susan Antilla of Bloomberg news published a recent column  revisiting the question of the continued viability of state securities regulators’ enforcement authority.  I spoke to Susan about my research  on the issue…
  • Sep 19

    Bailout-palooza

    Bailout-palooza
    The federal goverment’s proposal for a bailout of the financial industry sounded somewhat familiar to me.  I remembered that I had blogged about a similar proposal about a year ago on Conglomerate.
Rank this Week: 329

Regulation tomorrow

Regulation tomorrow

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

http://www.regulationtomorrow.com/
Rank this Week: 1007