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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: 54

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/
  • Jan 19

    CA Advisor Guillermo Valladolid Barred from Securities Industry

    CA Advisor Guillermo Valladolid Barred from Securities Industry
    Investigation involving Guillermo Valladolid According to the Financial Industry Regulatory Authority (FINRA), the regulator has permanently barred Guillermo Valladolid (CRD # 4553357, La Jolla, CA) from the Securities Industry. Without…
  • Jan 19

    Former NH Advisor Karen McKinley Indicted for Stealing from Elderly Client

    Former NH Advisor Karen McKinley Indicted for Stealing from Elderly Client
    Karen McKinley charged with 7 counts of theft by taking and 4 counts of financial exploitation According to a press release from the New Hampshire Attorney General, former financial advisor Karen A. McKinley, age 53, of Bedford, New Hampshire…
  • Jan 18

    Former LA Advisor Ralph W. Savoie Charged with Defrauding Client

    Former LA Advisor Ralph W. Savoie Charged with Defrauding Client
    FINRA Barred Ralph W. Savoie from the Securities Industry in 2015 Former financial advisor Ralph W. Savoie was charged December 22 with one count of wire fraud, according to acting U.S. Attorney Corey Amundson. Savoie, a resident of Baton…
Rank this Week: 65

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Jan 19

    Joseph Tyrell Has Been the Subject of a Pending Customer Complaint

    Joseph Tyrell Has Been the Subject of a Pending Customer Complaint
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 8, 2018 indicate that Connecticut-based Morgan Stanley broker/adviser Joseph Tyrell is involved in a pending customer dispute.…
  • Jan 19

    Clement Chichester Has Received a FINRA Sanction

    Clement Chichester Has Received a FINRA Sanction
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 8, 2018 indicate that former California-based Western International Securities broker/adviser Clement Chichester has been…
  • Jan 19

    Michael Blueweiss Was Terminated Following Allegations he Violated Firm Policy

    Michael Blueweiss Was Terminated Following Allegations he Violated Firm Policy
    Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 8, 2018 indicate that New York-based National Securities Corporation broker Michael Blueweiss, who has been involved in a customer…
Rank this Week: 61

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Jan 17

    Broker Keith Michelfelder’s FINRA Registration is Revoked

    Broker Keith Michelfelder’s FINRA Registration is Revoked
    The securities attorneys at Gana LLP are interested in hearing from investors who lost money due to the mishandling of their accounts by broker Keith Michelfelder (Michelfelder). According to BrokerCheck records, in August 2017, FINRA…
  • Jan 17

    Brian Royster Barred For Borrowing Client Fund

    Brian Royster Barred For Borrowing Client Fund
    According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Brian Royster (Royster), formerly associated with HD Vest Investment Services (HD Vest), in November 2017, was barred from the financial…
  • Jan 17

    FINRA Suspends Broker Luigi Mancusi

    FINRA Suspends Broker Luigi Mancusi
    The investment lawyers at Gana LLP are investigating the regulatory action brought by the Financial Industry Regulatory Authority (FINRA) against Luigi Mancusi (Mancusi). According to BrokerCheck records, Mancusi allegedly “exercised…
Rank this Week: 71

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: 138

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/
  • Jan 11

    Turk on Securitization

    Turk on Securitization
    Matthew C. Turk has posted Securitization Reform After the Crisis: Regulation by Rulemaking or Regulation by Settlement? on SSRN with the following abstract: This article examines the regulatory framework for securitization that has been…
  • Dec 30

    New Securities Law Articles in Print

    New Securities Law Articles in Print
    The following law review articles relating to securities regulation are now available in paper format: Jeffrey M. Colon, The Great ETF Tax Swindle: The Taxation of In-Kind Redemptions, 122 Penn St. L. Rev. 1 (2017). Lucille Gauthier, Comment,…
  • Dec 19

    New Securities Law Articles in Print

    New Securities Law Articles in Print
    The following law review articles relating to securities regulation are now available in paper format: Mark Hayden Adams, Note, Insider Trading Law That Works: Using Newman and Salman to Update Dirks's Personal Benefit Standard, 49 Loy. L.…
Rank this Week: 158

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: 205

Sharesleuth.com

Sharesleuth.com

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

http://sharesleuth.com/
Rank this Week: 250

Investment Fraud Information

Investment Fraud Information

By Andrew Stoltmann.

http://www.investmentfraudtimes.com/securities-fraud-attorneys/
  • Jan 18

    Did you have a long-term care policy that lapsed?

    Did you have a long-term care policy that lapsed?
    If you were recommended a long term care insurance policy by your financial advisor, and that policy has lapsed, you might be able to recover the premiums paid against the brokerage firm who recommended it. Many brokers recommended long-term…
  • Jan 18

    Hancock Investment Services Censured and Fined $100,000

    Hancock Investment Services Censured and Fined $100,000
    According to a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), Hancock Investment Services was censured and fined $100,000. The firm allegedly failed to preserve business-related emails…
  • Jan 16

    How To File A Complaint for Behavioral Recognition Systems Losse

    How To File A Complaint for Behavioral Recognition Systems Losse
    Did your broker recommend to you Behavioral Recognition Systems (BRS) investments? If so, the attorneys at Stoltmann Law Offices are interested in speaking to you about those losses. BRS was a software development company previously known as…
Rank this Week: 335

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: 275

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: 265

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: 300

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Jan 19

    If the SEC Shuts Down? Plan for Registration Statement Acceleration Beforehand?

    If the SEC Shuts Down? Plan for Registration Statement Acceleration Beforehand?
    Congress is scrambling to avoid a government shutdown by the end of today – but the SEC’s contingency plans appear to be already in place. The SEC posted its “operations plan” for a government…
  • Jan 18

    BlackRock: Serve the Greater Good – Or Else. . .

    BlackRock: Serve the Greater Good – Or Else. . .
    Earlier this week, BlackRock’s CEO Larry Fink sent his “annual letter to CEOs” of companies in BlackRock’s portfolio. This one’s pretty extraordinary – it makes it clear that as far as…
  • Jan 17

    Just Launched! Our New “In-House Accelerator”!

    Just Launched! Our New “In-House Accelerator”!
    If you’re relatively new to being in-house – or you want to gain that perspective – take advantage of our new “In-House Accelerator“! This online – and offline – training program is free for members…
Rank this Week: 456

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: 522

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • Jan 18

    New Tax Bill Bans Tax Deductibility of Confidential Sexual Misconduct Claims Settlement

    New Tax Bill Bans Tax Deductibility of Confidential Sexual Misconduct Claims Settlement
    At the start of the New Year, it has been interesting finding out more about the massive tax legislation that Congress enacted in December. It has been interesting to see the various impacts that the legislation is having on a variety of…
  • Jan 16

    Guest Post: From Corwin to Dell: Implications for Investors and Corporate Acquirer

    Guest Post: From Corwin to Dell: Implications for Investors and Corporate Acquirer
    As discussed in a guest post on this site last week (here), on December 14, 2018 the Delaware Supreme Court published its opinion in Dell, Inc. v. Magnetar Global Event Driven Master Fund Ltd. (here). In the following guest post, Mark…
  • Jan 15

    The Latest on Third-Party Litigation Financing

    The Latest on Third-Party Litigation Financing
    As I have previously noted (most recently here), third-party litigation financing is an increasingly important part of the litigation scene in the U.S. and around the world. In a series of articles in December, Law 360 took a comprehensive…
Rank this Week: 506

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
  • 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…
  • Jan 11

    Rollover of Brokerage Accounts to Fee Based Advisory Account

    Rollover of Brokerage Accounts to Fee Based Advisory Account
    The Financial Industry Regulatory Authority (FINRA) is cracking down on the rollover of retirement accounts and other brokerage accounts to fee-based advisory accounts. FINRA examiners are likely to ask more questions this year about the…
  • Jan 10

    Securities-Backed Loans and Lines of Credit

    Securities-Backed Loans and Lines of Credit
    The Financial Industry Regulatory Authority (FINRA) is cracking down on the sales of securities-backed loans to investors. FINRA examiners are likely to ask more questions this year about sales to retail investors of securities-backed loans.…
Rank this Week: 389

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/
  • Dec 8

    Boilerplate provisions in a contract

    Boilerplate provisions in a contract
    The term “boilerplate” refers to standardized language in a contract that usually appears at the end of the agreement (often in a section titled “miscellaneous” or “general terms”). While boilerplate…
  • Nov 15

    Methods to minimize indemnification obligation

    Methods to minimize indemnification obligation
    Because most indemnification claims are made by a buyer, the seller seeks to limit its indemnification obligations. Some ways in which the indemnification obligations can be limited include: Materiality of breach or claim amount Caps on…
  • Oct 12

    Litigation provisions v. arbitration provisions in business contract

    Litigation provisions v. arbitration provisions in business contract
    Arbitration is an increasingly popular method of resolving disputes, but drafters of business contracts need to be aware that arbitration may not be suitable for every dispute. The question of whether or not to arbitrate often comes down to…
Rank this Week: 407

Business Law Post

Business Law Post

Covers corporate law, securities law, intellectual property, and social entrepreneurship. By Arina Shulga.

http://www.businesslawpost.com
  • Oct 21

    Blockchain: Recordkeeping in the 21st Century

    Blockchain: Recordkeeping in the 21st Century
    Since our last post on cryptocurrency, the price of Bitcoin has risen nearly $1,500. This rapid rise in the value of cryptocurrency is representative of the extreme volatility that has given many investors pause. While cryptocurrency still…
  • Oct 11

    Are Real Estate Syndications Available to Non-Accredited Investors (NY perspective)?

    Are Real Estate Syndications Available to Non-Accredited Investors (NY perspective)?
    A real estate syndication, although a fancy term, simply means pulling money and expertise together to invest in real estate properties.  It often so happens that some people possess the wealth of knowledge about the real estate market…
  • Oct 2

    Cryptocurrency: the Origin and Growth of Coinopoly

    Cryptocurrency: the Origin and Growth of Coinopoly
    Mired in the aftermath of the U.S. financial crisis, the year 2009 may have started one of the largest financial revolutions since the birth of paper currency in 1690. Much like its predecessors, cryptocurrency faces an uphill battle of…
Rank this Week: 437

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: 956

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Jan 19

    Boeing is unsuccessful in attempts to omit ‘lap dog’ references from shareholder proposal

    Boeing is unsuccessful in attempts to omit ‘lap dog’ references from shareholder proposal
    By Jacquelyn LumbBoeing Company was unable to convince the Division of Corporation Finance that it could omit portions of three separate shareholder proposals from its proxy materials—one seeking a requirement that the chairman be an…
  • Jan 18

    Pennsylvania adopts new securities rule

    Pennsylvania adopts new securities rule
    By Jay Fishman, J.D.The Department of Banking and Securities has amended its securities rules in their entirety, primarily to non-substantively re-write the rules in more plain English for better clarity, to replace outdated references to…
  • Jan 17

    Valeant defendants remain in price-gouging hot seat

    Valeant defendants remain in price-gouging hot seat
    By Anne Sherry, J.D.A private lawsuit filed by funds that invested in Valeant Pharmaceuticals overcame 20 motions to dismiss filed by Valeant and individual defendants. The District of New Jersey, in an unpublished opinion, held that the…
Rank this Week: 644

Securities Law Attorneys Blog

Securities Law Attorneys Blog

Covers securities law. By Fitapelli | Kurta.

http://www.securitieslawattorneys.net/
  • Jan 19

    Lindsey Riley Received a Complaint for Charging Excessive Commission

    Lindsey Riley Received a Complaint for Charging Excessive Commission
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 8, 2018 indicate that former California-based First Allied Securities broker/adviser Lindsey Riley has received resolved or…
  • Jan 19

    Joseph Olexa Allegedly Executed Transactions Involving Corporate Bond

    Joseph Olexa Allegedly Executed Transactions Involving Corporate Bond
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 8, 2018 indicate that Indiana-based Morgan Stanley broker/adviser Joseph Olexa has received a customer dispute that was…
  • Jan 19

    Customer Alleged Drew Wiener Churned Investments and Misused Margin

    Customer Alleged Drew Wiener Churned Investments and Misused Margin
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 8, 2018 indicate that New York-based SW Financial broker/adviser Drew Wiener has received resolved or pending customer…
Rank this Week: 1006

Securities Law Blog

Securities Law Blog

Covers securities law. By Fitapelli | Kurta.

https://www.securities-law-attorney.com/
  • Jan 17

    Peter Holler Was Terminated From his Former Employer Following Alleged Rule Violation

    Peter Holler Was Terminated From his Former Employer Following Alleged Rule Violation
    Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 16, 2018 indicate that former Tennessee-based Securities Service Network broker/adviser Peter Holler was recently discharged from his…
  • Jan 17

    Customer Alleged Richard Mercado Did Not Diversify His Portfolio Resulting in Losse

    Customer Alleged Richard Mercado Did Not Diversify His Portfolio Resulting in Losse
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 16, 2018 indicate that Maryland-based Summit Brokerage Services broker/adviser Richard Mercado has received several resolved or…
  • Jan 17

    Richard Juracka Has Been the Subject of a Customer Complaint

    Richard Juracka Has Been the Subject of a Customer Complaint
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 16, 2018 indicate that New York-based Morgan Stanley broker/adviser Richard Juracka has received a pending customer dispute.…
Rank this Week: 800

Securities Arbitration Lawyers…

Securities Arbitration Lawyers Blog

Covers securities law. By Silver Law Group.

https://www.silverlaw.com/blog/
Rank this Week: 881

Governance & Compliance Insider

Governance & Compliance Insider

Tracks the latest developments, trends and best practices in compliance, corporate governance, and disclosure. By Dorsey & Whitney LLP’s Corporate Governance & Compliance Practice Group.

http://governancecomplianceinsider.com
  • Jan 9

    SEC Staff provides Guidance for Public Companies on Tax Cuts and Jobs Act

    SEC Staff provides Guidance for Public Companies on Tax Cuts and Jobs Act
    On December 22, 2017, the Securities and Exchange Commission announced publication of staff guidance for issuers, auditors, and others to ensure timely public disclosures of the accounting impacts of the Tax Cuts and Jobs Act (the…
  • Jan 2

    Discretionary Equity Awards to Directors Subject to “Entire Fairness” Standard of Review

    Discretionary Equity Awards to Directors Subject to “Entire Fairness” Standard of Review
    Human nature being what it is, the law, in its wisdom, does not presume that directors will be competent judges of the fair treatment of their company where fairness must be at their own personal expense.[1] According to the Delaware Supreme…
  • Dec 4

    Upcoming CLE Seminar: Preparing for the 2018 Proxy Season

    Upcoming CLE Seminar: Preparing for the 2018 Proxy Season
    On Tuesday, December 12, Dorsey will present our annual review of developments and disclosure requirements for the upcoming proxy season, including practical advice on how to prepare your proxy statement and annual report in 2018. Click here…
Rank this Week: 874

New York Securities Lawyers Blog

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

http://www.newyorksecuritieslawyersblog.com/
  • Jan 5

    My Brokerage Firm Put Me on Administrative Leave; Am I Going to be Fired? What do I do?

    My Brokerage Firm Put Me on Administrative Leave; Am I Going to be Fired? What do I do?
    When you are placed on administrative leave, it can seem like the world is collapsing around you.  It might be, but how you respond and hiring counsel could change the outcome.  Before making any rash decisions, it is important to…
  • Nov 2

    Huge Win for Investors and Malecki Law Against Morgan Stanley

    Huge Win for Investors and Malecki Law Against Morgan Stanley
    Yesterday, a Financial Industry Regulatory Authority (FINRA) arbitration panel in Boca Raton, Florida awarded Malecki Law attorneys $397,823.00 for principal investment losses against Morgan Stanley & Co., LLC.  Malecki Law brought…
  • Sep 7

    Did Seadrill Leave a Hole in Your Investment Portfolio?

    Did Seadrill Leave a Hole in Your Investment Portfolio?
    It seems like every day there is a new “hot stock” being pushed by financial pundits and brokerage houses alike.  Seadrill Limited (ticker symbol, SDRL) was once one of these hot stocks, but it has since fallen from grace,…
Rank this Week: 1052

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: 657

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

http://www.hedgefundlawblog.com
  • Dec 24

    Simple Agreement for Future Tokens (SAFT)

    Simple Agreement for Future Tokens (SAFT)
    SAFT Background for Cryptocurrency Funds As we discussed in a recent post, the SEC Report on the DAO, issued in July of this year, discussed how the SEC views Initial Coin Offerings (ICOs). One key takeaway from this report was that some…
  • Dec 15

    Cole Frieman & Mallon 2018 End of Year Update

    Cole Frieman & Mallon 2018 End of Year Update
    Below is our quarterly newsletter. If you would like to be added to our distribution list, please contact us. **** December 15, 2017 Clients, Friends, Associates: Holiday celebrations bring welcomed joy and excitement to the busiest time of…
  • Oct 27

    Cole-Frieman & Mallon 2017 Third Quarter Update

    Cole-Frieman & Mallon 2017 Third Quarter Update
    Below is our quarterly update that has distributed clients and friends.  Please call us at 415-352-2300 if you would like to be added to our distribution list. **** October 26, 2017 Clients, Friends, Associates: This summer saw many…
Rank this Week: 572

Stock Market Loss

Stock Market Loss

Covers misconduct by brokerage firms or financial advisors. By Hermann, Cahn & Schneider, LLP.

http://www.stockmarketloss.com/news/
  • Oct 25

    Cleveland Investment Fraud Lawyers With Nationwide Practice Still Help Clean Up Their Own Backyard

    Cleveland Investment Fraud Lawyers With Nationwide Practice Still Help Clean Up Their Own Backyard
    There was a time when virtually 100% of our clients were from our home town and state of Cleveland, Ohio. If a brokerage firm customer was victimized in Cleveland or its environs by a sleazy or careless stockbroker, chances are we would be…
  • Oct 21

    Christopher Thomas Tolmacs Liable for Negligence in $1.2 Million Case

    Christopher Thomas Tolmacs Liable for Negligence in $1.2 Million Case
    Stockbroker Christopher Tolmacs was found liable in FINRA arbitration for breach of fiduciary duty, gross negligence, willful wanton misconduct, conversion of funds, securities fraud and violation of the SEC Act of 1934. He was most recently…
  • Oct 20

    Stockbroker Mark S. Perry Barred for Unsuitable Trading

    Stockbroker Mark S. Perry Barred for Unsuitable Trading
    FINRA has suspended Mount Pleasant, S.C. stockbroker Mark S. Perry from associating with any brokerage firm in any capacity for a period of eighteen months. Perry was most recently employed by Independent Financial Group. Before that, he was…
Rank this Week: 908

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
  • Aug 1

    Will the Rise of the Cell Phone Mean the Death of the Third-Party Doctrine?

    Will the Rise of the Cell Phone Mean the Death of the Third-Party Doctrine?
    This guest post was authored by Molly Dolinger, a summer associate with Montgomery McCracken. There are currently more cell phones in the U.S. than there are people. Given the increasingly mobile-dependent state of our society, it should…
  • Jul 28

    SCOTUS to Clarify Protections for Securities Fraud Whistleblower

    SCOTUS to Clarify Protections for Securities Fraud Whistleblower
    This guest post was authored by Bianca Valcarce, a summer associate with Montgomery McCracken. The Supreme Court of the United States has agreed to review the Ninth Circuit’s decision in Digital Realty Trust, Inc. v. Somers and…
  • Jul 20

    Fifth Amendment Concerns Result in Overturned Convictions in First Criminal LIBOR Appeal

    Fifth Amendment Concerns Result in Overturned Convictions in First Criminal LIBOR Appeal
    The Second Circuit yesterday became the first court of appeals to address a criminal appeal regarding the government’s investigation into the manipulation of the London Interbank Offered Rate (“LIBOR”). Its decision in…
Rank this Week: 669

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: 950

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: 610

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
  • Jan 19

    Securities Industry Commentator by Bill Singer Esq

    Securities Industry Commentator by Bill Singer Esq
    CFTC Charges Colorado Resident Dillon Michael Dean and His Company, The Entrepreneurs Headquarters Limited, with Engaging in a Bitcoin and Binary Options Fraud Scheme (CFTC Press…
  • Jan 19

    Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

    Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW
    Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer. http://www.rrbdlaw.com/3780/securities-industry-commentator/ In today’s Securities Industry…
  • Jan 19

    BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW

    BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
    UBS Complex Director Wins Margin Call Battle (BrokeAndBroker.com Blog) http://www.brokeandbroker.com/3779/finra-expungement-margin/The Financial Industry Regulatory Authority recently warned that margin debt has risen sharply in recent…
Rank this Week: 3453

DealLawyers.com Blog

DealLawyers.com Blog

Covers mergers & acquisitions. From editor Broc Romanek, who is also editor of TheCorporateCounsel.net.

http://www.deallawyers.com/Blog/
  • Jan 19

    Change-in-Control: What Does “Voting Power” Mean?

    Change-in-Control: What Does “Voting Power” Mean?
    Nearly every change-in-control clause makes reference to the acquisition or transfer of a specified percentage of a company’s “voting power” as a potential trigger. However, a lot of those clauses don’t get very…
  • Jan 18

    Activism: Glass Lewis Says, “Hey, Don’t Blame Us!”

    Activism: Glass Lewis Says, “Hey, Don’t Blame Us!”
    Many companies have grumbled that proxy advisors like ISS and Glass Lewis are fueling activism by generally supporting insurgent nominees in activist campaigns.  This Glass Lewis blog pleads “not guilty”: This perception…
  • Jan 17

    Books & Records: Corwin Doesn’t Matter in Section 220 Action

    Books & Records: Corwin Doesn’t Matter in Section 220 Action
    Boards have enjoyed a lot of success in the Delaware courts invoking the Corwin doctrine to foil post-closing fiduciary duty claims. But a recent Chancery Court decision shows that there are some limits to the…
Rank this Week: 1096

Subject to Inquiry

Subject to Inquiry

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

http://www.subjecttoinquiry.com/
  • Jan 18

    Unexplained Wealth Order

    Unexplained Wealth Order
    Background For some time there has been a perception that the UK is a safe refuge for corrupt individuals seeking to conceal their unlawfully acquired assets. This has particularly been the case with regard to persons from countries outside…
  • Jan 12

    Beware What You Share: Privilege Waiver Risks in Investigation

    Beware What You Share: Privilege Waiver Risks in Investigation
    In responding to regulatory and government investigations, firms are often faced with the question of how to balance the desire to cooperate with the need to preserve privilege over an internal investigation.  Financial institutions face…
  • Jan 3

    CFPB Announces Intent to Reconsider Disclosure Rule

    CFPB Announces Intent to Reconsider Disclosure Rule
    On December 21, 2017, the Consumer Financial Protection Bureau (CFPB) issued a public statement regarding implementation of the Home Mortgage Disclosure Act (HMDA), noting that it plans to reconsider aspects of the mortgage data rule. The…
Rank this Week: 2550

Special Situations Law

Special Situations Law

By Norton Rose Fulbright. Covers shareholder activist and defence mandates, as well as complex reorganization transactions.

http://www.specialsituationslaw.com/
  • Jan 18

    Trends in Environmental Social Governance

    Trends in Environmental Social Governance
    Corporations are facing increasing pressure to offer more transparency and disclosure with respect to their governance practices that promote environmental and social sustainability. This year’s trends in Environment Social Governance…
  • Jan 11

    Governance Oversight – Is Your Board An Active One?

    Governance Oversight – Is Your Board An Active One?
    In a recent interview with Christopher P. Skroupa on Forbes.com, Walied Soliman (Chair of Norton Rose Fulbright Canada, LLP and Co-Chair of Norton Rose Fulbright’s Canadian special situations team) weighs in on what it means…
  • Jan 10

    Ignoring board gender diversity is no longer an option

    Ignoring board gender diversity is no longer an option
    Discussions around board gender diversity are picking up steam in the lead up to the 2018 proxy season. Some of the leading proxy advisory firms, namely the Institutional Shareholder Services (ISS) and Glass Lewis & Co. LLC (Glass Lewis),…
Rank this Week: 1772

Securities Fraud Lawyer Blog

Securities Fraud Lawyer Blog

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

https://www.securitiesfraudlawyerblog.net/
  • 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…
  • Jan 18

    Alvery Bartlett Pending Investigation

    Alvery Bartlett Pending Investigation
    Alvery Bartlett investigation into oil and gas private placements The securities attorneys at The Law Office of David Liebrader have opened an investigation into the securities related conduct of Alvery Bartlett a registered representative…
  • Jan 16

    FINRA Suspends Jon VanSlooten

    FINRA Suspends Jon VanSlooten
    Jon VanSlooten, a registered representative from Toledo, Ohio, formerly with Edward Jones, was suspended from FINRA membership as a result of an investigation into his discretionary trading without the consent of his customers or firm.…
Rank this Week: 1999

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/
  • Jan 17

    Is Bitcoin A 'Busted Flush' As Price Falls 20% Below $10k?

    Is Bitcoin A 'Busted Flush' As Price Falls 20% Below $10k?
    Is Bitcoin A 'Busted Flush' As Price Falls 20% Below $10k?: "Is Bitcoin A 'Busted Flush' As Price Falls 20% Below $10k?"
  • Jan 16

    Bitcoin Losses?

    Bitcoin Losses?
    We are investigating claims for investors who lost money in the cryptocurrency hype.With 35 years of securities experience and a computer geek I know what's what.Call me. 212.509.6544.Mark
  • Dec 26

    SEC News - Ponzi Scheme, Cash Kickbacks, and Insider Trading

    SEC News - Ponzi Scheme, Cash Kickbacks, and Insider Trading
    SEC Charges Operators of $1.2 Billion Ponzi Scheme Targeting Main Street InvestorsThe SEC announced charges and an asset freeze against a group of unregistered funds and their owner who allegedly bilked thousands of retail investors, many of…
Rank this Week: 1106

Tim O'Connor's Blog

Tim O'Connor's Blog

Covers stockbroker fraud.

http://stockbrokerlaw.com/tim-oconnors-blog
Rank this Week: 3470

Andrew Abramowitz, PLLC

Andrew Abramowitz, PLLC

News, advice, and trends from the corporate law world.

http://aalegalnyc.com/blog/
  • Jan 15

    Succeeding in Business by Doing Le

    Succeeding in Business by Doing Le
    I read with interest an essay in the Wall Street Journal by a management professor, Morten T. Hansen, arguing that the key to success in business is selectivity, i.e., figuring out which tasks were the most important to complete, doing them…
  • Jan 5

    Spotify’s Possible Direct Listing

    Spotify’s Possible Direct Listing
    The political website Axios, not known, at least to me, as a source of breaking business news, reports that the music streaming service Spotify has filed papers with the SEC on a confidential basis to go public via direct listing. The Axios…
  • Nov 20

    A Possible Change to the “Accredited Investor” Definition

    A Possible Change to the “Accredited Investor” Definition
    Securities offerings that are exempt from the SEC’s registration requirements often hinge on whether some or all of the investors are “accredited investors.” There are various categories of accredited investors for business…
Rank this Week: 2191

Classified: The Class Action Blog

Classified: The Class Action Blog

A blog focused on the latest class action developments and trends by the attorneys of Carlton Fields Jorden Burt.

http://classifiedclassaction.com/
  • Jan 10

    State of Louisiana, as Absent Class Member, Escapes CAFA Settlement Trap

    State of Louisiana, as Absent Class Member, Escapes CAFA Settlement Trap
    The Third Circuit Court of Appeals affirmed a Pennsylvania district court decision holding the Eleventh Amendment to the United States Constitution prevented a private party from enjoining the state of Louisiana from bringing claims identical…
  • Dec 22

    MDL Litigation: Class and Complex Cases to Watch in 2018

    MDL Litigation: Class and Complex Cases to Watch in 2018
    The Judicial Panel for Multidistrict Litigation (“MDL Panel” or “Panel”) has transferred 97 putative class actions relating to the Equifax data breach to the Northern District of Georgia, where Equifax is…
  • Dec 21

    Putative Class Member’s Spoliation of Evidence Disqualifies Him as a Class Representative

    Putative Class Member’s Spoliation of Evidence Disqualifies Him as a Class Representative
    A district court recently disqualified a plaintiff from acting as a class representative because his spoliation of evidence rendered him an atypical class member. The plaintiffs allege that casting sand used in creating Jeep Wrangler engine…
Rank this Week: 2526

The Securities Edge

The Securities Edge

Covers securities law topics of interest to executives of middle market businesses. By Gunster.

http://www.thesecuritiesedge.com/
  • Jan 9

    Pigs and hogs — a note on director compensation

    Pigs and hogs — a note on director compensation
    It may be nice to be your own boss, but setting your own compensation – and, at least arguably, giving yourself excessive pay – may get you in trouble.  A number of boards of directors have found that out, as courts have…
  • Jan 2

    My top 10 books of 2017

    My top 10 books of 2017
    Each January, I depart from my focus on securities law and corporate governance matters to cite my top 10 books of the year gone by – five each in fiction and non-fiction.  As always, my top 10 list reflects books that I’ve…
  • Dec 29

    Tax cut implications – what and when to disclose

    Tax cut implications – what and when to disclose
    Now that “An Act to provide for reconciliation pursuant to titles II and V of the concurrent resolution on the budget for fiscal year 2018” (the official name of the 2017 tax reform act – fitting for a…
Rank this Week: 3353

SEC Whistleblower Lawyer Blog

SEC Whistleblower Lawyer Blog

Covers securities law. By Silver Law Group & The Law Firm of David R. Chase, P.A.

http://www.secwhistleblowerlawyers.net/
  • Jan 9

    Overseas Tipster Helps SEC Take Down Long Running Securities Fraud

    Overseas Tipster Helps SEC Take Down Long Running Securities Fraud
    An overseas tipster recently helped the SEC take down a large and long-running securities fraud at the whistleblowers former company. As per policy, the SEC would not identify the individual whistleblower or the specific securities violation…
  • Dec 12

    SEC Announces Two Whistleblower Awards In Access of $8 Million

    SEC Announces Two Whistleblower Awards In Access of $8 Million
    On November 30, 2017, the Securities and Exchange Commission announced two whistleblower awards in excess of $8 million.  The bounties were awarded to 2 individual whistleblowers whose information was instrumental in the SEC…
  • Aug 3

    SEC announces another $2.5 million dollar whistleblower award for a former government employee

    SEC announces another $2.5 million dollar whistleblower award for a former government employee
    The Whistleblower business can be very profitable for tipsters, a landmark whistleblower award of nearly $2.5 million was awarded today by the Securities and Exchange Commission. The recipient of this award was the employee of a domestic…
Rank this Week: 1669

Investor Arbitration Claims Blog

Investor Arbitration Claims Blog

Covers securities law. By Silver Law Group.

https://www.secarbitrationlawyer.com/
Rank this Week: 1931

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

https://10b5daily.com/
  • Jan 9

    Two Bites At The Apple

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

    Credible Complaint

    Credible Complaint
    Can the filing of a judicial complaint against a company constitute a revelation of the alleged fraud sufficient to establish loss causation?  In Norfolk Country Retirement System v. Community Health Systems, Inc., 2017 WL…
  • Nov 29

    Cyan Argued

    Cyan Argued
    On Tuesday, the U.S. Supreme Court heard oral argument in the Cyan, Inc. v. Beaver County Employees Retirement Fund case, which addresses the preemptive scope of the Securities Litigation Uniform Standards Act of 1998 (SLUSA).…
Rank this Week: 1110

Securities Litigation and…

Securities Litigation and Regulatory Enforcement Blog

Covers SEC investigations, insider trading, derivative actions, white collar defense, and whistleblowers. By Orrick, Herrington & Sutcliffe LLP.

http://blogs.orrick.com/securities-litigation/
Rank this Week: 3224