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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

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

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

http://www.theracetothebottom.org/

May 29
Laborers’ Local #231 Pension Fund v. Cowan: Case Dismissed for Failure to Allege a Misleading or False Statement or Omission

Laborers’ Local #231 Pension Fund v. Cowan: Case Dismissed for Failure to Allege a Misleading or False Statement or Omission

In Laborers’ Local #231 Pension Fund v. Cowan, No. 17-478, 2018 BL 85103 (D. Del. Mar. 13, 2018), the court granted Rory Cowan and his co-executives’ (“Defendants”) motion to dismiss Laborers’ Local #231 Pension…
Apr 26
Webb v. SolarCity Corporation: Founders' Conduct Regarding Accounting Error Before IPO Not Sufficient to Prove Scienter

Webb v. SolarCity Corporation: Founders' Conduct Regarding Accounting Error Before IPO Not Sufficient to Prove Scienter

In Webb v. SolarCity Corp., No. 5:14–CV–01435–BLF, 2018 BL 79348 (9th Cir. Mar. 08, 2018), the Ninth Circuit Court of Appeals affirmed the district court’s dismissal of a securities fraud action brought in a third…
Apr 26
Webb v. SolarCity Corporation: Founders' Conduct Regarding Accounting Error Before IPO Not Sufficient to Prove Scienter

Webb v. SolarCity Corporation: Founders' Conduct Regarding Accounting Error Before IPO Not Sufficient to Prove Scienter

In Webb v. SolarCity Corp., No. 5:14–CV–01435–BLF, 2018 BL 79348 (9th Cir. Mar. 08, 2018), the Ninth Circuit Court of Appeals affirmed the district court’s dismissal of a securities fraud action brought in a third…

Rank this Week: 52

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

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

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

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

http://www.stockbrokerfraudblog.com/

Apr 24
Sanctions Against Wedbush Securities in SEC and FINRA Rulings Are Upheld by the 9th Circuit

Sanctions Against Wedbush Securities in SEC and FINRA Rulings Are Upheld by the 9th Circuit

The United States Court of Appeals for the 9th Circuit has refused to overturn the US Securities and Exchange Commission ruling that Wedbush Securities Inc. engaged in inadequate supervision of its own regulatory compliance. The appeals court…
Apr 23
Chicago Investment Adviser Daniel Glick is Sentenced to Over 12 Years for Senior Investor Fraud

Chicago Investment Adviser Daniel Glick is Sentenced to Over 12 Years for Senior Investor Fraud

Daniel Glick, a Chicago-Based investment adviser who bilked clients, including older investors, of $5.2M, has been sentenced to 151 months in prison. He also has to pay $5.2M in restitution. Glick’s Ponzi-like fraud took place between…
Apr 20
SEC Proposes “Regulation Best Interests” that Would Prevent Brokers from Merely Calling Themselves Investment Adviser

SEC Proposes “Regulation Best Interests” that Would Prevent Brokers from Merely Calling Themselves Investment Adviser

The US Securities and Exchange Commission is proposing a rule that would keep registered representatives and brokers from also referring to themselves as investment advisors. In almost 1,000 pages of new proposals, the regulator articulated…

Rank this Week: 123

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

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

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

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

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

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

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

https://www.investorlawyers.net/blog/

Jun 11
Woodbridge Investors Solicited by Former Quest Capital Broker Frank Dietrich May Have Arbitration Claim

Woodbridge Investors Solicited by Former Quest Capital Broker Frank Dietrich May Have Arbitration Claim

If you invested in Woodbridge upon the recommendation of former financial advisor Frank Roland Dietrich (“Dietrich”), you may be able to recover your losses in arbitration before the Financial Industry Regulatory Authority…
Jun 7
Essex Capital Corp and Principal Ralph Iannelli Charged With Securities Fraud by SEC

Essex Capital Corp and Principal Ralph Iannelli Charged With Securities Fraud by SEC

On June 5, 2018, the SEC filed a Complaint in U.S. District Court in the Central District of California (Case 2:18-cv-05008), charging Ralph T. Iannelli and Essex Capital Corporation (“Essex”) with violations of the antifraud…
Jun 6
Woodbridge Investors Solicited by Former Royal Alliance Broker Frank Capuano May Have Arbitration Claim

Woodbridge Investors Solicited by Former Royal Alliance Broker Frank Capuano May Have Arbitration Claim

If you invested in Woodbridge Units or Notes, as further defined below — based upon a recommendation by financial advisor Frank Capuano — you may be able to recover your losses through securities arbitration before the Financial…

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

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/

Mar 31
HSBC Settles Libor Rigging Lawsuit for $100M

HSBC Settles Libor Rigging Lawsuit for $100M

To settle a private securities lawsuit in the US alleging Libor manipulation, HSBC Holdings Plc. (HSBC) has agreed to pay $100M. The bank is accused of conspiring to rig the London interbank offered rated (Libor) benchmark. The plaintiffs in…
Mar 29
Allegations of FCPA Violations, Inflation Schemes, and Improper Audits Lead to SEC Fraud Case

Allegations of FCPA Violations, Inflation Schemes, and Improper Audits Lead to SEC Fraud Case

To settle an Securities and Exchange Commission case, Maxwell Technologies, Inc. and one of its former sales executives and officers, Van Andrews, have agreed to pay $2.8M and $50K in penalties, respectively, but without denying or admitting…
Mar 28
Aegis Capital to Pay Over $1M to the SEC and FINRA to Settle Allegations Involving Low-Priced Securities and Anti-Money Laundering Violation

Aegis Capital to Pay Over $1M to the SEC and FINRA to Settle Allegations Involving Low-Priced Securities and Anti-Money Laundering Violation

The Financial Industry Regulatory Authority has fined Aegis Capital Corp. $550K for inadequate supervision and anti-money laundering systems related to its low-priced securities sales. According to the self-regulatory organization, the…

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/

Dec 1
Wells Fargo Broker Dealers Ordered by FINRA to Pay $3.4 Million in Restitution for Sale Practices Involving Volatility-Linked Exchange Traded Products (ETPs)

Wells Fargo Broker Dealers Ordered by FINRA to Pay $3.4 Million in Restitution for Sale Practices Involving Volatility-Linked Exchange Traded Products (ETPs)

Wells Fargo Advisors Financial Network, LLC and Wells Fargo Clearing Services, LLC have been ordered by the Financial Industry Regulatory Authority (FINRA) to pay over $3.4 million as restitution to customers relating to “unsuitable…
Dec 1
Morgan Stanley Fined by FINRA for Failure to Supervise Relating to Unit Investment Trusts (UITs)

Morgan Stanley Fined by FINRA for Failure to Supervise Relating to Unit Investment Trusts (UITs)

Morgan Stanley Smith Barney, LLC was fined by the Financial Industry Regulatory Authority (FINRA) for “failing to supervise its representatives’ short-term trades of unit investment trusts (UITs).” Approximately 3,000…
Dec 1
J.P. Morgan Securities, LLC Fined by FINRA for Failure to Conduct Adequate Background Check

J.P. Morgan Securities, LLC Fined by FINRA for Failure to Conduct Adequate Background Check

It was announced this week by the Financial Industry Regulatory Authority (FINRA) that J.P. Morgan Securities, LLC has been fined $1.25 million “for failing to conduct timely or adequate background checks on approximately 8,600, or 95…

Rank this Week: 294

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

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

http://blog.rexsecuritieslaw.com

Jun 17
Anthony Sica-Joseph Gunnar Broker-Sanctioned Over Sale of Speculative Securities to Elderly Client-New York

Anthony Sica-Joseph Gunnar Broker-Sanctioned Over Sale of Speculative Securities to Elderly Client-New York

Rex Securities Law- Stockbroker Malpractice Attorney. Nationwide representation. June 2018- New York The FINRA records of Anthony Sica , a stock broker who is employed by Joseph Gunnar & Co. , disclose 3…
Jun 16
Jack Maloney-Former Edward Jones Broker-Subject of Customer Suits-Morristown/Johnson City, TN

Jack Maloney-Former Edward Jones Broker-Subject of Customer Suits-Morristown/Johnson City, TN

Rex Securities Law- Stockbroker Malpractice Attorney. Nationwide representation. June 2018- Morristown/Johnson City , Tennessee The FINRA records of John J. Maloney III (Jack Maloney) , a stock broker who is employed…
Jun 16
Jack W. Griffith Jr-Janney Montgomery Broker-Subject of $4.2M Customer Suit Over Energy Investments-Columbia, S. Carolina

Jack W. Griffith Jr-Janney Montgomery Broker-Subject of $4.2M Customer Suit Over Energy Investments-Columbia, S. Carolina

Rex Securities Law- Stockbroker Malpractice Attorney. Nationwide representation. June 2018- Columbia, South Carolina The FINRA records of Jack Wendell Griffith, Jr. , a stock broker who is employed by Janney…

Rank this Week: 321

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

Covers securities and investment fraud. By Malecki Law.

http://www.newyorksecuritieslawyersblog.com/

Jun 15
Malecki Law Announces the Filing of an Expedited Group FINRA Arbitration Against Securities America, Inc. for NINE Defrauded Investors Claiming Failure to Supervise Alleged Ponzi Schemer Hector May

Malecki Law Announces the Filing of an Expedited Group FINRA Arbitration Against Securities America, Inc. for NINE Defrauded Investors Claiming Failure to Supervise Alleged Ponzi Schemer Hector May

Malecki Law filed an expedited FINRA arbitration complaint today on behalf of nine investors from Upstate New York, Northern Virginia and Long Island, New York alleging that Securities America, Inc. failed to supervise its registered…
Jun 8
How can I get a customer complaint or customer arbitration removed from my CRD/BrokerCheck?

How can I get a customer complaint or customer arbitration removed from my CRD/BrokerCheck?

Brokers can end up with unwarranted customer complaints, arbitrations, terminations, and other adverse disclosures on their CRD for reasons beyond their control. While plenty of investors have a legitimate “beef” against their…
May 31
My Money Was Stolen Out of My Brokerage Account, What Can I Do? Malecki Law Files Claim Regarding Identity Theft Fraud in Brokerage Account

My Money Was Stolen Out of My Brokerage Account, What Can I Do? Malecki Law Files Claim Regarding Identity Theft Fraud in Brokerage Account

Can’t imagine having a retirement brokerage account drained in a case of preventable identity theft? Such an unimaginable misfortune is a devastating reality for an investor alleging in a FINRA arbitration complaint that he had the…

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/

Jun 14
Century Securities Associates Broker Bernard McLaughlin Jr. Under Investigation After Declaring Bankruptcy

Century Securities Associates Broker Bernard McLaughlin Jr. Under Investigation After Declaring Bankruptcy

Silver Law Group is investigating Minnesota-based Century Securities Associates, Inc. broker Bernard McLaughlin Jr. (CRD# 601178) after he declared bankruptcy. According to McLaughlin’s FINRA BrokerCheck report, McLaughlin declared…
Jun 14
Former Transamerica Financial Advisors Broker Robert Perta Under Investigation After Customer Files a $4.2 Million Complaint

Former Transamerica Financial Advisors Broker Robert Perta Under Investigation After Customer Files a $4.2 Million Complaint

Silver Law Group is investigating former Illinois-based Transamerica Financial Advisors, Inc. broker Robert Perta (CRD# 536528) after a customer filed a claim alleging over $4.2 million in damages. The complaint, filed in the Federal Court in…
Jun 14
South Florida Raymond James Broker Victor T. Connor Under Investigation After Customer Brings $300,000 Complaint Alleging Unsuitability

South Florida Raymond James Broker Victor T. Connor Under Investigation After Customer Brings $300,000 Complaint Alleging Unsuitability

Silver Law Group is investigating Wellington, Florida-based Raymond James Financial Services, Inc. (“Raymond James”) broker Victor T. Connor (CRD# 843521). According to Connor’s FINRA BrokerCheck report, in September 2017, a…

Rank this Week: 480

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

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

http://www.corporatesecuritieslawblog.com/

Jun 13
Contracts with Foreign Companies May Require a Rewrite

Contracts with Foreign Companies May Require a Rewrite

A recent California case may force companies doing business with foreign entities to reconsider—and maybe rewrite—their contracts. In Rockefeller Tech. Invs. (Asia) VII v. Changzhou Sinotype Tech. Co., No. B272170, 2018 WL 2455092…
Jun 5
California Court of Appeal Enforces Delaware Forum Selection Clause Contained in Certificate of Incorporation

California Court of Appeal Enforces Delaware Forum Selection Clause Contained in Certificate of Incorporation

In Bushansky v. Soon-Shiong, 2018 Cal. App. LEXIS 493 (Cal. App. May 25, 2018), the California Court of Appeal, Fourth Appellate District, affirmed the dismissal of a shareholder derivative action brought in the Superior Court of California,…
May 1
United States Supreme Court Holds that Foreign Corporations May Not Be Held Liable Under the Alien Tort Statute

United States Supreme Court Holds that Foreign Corporations May Not Be Held Liable Under the Alien Tort Statute

In Jesner v. Arab Bank, PLC, 584 U.S. ___, 2018 WL 1914663 (U.S. Apr. 24, 2018) (Kennedy, J.), the Supreme Court of the United States held that foreign corporations may not be sued under the Alien Tort Statute (“ATS”), 28 U.S.C.…

Rank this Week: 324

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

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

May 29
U.S. Supreme Court Unanimously Agrees Mandatory Victims Restitution Act Does Not Reach Expenses From Civil Proceedings and Private Investigation

U.S. Supreme Court Unanimously Agrees Mandatory Victims Restitution Act Does Not Reach Expenses From Civil Proceedings and Private Investigation

This guest post was authored by Joseph Samuel, a summer associate with Montgomery McCracken. In a 9-0 decision handed down earlier today in Lagos v. United States, 584 U.S. __ (May 29, 2018), the Supreme Court held that the terms…
Mar 28
Pennsylvania Superior Court Looks to Electronic Media Precedent to Adopt a Standard for Authenticating Social Media Post

Pennsylvania Superior Court Looks to Electronic Media Precedent to Adopt a Standard for Authenticating Social Media Post

This post was co-authored by Michael C. Witsch and Robert H. Bender, associates in the firm’s Business Litigation and Products Liability practice group. On March 15, 2018, as a matter of first impression, a unanimous panel of the…
Mar 21
Supreme Court Limits Tax Obstruction Charge

Supreme Court Limits Tax Obstruction Charge

Today, the Supreme Court delivered a welcome decision narrowing the obstruction “Omnibus Clause” within the Internal Revenue Code, 26 U.S.C. § 7212(a). The Court held in Marinello v. United States that in order to…

Rank this Week: 435

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

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

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

FedSecLaw.com is devoted to highlighting current issues in securities laws, discussing the ramifications of those issues for todayâ€™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

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

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

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

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

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

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

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

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

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/

Jun 15
What is the position of the UK in the ESAs during the implementation period?

What is the position of the UK in the ESAs during the implementation period?

On 13 June 2018, HM Treasury published a letter that it had sent to the chair of the House of Commons’ European Scrutiny Committee, Sir William Cash MP. In the letter HM Treasury discusses the position as regards UK representation in…
Jun 15
FCA list of cooperation agreements with third country regulators in context of outsourcing portfolio management services under MiFID II

FCA list of cooperation agreements with third country regulators in context of outsourcing portfolio management services under MiFID II

On 14 June 2018, the FCA published a list of the supervisory authorities in third countries with which it has cooperation agreements that meet the requirements set out in Article 32(2) of Commission Delegated Regulation (EU) 2017/565…
Jun 15
Global ICO and cryptocurrency regulatory roundup

Global ICO and cryptocurrency regulatory roundup

Recently there have been a number of blog postings on initial coin offerings (ICOs) and cryptocurrency, and here is a round-up of them in case you missed them: Global IOSCO Board communication on concerns about ICOs (19 January 2018)…

Rank this Week: 1007

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