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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/
  • Aug 8

    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: Janet Austin, What Exactly Is Market Integrity? An Analysis of One of the Core Objectives of Securities Regulation, 8 Wm. & Mary Bus.…
  • Aug 1

    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: Eric C. Chaffee, A Call for Legislative Reform: Expanding the Extraterritorial Application of the Private Rights Action under Federal…
  • Jul 22

    Trump to Nominate Former Senate Aide Peirce for SEC Commissioner

    Trump to Nominate Former Senate Aide Peirce for SEC Commissioner
    Eric Beech (Reuters), Trump to Nominate Former Senate Aide Peirce for SEC Commissioner: U.S. President Donald Trump intends to nominate former Senate Republican aide Hester Maria Peirce to be a member of the Securities and Exchange…
Rank this Week: 42

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Aug 23

    David McConnell Was Terminated From His Former Employer Following Alleged Rule Violation

    David McConnell Was Terminated From His Former Employer Following Alleged Rule Violation
    Publicly available records provided by the Financial Industry Regulatory Authority and accessed on August 21, 2017 indicate that former Ohio-based MML Investors Services broker/adviser David McConnell was recently terminated from his former…
  • Aug 23

    Derek Nierman Has Received a Customer Complaint

    Derek Nierman Has Received a Customer Complaint
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 21, 2017 indicate that Arizona-based UBS Financial Services broker/adviser Derek Nierman has received a customer dispute.…
  • Aug 23

    Jeffrey Rathmanner Was Discharged From His Former Employer

    Jeffrey Rathmanner Was Discharged From His Former Employer
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 21, 2017 indicate that Minnesota-based Oak Ridge Financial Services Group broker/adviser Jeffrey Rathmanner was recently…
Rank this Week: 64

Investment Fraud Information

Investment Fraud Information

By Andrew Stoltmann.

http://www.investmentfraudtimes.com/securities-fraud-attorneys/
  • Aug 22

    Investment Losses In Coachman Energy Partners?

    Investment Losses In Coachman Energy Partners?
    Stoltmann Law Offices is interested in speaking to those investors who may have suffered losses with Coachman Energy Partners. Coachman Energy is a privately owned energy company headquartered in Denver, Colorado and currently…
  • Aug 18

    Update For Investors: Patrick Hudson Terminated From RBC Capital Market

    Update For Investors: Patrick Hudson Terminated From RBC Capital Market
    Stoltmann Law Offices continues to investigate Patrick Hudson, a former RBC Capital Markets broker based out of Maryland. In July 2017, the Financial Industry Regulatory Authority (FINRA) sanctioned him following allegations that he…
  • Aug 17

    Gabriel Hynes Entered Into An AWC With FINRA: What Investors Can Do

    Gabriel Hynes Entered Into An AWC With FINRA: What Investors Can Do
    According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), Gabriel Hynes allegedly purchased securities in four different companies through private offerings conducted…
Rank this Week: 57

Securities Law Attorneys Blog

Securities Law Attorneys Blog

Covers securities law. By Fitapelli | Kurta.

http://www.securitieslawattorneys.net/
  • Aug 23

    Mischler Financial Group Was Sanctioned by FINRA in Connection to Alleged Rule Violation

    Mischler Financial Group Was Sanctioned by FINRA in Connection to Alleged Rule Violation
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 21, 2017 indicate that California-based Mischler Financial Group was recently sanctioned by FINRA in connection to alleged rule…
  • Aug 23

    Gabriel Hynes Was Issued a Three Month Suspension

    Gabriel Hynes Was Issued a Three Month Suspension
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 22, 2017 indicate that former Florida-based NYLife Securities broker/adviser Gabriel Hynes was recently sanctioned by FINRA and…
  • Aug 23

    Ralph Martin: Sanctioned For Executing Discretionary Transactions Without Written Authorization

    Ralph Martin: Sanctioned For Executing Discretionary Transactions Without Written Authorization
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 22, 2017 indicate that Illinois-based Cambridge Investment Research broker/adviser Ralph Martin was recently sanctioned by…
Rank this Week: 102

BD Law Blog

BD Law Blog

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

http://www.bdlawblog.com/
  • Feb 13

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

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

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

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

    Lessons learned from putting on "the Suit."

    Lessons learned from putting on "the Suit."
    Every now and then I use my blog to share with you things not necessarily related to the law, or to our practice areas of financial markets law, estate planning or business law. Today's one of those days, and I...
Rank this Week: 91

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: 141

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: 199

Recover Investment Losses Blog

Recover Investment Losses Blog

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

http://blog.rexsecuritieslaw.com
  • Aug 22

    Banca IMI Securities Pays $35M to Resolve SEC Issue

    Banca IMI Securities Pays $35M to Resolve SEC Issue
    August 2017 The US Securities and Exchange Commission (SEC) announced that brokerage firm Banca IMI Securities Corp. (BISC) agreed to pay over $35 million to settle charges that it violated federal securities laws when it requested issuance…
  • Aug 8

    Losses on Cole Capital REITs ?

    Losses on Cole Capital REITs ?
    Brokerage firms nationwide sold a number real estate investment trusts (REITs) sponsored by Cole Capital, including: Cole Office and Industrial Cole Advisor Corporate Income Cole Advisor Retail Income REIT Cole Credit Property Trust Cole…
  • Aug 8

    Losses on Cole Office and Industrial REIT ?

    Losses on Cole Office and Industrial REIT ?
    If you have suffered losses on your investment in Cole Office & Industrial REIT, contact us to learn how you may be able to recover damages from the brokerage firm that sold you the investment. Brokers often fail to disclose the risks…
Rank this Week: 209

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/
  • Aug 22

    ARC New York City REIT Responds to Dissenting Investor

    ARC New York City REIT Responds to Dissenting Investor
    Company Dismisses Claims of Dissident Investor Cover Partners III ARC New York City REIT is a non-traded real estate investment trust sponsored by AR Global and focused on properties located in the five boroughs of New York City, with a focus…
  • Aug 22

    Investment News: $433,000 through Finra arbitration claim, but will likely see no payment

    Investment News: $433,000 through Finra arbitration claim, but will likely see no payment
    The claim against defunct broker-dealer EDI Financial Inc. highlights a growing problem of unpaid arbitration awards A client of a small broker-dealer that sold her high risk private placements and nontraded real estate investment trusts won…
  • Aug 21

    Anthony Diaz Permanently Barred from Securities Industry

    Anthony Diaz Permanently Barred from Securities Industry
    Scotrun, PA ex-broker barred by FINRA, NJ Bureau of Securities and PA Bureau of Securities According to FINRA, Anthony Diaz (Scotrun, PA CRD 4131948) entered into an Order Accepting Offer of Settlement with the Financial Industry Regulatory…
Rank this Week: 211

McEldrew Young Blog

McEldrew Young Blog

Covers whistleblower law and wage theft for employees.

http://www.mceldrewyoung.com/blog/
  • Aug 23

    Corporate Policing: The Evolution of Whistleblowing

    Corporate Policing: The Evolution of Whistleblowing
    Whistleblowing has traditionally involved insider reports of corporate wrongdoing by employees of a business. A recent whistleblower lawsuit may signal the start of a new era in the False Claims Act as businesses begin to turn in their…
  • Aug 22

    SEPTA NHSL Crash at 69th Street: Dozens Injured

    SEPTA NHSL Crash at 69th Street: Dozens Injured
    Dozens of SEPTA passengers and the conductor were injured last night when a Norristown High Speed Line train crashed into a parked train car at 69th Street Station in Upper Darby after midnight. Four were reportedly critically injured but…
  • Aug 14

    Disturbingly High Number of Hostile and Threatening Workplace

    Disturbingly High Number of Hostile and Threatening Workplace
    A study of 3,066 U.S. workers found that nearly one in five employees face a hostile or threatening environment at work. The unemployment rate may be at a 16-year low in 2017, but the study indicates everything is not well on the job front.…
Rank this Week: 381

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • Aug 22

    A Berlin Diary

    A Berlin Diary
    The D&O Diary is on assignment in Europe this week, with the first stop in Berlin, for a series of business meetings. My schedule while in Berlin was full, but I did have some time both days during my two-day visit to the city for a look…
  • Aug 20

    When IPO Companies Stumble Out of the Block

    When IPO Companies Stumble Out of the Block
    Most informed observers know that IPO companies are more susceptible to securities class action litigation than are more seasoned companies. IPO companies usually have short operating histories and so their post-offering performance can be…
  • Aug 16

    Ninth Circuit’s Standing Ruling in Remanded Spokeo Case Could Boost Plaintiff

    Ninth Circuit’s Standing Ruling in Remanded Spokeo Case Could Boost Plaintiff
    As courts have wrestled with standing issues in a variety of kinds of cases, the central question has been whether or not under the standard the U.S. Supreme Court enunciated in the Spokeo case the plaintiff alleged an injury that is…
Rank this Week: 332

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Aug 22

    Adam Gana, Managing Partner of Gana LLP Interviewed on LawNewz

    Adam Gana, Managing Partner of Gana LLP Interviewed on LawNewz
    Adam Gana was interviewed by LawNewz’s Stephanie Willis, a long time host for the network. Adam spoke about the Steven Jones criminal trial. Watch the clip below. https://livestream.com/accounts/18968940/events/7055388/videos/161700743
  • Aug 2

    Broker David Menashe Sanctioned For Excessive and Unauthorized Trading

    Broker David Menashe Sanctioned For Excessive and Unauthorized Trading
    Gana LLP is investigating claims made by Financial Industry Regulatory Authority (FINRA) against broker David Menashe (Menashe). According to BrokerCheck records, Menashe was ordered to pay a restitution of $15,000 by the state of Montana for…
  • Aug 2

    Broker Dan Droeg Subject to Unsuitability Complaint

    Broker Dan Droeg Subject to Unsuitability Complaint
    Our law firm, Gana LLP, is investigating claims made by Financial Industry Regulatory Authority (FINRA) against broker Dan Droeg (Droeg). According to BrokerCheck, Droeg’s record contains two customer complaints filed against him…
Rank this Week: 366

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: 280

Securities Lawyer 101

Securities Lawyer 101

Covers securities enforcement, securities law and going public matters. By Hamilton & Associates.

https://www.securitieslawyer101.com/blog/
  • Jan 23

    SEC Final Judgment Entered Against Graduate Leverage

    SEC Final Judgment Entered Against Graduate Leverage
    Going Public LawyerOn December 23, 2016, the United States District Court for the District of Massachusetts entered final judgments against Graduate Leverage, LLC, GL Capital Partners, LLC, GL Investment Services, LLC, Taft Financial…
  • Jan 22

    Final Judgment Entered Against Gregg Mulholland Posted by Brenda Hamilton

    Final Judgment Entered Against Gregg Mulholland Posted by Brenda Hamilton
    Going Public LawyerOn January 11, 2017, the U.S. District Court for the Eastern District of New York entered a final judgment against defendant Gregg R. Mulholland, a penny stock promoter charged in an SEC action with illegally selling more…
  • Jan 21

    Final Judgment Entered in “Prime Bank” Fraud – By: Brenda Hamilton

    Final Judgment Entered in “Prime Bank” Fraud – By: Brenda Hamilton
    Going Public LawyerOn January 13, 2017, the U.S. District Court for the District of Minnesota entered a final judgment against Minnesota resident James M. Louks and his company, FiberPoP Solutions, Inc. Louks and FiberPoP are defendants in an…
Rank this Week: 306

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/
Rank this Week: 743

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: 559

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/
  • Aug 15

    Second Circuit Ruling Creates Challenge for Securities Class Action Plaintiff

    Second Circuit Ruling Creates Challenge for Securities Class Action Plaintiff
    The Second Circuit recently considered the extraterritorial application of the U.S. securities laws in the private securities class action context, bringing some clarity to an area of the law that is increasingly important given the…
  • Aug 8

    The “Pharma Bro” Trial—Who Really Won?

    The “Pharma Bro” Trial—Who Really Won?
    After a five-week trial, a jury of five men and seven women convicted notorious pharmaceutical executive Martin Shkreli of securities fraud on August 4, 2017. Shkreli had been charged with two counts of securities fraud, three counts of…
  • Aug 1

    On the Chopping Block: The Effort to Repeal the CFPB’s New Rule on Consumer Class Action

    On the Chopping Block: The Effort to Repeal the CFPB’s New Rule on Consumer Class Action
    On July 19, 2017, the Consumer Financial Protection Bureau (“CFPB”) published a new rule that has the potential to significantly increase the number of class action lawsuits brought by consumers against their financial services…
Rank this Week: 750

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/
  • 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…
  • Jul 31

    Another Securities Arbitration Win for University of San Francisco School of Law

    Another Securities Arbitration Win for University of San Francisco School of Law
    For the past ten years, I have had the pleasure of serving as the supervising attorney for the University of San Francisco School of Law Investor Justice Clinic (IJC). The IJC provides free legal services to financial consumers who wish to…
  • Jun 26

    Morgan Stanley Smith Barney Liable for Aiding and Abetting Financial Elder Abuse

    Morgan Stanley Smith Barney Liable for Aiding and Abetting Financial Elder Abuse
    Last week, a securities arbitration panel in Los Angeles, California, found Morgan Stanley Smith Barney (“MSSB”) liable for elder financial abuse by aiding and abetting an unaffiliated individual’s financial…
Rank this Week: 504

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: 464

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: 814

Oil & Gas Investment Fraud Lawyer…

Oil & Gas Investment Fraud Lawyer Blog

Covers securities issues with a focus on oil & gas investment fraud. By Silver Law Group, The Law Firm of David R. Chase, P.A., and Ciklin Lubitz & O'Connell.

http://www.oilgasinvestmentfraudlawyer.com/
Rank this Week: 811

Ponzitracker

Ponzitracker

Covers Ponzi schemes. By Jordan Maglich.

http://www.ponzitracker.com/
  • Feb 13

    For Galemmo Ponzi Victims, Recovery Chances Depend On Clawback

    For Galemmo Ponzi Victims, Recovery Chances Depend On Clawback
    When a Cincinnati money manager's $100 million Ponzi scheme collapsed over three years ago, authorities seemingly acknowledged the bleak prospects of recovery in declining to seek appointment of a receiver to marshal and gather assets for…
  • Feb 13

    Zeek Rewards Mastermind Sentenced To Nearly Fifteen Years In Prison

    Zeek Rewards Mastermind Sentenced To Nearly Fifteen Years In Prison
    The North Carolina man who drew comparisons to Bernard Madoff for his operation of a Ponzi scheme that duped tens of thousands of victims out of nearly $1 billion learned from a federal judge today that he, like Madoff, will likely spendthe…
  • Oct 17

    Another Cay Clubs Principal Indicted On Bank Fraud And Tax Charge

    Another Cay Clubs Principal Indicted On Bank Fraud And Tax Charge
    A Florida man is facing bank fraud and tax charges for his involvement in the alleged $300 million Cay Clubs Ponzi scheme, making him the third person to be criminally charged in what was one of the largest schemes in Florida history.…
Rank this Week: 904

Florida Securities Fraud Lawyer…

Florida Securities Fraud Lawyer Blog

Covers securities fraud, investor fraud and Ponzi schemes. By McCabe Rabin, P.A.

http://www.floridasecuritiesfraudlawyerblog.com/
  • Jan 31

    I Inherited an IRA Account. Now What?

    I Inherited an IRA Account. Now What?
    Ira Account Inheritance The answer to that question depends on whether you inherited the IRA account from your spouse or someone other than your spouse, such as your parent, sibling, or close friend.  You have more options if you…
  • Jan 27

    SEC Whistleblower Program is Gaining Momentum and Paying Big Bountie

    SEC Whistleblower Program is Gaining Momentum and Paying Big Bountie
    SEC Whistleblowers On January 23, the SEC announced that its whistleblower program will pay out to three whistleblowers a combined award of $7 million.  The whistleblowers’ awards were for helping the SEC pursue an investment…
  • Jan 19

    What are the pros and cons of taking a 401K loan?

    What are the pros and cons of taking a 401K loan?
    Many employers provide 401k plans for their employees.  A 401k plan is a retirement savings plan where employees can save a portion of their pre-tax earnings. Taxes aren’t paid on the money until it is withdrawn from the account.…
Rank this Week: 474

The Lebrecht Group, APLC Blog

The Lebrecht Group, APLC Blog

Discusses corporate securities law .

http://www.thelebrechtgroup.com/blog/
  • Jul 11

    SEC Allows Solicitation in Private Offering

    SEC Allows Solicitation in Private Offering
    At long last, the SEC has approved general solicitation in 506 offerings.  I have previously blogged on the subject here and here. It seems each stakeholder group is claiming it as their own victory.  Hedge funds, crowdfunders,…
  • Jun 19

    Sponsored Research. When Is It Independent?

    Sponsored Research. When Is It Independent?
    This week, Fox Business News contributor Tobin Smith was terminated because he violated their policy that “no contributor to FBN [Fox Business Network], nor his/her firm, and/or family members are allowed to accept financial…
  • Jun 6

    When Is It a Good Strategy To Lie to the SEC?

    When Is It a Good Strategy To Lie to the SEC?
    This, of course, is a misleading question.  The answer is never.  In case you need some law to back up that conclusion, take a look at the recent case of Robert J. Vitale.  Mr. Vitale was the subject of an SEC enforcement…
Rank this Week: 849

The Securities Edge

The Securities Edge

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

http://www.thesecuritiesedge.com/
  • Aug 23

    Federal Reserve governance guidance: the pendulum swings back (?)

    Federal Reserve governance guidance: the pendulum swings back (?)
    Earlier this month, the Federal Reserve proposed changes to its guidance on corporate governance for banking organizations.  The proposals suggest a new approach to corporate governance that could extend beyond the banking industry;…
  • Aug 8

    Class Acts: Stock Indices Bar Differential Voting Right

    Class Acts: Stock Indices Bar Differential Voting Right
    In late July, S&P Dow Jones and FTSE Russell announced that they were changing or proposing to change the standards that govern whether a company is included in their indices.  Although their approaches differ, the changes would…
  • Jul 25

    RIP XBRL?

    RIP XBRL?
    Some of you may remember Christopher Cox, who served as SEC Chair from 2005 to early 2009, when he was succeeded by Mary Schapiro.  His name doesn’t come up often, perhaps because his legacy was a weakened Commission tarnished by,…
Rank this Week: 3447

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

http://www.hedgefundlawblog.com
  • Aug 23

    Cole-Frieman & Mallon 2017 Second Quarter Update

    Cole-Frieman & Mallon 2017 Second Quarter Update
    Below is our quarterly update which went out via email today to our firm’s clients and friends. **** August 23, 2017 Clients, Friends, Associates: We hope you are enjoying the summer. Although the second quarter is typically not as busy…
  • Aug 1

    Hedge Fund Events August 2017

    Hedge Fund Events August 2017
    The following are various hedge fund events happening this month. Please email us if you would like us to add your event to this list **** August 2, 2017 Sponsor: NYHFR Event: From Trader to Whistleblower: How Tom Hardin Wound Up at the…
  • Jul 25

    SEC Issues Cryptocurrency/Digital Asset/ICO Report

    SEC Issues Cryptocurrency/Digital Asset/ICO Report
    By: Bart Mallon (Co-Managing Partner of Cole-Frieman & Mallon LLP) Certain Digital Assets are Securities Based on “Facts and Circumstances” As has been widely anticipated by the cryptocurrency community, the SEC has…
Rank this Week: 3907

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/
  • Aug 23

    Reminder: SEC exhibit hyperlink and format rules become effective Sept. 1, 2017

    Reminder: SEC exhibit hyperlink and format rules become effective Sept. 1, 2017
    Effective for filings on and after Sept. 1, 2017, registrants will be required to include a hyperlink to each exhibit identified in the exhibit index of periodic reports, current reports and registration statements. For registration…
  • Aug 21

    The impact of efforts clauses in transactional document

    The impact of efforts clauses in transactional document
    Most transactional documents include effort clauses as covenants to require a party to perform a certain act or acts to achieve a stated goal. These terms generally include the following: Best efforts Reasonable efforts Commercially…
  • Aug 8

    Retaining key employees in an acquisition

    Retaining key employees in an acquisition
    Imagine identifying an acquisition target that looks great on paper: strong earnings, efficient operations and good workplace environment. But after acquiring the target, a key employee leaves, taking with him or her key customers and…
Rank this Week: 4106

Broker Misconduct Blog

Broker Misconduct Blog

Focuses on issues affecting retail investors in connection with their stock brokers and brokerage firms. By Green, Schafle & Gibbs.

https://broker-misconduct.com/blog/
  • Aug 23

    FINRA Disciplinary Action Report: August 2017

    FINRA Disciplinary Action Report: August 2017
    FINRA Disciplinary Action Report for brokers and brokerage firms for August 2017
  • May 24

    FINRA May Merge Securities Enforcement Program

    FINRA May Merge Securities Enforcement Program
    FINRA is considering a possible multi-year initiative called FINRA360, wherein the self-regulatory organization is conducting a whole review of day to day functions and programs, with input from both inside as well as outside the…
  • May 4

    Philadelphia Ponzi Scheme in Italian Wine and Olive Oil

    Philadelphia Ponzi Scheme in Italian Wine and Olive Oil
    Former stockbroker, William Bucci, bilked greater Philadelphia and New Jersey investors out of more than $3 million through a Ponzi scheme involving fake imports of Italian wine and olive oil.
Rank this Week: 1614

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/
  • Aug 23

    A Comparison of Bail-In Regimes – Canada and the UK

    A Comparison of Bail-In Regimes – Canada and the UK
    Check out this article prepared by my colleagues, Andrew Fleming, Tracey Kernahan, Jonathan Herbst and Simon Lovegrove.  … Continue Reading
  • Aug 23

    ECB amending Decision on SSM supervisory data reported to NCAs published in OJ

    ECB amending Decision on SSM supervisory data reported to NCAs published in OJ
    There has been published in the Official Journal of the EU, Decision (EU) 2017/1493 of the European Central Bank (ECB) amending  Decision ECB/2014/29 on the provision to the ECB of supervisory data reported to the national competent…
  • Aug 23

    Findings from PRA’s 2017 assessment of category 4 and 5 credit union

    Findings from PRA’s 2017 assessment of category 4 and 5 credit union
    The PRA has published the following letters concerning its latest annual assessment of the credit union sector: letter for category 5 credit unions with total assets of more than £15 million but less than £40 million; letter for…
Rank this Week: 2018

Securities Law Blog

Securities Law Blog

Covers securities law. By Fitapelli | Kurta.

https://www.securities-law-attorney.com/
  • Aug 23

    Christopher Stoddard Has Received a FINRA Sanction

    Christopher Stoddard Has Received a FINRA Sanction
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 22, 2017 indicate that Massachusetts-based Stifel Nicolaus & Company broker/adviser Christopher Stoddard has been sanctioned…
  • Aug 23

    Scott Reed Has Received a Pending Customer Complaint

    Scott Reed Has Received a Pending Customer Complaint
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 22, 2017 indicate that Pennsylvania-based FS Investment Services broker Scott Reed has received a pending customer dispute.…
  • Aug 22

    Robert Bulloch Has Been Discharged From his Former Employer

    Robert Bulloch Has Been Discharged From his Former Employer
    Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 21, 2017 indicate that California-based Infinity Financial Services broker Robert Bulloch has been sanctioned by FINRA and censured in…
Rank this Week: 1982

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Aug 23

    SEC updates pay to play rule FAQ for capital acquisition broker

    SEC updates pay to play rule FAQ for capital acquisition broker
    By Amanda Maine, J.D.The SEC has issued an update to its staff response to questions about Investment Advisers Act Rule 206(4)-5, known as the “pay to play” rule. The rule prohibits certain investment advisers from providing…
  • Aug 22

    Staff updates interpretations on emerging growth company filing requirement

    Staff updates interpretations on emerging growth company filing requirement
    By John Filar Atwood An emerging growth company (EGC) may omit from its draft registration statements interim financial information that it reasonably believes it will not be required to present separately at the time of the contemplated…
  • Aug 21

    Bad faith claim rejected in MeadWestvaco-Rock-Tenn merger suit

    Bad faith claim rejected in MeadWestvaco-Rock-Tenn merger suit
    By Mark S. Nelson, J.D.The Delaware Chancery Court dismissed a bad faith claim brought by shareholders of MeadWestvaco Corporation against the company’s board of directors over the alleged undervaluation of non-core assets in a merger…
Rank this Week: 2328

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Aug 23

    Survey Results: Pay Ratio Disclosure

    Survey Results: Pay Ratio Disclosure
    Here’s the results from our recent survey on pay ratio disclosure: – Only providing the bare minimum disclosure – 22% – Providing expanded disclosures with some explanations & clarifications – 22% –…
  • Aug 22

    Whistleblowers: “I’m From the Gov’t & I’m Here to Blow the Whistle”

    Whistleblowers: “I’m From the Gov’t & I’m Here to Blow the Whistle”
    There have been a number of seven-figure awards under the SEC’s whistleblower program, so a recent $2.5 million award wouldn’t merit much attention – that is, if the recipient wasn’t an employee of a…
  • Aug 21

    Draft IPO Filings: Corp Fin Updates Processing Guidance

    Draft IPO Filings: Corp Fin Updates Processing Guidance
    Last week, Corp Fin issued updated guidance on processing procedures for draft registration statements.  The new guidance clarifies how the IPO offering date will be determined & the ability of companies with registration…
Rank this Week: 2325

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/
  • Aug 23

    Negotiations: Tips for When Things Get Tense

    Negotiations: Tips for When Things Get Tense
    It’s the rare deal that doesn’t have at least some tense moments during the negotiation process.  This Nixon Peabody blog has some tips from a psychologist on how to keep your deal on-track when the going gets…
  • Aug 22

    Delaware: MFW Cleanses Controller Conflict in 3rd Party Sale

    Delaware: MFW Cleanses Controller Conflict in 3rd Party Sale
    In its 2014 MFW decision, the Delaware Supreme Court set a path to business judgment rule review for controller squeeze-outs.  Last week, Vice Chancellor Slights’ decision in In re Martha…
  • Aug 21

    Due Diligence: M&A Cybersecurity & Privacy Roundtable

    Due Diligence: M&A Cybersecurity & Privacy Roundtable
    Privacy and cybersecurity issues are looming ever larger in M&A transactions. Buyers need to assess these risks carefully during due diligence because they can be significant and materially affect a buyer’s valuation of a…
Rank this Week: 2321

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/
  • Aug 23

    Suing The CEO For Social Activism Is Likely To Be Challenging Under Nevada Law

    Suing The CEO For Social Activism Is Likely To Be Challenging Under Nevada Law
    Yesterday’s post concerned asked the question whether shareholders can sue CEOs for social activism.  The answer is of course, yes.  The more interesting question is whether shareholders will win the suit.  To answer…
  • Aug 22

    Can Shareholders Sue CEOs For Corporate Social Activism?

    Can Shareholders Sue CEOs For Corporate Social Activism?
    In an August 17, 2017 opinion piece published in The Wall Street Journal, Jon L. Pritchett and Ed Tiryakian had the following message for shareholders: Our message to small shareholders of companies like Starbucks, Merck and Target:…
  • Aug 16

    A Subsidiary Post

    A Subsidiary Post
    Not too long ago, I wrote about the Securities and Exchange Commission’s confusing classification of subsidiaries.  See The Case Of The Wholly Owned, But Not Totally Held, Subsidiary That May Or May Not Be 100% Owned.…
Rank this Week: 3082

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/
  • Aug 22

    SEC Charges Investment Adviser With Defrauding Professional Athlete and His Wife

    SEC Charges Investment Adviser With Defrauding Professional Athlete and His Wife
    The Securities and Exchange Commission today charged investment adviser Jeremy Drake with defrauding two clients, a high profile professional athlete and the athlete’s wife, by deceiving them about the investment advisory fees they were…
  • Aug 21

    Hedge Fund Adviser Charged for Inadequate Controls to Prevent Insider Trading

    Hedge Fund Adviser Charged for Inadequate Controls to Prevent Insider Trading
    The Securities and Exchange Commission today announced that hedge fund advisory firm Deerfield Management Company L.P. has agreed to pay more than $4.6 million to settle charges that it failed to establish, maintain, and enforce policies and…
  • Aug 18

    Commission and Commission Staff Issue Updates to Interpretive Guidance on Revenue Recognition

    Commission and Commission Staff Issue Updates to Interpretive Guidance on Revenue Recognition
    The Securities and Exchange Commission today issued two releases and the SEC staff released a Staff Accounting Bulletin to update interpretive guidance regarding revenue recognition.Consistent with developments in private-sector accounting…
Rank this Week: 2327

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/
  • Aug 21

    Investors heating up the conversation on climate change

    Investors heating up the conversation on climate change
    Shareholders are placing increased value on non-financial factors when making investment decisions. Some of these factors are environmental and social issues. In particular, shareholder proposals on climate change have recently gained some…
  • Aug 8

    Alberta Securities Commission declines to exercise public interest jurisdiction to terminate soliciting dealer arrangement in proxy fight

    Alberta Securities Commission declines to exercise public interest jurisdiction to terminate soliciting dealer arrangement in proxy fight
    In its recent PointNorth Capital Inc. decision, the Alberta Securities Commission (ASC) was called upon to consider the appropriateness of a soliciting dealer arrangement that had been entered into by the issuer, Liquor Stores N.A. Ltd., in…
  • Aug 1

    Social Media: Shareholder Activism in 140 Characters or Le

    Social Media: Shareholder Activism in 140 Characters or Le
    Social media has changed how we live. We have access to extensive information and global connections at our finger tips.  Given its already well-established presence in our personal lives, it comes as no surprise that social media has…
Rank this Week: 2029

White Collar Wire

White Collar Wire

Covers news, cases, judicial opinions, practical tips and scholarly work regarding white-collar criminal and civil enforcement, grand jury investigations and regulatory compliance. By Jackson R. Sharman, III.

http://jacksharman.com/
  • Aug 18

    Gin Van, Joan Collins and Rare Earth

    Gin Van, Joan Collins and Rare Earth
    Friday is upon us, so a few notes about cocktails. Cocktail snobbery is suffering a (deserved) backlash, as Robert O. Simonson of the New York Times points out in When Bad Drinks Go Good: Just as the cocktail renaissance has brought…
  • Aug 15

    White-Collar Motive, Gun Crazy Movie

    White-Collar Motive, Gun Crazy Movie
    In 1950, producers Frank and Maurice King released Gun Crazy, a sometimes surreal Bonnie-and-Clyde story with an introverted, pacifist gun lover (Barton Tare, played by John Dall) and an English femme fatale sharpshooter …
  • Aug 14

    Search Warrants and Russia Raid

    Search Warrants and Russia Raid
    The execution of a search warrant on a residence owned by Paul Manafort, President Trump’s former campaign director, raises some interesting questions.  Search warrants are rarely necessary in white-collar cases, yet their use…
Rank this Week: 2555

Securities Fraud Lawyer Blog

Securities Fraud Lawyer Blog

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

https://www.securitiesfraudlawyerblog.net/
  • Aug 17

    Ernest Romer Barred by FINRA: Pending Investigation

    Ernest Romer Barred by FINRA: Pending Investigation
    Ernest Romer has been barred by FINRA; Update August, 2017: Michigan seeks cease and desist, intent to bar. On August 16, 2017 the state of Michigan’s Securities Division issued a notice of intent to revoke the securities licensing of…
  • Aug 17

    William Jordan Investments Investigation

    William Jordan Investments Investigation
    William Jordan Investments Barred by California DBO; Bankruptcy Filing! On August 16, 2017 the State of California’s Department of Business Oversight announced a consent order and issued a bar which prevents William Jordan Investments…
  • Aug 14

    Kevin Wanner barred over CD Sale

    Kevin Wanner barred over CD Sale
    Kevin Wanner barred over CD sales In January, 2016 FINRA barred broker Kevin Wanner formerly of Questar Capital Corporation and Woodbury Financial for his role in brokering certificates of deposit and selling unregistered securities. In…
Rank this Week: 1988

Strictly Business

Strictly Business

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

http://www.strictlybusinesslawblog.com/
  • Aug 17

    Accredited Investors vs. Qualified Clients vs. Qualified Purchasers: Understanding Investor Qualification

    Accredited Investors vs. Qualified Clients vs. Qualified Purchasers: Understanding Investor Qualification
    Private funds, such has hedge funds, private equity funds, and venture capital funds, are governed by a host of intersecting federal laws that impact who can invest in these fund, including the Securities Act of 1933, the Securities Exchange…
  • Jul 20

    New Options for Raising Capital for Startups and Growth Companie

    New Options for Raising Capital for Startups and Growth Companie
    Traditionally, when raising capital, an overwhelming majority of businesses have used Rule 506 of Regulation D, also often known as the “private placement exemption” as their exemption from securities registration requirements. In…
  • Jun 29

    The Life Cycle of a Private Equity or Venture Capital Fund

    The Life Cycle of a Private Equity or Venture Capital Fund
    Unlike most hedge funds, the investment holdings of private equity and venture capital funds typically are not liquid. Consequently, private equity and venture capital funds usually do not have any redemption rights and are organized to have…
Rank this Week: 2766

Stock Attorneys Blog

Stock Attorneys Blog

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

http://www.stockattorneysblog.com/
  • Aug 16

    Burris Suspended by FINRA for Five Business Day

    Burris Suspended by FINRA for Five Business Day
    (FINRA Case #2015044921601) Johnny Earl Burris (CRD #2850953, Surprise, Arizona) submitted an Offer of Settlement in which he was assessed a deferred fine of $5,000 and suspended from association with any FINRA member in all capacities for…
  • Aug 10

    Bullock Censured and Fined by FINRA

    Bullock Censured and Fined by FINRA
    (FINRA Case #2016051902901) Robert Michael Bulloch (CRD #2541075, Raleigh, North Carolina) An AWC (Accept, Waiver & Consent) was issued in which Bulloch was censured and fined $10,000. Without admitting or denying the findings, Bulloch…
  • Aug 8

    Cetera Advisors LLC Sanctioned by FINRA

    Cetera Advisors LLC Sanctioned by FINRA
    (FINRA Case #2016050259001) Cetera Advisors LLC (CRD #10299, Denver, Colorado) – An AWC (Accept, Waiver & Consent) was issued in which the firm was censured and required to provide a remediation plan to FINRA to remediate eligible…
Rank this Week: 4346

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
  • Aug 16

    Newman and Salman Come Into Play With Conradt Appeal

    Newman and Salman Come Into Play With Conradt Appeal
    In 2014, the United States Court of Appeals for the Second Circuit ("2Cir") vacated the insider-trading convictions of two individuals on the ground that the Government had failed to present sufficient evidence that they knew the information…
  • Aug 16

    FINRA Public Customer Arbitration Decision Becomes A Legend

    FINRA Public Customer Arbitration Decision Becomes A Legend
    For those of you who love mandatory customer and industry arbitration before the Financial Industry Regulatory Authority ("FINRA"), I am pleased to present today's analysis of a recent public-customer arbitration. Without question, this case…
  • Aug 14

    STEPHEN A. KOHN Wins Three-Way Race for 2017 FINRA Small Firm Governor

    STEPHEN A. KOHN Wins Three-Way Race for 2017 FINRA Small Firm Governor
    A PERSONAL MESSAGE FROM BILL SINGER, ESQ. , THE  PUBLISHER OF THE BROKEANDBROKER.COM BLOG:On August 22, 2017, the Financial Industry Regulatory Authority ("FINRA") announced that Stephen A. Kohn, President and CEO of Stephen A. Kohn…
Rank this Week: 3647

Canadian Securities Law Online

Canadian Securities Law Online

Covers Canadian securities law topics, including disclosures, corporate governance, mergers, registration and compliance. By Stikeman Elliott.

http://www.canadiansecuritieslaw.com/
  • Aug 11

    The Equity Margin Project: IIROC Withdraws Phase II of the Main Proposal for the New Methodology for Margining Equity Securitie

    The Equity Margin Project: IIROC Withdraws Phase II of the Main Proposal for the New Methodology for Margining Equity Securitie
     On July 13, 2017, the Investment Industry Regulatory Organization of Canada published IIROC Notice 17-0144 Withdrawal of the New Methodology for Margining Equity Securities-Dealer Member Rule 100 and Form 1 withdrawing Phase II of…
  • Aug 3

    IIROC Best Execution Amendments and Guidance

    IIROC Best Execution Amendments and Guidance
    Darin Renton -  On July 6, 2017, the Investment Industry Regulatory Organization of Canada (IIROC) published final amendments to the Universal Market Integrity Rules (UMIR) and the Dealer Member Rules (DMR) related to best execution…
  • Aug 3

    NI 31-103 Amendments: EMDs Banned from Prospectus Offering

    NI 31-103 Amendments: EMDs Banned from Prospectus Offering
    Alix d’Anglejan-Chatillon and Darin Renton -  New custody rules for non-SRO registrants also introduced Under a series of amendments to National Instrument 31-103 – Registration Requirements, Exemptions and Ongoing…
Rank this Week: 4719

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
  • Aug 10

    FBI Investigating Former Boston Morgan Stanley Broker James Polese

    FBI Investigating Former Boston Morgan Stanley Broker James Polese
    According to AdvisorHub, the Federal Bureau of Investigation has interviewed at least one client of James Polese, a Boston-area broker who Morgan Stanley fired for allegedly misappropriating client assets. Morgan Stanley recently fired Polese…
  • Aug 10

    FBI Investigating Former Boston Morgan Stanley Broker James Polese

    FBI Investigating Former Boston Morgan Stanley Broker James Polese
    According to AdvisorHub, the Federal Bureau of Investigation has interviewed at least one client of James Polese, a Boston-area broker who Morgan Stanley fired for allegedly misappropriating client assets. Morgan Stanley recently fired Polese…
  • Aug 2

    FINRA Suspends and Fines Former Cleveland Wells Fargo Broker John Dettelbach

    FINRA Suspends and Fines Former Cleveland Wells Fargo Broker John Dettelbach
    FINRA recently suspended former Wells Fargo broker John Dettelbach for unauthorized trading in client accounts. Without admitting or denying the findings, Dettelbach consented to the sanctions and to the entry of findings that he exercised…
Rank this Week: 4765

Securities Compliance Sentinel

Securities Compliance Sentinel

Covers securities industry compliance and enforcement issues. By Fox Rothschild LLP.

http://securitiescompliancesentinel.foxrothschild.com
  • Aug 9

    Cybersecurity Insights from the SEC

    Cybersecurity Insights from the SEC
      Over the last several months, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) has been conducting a “sweep examination” of over 70 broker-dealers and investment advisers to…
  • Aug 9

    Cybersecurity — What are you doing

    Cybersecurity — What are you doing
    The SEC recently issued an alert for investment advisors regarding cybersecurity.  Here is a link to a story on the alert.  Are you doing enough to fight this risk?  If you do not have an answer, then the answer is probably no.…
  • Jul 26

    Rogue Brokers Beware

    Rogue Brokers Beware
      FINRA is ever-increasing its focus on rogue brokers.  For the latest on this issue, check out this recent post.Continue Reading…
Rank this Week: 3805

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/
Rank this Week: 4216