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Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
Rank this Week: 18

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: 27

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

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

    Advisor David Zier Investigated Over ZAM Fund Investment Scheme

    Advisor David Zier Investigated Over ZAM Fund Investment Scheme
    According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor David Zier (Zier), in October 2014, was terminated by his then employer City National Securities, Inc. (City National) and was under…
  • Oct 16

    Advisor Scott Newsholme Accused of Stealing More than $1 Million From Client

    Advisor Scott Newsholme Accused of Stealing More than $1 Million From Client
    According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Scott Newsholme (Newsholme), in September 2017, was accused by the Securities and Exchange Commission (SEC) of stealing more than $1 million…
  • Oct 15

    Advisor William Glaser Under FBI Investigation in Connection With Paul Creager Real Estate Securitie

    Advisor William Glaser Under FBI Investigation in Connection With Paul Creager Real Estate Securitie
    According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor William Glaser (Glaser), in September 2017, was accused by FINRA of failing to cooperate in an investigation into the circumstances…
Rank this Week: 73

Securities Law Attorneys Blog

Securities Law Attorneys Blog

Covers securities law. By Fitapelli | Kurta.

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

    Howard Niemoeller Received a Customer Complaint Following Allegations of Rule Violation

    Howard Niemoeller Received a Customer Complaint Following Allegations of Rule Violation
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 18, 2017 indicate that California-based Ameriprise Financial Services broker/adviser Howard Niemoeller has received a pending…
  • Oct 19

    Felipe Arrieta Received a Complaint for Misusing Margin and Acting Negligently

    Felipe Arrieta Received a Complaint for Misusing Margin and Acting Negligently
    Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 18, 2017 indicate that Florida-based Dakota Securities International broker/adviser Felipe Arrieta has received resolved or pending…
  • Oct 19

    James McCloskey Has Received One Pending Customer Complaint

    James McCloskey Has Received One Pending Customer Complaint
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 18, 2017 indicate that California-based Securian Financial Services broker/adviser James McCloskey has received a pending…
Rank this Week: 96

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/
  • Oct 15

    Rosenfeld on SEC Enforcement

    Rosenfeld on SEC Enforcement
    David Rosenfeld has posted Admissions in SEC Enforcement Cases: The Revolution That Wasn't on SSRN with the following abstract: In 2013, the SEC departed from its long-standing policy of settling enforcement matters on a no-admit/no-deny…
  • Oct 15

    Anderson on Insider Trading

    Anderson on Insider Trading
    John P. Anderson has posted Insider Trading and the Myth of Market Confidence on SSRN with the following abstract: Promoting public confidence in securities markets is a policy goal that is frequently cited by commentators, Congress, the…
  • Oct 15

    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: Ryan H. Gilinson, Note, Clicks and Tricks: How Computer Hackers Avoid 10b-5 Liability, 82 Brook. L. Rev. 1305 (2017). Allan Horwich, The…
Rank this Week: 85

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: 103

Recover Investment Losses Blog

Recover Investment Losses Blog

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

http://blog.rexsecuritieslaw.com
Rank this Week: 152

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/
  • Oct 20

    Benefit Street Partners Realty Trust Securities Investigation

    Benefit Street Partners Realty Trust Securities Investigation
    Investigating Potential Claims Involving Benefit Street Partners Realty Trust The White Law Group is investigating potential securities fraud claims involving broker-dealers’ improper recommendation that some investors…
  • Oct 19

    OHA Investment Corporation BDC Securities Investigation

    OHA Investment Corporation BDC Securities Investigation
    OHA Investment Corporation- ‍Castex and its affiliates file for bankruptcy The White Law Group is investigating potential claims involving OHA Investment Corporation. OHA Investment Corporation (NASDAQ: OHAI) is a business development…
  • Oct 18

    Investor Alert: Cole Credit Property Trust IV Securities Investigation

    Investor Alert: Cole Credit Property Trust IV Securities Investigation
    Cole Credit Property Trust IV Tender offer $6.01/Share Did you lose money investing in Cole Credit Property Trust IV at the recommendation of your financial advisor? If so, The White Law Group may be able to help you recover your losses by…
Rank this Week: 139

Investment Fraud Information

Investment Fraud Information

By Andrew Stoltmann.

http://www.investmentfraudtimes.com/securities-fraud-attorneys/
  • Oct 20

    Ronald Birnbaum Losses? How We Can Help

    Ronald Birnbaum Losses? How We Can Help
    Stoltmann Law Offices is interested in speaking to those investors who may have invested money with Ronald Birnbaum. He is an advisor with Advisory Group Equity Services. He allegedly recommended a private placement corporate bond whose…
  • Oct 19

    For Victims of Joel Archer and Summit Brokerage Service

    For Victims of Joel Archer and Summit Brokerage Service
    Stoltmann Law Offices is investigating Joel Archer, a broker with Summit Brokerage Services. Allegedly, Archer cold-called a retired woman from California and she opened two accounts with him. Archer allegedly told the client that all of her…
  • Oct 16

    Jamil Ahmed Entered Into An AWC with FINRA

    Jamil Ahmed Entered Into An AWC with FINRA
    Recently, Jamil Ahmed, a former broker with MSI Financial Services, formerly known as MetLife, entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA). Allegedly, Ahmed borrowed a…
Rank this Week: 120

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/
  • Oct 18

    Mining Company Rio Tinto Accused of Fraud, Settles with FCA for $36M

    Mining Company Rio Tinto Accused of Fraud, Settles with FCA for $36M
    The US Securities and Exchange Commission has filed fraud charges against Rio Tinto and its ex-CFO Guy Robert Elliot and former CEO Thomas Albanese. The defendants are accused of hiding the Mozambique coal business’s swift and steep…
  • Oct 16

    Jury Rules Against Former F-Squared CEO in SEC’s ETF Fraud Case

    Jury Rules Against Former F-Squared CEO in SEC’s ETF Fraud Case
    A federal jury in Boston has found Howard Present, the ex-CEO of F-Squared Investments Inc., liable in the US Securities and Exchange Commission’s civil lawsuit alleging exchange-traded fund fraud. The ruling determined that Present was…
  • Oct 11

    Barclays Fights $31B Residential Mortgage-Backed Securities Fraud Lawsuit

    Barclays Fights $31B Residential Mortgage-Backed Securities Fraud Lawsuit
    In New York federal court, Barclays PLC (BAC) is trying to get the US government’s civil residential mortgage-backed securities fraud lawsuit against it dismissed. Prosecutors went after the British bank, a number of its affiliates, and…
Rank this Week: 170

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: 164

Securities Fraud Lawyer Blog

Securities Fraud Lawyer Blog

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

https://www.securitiesfraudlawyerblog.net/
  • Oct 13

    FINRA fines Mercury Securitie

    FINRA fines Mercury Securitie
    Mercury Securities hit with censure and fine In July 2017, the Financial Industry Regulatory Authority (“FINRA”) announced that Mercury Securities of San Rafael, CA submitted an acceptance, waiver and consent letter regarding its…
  • Oct 6

    Sean Sladek Sentenced to 46 Months for Wire Fraud

    Sean Sladek Sentenced to 46 Months for Wire Fraud
    Sean Sladek pleads guilty in Las Vegas USDC The securities attorneys at The Law Office of David Liebrader have opened an investigation into the investment related conduct of Sean Sladek, who plead guilty on October 4, 2017 to defrauding…
  • Oct 1

    Terry Bahgat Barred by FINRA Sued by SEC

    Terry Bahgat Barred by FINRA Sued by SEC
    Terry Bahgat who was barred by FINRA in March, 2017, has now been sued by the SEC. In March, 2017 FINRA barred former Cambridge Investment Research and Gradient Securities broker Terry Bahgat, aka Tarek Bahgat for refusing to cooperate with a…
Rank this Week: 204

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • Oct 22

    October in Seoul

    October in Seoul
    The D&O Diary’s Asian assignment continued last week with a stop in Seoul, South Korea’s capital city. This was my first visit to Seoul. Turns out, Seoul is a big, amazing city. It is larger than either New York or London and…
  • Oct 19

    Tokyo

    Tokyo
    The D&O Diary is on assignment in Asia this week, with the first stop for meetings in Tokyo, Japan’s capital city. Tokyo is such an amazing place. With a population of 13.8 million in the city itself and a total of 37.8 million in…
  • Oct 18

    Guest Post: FAQs about Regulation A+ Securities Offering

    Guest Post: FAQs about Regulation A+ Securities Offering
    In March 2015, the SEC released its final rules implementing the provision of the JOBS Act to try to facilitate small companies’ access to capital and to provide new investors with new investment choices, in the form of Regulation A+.…
Rank this Week: 403

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/
  • Oct 18

    The SEC Wants to Know What’s Next for Blockchain: Are You Keeping Up?

    The SEC Wants to Know What’s Next for Blockchain: Are You Keeping Up?
    On October 12, 2017, the United States Securities and Exchange Commission’s Investor Advisory Committee met to discuss Blockchain technology and its impact on the securities industry. While Blockchain is best known as the decentralized…
  • Oct 10

    Supreme Court Likely to Decide Whether to Hear SEC ALJ Issue This Term

    Supreme Court Likely to Decide Whether to Hear SEC ALJ Issue This Term
    As the U.S. Supreme Court commenced a new term last week, one issue of substantial interest to many readers of this blog is whether the Court will address the constitutionality of the Securities & Exchange Commission’s use of…
  • Oct 3

    SEC Chairman Testifies About SEC’s Direction and 2016 Cyberattack

    SEC Chairman Testifies About SEC’s Direction and 2016 Cyberattack
    On September 26, 2017, SEC Chairman Jay Clayton testified before the Senate’s Banking, Housing and Urban Affairs Committee regarding the direction of the SEC under his Chairmanship. He also took the opportunity to address the 2016…
Rank this Week: 367

New York Securities Lawyer Blog

New York Securities Lawyer Blog

Covers securities law. By Lax & Neville LLP.

http://www.newyorksecuritieslawyerblog.com/
Rank this Week: 304

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/
  • 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…
  • 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…
Rank this Week: 295

Wall Street Investment Fraud…

Wall Street Investment Fraud Lawyer Blog

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

http://www.wallstreetinvestmentfraudlawyer.com/
Rank this Week: 355

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/
  • Sep 19

    Title IX: Fair Campus, Foul Weather

    Title IX: Fair Campus, Foul Weather
    With Education Secretary Betsey Devos much in the news  over possible changes to the Dear Colleague letter promulgated by the DOE’s Office of Civil Rights, this note by me and my Lightfoot colleagues  Brandon Essig and Clint…
  • Sep 12

    Lauren Bacall and The Big Sleep: Film Noir Cool, White Collar Crime, Cocktail Cold

    Lauren Bacall and The Big Sleep: Film Noir Cool, White Collar Crime, Cocktail Cold
    To the extent that it reflected crime, Lauren Bacall’s work was noir, not white-collar; black, not white; guns, not accounting fraud.  Yet, there was an elegance and a fierceness about her films – especially those with…
  • Sep 1

    Impeachment Lessons and The Midnight Special

    Impeachment Lessons and The Midnight Special
    This post will eventually test your affinity for the 1970s, which featured both Richard Nixon and The Midnight Special. The Special was formative in my teenage years, which explains a great deal. But first, many thanks to the Network of…
Rank this Week: 322

Andrew Abramowitz, PLLC

Andrew Abramowitz, PLLC

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

http://aalegalnyc.com/blog/
  • Sep 14

    A Possible Expansion of Regulation A+

    A Possible Expansion of Regulation A+
    On September 5, 2017, the U.S. House of Representatives overwhelmingly approved a bill that would allow already-public reporting companies to use the provisions of so-called Regulation A+ to make securities offerings. Regulation A+ in its…
  • Aug 30

    The Limits of Networking

    The Limits of Networking
    Business professor Adam Grant, writing in the New York Times, argues that business networking activities are overrated. (Grant is the author of Give and Take, one of the rare business advice books that I have actually read. It’s…
  • Aug 21

    Why Robots Won’t Replace Lawyers Anytime Soon

    Why Robots Won’t Replace Lawyers Anytime Soon
    Ezra Klein, writing in Vox, argues that at least over the short to medium-term, robots won’t be taking our jobs. Stating that most jobs a hundred years ago involved the production of food and collection of water, he goes on to note…
Rank this Week: 321

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: 416

Stock Market Loss

Stock Market Loss

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

http://www.stockmarketloss.com/news/
  • Oct 21

    Christopher Thomas Tolmacs Liable for Negligence in $1.2 Million Case

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

    Stockbroker Mark S. Perry Barred for Unsuitable Trading

    Stockbroker Mark S. Perry Barred for Unsuitable Trading
    FINRA has suspended Mount Pleasant, S.C. stockbroker Mark S. Perry from associating with any brokerage firm in any capacity for a period of eighteen months. Perry was most recently employed by Independent Financial Group. Before that, he was…
  • Oct 18

    Investor Ryan Paugh Accused of Broker Misconduct

    Investor Ryan Paugh Accused of Broker Misconduct
    Beachwood and Independence, Ohio – Ryan Paugh is under FINRA investigation for violating NASD Rule 3040 and FINRA Rule 3040. Paugh has been associated with J.P. Morgan Chase Securities, and Chase Investment Services. He is being…
Rank this Week: 761

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Oct 20

    Edgar Woes Piling Up? Fee Problems & Delayed Offering Filings?

    Edgar Woes Piling Up? Fee Problems & Delayed Offering Filings?
    The title of this blog includes multiple question marks because the SEC continues to keep us in the dark when Edgar has problems. I’m not talking about the cyber breach that was recently announced. I’ve been harping for some time…
  • Oct 19

    Revenue Recognition: PCAOB Guidance on New FASB Standard

    Revenue Recognition: PCAOB Guidance on New FASB Standard
    Recently, the PCAOB issued this Staff audit alert to assist independent auditors in applying PCAOB standards when they audit their client’s implementation of FASB’s new revenue recognition standard.  Topics covered…
  • Oct 18

    Today: “Say-on-Pay Workshop – 14th Annual Executive Compensation Conference”

    Today: “Say-on-Pay Workshop – 14th Annual Executive Compensation Conference”
    Today is the “Say-on-Pay Workshop: 14th Annual Executive Compensation Conference”; yesterday was the “Pay Ratio & Proxy Disclosure Conference” (video archive is posted). Note you can still register to watch online…
Rank this Week: 564

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/
  • Oct 19

    FINRA Considering Rule Changes for Non-Attorneys In Arbitration

    FINRA Considering Rule Changes for Non-Attorneys In Arbitration
    FINRA Requests Comment on the Efficacy of AllowingCompensated Non-Attorneys to Represent Parties inArbitrationFINRA Rules do not prohibit non-attorneys from representing parties in arbitrations, although some states do have such a…
  • Oct 18

    SEC Names Brett Redfearn as Director of the Division of Trading and Market

    SEC Names Brett Redfearn as Director of the Division of Trading and Market
    The Securities and Exchange Commission today announced that Brett Redfearn has been named Director of the agency's Division of Trading and Markets.The SEC's Division of Trading and Markets establishes and maintains standards for fair,…
  • Oct 18

    SEC Announces 2017 Government-Business Forum to Be Held at University of Texas at Austin

    SEC Announces 2017 Government-Business Forum to Be Held at University of Texas at Austin
    The Securities and Exchange Commission today announced it is partnering with the Herb Kelleher Center for Entrepreneurship, Growth, and Renewal at the McCombs School of Business at The University of Texas at Austin to host the SEC’s…
Rank this Week: 565

Stock Attorneys Blog

Stock Attorneys Blog

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

http://www.stockattorneysblog.com/
  • Oct 19

    FINRA Complaint Filed Against Lawrence for Unapproved Loan from Customer

    FINRA Complaint Filed Against Lawrence for Unapproved Loan from Customer
    (FINRA Case #2016051945101) Thomas H. Lawrence III (CRD #1839619, Chapel Hill, Tennessee) – Lawrence was named a respondent in a FINRA complaint alleging that he borrowed more than $39,000 from one of his securities customers, a retiree…
  • Oct 17

    Likens, Suspended and Fined for Unapproved Loans from Customer

    Likens, Suspended and Fined for Unapproved Loans from Customer
    (FINRA Case #2016049871601) Jason Hunter Likens (CRD #4716661, Asheville, North Carolina) – An AWC (Accept, Waiver & Consent) was issued in which Likens was assessed a deferred fine of $10,000 and suspended from association with any…
  • Oct 12

    Hushek Suspended and Fined by FINRA

    Hushek Suspended and Fined by FINRA
    (FINRA Case #2013035817702) Daniel Joseph Hushek III (CRD #4250117, Bradenton, Florida) – An AWC (Accept, Waiver & Consent) was issued in which Hushek was assessed a deferred fine of $10,000 and suspended from association with any…
Rank this Week: 773

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • Oct 19

    FINRA Changes To Arbitration Procedure

    FINRA Changes To Arbitration Procedure
    FINRA is considering a number of changes to its arbitration procedure.  For a good discussion on the subject, see this article.Continue Reading…
  • Sep 26

    So You Think You Have No Cybersecurity Issue

    So You Think You Have No Cybersecurity Issue
    Recent exams have shown that cybersecurity weaknesses are a real issue for the industry.  This article from the Investment News provides the detail.    Continue Reading…
  • Sep 26

    So You Think You Have No Cybersecurity Issue

    So You Think You Have No Cybersecurity Issue
    Recent exams have shown that cybersecurity weaknesses are a real issue for the industry.  This article from the Investment News provides the detail.    Continue Reading…
Rank this Week: 826

Securities Law Blog

Securities Law Blog

Covers securities law. By Fitapelli | Kurta.

https://www.securities-law-attorney.com/
  • Oct 18

    Stuart Pearl Has Been Sanctioned by FINRA

    Stuart Pearl Has Been Sanctioned by FINRA
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 18, 2017 indicate that Illinois-based David A. Noyes & Company broker/adviser Stuart Pearl has been sanctioned by FINRA and…
  • Oct 17

    Trevor Gordon Has Been Named in a Pending FINRA Complaint

    Trevor Gordon Has Been Named in a Pending FINRA Complaint
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 13, 2017 indicate that South Carolina-based Sandlapper Securities broker/adviser Trevor Gordon has been named in a pending…
  • Oct 17

    Jonathan Maxson Has Been the Subject of a Customer Complaint

    Jonathan Maxson Has Been the Subject of a Customer Complaint
    Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 13, 2017 indicate that Tennessee-based Kalos Capital broker/adviser Jonathan Maxson has received resolved or pending customer disputes.…
Rank this Week: 796

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
  • Oct 18

    BrokeAndBroker.com Blog by Bill Singer, Esq. WEEK IN REVIEW

    BrokeAndBroker.com Blog by Bill Singer, Esq. WEEK IN REVIEW
    Absurd Unexplained Public Customer FINRA Arbitration Decision http://www.brokeandbroker.com/3630/finra-arbitration-decision/BrokerAndBroker.com Blog's publisher Bill Singer, Esq. ain't always a popular guy. There are those who view him…
  • Oct 17

    Absurd Unexplained Public Customer FINRA Arbitration Decision

    Absurd Unexplained Public Customer FINRA Arbitration Decision
    BrokerAndBroker.com Blog's publisher Bill Singer, Esq. ain't always a popular guy. There are those who view him as an annoying gadfly, a blowhard, and an attention seeker. A lot of that comes from Wall Street interests and industry apologists…
  • Oct 16

    Securities Industry Commentator by Bill Singer, Esq.

    Securities Industry Commentator by Bill Singer, Esq.
    Investment Adviser Charged With Stealing $9 Million From Charitable Foundation (Press Release, Securities and Exchange Commission) https://www.sec.gov/litigation/litreleases/2017/lr23970.htmThe SEC charged John Rogicki, managing director and…
Rank this Week: 747

Tim O'Connor's Blog

Tim O'Connor's Blog

Covers stockbroker fraud.

http://stockbrokerlaw.com/tim-oconnors-blog
  • Oct 17

    Don't Get Bit By Initial Coin Offerings - FINRA Issues Investor Alert

    Don't Get Bit By Initial Coin Offerings - FINRA Issues Investor Alert
    In an Investor Bulletin entitled “Initial Coin Offerings” the New York State Securities and Exchange Commission warned investors about the pitfalls of ICO’s (Initial Coin Offerings) also known as token sales to raise…
  • Oct 3

    FINRA Addresses RegTech and Technology Enabled Transformation of Regulatory Compliance

    FINRA Addresses RegTech and Technology Enabled Transformation of Regulatory Compliance
    At its annual conference held in Washington, DC in May of this year, FINRA included a session to provide guidance for practices at FINRA member firms regarding the use of emerging technology in compliance and operations.  The session…
  • Sep 27

    Inherited IRA’s Are Now Subject to Claims of Creditor

    Inherited IRA’s Are Now Subject to Claims of Creditor
    Do you have an inherited IRA?  Do you know that it may not be exempt from claims of creditors and it may not be subject to the same protections afforded other IRA’s such as regular IRA’s, Roth IRA’s, SEP IRA and…
Rank this Week: 754

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: 852

Representing Investors

Representing Investors

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

http://www.investorprotection.com/blog
Rank this Week: 694

InvestorLawyers.net

InvestorLawyers.net

Covers the right to recover money from dishonest stockbrokers and investment advisers.

http://www.investorlawyers.net/blog/
Rank this Week: 770

The Securities Edge

The Securities Edge

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

http://www.thesecuritiesedge.com/
  • Oct 16

    SEC’s Attempt to Modernize and Streamline Disclosures for Public Companies Falls Short

    SEC’s Attempt to Modernize and Streamline Disclosures for Public Companies Falls Short
      Last year, Congress required the SEC to review the public company disclosure requirements in Regulation S-K and make detailed recommendations as to how those rules might be changed to modernize and simplify the requirements while still…
  • Oct 16

    SEC’s Attempt to Modernize and Streamline Disclosures for Public Companies Falls Short

    SEC’s Attempt to Modernize and Streamline Disclosures for Public Companies Falls Short
      Last year, Congress required the SEC to review the public company disclosure requirements in Regulation S-K and make detailed recommendations as to how those rules might be changed to modernize and simplify the requirements while still…
  • Sep 27

    Your tax dollars at work (at the SEC)

    Your tax dollars at work (at the SEC)
      With Chair Jay Clayton and Corp Fin Director Bill Hinman now in office for several months, the SEC seems to be gaining traction in a number of areas of interest to public companies. Pay Ratio Disclosures As we noted in a Gunster…
Rank this Week: 962

Securities Arbitration Blog

Securities Arbitration Blog

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

https://securitiesarbitrations.com/category/news/
  • 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…
  • Sep 19

    Spring Runs Cold for Cold Spring Advisory Group

    Spring Runs Cold for Cold Spring Advisory Group
    Last September we wrote an article entitled: “Securities Regulators Caution Suckers to Avoid Fake Lawyers.” As we stated, on September 19, 2016, FINRA issued an Investor Alert, entitled “It can be hard to recover from…
  • Sep 14

    Arbitration Panel Awards $300,000 Over Failed Oil and Gas Venture

    Arbitration Panel Awards $300,000 Over Failed Oil and Gas Venture
    Heath Marell, Susan Marell and James Marell filed a claim in March 2016 against Mark Allan Plummer and Texas E & P Partners, Inc., alleging breach of contract, failure to supervise, negligence, intentional fraud and misrepresentation,…
Rank this Week: 614

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/
Rank this Week: 1003

New York Securities Lawyers Blog

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

http://www.newyorksecuritieslawyersblog.com/
  • Sep 7

    Did Seadrill Leave a Hole in Your Investment Portfolio?

    Did Seadrill Leave a Hole in Your Investment Portfolio?
    It seems like every day there is a new “hot stock” being pushed by financial pundits and brokerage houses alike.  Seadrill Limited (ticker symbol, SDRL) was once one of these hot stocks, but it has since fallen from grace,…
  • Aug 7

    What Can We Learn About Investing from NBA-Legend Tim Duncan? – Part 2 of 2

    What Can We Learn About Investing from NBA-Legend Tim Duncan? – Part 2 of 2
    This is Part 2 of an article we posted last week on former NBA-great, Tim Duncan, where we introduced the investing lessons that could be gleaned from Duncan’s relationship with his former financial adviser, Charles A. Banks, who was…
  • Jul 28

    What Can We Learn About Investing from NBA Legend Tim Duncan? – Part 1 of 2

    What Can We Learn About Investing from NBA Legend Tim Duncan? – Part 1 of 2
    Last month we learned that Tim Duncan’s financial adviser was sentenced by a federal court to four years in prison for defrauding the NBA legend of $7.5 million.  Duncan earned over $220 million during his playing career, so he is…
Rank this Week: 477

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: 996

William Carleton, Counselor @ Law

William Carleton, Counselor @ Law

Covers legal and investment issues facing emerging tech companies.

http://www.wac6.com/wac6/
  • Mar 16

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

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

    A Gift from Congress to Angel

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

    Looking for Mr. 506(c)

    Looking for Mr. 506(c)
    "On a relative basis, issuances claiming the new Rule 506(c) exemption have accounted for only 2.1% of the reported capital raised pursuant to Rule 506 since becoming effective in September 2014." So reads a key finding of a report,…
Rank this Week: 610

Page Perry LLC Blog

Page Perry LLC Blog

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

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

    CYNK Latest Wall Street Trap?

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

    Former LPL Broker Jason Parker Leaves Trail Of Complaint

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

    Pension Advisers Fall Under Scrutiny

    Pension Advisers Fall Under Scrutiny
    The problem of conflicts of interest for pension advisers attracted Congressional attention, according to a Wall Street Journal article by Dan Fitzpatrick  (June 9, 2014).  U.S. Representative George Miller (D., Calif.) has written…
Rank this Week: 784

Perry Krumsiek & Jack Law Blog

Perry Krumsiek & Jack Law Blog

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

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

    Here’s One Government Program Worth HARPing On

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

    Here’s One Government Program Worth HARPing On

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

    The Lincoln Lawyer

    The Lincoln Lawyer
    Before Abraham Lincoln became our greatest president, he was a great corporate lawyer.  And before he was a corporate lawyer, he was a brilliant trial lawyer. In the 1840s, Lincoln represented a Revolutionary War widow who had been bilked…
Rank this Week: 919

Dividends and Preferences

Dividends and Preferences

Musings on Venture Capital, Technology and Entrepreneurship. By Hank J. Heyming.

http://www.dividendsandpreferences.com/
  • Apr 25

    Out and About

    Out and About
    Hey folks -- I'm getting ready to head down to the RTP area for the annual CED Venture Conference.  This year it is in downtown Raleigh, instead of Pinehurst, and looks to be bigger and better than ever. So, if anyone happens to be in the…
  • Apr 19

    Securities Law FAIL

    Securities Law FAIL
    Longtime viewers of this blog will recall that one of my favorite memes is -- "Try Not to Violate Securities Laws."  It never ceases to amaze me how easily and often folks violate securities laws.  It is a war of information, people, and…
  • Apr 18

    Someone Wrote a Book About Me!

    Someone Wrote a Book About Me!
    (Well, maybe not a whole book, but at least a short chapter...) Hey folks!  I know it has been a little while since I've posted anything.  I typically take a break over the winter holidays, but have really let it go for too long.…
Rank this Week: 938

Business Law Post

Business Law Post

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

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

    Blockchain: Recordkeeping in the 21st Century

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

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

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

    Cryptocurrency: the Origin and Growth of Coinopoly

    Cryptocurrency: the Origin and Growth of Coinopoly
    Mired in the aftermath of the U.S. financial crisis, the year 2009 may have started one of the largest financial revolutions since the birth of paper currency in 1690. Much like its predecessors, cryptocurrency faces an uphill battle of…
Rank this Week: 2905

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/
  • Oct 20

    InsurTech series: Is InsurTech going to be disruptive for the insurance industry?

    InsurTech series: Is InsurTech going to be disruptive for the insurance industry?
    Nicholas Berry, a partner in London and Chris Sandilands, a partner from Oxbow Partners, present a video series on InsurTech. Watch the second video in the series: Is InsurTech going to be disruptive for the…
  • Oct 20

    InsurTech series: Is InsurTech something new?

    InsurTech series: Is InsurTech something new?
    Nicholas Berry, a partner in London and Chris Sandilands, a partner from Oxbow Partners, present a video series on InsurTech. Watch the first video in the series: InsurTech series: Is InsurTech something new?…
  • Oct 20

    FCA review of debt management sector gets underway

    FCA review of debt management sector gets underway
    The FCA has announced that it is undertaking a thematic review of the debt management sector, in line with the commitment made in its 2017/18 Business Plan. The scope of the FCA’s review will be based on a sample of both fee-charging…
Rank this Week: 1549

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Oct 20

    Stock purchase scheme almost ensnares transfer agent

    Stock purchase scheme almost ensnares transfer agent
    By R. Jason Howard, J.D.The Massachusetts District Court has granted VStock Transfer, LLC’s motion to dismiss after it determined that the plaintiff, B2 Opportunity Fund, LLC, failed to plead scienter in connection with a questionable…
  • Oct 19

    Staff clarifies non-GAAP C&DIs on business combination

    Staff clarifies non-GAAP C&DIs on business combination
    By Mark S. Nelson, J.D.The SEC’s Division of Corporation Finance issued a new Compliance & Disclosure Interpretation explaining the application of rules for non-GAAP financial measures to forecasts used in business combination…
  • Oct 18

    TICs are securities under North Carolina law, NASAA argue

    TICs are securities under North Carolina law, NASAA argue
    By John M. Jascob, J.D., LL.M.NASAA has urged the North Carolina Court of Appeals to uphold a trial court’s ruling that tenancy in common (TIC) interests were securities under North Carolina law. Although disclaiming any interest in the…
Rank this Week: 1156

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/
  • Oct 20

    Transcript: “Cybersecurity Due Diligence in M&A”

    Transcript: “Cybersecurity Due Diligence in M&A”
    We have posted the transcript for our recent webcast: “Cybersecurity Due Diligence in M&A.” – John Jenkin
  • Oct 19

    Efforts Clauses: The Delaware Chancery Court Speaks!

    Efforts Clauses: The Delaware Chancery Court Speaks!
    Lawyers like to fight over whether a party to a contract has to exercise “best efforts,” “commercially reasonable efforts” or some other level of efforts – but as we’ve noted in the past, courts either…
  • Oct 18

    Non-GAAP: New CDI Clarifies Exemption for M&A Forecast

    Non-GAAP: New CDI Clarifies Exemption for M&A Forecast
    We recently blogged about the uncertainty surrounding the scope of Reg G’s exemption for disclosure of non-GAAP information contained in projections provided to financial advisors.  Yesterday, Corp Fin…
Rank this Week: 1147

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/
  • Oct 20

    Professor Bainbridge Precises Corporate Philanthropy

    Professor Bainbridge Precises Corporate Philanthropy
    Earlier this week, UCLA Law School Professor Stephen Bainbridge precised the question of corporate philanthropy.  He notes “Virtually all states have adopted statutes specifically granting corporations the power to make…
  • Oct 19

    California And Virtual Annual Meeting

    California And Virtual Annual Meeting
    Seventeen years ago, Delaware amended Section 211 of the Delaware General Corporation Law to permit corporations to hold electronic meetings of stockholders.  72 Del. Laws, c. 343, §§ 7, 8.  In the ensuing years,…
  • Oct 18

    Las Vegas’ Airport And The Lawyer Who Went “All In” For His Client

    Las Vegas’ Airport And The Lawyer Who Went “All In” For His Client
    Passengers flying to Las Vegas arrive at the McCarran International Airport.  Having spent my youth in Las Vegas, I have many memories of going to the airport to greet arriving family or to fly East for school.  Then,…
Rank this Week: 2992