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The Race to the Bottom

The Race to the Bottom

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

http://www.theracetothebottom.org/
Rank this Week: 75

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: 79

Investor Lawyers Blog

Investor Lawyers Blog

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

https://www.investorlawyers.net/blog/
Rank this Week: 94

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/
  • Apr 23

    Financial Advisor Brett A. Ashy Barred from Securities Industry

    Financial Advisor Brett A. Ashy Barred from Securities Industry
    FINRA Reportedly Bars Brett Ashy, Mississippi Financial Advisor According to the Financial Industry Regulatory Authority (FINRA), on February 7 the regulator issued a Letter of Acceptance, waiver and consent (AWC) in which Brett Alexander…
  • Apr 23

    Beverly Hills Advisor Farid Morim Barred from Securities Industry

    Beverly Hills Advisor Farid Morim Barred from Securities Industry
    FINRA Reportedly Bars Farid Morim, Former JP Morgan Financial Advisor According to the Financial Industry Regulatory Authority (FINRA) on February 23, the regulator has barred financial advisor Farid Morim (CRD #5023477, Los Angeles,…
  • Apr 20

    Investor Alert -Tezos – Securities Fraud Investigation

    Investor Alert -Tezos – Securities Fraud Investigation
    Investigating Potential Claims involving Tezos According to the Financial Industry Regulatory Authority (FINRA) on Wednesday, the regulator has reportedly suspended former financial advisor Arthur Breitman (aka Arthur Meunier) from the…
Rank this Week: 104

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

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

    Charles Sorenson Allegedly Made Unauthorized Trade

    Charles Sorenson Allegedly Made Unauthorized Trade
    Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 19, 2018 indicate that Utah-based Allegis Investment Services broker/adviser Charles Sorenson has received resolved or pending customer…
  • Apr 23

    Customer Alleged William Wobbe Executed Unauthorized Trade

    Customer Alleged William Wobbe Executed Unauthorized Trade
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 19, 2018 indicate that Kentucky-based JJB Hilliard WL Lyons broker/adviser William Wobbe is involved in a pending customer…
  • Apr 23

    Geoffrey McCash Was Sanctioned by State Regulatory Authoritie

    Geoffrey McCash Was Sanctioned by State Regulatory Authoritie
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 19, 2018 indicate that Ohio-based Woodbury Financial Services broker/adviser Geoffrey McCash is involved in a pending customer…
Rank this Week: 122

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: 165

Securities Law Attorneys Blog

Securities Law Attorneys Blog

Covers securities law. By Fitapelli | Kurta.

http://www.securitieslawattorneys.net/
  • Apr 20

    James Clark Has Been the Subject of Four Regulatory Sanction

    James Clark Has Been the Subject of Four Regulatory Sanction
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 18, 2018 indicate that Texas-based Worth Financial Group broker/adviser James Clark has received customer disputes and…
  • Apr 19

    Customer Alleged Robert Abramowitz Recommended Unsuitable Investment

    Customer Alleged Robert Abramowitz Recommended Unsuitable Investment
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 18, 2018 indicate that New York-based National Securities Corporation broker/adviser Robert Abramowitz has been involved in…
  • Apr 19

    Joseph Ludovico Was Recently Named in a Regulatory Investigation

    Joseph Ludovico Was Recently Named in a Regulatory Investigation
    Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 17, 2018 indicate that former New York-based Cantor Fitzgerald broker Joseph Ludovico recently resigned from his former employer in…
Rank this Week: 198

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: 220

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • Apr 23

    Guest  Post: The State of Securities Litigation After Cyan

    Guest  Post: The State of Securities Litigation After Cyan
    As I noted at the time, on March 20, 2018, the U.S. Supreme Court issued its unanimous decision in Cyan, Inc. v. Beaver County Employees Retirement Fund, holding that state courts retain concurrent jurisdiction for liability actions under the…
  • Apr 19

    Images of London

    Images of London
    The D&O Diary is on assignment in Europe this week, with a first stop for meetings and events in London. In between, l had time for some touring around the city. I have visited London many times before, but just the same, I made a…
  • Apr 18

    Guest Post: Sexual Misconduct Claims: How Charitable is Your D&O Policy?

    Guest Post: Sexual Misconduct Claims: How Charitable is Your D&O Policy?
    Among other things, the media clamor about claims of sexual misconduct involving high profile politicians and business executives has in some instances led to D&O claims, as I recently noted. In the following guest post, Mark Sutton and…
Rank this Week: 296

Representing Investors

Representing Investors

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

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

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

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

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

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

    Discount Brokerage Firms May Be Hazardous to Investors’ Financial Health

    Discount Brokerage Firms May Be Hazardous to Investors’ Financial Health
    A front page article in The Wall Street Journal on January 11, 2018 (“Advisers at Leading Discount Brokers Win Bonuses to Push Higher-Priced Products”) exposed the fact that Fidelity, Charles Schwab and TD Ameritrade employees win…
Rank this Week: 303

California Corporate & Securities…

California Corporate & Securities Law

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

http://calcorporatelaw.com/
  • Dec 29

    The Form 8-Ks That The SEC May Have Overlooked

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

    Does Choice Of Law Include The Parol Evidence Rule?

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

    Nevada Supreme Court Won’t Allow Advisory Mandamus Escape Hatch

    Nevada Supreme Court Won’t Allow Advisory Mandamus Escape Hatch
    In Archon v. Eight Jud. Dist. Ct., 133 Nev. Adv. Op. 101 (2017), the Nevada Supreme Court provides a concise explanation of the uses of mandamus and administrative mandamus as escape hatches from the final judgment rule.  The…
Rank this Week: 241

Investment Fraud Information

Investment Fraud Information

By Andrew Stoltmann.

http://www.investmentfraudtimes.com/securities-fraud-attorneys/
  • Apr 23

    Former Broker-Dealer John Jumper Indicted on Federal Charges of Embezzling From Pension Fund

    Former Broker-Dealer John Jumper Indicted on Federal Charges of Embezzling From Pension Fund
    John Jumper, a former Memphis, Tennessee-based broker-dealer has been indicted on federal charges of embezzling $5.7 million from a Pennsylvania company’s employee pension fund. Federal prosecutors in Williamsport, Pennsylvania and…
  • Apr 16

    JP Morgan Whistleblower Option

    JP Morgan Whistleblower Option
    Please call our law firm today for a no-cost review if you wish to file a whistleblower claim against JP Morgan, and were a former or are a current employee of the firm. The type of activity the SEC is most interested in, includes brokers who…
  • Apr 13

    Andrew Stoltmann Discusses With Investment News…

    Andrew Stoltmann Discusses With Investment News…
    His fear of a “grotesquely bastardized” version of the fiduciary duty rule coming out of the Securities and Exchange Commission (SEC) in the near future. InvestmentNews The post Andrew Stoltmann Discusses With Investment…
Rank this Week: 438

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Apr 19

    Did John Pronovost Sell You the LJM Preservation Growth Fund?

    Did John Pronovost Sell You the LJM Preservation Growth Fund?
    The investment attorneys at Gana LLP are investigating customer complaints against Cambridge Investment Research broker John Provonost (Pronovost). According to BrokerCheck records kept by the Financial Industry Regulatory Authority (FINRA),…
  • Mar 7

    Dave Nicolas Has Been Subject to a Customer Complaint

    Dave Nicolas Has Been Subject to a Customer Complaint
    The investment attorneys at Gana LLP are investigating a customer complaint against Garden State Securities broker Dave Nicolas (Nicolas). According to BrokerCheck records kept by the Financial Industry Regulatory Authority (FINRA), A…
  • Mar 7

    Previously Registered Broker Alexander Kibrik Subject to Two Pending Complaint

    Previously Registered Broker Alexander Kibrik Subject to Two Pending Complaint
    The securities lawyers at Gana LLP are investigating complaints against broker Alexander Kibrik (Kibrik). According to BrokerCheck records, Kibrik currently has two pending customer complaints. In March 2017, a customer alleged unauthorized…
Rank this Week: 355

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/
  • Apr 18

    Investment Adviser is Accused of “Ponzi-Like” Scam Involving 50 Investors, Including Friends and Family

    Investment Adviser is Accused of “Ponzi-Like” Scam Involving 50 Investors, Including Friends and Family
    The US Securities and Exchange Commission has filed fraud charges against investment adviser Amrit J.S. Chahal, who founded Kane Capital investment Group, LLC. Chahal is accused of using his company to solicit about $1.4M from about 50…
  • Apr 18

    Former UBS Trader is On Trial for Spoofing

    Former UBS Trader is On Trial for Spoofing
    The criminal trial of former UBS Group AG (UBS) trader Andre Flotron is underway. Flotron is accused of engaging in spoofing in the gold market, including making orders for precious metals futures contracts not to actually execute them but to…
  • Apr 13

    Proposed Tax Ruling Could Bar Oil and Gas Pipelines from Structuring as Master Limited Partnership

    Proposed Tax Ruling Could Bar Oil and Gas Pipelines from Structuring as Master Limited Partnership
    Last month, the Federal Energy Regulatory Commission announced plans to stop oil and gas pipelines from being able to structure themselves as Master Limited Partnerships (MLPs) in order to get an income tax allowance for rates that are…
Rank this Week: 373

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/
  • Apr 16

    Second Circuit Limits Reach of SLUSA Preclusion in State Law Variable Annuity Class Action

    Second Circuit Limits Reach of SLUSA Preclusion in State Law Variable Annuity Class Action
    In O’Donnell v. AXA Equitable Life Insurance Co., No. 17-cv-1085, 2018 WL 1720808 (2d Cir. Apr. 10, 2018), the United States Court of Appeals for the Second Circuit reversed an order dismissing a variable annuity policyholder’s…
  • Mar 1

    SEC Takes Baby Steps on Cyber, but Signals Greater Vigilance

    SEC Takes Baby Steps on Cyber, but Signals Greater Vigilance
    On February 21, the Securities and Exchange Commission issued new Interpretive Guidance regarding disclosures of cybersecurity-related information by publicly traded companies. This guidance comes in the context of public pressure on the SEC…
  • Jan 26

    Higher Filing Thresholds for HSR Act Premerger Notifications and Interlocking Directorates Announced

    Higher Filing Thresholds for HSR Act Premerger Notifications and Interlocking Directorates Announced
    Higher Thresholds For HSR Filings On January 26, 2018, the Federal Trade Commission announced revised, higher thresholds for premerger filings under the Hart-Scott-Rodino Antitrust Improvements Act of 1976. The filing thresholds are revised…
Rank this Week: 440

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/
  • Apr 23

    PE Funds & CEOs: Can’t We All Just Get Along?

    PE Funds & CEOs: Can’t We All Just Get Along?
    This AlixPartners report says that the relationship between portfolio company CEOs & their private equity owners is often pretty rocky – and that it too often leads to disruptive & costly departures. Here’s an excerpt: For…
  • Apr 20

    Due Diligence: Will Artificial Intelligence Change the Game?

    Due Diligence: Will Artificial Intelligence Change the Game?
    Listening to Alexa laugh at me while I pound away on my keyboard doesn’t make me real excited about the prospect of this – but this recent Norton Rose Fulbright blog says that the future of M&A due diligence belongs to…
  • Apr 19

    Antitrust: Shorter M&A Investigations in Q1 – But More Enforcement

    Antitrust: Shorter M&A Investigations in Q1 – But More Enforcement
    Dechert’s latest report on the timing of antitrust merger investigations says that average duration of significant investigations declined during Q1 2018 in both the U.S. & the EU. Significant U.S.…
Rank this Week: 653

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

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

    Insider Trading: “Good Guess! You’re Under Arrest.”

    Insider Trading: “Good Guess! You’re Under Arrest.”
    Broc recently blogged about the insider trading case involving an Equifax executive. While it appears on the surface to be pretty plain vanilla, this McGuireWoods blog says that the case may be pushing the envelope when it comes to what…
  • Apr 23

    Insider Trading: “Good Guess! You’re Under Arrest.”

    Insider Trading: “Good Guess! You’re Under Arrest.”
    Broc recently blogged about the insider trading case involving an Equifax executive. While it appears on the surface to be pretty plain vanilla, this McGuireWoods blog says that the case may be pushing the envelope when it comes to what…
  • Apr 20

    Cybersecurity: NIST’s New Framework (Version 1.1)

    Cybersecurity: NIST’s New Framework (Version 1.1)
    Recently, NIST released an updated cybersecurity framework. This popular framework is entitled “Version 1.1” rather than the “2.0” that some have been calling it (including us) when the proposal was released last year.…
Rank this Week: 658

New York Securities Lawyer Blog

New York Securities Lawyer Blog

Covers securities law. By Lax & Neville LLP.

http://www.newyorksecuritieslawyerblog.com/
Rank this Week: 456

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/
  • Apr 19

    Winship on Insider Trading

    Winship on Insider Trading
    Verity Winship has posted Disgorgement in Insider Trading Cases: FY2005-FY2015 on SSRN with the following abstract: For about 50 years – at least since Texas Gulf Sulphur – the SEC has ordered defendants to disgorge their profits from…
  • Apr 19

    New Securities Law Article in Print

    New Securities Law Article in Print
    The following law review article relating to securities regulation is now available in paper format: Jayme Herschkopf, Morality and Securities Fraud, 101 Marq. L. Rev. 453 (2017).
  • Apr 9

    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: Jill E. Fisch, Jonah B. Gelbach & Jonathan Klick, The Logic and Limits of Event Studies in Securities Fraud Litigation, 96 Tex. L. Rev.…
Rank this Week: 563

Stock Attorneys Blog

Stock Attorneys Blog

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

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

    OHO Issues Decision regarding David O. Braeger

    OHO Issues Decision regarding David O. Braeger
    (FINRA Case #2015045456401) David Oscar Braeger (CRD #2137240, Bayside, Wisconsin) – Braeger appealed an OHO (Office of Hearing Officers) decision to the NAC (National Adjudicatory Council). Braeger was barred from association with any…
  • Apr 12

    FINRA Fines and Suspends Jeffrey Kinder for 15 Month

    FINRA Fines and Suspends Jeffrey Kinder for 15 Month
    (FINRA Case #2015043587601) Jeffrey Collins Kinder (CRD #1442891, St. Louis, Missouri) – An AWC (Accept, Waiver & Consent) was issued in which Kinder was assessed a deferred fine of $20,000 and suspended from association with any…
  • Apr 5

    FINRA Fines and Suspends Shotz

    FINRA Fines and Suspends Shotz
    (FINRA Case #2015048039501)  Richard Alan Shotz (CRD #1681893, Port Orange, Florida) – An AWC (Accept, Waiver & Consent) was issued in which Shotz was fined $7,500 and suspended from association with any FINRA member in all…
Rank this Week: 548

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/
  • Apr 18

    DC Court Weighs Whether Bristol-Myers Squibb Applies to Class Actions in Whole Foods Case

    DC Court Weighs Whether Bristol-Myers Squibb Applies to Class Actions in Whole Foods Case
    The District of Columbia district court added to the growing collection of orders opining on whether and to what extent the Supreme Court’s decision in Bristol-Myers Squibb applies to class actions. This case involved a putative class…
  • Apr 12

    No Celebration For Yahoo!: Data Breach Claims Survive Motion to Dismi

    No Celebration For Yahoo!: Data Breach Claims Survive Motion to Dismi
    After Yahoo! Inc. suffered three data breaches in a span of four years, plaintiffs brought a putative class action lawsuit against the internet service provider and a subsidiary (collectively, “Yahoo”), alleging defendants failed…
  • Apr 10

    Student-Athletes Score Partial Win on Challenge to NCAA’s Scholarship Cap

    Student-Athletes Score Partial Win on Challenge to NCAA’s Scholarship Cap
    A nationwide class action currently consolidated in multidistrict litigation filed by current and former student-athletes received a boost from a ruling on the parties’ cross motions for summary judgment. The athletes, from…
Rank this Week: 460

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/
  • Apr 11

    Regulators Calling Your Clients? Maybe Yes, Maybe No.

    Regulators Calling Your Clients? Maybe Yes, Maybe No.
    Anyone who has been involved in an SEC or FINRA investigation into a sales practice issue has experienced the infuriating problem of the Staff calling the firm's customers as part of their investigation.While they claim to have every right to…
  • Apr 10

    Longfin Accountants Resign

    Longfin Accountants Resign
    On Thursday, April 5, Longfin said it was notified that public accounting firm CohnReznick would no longer work with the company, effective immediately, according to an 8-K filing Monday with the SEC.The accounting firm also told Longfin…
  • Apr 10

    Unusual Confidentiality Provision in Sexual Harassment Settlement

    Unusual Confidentiality Provision in Sexual Harassment Settlement
    The NYT is reporting that there are six publicly known settlements involving former Fox News star Bill O’Reilly, five for sexual harassment and one for verbal abuse, that total about $45 million. According to the article the…
Rank this Week: 651

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

http://www.hedgefundlawblog.com
  • Apr 10

    CoinAlts Fund Symposium East – New York, April 19th

    CoinAlts Fund Symposium East – New York, April 19th
    Cryptocurrency Fund Conference Sponsored by Cole-Frieman & Mallon As we have recently announced in our firm’s first quarter legal update, we are one of the founding sponsors of the second CoinAlts Fund Symposium which will be…
  • Apr 9

    CoinAlts East Announced – April 19, 2018 (Press Release)

    CoinAlts East Announced – April 19, 2018 (Press Release)
    Below is the press release on our CoinAlts East event.  We hope to see you there. **** CoinAlts Fund Symposium Announces East Coast Event NEW YORK (PRWEB) MARCH 30, 2018 The CoinAlts Fund Symposium is announcing its second event,…
  • Apr 5

    Cole-Frieman & Mallon 2018 First Quarter Update

    Cole-Frieman & Mallon 2018 First Quarter Update
    Below is our quarterly newsletter. If you would like to be added to our distribution list, please contact us. **** April 5, 2018 Clients, Friends, Associates: The first quarter of 2018 has seen many developments impacting traditional hedge…
Rank this Week: 557

Amato Law Firm, LLC Blog

Amato Law Firm, LLC Blog

Overview of current developments in the area of securities law with a focus on securities arbitration and broker-dealer regulation.

http://www.ramatolaw.com/blog1
  • May 3

    Former PNC Investments Advisor Obtains $1.8 Million Award Against the Firm

    Former PNC Investments Advisor Obtains $1.8 Million Award Against the Firm
    As reported in Investment News, a FINRA arbitration panel recently ruled against PNC Investments LLC, the broker-dealer subsidiary of PNC Bank, and in favor of a former financial advisor, awarding her $1.8 million.  The Award is notable…
  • Feb 15

    FINRA Bars Former Wells Fargo Advisors Broker Matthew Maczko

    FINRA Bars Former Wells Fargo Advisors Broker Matthew Maczko
    The securities law firm of Amato Law Firm, LLC is investigating potential securities law claims involving former Wells Fargo Advisors, LLC representative Matthew Maczko.  Mr. Maczko, who worked in Wells Fargo Advisors’ Oak Brook,…
  • Jan 19

    Large Raiding Award Against Robert W. Baird & Co. Underscores Issues with Team Transition

    Large Raiding Award Against Robert W. Baird & Co. Underscores Issues with Team Transition
    A notable (due to its size) $23.5 million FINRA arbitration award against broker-dealer Robert W. Baird & Co. (Baird) and some of its representatives, issued by a three-member FINRA panel in Kansas last week, underscores the issues that…
Rank this Week: 634

Corporate Law and Democracy

Corporate Law and Democracy

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

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

    Whither State Securities Enforcement?

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

    Whither State Securities Enforcement?

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

    Bailout-palooza

    Bailout-palooza
    The federal goverment’s proposal for a bailout of the financial industry sounded somewhat familiar to me.  I remembered that I had blogged about a similar proposal about a year ago on Conglomerate.
Rank this Week: 493

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

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

    FINRA testimony insufficient for ‘whistleblower’ status under Dodd-Frank

    FINRA testimony insufficient for ‘whistleblower’ status under Dodd-Frank
    By R. Jason Howard, J.D.The United States District Court for the District of New Jersey has determined that a former UBS employee's testimony before FINRA did not equate to providing information to the SEC as required by the Dodd-Frank…
  • Apr 20

    CII urges IPO companies to reconsider dual-class structure

    CII urges IPO companies to reconsider dual-class structure
    By John Filar AtwoodThe Council of Institutional Investors (CII) has written to the boards of Pivotal Software and Vrio, both of which are preparing their IPOs, urging them to reconsider using a dual-class structure as a public company, or…
  • Apr 19

    PLI panelists discuss audit committee responsibilitie

    PLI panelists discuss audit committee responsibilitie
    By Amanda Maine, J.D. Former PCAOB Member Jeanette Franzel stressed the need for audit committees to be prepared for the new auditor’s reporting model, which was adopted by the Board in June 2017. The auditor’s reporting model and…
Rank this Week: 823

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/
Rank this Week: 1362

Stock Market Loss

Stock Market Loss

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

http://www.stockmarketloss.com/news/
  • Apr 13

    Why Use a Lawyer?

    Why Use a Lawyer?
    If you find yourself in the unfortunate position of having lost a lot of money in your brokerage account, you may not be sure why it happened or you may suspect or know that it’s your broker’s fault. Assuming you become certain…
  • Apr 12

    Invest with Your Broker, Not in Your Broker

    Invest with Your Broker, Not in Your Broker
    We’re seeing a disturbing trend of financial advisers borrowing money from their own clients — a prohibited practice in the investment industry.  Notwithstanding their claimed financial expertise, many brokers and investment…
  • Mar 20

    InvestmentNews Editorial Board Champions Hugh Berkson’s Crusade to Eradicate Unpaid Arbitration Award

    InvestmentNews Editorial Board Champions Hugh Berkson’s Crusade to Eradicate Unpaid Arbitration Award
    InvestmentNews, an influential source of news, analysis, and information concerning the financial advisory community, has published a March 17, 2018 editorial that strongly urges the adoption of an idea for protecting investors who win…
Rank this Week: 1004

Securities Arbitration Lawyers…

Securities Arbitration Lawyers Blog

Covers securities law. By Silver Law Group.

https://www.silverlaw.com/blog/
  • Apr 13

    Margin Calls: The Dangers of High Risk

    Margin Calls: The Dangers of High Risk
    If you’ve been investing for any length of time, you’ve probably at least heard of something called a “margin account” or a “margin call.” If you’ve never had this kind of account, don’t open…
  • Apr 13

    Colorado Investigates California-Based Peter Gerhard Klaas For High Risk Trading, Seeking License Revocation

    Colorado Investigates California-Based Peter Gerhard Klaas For High Risk Trading, Seeking License Revocation
    Peter Gerhard Klaas (CRD# 2381681) is currently registered as a broker and investment advisor, and is employed at El Segundo, CA-based Cetera Advisor Networks since 05/2017. He is registered with Cetera in both Murray, UT and Las Vegas, NV,…
  • Apr 6

    Silver Law Group is Investigating Stuart Updegrove of National Securities Corporation

    Silver Law Group is Investigating Stuart Updegrove of National Securities Corporation
    Stuart Updegrove (CRD # 2273334) is the subject of a pending customer dispute alleging $600,000 in damages. Updegrove has been with the South Norwalk, Connecticut office of National Securities Corporation since 2009. In the pending dispute,…
Rank this Week: 1042

Investment Fund Law Blog

Investment Fund Law Blog

Provides updates and insights on legal issues facing fund managers and investors. By Pillsbury Winthrop Shaw Pittman LLP.

http://www.investmentfundlawblog.com/
  • Apr 11

    The Future of the ERISA Fiduciary Rule

    The Future of the ERISA Fiduciary Rule
    The future of the Department of Labor’s Fiduciary rule is in limbo following the Fifth Circuit’s decision striking it down “in toto.” Takeaways The future of the Fiduciary rule is uncertain, particularly in light of…
  • Mar 13

    REGISTERED FIRMS: ANNUAL COMPLIANCE OBLIGATIONS—WHAT YOU NEED TO KNOW

    REGISTERED FIRMS: ANNUAL COMPLIANCE OBLIGATIONS—WHAT YOU NEED TO KNOW
    This alert contains a summary of the primary annual and periodic compliance-related obligations that may apply to investment advisers registered with the Securities and Exchange Commission (the “SEC”) or with a particular state…
  • Nov 8

    Initial Coin Offerings (ICOs): The Current State of Play

    Initial Coin Offerings (ICOs): The Current State of Play
    The ICO boom in 2017 brings with it questions of jurisdiction and compliance, and a need for further guidance. Takeaways The benefits of ICOs in raising capital, as well as in providing a marketing push for a new business model, are so…
Rank this Week: 1246

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/
  • Apr 9

    NC Business Court On Shareholder Inspection Right

    NC Business Court On Shareholder Inspection Right
    It's been a while since the Business Court devoted a full opinion to a shareholder's rights to inspect corporate records.  But last week, Judge Bledsoe filled that gap with his Order and Final Judgment in Sharman v. Fortran Corp., 2018…
  • Mar 29

    NC Business Court Refuses To Swallow Poison Pill

    NC Business Court Refuses To Swallow Poison Pill
    The "poison pill" has been an accepted defensive measure against a corporate takeover since the 1980's.  Commonly referred to as a "Shareholder Rights Plan," this type of defense usually gives shareholders the right to buy more shares at…
  • Feb 19

    NC Business Court: Choice Of Law Dooms Trade Secrets Claim

    NC Business Court: Choice Of Law Dooms Trade Secrets Claim
    What choice of law rule applies to trade secrets claims?  No North Carolina appellate court has answered that question, but Judge Robinson of the NC Business Court stepped into that breach in his Opinion in SciGrip v. Osae, 2018…
Rank this Week: 1174

Sharesleuth.com

Sharesleuth.com

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

http://sharesleuth.com/
Rank this Week: 824

McEldrew Young Blog

McEldrew Young Blog

Covers whistleblower law and wage theft for employees.

http://www.mceldrewyoung.com/blog/
  • Feb 9

    Key Whistleblower Changes in Bipartisan Budget Act

    Key Whistleblower Changes in Bipartisan Budget Act
    The Bipartisan Budget Act of 2018, passed overnight and signed this morning by President Trump to end the second federal government shutdown of this year, includes two key provisions for whistleblowers previously introduced by Senator Charles…
  • Feb 9

    CFTC Issues Record $30 Million Fine for Spoofing to Deutsche Bank

    CFTC Issues Record $30 Million Fine for Spoofing to Deutsche Bank
    The CFTC announced enforcement actions against three banks and six individuals for spoofing at the end of January. The three banks, Deutsche Bank, UBS, and HSBC, were charged with spoofing in precious metals futures contracts trading on the…
  • Jan 4

    Study Confirms Breast Implants Increase Rare Cancer Risk

    Study Confirms Breast Implants Increase Rare Cancer Risk
    The largest study of the link between breast implants and lymphoma to date found that there is a greatly increased risk of a rare cancer, according to the report published this month in JAMA Oncology. The study found breast implants are…
Rank this Week: 884

California Securities Fraud Lawyer…

California Securities Fraud Lawyer Blog

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

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

    Justice for Small Investors Using FINRA’s Simplified Arbitration Proce

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

    October is FINRA Mediation Settlement Month

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

    Securities Whistleblower Awarded More Than $1.7 Million by SEC

    Securities Whistleblower Awarded More Than $1.7 Million by SEC
    A company insider was recently awarded more than $1.7 million by the Securities and Exchange Commission pursuant to the SEC’s securities fraud whistleblower program.  Whistleblowers who provide the SEC with original and credible…
Rank this Week: 752

Kueser Law Firm Blog

Kueser Law Firm Blog

Covers securities and investment fraud, as well as other consumer and investor-related issues.

http://blog.jmkesquire.com
  • Sep 21

    Non-Traded REITs Causing Problems for SII Investment

    Non-Traded REITs Causing Problems for SII Investment
    Earlier today, the Massachusetts Securities Division filed an administrative complaint against SII Investments for violating securities laws with respect to its sale of Real Estate Investment Trusts (REITs) and its failure to supervise…
  • Jan 14

    When is “Rate of Return” not the Real Rate of Return?

    When is “Rate of Return” not the Real Rate of Return?
    Investors need to be careful when they review and rely on performance reports provided by their stockbroker or financial advisor.  I recently reviewed a performance report that was provided to an investor by a major warehouse brokerage…
  • Apr 8

    FINRA BrokerCheck: Beware the … Blue … Flags?

    FINRA BrokerCheck: Beware the … Blue … Flags?
    FINRA recently underwent some changes to its BrokerCheck website.  For those that do not know, BrokerCheck is the online repository in which the Financial Industry Regulatory Authority (FINRA) discloses certain information about stock…
Rank this Week: 936

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: 1009

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/
  • Apr 23

    Video Guidance, Agency Guidance and White-Collar Trial

    Video Guidance, Agency Guidance and White-Collar Trial
    The Lord noted that the poor will always be with us, but He may as well have been speaking of federal agency guidance documents that are sometimes used against members of the regulatory community. Here is a short video about the…
  • Feb 26

    Brand’s Memo and Dan’s Desk

    Brand’s Memo and Dan’s Desk
    Last month, then-Associate Attorney General Rachel Brand issued a memorandum to Department of Justice civil lawyers concerning the circumstances under which they may and may not use federal agencies’ “guidance documents” in…
  • Feb 21

    More Mueller, and A Question About Hearsay

    More Mueller, and A Question About Hearsay
    On “The 11th Hour with Brian Williams” to discuss the Rick Gates plea: Jack Sharman – MSNBC – The 11th Hour with Brian Williams (Feb. 19, 2018) from LFW on Vimeo. Thankfully, they gave me a head’s up about the…
Rank this Week: 2087

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/
  • Apr 23

    US-UK Financial Regulatory Working Group

    US-UK Financial Regulatory Working Group
    HM Treasury and the Treasury Department of the United have issued a joint statement concerning the formation of a US-UK financial regulatory working group. HM Treasury states that the importance and prominence of US and UK financial markets…
  • Apr 23

    The basic advice regime under MiFID II & IDD

    The basic advice regime under MiFID II & IDD
    On 19 April 2018, the FCA published a new update on its website regarding the basic advice regime under MiFID II and the Insurance Distribution Directive (IDD). The update explains the impact of the FCA’s implementation of MiFID II and…
  • Apr 23

    FCA Dear CEO letter – Irredeemable preference shares and other similar capital instrument

    FCA Dear CEO letter – Irredeemable preference shares and other similar capital instrument
    On 19 April 2018, the FCA published a Dear CEO letter concerning irredeemable preference shares and other similar capital instruments. The FCA states that listed companies will need to consider whether any intention to cancel or otherwise…
Rank this Week: 2258

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
  • Apr 22

    Securities Industry Commentator by Bill Singer Esq

    Securities Industry Commentator by Bill Singer Esq
    In the Matter of the Arbitration Between Morgan Stanley Smith Barney, LLC. Claimant, v. Barry Franklin Connell, Respondent (FINRA Arbitration Decision, Majority Public Panel, 17-01958 / April 19,…
  • Apr 22

    FINRA Death Cab for an Un-Fare Email Cutie

    FINRA Death Cab for an Un-Fare Email Cutie
    Much of life is unfair. Sometimes life can also be un-fare -- as when you stiff the cab driver. Then again, sometimes those drivers are over-charging you and figure you wouldn't see that they were taking a really, really, long detour. None of…
  • Apr 21

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
    FINRA Bogarts the Weed In Medical Marijuana SettlementApril 20, 2018Another day and another idiotic Outside Business Activities Rule regulatory settlement between the Financial Industry Regulatory Authority a... Read On...
Rank this Week: 3508

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/
  • Apr 20

    SEC Proposes a “Best Interest” Standard for Broker-Dealer

    SEC Proposes a “Best Interest” Standard for Broker-Dealer
    On April 18, 2018, the Securities and Exchange Commission proposed a set of rules and interpretations regarding the standard of conduct that broker-dealers owe to their investing customers, and reaffirming and clarifying the standard of…
  • Mar 29

    D.C. Circuit Holds PCAOB Improperly Denied Target of Investigation Access to Expert Assistance

    D.C. Circuit Holds PCAOB Improperly Denied Target of Investigation Access to Expert Assistance
    A D.C. Circuit panel unanimously ruled that the Public Company Accounting Oversight Board (“PCAOB”) acted unlawfully by denying former Ernst & Young partner Marc Laccetti his right to bring an accounting expert to an…
  • Mar 23

    Fifth Circuit Vacates Department of Labor’s Fiduciary Rule

    Fifth Circuit Vacates Department of Labor’s Fiduciary Rule
    Last week, a divided panel of the U.S. Court of Appeals for the Fifth Circuit struck down the U.S. Department of Labor’s (“DOL”) “Fiduciary Rule,” a controversial measure that redefined exemptions to Employee…
Rank this Week: 3305

Subject to Inquiry

Subject to Inquiry

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

http://www.subjecttoinquiry.com/
Rank this Week: 2219

Securities Law Blog

Securities Law Blog

Covers securities law. By Fitapelli | Kurta.

https://www.securities-law-attorney.com/
  • Apr 19

    Gavin Natelli Was Terminated From a Former Employer

    Gavin Natelli Was Terminated From a Former Employer
    Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 17, 2018 indicate that New Jersey-based Oppenheimer & Company broker/adviser Gavin Natelli has received a pending customer dispute.…
  • Apr 11

    Erik O’Leary Has Been the Subject of a Customer Complaint

    Erik O’Leary Has Been the Subject of a Customer Complaint
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 11, 2018 indicate that Massachusetts-based Securian Financial Services broker/adviser Erik O’Leary has been involved in a…
  • Apr 11

    Customer Alleged James Davis Violated California Law and Breached Fiduciary Duty

    Customer Alleged James Davis Violated California Law and Breached Fiduciary Duty
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 11, 2018 indicate that California-based Centaurus Financial broker/adviser James Davis has been involved in resolved or pending…
Rank this Week: 1417

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • Apr 18

    The SEC’s Scare Tactics May Work on Adviser

    The SEC’s Scare Tactics May Work on Adviser
    In rapid succession, the SEC has issued warnings and announced sanctions against registered investment advisers for fee and expense practices, false statements regarding assets under management, and misleading performance data.  No one…
  • Mar 22

    Josh Horn Appears on TV Regarding Medical Marijuana in Arkansa

    Josh Horn Appears on TV Regarding Medical Marijuana in Arkansa
    Although not a securities topic per se (however, a number of companies are popping up and offering securities in this field), our very own Josh Horn was featured on TV regarding medical marijuana.  View the clip here.Continue…
  • Mar 22

    Josh Horn Appearance on TV as Expert on Medical Marijuana

    Josh Horn Appearance on TV as Expert on Medical Marijuana
    Although not a securities topic per se (however, a number of companies are popping up and offering securities in this field), our very own Josh Horn was featured on TV regarding medical marijuana. …
Rank this Week: 3699

Federal Securities Law Blog

Federal Securities Law Blog

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

http://www.fedseclaw.com/
  • Apr 11

    Virtual shareholder meetings: advantages, disadvantages and practical consideration

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

    How to avoid registration under the Investment Company Act of 1940

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

    SEC seeks to regulate transactions utilizing cryptocurrencies under federal securities law

    SEC seeks to regulate transactions utilizing cryptocurrencies under federal securities law
    Any person who regularly monitors the U.S. financial markets has likely noticed the recent emergence of digital currency, also referred to as “cryptocurrency,” in recent months. For example, the price of bitcoin, the most widely…
Rank this Week: 3787

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

https://10b5daily.com/
  • Apr 11

    Mr. Roberts Moves Firm

    Mr. Roberts Moves Firm
    On a personal note, Lyle Roberts (the author of The 10b-5 Daily) has joined the Washington, DC office of Shearman & Sterling LLP.  The firm’s press release can be found here.  Posting has been correspondingly light, but…
  • Mar 25

    Cyan Decided

    Cyan Decided
    The U.S. Supreme Court has issued a decision in the Cyan v. Beaver County Employees Retirement Fund case holding that the Securities Litigation Uniform Standards Act of 1998 (SLUSA) does not divest state courts of jurisdiction over…
  • Feb 11

    No Confession Required

    No Confession Required
    As The 10b-5 Daily recently has noted, it is difficult for corporate defendants to avoid securities fraud liability when they fail to disclose hidden wrongdoing at the company.  But what if the company’s CEO is engaged in…
Rank this Week: 2567