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The Securities Edge

The Securities Edge

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

http://www.thesecuritiesedge.com/
  • Sep 22

    Heroes and villains: A review of “The Chickenshit Club” by Jesse Eisinger

    Heroes and villains: A review of “The Chickenshit Club” by Jesse Eisinger
    This is a first for The Securities Edge – a book review.  The book in question is The Chickenshit Club – Why the Justice Department Fails to Prosecute Executives by Jesse Eisinger.  Mr. Eisinger is a writer for Pro…
  • Sep 5

    The s-word and your investment portfolio

    The s-word and your investment portfolio
    Now that I have your attention, you may be disappointed to know that I’m referring to another s-word: “sustainability”.  It’s surely one of the big governance words of 2017.  Investors are pressuring…
  • Aug 23

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

    Federal Reserve governance guidance: the pendulum swings back (?)
    Earlier this month, the Federal Reserve proposed changes to its guidance on corporate governance for banking organizations.  The proposals suggest a new approach to corporate governance that could extend beyond the banking industry;…
Rank this Week: 3317

Investment Fraud Information

Investment Fraud Information

By Andrew Stoltmann.

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

    Andrew Stoltmann Discusses With Financial Planning Magazine…

    Andrew Stoltmann Discusses With Financial Planning Magazine…
    What that organization that runs the dispute forum between investors and Wall Street, FINRA, needs to do to truly expand the quality of its arbitration pool. The post Andrew Stoltmann Discusses With Financial Planning Magazine……
  • Sep 22

    Paul Everett Creager Investor Update

    Paul Everett Creager Investor Update
    It has been reported that Paul Everett Creager’s deception of St. Louis, Missouri investors has cost two of them $724,000. Creager was recently indicted for wire fraud and arrested. Creager was accused of telling investors that his…
  • Sep 21

    If You Were Sold Haverford Group Securities With Paul Smith and Bolton Global Capital, Please Call Today

    If You Were Sold Haverford Group Securities With Paul Smith and Bolton Global Capital, Please Call Today
    Stoltmann Law Offices is investigating Paul Wescoe Smith, who was a former broker with Bolton Global Capital. Smith was barred from the industry by the Financial Industry Regulatory Authority (FINRA) for allegedly failing to provide documents…
Rank this Week: 311

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Sep 22

    Health Insurance Innovations, Inc.: Class Action

    Health Insurance Innovations, Inc.: Class Action
    Publicly available records indicate that a class action lawsuit has been filed on behalf of investors in Health Insurance Innovations, Inc. (NASDAQ: HIIQ) in connection to alleged violations of securities laws by HIIQ. Fitapelli Kurta is…
  • Sep 21

    Daniel Castino Received a Complaint for Providing “Poor Investment Advice”

    Daniel Castino Received a Complaint for Providing “Poor Investment Advice”
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 21, 2017 indicate that Illinois-based Northwestern Mutual Investment Services broker/adviser Daniel Castino has received a…
  • Sep 21

    Chris Parr Has Been the Subject of Two Regulatory Sanction

    Chris Parr Has Been the Subject of Two Regulatory Sanction
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 21, 2017 indicate that former Kansas-based KCD Financial broker Chris Parr has been named in several resolved or pending…
Rank this Week: 49

Securities Law Attorneys Blog

Securities Law Attorneys Blog

Covers securities law. By Fitapelli | Kurta.

http://www.securitieslawattorneys.net/
  • Sep 22

    John Roach Was Terminated From a Former Employer

    John Roach Was Terminated From a Former Employer
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 22, 2017 indicate that Florida-based International Assets Advisory broker/adviser John Roach was recently sanctioned by FINRA…
  • Sep 22

    Sharon Kwan Was Sanctioned in Connection to Alleged Rule Violation

    Sharon Kwan Was Sanctioned in Connection to Alleged Rule Violation
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 22, 2017 indicate that California-based Royal Alliance Associates broker/adviser Sharon Kwan has been sanctioned by FINRA…
  • Sep 22

    Mehran Tazhibi Was Sanctioned and Issued a Two Month Suspension

    Mehran Tazhibi Was Sanctioned and Issued a Two Month Suspension
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 22, 2017 indicate that former California-based Fidelity Brokerage Services broker/adviser Mehran Tazhibi, also known as Ron…
Rank this Week: 136

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/
  • Sep 22

    Pharmaceutical Company Paying Penalty for Misleading Investors About Sales Metric

    Pharmaceutical Company Paying Penalty for Misleading Investors About Sales Metric
    The Securities and Exchange Commission today filed fraud charges against a Massachusetts-based biopharmaceutical company that exaggerated how many new patients actually filled prescriptions for an expensive drug that was its sole source of…
  • Sep 22

    SEC Announces Agenda for October 12 Investor Advisory Committee Meeting

    SEC Announces Agenda for October 12 Investor Advisory Committee Meeting
    The Securities and Exchange Commission today announced the agenda for the October 12 meeting of its Investor Advisory Committee.  The meeting will begin at 10 a.m. in the Multipurpose Room at SEC headquarters at 100 F Street, N.E.,…
  • Sep 22

    SEC Suspends Trading in Company Purporting Involvement in Hurricane Harvey Relief Effort

    SEC Suspends Trading in Company Purporting Involvement in Hurricane Harvey Relief Effort
    The Securities and Exchange Commission today suspended trading in a company amid questions surrounding its statements about sending response teams and equipment to help with Hurricane Harvey disaster recovery efforts in Houston and…
Rank this Week: 681

Regulation tomorrow

Regulation tomorrow

By Norton Rose Fulbright. Offers resources on the global financial services regulatory environment. It reports on financial services regulatory developments and provides insights and commentary across Africa, Asia, Australia, Canada, Europe and the United States.

http://www.regulationtomorrow.com/
Rank this Week: 2043

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Sep 22

    CFTC pursues its first action against alleged Bitcoin Ponzi operator

    CFTC pursues its first action against alleged Bitcoin Ponzi operator
    By Brad Rosen, J.D.The CFTC has filed a civil enforcement action in the U.S. District Court in the Southern District of New York against defendants Nicholas Gelfman of Brooklyn, New York, and his company, Gelfman Blueprint, Inc. (GBI), a New…
  • Sep 21

    New C&DIs target Regulation D and Rule 147

    New C&DIs target Regulation D and Rule 147
    By Mark S. Nelson, J.D.The SEC’s Division of Corporation Finance issued a set of new and revised Compliance & Disclosure Interpretations covering various aspects of Regulation D and Securities Act Rule 147. Regulation D had been…
  • Sep 20

    Stein calls for global approach to cybersecurity challenge

    Stein calls for global approach to cybersecurity challenge
    By Jacquelyn LumbCommissioner Kara Stein spoke at the Eurofi financial forum in Tallinn, Estonia, about developments in technology, the challenges of cybersecurity, and their impact on internationally connected markets. She emphasized the…
Rank this Week: 2323

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/
  • Sep 22

    KBS Legacy Partners Apartment REIT Tender Offer $6.19/share

    KBS Legacy Partners Apartment REIT Tender Offer $6.19/share
    Mackenzie Capital Extends Tender offer to Investors of KBS Legacy Partners Apartment REIT The White Law Group continues to file FINRA arbitration claims involving non-traded REITs such as KBS Legacy Partners Apartment REIT. KBS Legacy…
  • Sep 21

    Astenbeck Masters Commodities Fund II Investigation

    Astenbeck Masters Commodities Fund II Investigation
    Investment Losses in Astenbeck Master Commodities Fund II Did you suffer losses investing in Astenbeck Master Commodities Fund at the recommendation of your financial advisor? If so, the securities attorneys at The White Law Group may be able…
  • Sep 21

    SII Investments Charged with Improper Non-Traded REIT Sale

    SII Investments Charged with Improper Non-Traded REIT Sale
    Mass. Regulator William Galvin Charges SII Investments with Supervisory Issues Massachusetts’ state securities regulator William Galvin has charged SII Investments with unethical conduct related to the sale of real estate investment…
Rank this Week: 129

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/
  • Sep 22

    Did The SEC’s Pay Ratio Guidance Miss Conjunction Junction?

    Did The SEC’s Pay Ratio Guidance Miss Conjunction Junction?
    Last week, the Securities and Exchange Commission issued interpretive guidance to assist issuers in complying with the pay ratio rule.  At the same time, the Division of Corporation Finance staff issued guidance concerning how companies…
  • Sep 21

    California Bill May Spur Rewriting Gender Boilerplate

    California Bill May Spur Rewriting Gender Boilerplate
    On the penultimate day of the current session, the California legislature passed SB 179 (Atkins & Wiener).  If signed into law by Governor Brown, this bill would enact the California Gender Recognition Act.  In general, SB…
  • Sep 20

    Does California Side With Delaware Or New York On Special Litigation Committee Reviews?

    Does California Side With Delaware Or New York On Special Litigation Committee Reviews?
    As discussed in the two preceding posts, Nevada’s Supreme Court last week decided to adopt New York’s standard of review of special litigation committee recommendations to dismiss stockholder derivative suits.  In re Dish…
Rank this Week: 2996

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Sep 22

    The SEC (& Corp Fin) Issue Boatloads of New Pay Ratio Guidance

    The SEC (& Corp Fin) Issue Boatloads of New Pay Ratio Guidance
    Yesterday, the SEC – and Corp Fin – unleashed a torrent of guidance on the pay ratio rule – including this 7-page interpretive release, this detailed guidance from Corp Fin on calculating pay ratios – and one new, one…
  • Sep 21

    Wow! Edgar Hacked!

    Wow! Edgar Hacked!
    Last night, SEC Chair Jay Clayton issued a statement on cybersecurity disclosing a 2016 hack of the SEC’s Edgar system.  Here’s an excerpt: In August 2017, the Commission learned that an incident previously detected…
  • Sep 20

    The Kid & the “Proxy Season Disclosure Treatise”

    The Kid & the “Proxy Season Disclosure Treatise”
    I was excited to get my “feet wet” by editing the new 2018 Edition of the popular “Proxy Season Disclosure Treatise.” It just came back from the printers – and you can order now so that you receive it hot off the…
Rank this Week: 264

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/
  • Sep 22

    California Non-Competes: Delaware Governing Law Not a Fix

    California Non-Competes: Delaware Governing Law Not a Fix
    California is notoriously tough on non-competes. Sometimes, buyers try to work around California’s hard line approach by including the desired non-competes in a shareholders agreement…
  • Sep 21

    Non-GAAP: Does Reg G Apply to M&A Projections?

    Non-GAAP: Does Reg G Apply to M&A Projections?
    Most public company M&A disclosure documents include a section addressing the forecasts provided to the board and the company’s financial advisors in connection with their evaluation of the transaction.  These forecasts…
  • Sep 20

    Activism: Where Things Stand Today

    Activism: Where Things Stand Today
    This Wachtell memo addresses where things stand today in the world of shareholder activism.  New capital continues to flow into activist hedge funds, & attacks on large companies have increased – but efforts to promote a more…
Rank this Week: 2324

Corporate Securities Law Blog

Corporate Securities Law Blog

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

http://www.corporatesecuritieslawblog.com/
Rank this Week: 3986

Strictly Business

Strictly Business

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

http://www.strictlybusinesslawblog.com/
  • Sep 21

    3(c)(1) Funds vs. 3(c)(7) Fund

    3(c)(1) Funds vs. 3(c)(7) Fund
    The process of starting a new hedge fund or private equity fund involves choosing whether the fund will be structured as a “3(c)(1) fund” or a “3(c)(7) fund.” Many new fund managers are confused by the difference…
  • Aug 29

    Can Initial Coin Offerings Be Regulated As Securities? The SEC Says Yes.

    Can Initial Coin Offerings Be Regulated As Securities? The SEC Says Yes.
    Recently, there has been a lot of buzz involving so-called “Initial Coin Offerings” (ICOs), which are crowdfunded offerings powered by distributed ledger technology (a.k.a. “the blockchain”), which is also the…
  • Aug 17

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

    Accredited Investors vs. Qualified Clients vs. Qualified Purchasers: Understanding Investor Qualification
    Private funds, such has hedge funds, private equity funds, and venture capital funds, are governed by a host of intersecting federal laws that impact who can invest in these fund, including the Securities Act of 1933, the Securities Exchange…
Rank this Week: 2703

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: 4548

Stock Attorneys Blog

Stock Attorneys Blog

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

http://www.stockattorneysblog.com/
  • Sep 21

    FINRA Decision Regarding Legend Securities, FINAL

    FINRA Decision Regarding Legend Securities, FINAL
    (FINRA Case #2012030422902) Legend Securities, Inc. (CRD #44952, New York, New York)  – An OHO (Office of Hearing Officers) Decision became final in which the firm was fined a total of $475,000 and ordered to pay $884,436.24, plus…
  • Sep 20

    Oppenheimer & Co. Inc. Censured & Fined by FINRA

    Oppenheimer & Co. Inc. Censured & Fined by FINRA
    (FINRA Case #2013038869101) Oppenheimer & Co. Inc. (CRD #249, New York, New York) – An AWC (Accept, Waiver & Consent) was issued in which the firm was censured, fined $20,000, and ordered to pay $10,301.44, plus interest, in…
  • Sep 19

    FINRA Suspends James Flower for Three Months (Requires Continuing Education)

    FINRA Suspends James Flower for Three Months (Requires Continuing Education)
    (FINRA Case #2014040644001) James William Flower (CRD #2817701, Melville, New York)  – An AWC (Accept, Waiver & Consent) was issued in which Flower was suspended from association with any FINRA member in all capacities for…
Rank this Week: 4065

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Sep 20

    FINRA Bars Former AXA Representative John P. Correnti

    FINRA Bars Former AXA Representative John P. Correnti
    The investment lawyers of Gana LLP are investigating the regulatory action brought by the Financial Industry Regulatory Authority (FINRA) against John P. Correnti (Correnti), working out of Cleveland, Ohio. Correnti allegedly failed to…
  • Sep 20

    Newbridge Securities Advisor Gaetano “Guy” Magarelli Subject to Multiple Customer Complaint

    Newbridge Securities Advisor Gaetano “Guy” Magarelli Subject to Multiple Customer Complaint
    According to BrokerCheck records Gaetano “Guy” Magarelli (Magarelli), now associated with Newbridge Securities Corporation (Newbridge), has been subject to five customer complaints and one lien.  According to records kept by…
  • Sep 20

    Broker Ann Comcowich Barred by FINRA

    Broker Ann Comcowich Barred by FINRA
    The investment lawyers of Gana LLP are investigating the allegations made by The Financial Industry Regulatory Authority against broker Ann Comcowich (Comcowich). According to the broker’s file on FINRA’s BrokerCheck, Comcowich…
Rank this Week: 281

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • Sep 19

    Guest Post: Surge in ERISA Fee Litigation

    Guest Post: Surge in ERISA Fee Litigation
    The last couple of years have seen a wave of ERISA suits aimed at 401(k) plan sponsors and targeting plan fees. In the following guest post, Rhonda Prussack, Head of Fiduciary and Employment Practices Liability at Berkshire Hathaway Specialty…
  • Sep 18

    Insurance Coverage for Subpoena Response Cost

    Insurance Coverage for Subpoena Response Cost
    One of the perennial D&O insurance coverage questions is the issue of whether or not the D&O policy provides coverage for costs incurred in responding to a subpoena, as I have discussed in prior posts (refer here and here).…
  • Sep 17

    Thinking About the Growth of Third-Party Litigation Financing

    Thinking About the Growth of Third-Party Litigation Financing
    Third-party litigation funding has its critics and detractors (refer, for example, here and here). The fact is that third-party litigation funding is now well-established and is here to stay. A recent survey by one of the leading funding…
Rank this Week: 204

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/
  • Sep 19

    Cryptocurrencies: Are They Securities?

    Cryptocurrencies: Are They Securities?
    Cryptocurrencies, including Bitcoin, have been in the news a lot lately, but many people still don’t know what they are—or whether they’re regulated.  Here’s a quick rundown. What Are Cryptocurrencies?…
  • Sep 13

    Supreme Court to Decide Whether Covered Class Actions May Be Litigated in State Court

    Supreme Court to Decide Whether Covered Class Actions May Be Litigated in State Court
    As the beginning of the next US Supreme Court term nears, one case in particular has caught our attention, as the question presented asks whether state courts have jurisdiction over certain securities class actions. The case before the…
  • Aug 31

    “It’s Complicated:” The Evolving Case Law on How Relationships Impact Insider Trading Liability

    “It’s Complicated:” The Evolving Case Law on How Relationships Impact Insider Trading Liability
    Last Wednesday, former SAC Capital Advisors manager Mathew Martoma lost a bid to overturn his 2014 insider trading conviction in the Second Circuit.  United States v. Martoma, No. 14-3599, 2017 WL 3611518 (2d Cir. Aug. 23, 2017). …
Rank this Week: 3207

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: 2426

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: 31

Tim O'Connor's Blog

Tim O'Connor's Blog

Covers stockbroker fraud.

http://stockbrokerlaw.com/tim-oconnors-blog
  • Sep 19

    Investment Adviser Charged With Stealing More Than $1,000,000 From Client

    Investment Adviser Charged With Stealing More Than $1,000,000 From Client
    In a Press Release of September 6, 2017, the Securities Exchange Commission announced charges against a New Jersey based investment adviser, Scott Newsholme, of Farmingdale, New Jersey, alleging that he stole more than $1,000,000 from…
  • Aug 3

    Inherited IRA’s – Know Your Rights?

    Inherited IRA’s – Know Your Rights?
    IRA’s have been around for over 40 years, but most investors don’t know what happens when they inherit all or part of an IRA account as a death beneficiary.  Taking an outright distribution of cash as a beneficiary of an IRA…
  • Jul 26

    Non-Purpose Loans and Securities Backed Loans (SBL’s) – An Accident Waiting to Happen

    Non-Purpose Loans and Securities Backed Loans (SBL’s) – An Accident Waiting to Happen
    Many brokerage firms have been promoting non-purpose loans, resulting in abusive sales practices and supervisory violations associated with the aggressive marketing of these lending arrangements.  Brokerage firms suggesting that…
Rank this Week: 3494

Business Law Post

Business Law Post

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

http://www.businesslawpost.com
  • Sep 19

    Endorsement Guidelines for Social Media Influencer

    Endorsement Guidelines for Social Media Influencer
    Social media influencers have become an essential component of many marketing campaigns.  Influencers have audience that listens to what they say.  Building a relationship with an influencer enables the brand to reach the…
  • Sep 17

    Why Small Businesses Need Buy-Sell Agreement

    Why Small Businesses Need Buy-Sell Agreement
    One of the agreements that comes up time over time in my practice is a buy-sell agreement.  These are contracts between shareholders of a corporation, partners of a partnership or members of a limited liability company and the business…
  • Mar 13

    SaaS Contracts vs Software License Agreement

    SaaS Contracts vs Software License Agreement
    Just like technology itself, technology contracts are becoming more and more complex.  Yet, the legal theories that apply to them remain the same. Understanding the technological aspects of the transaction allows attorneys to apply…
Rank this Week: 730

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/
  • Sep 18

    Sharfman on Dual Class Share

    Sharfman on Dual Class Share
    Bernard S. Sharfman has posted A Private Ordering Defense of a Company's Right to Use Dual Class Share Structures in IPOs on SSRN with the following abstract: The shareholder empowerment movement (movement) has renewed its effort to…
  • Sep 14

    NASAA Issues Advisory on Binary Option Scheme

    NASAA Issues Advisory on Binary Option Scheme
    NASAA has issued an advisory regarding binary option schemes. A notice provided on the NASAA site states: The North American Securities Administrators Association (NASAA) is cautioning investors about schemes related to binary options amid…
  • Sep 14

    SEC Monitoring Impact of Hurricane Irma on Capital Markets, Continues to Monitor Impact of Hurricane Harvey

    SEC Monitoring Impact of Hurricane Irma on Capital Markets, Continues to Monitor Impact of Hurricane Harvey
    An SEC press release is available here.
Rank this Week: 154

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: 166

Institutional Investor Securities…

Institutional Investor Securities Blog

Covers investment fraud involving auction-rate securities, credit rating agencies, hedge funds and mortgage-backed securities. By Shepherd Smith Edwards & Kantas.

http://www.institutionalinvestorsecuritiesblog.com/
Rank this Week: 320

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/
  • Sep 18

    Defamation lawsuits as a defence to shareholder activism

    Defamation lawsuits as a defence to shareholder activism
    Activist investors engaged in proxy fights typically mount aggressive public relations campaigns in order to undermine shareholder confidence in a target company’s performance and leadership, whether through social media, online forums…
  • Sep 8

    Expect the Unexpected: What Boards can do to Plan for Crise

    Expect the Unexpected: What Boards can do to Plan for Crise
    As a standard precaution, boards should take steps to handle potential crises before one arises. This is particularly so in light of the increasing risk of cybercrime and privacy breaches, and the broader impact of negative social media…
  • Aug 21

    Investors heating up the conversation on climate change

    Investors heating up the conversation on climate change
    Shareholders are placing increased value on non-financial factors when making investment decisions. Some of these factors are environmental and social issues. In particular, shareholder proposals on climate change have recently gained some…
Rank this Week: 2038

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: 1637

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
  • Sep 18

    Lawyers Cast Aspersions In Nasty FINRA Arbitration Involving Divorced Couple

    Lawyers Cast Aspersions In Nasty FINRA Arbitration Involving Divorced Couple
    On one side of today's featured FINRA customer arbitration we got an ex-wife. On the other side, we got the ex-husband and what looks like two brokerage firms. On that other side with the ex-husband, only one of the three named respondents…
  • Sep 18

    TD Ameritrade Acquires Scottrade Subject To Outdated NASD Rule

    TD Ameritrade Acquires Scottrade Subject To Outdated NASD Rule
    The other day I read "TD Ameritrade Closes Acquisition of Scottrade Financial Services, Inc." (TDAmeritrade Press Release, September 18, 2017), which announced that TD Ameritrade Holding Corporation had completed its acquisition of Scottrade…
  • Sep 18

    Wachovia Customer Sues Wells Fargo Over FundSource Losse

    Wachovia Customer Sues Wells Fargo Over FundSource Losse
    Among the most frustrating aspects of practicing law is when you have a client who has been wronged, terribly wronged, but it's just too late to do anything about it. Whether called statutes of repose, eligibility, or limitation, there are…
Rank this Week: 313

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/
  • Sep 15

    SEC Risk Alert! Most Frequent Advertising Rule Compliance Issues by Investment Adviser

    SEC Risk Alert! Most Frequent Advertising Rule Compliance Issues by Investment Adviser
    The Office of Compliance Inspections and Examinations (OCIE) of the SEC issued a Risk Alert yesterday providing a list of the most frequently identified compliance issues relating to the Advertising Rule (Rule 206(4)-1) under the Investment…
  • Sep 6

    T+2 Settlement Becomes Mandatory for Most Broker-Dealer Transaction

    T+2 Settlement Becomes Mandatory for Most Broker-Dealer Transaction
    T+2 Settlement becomes mandatory for most broker-dealer transactions on September 5.   While Rule 15c6-1(d) allows, in connection with firm commitment underwritings, the issuer and underwriters to agree to different settlement…
  • Jul 27

    Girls Who Invest – Changing the Face of Asset Management

    Girls Who Invest – Changing the Face of Asset Management
    Pillsbury is hosting an event with the Association of Women in Alternative Investing (AWAI) on Wednesday, August 9, 2017.  Kathleen Dunlap, CEO of Girls Who Invest (www.girlswhoinvest.org) will be speaking about the GWI program and how…
Rank this Week: 3052

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: 2617

McEldrew Young Blog

McEldrew Young Blog

Covers whistleblower law and wage theft for employees.

http://www.mceldrewyoung.com/blog/
  • Sep 13

    Update on Overtime and Minimum Wage in PA

    Update on Overtime and Minimum Wage in PA
    At the end of August only a few days before Labor Day, a federal judge struck down the new rule issued by the Labor Department during the Obama administration to make more than 4 million workers eligible for time and a half overtime by…
  • Sep 12

    NTSB Details Tesla’s Role in First Self-Driving Car Fatality

    NTSB Details Tesla’s Role in First Self-Driving Car Fatality
    The National Transportation Safety Board held a hearing today concerning the Florida self-driving car accident in May 2016 that resulted in the nation’s first fatality involving an auto-driving system. According to media reports, the…
  • Sep 12

    Precious Metals Fraud Takes Customers for $290 Million

    Precious Metals Fraud Takes Customers for $290 Million
    The Commodity Futures Trading Commission has filed an enforcement action against one of the largest precious metals fraud cases in its history. In light of that action, we thought it important to remind victims and industry professionals…
Rank this Week: 1032

Subject to Inquiry

Subject to Inquiry

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

http://www.subjecttoinquiry.com/
  • Sep 8

    Will Supreme Court Narrow The Broadest Tax Crime?

    Will Supreme Court Narrow The Broadest Tax Crime?
    In the October 2017 term, the Supreme Court will take up its first criminal tax case in almost a decade, Marinello v. United States.  At issue is a longstanding circuit split about a mainstay of the federal government’s arsenal in…
  • Aug 7

    Recent Privilege Decision Raises Questions for Internal Investigation

    Recent Privilege Decision Raises Questions for Internal Investigation
    A recent federal district court case raises significant issues regarding privilege that should be on the radar of any in-house or outside counsel conducting an internal investigation with the goal of producing a public report. As discussed in…
  • Jul 28

    Ninth Circuit Ruling Weakens Materiality Standard under the FCA

    Ninth Circuit Ruling Weakens Materiality Standard under the FCA
    Last year in Universal Health Services, Inc. v. United States ex rel. Escobar et al. (discussed on this blog), the Supreme Court reminded litigants that the False Claims Act “is not an all-purpose antifraud statute.” In that case,…
Rank this Week: 2409

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: 2682

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/
  • Sep 7

    Rate increases for issuers registering securitie

    Rate increases for issuers registering securitie
    New rates will take effect at the beginning of the next fiscal year, Oct. 1, 2017, for public companies and other issuers to register their securities with the U.S. Securities and Exchange Commission (SEC). The SEC announced on Aug. 24, 2017,…
  • Aug 28

    Some thoughts on mimicking a corporate governance structure in Ohio LLC

    Some thoughts on mimicking a corporate governance structure in Ohio LLC
    Part One It is quite common for members of a recently formed LLC accustomed to a corporate governance structure (that is, one having directors, a board of directors and officers versus members and managers) to direct their attorney to draft…
  • Aug 23

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

    Reminder: SEC exhibit hyperlink and format rules become effective Sept. 1, 2017
    Effective for filings on and after Sept. 1, 2017, registrants will be required to include a hyperlink to each exhibit identified in the exhibit index of periodic reports, current reports and registration statements. For registration…
Rank this Week: 502

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • Sep 7

    SEC Still Has Lawyers in its Cross-Hair

    SEC Still Has Lawyers in its Cross-Hair
    It is almost axiomatic that the SEC “enjoys” bringing enforcement actions against lawyers.  The SEC believes that lawyers have a special duty to protect and police the securities markets, and, when a lawyer fails, the SEC is…
  • Sep 6

    Ernie Badway to Co-Host Webinar on New Developments in AML and Training Requirement

    Ernie Badway to Co-Host Webinar on New Developments in AML and Training Requirement
    Ernie Badway is scheduled to co-host a webinar discussion on new developments in AML and training requirements on Wednesday, September 13, 2017 at 1:00 p.m.  See http://mailchi.mp/e5dd1d2898b8/webinar-sample.  Details are…
  • Sep 6

    Let’s Not Get Too Excited with FINRA’s Proposal on Re-Taking Exam

    Let’s Not Get Too Excited with FINRA’s Proposal on Re-Taking Exam
    Most brokers despise the fact that they need to re-take their examinations if they are not employed with a broker-dealer for 2 years or if they are not associated with a member firm.   Now, FINRA comes to the rescue with a new…
Rank this Week: 875

North Carolina Business Litigation…

North Carolina Business Litigation Report

Reports on judicial decisions of significance to business and shareholders. By Mack Sperling of Brooks Pierce LLP.

http://www.ncbusinesslitigationreport.com/
Rank this Week: 133

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/
  • Sep 5

    Circuit Court Finds Putative Class Affidavits, Combined With Other Records, May Satisfy Ascertainability Requirement

    Circuit Court Finds Putative Class Affidavits, Combined With Other Records, May Satisfy Ascertainability Requirement
    Defendants BMW and Creditsmarts were parties to a marketing agreement through which BMW offered its direct automotive “up2drive” loans to borrowers at participating independent car dealers through Creditsmarts’…
  • Aug 30

    Still Standing: Ninth Circuit Again Finds Standing in Spokeo Remand

    Still Standing: Ninth Circuit Again Finds Standing in Spokeo Remand
    The Ninth Circuit recently issued its latest opinion in Spokeo, Inc. v. Robins, the closely-watched putative class action dating back to 2010. The plaintiff initiated the lawsuit against Spokeo, which aggregates publicly available data about…
  • Aug 24

    Kansas Judge Rejects Discovery From Putative Class Member

    Kansas Judge Rejects Discovery From Putative Class Member
    A magistrate judge in Kansas denied the defendant’s request to conduct discovery of putative class members via a voluntary questionnaire. Plaintiff Hapka filed a class action against home health care provider CareCentrix stemming from a…
Rank this Week: 1798

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: 96

Stock Market Loss

Stock Market Loss

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

http://www.stockmarketloss.com/news/
Rank this Week: 3260

Securities Fraud Lawyer Blog

Securities Fraud Lawyer Blog

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

https://www.securitiesfraudlawyerblog.net/
  • Aug 27

    Sonya Camarco Charged by SEC

    Sonya Camarco Charged by SEC
    Sonya Camarco charged with Fraud by SEC SEC alleges over $400,000 in client funds used to pay credit card bills The securities attorneys at The Law Office of David Liebrader have opened an investigation into the securities related conduct of…
  • Aug 17

    Ernest Romer Barred by FINRA: Pending Investigation

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

    William Jordan Investments Investigation

    William Jordan Investments Investigation
    William Jordan Investments Barred by California DBO; Bankruptcy Filing! On August 16, 2017 the State of California’s Department of Business Oversight announced a consent order and issued a bar which prevents William Jordan Investments…
Rank this Week: 421

New York Securities Lawyer Blog

New York Securities Lawyer Blog

Covers securities law. By Lax & Neville LLP.

http://www.newyorksecuritieslawyerblog.com/
Rank this Week: 905

Securities Law Blog

Securities Law Blog

Covers securities law. By Fitapelli | Kurta.

https://www.securities-law-attorney.com/
  • Aug 25

    Timothy Miller Has Received Three Customer Complaint

    Timothy Miller Has Received Three Customer Complaint
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 23, 2017 indicate that Wisconsin-based TradingBlock broker Timothy Miller has received several customer disputes. Fitapelli…
  • Aug 25

    John Conroy Has Received Three Regulatory Sanction

    John Conroy Has Received Three Regulatory Sanction
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 23, 2017 indicate that New York-based Andrew Garrett Inc. broker/adviser John Conroy has received several customer disputes.…
  • Aug 25

    Richard Botkin Has Been Sanctioned by FINRA

    Richard Botkin Has Been Sanctioned by FINRA
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 23, 2017 indicate that California-based Stifel Nicolaus broker/adviser Richard Botkin has been sanctioned by FINRA and suspended…
Rank this Week: 1882

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

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

    Cole-Frieman & Mallon 2017 Second Quarter Update

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

    Hedge Fund Events August 2017

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

    SEC Issues Cryptocurrency/Digital Asset/ICO Report

    SEC Issues Cryptocurrency/Digital Asset/ICO Report
    By: Bart Mallon (Co-Managing Partner of Cole-Frieman & Mallon LLP) Certain Digital Assets are Securities Based on “Facts and Circumstances” As has been widely anticipated by the cryptocurrency community, the SEC has…
Rank this Week: 3674

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

https://10b5daily.com/
  • Aug 21

    On Track Betting

    On Track Betting
    Is “on track” the most dangerous phrase a corporation can use to describe its business? Over the years, there have been a significant number of securities class actions alleging a company’s statement that a regulatory…
  • Jul 20

    Top 100 Settlement

    Top 100 Settlement
    With the dog days of summer comes the issuance of statistical reports on securities class actions.  ISS Securities Class Actions puts out an interesting report, now updated through 2016, on “The Top 100 U.S. Settlements…
  • Jun 28

    CalPERS Decided

    CalPERS Decided
    The U.S. Supreme Court has issued a decision in the CalPERS v. ANZ Securities case holding that the three-year statute of repose for Section 11 and Section 12(a) claims (misrepresentation in a registration statement or…
Rank this Week: 2322

Canadian Securities Law Online

Canadian Securities Law Online

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

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

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

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

    IIROC Best Execution Amendments and Guidance

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

    NI 31-103 Amendments: EMDs Banned from Prospectus Offering

    NI 31-103 Amendments: EMDs Banned from Prospectus Offering
    Alix d’Anglejan-Chatillon and Darin Renton -  New custody rules for non-SRO registrants also introduced Under a series of amendments to National Instrument 31-103 – Registration Requirements, Exemptions and Ongoing…
Rank this Week: 4398