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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: 1891

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Sep 19

    ISDA offers suggestions for cross-border harmonization, CCP recovery and resolution

    ISDA offers suggestions for cross-border harmonization, CCP recovery and resolution
    By Lene Powell, J.D.To reduce cross-border regulatory conflict and duplication, the International Swaps and Derivatives Association, Inc. (ISDA) published a framework to allow for substituted compliance based on risk-based principles.…
  • Sep 18

    ABA panel seeks clarity on finder

    ABA panel seeks clarity on finder
    By Mark S. Nelson, J.D.The broker-dealer panel at the ABA’s 2017 Business Law Section Annual Meeting in Chicago urged regulators and Congress to clarify the legal status of finders. Panelists said greater certainty is needed because of…
  • Sep 15

    MSRB cautions issuers on selective disclosure

    MSRB cautions issuers on selective disclosure
    By Jay Fishman, J.D. The Municipal Securities Rulemaking Board (MSRB) released an advisory on selective disclosure, cautioning municipal securities issuers, dealers and advisors of their potential liability even though not being subject to…
Rank this Week: 144

Securities Law Attorneys Blog

Securities Law Attorneys Blog

Covers securities law. By Fitapelli | Kurta.

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

    John Roginski Received a Customer Complaint For Recommending Unsuitable Investments in Common and Preferred Stock Product

    John Roginski Received a Customer Complaint For Recommending Unsuitable Investments in Common and Preferred Stock Product
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on September 17, 2017 indicate that Pennsylvania-based MML Investors Services broker John Roginski has received a pending customer dispute. Fitapelli…
  • Sep 19

    Stephen Garrett Has Received a Customer Complaint

    Stephen Garrett Has Received a Customer Complaint
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 17, 2017 indicate that California-based LPL Financial broker/adviser Stephen Garrett has received resolved or pending…
  • Sep 19

    Philip Faulk Has Been Named in a Pending Customer Complaint

    Philip Faulk Has Been Named in a Pending Customer Complaint
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on September 17, 2017 indicate that Tennessee-based Raymond James Financial Services broker/adviser Philip Faulk has received a pending customer…
Rank this Week: 2402

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Sep 19

    Chad Quenneville Received a Complaint for Recommending Unsuitable Investment

    Chad Quenneville Received a Complaint for Recommending Unsuitable Investment
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 15, 2017 indicate that Florida-based Wells Fargo Clearing Services broker/adviser Chad Quenneville has received resolved or…
  • Sep 19

    Forterra, Inc: Class Action

    Forterra, Inc: Class Action
    Publicly available records indicate that a class action lawsuit has been filed on behalf of investors in Forterra, Inc (NASDAQ:FRTA) in connection to alleged violations of securities laws by FRTA. Fitapelli Kurta is interested in hearing from…
  • Sep 19

    Denise Gonzalez Received a Pending Complaint for Failing to Ensure a Customer’s Trust Was Properly Funded

    Denise Gonzalez Received a Pending Complaint for Failing to Ensure a Customer’s Trust Was Properly Funded
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 15, 2017 indicate that Florida-based Citigroup Global Markets broker/adviser Denise Gonzalez has been named in a pending…
Rank this Week: 1017

Stock Attorneys Blog

Stock Attorneys Blog

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

http://www.stockattorneysblog.com/
  • 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…
  • Sep 14

    Hickman, Fined, Suspended and Ordered to Pay Restitution by FINRA

    Hickman, Fined, Suspended and Ordered to Pay Restitution by FINRA
    (FINRA Case #2015046087601) Christopher Robert Hickman (CRD #3267599, Boynton Beach, Florida) – An AWC (Accept, Waiver & Consent) was issued in which Hickman was assessed a deferred fine of $5,000, suspended from association with…
  • Sep 12

    Wells Fargo Securities, LLC Fined 3.2 Million Dollar

    Wells Fargo Securities, LLC Fined 3.2 Million Dollar
    (FINRA Case #2014040326101)  Wells Fargo Securities, LLC (CRD #126292, Charlotte, North Carolina) – An AWC (Accept Waiver & Consent) was issued in which the firm was censured, fined $3,250,000, and required to review its…
Rank this Week: 2240

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/
  • Sep 19

    FCA publishes PSD2 policy statement

    FCA publishes PSD2 policy statement
    The FCA has published Policy Statement 17/19: Implementation of the revised Payment Services Directive (PSD2): Approach Document and final Handbook changes (PS17/19). The majority of the requirements introduced under the revised Payment…
  • Sep 19

    ESMA sets out procedure for exemption from MiFIR access provisions for trading venue

    ESMA sets out procedure for exemption from MiFIR access provisions for trading venue
    Article 36(1) of MiFIR establishes that a trading venue shall provide trade feeds on a non-discriminatory and transparent basis, including as regards fees related to access, upon request to any central counterparty (CCP) authorised or…
  • Sep 19

    ISDA recommendations for CCP recovery and resolution framework

    ISDA recommendations for CCP recovery and resolution framework
    The International Swaps and Derivatives Association (ISDA) has published a paper containing recommendations for a comprehensive recovery and resolution framework that would ensure central counterparties (CCPs) can withstand severe market…
Rank this Week: 3883

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Sep 19

    Course Materials: The “Pay Ratio Employee Considerations” Guide

    Course Materials: The “Pay Ratio Employee Considerations” Guide
    For those registered for the upcoming “Pay Ratio & Proxy Disclosure Conference,” we have just posted this invaluable set of course materials: The “Pay Ratio Employee Considerations” Guide. For many companies, the…
  • Sep 18

    The Big News! SEC Won’t Delay Pay Ratio!

    The Big News! SEC Won’t Delay Pay Ratio!
    It’s big news – although not surprising if you’ve been paying attention. On Friday, at the ABA Annual Meeting, Corp Fin Director Bill Hinman said that the SEC won’t be delaying the implementation of pay ratio (as…
  • Sep 15

    Form 8-A & Reg A: 3 New CDI

    Form 8-A & Reg A: 3 New CDI
    Yesterday, Corp Fin issued 3 new CDIs about Exchange Act registration on Form 8-A in connection with a Regulation A offering: – CDI 182.21 – CDI 182.22 – CDI 182.23 Sustainable & Passive Investing: IR Opportunity? There…
Rank this Week: 282

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 19

    Revenue Recognition: Effects of New FASB Standard on M&A

    Revenue Recognition: Effects of New FASB Standard on M&A
    This recent blog from Steve Quinlivan addresses the wide-ranging impact that FASB’s new revenue recognition standard may have on M&A. Public companies will begin implementation of the new standard on January 1,…
  • Sep 18

    Controllers: “To MFW or Not to MFW, That is the Question. . .”

    Controllers: “To MFW or Not to MFW, That is the Question. . .”
    The Delaware Supreme Court’s 2014 MFW decision laid out a route to business judgment review for controlling shareholder buyouts.  That decision gave companies a choice – either implement MFW’s…
  • Sep 15

    Antitrust: FAQs on HSR Timing

    Antitrust: FAQs on HSR Timing
    This recent FTC blog provides a helpful walk-through of the HSR process, and addresses frequently asked questions about how the timing of HSR review could affect a pending deal. This excerpt talks about how long an HSR filing is valid in the…
Rank this Week: 553

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: 94

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: 2055

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 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…
  • Sep 14

    Guest Post: Criminal Finances Act 2017: The Broadening of Corporate Accountability

    Guest Post: Criminal Finances Act 2017: The Broadening of Corporate Accountability
    The UK Criminal Finances Act 2017 will go into effect on September 30, 2017. This new law will make corporate organizations criminally liable for the failure to prevent tax evasion by an “associated person.” In the following guest…
Rank this Week: 141

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 18

    LPL Advisor Sonya Camarco Charged with Stealing Client Fund

    LPL Advisor Sonya Camarco Charged with Stealing Client Fund
    Investigating Potential Claims Involving Sonya Carmaco According to her FINRA BrokerCheck report, the United States Securities and Exchange Commission alleges that from 2004 until August 2017, advisor Sonya Camarco, while registered with LPL…
  • Sep 18

    CFP Board Suspends Tye C. Williams after FINRA Bar

    CFP Board Suspends Tye C. Williams after FINRA Bar
    Update on Former Texas Advisor Tye C. Williams According to their website, the Certified Financial Planner Board of Standards has imposed an automatic interim suspension of Tye C. Williams’ CFP certification following his consent to an…
  • Sep 15

    Disbarred broker Mark David Holt reportedly loses $477,000 FINRA decision

    Disbarred broker Mark David Holt reportedly loses $477,000 FINRA decision
    Former MN Advisor Mark David Holt is purportedly serving a 10-year prison term for Wire Fraud. According to reports, Mark David Holt, 47, a former broker currently in prison, has lost a $477,000 FINRA arbitration decision. Holt’s…
Rank this Week: 309

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: 4483

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: 4340

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

    Harbour and Geneos Customers Win FINRA Arbitration Against Stockbroker

    Harbour and Geneos Customers Win FINRA Arbitration Against Stockbroker
    Two public customers were angered by the misconduct of their servicing stockbroker and what they perceived to be the negligent oversight of his employers. As is often the case with such unhappiness, the customers sued and their case was…
  • Sep 11

    Starship Enterprise, Lone Ranger, Tonto, Silver, Pumpkin Spice Latte, And FINRA Settlement

    Starship Enterprise, Lone Ranger, Tonto, Silver, Pumpkin Spice Latte, And FINRA Settlement
    I often say that if it wasn't for stupidity, I would have nothing to do as a lawyer. Thankfully, there's more than enough stupidity to go around to fully employ me and millions of other lawyers. In a recent FINRA regulatory settlement, we…
  • Sep 5

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
    RIA Cherry Picking Case Rings Alarm (Anyone Listening?) http://www.brokeandbroker.com/3591/sec-cherry-picking/You live in an expensive condo apartment building. They put in smoke alarms. They put in fire alarms. They got a full-time guy…
Rank this Week: 1210

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 18

    Nevada Favors New York Over Delaware Precedent For SLC Review

    Nevada Favors New York Over Delaware Precedent For SLC Review
    Nevada law endows a board of directors “full control over the affairs of the corporation”.  NRS 78.120(1).  This control is subject only to such limitations as may be provided by NRS chapter 7, or the articles…
  • Sep 15

    California Bill Deadline Is Today

    California Bill Deadline Is Today
    Former New York Surrogate Gideon J. Tucker would be happy today.  Pursuant to Joint Rule 61(a)(15), today is the last day for California’s legislature to pass bills.  Today, also marks the beginning of the legislature’s…
  • Sep 14

    There’s No Dressing This Up – Item 303(a)(1) Of Regulation S-K Is Unreasonable

    There’s No Dressing This Up – Item 303(a)(1) Of Regulation S-K Is Unreasonable
    In less than a month, the United States Supreme Court will hear oral argument in Leidos, Inc. v. Indiana Public Retirement System (Docket No. 16-581).  The question presented in Leidos is: Whether the Second Circuit erred in holding…
Rank this Week: 355

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Sep 17

    Advisor Paul Smith Barred By FINRA Over Haverford Group Securities Sale

    Advisor Paul Smith Barred By FINRA Over Haverford Group Securities Sale
    According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Paul Smith (Smith), in June 2017, was barred by FINRA for failing to provide documents and information concerning private securities…
  • Sep 16

    Investors File Complaints Against Advisor Jeffrey Grayson

    Investors File Complaints Against Advisor Jeffrey Grayson
    The law offices of Gana LLP continue to report on investor related losses and potential legal remedies due to recommendations to investor in oil and gas and commodities related investments.  According to BrokerCheck records, Customers…
  • Sep 16

    Regulators Accuse Yasuna Murakami, Avi Chiat, and MC2 Capital Management of Defrauding Over 50 Investor

    Regulators Accuse Yasuna Murakami, Avi Chiat, and MC2 Capital Management of Defrauding Over 50 Investor
    The law offices of Gana LLP are investigating reports by multiple securities regulatory agencies that Yasuna Murakami (Murakami), Avi Chiat (Chiat) and the companies and hedge funds that the two managed defrauded over 50 investors by raising…
Rank this Week: 1417

Investment Fraud Information

Investment Fraud Information

By Andrew Stoltmann.

http://www.investmentfraudtimes.com/securities-fraud-attorneys/
  • Sep 15

    Aileen Eppig of International Assets Advisory in Orlando, Florida

    Aileen Eppig of International Assets Advisory in Orlando, Florida
    Stoltmann Law Offices is interested in speaking to those investors who may have invested with Aileen Eppig, a former broker with International Assets Advisory in Orlando, Florida. Ms. Eppig was accused of recommending unsuitable investments,…
  • Sep 14

    Gary Hammond Has Customer Complaints: Options For Investor

    Gary Hammond Has Customer Complaints: Options For Investor
    Stoltmann Law Offices is investigating Gary Hammond, a Hornor Townsend & Kent broker in Charlotte, North Carolina. Hammond was alleged to have recommended an unsuitable investment in two variable annuities, and was terminated from MML…
  • Sep 13

    Update For Victims of Mark David Holt

    Update For Victims of Mark David Holt
    According to a recent InvestmentNews article, Mark Holt, who is currently in prison, lost a FINRA arbitration decision worth $477,000, to two former clients who alleged he mismanaged their accounts. The clients settled with Harbour…
Rank this Week: 3566

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/
Rank this Week: 477

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: 2348

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: 145

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: 3897

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/
  • Sep 13

    FINRA Hearing Panel Orders C.L. King & Associates to Pay $750K Over Inadequate AML Program

    FINRA Hearing Panel Orders C.L. King & Associates to Pay $750K Over Inadequate AML Program
    A Financial Industry Regulatory Authority extended hearing panel has ordered brokerage firm C.L. King & Associates, Inc. to pay a $750,000 for purportedly acting negligently by making material representations and omissions to issuers in…
  • Sep 11

    US Sues Ex-Head Deutsche Bank Trader for Subprime Mortgage Fraud

    US Sues Ex-Head Deutsche Bank Trader for Subprime Mortgage Fraud
    The U.S. Justice Department has filed a civil securities fraud case against Paul Mangione, a former senior Deutsche Bank (DB) trader. According to the government, Mangione, who headed up the bank’s subprime trading, took part in a…
  • Sep 8

    Thema International Reaches $687M Settlement Over Madoff Ponzi Scam

    Thema International Reaches $687M Settlement Over Madoff Ponzi Scam
    Bernard L. Madoff Investment Securities LLC trustee Irving H. Picard announced that a settlement has been reached for $687M with Thema International Fund for its ties to the multibillion-dollar Madoff Ponzi Scam. Now, a court must approve the…
Rank this Week: 922

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/
Rank this Week: 326

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: 3977

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 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…
  • Aug 18

    Gin Van, Joan Collins and Rare Earth

    Gin Van, Joan Collins and Rare Earth
    Friday is upon us, so a few notes about cocktails. Cocktail snobbery is suffering a (deserved) backlash, as Robert O. Simonson of the New York Times points out in When Bad Drinks Go Good: Just as the cocktail renaissance has brought…
Rank this Week: 3899

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: 3637

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: 2008

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: 894

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: 1182

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: 489

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 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;…
  • Aug 8

    Class Acts: Stock Indices Bar Differential Voting Right

    Class Acts: Stock Indices Bar Differential Voting Right
    In late July, S&P Dow Jones and FTSE Russell announced that they were changing or proposing to change the standards that govern whether a company is included in their indices.  Although their approaches differ, the changes would…
Rank this Week: 2787

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: 4162

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: 84

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: 2763

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/
  • Aug 29

    Limited-Time Tax Amnesty for Marketplace Seller

    Limited-Time Tax Amnesty for Marketplace Seller
    The Multistate Tax Commission (“MTC”) has implemented a limited-time voluntary disclosure initiative for online marketplace sellers (the “VDI”). The VDI creates an opportunity in many states to have a retailer’s…
  • Jul 28

    The SEC and ICOs: Putting the SEC’s Determination that DAO Tokens are Securities in Context

    The SEC and ICOs: Putting the SEC’s Determination that DAO Tokens are Securities in Context
    On July 25, 2017, the U.S. Securities and Exchange Commission (“SEC”) issued a report (“Report”) detailing its investigation into whether the DAO (an unincorporated “decentralized autonomous…
  • Jul 26

    SEC Declares That Initial Coin Offerings (ICOs) May Be Securities; Finds DAO a Security

    SEC Declares That Initial Coin Offerings (ICOs) May Be Securities; Finds DAO a Security
    The SEC has opined that, depending on the facts and circumstances of each individual ICO, the virtual coins or tokens that are offered or sold may be securities. If they are securities, the offer and sale of these virtual coins or tokens in…
Rank this Week: 430

Strictly Business

Strictly Business

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

http://www.strictlybusinesslawblog.com/
  • Aug 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…
  • Jul 20

    New Options for Raising Capital for Startups and Growth Companie

    New Options for Raising Capital for Startups and Growth Companie
    Traditionally, when raising capital, an overwhelming majority of businesses have used Rule 506 of Regulation D, also often known as the “private placement exemption” as their exemption from securities registration requirements. In…
Rank this Week: 1736

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: 4230

New York Securities Lawyer Blog

New York Securities Lawyer Blog

Covers securities law. By Lax & Neville LLP.

http://www.newyorksecuritieslawyerblog.com/
Rank this Week: 3602

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: 4197

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: 728

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: 474

Representing Investors

Representing Investors

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

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

    FBI Investigating Former Boston Morgan Stanley Broker James Polese

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

    FBI Investigating Former Boston Morgan Stanley Broker James Polese

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

    FINRA Suspends and Fines Former Cleveland Wells Fargo Broker John Dettelbach

    FINRA Suspends and Fines Former Cleveland Wells Fargo Broker John Dettelbach
    FINRA recently suspended former Wells Fargo broker John Dettelbach for unauthorized trading in client accounts. Without admitting or denying the findings, Dettelbach consented to the sanctions and to the entry of findings that he exercised…
Rank this Week: 512

SEC Whistleblower Lawyer Blog

SEC Whistleblower Lawyer Blog

Covers securities law. By Silver Law Group & The Law Firm of David R. Chase, P.A.

http://www.secwhistleblowerlawyers.net/
Rank this Week: 4199

California Securities Fraud Lawyer…

California Securities Fraud Lawyer Blog

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

http://www.californiasecuritiesfraudlawyerblog.com/
  • Aug 3

    Securities Whistleblower Awarded More Than $1.7 Million by SEC

    Securities Whistleblower Awarded More Than $1.7 Million by SEC
    A company insider was recently awarded more than $1.7 million by the Securities and Exchange Commission pursuant to the SEC’s securities fraud whistleblower program.  Whistleblowers who provide the SEC with original and credible…
  • Jul 31

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

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

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

    Morgan Stanley Smith Barney Liable for Aiding and Abetting Financial Elder Abuse
    Last week, a securities arbitration panel in Los Angeles, California, found Morgan Stanley Smith Barney (“MSSB”) liable for elder financial abuse by aiding and abetting an unaffiliated individual’s financial…
Rank this Week: 1108