Most Popular Securities Law Blawgs Expanded View List View

Blogs 1 - 45 of 83
Sort by Popularity | Sort by Name | Sorted by Last Post Date

Investor Lawyers Blog

Investor Lawyers Blog

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

https://www.investorlawyers.net/blog/
  • Dec 15

    Investors in CNL Lifestyle Properties, Inc. May Have Arbitration Claim

    Investors in CNL Lifestyle Properties, Inc. May Have Arbitration Claim
    CNL Lifestyle Properties, Inc. (“CNL Lifestyle”) is a publicly registered non-traded real estate investment trust (“REIT”) that is based in Orlando, FL.  Because CNL Lifestyle is registered with the SEC, the…
  • Dec 15

    Former LPL Financial Advisor Les Koonce Barred By FINRA  

    Former LPL Financial Advisor Les Koonce Barred By FINRA  
    The Financial Industry Regulatory Authority Inc. has reportedly barred former LPL Financial broker Leslie “Les” Koonce based on alleged misrepresentations by Mr. Koonce concerning the sale of private securities.  FINRA…
  • Dec 14

    Former Wells Fargo Brokers Barred for Recommending Risky Over-Concentration in Oil & Gas Investment

    Former Wells Fargo Brokers Barred for Recommending Risky Over-Concentration in Oil & Gas Investment
    The Financial Industry Regulatory Authority (“FINRA”) has barred former Wells Fargo (CRD# 126292) financial advisors Charles Henry Frieda (CRD# 5502319) and Charles B. Lynch, Jr. (CRD# 3004877) for allegedly engaging in a pattern…
Rank this Week: 96

Investment Fraud Information

Investment Fraud Information

By Andrew Stoltmann.

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

    Update: Woodbridge Group Files for Chapter 11 Bankruptcy

    Update: Woodbridge Group Files for Chapter 11 Bankruptcy
    On December 4th, 2017, the Woodbridge Group of Companies LLC, filed for Chapter 11 bankruptcy protection in Delaware. On December 1st, 2017, former CEO and President, Robert Shapiro, resigned. Both he and Woodbridge are being investigated for…
  • Dec 14

    Investor Update: Payson Petroleum 3 Well 2014

    Investor Update: Payson Petroleum 3 Well 2014
    The Securities and Exchange Commission (SEC) filed a civil action charging Matthew Griffin and William Griffin with fraudulently offering two Texas oil and gas partnerships, Payson Petroleum 3 Well 2014. Allegedly, between November 2013 and…
  • Dec 12

    Andrew Stoltmann Discusses With Financial Planning Magazine…

    Andrew Stoltmann Discusses With Financial Planning Magazine…
    I discuss with Financial Planning magazine why investors are usually “shocked, chagrined and mortified” when they find out their financial professional’s clean record might not be so clean… The post Andrew Stoltmann…
Rank this Week: 113

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: 1791

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

http://www.hedgefundlawblog.com
  • Dec 15

    Cole Frieman & Mallon 2018 End of Year Update

    Cole Frieman & Mallon 2018 End of Year Update
    Below is our quarterly newsletter. If you would like to be added to our distribution list, please contact us. **** December 15, 2017 Clients, Friends, Associates: Holiday celebrations bring welcomed joy and excitement to the busiest time of…
  • Oct 27

    Cole-Frieman & Mallon 2017 Third Quarter Update

    Cole-Frieman & Mallon 2017 Third Quarter Update
    Below is our quarterly update that has distributed clients and friends.  Please call us at 415-352-2300 if you would like to be added to our distribution list. **** October 26, 2017 Clients, Friends, Associates: This summer saw many…
  • 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…
Rank this Week: 991

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Dec 15

    Allegations in another case's complaint were plausibly corrective disclosure

    Allegations in another case's complaint were plausibly corrective disclosure
    By Rodney F. Tonkovic, J.D.A Sixth Circuit panel has reversed and remanded a district court's holding that a complaint in a different suit did not constitute a corrective disclosure. The district court held that claims that a medical provider…
  • Dec 14

    Katten webinar surveys the vast legal and compliance landscape for cryptocurrencie

    Katten webinar surveys the vast legal and compliance landscape for cryptocurrencie
    By Brad Rosen, J.D.In a webinar titled Trading Bitcoin: Legal and Compliance Considerations for Trading and Facilitating Transactions in Bitcoin, a team of Katten Muchin Rosenman attorneys explored the vast, murky and ever-expanding terrain…
  • Dec 13

    Clayton cautions both investors and market professionals about ICO

    Clayton cautions both investors and market professionals about ICO
    By Jacquelyn LumbJay Clayton has emphasized that his focus as SEC chairman will be on capital raising and the protection of retail investors. Following a recent enforcement action against Munchee Inc. for an offering of digital tokens that…
Rank this Week: 1140

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/
  • Dec 15

    Payson Petroleum – Update on Fraud Investigation

    Payson Petroleum – Update on Fraud Investigation
    SEC Charges Griffin brothers with Fraud over Payson Petroleum Partnerships Did you lose money investing in Payson Petroleum at the advice of your financial advisor? If so, the securities attorneys at The White Law Group may be able to help…
  • Dec 14

    CNL Lifestyle Properties Inc. – Plan of Dissolution

    CNL Lifestyle Properties Inc. – Plan of Dissolution
    CNL Lifestyle Properties Inc. – Securities Investigation The White Law Group is investigating potential claims involving broker-dealers who may have unsuitably recommended CNL Lifestyle Properties to investors. CNL Lifestyle Properties…
  • Dec 14

    Former MA Next Rep JoeAnn Walker Barred from Securities Industry

    Former MA Next Rep JoeAnn Walker Barred from Securities Industry
    FINRA inquiry of JoeAnn Walker involves Unsuitable VA sales According to theFinancial Industry Regulatory Authority (FINRA), the regulator has barred former Next Financial advisor JoeAnn Walker (CRD#: 2210194, Brockton, MA) for not…
Rank this Week: 67

Securities Law Attorneys Blog

Securities Law Attorneys Blog

Covers securities law. By Fitapelli | Kurta.

http://www.securitieslawattorneys.net/
  • Dec 15

    Roger Kroeger Was Discharged From a Former Employer

    Roger Kroeger Was Discharged From a Former Employer
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 14, 2017 indicate that former Florida-based Invest Financial Corporation broker/adviser Roger Kroeger has been charged with…
  • Dec 15

    Christopher Norton Has Received a Pending Customer Complaint

    Christopher Norton Has Received a Pending Customer Complaint
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 14, 2017 indicate that Florida-based Aegis Capital broker/adviser Christopher Norton has received a pending customer dispute.…
  • Dec 15

    Terrance Arges Has Nine Financial Disclosure

    Terrance Arges Has Nine Financial Disclosure
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 14, 2017 indicate that California-based Cuso Financial Services broker/adviser Terrance Arges has been involved in a customer…
Rank this Week: 61

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Dec 15

    Justin DeStefano Has Been the Subject of a FINRA Sanction

    Justin DeStefano Has Been the Subject of a FINRA Sanction
    Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 14, 2017 indicate that former New York-based Securities America broker/adviser Giustino DeStefano, also known as Justin DeStefano, has…
  • Dec 15

    Amanda Berry Resigned From MML Following Allegations of Rule Violation

    Amanda Berry Resigned From MML Following Allegations of Rule Violation
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 14, 2017 indicate that former Oklahoma-based MML Investors Services broker/adviser Amanda Berry has received a customer…
  • Dec 15

    OvaScience: Class Action

    OvaScience: Class Action
    Publicly available records indicate that a class action lawsuit has been filed on behalf of investors in OvaScience (NASDAQ:OVAS) in connection to alleged violations of securities laws by OVAS. Fitapelli Kurta is interested in speaking to…
Rank this Week: 139

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Dec 15

    NYSE Proposes to No Longer Require Hard Copies of Proxy Material

    NYSE Proposes to No Longer Require Hard Copies of Proxy Material
    As Cooley’s Cydney Posner blogged recently, the NYSE has proposed to amend Section 402.01 of the NYSE Listing Manual to provide that listed companies would not be required to provide hard copies of proxy materials to the NYSE, so long…
  • Dec 14

    More on “Beware of ‘Virus-Infected’ Emails Purportedly From the SEC!!!”

    More on “Beware of ‘Virus-Infected’ Emails Purportedly From the SEC!!!”
    Back in March, I blogged about a phishing scam where fraudsters sent emails claiming to be from EDGAR/SEC that had an attachment for revised 10-K filing instructions. At that time, the SEC posted a notice about the scam. Now there is a new…
  • Dec 13

    The PCAOB’s Brand New Slate

    The PCAOB’s Brand New Slate
    Yesterday, the SEC announced the appointment of Bill Duhnke as Chair and Jay Brown, Kathleen Hamm, Jim Kaiser and Duane DesParte as Board members of the PCAOB. This is the first time since the PCAOB was initially formed 15 years ago that an…
Rank this Week: 1114

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/
  • Dec 15

    Appraisal: Delaware Supreme Court “Reboots” Dell

    Appraisal: Delaware Supreme Court “Reboots” Dell
    Yesterday, the Delaware Supreme Court issued its decision in Dell v. Magnetar Global, in which it reversed the Chancery Court’s 2016 ruling in the Dell appraisal proceeding.  Here’s an…
  • Dec 14

    Controlling Shareholders: Recapitalization Passes Muster under MFW

    Controlling Shareholders: Recapitalization Passes Muster under MFW
    This Wilson Sonsini memo reviews the Delaware Chancery Court’s recent decision in IRA Trust FBO Bobbi Ahmed v. Crane (Del. Ch.; 12/17), in which the Chancellor Bouchard dismissed fiduciary duty claims arising out of a corporate…
  • Dec 13

    Transcript: “M&A Stories – Practical Guidance (Enjoyably Digested)”

    Transcript: “M&A Stories – Practical Guidance (Enjoyably Digested)”
    We have posted the transcript for our recent webcast: “M&A Stories: Practical Guidance (Enjoyably Digested).” Here are the 15 stories that were told during this program: 1. Dig Your Well Before You Are Thirsty 2. Diligence…
Rank this Week: 1129

California Corporate & Securities…

California Corporate & Securities Law

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

http://calcorporatelaw.com/
  • Dec 15

    Sale Of Shares At Sheriff’s Sale May Constitute Conversion

    Sale Of Shares At Sheriff’s Sale May Constitute Conversion
    One might expect that a sheriff’s sale of stock pursuant to a writ of execution could not result in a viable claim for conversion by a judgment debtor.  A California Court of Appeal, however, has ruled that it could. In Duke…
  • Dec 14

    Did The Legislature Grant A License To Lie To The Cannabis Industry?

    Did The Legislature Grant A License To Lie To The Cannabis Industry?
    An entire division of California’s Business & Professions Code is devoted to a single plant genus – Cannabis.  The official name of the division is the “Medicinal and Adult-Use Cannabis Regulation and Safety…
  • Dec 13

    Cannabizfile Comes To California

    Cannabizfile Comes To California
    California Secretary of State Alex Padilla wants to help entrepreneurs in California by launching a new online business portal.  According to Secretary of State’s press release, the new portal, coined “Cannabizfile“,…
Rank this Week: 107

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • Dec 14

    Another ICO Draws a Securities Class Action Lawsuit

    Another ICO Draws a Securities Class Action Lawsuit
    According to news reports, the amount raised through Initial Coin Offerings (ICOs) in 2017 now exceeds $4 billion. This surge of activity has drawn the attention of regulators. The SEC is clearly stepping up its ICO-related enforcement…
  • Dec 13

    Yet Another Data Breach-Related Securities Suit Filed

    Yet Another Data Breach-Related Securities Suit Filed
    While commentators (like me) were predicting a blitz of data breach-related D&O litigation, the anticipated onslaught failed to materialize. The few cases that were filed –in the form of shareholder derivative suits — were…
  • Dec 12

    Guest Post: Which ICOs are Next to Get Caught up in the SEC’s ICO Dragnet?

    Guest Post: Which ICOs are Next to Get Caught up in the SEC’s ICO Dragnet?
    One of the most interesting and arresting business stories of 2017 has been the astonishing proliferation of initial coin offerings (ICOs), as I discussed in a prior post (here). Readers who have been watching this story develop undoubtedly…
Rank this Week: 459

The Securities Edge

The Securities Edge

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

http://www.thesecuritiesedge.com/
  • Dec 14

    Cryptocurrency crackdown

    Cryptocurrency crackdown
    The SEC took two strong steps this week toward increased regulation of the cryptocurrency markets and specifically regulation of Initial Coin Offerings (“ICOs”). These steps included the halting of an ongoing ICO and a strong…
  • Dec 5

    80 is the new 50

    80 is the new 50
    No, I’m not referring to my age (I’m old, but not THAT old). Rather, I’m referring to the supermajority shareholder votes that ISS has required, and that Glass Lewis now requires, for various matters.  Specifically, for…
  • Nov 20

    Tis the season

    Tis the season
    Yes, it’s that time of year again.  Turkey, Black Friday, decking the halls, office parties, and the annual issuance of ISS’s voting policies for the coming year. To make sure I’m on Santa’s good list, I need to…
Rank this Week: 3352

Securities Law Blog

Securities Law Blog

Covers securities law. By Fitapelli | Kurta.

https://www.securities-law-attorney.com/
  • Dec 14

    Omega Healthcare Investors: Class Action

    Omega Healthcare Investors: Class Action
    Publicly available records indicate that a class action lawsuit has been filed on behalf of investors in Omega Healthcare Investors (NYSE:OHI) in connection to alleged violations of securities laws by OHI. Fitapelli Kurta is interested in…
  • Dec 14

    Meridian Bioscience: Class Action

    Meridian Bioscience: Class Action
    Publicly available records indicate that a class action lawsuit has been filed on behalf of investors in Meridian Bioscience (NASDAQ:VIVO) in connection to alleged violations of securities laws by VIVO. Fitapelli Kurta is interested in…
  • Dec 14

    Cheetah Mobile: Class Action

    Cheetah Mobile: Class Action
    Publicly available records indicate that a class action lawsuit has been filed on behalf of investors in Cheetah Mobile (NYSE: CMOM) in connection to alleged violations of securities laws by CMOM. Fitapelli Kurta is interested in hearing from…
Rank this Week: 2108

Classified: The Class Action Blog

Classified: The Class Action Blog

A blog focused on the latest class action developments and trends by the attorneys of Carlton Fields Jorden Burt.

http://classifiedclassaction.com/
Rank this Week: 2478

Stock Attorneys Blog

Stock Attorneys Blog

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

http://www.stockattorneysblog.com/
  • Dec 14

    Complaint filed against Meyers Associates and Two of it’s Broker

    Complaint filed against Meyers Associates and Two of it’s Broker
    (FINRA Case #2015046971701) Street Capital, LP f/k/a Meyers Associates, L.P (CRD #34171, New York, New York), Nas Adel Allan (CRD #4562149, Staten Island, New York) and Gregory J. Anastos (CRD #5800831, Jersey City, New Jersey) – The…
  • Dec 7

    Fleming Suspended by FINRA for Four Month

    Fleming Suspended by FINRA for Four Month
    (FINRA Case #2013035035902) James Sylvester Fleming III (CRD #846806, Paxton, Massachusetts) – An AWC (Accept, Wavier & Consent) was issued in which Fleming was fined $10,000 and suspended from association with any FINRA member in…
  • Nov 30

    Lomedico Supended & Fined by FINRA

    Lomedico Supended & Fined by FINRA
    (FINRA Case #2013037843201) David John Lomedico (CRD #1531676, Huntington, New York) – An AWC (Accept, Wavier & Consent) was issued in which Lomedico was assessed a deferred fine of $5,000 and suspended from association with any…
Rank this Week: 3791

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: 143

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: 158

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/
  • Dec 13

    Mortgages for Bitcoin?

    Mortgages for Bitcoin?
    This is simply mindboggling."We’ve seen mortgages being taken out to buy bitcoin. … People do credit cards, equity lines,” Joseph Borg, president of the North American Securities Administrators Association,…
  • Dec 12

    Trouble Ahead - FINRA Focus on Outside Business Activities. Are Yours Fully Disclosed?

    Trouble Ahead - FINRA Focus on Outside Business Activities. Are Yours Fully Disclosed?
    By now, most registered representatives are aware that FINRA has been actively investigating the backgrounds of registered persons for undisclosed judgments and liens. There have been questions as to how they are conducting those…
  • Dec 11

    Bitcoin Fraud On the Rise

    Bitcoin Fraud On the Rise
    I have been representing targets and witnesses in securities fraud investigations and litigation for decades. I have litigated the aftermath of Ponzi schemes, pump and dumps and bubbles for investors, and have represented countless witnesses…
Rank this Week: 736

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Dec 13

    Joseph Cotter Sanctioned Over High Commissions and Excessive Trading

    Joseph Cotter Sanctioned Over High Commissions and Excessive Trading
    According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Joseph Cotter (Cotter) has been subject to two customer complaints, two employment terminations for cause, and one regulatory action. …
  • Dec 10

    William Heiden Accused of Concentrating Customers in Oil & Gas Investment

    William Heiden Accused of Concentrating Customers in Oil & Gas Investment
    According to BrokerCheck records financial advisor William Heiden (Heiden), employed by Wedbush Securities Inc. (Wedbush), has been subject to nine customer complaints.  According to records kept by The Financial Industry Regulatory…
  • Dec 10

    SEC Accuses Payson Petroleum 3 Well 2014 Owners Of Fraud

    SEC Accuses Payson Petroleum 3 Well 2014 Owners Of Fraud
    The Securities and Exchange Commission (SEC) filed a civil action charging Matthew Griffin and William Griffin with fraudulently offering two Texas oil and gas partnerships – Payson Petroleum 3 Well 2014.  The SEC alleges that…
Rank this Week: 186

Cross-Border Counselor: What…

Cross-Border Counselor: What Canadian Companies and Their Advisors Need to Know About U.S. Law

Collection of articles and updates about U.S. law issues of concern to Canadian companies that have assets, do business, raise funds or are listed for trading in the United States, as well as the attorneys, accountants and banks that advise them.By Dorsey & Whitney LLP’s Canada cross-border practice group.

https://crossbordercounselor.com/
Rank this Week: 1922

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: 1686

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: 633

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/
  • Dec 12

    Overboard, under deliver?

    Overboard, under deliver?
    We recently reported that Institutional Shareholder Services (ISS) released its 2018 Americas Proxy Voting Guidelines Updates (the Policy Update), which, among other things, establishes modified guidelines for determining whether a director…
  • Dec 5

    Shareholder activism leads to higher rate of CEO turnover – win or lose

    Shareholder activism leads to higher rate of CEO turnover – win or lose
    Shareholder activism is now a global phenomenon. Activists commonly seek to shake up the board of a target company in hopes of instilling change and increasing shareholder value. The impact on target companies can be both disruptive and…
  • Nov 22

    ISS releases 2018 Americas Proxy Voting Guidelines Update

    ISS releases 2018 Americas Proxy Voting Guidelines Update
    On November 16, 2017, Institutional Shareholder Services (ISS) released its 2018 Americas Proxy Voting Guidelines Updates (the Updates). These updates implement changes in a number of areas, with the most significant being a gender diversity…
Rank this Week: 1793

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: 289

Subject to Inquiry

Subject to Inquiry

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

http://www.subjecttoinquiry.com/
  • Dec 11

    FINRA Continues to Prioritize Examinations of High-Risk and Recidivist Broker

    FINRA Continues to Prioritize Examinations of High-Risk and Recidivist Broker
    In its 2017 Regulatory and Examination Priorities Letter, FINRA made clear that one of its top priorities is identifying high-risk brokers and ensuring that their firms properly monitor them. To assist it in doing so, FINRA has established a…
  • Dec 6

    The Cloak of Legal Professional Privilege

    The Cloak of Legal Professional Privilege
    The recent judgment in the case of Serious Fraud Office (SFO) v Eurasian Natural Resources Corporation Ltd [2017] EWHC 1017 (QB) is a matter of major concern for companies and those involved in advising them on the best approach to the…
  • Dec 4

    Expansion of FCPA “Pilot Program” is Good for Companies, but Heed the Fine Print

    Expansion of FCPA “Pilot Program” is Good for Companies, but Heed the Fine Print
    Deputy Attorney General Rod Rosenstein’s Nov. 29 announcement that the Department of Justice FCPA “Pilot Program” will be permanently expanded is good news for companies that repeatedly faced the dilemma of whether or not to…
Rank this Week: 2538

Securities Arbitration Blog

Securities Arbitration Blog

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

https://securitiesarbitrations.com/category/news/
  • Dec 11

    Feds Catch Up With Wayne Ponzi Schemer

    Feds Catch Up With Wayne Ponzi Schemer
    On December 7, 2017, the United States Securities and Exchange Commission and the Department of Justice, through the United States Attorney for the Eastern District of Pennsylvania filed a civil action and a criminal indictment against Paul…
  • Nov 27

    Bad Investment Strategy Not Stock Fraud in Bankruptcy

    Bad Investment Strategy Not Stock Fraud in Bankruptcy
    In 2002, in the wake Worldcom and Enron the United States Congress among other things amended the United States Bankruptcy Code to provide that Bankruptcy Code does not discharge an individual debtor from any debt incurred in connection with…
  • Oct 11

    Elder Abuse Cases At FINRA, How Prevalent and How Successful?

    Elder Abuse Cases At FINRA, How Prevalent and How Successful?
    By: Dana N. Pescosolido We’ve all heard the warnings, for many years now. The population is aging, the baby-boomers are starting to retire, and as they age, the opportunities for exploitation by unscrupulous brokers will increase…
Rank this Week: 907

McEldrew Young Blog

McEldrew Young Blog

Covers whistleblower law and wage theft for employees.

http://www.mceldrewyoung.com/blog/
  • Dec 11

    Latest Settlement Reveals Mortgage Fraud Continued Years After Financial Crisis Ended

    Latest Settlement Reveals Mortgage Fraud Continued Years After Financial Crisis Ended
    We are reaching the end of a decade since mortgage fraud hit its peak in 2007. However, the latest settlement by IberiaBank suggests that at least one lender continued aspects of mortgage fraud against the Federal Housing Administration (FHA)…
  • Dec 7

    SEC Has Recovered Over $1 Billion Due to Whistleblower Tip

    SEC Has Recovered Over $1 Billion Due to Whistleblower Tip
    Over the past week, the U.S. Securities and Exchange Commission has issued total rewards of over $20 million to three SEC whistleblowers. As a result, SEC enforcement actions involving whistleblowers have now recovered more than $1 billion in…
  • Dec 4

    SEC Cyber Unit Files First Action to Halt ICO Fraud PlexCoin

    SEC Cyber Unit Files First Action to Halt ICO Fraud PlexCoin
    The SEC today announced an enforcement action against the Initial Coin Offering (ICO) by PlexCoin. The SEC obtained a freeze on the purportedly $15 million in investor funds raised by PlexCoin from thousands of U.S. and international…
Rank this Week: 1593

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • Dec 11

    What FINRA Found in its Examination

    What FINRA Found in its Examination
    FINRA recently issued a report regarding its examination findings. FINRA issued this report so that firms can gain insight from the work of FINRA’s examination of other firms. Among the FINRA’s findings are the following areas…
  • Nov 28

    What’s The Deal With Branch Office Inspections?

    What’s The Deal With Branch Office Inspections?
    In Notice to Members 17-38, FINRA has put out for comment a change to Rule 3110 that would allow the remote inspection of certain “qualifying offices” as that term is defined by FINRA. In its Notice to Members, FINRA highlighted…
  • Nov 13

    So Who Wants To Lie On Their U-4

    So Who Wants To Lie On Their U-4
      The SEC recently upheld a statutory disqualification that FINRA imposed where the representative filed a false U-4 and falsely answered compliance questionnaires. It appears as though the registered representative failed to disclose…
Rank this Week: 3631

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
  • Dec 11

    Securities Industry Commentator by Bill Singer Esq

    Securities Industry Commentator by Bill Singer Esq
    In the Matter of Justin D. Meadlin, Respondent (Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions; Invest. Adv. Act Rel No. 4827’ Admin. Proc. File No. 3-18309 / December 13, 2017)…
  • Dec 11

    U Can't Touch This PERFECT FINRA Suitability Arbitration Decision

    U Can't Touch This PERFECT FINRA Suitability Arbitration Decision
    It's Hammer Time! A FINRA arbitrator just penned a Decision about a suitability case that's so close to perfection that . . . well . . . you know . . . u can't touch this!!  Ya got yer content. Ya got yer context. Ya got understandable…
  • Dec 11

    The FINRA Gestalt

    The FINRA Gestalt
    The word "gestalt" means something made of many parts but whose wholeness is more than or different from the mere sum of those parts. When it comes to the self regulation of Wall Street, the Financial Industry Regulatory…
Rank this Week: 342

Securities Fraud Lawyer Blog

Securities Fraud Lawyer Blog

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

https://www.securitiesfraudlawyerblog.net/
  • Dec 10

    Todd Seeholzer Pending Investigation

    Todd Seeholzer Pending Investigation
    Todd Seeholzer a representative for Allegis Investment Services in Logan, Utah recommended a risky options strategy that caused substantial losses on August 21, 2015. We presently represent several clients who were solicited by Todd Seeholzer…
  • Nov 15

    Madyson Capital Management Sued For Securities Fraud

    Madyson Capital Management Sued For Securities Fraud
    Madyson Capital Asset Freeze; Receiver Appointed The securities attorneys at The Law Office of David Liebrader have opened an investigation into the securities related conduct of Madyson Capital Management after the firm and its founder…
  • Nov 15

    Goldfield Oil Goldfield McKenzie Investigation

    Goldfield Oil Goldfield McKenzie Investigation
    Goldfield Oil Goldfield McKenzie 7 Drilling Fund sued in Clark County District Court. The securities attorneys at The Law Office of David Liebrader have opened an investigation into the securities related conduct of the Las Vegas based…
Rank this Week: 965

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/
  • Dec 8

    Special Counsel Subpoenas, FBI Agent Texts, GoGo Penguin Groove

    Special Counsel Subpoenas, FBI Agent Texts, GoGo Penguin Groove
    An unusual point arose here (at the end) regarding an FBI agent’s political text-messages and cross-examination: Jack Sharman – MSNBC – Meet the Press (Dec. 5, 2017) from LFW on Vimeo. Text Messages and FBI Agents The…
  • Dec 6

    The Special Counsel and Obstruction of Justice

    The Special Counsel and Obstruction of Justice
    Here, a few thoughts on the Special Counsel, the President and obstruction of justice: Jack Sharman – MSNBC – The 11th Hour with Brian Williams (Dec. 4, 2017) from LFW on Vimeo. For earlier discussions about obstruction charges…
  • Dec 1

    Dante’s Guide: Preparing the Grand Jury Witne

    Dante’s Guide: Preparing the Grand Jury Witne
    Finally, one gets to quote Dante while talking about grand jury witnesses: In the year 1300, at age 35, the narrator of Dante’s Inferno famously finds himself in trouble: Midway in our life’s journey, I went astray from the…
Rank this Week: 766

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/
  • Dec 8

    Boilerplate provisions in a contract

    Boilerplate provisions in a contract
    The term “boilerplate” refers to standardized language in a contract that usually appears at the end of the agreement (often in a section titled “miscellaneous” or “general terms”). While boilerplate…
  • Nov 15

    Methods to minimize indemnification obligation

    Methods to minimize indemnification obligation
    Because most indemnification claims are made by a buyer, the seller seeks to limit its indemnification obligations. Some ways in which the indemnification obligations can be limited include: Materiality of breach or claim amount Caps on…
  • Oct 12

    Litigation provisions v. arbitration provisions in business contract

    Litigation provisions v. arbitration provisions in business contract
    Arbitration is an increasingly popular method of resolving disputes, but drafters of business contracts need to be aware that arbitration may not be suitable for every dispute. The question of whether or not to arbitrate often comes down to…
Rank this Week: 4088

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/
  • Dec 7

    Tax Reform – The Current State of Play

    Tax Reform – The Current State of Play
    On December 2, the Senate passed its version of the Tax Cuts and Jobs Act. The House of Representatives earlier approved a competing version of the Act on November 16. The Senate and House entered into conference this week to resolve…
  • Nov 20

    Second Circuit Affirms Class Certification Holding that Direct Evidence of Price Impact is Not Always Necessary to Demonstrate Market Efficiency

    Second Circuit Affirms Class Certification Holding that Direct Evidence of Price Impact is Not Always Necessary to Demonstrate Market Efficiency
    In Waggoner v. Barclays PLC, No. 16-1912 (2d Cir. Nov. 6, 2017), the United States Court of Appeals for the Second Circuit, in a Rule 10b-5 securities fraud action, affirmed the district court’s order granting class certification and,…
  • Nov 16

    U.S. Tax Reform: The Current State of Play

    U.S. Tax Reform: The Current State of Play
    Earlier today the House of Representatives voted on and passed the Tax Cuts and Jobs Act. If passed by the Senate, the Act would significantly change the current federal income tax regime in the United States. The legislation would impact all…
Rank this Week: 495

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/
  • Dec 5

    New Securities Law Articles in Print

    New Securities Law Articles in Print
    The following law review articles relating to securities regulation are now available in paper format: Gina-Gail S. Fletcher, Benchmark Regulation, 102 Iowa L. Rev. 1929 (2017). Alison Giest, Comment, Interpreting Public Interest Provisions…
  • Nov 4

    Anderson on Insider Trading

    Anderson on Insider Trading
    John P. Anderson has posted Poetic Expansions of Insider Trading Liability on SSRN with the following abstract: Professors Michael Guttentag and Donna Nagy have each offered arguments suggesting that the entire tipper-tippee framework first…
  • Nov 1

    New Securities Law Articles in Print

    New Securities Law Articles in Print
    The following law review articles relating to securities regulation are now available in paper format: Zachary Ballas, Note, Equity Crowdfunding -- The JOBS Act (Almost) to the Rescue, 25 Cardozo J. Int'l & Comp. L. 317 (2017). Benjamin…
Rank this Week: 296

Governance & Compliance Insider

Governance & Compliance Insider

Tracks the latest developments, trends and best practices in compliance, corporate governance, and disclosure. By Dorsey & Whitney LLP’s Corporate Governance & Compliance Practice Group.

http://governancecomplianceinsider.com
  • Dec 4

    Upcoming CLE Seminar: Preparing for the 2018 Proxy Season

    Upcoming CLE Seminar: Preparing for the 2018 Proxy Season
    On Tuesday, December 12, Dorsey will present our annual review of developments and disclosure requirements for the upcoming proxy season, including practical advice on how to prepare your proxy statement and annual report in 2018. Click here…
  • Nov 15

    Do You Need a Risk Factor for Proposed U.S. Federal Income Tax Reform?

    Do You Need a Risk Factor for Proposed U.S. Federal Income Tax Reform?
    Tax reform efforts by Congress are ongoing, and the substance of the tax bills remains fluid. However, for foreign corporations with U.S. operations, there are some specific potential risks to consider, such as additional limitations on the…
  • Nov 8

    Annual Report Reminders for Foreign Private Issuer

    Annual Report Reminders for Foreign Private Issuer
    There are a couple of recent developments that we would like to remind issuers to keep in mind for their upcoming annual reports. Foreign private issuers who prepare their financial statements in accordance with the International Financial…
Rank this Week: 1927

Wall Street Investment Fraud…

Wall Street Investment Fraud Lawyer Blog

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

http://www.wallstreetinvestmentfraudlawyer.com/
Rank this Week: 608

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/
  • Dec 1

    NC Business Court On Conversion Of Electronic Data

    NC Business Court On Conversion Of Electronic Data
    The Defendant in SQL Sentry, LLC v. ApexSQL, LLC, 2017 NCBC 105 was alleged to have copied the Plaintiff's software program which was designed to make "resource intensive T-SQL queries. . . in the Microsoft enterprise database platform,…
  • Oct 22

    Nc Business Court Stretches NCRCP 14 to Allow New Third Party Defendants To Be Added Years After The Commencement Of Litigation

    Nc Business Court Stretches NCRCP 14 to Allow New Third Party Defendants To Be Added Years After The Commencement Of Litigation
    The North Carolina Rules of Civil Procedure are fairly identical to the Federal Rules of Civil Procedure.  In fact, I am hard pressed to think of any substantial differences. But the lack of one word contained in FRCP 14 -- "original" --…
  • Oct 12

    NC Business Court Rules On What Constitutes An "Arbitration"

    NC Business Court Rules On What Constitutes An "Arbitration"
    You've probably never had to decide what it means to agree to arbitrate.  Usually, there is a written provision that references the AAA Rules and includes a consent to AAA's procedures as to the appointment of the arbitrator(s) and the…
Rank this Week: 804

Tim O'Connor's Blog

Tim O'Connor's Blog

Covers stockbroker fraud.

http://stockbrokerlaw.com/tim-oconnors-blog
  • Nov 30

    FINRA Releases Regulatory Notice Warning Member Firms of Volatility-Linked Exchange-Traded Product

    FINRA Releases Regulatory Notice Warning Member Firms of Volatility-Linked Exchange-Traded Product
    In Regulatory Notice 17-32 , FINRA recently articulated the grave risks to investors regarding the sale of Exchange Traded Products.  Typically, these products are linked by tracking short and mid-term VIX future indexes – a…
  • Nov 29

    Wells Fargo Fined by FINRA for VIX Linked Exchange Traded Product

    Wells Fargo Fined by FINRA for VIX Linked Exchange Traded Product
    The Financial Industry Regulatory Authority (FINRA) has fined Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC $3.4 Million as required restitution relative to unsuitable recommendations involving…
  • Nov 17

    SEC Issues Microcap Fraud Alert for Low-Priced Stock

    SEC Issues Microcap Fraud Alert for Low-Priced Stock
    In a recent Release, the SEC warned investors about fraudulent schemes involving Over-The-Counter (OTC) stocks.  This warning also included stocks listed on the OTC Bulletin Board (OTSBB) and the OTC Markets Group, Inc. (f/k/a Pink…
Rank this Week: 357

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

https://10b5daily.com/
  • Nov 29

    Cyan Argued

    Cyan Argued
    On Tuesday, the U.S. Supreme Court heard oral argument in the Cyan, Inc. v. Beaver County Employees Retirement Fund case, which addresses the preemptive scope of the Securities Litigation Uniform Standards Act of 1998 (SLUSA).…
  • Oct 27

    Rites of Confession

    Rites of Confession
    When does a company have a duty to disclose hidden wrongdoing?  As many courts have noted, disclosure is not a “rite of confession” and a company does not have a general obligation to tell investors whether some (or…
  • 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…
Rank this Week: 1118

Strictly Business

Strictly Business

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

http://www.strictlybusinesslawblog.com/
  • Nov 29

    Using Side Letters in Private Fund

    Using Side Letters in Private Fund
    At some point while raising capital for a private fund, you will likely be asked by one or more potential investors to enter into a side letter. A side letter is an agreement between the fund and one particular investor to vary the terms of…
  • Oct 30

    What Do Startups Need to Know About Data Privacy Law?

    What Do Startups Need to Know About Data Privacy Law?
    It’s hard to imagine a startup that does not collect some form of sensitive information in digital form, and the collection, use, and disclosure of such information is regulated under federal, state, and even international laws. The…
  • 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…
Rank this Week: 2883

White Collar Fraud

White Collar Fraud

Covers white collar crime, securities fraud, the accounting profession, internal controls and Sarbanes-Oxley. By Sam E. Antar.

http://whitecollarfraud.blogspot.com/
  • Nov 27

    Marc Cohodes Buys Stock & Vanishes From Overstock CEO’s Smear Site

    Marc Cohodes Buys Stock & Vanishes From Overstock CEO’s Smear Site
    Summary In recent months, every disparaging reference to former hedge fund manager Marc Cohodes was removed from Deep Capture, a website that viciously smears the financial press and critics of Overstock.com CEO Patrick Byrne. Cohodes…
  • Mar 30

    Overstock.com Hatchet Man Judd Bagley's Downward Spiral: Junkie, Confessed Criminal, Admitted Adulterer

    Overstock.com Hatchet Man Judd Bagley's Downward Spiral: Junkie, Confessed Criminal, Admitted Adulterer
    In the years that I’ve written extensively about Overstock.com (NASDAQ: OSTK), I have always been amazed about its bizarre CEO Patrick Byrne and the gang of misfits he has surrounded himself with. By far, the worst was a real loser…
  • Feb 5

    Crook vs. Crook: Why Former Congressman Michael Grimm is a Dumb Crook

    Crook vs. Crook: Why Former Congressman Michael Grimm is a Dumb Crook
    In my first segment of a series of Op-ed articles about white-collar crime on CNBC, I examine the case of former Republican Congressman Michael Grimm who recently pleaded guilty to income tax evasion and awaits sentencing on June 8, 2015.New…
Rank this Week: 3777

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: 32

California Securities Fraud Lawyer…

California Securities Fraud Lawyer Blog

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

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

    Justice for Small Investors Using FINRA’s Simplified Arbitration Proce

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

    October is FINRA Mediation Settlement Month

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

    Securities Whistleblower Awarded More Than $1.7 Million by SEC

    Securities Whistleblower Awarded More Than $1.7 Million by SEC
    A company insider was recently awarded more than $1.7 million by the Securities and Exchange Commission pursuant to the SEC’s securities fraud whistleblower program.  Whistleblowers who provide the SEC with original and credible…
Rank this Week: 4478

Footnoted

Footnoted

Reports on actionable information in SEC filings.

http://www.footnoted.com/
  • Nov 9

    Live tweeting the Friday Night Dump

    Live tweeting the Friday Night Dump
    We are now offering a subset of our Pro data via Twitter. Find out more by clicking here: https://premosocial.com/footnotedFND
  • Jun 5

    America’s dying malls weigh on retailer

    America’s dying malls weigh on retailer
    Once the grand temples to American consumerism, malls are in a decline that seems to have accelerated in 2017.
  • Jun 5

    America’s dying malls weigh on retailer

    America’s dying malls weigh on retailer
    Once the grand temples to American consumerism, malls are in a decline that seems to have accelerated in 2017.
Rank this Week: 2115