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The D & O Diary

6th Circ.: Crime Policy’s Computer Fraud Section… Jul 15

More About Climate Change Disclosure Jul 12

The Growing Costs of Merger Objection Litigation Jul 11

Rank this Week: 159

Securities Lawyers Blog

Future Income Payments, LLC Investment Recovery… Jul 15

Robin Reading Sanctioned Over Sale of Fraudulent… Jul 13

John James Barred by FINRA Over Allegations of… Jul 13

Rank this Week: 111

Business Law Post

Not All ICOs are Securities Offering Jul 14

Should All Accredited Investors Be Wealthy? Jul 14

Section 3(c)(1) of the Investment Company Act now… May 31

Rank this Week: 3616

Corporate Securities Law Blog

New York Court of Appeals Rules that Civil… Jul 13

SEC Expands the Definition of “Smaller Reporting… Jul 12

New Law Requires SEC to Expand Regulation A+ To… Jun 19

Rank this Week: 4065

The White Law Group's Securities…

Business Development Corporation of America – BDCA… Jul 13

Steadfast Income REIT – Secondary Market Listing… Jul 13

ATEL 12 LLC – $1.06/share- Secondary Market… Jul 13

Rank this Week: 100

Investment Fraud Information

Global Arena Capital Corp Broker Erik Pica Has… Jul 13

Andrew Stoltmann Discusses With InvestmentNews… Jul 11

James Flynn of Voya Financial Advisors Has Customer… Jul 10

Rank this Week: 2625

Jim Hamilton's World of Securities…

NASAA backs FINRA proposal to further restrict high… Jul 13

Webinar looks at financial services regulatory… Jul 13

The future of tokenized securities explored at… Jul 12

Rank this Week: 475

Regulation tomorrow

PRA statement on systemic risk buffers and Pillar 2A… Jul 13

Interest rate benchmark reform: transition to a… Jul 13

Commisison adopts AIFMD and UCITS Delegated… Jul 13

Rank this Week: 2441

TheCorporateCounsel.net Blog

The “Nina Flax” Files: Things About My Job That… Jul 13

MD&A: How to Handle a “Highly Inflationary… Jul 12

Do Boards Really Talk About Race? Jul 11

Rank this Week: 477

DealLawyers.com Blog

Merger Litigation: Cost of Deal Suits Has Soared Jul 13

Corwin: “Partial and Elliptical” Disclosures… Jul 12

Buy-Side Fiduciary Duties: Business Judgment? Not… Jul 11

Rank this Week: 876

Securities Law Blog

FINRA Issues Notice to Firms Involved in… Jul 12

Update: New Pending Investor Complaints against… Jul 12

New York Attorney General Announces Fraud Charges… Jul 12

Rank this Week: 1689

Securities Law Attorneys Blog

Erik Littlejohn: Customers Allege Unsuitable Energy… Jul 12

Valmark Broker William Rossi III Allegedly Breached… Jul 12

Willie Brooks: Investor Alleges Unsuitable Mutual… Jul 12

Rank this Week: 104

Sharesleuth.com

Cool Mara Riot: The big money, bitcoin-biotech daisy… Jul 12

Pretenders and Ghosts: Stealth promotion network… Mar 6

Beyond public view, a recidivist fraudster nears a… Dec 6

Rank this Week: 864

The Securities Edge

To buy or not to buy Jul 12

Recent changes to the securities laws that you may… Jul 9

Smaller gets bigger, which means less (the new… Jul 4

Rank this Week: 2154

Stock Attorneys Blog

Kaplan Barred for Churning and Unsuitable Excessive… Jul 12

Meier Barred by FINRA Jul 5

LaMarre Fined and Suspended for Unsuitable… Jun 7

Rank this Week: 4420

Hedge Fund Law Blog

Cole-Frieman & Mallon 2018 Second Quarter Update Jul 12

Digital Asset Regulatory Items – Second… Jul 10

Regulation A+ for Token Offering Jul 9

Rank this Week: 4620

Broke and Broker

Securities Industry Commentator by Bill Singer Esq Jul 12

5% Solution In FINRA Expungement Arbitration Jul 12

Cut, Pasted, Traced, Signed, Sealed, Delivered . . .… Jul 11

Rank this Week: 4615

Fitapelli Kurta News

Eric Stuckey: Investors Allege Unsuitable… Jul 11

Erik Pica: Investor Complaints Include Unsuitable… Jul 11

Customer Alleges HD Vest’s Erin Verespy… Jul 11

Rank this Week: 171

Investment Fund Law Blog

California Enacts Mini-GDPR Effective January 1,… Jul 11

The Joke’s on Us! – SEC Demonstrates Sense of… May 23

Investment Funds Authority Ildiko Duckor Demystifies… May 22

Rank this Week: 3175

Securities Compliance Sentinel

Political Contributions Result in RIA Fine Jul 11

A FINRA Arb Panel’s Ingenious Method for Resolving… Jun 22

Changes to CRD Coming Soon Jun 22

Rank this Week: 4049

Securities Arbitration Lawyers…

Daniel Glick Gets 12 Years in Jail for Elder… Jul 11

FINRA Suspends Registered Individuals in June 2018… Jul 9

Registered Individuals Barred by FINRA in June 2018… Jul 9

Rank this Week: 281

Securities Litigation and…

The SEC’s Authority to Enforce the Bank Secrecy… Jul 10

SEC Proposes a “Best Interest” Standard for… Apr 20

D.C. Circuit Holds PCAOB Improperly Denied Target of… Mar 29

Rank this Week: 1460

Special Situations Law

“The Great White Short?” Canada Is the World’s… Jul 10

Tracking the Rise of Shareholder Activism in Asia Jun 19

Changes coming to Canadian Business Corporations Act… Jun 14

Rank this Week: 2440

Governance & Compliance Insider

SEC Issues $1.75 Million Penalty Over Perks… Jul 10

SEC Approves Series of Final and Proposed Rules in… Jun 29

SEC Expands on “Smaller Reporting Companies”… Jun 29

Rank this Week: 2147

Securities Arbitration Blog

Fake Securities America Broker: Catch Me If You… Jul 10

Feds Catch Up With Wayne Ponzi Schemer Dec 11

Bad Investment Strategy Not Stock Fraud in… Nov 27

Rank this Week: 2734

North Carolina Business Litigation…

It May Not Be Worth It For Plaintiffs’ Lawyers To… Jul 9

Don’t Do This If You Are Out-of-State Counsel… Jul 3

NC Business Court Schools Plaintiff's Attorney On… Jun 14

Rank this Week: 3856

Classified: The Class Action Blog

Fourth Circuit Holds Plaintiffs Who Allege Identity… Jul 9

Are Administrative Fees and Costs a Benefit to the… Jul 3

No Refund For You! Voluntary Payment Defense… Jun 21

Rank this Week: 312

New York Securities Lawyers Blog

Another brokerage firm, Alexander Capital L.P Has… Jul 7

Malecki Law Featured in Financial Planning Article… Jun 29

Are Private Placements a Tool “Troubled… Jun 28

Rank this Week: 3342

Securities Law Prof Blog

Sharfman on Dual Class Share Voting Versus “Empty… Jul 5

Book Announcement: Anderson on Insider Trading Jul 1

Rank this Week: 278

Investor Lawyers Blog

Former Financial Advisor Kyusun Kim Barred From… Jul 2

Former NY Life Broker Joel Flaningan Allegedly Sold… Jun 29

SEC Files Complaint against Suspended Broker John… Jun 28

Rank this Week: 2071

Representing Investors

Wall Street’s Sucker Bet – Leveraged Inverse… Jul 2

Private Placement Investments can be a Clear &… Jun 25

ProShares Short XIV Short-Term Futures ETF Drops… Feb 13

Rank this Week: 3031

Securities Fraud Lawyer Blog

EB-5 Fraud: Practical Advice for Investor Jun 30

Future Income Payments Recovery Information Jun 29

Sheaff Brock Option Trading Investigation Feb 15

Rank this Week: 1724

California Securities Fraud Lawyer…

Ameriprise Pays $230,000 Securities Fraud Fine for… Jun 29

Justice for Small Investors Using FINRA’s… Nov 15

October is FINRA Mediation Settlement Month Oct 5

Rank this Week: 332

Securities Law Blog

Senators Ask SEC To Launch Insider Trading… Jun 29

SEC News - Failure to Supervise, Misleading Clients,… Jun 25

Bitcoin Could Bring the Internet to a Halt Jun 21

Rank this Week: 865

Securities Fraud Lawyer Blog

Some Novel Defenses in Employee Forgivable Loan Case Jun 28

The Texas Securities Act–A Powerful Tool For… Feb 4

Rank this Week: 1749

Cross-Border Counselor: What…

Proposed Rulemaking to Update Environmental Review… Jun 28

Analysis of the 60 Most Recent SEC Comment Letters… Jun 15

SEC Guidance on Cybersecurity Disclosure and… Jun 8

Rank this Week: 2149

Recover Investment Losses Blog

Oppenheimer Ordered to Pay Customer $800,000 For… Jun 27

Dominick J. Diorio, Jr.-Aegis Capital… Jun 26

Peter Klaass and Heath Bowen-Former Allegis… Jun 26

Rank this Week: 276

New York Securities Lawyer Blog

SEC Charges Perry Santillo, Christopher Parris, Paul… Jun 26

SEC Charges Steven Pagartanis with $8 Million… Jun 10

Former Bear Stearns Manager Defrauds Cancer Patient… May 30

Rank this Week: 2292

White Collar Alert

Supreme Court Rules SEC Staff Picked Administrative… Jun 25

U.S. Supreme Court Unanimously Agrees Mandatory… May 29

Pennsylvania Superior Court Looks to Electronic… Mar 28

Rank this Week: 977

Investor Arbitration Claims Blog

Silver Law Group Issues Informative Videos for… Jun 21

Silver Law Group is Representing Investors in the… Jun 20

Menlo Therapeutics (“MNLO”) I.P.O. Losse May 14

Rank this Week: 1969

Ponzitracker

SEC Busts $102 Million Ponzi Scheme Targeting… Jun 20

Feds Allege Mississippi Man Ran $85 Million Timber… May 1

After Mistrial, Feds Will Retry Accused $100 Million… Nov 2

Rank this Week: 3152

McEldrew Young Blog

Cascade of Errors Led to Fatal Fire at Pennsylvania… Jun 18

5 Steps to Take if Your Child was in a School Bus… May 18

Behind the Opioid Epidemic May 15

Rank this Week: 2457

The Race to the Bottom

Cohen v. Kitov Pharmaceutical: Court Denies… Jun 17

Laborers’ Local #231 Pension Fund v. Cowan: Case… May 29

Webb v. SolarCity Corporation: Founders' Conduct… Apr 26

Rank this Week: 53

White Collar Wire

A Meditation On Father’s Day Jun 16

Video Guidance, Agency Guidance and White-Collar… Apr 23

Brand’s Memo and Dan’s Desk Feb 26

Rank this Week: 2350

Cosgrove Law Securities and…

EX-CITIGROUP BROKER VINDICATED WITH $4M FINRA… Jun 7

FINRA’S NEW DISCLOSURE REVIEWS MAY HELP LIFT… May 30

Missouri Securities Division Bars Two Former Owners… May 18

Rank this Week: 4290