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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: 81

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: 91

William Carleton, Counselor @ Law

Secondary Sales and An Investor Covenant You Don’t… Mar 16

A Gift from Congress to Angel Mar 11

Rank this Week: 127

Financial Counsel

Destructive Impact of Fund Fee Jun 23

Customer Sues Merrill Lynch for Fraud in Connection… Apr 7

New Recommendations by the FINRA Dispute Resolution… Apr 5

Rank this Week: 132

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: 136

Jim Hamilton's World of Securities…

Demise of LIBOR benchmark takes center stage at MRAC… Jul 16

NASAA backs FINRA proposal to further restrict high… Jul 13

Webinar looks at financial services regulatory… Jul 13

Rank this Week: 140

Page Perry LLC Blog

CYNK Latest Wall Street Trap? Jul 16

Former LPL Broker Jason Parker Leaves Trail Of… Jul 14

Pension Advisers Fall Under Scrutiny Jun 13

Rank this Week: 253

TheCorporateCounsel.net Blog

Tomorrow’s Webcast: “Insider Trading… Jul 16

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

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

Rank this Week: 272

The White Law Group's Securities…

Update – American Finance Trust – Liquidity Plan Jul 16

Business Development Corporation of America – BDCA… Jul 13

Steadfast Income REIT – Secondary Market Listing… Jul 13

Rank this Week: 288

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: 321

California Corporate & Securities…

The Form 8-Ks That The SEC May Have Overlooked Dec 29

Does Choice Of Law Include The Parol Evidence Rule? Dec 28

Nevada Supreme Court Won’t Allow Advisory Mandamus… Dec 22

Rank this Week: 343

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: 420

Securities Law Blog

SEC News - Stock Manipulation, FCPA Violations, and… Jul 16

Senators Ask SEC To Launch Insider Trading… Jun 29

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

Rank this Week: 466

Canadian Securities Law Online

The Equity Margin Project: IIROC Withdraws Phase II… Aug 11

IIROC Best Execution Amendments and Guidance Aug 3

NI 31-103 Amendments: EMDs Banned from Prospectus… Aug 3

Rank this Week: 467

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: 478

About Broker Fraud Blog

SEC Freeze Assets in Alleged Diamond-Themed Ponzi… Dec 6

Arbitrators Award Ten Times Amount of Investment in… Sep 28

Rank this Week: 477

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: 487

DealLawyers.com Blog

July-August Issue: Deal Lawyers Print Newsletter Jul 16

Merger Litigation: Cost of Deal Suits Has Soared Jul 13

Corwin: “Partial and Elliptical” Disclosures… Jul 12

Rank this Week: 538

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: 619

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: 706

White Collar Fraud

Thanks to Marc Cohodes, We’re Back to the Bad Old… Dec 20

Marc Cohodes Buys Stock & Vanishes From… Nov 27

Overstock.com Hatchet Man Judd Bagley's Downward… Mar 30

Rank this Week: 752

The 10b-5 Daily

Mr. Roberts Moves Firm Apr 11

Cyan Decided Mar 25

No Confession Required Feb 11

Rank this Week: 837

Fitapelli Kurta News

FINRA’s January 2018 Quarterly Disciplinary Review… Jul 16

FINRA’s April 2018 Quarterly Disciplinary Review… Jul 16

Eric Stuckey: Investors Allege Unsuitable… Jul 11

Rank this Week: 846

Federal Securities Law Blog

Virtual shareholder meetings: advantages,… Apr 11

How to avoid registration under the Investment… Mar 13

Rank this Week: 864

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: 888

Wall Street Investment Fraud…

Wells Fargo Broker Dealers Ordered by FINRA to Pay… Dec 1

Morgan Stanley Fined by FINRA for Failure to… Dec 1

J.P. Morgan Securities, LLC Fined by FINRA for… Dec 1

Rank this Week: 921

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: 1017

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: 1051

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: 1087

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: 1139

Broke and Broker

Crowdfunding Portal StartEngine Loses Customer… Jul 15

Securities Industry Commentator by Bill Singer Esq Jul 15

Securities Industry Commentator by Bill Singer Esq Jul 12

Rank this Week: 1148

Securities Lawyers Blog

FINRA Suspends Charles Lundell for Unauthorized… Jul 16

Lawrence Fawcett Barred By FINRA and Subject to… Jul 16

David Reynolds Barred by FINRA for Withholding… Jul 16

Rank this Week: 1194

Startup Law Blog

Chip-and-PIN (EMV) Credit Card Liability Shift is… Sep 17

Join Us at Pacific Rim M&A Institute This… Apr 27

Revenue Lending Dec 18

Rank this Week: 1229

Proxyland

One Blog Closes, Another Open Mar 6

Stimulus Plan Attacks Executive Compensation: Stay… Feb 17

Geithner's Financial Stability Plan, Or Whatever Feb 11

Rank this Week: 1454

Dividends and Preferences

Out and About Apr 25

Securities Law FAIL Apr 19

Someone Wrote a Book About Me! Apr 18

Rank this Week: 1541

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: 1641

Strictly Business

The Venture Capital Adviser Exemption Explained May 31

Is New York’s Form 99 Required When a Rule 506… Feb 28

Intro to Private Equity Fund Feb 19

Rank this Week: 1651

The PSLRA Nugget

The Nugget is Moving to a New Home Feb 3

Yes Shorter is Better (at least in legal briefing) Feb 2

Confidential Sources Still Alive & Kicking Mar 18

Rank this Week: 1714

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: 1743

Securities Fraud Attorney Blog

RIK investigating TD Ameritrade for unregistered… Jun 6

Broker Protocol — Legal Pitfalls for… Jan 30

Private Share Litigation Cases are Challenging Oct 27

Rank this Week: 1741

Perry Krumsiek & Jack Law Blog

Here’s One Government Program Worth HARPing On Feb 2

The Lincoln Lawyer Oct 27

Rank this Week: 1751

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: 1807

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: 1866

Cady Bar the Door

The Insider Trading Cartoon Series, Vol. 17 --… Oct 31

The Insider Trading Cartoon Series, Vol. 16 --… Feb 2

The Insider Trading Cartoon Series, Vol. 15 --… Jan 25

Rank this Week: 2048

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: 2051