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Florida Securities Fraud Lawyer…

Florida Securities Fraud Lawyer Blog

Covers securities fraud, investor fraud and Ponzi schemes. By McCabe Rabin, P.A.

http://www.floridasecuritiesfraudlawyerblog.com/
  • Jan 31

    I Inherited an IRA Account. Now What?

    I Inherited an IRA Account. Now What?
    Ira Account Inheritance The answer to that question depends on whether you inherited the IRA account from your spouse or someone other than your spouse, such as your parent, sibling, or close friend.  You have more options if you…
  • Jan 27

    SEC Whistleblower Program is Gaining Momentum and Paying Big Bountie

    SEC Whistleblower Program is Gaining Momentum and Paying Big Bountie
    SEC Whistleblowers On January 23, the SEC announced that its whistleblower program will pay out to three whistleblowers a combined award of $7 million.  The whistleblowers’ awards were for helping the SEC pursue an investment…
  • Jan 19

    What are the pros and cons of taking a 401K loan?

    What are the pros and cons of taking a 401K loan?
    Many employers provide 401k plans for their employees.  A 401k plan is a retirement savings plan where employees can save a portion of their pre-tax earnings. Taxes aren’t paid on the money until it is withdrawn from the account.…
Rank this Week: 32

Investment Fraud Information

Investment Fraud Information

By Andrew Stoltmann.

http://www.investmentfraudtimes.com/securities-fraud-attorneys/
  • Sep 20

    Update For Investors: Todd Ryman Has More Customer Complaint

    Update For Investors: Todd Ryman Has More Customer Complaint
    Stoltmann Law Offices continues to investigate Todd Ryman, who has six customer complaints against him, according to the Financial Industry Regulatory Authority (FINRA). Ryman has been accused of unsuitable investment advice in a variety of…
  • Sep 20

    Ponzi Accusations For MC2Capital Management, Yasuna Murakami and Avi Chiat

    Ponzi Accusations For MC2Capital Management, Yasuna Murakami and Avi Chiat
    Regulators have accused Yasuna Murakami and Avi Chiat, and their companies that the two managed, MC2 Capital Management and MC2 Canada Capital Management, of defrauding more than 50 investors by raising more than $15 million and then…
  • Sep 20

    Update For Investors: Tye Williams Barred by FINRA

    Update For Investors: Tye Williams Barred by FINRA
    Former Next Financial Group broker in Frisco, Texas, Tye C. Williams, was barred from the industry by the Financial Industry Regulatory Authority. Williams was also suspended by the Certified Financial Planner Board of Standards. Allegedly,…
Rank this Week: 205

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

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

    FINRA Bars Former AXA Representative John P. Correnti

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

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

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

    Broker Ann Comcowich Barred by FINRA

    Broker Ann Comcowich Barred by FINRA
    The investment lawyers of Gana LLP are investigating the allegations made by The Financial Industry Regulatory Authority against broker Ann Comcowich (Comcowich). According to the broker’s file on FINRA’s BrokerCheck, Comcowich…
Rank this Week: 181

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 20

    Financial Advisor Expungement Proce

    Financial Advisor Expungement Proce
    What is the Financial Advisor Expungement Process Financial advisors registered with FINRA each have information regarding their experience in the securities industry available on FINRA’s Broker Check.  The purpose of BrokerCheck…
  • Sep 19

    SEC bars George Thoreson for alleged penny stock manipulation

    SEC bars George Thoreson for alleged penny stock manipulation
    SEC Bars Former Washington Broker George Thoreson According to a press announcement, the Securities and Exchange Commission has barred George Thoreson, formerly of Wells Fargo Advisors. Thoreson agreed to settle SEC charges that he…
  • 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…
Rank this Week: 138

Securities Law Attorneys Blog

Securities Law Attorneys Blog

Covers securities law. By Fitapelli | Kurta.

http://www.securitieslawattorneys.net/
  • Sep 20

    Michael Brewster Has Received a Pending Customer Complaint

    Michael Brewster Has Received a Pending Customer Complaint
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 19, 2017 indicate that New York-based Wells Fargo Clearing Services broker/adviser Michael Brewster has received a pending…
  • Sep 20

    Alexandre Leal Has Received a Pending Customer Complaint

    Alexandre Leal Has Received a Pending Customer Complaint
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 19, 2017 indicate that Florida-based Wells Fargo Clearing Services broker Alexandre Leal has received a pending customer…
  • Sep 20

    Jeffrey Krupnick Resigned From a Former Employer in Connection to Alleged Rule Violation

    Jeffrey Krupnick Resigned From a Former Employer in Connection to Alleged Rule Violation
    Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 19, 2017 indicate that former Florida-based Ameriprise Financial Services broker/adviser Jeffrey Krupnick has received resolved or…
Rank this Week: 129

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: 203

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: 185

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: 131

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: 87

Financial Counsel

Financial Counsel

Covers compliance, employment and industry intelligence for investment professionals and investment, planning and regulatory intelligence for investors. By James J. Eccleston.

http://financialcounselblog.com
  • Jun 23

    Destructive Impact of Fund Fee

    Destructive Impact of Fund Fee
    A retiree living off her portfolio may lose hundreds of dollars a year in income for each added basis point of fund expense ratio — or adviser fee. BY CRAIG L. ISRAELSENFEES DIRECTLY REDUCE PORTFOLIO RETURNS … AND that comes…
  • Apr 7

    Customer Sues Merrill Lynch for Fraud in Connection with Its Use of Funds in a Reserve Account

    Customer Sues Merrill Lynch for Fraud in Connection with Its Use of Funds in a Reserve Account
    From the Desk of Jim Eccleston at Eccleston Law LLC: A former customer of Merrill Lynch has sued the firm in California civil court for engaging in fraud. According to the lawsuit, Merrill Lynch misused the customer’s cash that…
  • Apr 5

    New Recommendations by the FINRA Dispute Resolution Task Force (15th Article)

    New Recommendations by the FINRA Dispute Resolution Task Force (15th Article)
    From the Desk of Jim Eccleston at Eccleston Law LLC:This is the fifteenth in a series of posts to discuss the 51 recommendations that the FINRA Dispute Resolution Task Force (Task Force) has made to the National Arbitration and Mediation…
Rank this Week: 174

Securities Lawyer 101

Securities Lawyer 101

Covers securities enforcement, securities law and going public matters. By Hamilton & Associates.

https://www.securitieslawyer101.com/blog/
  • Jan 23

    SEC Final Judgment Entered Against Graduate Leverage

    SEC Final Judgment Entered Against Graduate Leverage
    Going Public LawyerOn December 23, 2016, the United States District Court for the District of Massachusetts entered final judgments against Graduate Leverage, LLC, GL Capital Partners, LLC, GL Investment Services, LLC, Taft Financial…
  • Jan 22

    Final Judgment Entered Against Gregg Mulholland Posted by Brenda Hamilton

    Final Judgment Entered Against Gregg Mulholland Posted by Brenda Hamilton
    Going Public LawyerOn January 11, 2017, the U.S. District Court for the Eastern District of New York entered a final judgment against defendant Gregg R. Mulholland, a penny stock promoter charged in an SEC action with illegally selling more…
  • Jan 21

    Final Judgment Entered in “Prime Bank” Fraud – By: Brenda Hamilton

    Final Judgment Entered in “Prime Bank” Fraud – By: Brenda Hamilton
    Going Public LawyerOn January 13, 2017, the U.S. District Court for the District of Minnesota entered a final judgment against Minnesota resident James M. Louks and his company, FiberPoP Solutions, Inc. Louks and FiberPoP are defendants in an…
Rank this Week: 77

Stock Attorneys Blog

Stock Attorneys Blog

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

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

    FINRA Decision Regarding Legend Securities, FINAL

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

    Oppenheimer & Co. Inc. Censured & Fined by FINRA

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

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

    FINRA Suspends James Flower for Three Months (Requires Continuing Education)
    (FINRA Case #2014040644001) James William Flower (CRD #2817701, Melville, New York)  – An AWC (Accept, Waiver & Consent) was issued in which Flower was suspended from association with any FINRA member in all capacities for…
Rank this Week: 3823

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: 1693

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Sep 21

    New C&DIs target Regulation D and Rule 147

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

    Stein calls for global approach to cybersecurity challenge

    Stein calls for global approach to cybersecurity challenge
    By Jacquelyn LumbCommissioner Kara Stein spoke at the Eurofi financial forum in Tallinn, Estonia, about developments in technology, the challenges of cybersecurity, and their impact on internationally connected markets. She emphasized the…
  • 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.…
Rank this Week: 521

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Sep 21

    Wow! Edgar Hacked!

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

    The Kid & the “Proxy Season Disclosure Treatise”

    The Kid & the “Proxy Season Disclosure Treatise”
    I was excited to get my “feet wet” by editing the new 2018 Edition of the popular “Proxy Season Disclosure Treatise.” It just came back from the printers – and you can order now so that you receive it hot off the…
  • 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…
Rank this Week: 523

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 21

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

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

    Activism: Where Things Stand Today

    Activism: Where Things Stand Today
    This Wachtell memo addresses where things stand today in the world of shareholder activism.  New capital continues to flow into activist hedge funds, & attacks on large companies have increased – but efforts to promote a more…
  • 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,…
Rank this Week: 515

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 21

    California Bill May Spur Rewriting Gender Boilerplate

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

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

    Does California Side With Delaware Or New York On Special Litigation Committee Reviews?
    As discussed in the two preceding posts, Nevada’s Supreme Court last week decided to adopt New York’s standard of review of special litigation committee recommendations to dismiss stockholder derivative suits.  In re Dish…
  • Sep 19

    Review Of Special Litigation Committee Recommendation

    Review Of Special Litigation Committee Recommendation
    Yesterday’s post limned the Nevada Supreme Court’s adoption of New York’s Auerbach standard of review for special litigation committee recommendations.  In re Dish Network Derivative Litigation, 133 Nev. Adv.…
Rank this Week: 4266

Securities Law Blog

Securities Law Blog

Features news, commentary and thoughts on the law of the securities markets. By Mark Astarita.

http://seclaw.blogspot.com/
  • Sep 20

    SEC Chairman Clayton Issues Statement on Cybersecurity

    SEC Chairman Clayton Issues Statement on Cybersecurity
    SEC Chairman Jay Clayton today issued a statement highlighting the importance of cybersecurity to the agency and market participants, and detailing the agency’s approach to cybersecurity as an organization and as a regulatory body.The…
  • Sep 20

    Thomas J. Butler Named an Associate Regional Director for Examinations in New York Regional Office

    Thomas J. Butler Named an Associate Regional Director for Examinations in New York Regional Office
    The Securities and Exchange Commission today announced that Thomas J. Butler has been named an Associate Regional Director for the Investment Adviser and Investment Company examination program in the agency's New York Regional Office.…
  • Sep 20

    CEO Charged With Using Secret Accounts for Insider Trading in Company Stock

    CEO Charged With Using Secret Accounts for Insider Trading in Company Stock
    The Securities and Exchange Commission today charged the former CEO of a Silicon Valley-based fiber optics company with insider trading in company stock by using secret brokerage accounts held in the names of his wife and brother.The SEC…
Rank this Week: 527

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • Sep 19

    Guest Post: Surge in ERISA Fee Litigation

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

    Insurance Coverage for Subpoena Response Cost

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

    Thinking About the Growth of Third-Party Litigation Financing

    Thinking About the Growth of Third-Party Litigation Financing
    Third-party litigation funding has its critics and detractors (refer, for example, here and here). The fact is that third-party litigation funding is now well-established and is here to stay. A recent survey by one of the leading funding…
Rank this Week: 918

Securities Litigation and…

Securities Litigation and Regulatory Enforcement Blog

Covers SEC investigations, insider trading, derivative actions, white collar defense, and whistleblowers. By Orrick, Herrington & Sutcliffe LLP.

http://blogs.orrick.com/securities-litigation/
  • Sep 19

    Cryptocurrencies: Are They Securities?

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

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

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

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

    “It’s Complicated:” The Evolving Case Law on How Relationships Impact Insider Trading Liability
    Last Wednesday, former SAC Capital Advisors manager Mathew Martoma lost a bid to overturn his 2014 insider trading conviction in the Second Circuit.  United States v. Martoma, No. 14-3599, 2017 WL 3611518 (2d Cir. Aug. 23, 2017). …
Rank this Week: 3008

White Collar Wire

White Collar Wire

Covers news, cases, judicial opinions, practical tips and scholarly work regarding white-collar criminal and civil enforcement, grand jury investigations and regulatory compliance. By Jackson R. Sharman, III.

http://jacksharman.com/
  • Sep 19

    Title IX: Fair Campus, Foul Weather

    Title IX: Fair Campus, Foul Weather
    With Education Secretary Betsey Devos much in the news  over possible changes to the Dear Colleague letter promulgated by the DOE’s Office of Civil Rights, this note by me and my Lightfoot colleagues  Brandon Essig and Clint…
  • Sep 12

    Lauren Bacall and The Big Sleep: Film Noir Cool, White Collar Crime, Cocktail Cold

    Lauren Bacall and The Big Sleep: Film Noir Cool, White Collar Crime, Cocktail Cold
    To the extent that it reflected crime, Lauren Bacall’s work was noir, not white-collar; black, not white; guns, not accounting fraud.  Yet, there was an elegance and a fierceness about her films – especially those with…
  • Sep 1

    Impeachment Lessons and The Midnight Special

    Impeachment Lessons and The Midnight Special
    This post will eventually test your affinity for the 1970s, which featured both Richard Nixon and The Midnight Special. The Special was formative in my teenage years, which explains a great deal. But first, many thanks to the Network of…
Rank this Week: 2154

Tim O'Connor's Blog

Tim O'Connor's Blog

Covers stockbroker fraud.

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

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

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

    Inherited IRA’s – Know Your Rights?

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

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

    Non-Purpose Loans and Securities Backed Loans (SBL’s) – An Accident Waiting to Happen
    Many brokerage firms have been promoting non-purpose loans, resulting in abusive sales practices and supervisory violations associated with the aggressive marketing of these lending arrangements.  Brokerage firms suggesting that…
Rank this Week: 3368

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: 2738

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: 2087

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: 4057

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: 1696

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: 1265

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

    TD Ameritrade Acquires Scottrade Subject To Outdated NASD Rule

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

    Wachovia Customer Sues Wells Fargo Over FundSource Losse

    Wachovia Customer Sues Wells Fargo Over FundSource Losse
    Among the most frustrating aspects of practicing law is when you have a client who has been wronged, terribly wronged, but it's just too late to do anything about it. Whether called statutes of repose, eligibility, or limitation, there are…
  • 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…
Rank this Week: 3253

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: 2828

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: 271

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: 2320

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: 1711

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: 2103

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: 2395

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: 805

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: 3488

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: 915

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: 3132

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: 1444

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: 956

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: 3016

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: 736

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: 2425

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: 1530

New York Securities Lawyer Blog

New York Securities Lawyer Blog

Covers securities law. By Lax & Neville LLP.

http://www.newyorksecuritieslawyerblog.com/
Rank this Week: 1478