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Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Dec 14

    Array Biopharma: Class Action

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

    Alkermes plc: Class Action

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

    Triangle Capital Corporation: Class Action

    Triangle Capital Corporation: Class Action
    Publicly available records indicate that a class action lawsuit has been filed on behalf of investors in Triangle Capital Corporation (NYSE:TCAP) in connection to alleged violations of securities laws by TCAP. Fitapelli Kurta is interested in…
Rank this Week: 71

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 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…
  • Dec 14

    Corporate Capital Trust II BDC – Suspends Offering

    Corporate Capital Trust II BDC – Suspends Offering
    Investigating Potential Claims Involving Corporate Capital Trust II BDC Did you lose money investing in Corporate Capital Trust II BDC at the recommendation of your financial advisor?  If so, the securities attorneys of The White Law…
Rank this Week: 91

Securities Law Attorneys Blog

Securities Law Attorneys Blog

Covers securities law. By Fitapelli | Kurta.

http://www.securitieslawattorneys.net/
  • Dec 13

    Adam MacDonald is Involved in Pending Customer Dispute

    Adam MacDonald is Involved in Pending Customer Dispute
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 12, 2017 indicate that California-based Wells Fargo Clearing Services broker/adviser Adam MacDonald is involved in pending…
  • Dec 13

    Anthony Salerno Has Received Two Pending Customer Complaint

    Anthony Salerno Has Received Two Pending Customer Complaint
    Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 12, 2017 indicate that Massachusetts-based Ameriprise Financial Services and RBC Capital Markets broker/adviser Anthony Salerno is…
  • Dec 13

    John Krohn Has Received a Pending Customer Dispute

    John Krohn Has Received a Pending Customer Dispute
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 12, 2017 indicate that former Iowa-based Principal Securities broker/adviser John Krohn has received a pending customer…
Rank this Week: 56

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: 61

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 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…
  • Dec 11

    Key D&O Insurance Policy Wording Issues and Coverage Concern

    Key D&O Insurance Policy Wording Issues and Coverage Concern
    Over the course of several years in which the marketplace for D&O insurance has been highly competitive, the scope of coverage available has continued to evolve and expand.  Terms and conditions are available today that were not…
Rank this Week: 202

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: 291

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: 108

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: 273

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: 159

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

http://www.hedgefundlawblog.com
  • 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…
  • Aug 1

    Hedge Fund Events August 2017

    Hedge Fund Events August 2017
    The following are various hedge fund events happening this month. Please email us if you would like us to add your event to this list **** August 2, 2017 Sponsor: NYHFR Event: From Trader to Whistleblower: How Tom Hardin Wound Up at the…
Rank this Week: 194

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: 3181

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/
  • Dec 14

    Financial Services and Markets Act 2000 (Markets in Financial Instruments) No 2 Regulations 2017 published

    Financial Services and Markets Act 2000 (Markets in Financial Instruments) No 2 Regulations 2017 published
    There has been published on the legislation.gov.uk website, The Financial Services and Markets Act 2000 (FSMA 2000) (Markets in Financial Instruments) (No 2) Regulations 2017 (the Regulations). The Regulations complete the UK implementation…
  • Dec 14

    PSR decision on proposals to improve switching of Facilities Management provider

    PSR decision on proposals to improve switching of Facilities Management provider
    The Payment Systems Regulator (PSR) has published Policy Statement 17/3: Direct Debit Facilities Management: Switching Providers: Our decision on changes to the Direct Debit rules relating to the switching of Facilities Management providers…
  • Dec 14

    PFOF – priority area of FCA supervisory focu

    PFOF – priority area of FCA supervisory focu
    The FCA has published a Dear CEO letter on payment for order flow (PFOF). The Dear CEO letter follows the FCA’s Market Watch 51 on PFOF, which we blogged in September last year (here). In the Dear CEO letter, the FCA reiterates that…
Rank this Week: 1479

Investment Fraud Information

Investment Fraud Information

By Andrew Stoltmann.

http://www.investmentfraudtimes.com/securities-fraud-attorneys/
  • 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…
  • Dec 11

    Zachary Berkey and Daniel Fischer Four Points Capital Brokers Have Churning Complaints: Options for Investor

    Zachary Berkey and Daniel Fischer Four Points Capital Brokers Have Churning Complaints: Options for Investor
    According to a recent InvestmentNews article, Zachary Berkey and Daniel Fischer, two brokers with Four Points Capital Partners, were charged with churning the accounts of 10 customers. The brokers clients allegedly lost a total of $573,867,…
Rank this Week: 1427

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: 1805

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: 2254

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: 4103

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • 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…
  • Dec 12

    Oral agreement to settle proxy contest is enforceable

    Oral agreement to settle proxy contest is enforceable
    By Amy Leisinger, J.D.The Delaware Chancery Court has ordered specific performance of an oral agreement between shareholder funds and a company to settle a proxy contest by expanding the company’s board and appointing two of the…
Rank this Week: 678

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • 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…
  • Dec 12

    SEC Commissioner Nominees: Delayed (Again)

    SEC Commissioner Nominees: Delayed (Again)
    One of the odder things over the past 5 years or so is the difficulty of the Senate to confirm SEC Commissioner nominees. My memory might be bad, but I don’t recall any nominees having trouble being confirmed before then. But over the…
Rank this Week: 696

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 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…
  • Dec 12

    Antitakeover: “Shadow Pills” & Firm Value

    Antitakeover: “Shadow Pills” & Firm Value
    In recent years, many companies have either terminated their poison pills or allowed them to expire in response to investor & proxy advisor pressure.  Overall, this hasn’t caused much angst to corporate…
Rank this Week: 656

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 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“,…
  • Dec 12

    Move Aside EPA, The SEC Is Now Regulating Ecosystems!

    Move Aside EPA, The SEC Is Now Regulating Ecosystems!
    I don’t hear many securities lawyers talking about “ecosystems”.  Indeed, I think of the word as being more the province of environmental lawyers.  The word itself is an amalgamation of two Greek words…
Rank this Week: 2844

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: 2378

Investor Lawyers Blog

Investor Lawyers Blog

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

https://www.investorlawyers.net/blog/
Rank this Week: 1578

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: 700

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: 1643

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: 1365

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: 3045

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: 1473

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: 2763

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: 2342

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: 4143

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: 1504

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: 3449

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

    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…
  • Dec 11

    Securities Industry Commentator by Bill Singer Esq

    Securities Industry Commentator by Bill Singer Esq
    Jacksonville Man Pleads Guilty To Manufacturing And Possessing Counterfeit Federal Reserve Notes (DOJ Press…
  • Dec 11

    FINRA Arbitrator Holds Public Customer Claimant In Contempt

    FINRA Arbitrator Holds Public Customer Claimant In Contempt
    I'm one of those cranky bastards who doesn't like to be kept waiting. If I have an appointment, I tend to arrive a bit early. My time is valuable -- as is yours; worse, I make a living by charging by the hour. Consequently, when I came upon a…
Rank this Week: 3281

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/
  • Dec 8

    Ex-Financial Adviser Settles Private Equity Fund Fraud Charges in Texa

    Ex-Financial Adviser Settles Private Equity Fund Fraud Charges in Texa
    James C. Tao, an ex-financial adviser, has settled civil charges accusing him of bilking investors in a private equity fund. It was the US Securities and Exchange Commission that brought the Texas investment fraud charges against him. Among…
  • Dec 6

    10 Four Points Capital Partners Customers Lose $574K Because of Alleged Broker Fraud

    10 Four Points Capital Partners Customers Lose $574K Because of Alleged Broker Fraud
    The US Securities and Exchange Commission has filed civil charges against two brokers for allegedly making unsuitable trades that made them money while costing investors. According to the regulator’s complaint, Zachary Berkey and Daniel…
  • Dec 4

    Woodbridge Files For Bankruptcy, Misses Payments Due to Investor

    Woodbridge Files For Bankruptcy, Misses Payments Due to Investor
    Already under investigation by the US Securities and Exchange Commission for financial fraud, the Woodbridge Group of Companies has filed for Chapter 11 bankruptcy protection. According to InvestmentNews, this move comes a week after the…
Rank this Week: 1038

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: 2321

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: 3968

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: 3667

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: 1644

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: 3633

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: 3926

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: 3303

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: 697

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: 2651

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: 3922

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: 3710