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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/
  • Apr 23

    Video Guidance, Agency Guidance and White-Collar Trial

    Video Guidance, Agency Guidance and White-Collar Trial
    The Lord noted that the poor will always be with us, but He may as well have been speaking of federal agency guidance documents that are sometimes used against members of the regulatory community. Here is a short video about the…
  • Feb 26

    Brand’s Memo and Dan’s Desk

    Brand’s Memo and Dan’s Desk
    Last month, then-Associate Attorney General Rachel Brand issued a memorandum to Department of Justice civil lawyers concerning the circumstances under which they may and may not use federal agencies’ “guidance documents” in…
  • Feb 21

    More Mueller, and A Question About Hearsay

    More Mueller, and A Question About Hearsay
    On “The 11th Hour with Brian Williams” to discuss the Rick Gates plea: Jack Sharman – MSNBC – The 11th Hour with Brian Williams (Feb. 19, 2018) from LFW on Vimeo. Thankfully, they gave me a head’s up about the…
Rank this Week: 2186

New York Securities Lawyer Blog

New York Securities Lawyer Blog

Covers securities law. By Lax & Neville LLP.

http://www.newyorksecuritieslawyerblog.com/
Rank this Week: 2425

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/
  • Apr 20

    SEC Proposes a “Best Interest” Standard for Broker-Dealer

    SEC Proposes a “Best Interest” Standard for Broker-Dealer
    On April 18, 2018, the Securities and Exchange Commission proposed a set of rules and interpretations regarding the standard of conduct that broker-dealers owe to their investing customers, and reaffirming and clarifying the standard of…
  • Mar 29

    D.C. Circuit Holds PCAOB Improperly Denied Target of Investigation Access to Expert Assistance

    D.C. Circuit Holds PCAOB Improperly Denied Target of Investigation Access to Expert Assistance
    A D.C. Circuit panel unanimously ruled that the Public Company Accounting Oversight Board (“PCAOB”) acted unlawfully by denying former Ernst & Young partner Marc Laccetti his right to bring an accounting expert to an…
  • Mar 23

    Fifth Circuit Vacates Department of Labor’s Fiduciary Rule

    Fifth Circuit Vacates Department of Labor’s Fiduciary Rule
    Last week, a divided panel of the U.S. Court of Appeals for the Fifth Circuit struck down the U.S. Department of Labor’s (“DOL”) “Fiduciary Rule,” a controversial measure that redefined exemptions to Employee…
Rank this Week: 3201

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/
  • Apr 11

    The Future of the ERISA Fiduciary Rule

    The Future of the ERISA Fiduciary Rule
    The future of the Department of Labor’s Fiduciary rule is in limbo following the Fifth Circuit’s decision striking it down “in toto.” Takeaways The future of the Fiduciary rule is uncertain, particularly in light of…
  • Mar 13

    REGISTERED FIRMS: ANNUAL COMPLIANCE OBLIGATIONS—WHAT YOU NEED TO KNOW

    REGISTERED FIRMS: ANNUAL COMPLIANCE OBLIGATIONS—WHAT YOU NEED TO KNOW
    This alert contains a summary of the primary annual and periodic compliance-related obligations that may apply to investment advisers registered with the Securities and Exchange Commission (the “SEC”) or with a particular state…
  • Nov 8

    Initial Coin Offerings (ICOs): The Current State of Play

    Initial Coin Offerings (ICOs): The Current State of Play
    The ICO boom in 2017 brings with it questions of jurisdiction and compliance, and a need for further guidance. Takeaways The benefits of ICOs in raising capital, as well as in providing a marketing push for a new business model, are so…
Rank this Week: 2744

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/
  • Apr 11

    Virtual shareholder meetings: advantages, disadvantages and practical consideration

    Virtual shareholder meetings: advantages, disadvantages and practical consideration
    As spring approaches, so do annual shareholder meetings for many public companies. Traditionally, these meetings were held in-person. However, due to fairly recent advances in technology, companies now have the option to hold these meetings…
  • Mar 13

    How to avoid registration under the Investment Company Act of 1940

    How to avoid registration under the Investment Company Act of 1940
    One of the worse situations a company may face to be determined to be an investment company under the Investment Company Act of 1940, as amended (the act). If determined to be an investment company, the company is subject to the full…
  • Feb 7

    SEC seeks to regulate transactions utilizing cryptocurrencies under federal securities law

    SEC seeks to regulate transactions utilizing cryptocurrencies under federal securities law
    Any person who regularly monitors the U.S. financial markets has likely noticed the recent emergence of digital currency, also referred to as “cryptocurrency,” in recent months. For example, the price of bitcoin, the most widely…
Rank this Week: 3744

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

http://www.hedgefundlawblog.com
  • Apr 10

    CoinAlts Fund Symposium East – New York, April 19th

    CoinAlts Fund Symposium East – New York, April 19th
    Cryptocurrency Fund Conference Sponsored by Cole-Frieman & Mallon As we have recently announced in our firm’s first quarter legal update, we are one of the founding sponsors of the second CoinAlts Fund Symposium which will be…
  • Apr 9

    CoinAlts East Announced – April 19, 2018 (Press Release)

    CoinAlts East Announced – April 19, 2018 (Press Release)
    Below is the press release on our CoinAlts East event.  We hope to see you there. **** CoinAlts Fund Symposium Announces East Coast Event NEW YORK (PRWEB) MARCH 30, 2018 The CoinAlts Fund Symposium is announcing its second event,…
  • Apr 5

    Cole-Frieman & Mallon 2018 First Quarter Update

    Cole-Frieman & Mallon 2018 First Quarter Update
    Below is our quarterly newsletter. If you would like to be added to our distribution list, please contact us. **** April 5, 2018 Clients, Friends, Associates: The first quarter of 2018 has seen many developments impacting traditional hedge…
Rank this Week: 3876

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: 1619

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: 3115

White Collar Alert

White Collar Alert

Provides news and insight to counsel and legal observers concerning white collar criminal defense, internal investigations, government litigation and regulatory compliance. By Montgomery McCracken.

http://whitecollarblog.mmwr.com
  • Mar 28

    Pennsylvania Superior Court Looks to Electronic Media Precedent to Adopt a Standard for Authenticating Social Media Post

    Pennsylvania Superior Court Looks to Electronic Media Precedent to Adopt a Standard for Authenticating Social Media Post
    This post was co-authored by Michael C. Witsch and Robert H. Bender, associates in the firm’s Business Litigation and Products Liability practice group. On March 15, 2018, as a matter of first impression, a unanimous panel of the…
  • Mar 21

    Supreme Court Limits Tax Obstruction Charge

    Supreme Court Limits Tax Obstruction Charge
    Today, the Supreme Court delivered a welcome decision narrowing the obstruction “Omnibus Clause” within the Internal Revenue Code, 26 U.S.C. § 7212(a).  The Court held in Marinello v. United States that in order to…
  • Feb 1

    Senator Menendez to Avoid Retrial on Corruption Charge

    Senator Menendez to Avoid Retrial on Corruption Charge
    In a surprising development, the Department of Justice announced yesterday that it would drop corruption charges against Senator Robert Menendez (D-NJ). The move comes just weeks after the Government declared its intent to retry the case,…
Rank this Week: 2122

Tim O'Connor's Blog

Tim O'Connor's Blog

Covers stockbroker fraud.

http://stockbrokerlaw.com/tim-oconnors-blog
  • Mar 28

    Governor Cuomo Announces Best Interest Standard Proposal for Life Insurance Sale

    Governor Cuomo Announces Best Interest Standard Proposal for Life Insurance Sale
    In a Press Release dated December 27, 2017, New York State Governor Andrew Cuomo announced proposed Department of Financial Services regulations which would require that life insurance and annuity sales in New York State to meet a “Best…
  • Feb 16

    VIX ETF’s Wreak Havoc on Small Investor

    VIX ETF’s Wreak Havoc on Small Investor
    The market volatility of the first half of February of this year has seen small investors lose hundreds of millions of dollars in VIX ETF’s they should never have been invested in the first place.  These unsuitable VIX ETF’s…
  • Feb 8

    Insurance Department Regulation No. 60 Violations Harm New York State Investor

    Insurance Department Regulation No. 60 Violations Harm New York State Investor
    New York State Investors who have purchased insurance contracts have been subject to unnecessary requirements imposed by replaced insurers on replacing insurers.  This fraudulent tactic includes the improper, suggested requirement of the…
Rank this Week: 3428

Sharesleuth.com

Sharesleuth.com

Offers investigative reporting aimed at exposing securities fraud. By Chris Carey.

http://sharesleuth.com/
Rank this Week: 1425

Andrew Abramowitz, PLLC

Andrew Abramowitz, PLLC

News, advice, and trends from the corporate law world.

http://aalegalnyc.com/blog/
  • Mar 2

    Share Buybacks as a Political Issue

    Share Buybacks as a Political Issue
    A year or two ago, the phrase “share buybacks” was a phrase only known to those in and around the world of corporate finance. It refers to a company’s use of available cash to purchase its own shares in the open market. The…
  • Feb 23

    Secondary Market Trading by Private Companie

    Secondary Market Trading by Private Companie
    Matt Levine, writing in Bloomberg View, makes a good point about Spotify’s reported direct listing plan: When Spotify flips the switch, and trading of its shares on a public stock exchange commences, that won’t be the first time…
  • Jan 29

    Saving Time with Online Cap Table Service

    Saving Time with Online Cap Table Service
    In the past few years, my private company clients have been flocking to online, cloud-based cap table services, such as Capshare and Carta (formerly eShares), as a platform to manage the company’s back-office functions for their capital…
Rank this Week: 2225

Strictly Business

Strictly Business

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

http://www.strictlybusinesslawblog.com/
  • Feb 28

    Is New York’s Form 99 Required When a Rule 506 Offering Has New York Investors?

    Is New York’s Form 99 Required When a Rule 506 Offering Has New York Investors?
    Although states are not permitted to require issuers in Rule 506 offerings to register with state authorities, states can require notice filings substantially similar to the Form D notice filing required to be filed with the SEC within 15…
  • Feb 19

    Intro to Private Equity Fund

    Intro to Private Equity Fund
    A private equity fund is an investment entity formed by an investment adviser (often also referred to as a fund manager or sponsor), that raises capital from investors to make investments in private companies under a specified investment…
  • Jan 31

    The Legal Pitfalls of Rewards-Based Crowdfunding Campaign

    The Legal Pitfalls of Rewards-Based Crowdfunding Campaign
    Rewards-based crowdfunding sites, such as Kickstarter and IndieGoGo have become a common way to get innovative businesses and products off the ground. The premise behind these crowdfunding sites is that, by raising small monetary…
Rank this Week: 2902

Business Law Post

Business Law Post

Covers corporate law, securities law, intellectual property, and social entrepreneurship. By Arina Shulga.

http://www.businesslawpost.com
  • Feb 16

    State Securities Regulators Crack Down on Crypto

    State Securities Regulators Crack Down on Crypto
    In recent months, the Securities and Exchange Commission (the “SEC”) and the Commodity Futures Trading Commission (the “CFTC”) have issued warnings to those involved in cryptocurrencies, initial coin offerings, and…
  • Feb 12

    Overview of the SEC Regulation of Virtual Currency: Do Utility Tokens Still Exist?

    Overview of the SEC Regulation of Virtual Currency: Do Utility Tokens Still Exist?
    In this post, I would like to analyze the trend in the regulation (including guidance) by the Securities and Exchange Commission (the "SEC") of the virtual currencies offerings, often referred to as ICOs (initial coin offerings) or TGEs…
  • Feb 11

    Recent CFTC enforcement actions related to digital asset

    Recent CFTC enforcement actions related to digital asset
    The recent CFTC enforcement actions have highlighted the fact that the US regulators are paying increased attention to the conduct of ICOs and the trading of digital assets.All three cases involve fraud.  The January 16, 2018 enforcement…
Rank this Week: 2965

Securities Fraud Lawyer Blog

Securities Fraud Lawyer Blog

Covers securities law. By Forman Law Firm.

https://www.securitiesfraudlawyerblog.com/
Rank this Week: 1982

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: 2492

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 29

    The Form 8-Ks That The SEC May Have Overlooked

    The Form 8-Ks That The SEC May Have Overlooked
    As reported by Cydney Posner, Broc Romanek and undoubtedly many others, Corporation Finance staff issued a new Compliance and Disclosure Interpretation addressing whether a re-measurement of a deferred tax asset to incorporate the…
  • Dec 28

    Does Choice Of Law Include The Parol Evidence Rule?

    Does Choice Of Law Include The Parol Evidence Rule?
    On the antepenultimate day before Christmas, the California Court of Appeal issued an opinion that should be of interest and concern to lawyers documenting merger and acquisition agreements.  Kanno v. Marwit Capital, No. G052348, 2017…
  • Dec 22

    Nevada Supreme Court Won’t Allow Advisory Mandamus Escape Hatch

    Nevada Supreme Court Won’t Allow Advisory Mandamus Escape Hatch
    In Archon v. Eight Jud. Dist. Ct., 133 Nev. Adv. Op. 101 (2017), the Nevada Supreme Court provides a concise explanation of the uses of mandamus and administrative mandamus as escape hatches from the final judgment rule.  The…
Rank this Week: 2913

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/
  • Dec 20

    Thanks to Marc Cohodes, We’re Back to the Bad Old Days at Overstock.com

    Thanks to Marc Cohodes, We’re Back to the Bad Old Days at Overstock.com
    Overstock.com (NASDAQ: OSTK) shares have soared in recent weeks, much of that due to hype concerning its t0 (tZERO) venture by CEO Patrick Byrne, and publicity generated by his chief advocate, former money manager Marc Cohodes, who has…
  • 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…
Rank this Week: 3762

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: 4344

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: 4448

Cady Bar the Door

Cady Bar the Door

Provides insight and commentary on SEC enforcement actions. By Brooks Pierce.

http://www.brookspierce.com/news-insights/our-blogs/cady-bar-door
  • Oct 31

    The Insider Trading Cartoon Series, Vol. 17 -- Regulation FD (Part 1)

    The Insider Trading Cartoon Series, Vol. 17 -- Regulation FD (Part 1)
    Cady Bar the DoorIf you're an officer of a publicly traded company, you might want to discuss your company's material, nonpublic information with outsiders from time to time.  But if you do, be very careful, or you might get caught…
  • Feb 2

    The Insider Trading Cartoon Series, Vol. 16 -- Salman v. United State

    The Insider Trading Cartoon Series, Vol. 16 -- Salman v. United State
    Cady Bar the DoorSalman v. United States , 137 S. Ct. 420 (2016), was one of the most anticipated Supreme Court insider trading cases in almost twenty years. It ended up not being revolutionary, but in reaffirming Dirks v. SEC on the contours…
  • Jan 25

    The Insider Trading Cartoon Series, Vol. 15 -- United States v. Newman (Part 2)

    The Insider Trading Cartoon Series, Vol. 15 -- United States v. Newman (Part 2)
    Cady Bar the DoorWelcome to the exciting conclusion to the United States v. Newman mini-series. Today we discuss Newman 's doomed personal benefit test. It would eventually be undone by Salman v. United States , but it's still helpful in…
Rank this Week: 3543

Kueser Law Firm Blog

Kueser Law Firm Blog

Covers securities and investment fraud, as well as other consumer and investor-related issues.

http://blog.jmkesquire.com
  • Sep 21

    Non-Traded REITs Causing Problems for SII Investment

    Non-Traded REITs Causing Problems for SII Investment
    Earlier today, the Massachusetts Securities Division filed an administrative complaint against SII Investments for violating securities laws with respect to its sale of Real Estate Investment Trusts (REITs) and its failure to supervise…
  • Jan 14

    When is “Rate of Return” not the Real Rate of Return?

    When is “Rate of Return” not the Real Rate of Return?
    Investors need to be careful when they review and rely on performance reports provided by their stockbroker or financial advisor.  I recently reviewed a performance report that was provided to an investor by a major warehouse brokerage…
  • Apr 8

    FINRA BrokerCheck: Beware the … Blue … Flags?

    FINRA BrokerCheck: Beware the … Blue … Flags?
    FINRA recently underwent some changes to its BrokerCheck website.  For those that do not know, BrokerCheck is the online repository in which the Financial Industry Regulatory Authority (FINRA) discloses certain information about stock…
Rank this Week: 4255

Canadian Securities Law Online

Canadian Securities Law Online

Covers Canadian securities law topics, including disclosures, corporate governance, mergers, registration and compliance. By Stikeman Elliott.

http://www.canadiansecuritieslaw.com/
  • Aug 11

    The Equity Margin Project: IIROC Withdraws Phase II of the Main Proposal for the New Methodology for Margining Equity Securitie

    The Equity Margin Project: IIROC Withdraws Phase II of the Main Proposal for the New Methodology for Margining Equity Securitie
     On July 13, 2017, the Investment Industry Regulatory Organization of Canada published IIROC Notice 17-0144 Withdrawal of the New Methodology for Margining Equity Securities-Dealer Member Rule 100 and Form 1 withdrawing Phase II of…
  • Aug 3

    IIROC Best Execution Amendments and Guidance

    IIROC Best Execution Amendments and Guidance
    Darin Renton -  On July 6, 2017, the Investment Industry Regulatory Organization of Canada (IIROC) published final amendments to the Universal Market Integrity Rules (UMIR) and the Dealer Member Rules (DMR) related to best execution…
  • Aug 3

    NI 31-103 Amendments: EMDs Banned from Prospectus Offering

    NI 31-103 Amendments: EMDs Banned from Prospectus Offering
    Alix d’Anglejan-Chatillon and Darin Renton -  New custody rules for non-SRO registrants also introduced Under a series of amendments to National Instrument 31-103 – Registration Requirements, Exemptions and Ongoing…
Rank this Week: 4642

Amato Law Firm, LLC Blog

Amato Law Firm, LLC Blog

Overview of current developments in the area of securities law with a focus on securities arbitration and broker-dealer regulation.

http://www.ramatolaw.com/blog1
  • May 3

    Former PNC Investments Advisor Obtains $1.8 Million Award Against the Firm

    Former PNC Investments Advisor Obtains $1.8 Million Award Against the Firm
    As reported in Investment News, a FINRA arbitration panel recently ruled against PNC Investments LLC, the broker-dealer subsidiary of PNC Bank, and in favor of a former financial advisor, awarding her $1.8 million.  The Award is notable…
  • Feb 15

    FINRA Bars Former Wells Fargo Advisors Broker Matthew Maczko

    FINRA Bars Former Wells Fargo Advisors Broker Matthew Maczko
    The securities law firm of Amato Law Firm, LLC is investigating potential securities law claims involving former Wells Fargo Advisors, LLC representative Matthew Maczko.  Mr. Maczko, who worked in Wells Fargo Advisors’ Oak Brook,…
  • Jan 19

    Large Raiding Award Against Robert W. Baird & Co. Underscores Issues with Team Transition

    Large Raiding Award Against Robert W. Baird & Co. Underscores Issues with Team Transition
    A notable (due to its size) $23.5 million FINRA arbitration award against broker-dealer Robert W. Baird & Co. (Baird) and some of its representatives, issued by a three-member FINRA panel in Kansas last week, underscores the issues that…
Rank this Week: 2296

The California Securities…

The California Securities Attorneys

By Bruce E. Methven and Kenneth A. Priore. Covers securities offerings.

http://thecaliforniasecuritiesattorneys.com/
  • Feb 9

    Marketing Your Offering by Bruce E. Methven

    Marketing Your Offering by Bruce E. Methven
    The truth about marketing your securities offering is that you have to find investors yourself. Venture capital firms invest in only a tiny percentage of the companies that approach them. Groups that involve angel investors may work, but…
  • Oct 28

    Report on Crowdfunding by Bruce E. Methven

    Report on Crowdfunding by Bruce E. Methven
    Crowdfunding via approved internet portals became available in May of this year. So far companies have been averaging about $800 per investor and may have hundreds of investors. That’s a lot of small investors to deal with. Many…
  • May 13

    Running Another Offering With a Crowdfunding Offer by Bruce E. Methven

    Running Another Offering With a Crowdfunding Offer by Bruce E. Methven
    This is part of a series on crowdfunding; this part covers running another offer simultaneously with a crowdfunding offer. Again, true crowdfunding — offerings of stock, LLC units and promissory notes — becomes available on May…
Rank this Week: 1816

Financial Law Blog

Financial Law Blog

Updates on Banking Law, Investment Management Law, Securities Law, and Commodities/Derivatives Law. By Valentin Agafonov.

http://www.finlawblog.com
Rank this Week: 1612

Securities Mining Law

Securities Mining Law

Covers securities law affecting the mining industry in Canada.

http://www.securitiesmininglaw.com/
  • Oct 21

    Mining M&A and Consolidation: Are We There Yet?

    Mining M&A and Consolidation: Are We There Yet?
    For a third consecutive year, Dentons is proud to support the Mining & Investment Latin America Summit (MILA), the largest mining and investment event in Latin America, which was incepted in 2014. This year’s summit will host an…
  • Jun 9

    Compliance alert: Mine Financial Security, Reclamation and Closure Policy by Yukon Government

    Compliance alert: Mine Financial Security, Reclamation and Closure Policy by Yukon Government
    The Yukon Territorial Government has published a “Yukon Quartz Mine Financial Security, Reclamation and Closure Policy,” dated February 2016 (Policy). The Policy is intended to cover all lands in Yukon, whether Category…
  • May 20

    Insolvency and energy insights: The Redwater decision

    Insolvency and energy insights: The Redwater decision
    An Alberta court has held that provisions of the Bankruptcy and Insolvency Act allowing a trustee or receiver to disclaim real property without assuming environmental  liabilities in relation thereto renders inoperable provincial…
Rank this Week: 3394

Alixe Cormick: Small Cap Lawyer

Alixe Cormick: Small Cap Lawyer

Focuses on Canadian and United States securities law matters of interest to micro and small cap companies.

http://www.alixecormick.com
  • May 4

    Equity Crowdfunding for Your Residential Construction Busine

    Equity Crowdfunding for Your Residential Construction Busine
    Canada currently has four real estate specific crowdfunding portals : Brix RCR, Open Avenue , R2Crowd, and NexusCrowd.  All of them are located in Ontario.  Canadians can expect other new equity and debt real estate…
  • May 4

    Equity Crowdfunding for Your Residential Construction Busine

    Equity Crowdfunding for Your Residential Construction Busine
    By Alixe Cormick Canada currently has four real estate specific crowdfunding portals : Brix RCR, Open Avenue , R2Crowd, and NexusCrowd.  All of them are located in Ontario.  Canadians can expect other new equity and debt…
  • May 4

    Equity Crowdfunding for Your Residential Construction Busine

    Equity Crowdfunding for Your Residential Construction Busine
    By Alixe Cormick Canada currently has four real estate specific crowdfunding portals : Brix RCR, Open Avenue , R2Crowd, and NexusCrowd.  All of them are located in Ontario.  Canadians can expect other new equity and debt…
Rank this Week: 2140

William Carleton, Counselor @ Law

William Carleton, Counselor @ Law

Covers legal and investment issues facing emerging tech companies.

http://www.wac6.com/wac6/
  • Mar 16

    Secondary Sales and An Investor Covenant You Don’t Want To Mi

    Secondary Sales and An Investor Covenant You Don’t Want To Mi
    Dear Readers: This is a post I co-wrote with Joe Wallin, who has published the almost identical post here. If you are investing in early stage companies, there are certain deal terms you want. Most you probably know already: if...
  • Mar 11

    A Gift from Congress to Angel

    A Gift from Congress to Angel
    The picture here was taken by Joe Wallin, who was on a panel with me, Gary Kocher of K&L Gates, Tom Alberg of Madrona Ventures, and Dan Rosen of the Alliance of Angels, talking to the Angel Capital Association's NW...
  • Mar 3

    Looking for Mr. 506(c)

    Looking for Mr. 506(c)
    "On a relative basis, issuances claiming the new Rule 506(c) exemption have accounted for only 2.1% of the reported capital raised pursuant to Rule 506 since becoming effective in September 2014." So reads a key finding of a report,…
Rank this Week: 4386

Startup Law Blog

Startup Law Blog

Covers legal and regulatory developments in startup, securities law and regulation. By Joe Wallin.

http://www.startuplawblog.com/
  • Sep 17

    Chip-and-PIN (EMV) Credit Card Liability Shift is Oct. 1: Are You Ready?

    Chip-and-PIN (EMV) Credit Card Liability Shift is Oct. 1: Are You Ready?
    October 1 is right around the corner. Merchants, retailers, hotels and restaurants: are you ready for what’s in your customers’ wallets? Starting next month, the payment card industry’s transition to chip-and-PIN (also known…
  • Apr 27

    Join Us at Pacific Rim M&A Institute This Wednesday

    Join Us at Pacific Rim M&A Institute This Wednesday
    Please join us for the Pacific Rim M&A Institute’s next session. This quarter’s program features Port of Seattle CEO, Ted J. Fick, who will discuss how the Port contributes to our region’s economy. We look forward to…
  • Dec 18

    Revenue Lending

    Revenue Lending
    I recently had the chance to sit down with BJ Lackland, the CEO of Lighter Capital, to talk about life, revenue loans, and Lighter Capital. Below is a transcript of most of our talk. – JW: BJ, what’s the first … Continue…
Rank this Week: 3297

100 F Street

100 F Street

Covers securities law for growing businesses. By Vanessa Schoenthaler.

http://100fstreet.com/
  • Feb 20

    ISS Releases FAQs Related to Its 2015 Proxy Voting Policie

    ISS Releases FAQs Related to Its 2015 Proxy Voting Policie
    Yesterday Institutional Shareholder Services (ISS) released a set of five frequently asked questions related to select proxy voting policies for the 2015 proxy season. The first two questions address shareholder proxy…
  • Feb 16

    Catching Up on All Things Proxy Related From Last Week

    Catching Up on All Things Proxy Related From Last Week
    Among the many things Commission-related going on as of late, here’s a round of up some of the more notable proxy-related matters from the week that was February 9th. The Upcoming Proxy Voting Roundtable On Thursday the Commission…
  • Feb 9

    The SEC Issues Proposed Rules Regarding Disclosure of Hedging by Employees and Director

    The SEC Issues Proposed Rules Regarding Disclosure of Hedging by Employees and Director
    Yesterday the Securities and Exchange Commission announced the adoption of proposed rules to implement Section 955 of the Dodd-Frank Wall Street Reform and Consumer Protection Act which addresses disclosure of company policies…
Rank this Week: 3498

BD Law Blog

BD Law Blog

Features news, updates and thoughts regarding broker-dealer and investment adviser regulation and legal and compliance issues. By the Beck Law Firm, LLC.

http://www.bdlawblog.com/
  • Feb 13

    We've Moved. Great Content Still - But at New Site!

    We've Moved. Great Content Still - But at New Site!
    Posts here at BDLawBlog.com have been infrequent of late. We've been working to roll out a new online presence for The Beck Law Firm, LLC, that incorporates our blog. After more than seven years here, and more than 500 posts,...
  • Jan 7

    SEC Affirms FINRA Sanctions for Broker Taking Client Info. to New Firm

    SEC Affirms FINRA Sanctions for Broker Taking Client Info. to New Firm
    On December 15, 2014, the SEC affirmed a FINRA disciplinary action finding that a broker violated Conduct Rule 2110 when that broker downloaded certain confidential and nonpublic customer information for more than 2000 clients of his former…
  • Dec 19

    Lessons learned from putting on "the Suit."

    Lessons learned from putting on "the Suit."
    Every now and then I use my blog to share with you things not necessarily related to the law, or to our practice areas of financial markets law, estate planning or business law. Today's one of those days, and I...
Rank this Week: 4095

Page Perry LLC Blog

Page Perry LLC Blog

Covers securities broker abuses, early retirement scams, elder abuses, subprime mortages, collateralized debt obligations, and annuities.

http://www.pageperry.com/blog/
  • Jul 16

    CYNK Latest Wall Street Trap?

    CYNK Latest Wall Street Trap?
    Cynk is a social network company that has no revenue, no assets, and no profits. Until last week, it was the hottest stock on Wall Street, according to a Business Insider report by Hunter Walker and Julia La Roche (July 14, 2014).  Its…
  • Jul 14

    Former LPL Broker Jason Parker Leaves Trail Of Complaint

    Former LPL Broker Jason Parker Leaves Trail Of Complaint
    By law, a broker has to recommend suitable investments. To be considered suitable, an investment should align with the client’s investment objectives. Dumping all client funds into a single foreign stock, despite the client’s low…
  • Jun 13

    Pension Advisers Fall Under Scrutiny

    Pension Advisers Fall Under Scrutiny
    The problem of conflicts of interest for pension advisers attracted Congressional attention, according to a Wall Street Journal article by Dan Fitzpatrick  (June 9, 2014).  U.S. Representative George Miller (D., Calif.) has written…
Rank this Week: 4136

Securities Industry Lawyer Blog

Securities Industry Lawyer Blog

Covers securities arbitration and litigation, regulatory defense, and securities industry employment litigation. By Herskovits PLLC.

http://www.finralawyerblog.com/
  • Jul 26

    Robert Herskovits Appears on Reuters TV Side Bar Show

    Robert Herskovits Appears on Reuters TV Side Bar Show
  • Jul 26

    Robert Herskovits Appears on Reuters TV Side Bar Show

    Robert Herskovits Appears on Reuters TV Side Bar Show
    Click on the video below to see Robert Herskovits’ appearance on Side Bar, a show produced by Reuters. Robert speaks about issues concerning the Protocol for broker recruiting and transition issues faced by registered representatives…
  • Jul 26

    Robert Herskovits Appears on Reuters TV Side Bar Show

    Robert Herskovits Appears on Reuters TV Side Bar Show
    Click on the video below to see Robert Herskovits’ appearance on Side Bar with Bill Singer, a show produced by Reuters. Robert speaks about issues concerning the Protocol for broker recruiting and transition issues faced by registered…
Rank this Week: 3312

Florida Securities Fraud Attorney…

Florida Securities Fraud Attorney Blog

Covers Florida securities fraud cases and issues. By the Law Offices of Ralph Behr.

http://www.floridasecuritiesfraudattorney.com/
  • Dec 21

    Can JPMorgan Be Forced To Pay MF Global Customers' Claims?

    Can JPMorgan Be Forced To Pay MF Global Customers' Claims?
    The reports are that JP Morgan suspected some MFGlobal funds it received were customer deposits. …”But JPMorgan was not satisfied. The bank once again contacted Mr. Corzine, this time requesting a guarantee in…
  • Dec 19

    New Rules for Expungement of Certain Broker Check Complaint

    New Rules for Expungement of Certain Broker Check Complaint
    December 2011 may be a watershed date in the battle for fairness for stockbrokers. Constantly barraged by complaints, which are often no more than attempted extortion, the FINRA board may make some rule changes. It's a modest beginning; but…
  • Dec 19

    WHY ARE EXPUNGEMENT ORDERS BY ARBITRATORS IGNORED BY BROKER CHECK?

    WHY ARE EXPUNGEMENT ORDERS BY ARBITRATORS IGNORED BY BROKER CHECK?
    A customer complaint, once filed, is technically a public record. Public records are subject to state control and cannot be expunged without an order from U.S. federal court. If your arbitration award includes an order of expunction;…
Rank this Week: 3097

The PSLRA Nugget

The PSLRA Nugget

Covers securities class action case law. By Christopher S. Jones.

http://pslranugget.blogspot.com/
  • Feb 3

    The Nugget is Moving to a New Home

    The Nugget is Moving to a New Home
    Please update your bookmarks, as the PSLRA Nugget is moving to a new easier to remember website address.  Also if you are getting this by email, and you would like to continue getting it that way, you just need to go to
  • Feb 2

    Yes Shorter is Better (at least in legal briefing)

    Yes Shorter is Better (at least in legal briefing)
    OK, you know who you are.  The serial page extension requesters.  But Judge, we have to have 100 pages to explain it.  I know, I know, we've all done it.  And yes I agree sometimes it's necessary.  But District Judge Joy Flowers Conti…
  • Mar 18

    Confidential Sources Still Alive & Kicking

    Confidential Sources Still Alive & Kicking
    What's that? You thought Tellabs banned confidential witnesses? Well, let's not get carried away here, as there's certainly at least two ways to read that opinion. Of course, after the 7th Circuit decided Higginbotham v. Baxter, it was…
Rank this Week: 1426

Proxyland

Proxyland

Covers corporate governance.

http://proxyland.blogspot.com/
  • Mar 6

    One Blog Closes, Another Open

    One Blog Closes, Another Open
    Big news, dear readers.
  • Feb 17

    Stimulus Plan Attacks Executive Compensation: Stay Tuned

    Stimulus Plan Attacks Executive Compensation: Stay Tuned
    Everyone knows about the freaky fireball that plummeted through the Texas sky last weekend. In an unrelated development, a fireball suddenly appeared in the skies over Proxyland on Friday. That one, however, has been identified: it’s Title…
  • Feb 11

    Geithner's Financial Stability Plan, Or Whatever

    Geithner's Financial Stability Plan, Or Whatever
    C’mon now, everyone. Cheer up. At least Tim Geithner is easier on the eyes than Hank Paulson, whose face seemed to have the words “we’re all gonna die” written on it no matter what he was saying.
Rank this Week: 1223

Corporate Law and Democracy

Corporate Law and Democracy

A repository of ideas, comments and papers on a range of issues related to corporate law and democracy. By Boston College Law School Professor Renee Jones.

http://reneejones.wordpress.com/
  • Nov 18

    Whither State Securities Enforcement?

    Whither State Securities Enforcement?
    Susan Antilla of Bloomberg news published a recent column  revisiting the question of the continued viability of state securities regulators’ enforcement authority.  I spoke to Susan about my research  on the issue and I am quoted in…
  • Nov 18

    Whither State Securities Enforcement?

    Whither State Securities Enforcement?
    Susan Antilla of Bloomberg news published a recent column  revisiting the question of the continued viability of state securities regulators’ enforcement authority.  I spoke to Susan about my research  on the issue…
  • Sep 19

    Bailout-palooza

    Bailout-palooza
    The federal goverment’s proposal for a bailout of the financial industry sounded somewhat familiar to me.  I remembered that I had blogged about a similar proposal about a year ago on Conglomerate.
Rank this Week: 2918