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Blogs 46 - 83 of 83

Representing Investors

Representing Investors

Covers securities arbitration, litigation and regulatory news. By Maddox Hargett & Caruso, P.C.

http://www.investorprotection.com/blog
Rank this Week: 738

SEC Whistleblower Blog

SEC Whistleblower Blog

Covers corporate whistleblower programs and whistleblower protection issues.

http://www.secwhistleblowerprogram.org/SEC-Whistleblower-Blog/
  • Dec 2

    Department of Justice and Foreign Corrupt Practices Act Settlement

    Department of Justice and Foreign Corrupt Practices Act Settlement
    For years a battle cry for United States-based companies went something like this:  Bribery is wrong. But if you enforce anti-bribery laws against U.S. companies then those companies simply cannot effectively compete with foreign…
  • Dec 2

    Clarifying the Whistleblower Program's Anti-Retaliatory Provision

    Clarifying the Whistleblower Program's Anti-Retaliatory Provision
    This fall, the SEC submitted for public comment its first draft of rules for the interpretation and enforcement of the whistleblower provisions of the Dodd-Frank Financial Reform Act.  The SEC took great pains to clarify the full scope…
  • Jan 10

    Whistleblower Protection under the SEC Whistleblower Program

    Whistleblower Protection under the SEC Whistleblower Program
    In our web site, we established the types of anti-retaliatory protections offered employees under the SEC Whistleblower Program.
Rank this Week: 2918

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: 1964

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/
  • 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…
  • Sep 19

    Spring Runs Cold for Cold Spring Advisory Group

    Spring Runs Cold for Cold Spring Advisory Group
    Last September we wrote an article entitled: “Securities Regulators Caution Suckers to Avoid Fake Lawyers.” As we stated, on September 19, 2016, FINRA issued an Investor Alert, entitled “It can be hard to recover from…
  • Sep 14

    Arbitration Panel Awards $300,000 Over Failed Oil and Gas Venture

    Arbitration Panel Awards $300,000 Over Failed Oil and Gas Venture
    Heath Marell, Susan Marell and James Marell filed a claim in March 2016 against Mark Allan Plummer and Texas E & P Partners, Inc., alleging breach of contract, failure to supervise, negligence, intentional fraud and misrepresentation,…
Rank this Week: 968

Securities Compliance Sentinel

Securities Compliance Sentinel

Covers securities industry compliance and enforcement issues. By Fox Rothschild LLP.

http://securitiescompliancesentinel.foxrothschild.com
  • Oct 19

    FINRA Changes To Arbitration Procedure

    FINRA Changes To Arbitration Procedure
    FINRA is considering a number of changes to its arbitration procedure.  For a good discussion on the subject, see this article.Continue Reading…
  • Sep 26

    So You Think You Have No Cybersecurity Issue

    So You Think You Have No Cybersecurity Issue
    Recent exams have shown that cybersecurity weaknesses are a real issue for the industry.  This article from the Investment News provides the detail.    Continue Reading…
  • Sep 26

    So You Think You Have No Cybersecurity Issue

    So You Think You Have No Cybersecurity Issue
    Recent exams have shown that cybersecurity weaknesses are a real issue for the industry.  This article from the Investment News provides the detail.    Continue Reading…
Rank this Week: 757

Securities Fraud Attorney Blog

Securities Fraud Attorney Blog

Covers securities fraud, and other areas of securities law and banking and finance law. By Rich, Intelisano & Katz, LLP.

http://www.securitiesfraudattorneyblog.com/
  • Oct 27

    Private Share Litigation Cases are Challenging

    Private Share Litigation Cases are Challenging
    In a very high profile private share litigation, Theranos, a privately held health-technology and medical-laboratory-services company worth $9 billion as of 2014, has been sued this Monday by one of its largest and trusted financial backers,…
  • Jun 19

    Split Decision on Arbitration in Bank of America Case

    Split Decision on Arbitration in Bank of America Case
    This week, a Florida appeals court partially reversed a ruling denying Bank of America’s efforts to arbitrate various claims related to the Scott Rothstein Ponzi scheme. Bank of America, N.A. v. Beverly, Nos. 4D14-3167, 4D14-3168 (Fla.…
  • Jun 19

    Split Decision on Arbitration in Bank of America Case

    Split Decision on Arbitration in Bank of America Case
    This week, a Florida appeals court partially reversed a ruling denying Bank of America’s efforts to arbitrate various claims related to the Scott Rothstein Ponzi scheme. Bank of America, N.A. v. Beverly, Nos. 4D14-3167, 4D14-3168 (Fla.…
Rank this Week: 1451

Securities Fraud Lawyer Blog

Securities Fraud Lawyer Blog

Covers securities law. By Forman Law Firm.

https://www.securitiesfraudlawyerblog.com/
  • Jun 26

    “A Recovery Checklist For Victims of Investment Fraud”

    “A Recovery Checklist For Victims of Investment Fraud”
    Checklist For Victims of Investment Fraud should include hiring a competent attorney. FINRA's Checklist offers a lot of good advice and resources, but perhaps the most important advice for someone that has been a victim of a financial crime…
  • Jun 19

    FINRA Statistics-What Do They Tell Us About FINRA’s Arbitration Process and Its Fairness?

    FINRA Statistics-What Do They Tell Us About FINRA’s Arbitration Process and Its Fairness?
    FINRA Arbitration Statistics-What do they tell us about fairness of the arbitration process? In reality, not much. Advocates for the public investor community argue that mandatory arbitration is not fair, as it robs the consumer of choice,…
  • Jun 12

    Can I Sue My Stockbroker?

    Can I Sue My Stockbroker?
    Can I Sue My Stockbroker? Well, yes and no.  The question is more appropriately “How do I sue my stockbroker?” or “Where can I sue my stockbroker?”  As I will explain shortly, the common denominator to all of…
Rank this Week: 1821

Securities Fraud Lawyer Blog

Securities Fraud Lawyer Blog

Covers securities law. By The Law Office of David Liebrader, Inc.

https://www.securitiesfraudlawyerblog.net/
  • Oct 13

    FINRA fines Mercury Securitie

    FINRA fines Mercury Securitie
    Mercury Securities hit with censure and fine In July 2017, the Financial Industry Regulatory Authority (“FINRA”) announced that Mercury Securities of San Rafael, CA submitted an acceptance, waiver and consent letter regarding its…
  • Oct 6

    Sean Sladek Sentenced to 46 Months for Wire Fraud

    Sean Sladek Sentenced to 46 Months for Wire Fraud
    Sean Sladek pleads guilty in Las Vegas USDC The securities attorneys at The Law Office of David Liebrader have opened an investigation into the investment related conduct of Sean Sladek, who plead guilty on October 4, 2017 to defrauding…
  • Oct 1

    Terry Bahgat Barred by FINRA Sued by SEC

    Terry Bahgat Barred by FINRA Sued by SEC
    Terry Bahgat who was barred by FINRA in March, 2017, has now been sued by the SEC. In March, 2017 FINRA barred former Cambridge Investment Research and Gradient Securities broker Terry Bahgat, aka Tarek Bahgat for refusing to cooperate with a…
Rank this Week: 209

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: 3277

Securities Law Attorneys Blog

Securities Law Attorneys Blog

Covers securities law. By Fitapelli | Kurta.

http://www.securitieslawattorneys.net/
  • Oct 19

    Howard Niemoeller Received a Customer Complaint Following Allegations of Rule Violation

    Howard Niemoeller Received a Customer Complaint Following Allegations of Rule Violation
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 18, 2017 indicate that California-based Ameriprise Financial Services broker/adviser Howard Niemoeller has received a pending…
  • Oct 19

    Felipe Arrieta Received a Complaint for Misusing Margin and Acting Negligently

    Felipe Arrieta Received a Complaint for Misusing Margin and Acting Negligently
    Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 18, 2017 indicate that Florida-based Dakota Securities International broker/adviser Felipe Arrieta has received resolved or pending…
  • Oct 19

    James McCloskey Has Received One Pending Customer Complaint

    James McCloskey Has Received One Pending Customer Complaint
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 18, 2017 indicate that California-based Securian Financial Services broker/adviser James McCloskey has received a pending…
Rank this Week: 94

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/
  • Oct 19

    FINRA Considering Rule Changes for Non-Attorneys In Arbitration

    FINRA Considering Rule Changes for Non-Attorneys In Arbitration
    FINRA Requests Comment on the Efficacy of AllowingCompensated Non-Attorneys to Represent Parties inArbitrationFINRA Rules do not prohibit non-attorneys from representing parties in arbitrations, although some states do have such a…
  • Oct 18

    SEC Names Brett Redfearn as Director of the Division of Trading and Market

    SEC Names Brett Redfearn as Director of the Division of Trading and Market
    The Securities and Exchange Commission today announced that Brett Redfearn has been named Director of the agency's Division of Trading and Markets.The SEC's Division of Trading and Markets establishes and maintains standards for fair,…
  • Oct 18

    SEC Announces 2017 Government-Business Forum to Be Held at University of Texas at Austin

    SEC Announces 2017 Government-Business Forum to Be Held at University of Texas at Austin
    The Securities and Exchange Commission today announced it is partnering with the Herb Kelleher Center for Entrepreneurship, Growth, and Renewal at the McCombs School of Business at The University of Texas at Austin to host the SEC’s…
Rank this Week: 499

Securities Law Blog

Securities Law Blog

Covers securities law. By Fitapelli | Kurta.

https://www.securities-law-attorney.com/
  • Oct 18

    Stuart Pearl Has Been Sanctioned by FINRA

    Stuart Pearl Has Been Sanctioned by FINRA
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 18, 2017 indicate that Illinois-based David A. Noyes & Company broker/adviser Stuart Pearl has been sanctioned by FINRA and…
  • Oct 17

    Trevor Gordon Has Been Named in a Pending FINRA Complaint

    Trevor Gordon Has Been Named in a Pending FINRA Complaint
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 13, 2017 indicate that South Carolina-based Sandlapper Securities broker/adviser Trevor Gordon has been named in a pending…
  • Oct 17

    Jonathan Maxson Has Been the Subject of a Customer Complaint

    Jonathan Maxson Has Been the Subject of a Customer Complaint
    Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 13, 2017 indicate that Tennessee-based Kalos Capital broker/adviser Jonathan Maxson has received resolved or pending customer disputes.…
Rank this Week: 877

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/
  • Oct 15

    Rosenfeld on SEC Enforcement

    Rosenfeld on SEC Enforcement
    David Rosenfeld has posted Admissions in SEC Enforcement Cases: The Revolution That Wasn't on SSRN with the following abstract: In 2013, the SEC departed from its long-standing policy of settling enforcement matters on a no-admit/no-deny…
  • Oct 15

    Anderson on Insider Trading

    Anderson on Insider Trading
    John P. Anderson has posted Insider Trading and the Myth of Market Confidence on SSRN with the following abstract: Promoting public confidence in securities markets is a policy goal that is frequently cited by commentators, Congress, the…
  • Oct 15

    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: Ryan H. Gilinson, Note, Clicks and Tricks: How Computer Hackers Avoid 10b-5 Liability, 82 Brook. L. Rev. 1305 (2017). Allan Horwich, The…
Rank this Week: 91

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Oct 16

    Advisor David Zier Investigated Over ZAM Fund Investment Scheme

    Advisor David Zier Investigated Over ZAM Fund Investment Scheme
    According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor David Zier (Zier), in October 2014, was terminated by his then employer City National Securities, Inc. (City National) and was under…
  • Oct 16

    Advisor Scott Newsholme Accused of Stealing More than $1 Million From Client

    Advisor Scott Newsholme Accused of Stealing More than $1 Million From Client
    According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Scott Newsholme (Newsholme), in September 2017, was accused by the Securities and Exchange Commission (SEC) of stealing more than $1 million…
  • Oct 15

    Advisor William Glaser Under FBI Investigation in Connection With Paul Creager Real Estate Securitie

    Advisor William Glaser Under FBI Investigation in Connection With Paul Creager Real Estate Securitie
    According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor William Glaser (Glaser), in September 2017, was accused by FINRA of failing to cooperate in an investigation into the circumstances…
Rank this Week: 84

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/
  • Oct 18

    The SEC Wants to Know What’s Next for Blockchain: Are You Keeping Up?

    The SEC Wants to Know What’s Next for Blockchain: Are You Keeping Up?
    On October 12, 2017, the United States Securities and Exchange Commission’s Investor Advisory Committee met to discuss Blockchain technology and its impact on the securities industry. While Blockchain is best known as the decentralized…
  • Oct 10

    Supreme Court Likely to Decide Whether to Hear SEC ALJ Issue This Term

    Supreme Court Likely to Decide Whether to Hear SEC ALJ Issue This Term
    As the U.S. Supreme Court commenced a new term last week, one issue of substantial interest to many readers of this blog is whether the Court will address the constitutionality of the Securities & Exchange Commission’s use of…
  • Oct 3

    SEC Chairman Testifies About SEC’s Direction and 2016 Cyberattack

    SEC Chairman Testifies About SEC’s Direction and 2016 Cyberattack
    On September 26, 2017, SEC Chairman Jay Clayton testified before the Senate’s Banking, Housing and Urban Affairs Committee regarding the direction of the SEC under his Chairmanship. He also took the opportunity to address the 2016…
Rank this Week: 371

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: 3339

Sharesleuth.com

Sharesleuth.com

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

http://sharesleuth.com/
Rank this Week: 1024

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/
  • Oct 19

    Activists Knocking on the Door

    Activists Knocking on the Door
    The Canadian Real Estate sector may be in for a shake-up. Reuters recently reported (here) that activists may be eyeing real estate investment trusts (REITs), and their approximate combined C$67 billion in market capitalization, as ripe…
  • Oct 2

    Trends and Predictions in Canadian Proxy Contest

    Trends and Predictions in Canadian Proxy Contest
    Kingsdale Advisors (Kingsdale) recently released its annual Proxy Season Review for 2017. The report examines trends observed in 2017 and provides analysis on what the future may hold for Canadian proxy contests. The report also outlines…
  • Sep 28

    Victory for PointNorth and First Golden Leash Compensation Arrangement

    Victory for PointNorth and First Golden Leash Compensation Arrangement
    Special compensation arrangements — where dissident director nominees are compensated based on a fixed-term rise in share prices following the nominee’s election to the board — continue to gain interest in corporate…
Rank this Week: 1538

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: 3286

Stock Attorneys Blog

Stock Attorneys Blog

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

http://www.stockattorneysblog.com/
  • Oct 19

    FINRA Complaint Filed Against Lawrence for Unapproved Loan from Customer

    FINRA Complaint Filed Against Lawrence for Unapproved Loan from Customer
    (FINRA Case #2016051945101) Thomas H. Lawrence III (CRD #1839619, Chapel Hill, Tennessee) – Lawrence was named a respondent in a FINRA complaint alleging that he borrowed more than $39,000 from one of his securities customers, a retiree…
  • Oct 17

    Likens, Suspended and Fined for Unapproved Loans from Customer

    Likens, Suspended and Fined for Unapproved Loans from Customer
    (FINRA Case #2016049871601) Jason Hunter Likens (CRD #4716661, Asheville, North Carolina) – An AWC (Accept, Waiver & Consent) was issued in which Likens was assessed a deferred fine of $10,000 and suspended from association with any…
  • Oct 12

    Hushek Suspended and Fined by FINRA

    Hushek Suspended and Fined by FINRA
    (FINRA Case #2013035817702) Daniel Joseph Hushek III (CRD #4250117, Bradenton, Florida) – An AWC (Accept, Waiver & Consent) was issued in which Hushek was assessed a deferred fine of $10,000 and suspended from association with any…
Rank this Week: 684

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: 172

Stock Market Loss

Stock Market Loss

Covers misconduct by brokerage firms or financial advisors. By Hermann, Cahn & Schneider, LLP.

http://www.stockmarketloss.com/news/
  • Oct 21

    Christopher Thomas Tolmacs Liable for Negligence in $1.2 Million Case

    Christopher Thomas Tolmacs Liable for Negligence in $1.2 Million Case
    Stockbroker Christopher Tolmacs was found liable in FINRA arbitration for breach of fiduciary duty, gross negligence, willful wanton misconduct, conversion of funds, securities fraud and violation of the SEC Act of 1934. He was most recently…
  • Oct 20

    Stockbroker Mark S. Perry Barred for Unsuitable Trading

    Stockbroker Mark S. Perry Barred for Unsuitable Trading
    FINRA has suspended Mount Pleasant, S.C. stockbroker Mark S. Perry from associating with any brokerage firm in any capacity for a period of eighteen months. Perry was most recently employed by Independent Financial Group. Before that, he was…
  • Oct 18

    Investor Ryan Paugh Accused of Broker Misconduct

    Investor Ryan Paugh Accused of Broker Misconduct
    Beachwood and Independence, Ohio – Ryan Paugh is under FINRA investigation for violating NASD Rule 3040 and FINRA Rule 3040. Paugh has been associated with J.P. Morgan Chase Securities, and Chase Investment Services. He is being…
Rank this Week: 598

Strictly Business

Strictly Business

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

http://www.strictlybusinesslawblog.com/
  • 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…
  • 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…
Rank this Week: 2822

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 29

    Profiting from Human Rights Abuse

    Profiting from Human Rights Abuse
    The Criminal Finances Act 2017 runs to nearly 150 pages. It was hurried through Parliament shortly before the June 2017 election.  It is an example of lazy and confusing legislating, where numerous sections and sub-sections are added on…
  • 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…
Rank this Week: 2556

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

https://10b5daily.com/
  • 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…
  • Jul 20

    Top 100 Settlement

    Top 100 Settlement
    With the dog days of summer comes the issuance of statistical reports on securities class actions.  ISS Securities Class Actions puts out an interesting report, now updated through 2016, on “The Top 100 U.S. Settlements…
  • Jun 28

    CalPERS Decided

    CalPERS Decided
    The U.S. Supreme Court has issued a decision in the CalPERS v. ANZ Securities case holding that the three-year statute of repose for Section 11 and Section 12(a) claims (misrepresentation in a registration statement or…
Rank this Week: 1023

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: 1620

The D & O Diary

The D & O Diary

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

http://www.dandodiary.com/
  • Oct 22

    October in Seoul

    October in Seoul
    The D&O Diary’s Asian assignment continued last week with a stop in Seoul, South Korea’s capital city. This was my first visit to Seoul. Turns out, Seoul is a big, amazing city. It is larger than either New York or London and…
  • Oct 19

    Tokyo

    Tokyo
    The D&O Diary is on assignment in Asia this week, with the first stop for meetings in Tokyo, Japan’s capital city. Tokyo is such an amazing place. With a population of 13.8 million in the city itself and a total of 37.8 million in…
  • Oct 18

    Guest Post: FAQs about Regulation A+ Securities Offering

    Guest Post: FAQs about Regulation A+ Securities Offering
    In March 2015, the SEC released its final rules implementing the provision of the JOBS Act to try to facilitate small companies’ access to capital and to provide new investors with new investment choices, in the form of Regulation A+.…
Rank this Week: 394

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: 1025

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: 29

The Securities Edge

The Securities Edge

Covers securities law topics of interest to executives of middle market businesses. By Gunster.

http://www.thesecuritiesedge.com/
  • Oct 16

    SEC’s Attempt to Modernize and Streamline Disclosures for Public Companies Falls Short

    SEC’s Attempt to Modernize and Streamline Disclosures for Public Companies Falls Short
      Last year, Congress required the SEC to review the public company disclosure requirements in Regulation S-K and make detailed recommendations as to how those rules might be changed to modernize and simplify the requirements while still…
  • Oct 16

    SEC’s Attempt to Modernize and Streamline Disclosures for Public Companies Falls Short

    SEC’s Attempt to Modernize and Streamline Disclosures for Public Companies Falls Short
      Last year, Congress required the SEC to review the public company disclosure requirements in Regulation S-K and make detailed recommendations as to how those rules might be changed to modernize and simplify the requirements while still…
  • Sep 27

    Your tax dollars at work (at the SEC)

    Your tax dollars at work (at the SEC)
      With Chair Jay Clayton and Corp Fin Director Bill Hinman now in office for several months, the SEC seems to be gaining traction in a number of areas of interest to public companies. Pay Ratio Disclosures As we noted in a Gunster…
Rank this Week: 754

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/
  • Oct 20

    Benefit Street Partners Realty Trust Securities Investigation

    Benefit Street Partners Realty Trust Securities Investigation
    Investigating Potential Claims Involving Benefit Street Partners Realty Trust The White Law Group is investigating potential securities fraud claims involving broker-dealers’ improper recommendation that some investors…
  • Oct 19

    OHA Investment Corporation BDC Securities Investigation

    OHA Investment Corporation BDC Securities Investigation
    OHA Investment Corporation- ‍Castex and its affiliates file for bankruptcy The White Law Group is investigating potential claims involving OHA Investment Corporation. OHA Investment Corporation (NASDAQ: OHAI) is a business development…
  • Oct 18

    Investor Alert: Cole Credit Property Trust IV Securities Investigation

    Investor Alert: Cole Credit Property Trust IV Securities Investigation
    Cole Credit Property Trust IV Tender offer $6.01/Share Did you lose money investing in Cole Credit Property Trust IV at the recommendation of your financial advisor? If so, The White Law Group may be able to help you recover your losses by…
Rank this Week: 150

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Oct 20

    Edgar Woes Piling Up? Fee Problems & Delayed Offering Filings?

    Edgar Woes Piling Up? Fee Problems & Delayed Offering Filings?
    The title of this blog includes multiple question marks because the SEC continues to keep us in the dark when Edgar has problems. I’m not talking about the cyber breach that was recently announced. I’ve been harping for some time…
  • Oct 19

    Revenue Recognition: PCAOB Guidance on New FASB Standard

    Revenue Recognition: PCAOB Guidance on New FASB Standard
    Recently, the PCAOB issued this Staff audit alert to assist independent auditors in applying PCAOB standards when they audit their client’s implementation of FASB’s new revenue recognition standard.  Topics covered…
  • Oct 18

    Today: “Say-on-Pay Workshop – 14th Annual Executive Compensation Conference”

    Today: “Say-on-Pay Workshop – 14th Annual Executive Compensation Conference”
    Today is the “Say-on-Pay Workshop: 14th Annual Executive Compensation Conference”; yesterday was the “Pay Ratio & Proxy Disclosure Conference” (video archive is posted). Note you can still register to watch online…
Rank this Week: 1026

Tim O'Connor's Blog

Tim O'Connor's Blog

Covers stockbroker fraud.

http://stockbrokerlaw.com/tim-oconnors-blog
  • Oct 17

    Don't Get Bit By Initial Coin Offerings - FINRA Issues Investor Alert

    Don't Get Bit By Initial Coin Offerings - FINRA Issues Investor Alert
    In an Investor Bulletin entitled “Initial Coin Offerings” the New York State Securities and Exchange Commission warned investors about the pitfalls of ICO’s (Initial Coin Offerings) also known as token sales to raise…
  • Oct 3

    FINRA Addresses RegTech and Technology Enabled Transformation of Regulatory Compliance

    FINRA Addresses RegTech and Technology Enabled Transformation of Regulatory Compliance
    At its annual conference held in Washington, DC in May of this year, FINRA included a session to provide guidance for practices at FINRA member firms regarding the use of emerging technology in compliance and operations.  The session…
  • Sep 27

    Inherited IRA’s Are Now Subject to Claims of Creditor

    Inherited IRA’s Are Now Subject to Claims of Creditor
    Do you have an inherited IRA?  Do you know that it may not be exempt from claims of creditors and it may not be subject to the same protections afforded other IRA’s such as regular IRA’s, Roth IRA’s, SEP IRA and…
Rank this Week: 731

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: 461

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
  • Aug 1

    Will the Rise of the Cell Phone Mean the Death of the Third-Party Doctrine?

    Will the Rise of the Cell Phone Mean the Death of the Third-Party Doctrine?
    This guest post was authored by Molly Dolinger, a summer associate with Montgomery McCracken. There are currently more cell phones in the U.S. than there are people. Given the increasingly mobile-dependent state of our society, it should…
  • Jul 28

    SCOTUS to Clarify Protections for Securities Fraud Whistleblower

    SCOTUS to Clarify Protections for Securities Fraud Whistleblower
    This guest post was authored by Bianca Valcarce, a summer associate with Montgomery McCracken. The Supreme Court of the United States has agreed to review the Ninth Circuit’s decision in Digital Realty Trust, Inc. v. Somers and…
  • Jul 20

    Fifth Amendment Concerns Result in Overturned Convictions in First Criminal LIBOR Appeal

    Fifth Amendment Concerns Result in Overturned Convictions in First Criminal LIBOR Appeal
    The Second Circuit yesterday became the first court of appeals to address a criminal appeal regarding the government’s investigation into the manipulation of the London Interbank Offered Rate (“LIBOR”). Its decision in…
Rank this Week: 2548

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/
  • 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…
  • Dec 31

    White Collar Fraud List of Blog Posts for 2014

    White Collar Fraud List of Blog Posts for 2014
    December 19, 2014: Cleveland.com - Crazy Eddie CFO shares how companies trick auditors and fleece investors: Plain Dealing, by Sheryl HarrisDecember 3, 2014: Going Concern - Ex-Crazy Eddie CFO's 10 Tips for Advancing Your Accounting Career by…
Rank this Week: 4065

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: 302

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: 977