Most Popular Securities Law Blawgs Expanded View List View

Blogs 46 - 84 of 84
Sorted by Popularity | Sort by Name | Sort by Last Post Date
Today | This Week | This Month | All Time |

Business Law Post

Business Law Post

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

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

    Why Small Businesses Need Buy-Sell Agreement

    Why Small Businesses Need Buy-Sell Agreement
    One of the agreements that comes up time over time in my practice is a buy-sell agreement.  These are contracts between shareholders of a corporation, partners of a partnership or members of a limited liability company and the business…
  • Mar 13

    SaaS Contracts vs Software License Agreement

    SaaS Contracts vs Software License Agreement
    Just like technology itself, technology contracts are becoming more and more complex.  Yet, the legal theories that apply to them remain the same. Understanding the technological aspects of the transaction allows attorneys to apply…
  • Mar 11

    Deconstructing Open Source Software License

    Deconstructing Open Source Software License
    When drafting and negotiating software license agreements, I frequently come across open source licenses.  This blog post is to clarify some of the myths that exist around the definition and use of open source software.First, I want to…
Rank this Week: 1891

New York Securities Lawyers Blog

New York Securities Lawyers Blog

Covers securities and investment fraud. By Malecki Law.

http://www.newyorksecuritieslawyersblog.com/
  • Sep 7

    Did Seadrill Leave a Hole in Your Investment Portfolio?

    Did Seadrill Leave a Hole in Your Investment Portfolio?
    It seems like every day there is a new “hot stock” being pushed by financial pundits and brokerage houses alike.  Seadrill Limited (ticker symbol, SDRL) was once one of these hot stocks, but it has since fallen from grace,…
  • Aug 7

    What Can We Learn About Investing from NBA-Legend Tim Duncan? – Part 2 of 2

    What Can We Learn About Investing from NBA-Legend Tim Duncan? – Part 2 of 2
    This is Part 2 of an article we posted last week on former NBA-great, Tim Duncan, where we introduced the investing lessons that could be gleaned from Duncan’s relationship with his former financial adviser, Charles A. Banks, who was…
  • Jul 28

    What Can We Learn About Investing from NBA Legend Tim Duncan? – Part 1 of 2

    What Can We Learn About Investing from NBA Legend Tim Duncan? – Part 1 of 2
    Last month we learned that Tim Duncan’s financial adviser was sentenced by a federal court to four years in prison for defrauding the NBA legend of $7.5 million.  Duncan earned over $220 million during his playing career, so he is…
Rank this Week: 2008

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: 2054

Cady Bar the Door

Cady Bar the Door

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

http://www.secmiscellany.com
  • Jun 15

    Supreme Court Says Prosecutors Can’t Judge the Cases They Prosecute

    Supreme Court Says Prosecutors Can’t Judge the Cases They Prosecute
    Not all of the justices would put it that way.  To be fair to the dissenters, and because his version is shorter, we’ll use Justice Thomas’s description of the underlying facts from his dissent in Williams v. Pennsylvania,…
  • Jun 13

    Don’t even think about violating that penny stock bar.

    Don’t even think about violating that penny stock bar.
    The penny stock world can be rough. So rough that breaking the rules in that corner of the securities markets ban bring its own kind of injunction, one that’s much more specific than the typical don’t-break-the-law-anymore kind of…
  • May 25

    The Insider Trading Cartoon Series, Vol. IX — Tender Offer

    The Insider Trading Cartoon Series, Vol. IX — Tender Offer
    I want to talk about Rule 14e-3, because it has significant implications for insider trading liability.  But to do that, we first have to talk about tender offers, and what they are.     The post The Insider Trading Cartoon…
Rank this Week: 2151

Stock Attorneys Blog

Stock Attorneys Blog

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

http://www.stockattorneysblog.com/
  • Sep 14

    Hickman, Fined, Suspended and Ordered to Pay Restitution by FINRA

    Hickman, Fined, Suspended and Ordered to Pay Restitution by FINRA
    (FINRA Case #2015046087601) Christopher Robert Hickman (CRD #3267599, Boynton Beach, Florida) – An AWC (Accept, Waiver & Consent) was issued in which Hickman was assessed a deferred fine of $5,000, suspended from association with…
  • Sep 12

    Wells Fargo Securities, LLC Fined 3.2 Million Dollar

    Wells Fargo Securities, LLC Fined 3.2 Million Dollar
    (FINRA Case #2014040326101)  Wells Fargo Securities, LLC (CRD #126292, Charlotte, North Carolina) – An AWC (Accept Waiver & Consent) was issued in which the firm was censured, fined $3,250,000, and required to review its…
  • Aug 31

    FINRA Suspends Landa for Two Month

    FINRA Suspends Landa for Two Month
    (FINRA Case #2016049485101) Stephen J. Landa (CRD #2172148, Easton, Connecticut) – An AWC (Accept, Waiver & Consent) was issued in which Landa was assessed a deferred fine of $5,000, suspended from association with any FINRA member…
Rank this Week: 2240

Investment Fund Law Blog

Investment Fund Law Blog

Provides updates and insights on legal issues facing fund managers and investors. By Pillsbury Winthrop Shaw Pittman LLP.

http://www.investmentfundlawblog.com/
  • Sep 15

    SEC Risk Alert! Most Frequent Advertising Rule Compliance Issues by Investment Adviser

    SEC Risk Alert! Most Frequent Advertising Rule Compliance Issues by Investment Adviser
    The Office of Compliance Inspections and Examinations (OCIE) of the SEC issued a Risk Alert yesterday providing a list of the most frequently identified compliance issues relating to the Advertising Rule (Rule 206(4)-1) under the Investment…
  • Sep 6

    T+2 Settlement Becomes Mandatory for Most Broker-Dealer Transaction

    T+2 Settlement Becomes Mandatory for Most Broker-Dealer Transaction
    T+2 Settlement becomes mandatory for most broker-dealer transactions on September 5.   While Rule 15c6-1(d) allows, in connection with firm commitment underwritings, the issuer and underwriters to agree to different settlement…
  • Jul 27

    Girls Who Invest – Changing the Face of Asset Management

    Girls Who Invest – Changing the Face of Asset Management
    Pillsbury is hosting an event with the Association of Women in Alternative Investing (AWAI) on Wednesday, August 9, 2017.  Kathleen Dunlap, CEO of Girls Who Invest (www.girlswhoinvest.org) will be speaking about the GWI program and how…
Rank this Week: 2348

Securities Law Attorneys Blog

Securities Law Attorneys Blog

Covers securities law. By Fitapelli | Kurta.

http://www.securitieslawattorneys.net/
  • Sep 18

    Keith Michelfelder Was Sanctioned by FINRA and Received Two Customer Complaint

    Keith Michelfelder Was Sanctioned by FINRA and Received Two Customer Complaint
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 15, 2017 indicate that Georgia-based National Securities Corporation broker Keith Michelfelder has been sanctioned by FINRA…
  • Sep 18

    William Konchal Allegedly Violated Michigan’s Blue Sky Law

    William Konchal Allegedly Violated Michigan’s Blue Sky Law
    Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 15, 2017 indicate that Michigan-based Raymond James & Associates broker/adviser William Konchal has received resolved or pending…
  • Sep 18

    Michael Schuchman Has a Pending Customer Complaint

    Michael Schuchman Has a Pending Customer Complaint
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 15, 2017 indicate that Michigan-based Morgan Stanley broker/adviser Michael Schuchman has received resolved or pending…
Rank this Week: 2402

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
  • 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…
  • Mar 27

    FINRA Securities Arbitration Statistics – February 2011

    FINRA Securities Arbitration Statistics – February 2011
    FINRA recently reported its February 2011 arbitration statistics. For the two-month period ended February 28, 2011, 837 claims were filed. This represents a decrease of 9% as compared to the number of cases filed in February 2010 (918). The…
Rank this Week: 2421

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: 2473

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: 2514

Tim O'Connor's Blog

Tim O'Connor's Blog

Covers stockbroker fraud.

http://stockbrokerlaw.com/tim-oconnors-blog
  • Aug 3

    Inherited IRA’s – Know Your Rights?

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

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

    Non-Purpose Loans and Securities Backed Loans (SBL’s) – An Accident Waiting to Happen
    Many brokerage firms have been promoting non-purpose loans, resulting in abusive sales practices and supervisory violations associated with the aggressive marketing of these lending arrangements.  Brokerage firms suggesting that…
  • Jul 19

    State Regulators – The State-by-State Resource for Victimized Senior

    State Regulators – The State-by-State Resource for Victimized Senior
    Where do North American investors go when looking for their state or province specific securities regulators? The organization ServeOurSeniors.org maintains a state-by-state resource for consumers and investors in all fifty states, as well as…
Rank this Week: 2614

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: 2725

Stock Market Loss

Stock Market Loss

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

http://www.stockmarketloss.com/news/
Rank this Week: 2763

The Securities Edge

The Securities Edge

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

http://www.thesecuritiesedge.com/
  • Sep 5

    The s-word and your investment portfolio

    The s-word and your investment portfolio
    Now that I have your attention, you may be disappointed to know that I’m referring to another s-word: “sustainability”.  It’s surely one of the big governance words of 2017.  Investors are pressuring…
  • Aug 23

    Federal Reserve governance guidance: the pendulum swings back (?)

    Federal Reserve governance guidance: the pendulum swings back (?)
    Earlier this month, the Federal Reserve proposed changes to its guidance on corporate governance for banking organizations.  The proposals suggest a new approach to corporate governance that could extend beyond the banking industry;…
  • Aug 8

    Class Acts: Stock Indices Bar Differential Voting Right

    Class Acts: Stock Indices Bar Differential Voting Right
    In late July, S&P Dow Jones and FTSE Russell announced that they were changing or proposing to change the standards that govern whether a company is included in their indices.  Although their approaches differ, the changes would…
Rank this Week: 2785

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: 3081

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: 3265

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: 3430

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: 3534

Investment Fraud Information

Investment Fraud Information

By Andrew Stoltmann.

http://www.investmentfraudtimes.com/securities-fraud-attorneys/
  • Sep 15

    Aileen Eppig of International Assets Advisory in Orlando, Florida

    Aileen Eppig of International Assets Advisory in Orlando, Florida
    Stoltmann Law Offices is interested in speaking to those investors who may have invested with Aileen Eppig, a former broker with International Assets Advisory in Orlando, Florida. Ms. Eppig was accused of recommending unsuitable investments,…
  • Sep 14

    Gary Hammond Has Customer Complaints: Options For Investor

    Gary Hammond Has Customer Complaints: Options For Investor
    Stoltmann Law Offices is investigating Gary Hammond, a Hornor Townsend & Kent broker in Charlotte, North Carolina. Hammond was alleged to have recommended an unsuitable investment in two variable annuities, and was terminated from MML…
  • Sep 13

    Update For Victims of Mark David Holt

    Update For Victims of Mark David Holt
    According to a recent InvestmentNews article, Mark Holt, who is currently in prison, lost a FINRA arbitration decision worth $477,000, to two former clients who alleged he mismanaged their accounts. The clients settled with Harbour…
Rank this Week: 3564

New York Securities Lawyer Blog

New York Securities Lawyer Blog

Covers securities law. By Lax & Neville LLP.

http://www.newyorksecuritieslawyerblog.com/
Rank this Week: 3598

Subject to Inquiry

Subject to Inquiry

Looks at white collar, congressional, SEC, energy enforcement and other government inquiries. By McGuireWoods.

http://www.subjecttoinquiry.com/
  • Sep 8

    Will Supreme Court Narrow The Broadest Tax Crime?

    Will Supreme Court Narrow The Broadest Tax Crime?
    In the October 2017 term, the Supreme Court will take up its first criminal tax case in almost a decade, Marinello v. United States.  At issue is a longstanding circuit split about a mainstay of the federal government’s arsenal in…
  • Aug 7

    Recent Privilege Decision Raises Questions for Internal Investigation

    Recent Privilege Decision Raises Questions for Internal Investigation
    A recent federal district court case raises significant issues regarding privilege that should be on the radar of any in-house or outside counsel conducting an internal investigation with the goal of producing a public report. As discussed in…
  • Jul 28

    Ninth Circuit Ruling Weakens Materiality Standard under the FCA

    Ninth Circuit Ruling Weakens Materiality Standard under the FCA
    Last year in Universal Health Services, Inc. v. United States ex rel. Escobar et al. (discussed on this blog), the Supreme Court reminded litigants that the False Claims Act “is not an all-purpose antifraud statute.” In that case,…
Rank this Week: 3636

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: 3712

Footnoted

Footnoted

Reports on actionable information in SEC filings.

http://www.footnoted.com/
Rank this Week: 3789

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/
  • Sep 15

    Prohibiting restrictions on assignment of receivable

    Prohibiting restrictions on assignment of receivable
    Section 1 of the Small Business, Enterprise and Employment Act 2015 allows regulations to be made to invalidate clauses in certain contracts which prevent the assignment of receivables. The Business Contract Terms (Assignment of Receivables)…
  • Sep 15

    FCAC and IIROC to join force

    FCAC and IIROC to join force
    On September 12, 2017, the Financial Consumer Agency of Canada (FCAC) and the Investment Industry Regulatory Organization of Canada (IIROC), two otherwise independent regulators, announced that they signed a memorandum of understanding (MOU)…
  • Sep 14

    FCA Dear CEO letter regarding consumer credit firms handling of complaint

    FCA Dear CEO letter regarding consumer credit firms handling of complaint
    The FCA has published a Dear CEO letter that it has sent to consumer credit firms regarding the handling of complaints. Key points in the Dear CEO letter include: resolving complaints effectively is an important way for firms to identify and…
Rank this Week: 3884

Andrew Abramowitz, PLLC

Andrew Abramowitz, PLLC

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

http://aalegalnyc.com/blog/
  • Sep 14

    A Possible Expansion of Regulation A+

    A Possible Expansion of Regulation A+
    On September 5, 2017, the U.S. House of Representatives overwhelmingly approved a bill that would allow already-public reporting companies to use the provisions of so-called Regulation A+ to make securities offerings. Regulation A+ in its…
  • Aug 30

    The Limits of Networking

    The Limits of Networking
    Business professor Adam Grant, writing in the New York Times, argues that business networking activities are overrated. (Grant is the author of Give and Take, one of the rare business advice books that I have actually read. It’s…
  • Aug 21

    Why Robots Won’t Replace Lawyers Anytime Soon

    Why Robots Won’t Replace Lawyers Anytime Soon
    Ezra Klein, writing in Vox, argues that at least over the short to medium-term, robots won’t be taking our jobs. Stating that most jobs a hundred years ago involved the production of food and collection of water, he goes on to note…
Rank this Week: 3897

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 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…
  • Aug 18

    Gin Van, Joan Collins and Rare Earth

    Gin Van, Joan Collins and Rare Earth
    Friday is upon us, so a few notes about cocktails. Cocktail snobbery is suffering a (deserved) backlash, as Robert O. Simonson of the New York Times points out in When Bad Drinks Go Good: Just as the cocktail renaissance has brought…
Rank this Week: 3899

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: 3918

McEldrew Young Blog

McEldrew Young Blog

Covers whistleblower law and wage theft for employees.

http://www.mceldrewyoung.com/blog/
  • Sep 13

    Update on Overtime and Minimum Wage in PA

    Update on Overtime and Minimum Wage in PA
    At the end of August only a few days before Labor Day, a federal judge struck down the new rule issued by the Labor Department during the Obama administration to make more than 4 million workers eligible for time and a half overtime by…
  • Sep 12

    NTSB Details Tesla’s Role in First Self-Driving Car Fatality

    NTSB Details Tesla’s Role in First Self-Driving Car Fatality
    The National Transportation Safety Board held a hearing today concerning the Florida self-driving car accident in May 2016 that resulted in the nation’s first fatality involving an auto-driving system. According to media reports, the…
  • Sep 12

    Precious Metals Fraud Takes Customers for $290 Million

    Precious Metals Fraud Takes Customers for $290 Million
    The Commodity Futures Trading Commission has filed an enforcement action against one of the largest precious metals fraud cases in its history. In light of that action, we thought it important to remind victims and industry professionals…
Rank this Week: 3977

Oil & Gas Investment Fraud Lawyer…

Oil & Gas Investment Fraud Lawyer Blog

Covers securities issues with a focus on oil & gas investment fraud. By Silver Law Group, The Law Firm of David R. Chase, P.A., and Ciklin Lubitz & O'Connell.

http://www.oilgasinvestmentfraudlawyer.com/
Rank this Week: 4006

May Law, PC Blog

May Law, PC Blog

Covers investment law, securities laws the requirements of the Financial Industry Regulatory Authority (FINRA).

http://www.maylawpc.net/category/blog/
  • Jan 25

    SEC’s National Examination Priorities for 2017

    SEC’s National Examination Priorities for 2017
    According to Office of Compliance Inspections and Examinations (“OCIE”)   The U.S. Securities and Exchange Commission (“SEC”) regulates more than 4,000 broker-dealers and more than 12,000 registered…
  • Jan 25

    FINRA’S 2017 Examination Prioritie

    FINRA’S 2017 Examination Prioritie
    The Financial Industry National Regulatory Authority’s (”FINRA’s”) annual examination letter is out and filled with nuggets. Fear not; the breakdown that that you need is contained below.…
  • Sep 22

    Is There “Gold” In Your Old Daily Or Monthly Statements?

    Is There “Gold” In Your Old Daily Or Monthly Statements?
    Class Action Settlement on Alleged Manipulation Offers to turn old paper or electronic statements into cold, hard cash! WHO: People who traded futures and/or options on futures…
Rank this Week: 4090

Classified: The Class Action Blog

Classified: The Class Action Blog

A blog focused on the latest class action developments and trends by the attorneys of Carlton Fields Jorden Burt.

http://classifiedclassaction.com/
  • Sep 5

    Circuit Court Finds Putative Class Affidavits, Combined With Other Records, May Satisfy Ascertainability Requirement

    Circuit Court Finds Putative Class Affidavits, Combined With Other Records, May Satisfy Ascertainability Requirement
    Defendants BMW and Creditsmarts were parties to a marketing agreement through which BMW offered its direct automotive “up2drive” loans to borrowers at participating independent car dealers through Creditsmarts’…
  • Aug 30

    Still Standing: Ninth Circuit Again Finds Standing in Spokeo Remand

    Still Standing: Ninth Circuit Again Finds Standing in Spokeo Remand
    The Ninth Circuit recently issued its latest opinion in Spokeo, Inc. v. Robins, the closely-watched putative class action dating back to 2010. The plaintiff initiated the lawsuit against Spokeo, which aggregates publicly available data about…
  • Aug 24

    Kansas Judge Rejects Discovery From Putative Class Member

    Kansas Judge Rejects Discovery From Putative Class Member
    A magistrate judge in Kansas denied the defendant’s request to conduct discovery of putative class members via a voluntary questionnaire. Plaintiff Hapka filed a class action against home health care provider CareCentrix stemming from a…
Rank this Week: 4162

Securities Law Blog

Securities Law Blog

Covers securities law. By Fitapelli | Kurta.

https://www.securities-law-attorney.com/
  • Aug 25

    Timothy Miller Has Received Three Customer Complaint

    Timothy Miller Has Received Three Customer Complaint
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 23, 2017 indicate that Wisconsin-based TradingBlock broker Timothy Miller has received several customer disputes. Fitapelli…
  • Aug 25

    John Conroy Has Received Three Regulatory Sanction

    John Conroy Has Received Three Regulatory Sanction
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 23, 2017 indicate that New York-based Andrew Garrett Inc. broker/adviser John Conroy has received several customer disputes.…
  • Aug 25

    Richard Botkin Has Been Sanctioned by FINRA

    Richard Botkin Has Been Sanctioned by FINRA
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 23, 2017 indicate that California-based Stifel Nicolaus broker/adviser Richard Botkin has been sanctioned by FINRA and suspended…
Rank this Week: 4189

Securities Fraud Lawyer Blog

Securities Fraud Lawyer Blog

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

https://www.securitiesfraudlawyerblog.net/
  • Aug 27

    Sonya Camarco Charged by SEC

    Sonya Camarco Charged by SEC
    Sonya Camarco charged with Fraud by SEC SEC alleges over $400,000 in client funds used to pay credit card bills The securities attorneys at The Law Office of David Liebrader have opened an investigation into the securities related conduct of…
  • Aug 17

    Ernest Romer Barred by FINRA: Pending Investigation

    Ernest Romer Barred by FINRA: Pending Investigation
    Ernest Romer has been barred by FINRA; Update August, 2017: Michigan seeks cease and desist, intent to bar. On August 16, 2017 the state of Michigan’s Securities Division issued a notice of intent to revoke the securities licensing of…
  • Aug 17

    William Jordan Investments Investigation

    William Jordan Investments Investigation
    William Jordan Investments Barred by California DBO; Bankruptcy Filing! On August 16, 2017 the State of California’s Department of Business Oversight announced a consent order and issued a bar which prevents William Jordan Investments…
Rank this Week: 4230

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: 4197

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: 4348

Special Situations Law

Special Situations Law

By Norton Rose Fulbright. Covers shareholder activist and defence mandates, as well as complex reorganization transactions.

http://www.specialsituationslaw.com/
  • Sep 18

    Defamation lawsuits as a defence to shareholder activism

    Defamation lawsuits as a defence to shareholder activism
    Activist investors engaged in proxy fights typically mount aggressive public relations campaigns in order to undermine shareholder confidence in a target company’s performance and leadership, whether through social media, online forums…
  • Sep 8

    Expect the Unexpected: What Boards can do to Plan for Crise

    Expect the Unexpected: What Boards can do to Plan for Crise
    As a standard precaution, boards should take steps to handle potential crises before one arises. This is particularly so in light of the increasing risk of cybercrime and privacy breaches, and the broader impact of negative social media…
  • Aug 21

    Investors heating up the conversation on climate change

    Investors heating up the conversation on climate change
    Shareholders are placing increased value on non-financial factors when making investment decisions. Some of these factors are environmental and social issues. In particular, shareholder proposals on climate change have recently gained some…
Rank this Week: 4441

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: 4668

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: 4624

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: 4655