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Tim O'Connor's Blog

Tim O'Connor's Blog

Covers stockbroker fraud.

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

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

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

    Inherited IRA’s – Know Your Rights?

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

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

    Non-Purpose Loans and Securities Backed Loans (SBL’s) – An Accident Waiting to Happen
    Many brokerage firms have been promoting non-purpose loans, resulting in abusive sales practices and supervisory violations associated with the aggressive marketing of these lending arrangements.  Brokerage firms suggesting that…
Rank this Week: 3461

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: 1968

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: 1554

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: 2985

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: 2548

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: 1983

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: 1722

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: 1808

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

http://www.hedgefundlawblog.com
  • Aug 23

    Cole-Frieman & Mallon 2017 Second Quarter Update

    Cole-Frieman & Mallon 2017 Second Quarter Update
    Below is our quarterly update which went out via email today to our firm’s clients and friends. **** August 23, 2017 Clients, Friends, Associates: We hope you are enjoying the summer. Although the second quarter is typically not as busy…
  • Aug 1

    Hedge Fund Events August 2017

    Hedge Fund Events August 2017
    The following are various hedge fund events happening this month. Please email us if you would like us to add your event to this list **** August 2, 2017 Sponsor: NYHFR Event: From Trader to Whistleblower: How Tom Hardin Wound Up at the…
  • Jul 25

    SEC Issues Cryptocurrency/Digital Asset/ICO Report

    SEC Issues Cryptocurrency/Digital Asset/ICO Report
    By: Bart Mallon (Co-Managing Partner of Cole-Frieman & Mallon LLP) Certain Digital Assets are Securities Based on “Facts and Circumstances” As has been widely anticipated by the cryptocurrency community, the SEC has…
Rank this Week: 3727

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: 2247

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: 4407

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: 2004

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: 2572

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: 1991

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: 1895

Footnoted

Footnoted

Reports on actionable information in SEC filings.

http://www.footnoted.com/
Rank this Week: 2468

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: 2110

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • Apr 17

    REPRESENTING ELDERS AND ATHLETES

    REPRESENTING ELDERS AND ATHLETES
    It wouldn’t seem likely that elders and athletes would have much, if anything, in common.  But they do.  They are frequently blessed with substantial semi-liquid assets, and are therefore the targets of fraudulent or reckless…
  • Mar 24

    Kokesh v. SEC: Implications for the Statute of Limitations for Missouri Securities Enforcement Action

    Kokesh v. SEC: Implications for the Statute of Limitations for Missouri Securities Enforcement Action
     Kokesh v. SEC, Docket No. 16-529 (oral argument date April 18, 2017) – Implications for the Statute of Limitations for Missouri State Securities Enforcement Actions.By John R. Phillips, Counsel for Cosgrove Law Group, LLC and…
  • Feb 24

    Get Your Own Lawyer, Darn It!

    Get Your Own Lawyer, Darn It!
    Financial advisors facing an arbitration claim or regulatory inquiry often count on their broker-dealer or registered investment advisor for legal counsel. These “employers” will frequently provide them with an ostensibly…
Rank this Week: 4448

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: 1925

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
  • 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…
  • Jan 17

    The Insider Trading Cartoon Series, Vol. 14 -- United States v. Newman (Part 1)

    The Insider Trading Cartoon Series, Vol. 14 -- United States v. Newman (Part 1)
    Cady Bar the DoorThe U.S. Court of Appeals for the Second Circuit shook the insider trading world in 2014 when it issued United States v. Newman , 773 F.3d 438 (2d Cir. 2014). The court addressed the knowledge required for liability of remote…
Rank this Week: 3504

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: 2074

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: 2007

Sharesleuth.com

Sharesleuth.com

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

http://sharesleuth.com/
Rank this Week: 2249

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: 3815

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: 1120

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: 3296

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: 2537

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: 3293

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: 4118

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: 3447

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: 3954

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: 2899

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: 3939

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: 3237

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: 2896

About Broker Fraud Blog

About Broker Fraud Blog

Covers compliance rules, duty of disclosure, elder abuse and fraud. By the Hayes Law Firm.

http://aboutbrokerfraud.typepad.com/about_broker_fraud_blog/
  • Dec 6

    SEC Freeze Assets in Alleged Diamond-Themed Ponzi Scheme

    SEC Freeze Assets in Alleged Diamond-Themed Ponzi Scheme
    The SEC alleges that Richard Dalton and Universal Consulting Resources LLC (UCR) raised approximately $17 million from investors for two fraudulent offerings. The programs were generally referred to as the “Trading Program” and the…
  • Sep 28

    Arbitrators Award Ten Times Amount of Investment in Auction Rate Securities Case

    Arbitrators Award Ten Times Amount of Investment in Auction Rate Securities Case
    Last month an arbitration panel ordered the investment firm USB financial to pay over $80 million in consequential investments to Kajeet, Inc., a company who markets cellphones for kids. Kajeet’s award fell short of the $110 million…
  • Aug 30

    Raymond James Must Buy Back Auction Rate Securitie

    Raymond James Must Buy Back Auction Rate Securitie
    A Texas couple got some great news last week from the FINRA arbitration panel that ruled on their claim. The panel ruled that the Raymond James Financial Inc. and broker Larry Milton must buy back some $925,000 worth of auction…
Rank this Week: 1127

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: 2248

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: 1514

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: 2970