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Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Oct 17

    FINRA Suspends 30+ Representatives in October

    FINRA Suspends 30+ Representatives in October
    According to the Financial Industry Regulatory Authority’s (FINRA) record of disciplinary actions issued in October, more than thirty brokers and/or investment advisers were reported in that month as suspended from associating with…
  • Oct 17

    FINRA Bars 20+ Representatives in October

    FINRA Bars 20+ Representatives in October
    According to the Financial Industry Regulatory Authority’s (FINRA) record of disciplinary actions issued in October, more than twenty dozen brokers and/or investment advisers were reported in that month as barred from associating with…
  • Oct 17

    Kenneth Jones Was Recently Sanctioned Following an Investigation by FINRA

    Kenneth Jones Was Recently Sanctioned Following an Investigation by FINRA
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 17, 2017 indicate that former New York-based Aegis Capital broker Kenneth Jones has been sanctioned by FINRA and barred from…
Rank this Week: 21

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 16

    Wells Fargo & Co to Return $3.4 million to Customer

    Wells Fargo & Co to Return $3.4 million to Customer
    FINRA Sanctions Wells Fargo for Risky ETPs According to reports on Monday, the Financial Industry Regulatory Authority (FINRA) ordered Wells Fargo & Co. to return $3.4 million to customers after selling them inappropriate investment…
  • Oct 13

    Steven John Meyer Barred from Securities Industry

    Steven John Meyer Barred from Securities Industry
    Steven John Meyer, Recovery of Investment Losses According to the Financial Industry Regulatory Authority, Steven John Meyer of Staten Island, New York, has been barred from the securities industry. In August, Steven John Meyer was barred by…
  • Oct 12

    Variable Annuity Switching – Securities Fraud Lawyer

    Variable Annuity Switching – Securities Fraud Lawyer
    Investment Losses due to Variable Annuity Switching Have you been a victim of Variable Annuity Switching? If so, The White Law Group may be able to assist you in the recovery of your investment losses. An annuity is a form of insurance that…
Rank this Week: 39

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: 41

New York Securities Lawyer Blog

New York Securities Lawyer Blog

Covers securities law. By Lax & Neville LLP.

http://www.newyorksecuritieslawyerblog.com/
Rank this Week: 46

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: 100

InvestorLawyers.net

InvestorLawyers.net

Covers the right to recover money from dishonest stockbrokers and investment advisers.

http://www.investorlawyers.net/blog/
Rank this Week: 99

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: 52

Investment Fraud Information

Investment Fraud Information

By Andrew Stoltmann.

http://www.investmentfraudtimes.com/securities-fraud-attorneys/
  • Oct 16

    Jamil Ahmed Entered Into An AWC with FINRA

    Jamil Ahmed Entered Into An AWC with FINRA
    Recently, Jamil Ahmed, a former broker with MSI Financial Services, formerly known as MetLife, entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA). Allegedly, Ahmed borrowed a…
  • Oct 12

    Marlon Cole and Legend Securities: Can I Recover My Investment Losses With Them?

    Marlon Cole and Legend Securities: Can I Recover My Investment Losses With Them?
    You can by calling 312-332-4200 and speaking to one of our attorneys about your options. We are securities attorneys based in Chicago, Illinois who sue firms like Legend Securities in the Financial Industry Regulatory Authority (FINRA)…
  • Oct 12

    Customer Complaints Against Christopher Wendell and SA Stone Wealth Management

    Customer Complaints Against Christopher Wendell and SA Stone Wealth Management
    Former Ohio-based SA Stone Wealth Management broker Christopher Wendell was recently discharged from the firm. Mr Wendell was terminated following allegations he “violated firm policy regarding selling away, unsuitably invested assets…
Rank this Week: 133

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 15

    On the Meaning of “War”

    On the Meaning of “War”
    Many insurance policies contain a war exclusion precluding coverage for loss caused by war. But in world where violent conflicts involve a wide variety of different groups and parties, what exactly constitutes “war”? In a recent…
  • Oct 11

    D&O Insurance Coverage and the Rise of Appraisal Litigation

    D&O Insurance Coverage and the Rise of Appraisal Litigation
    As I have detailed on this blog (most recently here), due to two Delaware court decisions — the Delaware Supreme Court’s 2015 decision in Corwin v. KKR Financial Holdings LLC  (here) and the Delaware Chancery…
  • Oct 9

    Supreme Court Docket: Is the Leidos Case a “Nothing Burger”?

    Supreme Court Docket: Is the Leidos Case a “Nothing Burger”?
    In a post earlier this month, I summarized the three securities law cases that the U.S. Supreme Court will hear its current term. Among the three cases on the Court’s docket is Leidos, Inc. v. Indiana Public Retirement System. As…
Rank this Week: 185

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: 154

Broke and Broker

Broke and Broker

Covers the Wall Street docket of criminal, civil, regulatory, and arbitration cases. By Bill Singer.

http://brokeandbroker.com/index.php
  • Oct 15

    Securities Industry Commentator

    Securities Industry Commentator
    ...
  • Oct 15

    Securities Exchange Commentator

    Securities Exchange Commentator
    BrokeAndBroker.Com Blog By Bill Singer WEEK IN REVIEW http://www.brokeandbroker.com/3619/brokeandbroker-bill-singer/Wall Street legal, regulatory, and compliance cases and developments analyzed by veteran industry lawyer Bill…
  • Oct 15

    Securities Industry Commentator by Bill Singer, Esq.

    Securities Industry Commentator by Bill Singer, Esq.
    Dazed And Confused By FINRA Private Securities Transaction Rule  http://www.brokeandbroker.com/3622/finra-pst/Among FINRA's more lucrative fine-generating violations is FINRA Rule 3280: Private Securities Transactions of an…
Rank this Week: 151

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/
  • Oct 13

    Oppenheimer Funds and Other Mainland Funds Take Financial Hit in the Wake Up of Hurricane

    Oppenheimer Funds and Other Mainland Funds Take Financial Hit in the Wake Up of Hurricane
    The financial fallout caused by Hurricanes Irma and Maria is being felt not just on the island of Puerto Rico, but in the U.S. mainland as well. Puerto Rico bonds, which were already in trouble prior to the storms because of the…
  • Oct 9

    Barred Broker Accused of Bilking Retirees and Other Investors of $6M

    Barred Broker Accused of Bilking Retirees and Other Investors of $6M
    Leonard Vincent Lombardo, a former broker once employed at Stratton Oakmont, is now charged by the US Securities and Exchange Commission, along with his company and business partner, with involvement in an alleged real estate investment scam…
  • Oct 6

    NY Investment Adviser Charged in $19M Ponzi Scam

    NY Investment Adviser Charged in $19M Ponzi Scam
    The US Securities and Exchange Commission has filed civil charges against Michael Scronic, a New York-based investment adviser accused of defrauding retail investors in a $19M Ponzi scam. According to the regulator, beginning in 2010, Scronic…
Rank this Week: 215

Institutional Investor Securities…

Institutional Investor Securities Blog

Covers investment fraud involving auction-rate securities, credit rating agencies, hedge funds and mortgage-backed securities. By Shepherd Smith Edwards & Kantas.

http://www.institutionalinvestorsecuritiesblog.com/
  • Oct 11

    Barclays Fights $31B Residential Mortgage-Backed Securities Fraud Lawsuit

    Barclays Fights $31B Residential Mortgage-Backed Securities Fraud Lawsuit
    In New York federal court, Barclays PLC (BAC) is trying to get the US government’s civil residential mortgage-backed securities fraud lawsuit against it dismissed. Prosecutors went after the British bank, a number of its affiliates, and…
  • Oct 9

    Deutsche Bank Resolve US Currency Rigging Case for $190M

    Deutsche Bank Resolve US Currency Rigging Case for $190M
    Deutsche Bank AG (DB) has consented to pay $190M to resolve an investor fraud lawsuit accusing the German lender of manipulating prices in the foreign exchange market. Despite settling, however, the bank maintains that it did not engage in…
  • Oct 7

    Former Mortgage Security President Pleads Guilty to Defrauding Ginnie Mae of $2.5M

    Former Mortgage Security President Pleads Guilty to Defrauding Ginnie Mae of $2.5M
    Robert Pena, the president and founder of Mortgage Securities Inc., has pleaded guilty to bilking Government National Mortgage Association (Ginnie Mae) of about $2.5M. The now defunct mortgage company was contracted by the government-run…
Rank this Week: 88

Securities Litigation and…

Securities Litigation and Regulatory Enforcement Blog

Covers SEC investigations, insider trading, derivative actions, white collar defense, and whistleblowers. By Orrick, Herrington & Sutcliffe LLP.

http://blogs.orrick.com/securities-litigation/
Rank this Week: 230

California Securities Fraud Lawyer…

California Securities Fraud Lawyer Blog

Covers securities regulation, fiduciaries, and securities disputes news and updates. Published By Alcala Law Firm.

http://www.californiasecuritiesfraudlawyerblog.com/
  • Oct 5

    October is FINRA Mediation Settlement Month

    October is FINRA Mediation Settlement Month
    During Mediation Settlement Month, FINRA is reducing their standard mediation fees and costs in order to promote the benefits of mediation. As a longtime securities arbitration lawyer, I am a big supporter of mediation to resolve FINRA…
  • Aug 3

    Securities Whistleblower Awarded More Than $1.7 Million by SEC

    Securities Whistleblower Awarded More Than $1.7 Million by SEC
    A company insider was recently awarded more than $1.7 million by the Securities and Exchange Commission pursuant to the SEC’s securities fraud whistleblower program.  Whistleblowers who provide the SEC with original and credible…
  • Jul 31

    Another Securities Arbitration Win for University of San Francisco School of Law

    Another Securities Arbitration Win for University of San Francisco School of Law
    For the past ten years, I have had the pleasure of serving as the supervising attorney for the University of San Francisco School of Law Investor Justice Clinic (IJC). The IJC provides free legal services to financial consumers who wish to…
Rank this Week: 169

Tim O'Connor's Blog

Tim O'Connor's Blog

Covers stockbroker fraud.

http://stockbrokerlaw.com/tim-oconnors-blog
  • 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…
  • 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…
Rank this Week: 58

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: 104

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: 84

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: 114

Ponzitracker

Ponzitracker

Covers Ponzi schemes. By Jordan Maglich.

http://www.ponzitracker.com/
  • Feb 13

    For Galemmo Ponzi Victims, Recovery Chances Depend On Clawback

    For Galemmo Ponzi Victims, Recovery Chances Depend On Clawback
    When a Cincinnati money manager's $100 million Ponzi scheme collapsed over three years ago, authorities seemingly acknowledged the bleak prospects of recovery in declining to seek appointment of a receiver to marshal and gather assets for…
  • Feb 13

    Zeek Rewards Mastermind Sentenced To Nearly Fifteen Years In Prison

    Zeek Rewards Mastermind Sentenced To Nearly Fifteen Years In Prison
    The North Carolina man who drew comparisons to Bernard Madoff for his operation of a Ponzi scheme that duped tens of thousands of victims out of nearly $1 billion learned from a federal judge today that he, like Madoff, will likely spendthe…
  • Oct 17

    Another Cay Clubs Principal Indicted On Bank Fraud And Tax Charge

    Another Cay Clubs Principal Indicted On Bank Fraud And Tax Charge
    A Florida man is facing bank fraud and tax charges for his involvement in the alleged $300 million Cay Clubs Ponzi scheme, making him the third person to be criminally charged in what was one of the largest schemes in Florida history.…
Rank this Week: 176

Perry Krumsiek & Jack Law Blog

Perry Krumsiek & Jack Law Blog

Covers business, health care, intellectual property and media law.

http://pkjlawblog.wordpress.com/
  • Feb 2

    Here’s One Government Program Worth HARPing On

    Here’s One Government Program Worth HARPing On
    If you are one of the hundreds of thousands of Americans permanently traumatized by the government’s highly lauded, but horribly executed, loan modification program, take heart.  I’m here to tell you that there’s another government…
  • Feb 2

    Here’s One Government Program Worth HARPing On

    Here’s One Government Program Worth HARPing On
    If you are one of the hundreds of thousands of Americans permanently traumatized by the government’s highly lauded, but horribly executed, loan modification program, take heart.  I’m here to tell you that there’s…
  • Oct 27

    The Lincoln Lawyer

    The Lincoln Lawyer
    Before Abraham Lincoln became our greatest president, he was a great corporate lawyer.  And before he was a corporate lawyer, he was a brilliant trial lawyer. In the 1840s, Lincoln represented a Revolutionary War widow who had been bilked…
Rank this Week: 242

Recover Investment Losses Blog

Recover Investment Losses Blog

Covers investment scams, broker fraud and broker negligence. By Rex Securities Law.

http://blog.rexsecuritieslaw.com
  • Oct 17

    William W. Marshall-Ameriprise Broker-Discloses 4 Pending Customer Arbitrations-Plano, TX

    William W. Marshall-Ameriprise Broker-Discloses 4 Pending Customer Arbitrations-Plano, TX
    October 2017-Plano, TX The FINRA records of  William W. Marshall ,  a  stockbroker who is currently registered with Ameriprise Financial Services disclose a prior regulatory event, 4 pending customer disputes…
  • Oct 17

    San Antonio Based Investment Professionals Inc. Sanctioned for Unsuitable Advice

    San Antonio Based Investment Professionals Inc. Sanctioned for Unsuitable Advice
    October 2017-San Antonio, Texas San Antonio, Texas, based stock brokerage firm Investment Professionals, Inc.  (IPI)  recently was ordered by William F. Galvin of the Massachusetts Securities Division to pay a $100,000…
  • Oct 16

    VSR Financial Services-How to Recover Damages On Investment Losse

    VSR Financial Services-How to Recover Damages On Investment Losse
    OCTOBER  2017–VSR Financial Services closed down its operations in the Fall of 2016. Many of its brokers and clients have been transferred to Summit Brokerage Services, a related entity which is part of the Cetera Financial…
Rank this Week: 2136

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 17

    Rio Tinto, Former Top Executives Charged With Fraud

    Rio Tinto, Former Top Executives Charged With Fraud
    The Securities and Exchange Commission today charged mining company Rio Tinto and two former top executives with fraud for inflating the value of coal assets acquired for $3.7 billion and sold a few years later for $50 million.The SEC’s…
  • Oct 13

    State-level fines and penalties hit 5-year high | On Wall Street

    State-level fines and penalties hit 5-year high | On Wall Street
    State-level fines and penalties hit 5-year high | On Wall Street:"The SEC has begun to work with the Department of Labor on a fiduciary rule proposal to harmonize the standards of conduct for advisors and broker-dealers, Jay Clayton, the…
  • Oct 13

    More Morgan Stanley Questionable Termination

    More Morgan Stanley Questionable Termination
     Our readers may have missed this article, since the headline does not point out the problem. AdvisorHub has an article regarding a shakeup in the Morgan Stanley offices in Virginia. Apparently there is another shift in Branch Office…
Rank this Week: 472

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/
  • Oct 17

    FCA launches the asset management authorisation Hub

    FCA launches the asset management authorisation Hub
    The FCA has launched a new asset management authorisation hub. The hub is intended to support new firms by assisting them throughout the authorisation process and afterwards. However, the hub will not lower entry standards to the market and…
  • Oct 17

    SONIA reform to be implemented on 23 April 2018

    SONIA reform to be implemented on 23 April 2018
    The Bank of England (BoE) has confirmed that its reforms to the SONIA interest rate benchmark will take effect on Monday 23 April 2018. The reforms will result in: the BoE taking on the end-to-end administration, including the calculation and…
  • Oct 17

    FSB stocktake on cybersecurity regulatory and supervisory practice

    FSB stocktake on cybersecurity regulatory and supervisory practice
    The Financial Stability Board (FSB) has published a report setting out its conclusions following a stocktake on cybersecurity regulations, guidance and supervisory practices which were recently delivered to G20 Finance Ministers and Central…
Rank this Week: 1269

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/
  • Oct 17

    HFM US Hedge Fund Performance Awards 2017

    HFM US Hedge Fund Performance Awards 2017
    We are pleased to announce that Pillsbury has been shortlisted in the category of “Best Onshore Law Firm – Client Service” by HFM Week’s US Hedge Fund Performance Awards 2017. In 2016, we were awarded “Best…
  • 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…
Rank this Week: 2880

Securities Law Blog

Securities Law Blog

Covers securities law. By Fitapelli | Kurta.

https://www.securities-law-attorney.com/
  • 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.…
  • Oct 17

    Larry Toole Received Complaints Regarding Unsuitable Investment

    Larry Toole Received Complaints Regarding Unsuitable Investment
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 13, 2017 indicate that Missouri-based Stifel Nicolaus & Company broker/adviser Larry Toole has received a customer dispute.…
Rank this Week: 1534

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: 4471

Stock Attorneys Blog

Stock Attorneys Blog

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

http://www.stockattorneysblog.com/
  • 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…
  • Oct 10

    Carolina Financial Securities, LLC Fined and Bruce Roberts Sanctioned

    Carolina Financial Securities, LLC Fined and Bruce Roberts Sanctioned
    (FINRA Case #2014040295201) Carolina Financial Securities, LLC (CRD® #41970, Brevard, North Carolina) and Bruce Victor Roberts (CRD #1489110, Brevard, North Carolina) – An Office of Hearing Officers (OHO) decision became final in…
Rank this Week: 3856

Classified: The Class Action Blog

Classified: The Class Action Blog

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

http://classifiedclassaction.com/
Rank this Week: 1437

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Oct 17

    Justices asked to reject government petition in ALJ case

    Justices asked to reject government petition in ALJ case
    By Mark S. Nelson, J.D.David Bandimere filed an opposition to the government’s bid to persuade the Supreme Court to decide the question of whether the SEC’s administrative law judges are appointed consistent with the U.S.…
  • Oct 16

    CFTC chairman, EC VP agree to common approach on trading venue, margin requirement equivalence

    CFTC chairman, EC VP agree to common approach on trading venue, margin requirement equivalence
    By Brad Rosen, J.D.In a significant development towards cross border harmonization with the European Commission, CFTC Chairman J. Christopher Giancarlo announced that the CFTC has agreed to a common approach with the European Commission…
  • Oct 13

    SEC committee considers promises and pitfalls of distributed ledger technologie

    SEC committee considers promises and pitfalls of distributed ledger technologie
    By Anne Sherry, J.D.A morning session of the SEC’s Investor Advisory Committee tackled cryptocurrencies and distributed ledger technology (DLT) and the implications of these emerging technologies on the securities markets. A group of…
Rank this Week: 473

DealLawyers.com Blog

DealLawyers.com Blog

Covers mergers & acquisitions. From editor Broc Romanek, who is also editor of TheCorporateCounsel.net.

http://www.deallawyers.com/Blog/
  • Oct 17

    National Security: Takeaways from the CFIUS Annual Report

    National Security: Takeaways from the CFIUS Annual Report
    CFIUS recently released its “Annual Report to Congress for 2015.”  That’s not a typo – the report was issued much later than in prior years. The report provides an overview of the…
  • Oct 16

    Golden Parachutes: Mitigating the Tax Bite

    Golden Parachutes: Mitigating the Tax Bite
    Payments to executives that are triggered by a change in control can involve a big tax bite if they exceed 3x an executive’s “base amount” of comp as determined under IRC Section 280G’s “Golden…
  • Oct 13

    Revenue Recognition: Deal Terms Address New Standard

    Revenue Recognition: Deal Terms Address New Standard
    Steve Quinlivan has been closely following the impact of FASB’s new revenue recognition standard on the terms of M&A transactions.  Steve recently blogged about a public company acquisition – NYSE-listed Envestnet’s…
Rank this Week: 467

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Oct 17

    Today: “Pay Ratio & Proxy Disclosure Conference”

    Today: “Pay Ratio & Proxy Disclosure Conference”
    Today is the “Pay Ratio & Proxy Disclosure Conference”; tomorrow is the “Say-on-Pay Workshop: 14th Annual Executive Compensation Conference.” Note you can still register to watch online by using your credit card…
  • Oct 16

    What If the Reg Flex Agenda Became “Real”?

    What If the Reg Flex Agenda Became “Real”?
    One of the things that I’ve blogged about more than I would like is how the Reg Flex Agenda is merely aspirational – and people should pay little mind to it (here’s one of my more recent entries). History certainly has borne…
  • Oct 13

    Edgar Vulnerable to “Denial of Service Attacks”!

    Edgar Vulnerable to “Denial of Service Attacks”!
    Recently, I blogged how the SEC’s Edgar is critical to a transparent financial market – and how the recent hack of Edgar is serious business. This Reuters article notes that Edgar could be at risk from “denial of…
Rank this Week: 460

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 17

    Advisor Scott Newsholme Charged with Stealing Investor Fund

    Advisor Scott Newsholme Charged with Stealing Investor Fund
    Scott Newsholme, of Farmingdale New Jersey has been charged by the U.S. Securities and Exchange Commission with stealing more than $1 million from clients. Newsholme was a tax preparer and investment advisor who convinced clients to invest in…
  • Oct 16

    Breach of Fiduciary Duty Investigation of J.J.B. Hilliard, W.L. Lyons, LLC

    Breach of Fiduciary Duty Investigation of J.J.B. Hilliard, W.L. Lyons, LLC
    The firm of J.J.B. Hilliard, W.L. Lyons, LLC was investigated by FINRA for breach of fiduciary duty; negligence, negligent supervision and other securities violations. In a case involving J.J. B. Hillard’s registered representative, all…
  • Oct 13

    Attorneys Settle Negligence Case Against Mark D. Holt aka Mark Holthusen

    Attorneys Settle Negligence Case Against Mark D. Holt aka Mark Holthusen
    Minneapolis, Minnesota – In a case recently settled in FINRA Arbitration, Mark Holt and Harbour Investments, Inc., were accused of negligence, breach of fiduciary duty, unjust enrichment, conversion, civil theft and other securities law…
Rank this Week: 2994

California Corporate & Securities…

California Corporate & Securities Law

Covers California securities law, corporate governance, mergers & acquisitions and securities litigation. By Keith Paul Bishop.

http://calcorporatelaw.com/
  • Oct 17

    What Kind Of California Corporation Must Include A Salary Limitation In Its Articles Or Bylaws?

    What Kind Of California Corporation Must Include A Salary Limitation In Its Articles Or Bylaws?
    I suspect that at least a few California corporate lawyers are unaware of a provision in the California Corporations Code requiring the articles or bylaws of certain corporations to contain a limitation on the salaries paid to…
  • Oct 16

    Filing Statements Of Information Online

    Filing Statements Of Information Online
    Last June, the California Secretary of State’s office announced bizfile California, which it described as “a new online portal to help businesses file, search, and order business records quickly and conveniently from one…
  • Oct 13

    What Is A Foreign Registrant And Why Must They Translate Their Names?

    What Is A Foreign Registrant And Why Must They Translate Their Names?
    Earlier this week, the Securities and Exchange Commission proposed amendments to Regulation S-K, and related rules and forms.  According to the SEC, these are intended to modernize and simplify certain disclosure requirements in a manner…
Rank this Week: 2756

Investor Lawyers Blog

Investor Lawyers Blog

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

https://www.investorlawyers.net/blog/
Rank this Week: 1619

McEldrew Young Blog

McEldrew Young Blog

Covers whistleblower law and wage theft for employees.

http://www.mceldrewyoung.com/blog/
  • Oct 16

    Australia Joint Committee Recommends More Whistleblower Protection

    Australia Joint Committee Recommends More Whistleblower Protection
    Australia appears to have moved one step closer to adopting whistleblower rewards and additional retaliation protections with a report last month by the Parliamentary Joint Committee on Corporations and Financial Services. The report’s…
  • Oct 13

    Simultaneous Surgeries Create Potential Liability for Medical Malpractice, Fraud

    Simultaneous Surgeries Create Potential Liability for Medical Malpractice, Fraud
    The practice of concurrent and overlapping procedures by medical surgeons has come into the spotlight over the past two years due to injuries resulting from the practice. Since this practice can sometimes involve fraud or medical malpractice,…
  • Oct 2

    Telia Settles FCPA Bribery Investigation for $965 Million

    Telia Settles FCPA Bribery Investigation for $965 Million
    The United States has concluded its third-largest FCPA enforcement action with a settlement of $965 million in total penalties (including Dutch and Swedish penalties) by Telia Company AB and its subsidiary, Coscom. The Acting U.S. Attorney of…
Rank this Week: 1353

Securities Law Attorneys Blog

Securities Law Attorneys Blog

Covers securities law. By Fitapelli | Kurta.

http://www.securitieslawattorneys.net/
  • Oct 16

    Dominic Sacca Has Been the Subject of Three Customer Complaint

    Dominic Sacca Has Been the Subject of Three Customer Complaint
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 13, 2017 indicate that former Michigan-based Ameriprise Financial Services broker/adviser Dominic Sacca has received resolved…
  • Oct 16

    Roy McGuffin Was “Permitted to Resign” From Ameriprise Following Alleged Rule Violation

    Roy McGuffin Was “Permitted to Resign” From Ameriprise Following Alleged Rule Violation
    Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 13, 2017 indicate that former Ohio-based Ameriprise Financial Services broker/adviser Roy McGuffin recently resigned from his…
  • Oct 16

    Beatriz Vida Received a Customer Complaint for Breaching Fiduciary Duty

    Beatriz Vida Received a Customer Complaint for Breaching Fiduciary Duty
    Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 13, 2017 indicate that New York-based Morgan Stanley broker/adviser Beatriz Vida has received a pending customer dispute.…
Rank this Week: 1473

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…
  • 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…
  • Sep 22

    Heroes and villains: A review of “The Chickenshit Club” by Jesse Eisinger

    Heroes and villains: A review of “The Chickenshit Club” by Jesse Eisinger
    This is a first for The Securities Edge – a book review.  The book in question is The Chickenshit Club – Why the Justice Department Fails to Prosecute Executives by Jesse Eisinger.  Mr. Eisinger is a writer for Pro…
Rank this Week: 3149

North Carolina Business Litigation…

North Carolina Business Litigation Report

Reports on judicial decisions of significance to business and shareholders. By Mack Sperling of Brooks Pierce LLP.

http://www.ncbusinesslitigationreport.com/
  • Oct 12

    NC Business Court Rules On What Constitutes An "Arbitration"

    NC Business Court Rules On What Constitutes An "Arbitration"
    You've probably never had to decide what it means to agree to arbitrate.  Usually, there is a written provision that references the AAA Rules and includes a consent to AAA's procedures as to the appointment of the arbitrator(s) and the…
  • Sep 6

    Demand Futility Isn't Dead For Derivative Actions Against Non-Profit Corporation

    Demand Futility Isn't Dead For Derivative Actions Against Non-Profit Corporation
    You probably thought that you would never again have to argue that a demand on a corporation's board of directors before filing a derivative action should be excused because it would have been futile.  That's because the North Carolina…
  • Aug 8

    NC Legislature Decides To Legislate Choice Of Law Provisions In "Business Contracts"

    NC Legislature Decides To Legislate Choice Of Law Provisions In "Business Contracts"
    The North Carolina General Assembly has decided to legislate choice of law in commercial transactions.  The new statute, enacted in June, is called the "North Carolina Choice of Law and Forum in Business Contracts Act." It will…
Rank this Week: 873

Federal Securities Law Blog

Federal Securities Law Blog

FedSecLaw.com is devoted to highlighting current issues in securities laws, discussing the ramifications of those issues for today’s businesses, and providing bottom-line takeaways for busy owners, managers, and executives. By Porter Wright Morris & Arthur LLP.

http://www.fedseclaw.com/
  • Oct 12

    Litigation provisions v. arbitration provisions in business contract

    Litigation provisions v. arbitration provisions in business contract
    Arbitration is an increasingly popular method of resolving disputes but drafter of business contracts need to be aware that arbitration may not be suitable for every dispute. The question of whether or not to arbitrate often comes down to…
  • Oct 2

    Delaware limits appraisal rights, but at what cost?

    Delaware limits appraisal rights, but at what cost?
    Back in August 2016, Delaware amended Section 262 of the Delaware General Corporation Law to address the rise of the appraisal arbitrage strategy where certain sophisticated investors would find a target company that is involved in a merger…
  • Sep 7

    Rate increases for issuers registering securitie

    Rate increases for issuers registering securitie
    New rates will take effect at the beginning of the next fiscal year, Oct. 1, 2017, for public companies and other issuers to register their securities with the U.S. Securities and Exchange Commission (SEC). The SEC announced on Aug. 24, 2017,…
Rank this Week: 3914

Business Law Post

Business Law Post

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

http://www.businesslawpost.com
  • Oct 11

    Are Real Estate Syndications Available to Non-Accredited Investors (NY perspective)?

    Are Real Estate Syndications Available to Non-Accredited Investors (NY perspective)?
    A real estate syndication, although a fancy term, simply means pulling money and expertise together to invest in real estate properties.  It often so happens that some people possess the wealth of knowledge about the real estate market…
  • Oct 2

    Cryptocurrency: the Origin and Growth of Coinopoly

    Cryptocurrency: the Origin and Growth of Coinopoly
    Mired in the aftermath of the U.S. financial crisis, the year 2009 may have started one of the largest financial revolutions since the birth of paper currency in 1690. Much like its predecessors, cryptocurrency faces an uphill battle of…
  • Sep 19

    Endorsement Guidelines for Social Media Influencer

    Endorsement Guidelines for Social Media Influencer
    Social media influencers have become an essential component of many marketing campaigns.  Influencers have audience that listens to what they say.  Building a relationship with an influencer enables the brand to reach the…
Rank this Week: 2792

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: 4226

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 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…
  • 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…
Rank this Week: 1263

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: 2386

Securities Compliance Sentinel

Securities Compliance Sentinel

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

http://securitiescompliancesentinel.foxrothschild.com
  • 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…
  • Sep 7

    SEC Still Has Lawyers in its Cross-Hair

    SEC Still Has Lawyers in its Cross-Hair
    It is almost axiomatic that the SEC “enjoys” bringing enforcement actions against lawyers.  The SEC believes that lawyers have a special duty to protect and police the securities markets, and, when a lawyer fails, the SEC is…
Rank this Week: 3408