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The Securities Law BlogSecurities law, news and commentary from top securities regulation, litigation and arbitration attorneys.
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The Securities Law Blog | seclaw.blogspot.com Reviews
https://seclaw.blogspot.com
Securities law, news and commentary from top securities regulation, litigation and arbitration attorneys.
seclaw.blogspot.com
The Securities Law Blog: How Do I Respond to a Wells Notice?
http://seclaw.blogspot.com/2014/08/how-do-i-respond-to-wells-notice.html
The Securities Law Blog. News and commentary on the law of the financial markets. From SECLaw.com, online since 1995, updated daily. Saturday, August 16, 2014. How Do I Respond to a Wells Notice? Last week we discussed how to deal with an SEC investigative subpoena. As that investigation progresses, and if it does not go well, the next step is a letter known as a "Wells Notice.". Except where the nature of the case precludes, a prospective defendant or respondent should be notified of the substance of th...
The Securities Law Blog: SEC Charges Former Software Executive With FCPA Violations
http://seclaw.blogspot.com/2015/08/sec-charges-former-software-executive.html
The Securities Law Blog. News and commentary on the law of the financial markets. From SECLaw.com, online since 1995, updated daily. Wednesday, August 12, 2015. SEC Charges Former Software Executive With FCPA Violations. In a parallel action, the U.S. Department of Justice today announced a criminal action against Garcia. According to the SEC’s order instituting a settled administrative proceeding:. The scheme lasted from 2009 to 2013. In an e-mail to one government official, Garcia attached a letter on ...
The Securities Law Blog: What Is Our Attention Really Worth?
http://seclaw.blogspot.com/2015/08/what-is-our-attention-really-worth.html
The Securities Law Blog. News and commentary on the law of the financial markets. From SECLaw.com, online since 1995, updated daily. Tuesday, August 4, 2015. What Is Our Attention Really Worth? Attention is a currency. We choose how to spend it, just like we spend our time and money. But unlike money, there’s no way to store attention for later use. Subscribe to: Post Comments (Atom). Broker Bests UBS on Deferred Comp. Sallah Astarita and Cox, LLC. How Do I Respond to a Wells Notice. UBS Puerto Rico Inve...
The Securities Law Blog: SEC's Use of Administrative Hearings Under Fire
http://seclaw.blogspot.com/2014/08/sec-use-of-administrative-hearings.html
The Securities Law Blog. News and commentary on the law of the financial markets. From SECLaw.com, online since 1995, updated daily. Wednesday, August 27, 2014. SECs Use of Administrative Hearings Under Fire. The New York Times has an article on the SEC's administrative hearing. Process, which is grossly unfair to the respondents - The S.E.C.’s Use of the ‘Rocket Docket’ Is Challenged. Criticism of the S.E.C. for using administrative proceedings. Was highlighted by Gretchen Morgenson in The New York Times.
The Securities Law Blog: UBS Willow Fund Investors Filing Arbitrations
http://seclaw.blogspot.com/2013/04/ubs-willow-fund-investors-filing.html
The Securities Law Blog. News and commentary on the law of the financial markets. From SECLaw.com, online since 1995, updated daily. Monday, April 15, 2013. UBS Willow Fund Investors Filing Arbitrations. A CLASSIC CASE OF RISKY DERIVATIVE BETS GONE BAD. The Willow Fund’s exposure to credit default swaps. It has been reported that UBS Willow Fund investors are expected to receive pennies on the dollar after liquidation of the fund. Like UBS, have a legal obligation to ensure that when offering and selling...
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Secure Financial Services, Inc. Securities Analysis Services
http://www.tradeanalysis.com/resources.asp
The SFS Profit and Loss Analysis. Is derived from data found in an account's transaction history, primarily monthly statements, and trade confirmations. The P&L reports provide a comprehensive review of an investment portfolio's activity during a particular time frame. Further analysis of an account is possible with Customized Analyses. Which take a more focused look into a particular segment of an account, offering a target approach to damages review. Missing Statements: Available Options to Consider.
Antitrust | Federal Securities Law Source
http://www.fedseclaw.com/articles/antitrust
Published By Porter Wright. Information on federal securities law, news and developments. Subscribe to Antitrust RSS Feed. World’s top banks plead guilty to gaming foreign-currency markets. May 22, 2015. The Bandits’ Club gets its due. October 10, 2014. Porter Wright launches Antitrust Law Source. September 8, 2014. We wanted to take a moment to announce our newest endeavor, Antitrust Law Source. The site is prepared by members of our firm’s Antitrust Practice Group. Privacy and data security. We encoura...
FCPA officials point to dollars-and-cents benefits to self-disclosure and cooperation | Federal Securities Law Source
http://www.fedseclaw.com/2015/03/articles/foreign-corrupt-practices-act/fcpa-officials-point-to-dollars-and-cents-benefits-to-self-disclosure-and-cooperation
Published By Porter Wright. Information on federal securities law, news and developments. FCPA officials point to dollars-and-cents benefits to self-disclosure and cooperation. FCPA officials point to dollars-and-cents benefits to self-disclosure and cooperation. March 19, 2015. Brockmeyer echoed Stokes’ comments and stated that the point is there are significant dollars-and-cents savings for companies that self-disclose. Brockmeyer cited the risks for not reporting violations have soared dramaticall...
General Business News | Federal Securities Law Source
http://www.fedseclaw.com/articles/general-business-news
Published By Porter Wright. Information on federal securities law, news and developments. Archives: General Business News. Subscribe to General Business News RSS Feed. Article sheds light on practice of private equity sponsored borrowers selecting lenders’ counsel. January 6, 2016. Andrew Ross Sorkin wrote an interesting article. Recent litigation illustrates the importance of keeping accurate stock records. December 22, 2015. December 7, 2015. Late Thursday Attorney General Loretta Lynch announced that ...
Recent Delaware case questions ability of common stockholders to prospectively waive appraisal rights; strictly enforces notice requirement to use drag along right | Federal Securities Law Source
http://www.fedseclaw.com/2015/03/articles/delaware-news/recent-delaware-case-questions-ability-of-common-stockholders-to-prospectively-waive-appraisal-rights-strictly-enforces-notice-requirement-to-use-drag-along-right
Published By Porter Wright. Information on federal securities law, news and developments. Recent Delaware case questions ability of common stockholders to prospectively waive appraisal rights; strictly enforces notice requirement to use drag along right. Recent Delaware case questions ability of common stockholders to prospectively waive appraisal rights; strictly enforces notice requirement to use drag along right. March 31, 2015. Michael C. Halpin, Et. Al. v. Riverstone National, Inc. Involved plaintif...
Delaware News | Federal Securities Law Source
http://www.fedseclaw.com/articles/delaware-news
Published By Porter Wright. Information on federal securities law, news and developments. Subscribe to Delaware News RSS Feed. Delaware Courts continue scrutiny of disclosure only settlements in M&A litigation. January 28, 2016. On Jan. 22, 2016, the Delaware Court of Chancery released its opinion in In re Trulia Stockholder Litigation. Recent Delaware case questions ability of common stockholders to prospectively waive appraisal rights; strictly enforces notice requirement to use drag along right. 1 The...
World’s top banks plead guilty to gaming foreign-currency markets | Federal Securities Law Source
http://www.fedseclaw.com/2015/05/articles/sec-news/worlds-top-banks-plead-guilty-to-gaming-foreign-currency-markets
Published By Porter Wright. Information on federal securities law, news and developments. World’s top banks plead guilty to gaming foreign-currency markets. World’s top banks plead guilty to gaming foreign-currency markets. May 22, 2015. SEC Settlements: Policy, Issues and Disputes. Criminal Charges in Securities Cases. Foreign Corrupt Practices Act. SEC Settlements: Policy, Issues and Disputes. Tweets from https:/ twitter.com/PorterWright/fedsec-law-source. Business Law Prof Blog. Truth on the Market.
Dodd-Frank Act | Federal Securities Law Source
http://www.fedseclaw.com/articles/dodd-frank-act
Published By Porter Wright. Information on federal securities law, news and developments. Subscribe to Dodd-Frank Act RSS Feed. Commodities trader found guilty in first spoofing prosecution. November 5, 2015. US Court of Appeals reaffirms April 2014 decision on the conflict minerals rules. August 21, 2015. Its previous decision by a 2-1 vote. SEC proposed rules for compensation clawback policies. July 24, 2015. The SEC has proposed rules. That require the securities exchanges to adopt rules that in turn ...
A.M. Santos Law, Chtd.: SEC Lifts Rule 506 Solicitation and Advertising Ban pursuant to JOBS Act
http://amsantoslaw.blogspot.com/2013/07/sec-lifts-rule-506-solicitation-and.html
Securities Law; Civil Litigation; and Bankruptcy Law articles by Antony M. Santos. Wednesday, July 10, 2013. SEC Lifts Rule 506 Solicitation and Advertising Ban pursuant to JOBS Act. The new rules become effective 60 days after publication in the Federal Register. During this 60 day period the rules will be subject to public comment. The JOBS Act also required the SEC to formulate and implement rules that “require the issuer to take reasonable steps to verify that purchasers of the securities are a...
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In less than 4 minutes, you will know how to protect your passwords. Always have your passwords at hand. Stay in the loop with our newsletter! GET ON TOP OF YOUR PASSWORDS. Have you got too many passwords to remember? Don't you feel completely safe with your current solution for managing passwords? We, the founders here at Seclave faced this same problem. That’s why we created Seclave. Olle Segerdahl, Security Specialist. Terms, Conditions and Cookies.
Securities Law
This site is meant to provide information to the public about legal issues related to securities law. Terms of Use and Privacy Policy. Richard W. Jones. Mr Jones is an attorney with the Atlanta,Georgia law firm of Jones and Haley,P.C. Mr. Jones concentrates his practice on securities law matters,such as public offerings,IPO's,private placements,SEC compliance,broker/dealer and investment adviser regulation and hedge funds. For further information go to. Contact Richard W. Jones. As is so often the case i...
The Securities Law Blog
The Securities Law Blog. News and commentary on the law of the financial markets. From SECLaw.com, online since 1995, updated daily. Friday, August 14, 2015. Be Prepared - Clients Now Asking About Compliance Procedures. I still found it interesting that a recent survey conducted by the Wall Street Journal fournd that a significant number of securities professionals reported that prospective clients asked to review their firm's compliance policies or to interview compliance personnel. Links to this post.
The Securities Law Home Page
SECLaw.com has been online since 1995 and is the result of the work of noted securities attorney Mark Astarita. Tips for Responding to an SEC Subpoena. Parking Stock Is Illegal. It seems that every once in a while securities professionals need to be reminded that conduct that they think is done in the "ordinary course of business" is actually a securities law violation, with significant consequences. Introduction to Securities Arbitration. Registration and Regulation of Investment Advisors. Less FINRA re...
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