Securities Law Blog Roundup

Blog Roundup: The latest posts from securities law related blogs:

SECLaw.com:
 

By now, most registered representatives are aware that FINRA has been actively investigating the backgrounds of registered persons for undisclosed judgments and liens. There have been questions as ...
I have been representing targets and witnesses in securities fraud investigations and litigation for decades. I have litigated the aftermath of Ponzi schemes, pump and dumps and bubbles for...

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FINRA seeks comment on establishing a roster of arbitrators with additional training and specific backgrounds or experience from which a panel would be selected to decide an associated person’s...

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The Securities and Exchange Commission obtained an emergency asset freeze to halt a fast-moving Initial Coin Offering (ICO) fraud that raised up to $15 million from thousands of investors since...

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It looks like the Protocol for Broker Recruiting,  the agreement which put an end to expensive suits between brokers and firms, is falling apart. Having represented firms and brokers in...

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Business Law Professor:

The twelfth annual meeting of the Law and Entrepreneurship Association (LEA) will occur on February 9, 2018 at the University of Alabama School of Law The LEA is a group of legal scholars intereste...
While I was in France last week touring and attending an academic conference, a French music legend died and was mourned. Johnny Hallyday, the King of French rock 'n' roll (known widely as the "Fre...
"Women, minorities capture most new board seats for first time" https://t.co/r8UYszNRoD ht @narineweldon #corpgov— Stefan Padfield (@ProfPadfield) December 7, 2017 "An artificial intelligence progr...
The SEC’s Investor as Owner Subcommittee of the Investor Advisor Committee has just posted a discussion draft regarding dual class share structures in advance of the December 7 meeting at which suc...
I have had an opportunity to read the oral argument transcript (112 pages) from Tuesday's oral argument in the Masterpiece Cakeshop case. One of the first things that struck me was that it seemed p...

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