- First Allied Securities agrees to pay nearly $2 Million to settle Securities Fraud charges of failing to supervise Broker
- Finra releases 2010 annual examination priorities
- $67 Million Fair Fund allocated to McAfee Investors for financial fraud settlement
- SEC launches Proxy Matters - a web page for Investor Investor Education
- Boca Raton resident sentenced in Securities Fraud and Mortgage Fraud Scheme
- State Street Bank agrees to settle investor fraud charges for additional $300 million
- Securities Fraud complaint filed against Securities America
- SEC adopts new rule set for money market funds; increases investor protection
- Ex-CEO of military contracting firm accused of defrauding company nearly $200 million
- Disbarred lawyer Scott Rothstein Pleads guilty to 1.2 Billion Ponzi Scheme in South Florida
- Seven Wall Street Professionals and Attorneys are indicted for Insider Trading
- Happy New Year - 2010
- Former Chairman found guilty on securities fraud charges for $8.6 billion fraud
- Financial Services Divsion - Investment Fraud Seminar a Success
- Investing in a Post Madoff Environment: Financial Fraud Seminar for Industry Professionals
- Florida Investor Protection Act takes center stage against Securities Fraud
- Wamu Investment fraud case moves forward
- SEC Enforcement Division needs to make massive changes according to Office of Inspector General Report
- Lowes Home Improvement settles overtime class action suit for nearly $30 million
- Judge rejects SEC and BofA Settlement of $33 million for Merrill takeover
- FINRA Arbitration against Ameriprise Financial Services
- I love Dilbert
- Broker using stolen identity pleads guilty
- Barry Kaye – King of Life Settlements – is under fire
- Allen Stanford complains about poor conditions in Jail while awaiting trial
- Morgan Stanley Executive sentenced in securities fraud and kickback scandal
- Former Credit Suisse Group AG broker stands trial in New York for ARS fraud
- DC Court of Appeals agrees and disagrees with SEC on Equity Index Annuities
- PIABA proposed rule change regarding the arbitration panel makeup is too extreme
- SEC Charges Beazer Homes Accounting Officer with fraud
- FINRA proposes changes to suitability and "know your customer" rules
- Governor Crist signs Investor Protection Bill into law to protect Floridians
- Interesting Perspective on Arbitration measures for Securities Issues
- Five Tips Widows can use for Financial Guidance and Respect from Financial Advisors
- Florida Judge orders former CEO to pay $9.95 Million for Penny Stock fraud
- Allen Stanford charged with stealing Billions from Investors
- Investor Protection Educational series for Seniors is launched by FINRA
- Aura Financial Services charged by SEC with Churning
- Fund Manager defrauds Investors out of $6 million
- Starbucks wins on appeal - $100 million tip sharing verdict reversed
- Countrywide Executives must face the music for deception and fraud
- Four Simple Things all Investors can do to protect against stock fraud
- The cool thing about being a lawyer
- Steps Investors can take to protect against Fraud
- Earth Day and steps to be eco friendly at work - Podcast
- Fraudsters Pray With Their Victims, Then Prey on Them
- Up Front Bonus Loans and Laid Off Brokers
- Arbitration and Investors - From the Courtroom Podcast
- Broker Commissions may save the day for Stanford Ponzi Scheme Investors
- How to Avoid a Ponzi Scheme - "From the Courtroom" Podcast with Marc Dobin
- Investors left out in the cold by Ponzi Schemes
- NY Attorney General sues J. Ezra Merkin over $2.4 billion investor losses in Madoff Ponzi Scheme
- Welcome to LaBovick & LaBovick, P.A. family of Blogs
- Big Changes for The Law Planet
- I Love Dilbert! A New Form of Insult
- "Manifest Diregard" May Disappear From Motions to Vacate Securities Arbitration Awards
- An "Explanation" of the Economic Crisis
- Bernard Madoff Guilty Plea is Just the Beginning
- Stanford Financial Group, Madoff and Others Teach Lessons
- Will The Xlink Bluetooth Adapter Kill Landlines?
- SEC Rule 151a Fixes A Problem
- As Rome Burned - John Thain Bought New Fiddles
- A Year End Laugh is Good for Everyone
- One Lawyer's Good Advice On Changing Firms
- Pres-Elect Obama Chooses A "Diplomat" To Run SEC
- Ponzi Schemes - They're Too Good To Be True
- Thoughts on the Citigroup bailout.
- Equity Index Annuities - The Roach Motel Gets Regulated
- FINRA Arbitrators Take a Bite Out of Claimant's Counsel
- Proof That Someone Has Too Much Time
- U-5 Reporting - Termination Reasons With a Distinction
- Dilbert Invents a New Brokerage Marketing Scheme
- Lehman Brothers Brokers Protest.
- Bankruptcy Commentator May Have The Solution
- Product Marketers For Aciphex Need a Cunning Linguist
- Why Having a Big Firm May Not Be The Cure
- Another FINRA Arbitration Pilot Program, Another Waste of Time
- Securities Regulator Takes Active Stance on U-5 Expungements
- U-4 and U-5 Expungements - FINRA's View
- Can't Write It? Jott It.
- SEC Victorious in Next Financial Customer Information Case
- FINRA Cracks Down On Phony Authorship
- I'm Quoted in Registered Rep Magazine
- NY Court Upholds U-5 Immunity
- FINRA Changes Arbitration Hearing Practices
- Head Shaving To Cure Cancer
- Why The iPhone Won't Control The World
- FINRA, Formerly NASD, Gets Serious About Enforcing Fines
- U.S. Supreme Court Allows 401(k) Claims
- SEC Seeks To Change Broker Transfer Procedures
- Digital Television Is Coming! Digital TV Is Coming!
- Job Failures Result In Big Rewards
- FINRA Closes The Expungement Loophole Some More
- Subprime Meltdown - Cleaning Up After The Circus Has Left Town
- Something For Nothing - Free Software Every Day
- The 21st Century Way To Bank - Remote Deposit
- First Thing We Do, Let's Praise All The Lawyers
- Hooray For SIFMA! Sanity In The News.
- Heresy In The Practice Of Law - No Billable Hours!
- A Black Friday Retrospective
- Get Your Broker's History For Free
- Morgan Stanley Fined For Hiding Emails.
- The Case for Standby Email Accounts
- Broker Transfer Tactics Get SEC Scrutiny
- Electronic Document Management - A Practical Application
- Feingold-Johnson Bill to Eliminate Consumer Arbitration.
- Unregistered Securities Sales - Buyer Beware
- Domestic Service Employees Are Exempt from Overtime Requirements under the FLSA
- Hedge Fund Collapse Featured on YouTube
- Technology Abuse Redux
- Changes in Technology - The View From an Old Guy
- Two Bear Stearns Hedge Funds File for Bankruptcy
- "Old" New NASD name is a "no go."
- Form U-4 Disclosure Requirements for Stockbrokers - Remember Box 28
- Mutual Fund B Shares Examined by NASD
- Faulty Data Leads to Faulty Conclusions
- Wrap Fee Accounts Are Sill in The News.
- Equity Index Annuities - A Roach Motel For Your Money
- Stockbroker Form U-5 Defamation Claims in New York – down but not out.
- Mandatory Securities Arbitration - It's not dead yet.
Archives
- March 2010
- February 2010
- January 2010
- November 2009
- October 2009
- September 2009
- August 2009
- July 2009
- June 2009
- May 2009
- April 2009
- March 2009
- February 2009
- January 2009
- December 2008
- November 2008
- October 2008
- September 2008
- August 2008
- July 2008
- June 2008
- May 2008
- April 2008
- March 2008
- February 2008
- January 2008
- December 2007
- November 2007
- October 2007
- September 2007
- August 2007
- July 2007
- June 2007
Subscribe 
Search this Blog
Recent Entries
- March 8, 2010 8:19 PM
First Allied Securities agrees to pay nearly $2 Million to settle Securities Fraud charges of failing to supervise Broker First Allied Securities, Inc, a San Diego-based broker-dealer, was charged with failing to reasonably supervise one of its registered representatives. The Broker engaged in unauthorized fraudulent trading in the accounts of two Florida municipalities. The Securities Exchange Commission (SEC) reports that First Allied has agreed to settle the charges for nearly $2 Million - March 3, 2010 10:08 PM
Finra releases 2010 annual examination priorities The Financial Industry Regulatory Authority (FINRA) released a 16-page letter announcing that it is issuing its 2010 annual examination priorities, on March 1st. The letter includes information on both new and existing areas of importance to FINRA’s yearly examination program. The letter discusses priority topics from FINRA’s Market Regulation and Member Regulation Departments, and the organization’s Enforcement Department. - February 23, 2010 2:53 AM
$67 Million Fair Fund allocated to McAfee Investors for financial fraud settlement If you are a Mcfee, Inc., investor, we have good news for you. The Securities and Exchange Commission has announced distribution of approximately $67 million to over 16,000 investors in connection with McAfee, Inc. financial fraud settlements. - February 22, 2010 3:42 AM
SEC launches Proxy Matters - a web page for Investor Investor Education As an investor, do you fully understand the power and meaning of your proxy in corporate elections? The Securities and Exchange Commission is taking steps to educate investors on proxy voting and support greater investor participation in corporate elections. - February 15, 2010 2:36 AM
Boca Raton resident sentenced in Securities Fraud and Mortgage Fraud Scheme by 3 years’ of supervised release for securities fraud, mortgage fraud, and tax fraud, according to the Justice Department and Internal Revenue Service (IRS). Restitution for the victims have not yet been determined by the Court.
Legal Blogs
- Whistleblower Law Blog (LaBovick & LaBovick)
- LaBovick Injury Law Blog (LaBovick & LaBovick)
- NFA Gun Trust Lawyer Blog (David M. Goldman)
- Jacksonville Divorce Lawyer Blog (Wood, Atter & Wolf)
- Georgia Criminal Defense Blog (Conaway, Strickler & Margolis)
- Employment Lawyer Blog (Joseph, Herzfeld, Hester & Kirschenbaum)
- The Education Business Blog (Headway Strategies)
- Justia Law Review (Ken Chan & Tim Stanley)
- Special Assets Lawyer Blog (Dick Rogan)
- Tennessee Employment Lawyer Blog (The Higgins Firm)
- Florida Criminal Lawyer Blog (Leifert & Leifert)
- Los Angeles Employment Attorney Blog (Bruce Abel)
- Contracts Blog (Ken Chan)
- The Common Scold (Monica Bay)