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Securities Law Prof Blog 
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Post Frequency: 38.1/day Last Entry: March 31, 2011 at 16:18:26 Recent Entries: 3007
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HS3 Technologies Settles Reverse Merger Charges
Posted on March 10, 2009The SEC issued an Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Making Findings, and Imposing a Cease-and-Desist Order against HS3 Technologies, Inc. (HS3). The Order finds that, prior to a November 2005 reverse...
Former CEO and CFO of AstroPower, Inc. Settle Fraud Charges
Posted on March 10, 2009The SEC filed a settled civil fraud action in the United States District Court for the District of Columbia against Allen Barnett, the former CEO, and Thomas Stiner, the former CFO, of AstroPower, Inc., a manufacturer of solar electric power...
Schapiro on New Era of Responsibility
Posted on March 10, 2009Excerpts from SEC Chairman Schapiro's speech at 2nd Annual CCOutreach BD National Seminar, Mar. 10, 2009:At a time when investor confidence may be at an all-time low, the most effective way to raise that confidence, and invigorate our capital markets,...
Madoff Expected to Plead Guilty This Week
Posted on March 10, 2009At a hearing today to consider whether Ira Sorkin, Bernard Madoff's attorney, could continue to represent Madoff despite possible conflicts, Mr. Sorkin told the judge that Madoff is expected to plead guilty later this week to charges that would result...
Cuomo and Frank Demand BofA Reveal Names of $1 Million Bonus Recipients
Posted on March 09, 2009New York State Attorney General Andrew Cuomo and Congressman Barney Frank, Chairman of the House Financial Services Committee, sent today a letter to Bank of America CEO Kenneth Lewis regarding bonuses paid to top executives at BofA and Merrill Lynch...
FINRA Proposes Expansion in TRACE Reporting
Posted on March 09, 2009FINRA proposes a major expansion of its Trade Compliance and Reporting Engine (TRACE) to include debt issued by federal government agencies, government corporations and government sponsored enterprises (GSEs), as well as primary market transactions in new issues...
Senior Supervisors Group Releases Report on Management of CDS Activity
Posted on March 09, 2009The Senior Supervisors Group (which comprises senior financial supervisors from seven countries --United States, Canada, France, Germany, Japan, Switzerland, United Kingdom) today issued a report that assesses how firms manage their credit default swap activities related to the settlement of...
SEC Charges Investment Adviser Made Up Billion-Dollar Client
Posted on March 09, 2009The SEC filed a civil injunctive action against Locke Capital Management, Inc., an investment adviser, and Leila C. Jenkins, its founder and sole owner who currently serves as its President, Chief Executive Officer, and Chief Investment Officer. The Complaint alleges...
Surpreme Court Accepts Cert in 36(B) Excessive Fee Case
Posted on March 09, 2009The U.S. Supreme Court accepted certiorari today in an important case involving a mutual fund holder's ability to challenge the investment adviser's fees as excessive under section 36(b) of the Investment Company Act. In Jones v. Harris Associates, 527 F...
Mitchell on Public Shareholders
Posted on March 08, 2009The Legitimate Rights of Public Shareholders, by Lawrence E. Mitchell, George Washington University - Law School, was recently posted on SSRN. Here is the abstract:In recent years there has been significant ongoing academic debate over the expansion of public shareholders'...
Schwarcz on Financial Safety Net
Posted on March 08, 2009Too Big to Fail?: Recasting the Financial Safety Net, by Steven L. Schwarcz, Duke University - School of Law, was recently posted on SSRN. Here is the abstract:Government safety nets in the United States and abroad focus, anachronistically, on problems...
Bullard on Money Market Funds
Posted on March 08, 2009Federally-Insured Money Market Funds and Narrow Banks: The Path of Least Insurance, by Mercer Bullard, University of Mississippi - School of Law, was recently posted on SSRN. Here is the abstract:In September 2008, the Treasury created a temporary insurance program...
Roe on Washington & Delaware
Posted on March 08, 2009Washington and Delaware as Corporate Lawmakers, by Mark J. Roe, Harvard Law School; European Corporate Governance Institute (ECGI), was recently posted on SSRN. Here is the abstract:American corporate law scholars have long focused on state-to-state jurisdictional competition as a powerful...
SEC Announces Roundtable on Credit Rating Agencies
Posted on March 06, 2009The SEC will hold a roundtable on April 15 relating to its oversight of credit rating agencies. Discussion topics will include issues related to recent SEC rulemaking initiatives, such as conflicts of interest, competition, and transparency. Since Congress enacted the...
Court Unfreezes Many Stanford Accounts
Posted on March 06, 2009On March 5, 2009, the federal district court overseeing the Stanford matter issued an order at the request of Stanford court-appointed receiver Ralph S. Janvey unfreezing approximately 12,000 Stanford investor accounts held at Pershing LLC. The court?s order applies to...
SEC Charges Former Officers of CSK Auto with Accounting Fraud
Posted on March 06, 2009The SEC filed a civil injunctive action in the United States District Court in Phoenix, Arizona against two former senior officers, Martin G. Fraser and Don W. Watson, the former controller, Edward W. O'Brien, and a former supervisor, Gary M....
SEC Sanctions Brokerage Firm for RR's Manipulation
Posted on March 06, 2009The SEC issued administrative Orders against Newbridge Securities Corp (Newbridge) and Eric M. Vallejo. The Orders find that in 2003 and 2004, Newbridge and Vallejo failed reasonably to supervise Newbridge registered representative Daniel M. Kantrowitz while Kantrowitz was engaged in...
SEC Approves ICE US Trust's Operation as CDS Central Counterparty
Posted on March 06, 2009The SEC took action to help improve transparency in the multi-trillion dollar credit default swap market by approving conditional exemptions that will allow ICE US Trust LLC to operate as a central counterparty for clearing credit default swaps. In December...
SEC Obtains Freeze on Los Angeles Firms Alleging Real Estate Investment Fraud
Posted on March 05, 2009NYSE Files Amendment to Rule Change Eliminating Broker Discretionary Voting in Uncontested Elections
Posted on March 02, 2009SEC Sanctions Investment Adviser for Taking Warrants from Hedge Fund Clients
Posted on March 02, 2009Previous | Next
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The Mexico Trucker Blog
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If a person defames me and threatens me to pay a bill that they made and it is posted to others besides myself, can I sue ?
The documentation of your actions in this case pretty much preclude any legal ac...
Is it libel to write blog posts and/or online reviews about a local business that defames one's reputation?
Libel is the form of defamation expressed in fixed-- usually written form. Sland...
How can I make my blog more popular?
You have to write and submit articles, with backlinks to your blogsite....
Can I substitue photo of people in blog
no...
Where can I read more about the latest Compliance Alert issued by the U.S. Securities and Exchange Commission?
You can read more on SEC website http://sec.gov/about/offices/ocie/complialert07...
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UES NYC
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Model example of 1st Amendment suppression by the People of New York City's Michael Bloomberg #OWS #NYPD
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AG Holder lackadaisical on Operation in our Sites domain name seizures & RIAA lobbied free speech suppression @dajaz1
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Why is the Catholic Church going to court over Obama contraception policy? @NewYorker commentary
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Monks sue Louisiana for right to sell caskets made from forrest destroyed by Katrina
On 05-31 at 07:47AM
Are the abortion ultrasound laws headed for the Supreme Court?
On 05-15 at 21:52PM
If a person defames me and threatens me to pay a bill that they made and it is posted to others besides myself, can I sue ?
The documentation of your actions in this case pretty much preclude any legal ac...
Is it libel to write blog posts and/or online reviews about a local business that defames one's reputation?
Libel is the form of defamation expressed in fixed-- usually written form. Sland...
How can I make my blog more popular?
You have to write and submit articles, with backlinks to your blogsite....
Can I substitue photo of people in blog
no...
Where can I read more about the latest Compliance Alert issued by the U.S. Securities and Exchange Commission?
You can read more on SEC website http://sec.gov/about/offices/ocie/complialert07...
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