Corporate & Securities Law Blog Posts from November 19, 2009
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Corporate & Securities Law Posts (November 19, 2009)
Stifel, Nicolaus & Co., AXA Advisors Broker Kenneth Neely Charged In Ponzi Scam
Former Stifel, Nicolaus & Co. and AXA Advisors broker Kenneth Neely pleaded guilty on Nov. 4 to fraud charges connected to operating a Ponzi scheme in which clients from two brokerages - Stifel, Nicolaus & Co. and AXA Advisors - were lured into investing money in Neely?s St. Louis Investment Club and a non-existent real estate investment [...]Posted on Representing Investors on November 19, 2009 at 4:48 PM
Monopoly Pricing of an Antibiotic Subject to Bacterial Resistance
Posted by D. Daniel Sokol Markus Herrmann (Department of Economics, CRÉA, GREEN and CIRPÉE, Université Laval) writes on Monopoly Pricing of an Antibiotic Subject to Bacterial Resistance. ABSTRACT: We develop a dynamic bio-economic model of bacterial resistance and disease transmission...Posted on AntitrustProf Blog on November 19, 2009 at 4:29 PM
House Legislation Would Provide for Extraterritorial Reach of Federal Securities LawsPerhaps obviating the need for US Supreme Court review of a case involving the extraterritorial reach of the federal securities laws, House draft legislation would provide for the transnational reach of the antifraud provisions of the Securities Act, the Exchange Act,
Posted on Jim Hamilton's World of Securities Regulation on November 19, 2009 at 2:16 PM
Google and Legal Search
Google now has a legal search engine. You first have to go to Google Scholar and then selected the “legal opinions and journals” option. I have only taken a quick look but a couple of quick thoughts: this is will be useful if you know the case name (or part of it). However, the inability to search for [...]Posted on Antitrust Review on November 19, 2009 at 12:44 PM
Staying, dropping, or switching : the impacts of bank mergers on small firms
Posted by D. Daniel Sokol Hans Degryse (Tilburg University - Econ), Nancy Masschelein (National Bank of Belgium, Financial Department), and Janet Mitchell (National Bank of Belgium, Financial Department) address Staying, dropping, or switching : the impacts of bank mergers on...Posted on AntitrustProf Blog on November 19, 2009 at 12:25 PM
Competition between TV Platforms
Posted by D. Daniel Sokol Laia Domènech Campmajó (PPRE-IREA, University of Barcelona, Econ) writes on Competition between TV Platforms. ABSTRACT: The aim of this paper is to identify the factors that affect the market penetration of pay television by studying...Posted on AntitrustProf Blog on November 19, 2009 at 10:00 AM
CoHabitat ? Startup Weekend Dallas Launch Party
CoHabitat is hosting the official Startup Weekend Dallas launch party this Friday night. A big thanks to Blake Burris for hosting the event. Where: 2517 Thomas Ave. Dallas 75201 When: Friday, November 20th; 10PM ? 1AM CoHabitat is a startup community and coworking space in Uptown Dallas. It?s a hub for developers, creatives and entrepreneurs [...]Posted on The Startup Lawyer on November 19, 2009 at 8:51 AM
A Dynamic Game of Airline Network Competition: Hub-and-Spoke Networks and Entry Deterrence
Posted by D. Daniel Sokol Victor Aguirregabiria (Toronto - Econ) and Chun-Yu Ho (Georgia Tech - Econ) address A Dynamic Game of Airline Network Competition: Hub-and-Spoke Networks and Entry Deterrence. ABSTRACT: In a hub-and-spoke network, the total profit function of...Posted on AntitrustProf Blog on November 19, 2009 at 4:00 AM
'We are here in a very melancholy Situation': Financial crisis and competition policy
Posted by D. Daniel Sokol Peter Freeman (Competition Commission) spoke to the David Hume Institute on 'We are here in a very melancholy Situation': Financial crisis and competition policy.Posted on AntitrustProf Blog on November 18, 2009 at 9:42 PM
A Question for Our Readers
Posted by D. Daniel Sokol We read a Winnie the Pooh story to our girls tonight before bed. I have often wondered why Winnie the Pooh lives in the house of Mr. Sanders (because it says the name Mr. Sanders...Posted on AntitrustProf Blog on November 18, 2009 at 9:31 PM
NYSE Forms Corporate Governance Commission as Legislation LoomsAgainst the backdrop of pending federal legislation on corporate governance, the NYSE has formed a Commission on Corporate Governance to address U.S. corporate governance reform and the overall proxy voting process for public companies. Chaired by Larry Sonsini of Wilson, Sonsini Goodrich &
Posted on Jim Hamilton's World of Securities Regulation on November 18, 2009 at 8:23 PM
A Decision-Theoretic Rule of Reason for Minimum Resale Price Maintenance
My latest working paper, which bears the same title as this post, is now available on SSRN. In the paper, I address the challenge created by the Supreme Court’s 2007 Leegin decision, which abrogated the 96 year-old rule declaring resale price maintenance (RPM) to be per se illegal. The Leegin Court held that [...]Posted on Truth on the Market on November 18, 2009 at 7:21 PM
Ponzi Schemes Going Green?
According to its website, the SEC has "charged four individuals and two companies involved in perpetrating a $30 million Ponzi scheme in which they persuaded more than 300 investors nationwide to participate in purported environmentally-friendly investment opportunities." At last, the politically correct Ponzi-scheme. Returns overPosted on OverRegd - Securities Regulation and Litigation Blog on November 18, 2009 at 3:28 PM
Cartelizing Groups in Dynamic Linear Oligopoly with Antitrust Threshold
Posted by D. Daniel Sokol Akio Matsumoto, Chuo University, Ugo Merlone, University of Turin - Department of Statistics and Applied Mathematics, and Ferenc Szidarovszky, University of Arizona - Department of Systems & Industrial Engineering analyze Cartelizing Groups in Dynamic Linear...Posted on AntitrustProf Blog on November 18, 2009 at 3:24 PM
SNSFE Investigates John Leonard, High Net Worth Strategies And Workman Securities Corp.
Lawyers at SNSFE have commenced an investigation into the activities of John M. Leonard who has done business as High Net Worth Securities located in Illinois and Florida. Mr. Leonard formerly was associated with Workman Securities Corp. Specifically, SNSFE is...Posted on FinancialCounsel on November 18, 2009 at 3:21 PM
Google Targets Legal Search - Part 2
Now that the dust is settling a bit on the new legal functionality at Google Scholar, a few things seem clear: 1. This is something Google has been working on for some time. Googler (and attorney) Rick Klau gives some of the background here. This wasn’t coded in a rush and released into the [...]Posted on The Wired GC on November 18, 2009 at 12:57 PM
Deterrence in Competition Law
Posted by D. Daniel Sokol Paolo Buccirossi (LEAR), Lorenzo Ciari (Lear and EUI), Tomaso Duso (Humboldt University Berlin and WZB), Giancarlo Spagnolo (University of Rome Tor Vergata), and Cristiana Vitale (LEAR) focus on Deterrence in Competition Law. ABSTRACT: This paper...Posted on AntitrustProf Blog on November 18, 2009 at 12:30 PM
Weekly Top Ten
TOP 10 Papers for Journal of Contracts & Commercial Law September 19, 2009 to November 18, 2009 Rank Downloads Paper Title 1 485 Foreclosure, Subprime Mortgage Lending, and the Mortgage Electronic Registration System Christopher Lewis Peterson, University of Utah -...Posted on ContractsProf Blog on November 18, 2009 at 12:12 PM
Whistling Past the Graveyard: The Problem with the Per Se Legality Treatment of Pay-For-Delay Settlements
Posted by D. Daniel Sokol Michael Kades (Federal Trade Commission) explains Whistling Past the Graveyard: The Problem with the Per Se Legality Treatment of Pay-For-Delay Settlements. ABSTRACT: Arguably, the most important debate in antitrust jurisprudence involves pay-for-delay patent settlements in...Posted on AntitrustProf Blog on November 18, 2009 at 10:00 AM
Welcome CCP Competition Policy Blog
Posted by D. Daniel Sokol The University of East Anglia's Centre for Competition Policy (note the British spelling of Center for those of you who are US readers -- this means that the Centre for Competition Policy is that much...Posted on AntitrustProf Blog on November 18, 2009 at 9:44 AM
FINRA To Expand BrokerCheck, Permanently Disclose Disciplinary Actions Against Former Brokers
The Financial Industry Regulatory Authority (FINRA) has won approval from the Securities and Exchange Commission (SEC) to expand its BrokerCheck Service and make the disciplinary records of brokers permanently available online to the public. Previously, a broker?s record generally became unavailable two years after he or she left the securities industPosted on Representing Investors on November 18, 2009 at 9:32 AM
The Approach to State Aid in the Restructuring of the Financial Sector
Posted by D. Daniel Sokol Lorenzo Coppi & Jenny Haydock, (both CRA International) describe The Approach to State Aid in the Restructuring of the Financial Sector. ABSTRACT: The unprecedented nature of the financial crisis in autumn 2008 led the European...Posted on AntitrustProf Blog on November 18, 2009 at 4:01 AM
2009-11-19 Posts in other Subject Areas
Academic (197), Criminal Law (187), Legal News (171), Legal Commentary (134), Legal Research (92), Religion & Law (89), Personal Injury Law (85), International Law (85), Intellectual Property Law (60), Loan Modification (58), Litigation (57), Labor & Employment Law (42), Real Estate & Property Law (39), Federal Judiciary (32), Bailout (31), Taxation & Estate Planning (28), Indiana (27), Celebrity Law (26), Miscellaneous (22), Constitutional Law (22), Corporate & Securities Law (22), Legal Writing (20), Patent Law (20), Ethics (20), Estate Planning (18), Election-Campaign Law (18), Politics (18), Bankruptcy (17), Law Students (17), Legal Niches (16), Law Humor (15), Family Law (15), Copyright Law (15), Kentucky (14), Consumer Law (11), Media & Entertainment Law (10), In-House Counsel (9), Corporate Governance (9), Legal History (9), Law Technology (9), Immigration Law (9), Legal Marketing & PR (8), Paralegals & Legal Secretaries (8), Health Law (8), Florida (7), Class Action (5), Disability Law (4), Ohio (4), Environmental Law (4), Law School (3), New Law Blogs (3), Bar Associations (3), Local Law Blogs (3), Massachusetts (3), Legal Journals (3), Practice Management (3), Education Law (3), Public Defense (3), State Courts (3), Personal Blogs (3), New York (2), Banking Law (2), Bad Cops & Prosecutors (2), Careers (2), Energy Law (2), Legal Malpractice (2), Elder Law (1), Solo Practice (1), Obama Citizenship (1), Persaonl Blogs (1), Appellate Law (1), Michigan (1), Arbitration & Mediation (1), Litigation Support (1), Trademark Law (1),
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