Banking Archive » November, 2006

Banking - November, 2006

142 articles

• Kroes To Exchanges: Shape Up Or Face Regulation
• Former Broker Still Unhappy With Merrill's Offer
• The "Tools At Hand" Fail To Get The Job Done: The Court Of Chancery Denies Request Of Hedge Fund To Inspect Books And Records
• SEC Keeps Brokers In Line With New Soft Dollar Rules
• Smith Barney Sex Discrimination Case Grows
• Refco Trustee Wants Certain Attorneys' Fees Held Back
• Grasso Appeals For Jury Trial
• Court Chastises Bond Lawyer In Ruling
• French Court Seals Ex-BAWAG CEO's Fate
• FMF's Shareholders Garner $28M CAN Settlement
• Sky Capital Files $300M Complaint Against NASD
• SEC, CFTC Talk Collaboration
• SEC Sues Men Indicted In Life Insurance Scheme
• Judge Denies Insurers' Motion To Dismiss Katrina Suits
• Cytosol Accosts Chubb For Insurance Money
• Court Bounces Judge Behind 6-Year Contempt Term
• Judge: Hedge Fund Manager To Be Jailed For Contempt
• Korean Court Mulls Arrest Of Ex-Official
• JP Morgan Appeals $3.5M Transaction Fee Decision
• NYSE, NASD Agree To Create Single Regulator
• Northwest Flies High With $779M Refinancing
• Muslim Charity Takes On Comerica
• J.P. Morgan Coughs Up $2.2M To Settle EEOC Case
• Trading Cos. Settle Suit Over Singapore Employees
• Ackermann To Pay €3.2M To Settle Mannesmann Case
• Lone Star Gives Up On Bank Sale
• Supreme Court To Hear Wachovia Case
• NASD Arbitrators Award Investment Banker $250K
• Refco Unit Bids To End Dispute Over $201M Loan
• Broker Agencies Tussle Over Electronic Trading Tool
• Appeals Court Upholds Most Of Decision In Fraud Case
• Fannie Mae To Share Patented Lending Technology
• E.U. Probes Austrian Aid To BAWAG
• FBR Squares Dispute With CompuDyne
• Parmalat Cases Stayed
• JPMorgan Settles Disability Claims
• Upcoming Trial Adds To Deutsche Bank's Woes
• AMEX, SEC Close To Settlement: Sources
• Global Power Scores $85M DIP Loan
• Fired Trader Seeks C$100M From Bank of Nova Scotia
• Refco Unit Trustee Wants To Distribute $1.3B
• Morgan Stanley Settles Allegations It Led Firm To Ruin
• Ex-LendingTree Exec Settles Insider Trading Charges
• Canadian Investor Pleads Guilty To Money Laundering
• Senate Wants Answers On Hedge Fund Regulation
• Bank of America Dodges $1.6B Bullet
• Ex-Capital One CFO Settles Insider-Trading Charges
• U.S. Trust Deal Brokered By Wachtell, Howard Rice
• Brokers May Testify In State Agency Bribery Trial
• Judge Thaws Frozen $91M For Castro's Victims
• Lone Star, KEB Indicted In Stock Manipulation Probe
• Biovail CEO Tries To Muscle Back Into Bankruptcy Case
• Interstate Bakeries Seeks More Time To Appoint Board
• E.U. Mulls Legality Of BAWAG Bailout
• Firm Can Keep $120M Investment In Distressed Co.
• FBI Seizes Investment Broker Records Across The U.S.
• Case Moved On Merrill V. Dabit Precedent
• Spitzer Files Market-Timing Suit Against Hedge Funds
• Bank of America Unhappy With Adelphia's Ch.11 Plan
• Index War Escalates With Suit Against ISE
• Korean Court OKs Arrest Of Two Lone Star Execs
• Cox Says SOX Updates On The Horizon
• FSA Subpoenaed Regarding GIC Bid-Rigging Probe
• The Potential Applicability Of Fraudulent Transfer Law To Contemporary Business Transactions
• Holders Name 13 Private Equity Firms In Antitrust Suit
• Former Exec Settles Pay Dispute With Fannie Mae
• Legal Woes Pile Up For Refco Ex-CEO Bennett
• Second Lien Group Takes Issue With Dura's DIP Loan
• Ex-Deutsche Bank Exec Accused Of Stealing $13M
• KPMG Tax Shelter Trial Stalls Over Legal Fees
• Stock Analyst Arrested In $5M Fraud Scheme
• Judge Upholds Arbitration Award Against Cigna/ACE
• KeyBank Exec Charged With Embezzling $29M
• Grasso Seeks To Postpone Day Of Reckoning
• Parella Weinberg To Acquire Restructuring Firm
• Internet Advocacy Group Asks SEC To Stay NYSE Fees
• Refco FX Accused Of Not Returning Investment Profits
• Democrats Push For Retail Bank Legislation
• Judge Hits Plaintiff With Landmark $1.2M Sanction
• Critics Deny Collusion Among Private Equity Firms
• Finova Asks To Reenter Chapter 11
• Judge Sides With Cybersettle In Patent Dispute
• Appeals Court Dismisses Retaliation Suits Against Citibank
• Washington Mutual Pays $47M To End Comerica Suit
• Wells Fargo Subsidiary May Get Dropped From Suit
• Family Sues Wal-Mart, MetLife Over Denial Of Benefits
• Supreme Court Pressed To Take On IPO Case
• Appeals Court Reinstates AmEx Securities Suit
• Bayou Settles With Investor Over False Profits
• New Zealand Takes Action Over Interchange Fees
• New York Court Bounces Suit Against Deutsche Bank
• SEC: Hedge Fund Operator Ripped Off Millions
• Former Stockbroker Sentenced To Prison For Theft
• NextCard Execs Settle Charges With SEC
• Judge Approves Credit Card Cos. Settlement
• Hospital Co. Settles Shareholder Suits Over Merger
• Trustee Objects To Certain Refco Claims
• Judge Rejects Banks' Appeal In Parmalat Matter
• Hartford Units Put Up $55M To Settle SEC Charges
• OFHEO Forced To Turn Over Fannie Mae Documents
• Off the Sled, And Out Of Court As Well?
• Judge Tosses Lloyd's Of London Investor Class Action
• UnionBanCal Scrutinized For Mutual Fund Payments
• Privacy Ombudsman Appointed In Refco Case
• Sky Capital's Parent Opens Probe After FBI Visit
• Discrimination Suit Against Merrill Expands
• Global Power's Bid To Retain Advisors Put On Hold
• NASD Fines Chase, MetLife $1.66M
• Bank Of New York Reaches Agreement With SEC
• SEC Settles Off-Shore Short-Selling Case
• SEC Names New Deputy Secretary
• Citigroup Settles 26 WorldCom Securities Lawsuits
• German Regulators Investigating General Re Subsidiary
• DOJ Turns Its Eyes On Merrill In Private-Equity Inquiry
• In $25.1M Deal, Bisys Buries Hatchet With SEC
• Lawyer-Turned-Fugitive's Conviction Affirmed
• E.U. To Continue Visa Probe, Despite Settlement
• JPMorgan Wants Adelphia's Chapter 11 Plan Clarified
• Merrill Lacks Black Brokers, CEO Testifies
• Former China Construction Bank Head Jailed
• Spitzer Says Grasso Owes NYSE $112.2M
• Korean Court Denies Warrants For Private Equity Execs
• UBS Bond Traders Depart Amid Treasury Securities Probe
• ISE Files Suit To List Dow Jones, S&P Options
• Barclays Forks Over $144M In Enron Settlement
• Ombudsman Assigned, Refco Seeks To Sell Client Lists
• 401(k) Sponsor Sues AIG Over Plan Embezzlement
• Judge Denies USA Capital Trustee Bid For Ch. 7
• Private Equity Firms' Success Brings Antitrust Exposure
• Commerce Bancorp Probe Draws To A Close
• NLRB Demands Response From Rogue Investment Firm
• Cyberonics Shareholder Pushes For Annual Meeting
• Former Loan Co. CEO Pleads Guilty To Fraud
• Real Estate Worker Admits Guilt In $40M Scheme
• Judge Greenlights JPMorgan Pension Case
• Disability Insurer Settles With Spitzer
• Deutsche Bank Still Involved In 10 Enron Suits
• Merrill Exec Addresses Discrimination Allegations
• Companies List Overseas To Cut Costs, Compliance
• Court Gives Centrix Green Light To Find Buyer
• Qwest Faces $278M Suit Over Dutch JV
• Korean Prosecutors Look To Arrest Private Equity Chief