Securities Archive » January, 2006

Securities - January, 2006

124 articles

• Broker Dealer Fined In "Pay-To-Play" Scandal
• Fledgling Litigation Group Boasts Blue-Chip Clients
• Two Class Actions Take Aim At AOL Time Warner
• Former Wal-Mart Executive Pleads Guilty To Fraud
• Feds Accuse Impath Big-Wig Of $260M Fraud Scheme
• Lay, Skilling Attorneys Blame Corporate "Bad Guys"
• Ex-Citigroup Exec Forks Over $2.7 Million To Feds
• SEC, Japan Cooperate On Corporate Governance
• High Risk Hedge Funds Draw SEC Scrutiny
• Jury Selected In Lay, Skilling Trial
• Ebbers Asks Judge To Overturn 25-Year Sentence
• Banks Ask Judge To Toss Delphi Securities Fraud Suit
• Canadian Investor Garnered $3M In Dirty Trades: SEC
• CFTC Charges Hedge Funds, New Yorker In FX Scheme
• AIG Says Greenberg's Private Firm Stole Its Business
• NYSE Rule Amendment Spares Fannie Mae
• Enron Scandal Ensnares Law Firms Too
• Hedge Fund Managers Fail To Register With SEC
• Executives Still Play Options Backdating Game: Study
• Plaintiffs Firms Cheer Pension Funds As Lead Plaintiffs
• SEC Broker Rule Draws Industry Fire
• Clifford Chance Confidently Tackles Alliance Capital Case
• Brokerages Are Worst Offenders, Chides SEC
• Spitzer Probe Into Illegal Trading Snags Calugar
• KPMG Off The Hook In Hollinger Scandal
• SIA Report Seeks To Refocus Industry On SRO Reform
• Sovereign Motion Dismissed in Court Amid Verbal Blitz
• Faced With SOX, Some Companies Go Private
• Shareholders Revive Old Grievances in Disney Suit
• Enron Defendants Lose Bid To Move Trial
• Scrushy Bullied UBS To Join Bribery Scheme, Says Aide
• SEC to Waive Disclosure Demands for Foreign Companies
• Langone Challenges Spitzer's NYSE Lawsuit
• Judge Denies Ex-Gemstar Exec Plea Bargain
• Ameriquest To Pay $325M Over Fraud Charges
• Dissatisfied, Delphi Investors Appeal Deloitte Ruling
• Bristol-Myers Braces For Blow In Class Action Suit
• Siemens Counsel Indicted In Federal Fraud Scheme
• Ex-AIG Chief Wins Access To Documents
• Pleas Continue In Credit Lyonnais Scandal
• Scrushy Takes On Allegations In Court Of Public Opinion
• Bear Stearns Loses Bid To Block $960M Settlement
• Latest Ruling A Win For News Corp.
• Calpers Seeks SEC Muscle in Sovereign Bank Spat
• Deal between Ex-Qwest CFO and SEC Collapses
• Judge Denies Request to Question Delphi Executives
• Deutsche To Pay $147M To Settle Fraud Charges
• Justices Wary Of State Securities Class Actions
• Fannie Mae Accused Of Billion-Dollar Fraud Scheme
• Gibson Dunn Snags NASD Enforcement Chief
• Canary To Pay $10M In Settlement With New Jersey
• China to Ease Restrictions on Foreign Investors
• SEC's Definition Of Securities Unravels In Court
• Supreme Court Decision May Establish SLUSA Precedent
• GM Faces Class Action Suit Over SmartNotes
• SOX Whistle-Blowing Rules Don't Apply Outside U.S.
• Alliance Capital Survives Challenge To Enron Hoarding
• Class Action Suit Against Siebel Dismissed
• Torrent Of Last-Ditch Motions Filed By Enron Defense
• Russian Minister Refuses Summons in Yukos Case
• SEC Clarifies Position On Imposing Civil Penalties On Public Companies
• Adelphia Amends Reemergence Plans
• Supreme Court Bans State Suits Against National Banks
• SEC Unanimously Approves Executive Pay Reforms
• Parmalat Founder Submits Guilty Plea
• Expert Questions SEC Moves On SOX Enforcement
• Parallel Investigation Violated Rights: Judge
• Local Minister Probed By SEC For Investment Scam
• Former Top Lawyer to Pay $3M In Fraud Settlement
• Telco's Chapter 11 Filing Ignites SEC Ire
• UBS Fined $54M By NYSE Over Market Timing
• Union Presses Bank of America On Exec Pay
• Bally's "Poison Pill" Stumbles In Suit By Hedge Funds
• Home Depot Acknowledges SEC Inquiry
• Enron Judge Limits Questions On Energy Crisis
• Delphi, Pension Funds At War Over Exec Subpoenas
• NASD Names New Chairman
• In-N-Out Burger Exec On The Grill For Fraud
• Tenet To Pay $215M To Settle Shareholder Suit
• SEC Probes IBM Earnings Disclosures
• Airline Creditors Must Pledge To Keep Trade Secrets
• SEC Loses Corporate Finance Director
• Italian Official Implicated in Parmalat Scandal
• E.U. Takes Steps To Strengthen Shareholder Rights
• SEC Probes Drug Trial Firm Accused Of Recklessness
• SEC Eyes Hedge Fund's Influence In Merger Talks
• SEC Slaps Broker With Record $153M Fine
• SEC Eyes Stricter Disclosure Of Executive Pay, Perks
• Sovereign Seeks SEC Aid In Battling Investor
• Wachovia Settles With Ex-Analyst In Conflict Case
• Enron Defense Previews Dirty Tactics
• AmeriDebt Founder, FTC Settle Credit Counseling Suit
• Shell Faces Class Action Over Rigged Oil Reports
• Ex Wal-Mart Executive to Plead Guilty: Report
• Oppenheimer Hit With Inaccurate Data Charges
• Lawmakers Take Aim At SEC's Compliance Arm
• Merrill Case Raises Questions Of Blame In Market Timing
• Charges Dropped In Energy Trader's $50M Fraud Suit
• SEC Steps Up Probe Of Abercrombie & Fitch
• Delphi Investors Allege Fraud, Want Deloitte Out
• Martha Stewart Still Guilty, Appeals Court Finds
• SEC Loses 12th Enforcement Attorney Since July
• Analyst Conflicts Still Abound: NYSE, NASD
• Dynegy Execs Sentenced In Fraud Case
• Jury Stumped Once Again In Cendant Chief Trial
• Industry Challenges SEC Rule On Fund Directors
• Shareholder Tweaks Suit After Sovereign Delays Meeting
• Prosecutors to Clear Lehman in Parmalat Case: Report
• Amid Criticism, SEC Sets Standard For Penalties
• McAfee Pays $50M To Settle SEC's Fraud Charges
• Scrushy Ordered To Repay $48M In Bonuses
• Former Enron CEO Faces New Charges
• News Corp Looks To High Court To Stop Suit
• NASD To Clarify Mediation Rules
• SEC's Cox Names New General Counsel
• Former Putnam Execs Implicated In Accounting Scandal
• Securities Cases To Watch In 2006
• Investment Firm Pays $4.4M For Rule Violations
• AmeriDebt Trial Postponed After CEO's Wife Settles
• Hedge Fund Manager To Plead Guilty
• Bergmann's Exit Leaves Another Gap Atop SEC
• SEC Chastizes Ex-Gemstar Exec Plea Bargain
• Chinese Regulators Toughen Securities Laws
• Scrushy Motion To Expand Shareholder Control Denied