Securities Archive » March, 2006

Securities - March, 2006

138 articles

• Executives Face Charges Tied To Swissair Collapse
• Judge Chastises Arbitration Process In Brokerage Dispute
• Ernst & Young Debuts New Investigative Service
• Court Forces Lord Black To Hand Over Papers
• SEC Eyes Individual Culprits In Auditor Crackdown
• Judge Tosses Two SEC Claims Against Nacchio
• BofA Given Green Light To Seek $1B From Parmalat
• O'Melveny & Myers Lures New Partner From SEC
• Judge Sacks Part Of Yukos Lawsuit
• Teamwork Key To Securities Work At Latham & Watkins
• As Prosecution Rests, Fireworks Expected In Enron Trial
• Law Profs Say SEC Cannot Exempt Small Companies
• SEC Claims Hedge Fund Misled Investors
• Behind The Court's Decision In Merrill Lynch V. Dabit
• SEC Seeks Hefty Fine Against Ex-Gemstar Chief
• Swiss To Assist SEC With Insider Trading Probe
• Rigas Assets Transferred To Adelphia Under SEC Deal
• Internet Company Overstated Revenues By $18M: SEC
• Mintz Levin Nabs Experienced Attorney For Crime Group
• Ex-Raytheon CEO Poised To Pay SEC
• Judge Dismisses Four Charges In Enron Case
• IMA Investors Ask Judge To Liquidate Fund
• KPMG Settles Malpractice Suit For Undisclosed Amount
• Ex-Enron Accountant, Lawyer Settle SEC Charges
• Collins & Aikman To Use Insurance For Legal Costs
• Ontario Hits Nortel With Trading Restrictions
• For Former Refco CEO Bennett, Nowhere To Hide
• Class Action Suit Filed Over Stock Price Tampering
• SEC Eyes "Gatekeepers," Hedge Funds
• Bill Would Expand Definition Of Insider Trading
• Cablevision Inches Closer To Settlement Over Dividend
• Bounty Hunter To Help U.K. Funds Recover In Fraud Suits
• Underreported Royalties Could Lead To SOX Problems
• Gradient Subpoenaed in SEC Market Manipulation Probe
• Zurich Shells Out More In Bid-Rigging Settlement
• Refco Creditors Committee To Probe IPO Underwriters
• Hedge Fund Losses Laid At Adelphia's Feet
• Judge Takes Air Out Of Tire Lawsuit
• Nacchio Tries To Force His Way Into $400M Deal
• Senator Takes On Critics Over Sarbanes-Oxley Act
• NASD Promotes James Shorris As Executive VP, Enforcement Head
• Sovereign and Relational Settle Bitter Legal Dispute
• Former Financier Frankel To Spend 17 Years In Prison
• Ex-Refco Brokers Settle Suit Over Customer Poaching
• AOL Time Warner Bombarded By Class Action Claims
• Trade Secret Holding Companies: A Structural Solution To A Sarbanes-Oxley Requirement
• Enron's Ex-Treasurer Points Finger At Lay, Skilling
• Attorneys React To Ruling On SLUSA Loophole
• Judge Tosses WorldCom Award, Snubbing NASD
• Hedge Fund Claims Delphi's Books Not That Bad
• H&R Block Hit With Class Action Suit
• Quattrone Ruling Deals Blow To Corporate Crime Fighters
• Ex-Qwest Official Accuses SEC Of Retaliation
• High Court Mends SLUSA Loophole
• U.S. Freezes Swiss Assets Of Fugitive Symbol Exec.
• Lee Demands Refco Insurance Cover Legal Costs
• Ex-Gemstar Chief Slapped With Liability In Fraud Case
• Shareholders Sue Over Nasdaq's Instinet Deal
• Judge Allows Parmalat To Target Auditors' Subsidiaries
• Riverstone Faces Off Against Dissident Shareholder
• Zurich American Settles In Bid-Rigging Dust-Up
• Bernstein Litowitz Targets Scrushy In Class Action
• St. Jude Caught In SEC's Oil-For-Food Net
• Puerto Rican Mortgage Lenders Settle With U.S. Regulators
• Judge Allows Examiner To Probe Misconduct At Refco
• Nortel To Settle Class Action Suits For $2.7B
• National Stock Exchanges To Settle Class Action For $43M
• Government Probes $525M In Fake Bonds In Refco Case
• Relational Taps Former SEC Chair To Advise On Sovereign
• American Funds, NASD Head To Court
• Spitzer Demands Transcript Of Grasso Deposition
• Northwest Bankruptcy Underscores Larger Pension Issues
• Court Keeps Class Action Suit Alive Against Halliburton
• Two CVS Execs Resign After Internal Accounting Probe
• Court Ruling Triggers Thaxton Suits Against Finova
• Judge Denies Bid To Dismiss Shelf Space Payment Suit
• Enron Whistle-Blower Takes Stand
• Executive Director Jim McConnell To Leave SEC
• Suit Claims Micron Engaged In Price-Fixing Scheme
• Hedge Funds Settle SEC Illegal Trading Claims
• Icahn, Creditors Square Off Over Legal Fees
• Bausch & Lomb Faces Class Action Suit
• Poll: Companies Not Worried About SEC Exec Pay Rule
• Bear Stearns To Cough Up Millions In Investigation
• Moscow Court To Hear Yukos Bankruptcy Case
• Gibson Dunn Lures White-Collar Crime Expert To NYC
• Nortel To Restate Years Of Revenue Earnings
• Enron Lawyer Grills Fastow About Validity Of Memo
• Fannie Mae Plagued By New Errors
• JPMorgan Divulges $425M Settlement
• SEC Subpoenas Lear In Growing GM Probe
• SEC Sues Investment Firm For $1.9M "Scalping" Scheme
• Scrushy To Pay $1.5M To Settle Class Action
• Class Action Suit Filed Against Global Construction Firm
• Investment Firm And Drink Maker Brawl Over Soured Deal
• Underwriters Battle Discovery Bid In Refco Case
• Leadis Technology Off the Hook In Class Action
• Katten Muchin Bolsters Securities Practice
• SEC Claims Firm Diverted More Than $9M From Funds
• Lobby Group Admonishes SEC On Enforcement
• Hedge Fund Manager Jailed, Fined For Fraud Scheme
• SEC Drops Pixar Probe, Class Action Continues
• E.U. Calls For Lower Costs Of Cross-Border Share Trades
• Ex-Enron CFO Sticks To Story Under Cross-Examination
• Overstock's Suit Over Short Selling To Proceed To Trial
• Refco Creditors Object To Bennett's Fee Bid
• Parmalat Investigators Eye Ex-Bank Of America Execs
• SEC Probes Option Grants At Affiliated
• Court-Appointed Examiner To Probe Refco
• Nanotechnology Maker Hit With Class Action Lawsuit
• HP Executive Compensation Triggers Class Action Suit
• Rating Agencies Need Competition, Congress Told
• Eaton Vance Offers $10.5M To End Class Action
• Refco Moves To Limit Probe Into Offshore Unit
• Former Enron Exec Admits He Lied To Feds
• Wary Of €22B Takeover Bid, Endesa Takes Aim
• Former Seatholder Lodges Suit Against NYSE
• Ex-Qwest VP Punished With House Arrest, $250K Fine
• AIG Gets Extra Week Before Judge Rules On Report
• After Criticism, SEC To Study Broker Registration Rule
• Textron Agrees To Settle Class Action For $7M
• Class Action Suit Against Marsh & McLennan Dismissed
• SEC Can Issue SOX Exemptions, Argues Rep. Oxley
• Dumping And Suing: Legal, But Questionable
• Relational Strikes Back At Controversial State Law
• Refco Creditors Take Aim At IPO Banks
• SEC Commissioner Cautions Against Early Disclosure
• Ex-Countrywide Execs Settle Insider-Trading Charges
• Owens Corning Shareholders Face Obstacles To Meeting
• CMS To Pay $28M To Employees To Settle Suit
• Ex-Rogers & Wells Attorney Settles With SEC For $50K
• Delphi Asks Court to Deny Bid For Shareholder Panel
• Metlife Unit In SEC Probe Over Insurance Sales
• GB Holdings Seeks Funds For Icahn's Defense
• SEC Halts Investigation Into Allegheny's Bookkeeping
• Despite AIG Appeal, Greenberg Granted Access To Report
• Bank of New York Tenders Offer To SEC In Issuer Probe
• Gradient "Harassed" By Overstock, Will Go To Court