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Securities - March, 2006
138 articles
- Judge Chastises Arbitration Process In Brokerage Dispute
- Ernst & Young Debuts New Investigative Service
- Judge Tosses Two SEC Claims Against Nacchio
- BofA Given Green Light To Seek $1B From Parmalat
- Executives Face Charges Tied To Swissair Collapse
- Court Forces Lord Black To Hand Over Papers
- SEC Eyes Individual Culprits In Auditor Crackdown
- SEC Claims Hedge Fund Misled Investors
- Teamwork Key To Securities Work At Latham & Watkins
- O'Melveny & Myers Lures New Partner From SEC
- Behind The Court's Decision In Merrill Lynch V. Dabit
- Judge Sacks Part Of Yukos Lawsuit
- As Prosecution Rests, Fireworks Expected In Enron Trial
- Law Profs Say SEC Cannot Exempt Small Companies
- Rigas Assets Transferred To Adelphia Under SEC Deal
- Swiss To Assist SEC With Insider Trading Probe
- SEC Seeks Hefty Fine Against Ex-Gemstar Chief
- Internet Company Overstated Revenues By $18M: SEC
- Mintz Levin Nabs Experienced Attorney For Crime Group
- KPMG Settles Malpractice Suit For Undisclosed Amount
- Cablevision Inches Closer To Settlement Over Dividend
- IMA Investors Ask Judge To Liquidate Fund
- SEC Eyes "Gatekeepers," Hedge Funds
- Bill Would Expand Definition Of Insider Trading
- Ontario Hits Nortel With Trading Restrictions
- Ex-Enron Accountant, Lawyer Settle SEC Charges
- For Former Refco CEO Bennett, Nowhere To Hide
- Ex-Raytheon CEO Poised To Pay SEC
- Judge Dismisses Four Charges In Enron Case
- Collins & Aikman To Use Insurance For Legal Costs
- Class Action Suit Filed Over Stock Price Tampering
- Gradient Subpoenaed in SEC Market Manipulation Probe
- Underreported Royalties Could Lead To SOX Problems
- Zurich Shells Out More In Bid-Rigging Settlement
- Bounty Hunter To Help U.K. Funds Recover In Fraud Suits
- Judge Takes Air Out Of Tire Lawsuit
- Nacchio Tries To Force His Way Into $400M Deal
- Hedge Fund Losses Laid At Adelphia's Feet
- Refco Creditors Committee To Probe IPO Underwriters
- Senator Takes On Critics Over Sarbanes-Oxley Act
- AOL Time Warner Bombarded By Class Action Claims
- Ex-Refco Brokers Settle Suit Over Customer Poaching
- Sovereign and Relational Settle Bitter Legal Dispute
- Former Financier Frankel To Spend 17 Years In Prison
- NASD Promotes James Shorris As Executive VP, Enforcement Head
- Trade Secret Holding Companies: A Structural Solution To A Sarbanes-Oxley Requirement
- Hedge Fund Claims Delphi's Books Not That Bad
- Attorneys React To Ruling On SLUSA Loophole
- Enron's Ex-Treasurer Points Finger At Lay, Skilling
- H&R Block Hit With Class Action Suit
- Judge Tosses WorldCom Award, Snubbing NASD
- U.S. Freezes Swiss Assets Of Fugitive Symbol Exec.
- High Court Mends SLUSA Loophole
- Quattrone Ruling Deals Blow To Corporate Crime Fighters
- Ex-Gemstar Chief Slapped With Liability In Fraud Case
- Lee Demands Refco Insurance Cover Legal Costs
- Ex-Qwest Official Accuses SEC Of Retaliation
- Judge Allows Parmalat To Target Auditors' Subsidiaries
- Riverstone Faces Off Against Dissident Shareholder
- Bernstein Litowitz Targets Scrushy In Class Action
- Zurich American Settles In Bid-Rigging Dust-Up
- Shareholders Sue Over Nasdaq's Instinet Deal
- Judge Allows Examiner To Probe Misconduct At Refco
- Puerto Rican Mortgage Lenders Settle With U.S. Regulators
- Nortel To Settle Class Action Suits For $2.7B
- St. Jude Caught In SEC's Oil-For-Food Net
- National Stock Exchanges To Settle Class Action For $43M
- Government Probes $525M In Fake Bonds In Refco Case
- American Funds, NASD Head To Court
- Relational Taps Former SEC Chair To Advise On Sovereign
- Spitzer Demands Transcript Of Grasso Deposition
- Enron Whistle-Blower Takes Stand
- Executive Director Jim McConnell To Leave SEC
- Judge Denies Bid To Dismiss Shelf Space Payment Suit
- Northwest Bankruptcy Underscores Larger Pension Issues
- Court Ruling Triggers Thaxton Suits Against Finova
- Court Keeps Class Action Suit Alive Against Halliburton
- Two CVS Execs Resign After Internal Accounting Probe
- Bear Stearns To Cough Up Millions In Investigation
- Bausch & Lomb Faces Class Action Suit
- Poll: Companies Not Worried About SEC Exec Pay Rule
- Suit Claims Micron Engaged In Price-Fixing Scheme
- Hedge Funds Settle SEC Illegal Trading Claims
- Icahn, Creditors Square Off Over Legal Fees
- Gibson Dunn Lures White-Collar Crime Expert To NYC
- Nortel To Restate Years Of Revenue Earnings
- Moscow Court To Hear Yukos Bankruptcy Case
- Enron Lawyer Grills Fastow About Validity Of Memo
- Fannie Mae Plagued By New Errors
- Scrushy To Pay $1.5M To Settle Class Action
- Class Action Suit Filed Against Global Construction Firm
- JPMorgan Divulges $425M Settlement
- Underwriters Battle Discovery Bid In Refco Case
- Investment Firm And Drink Maker Brawl Over Soured Deal
- SEC Subpoenas Lear In Growing GM Probe
- SEC Sues Investment Firm For $1.9M "Scalping" Scheme
- Leadis Technology Off the Hook In Class Action
- Katten Muchin Bolsters Securities Practice
- Lobby Group Admonishes SEC On Enforcement
- SEC Claims Firm Diverted More Than $9M From Funds
- Hedge Fund Manager Jailed, Fined For Fraud Scheme
- Ex-Enron CFO Sticks To Story Under Cross-Examination
- Refco Creditors Object To Bennett's Fee Bid
- E.U. Calls For Lower Costs Of Cross-Border Share Trades
- Overstock's Suit Over Short Selling To Proceed To Trial
- SEC Drops Pixar Probe, Class Action Continues
- SEC Probes Option Grants At Affiliated
- Parmalat Investigators Eye Ex-Bank Of America Execs
- Court-Appointed Examiner To Probe Refco
- Nanotechnology Maker Hit With Class Action Lawsuit
- Rating Agencies Need Competition, Congress Told
- HP Executive Compensation Triggers Class Action Suit
- Former Seatholder Lodges Suit Against NYSE
- AIG Gets Extra Week Before Judge Rules On Report
- Refco Moves To Limit Probe Into Offshore Unit
- Former Enron Exec Admits He Lied To Feds
- Eaton Vance Offers $10.5M To End Class Action
- Ex-Qwest VP Punished With House Arrest, $250K Fine
- Wary Of €22B Takeover Bid, Endesa Takes Aim
- Textron Agrees To Settle Class Action For $7M
- After Criticism, SEC To Study Broker Registration Rule
- Class Action Suit Against Marsh & McLennan Dismissed
- Refco Creditors Take Aim At IPO Banks
- Dumping And Suing: Legal, But Questionable
- SEC Can Issue SOX Exemptions, Argues Rep. Oxley
- Relational Strikes Back At Controversial State Law
- Ex-Rogers & Wells Attorney Settles With SEC For $50K
- Owens Corning Shareholders Face Obstacles To Meeting
- SEC Commissioner Cautions Against Early Disclosure
- CMS To Pay $28M To Employees To Settle Suit
- Delphi Asks Court to Deny Bid For Shareholder Panel
- Ex-Countrywide Execs Settle Insider-Trading Charges
- 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
- Metlife Unit In SEC Probe Over Insurance Sales
- Gradient "Harassed" By Overstock, Will Go To Court
- GB Holdings Seeks Funds For Icahn's Defense