Securities Archive » October, 2006

Securities - October, 2006

158 articles

• Fund Exec Accused Of Improperly Charging Investors
• CalPers Seeks To Block McGuire Retirement Package
• Stolt Asks Court To Stay Civil Case
• Complaint Against Delphi Could Implicate GM
• Cendant Ex-Chairman Guilty In Massive Fraud
• Comcast To Contribute To TCI's Shareholder Settlement
• Canadian Court Freezes Ex-Hollinger Exec's Assets
• Scandals Catapult Lawyers To Corner Offices
• Class Action Against Savient Dismissed
• Rep. Frank Questions Transatlantic Regulation
• SEC Probing JP Morgan, Bisys Connection
• SEC Eyes UBS In U.S. Bonds Probe
• SEC Begins Informal Inquiry Into RIM Stock Options
• Taro CFO Resigns Amid Restatement Probe
• Delphi Settles Securities Fraud Charges
• Options Backdating Fallout Could Widen: Study
• SEC Readying To Charge Delphi Executives
• States Seek Seroquel Information From AstraZeneca
• Court Refuses To Delay Vote On HCA Deal
• Plaintiffs Firms Bare Teeth Over Merck Shareholder Suit
• Former Pimco Chief Settles Timing Suit With SEC
• At Behest Of Grassley, GAO To Probe SEC
• BAWAG Indictments Handed Down In Austria
• NYSE Specialist Found Guilty Of Improper Trading
• ECB To Launch Hedge Fund Analysis
• Hunton & Williams Expands White Collar Practice
• SEC Probes Mutual Funds Over Kickback Scheme Ties
• Deutsche Bank Chief's Retrial Begins
• Securities Suit Against Yukos Thrown Out
• Firm Takes On NASD Reporting System
• NASD Hits Broker With Its Largest Fine Ever
• Ex-NYSE Manager Faces Jail In Hong Kong For Fraud
• AmeriDebt Founder Accused Of Stashing Cash
• Options Scandal Has Cost Billions: Study
• Shareholders Sue Voyager Execs Over Failed IPO
• Dewey, Orrick Merger Would Create Strong Securities Practice
• Goldstein Once Again Takes On SEC Rule
• Ex-Refco Financial Chief Indicted On Fraud Charges
• Bank Fraudsters Ordered To Pay More Than $30M
• Grasso Appeals Ruling In Compensation Case
• Fannie Mae Issues Report On Restitution
• Another Guilty Plea In $7M Insider Trading Scam
• Ex-Comverse CFO Pleads Guilty, Settles With SEC
• Asserting the Fifth Amendment in Civil Securities Litigation
• Hackers Set Their Sights On Brokerage Accounts
• DOJ Demands More Than $12M From Lay's Estate
• Last Call For $39M Merrill Lynch Settlement
• SEC Threatens Inspire With Civil Action
• Appeals Court: Ex-Director Owes Corning Legal Fees
• SEC To Begin Distributing WorldCom Settlement
• Skilling Sentenced To 24 Years, Pleads Innocence
• Ex-MassMutual Head Wins $50M
• Former Sunbelt Exec To Head Back To Jail
• Ex-Execs Want Delphi To Cover Legal Costs
• Fifth Circuit Denies Rehearing In Nigerian Barge Case
• SEC Drops Probe Into Former Hollinger Directors
• The Stock Option Backdating Scandal: Lessons For Privately Held Companies
• Gibson Dunn Nets High-Profile U.S. Attorney
• Linklaters Poaches 16 Lawyers From White & Case
• Court Scolds SEC Over Handling Of Document Request
• SEC Alleges Men Bilked Elderly In CD Scam
• Second Citibank Commodities Desk Head Pleads Guilty
• Clorox To Face Shareholder Derivative Action
• Court Dismisses Barclays Suit Against Arthur Andersen
• SEC To Levy Fraud Charges Against Ex-Delphi Execs
• Backdating, Restatement Trigger Sepracor Suit
• SEC Ends Uncertainty Over Best-Price Tender Offers
• Former Homestore CEO Handed 15-Year Jail Term
• Grasso Must Return About $100M To NYSE
• Senators Demand UnitedHealth Options Documents
• SEC Accuses Ex-Riverstone Execs Of Fraud
• SEC Combs E-mails For References To Debevoise Partner
• SEC, Fed Push Forward With Banking Rules
• SEC Probing Insider-Trading In Corporate Takeovers
• Lay's Name Cleared, Skilling's Fate Unknown
• Merger To Bolster Reed Smith's Securities Practice
• Suit Charges Agway Trustees Improperly Invested Assets
• Novell's Board, Top Execs Hit With Backdating Suit
• Suit Accuses Legg Mason Of False Statements
• Ex-i2 Exec To Pay $2M To Bury Hatchet With SEC
• South Korea Investigators Raid Citigroup Unit
• Morgan Stanley To Pay $1M For Broker's Fraud
• Grassley Calls For Improved Hedge Fund Disclosure
• Prosecutors Blast Evidence In Scrushy Retrial Bid
• Former Execs Defy SEC In Backdating Probe
• UnitedHealth CEO Ousted Over Options
• SEC Penalizes Brokerage Firm For Fund Trades
• Insufficient Records, Supervision Costs Firm $850,000
• Eleventh Circuit's Scienter Ruling To Affect Plaintiffs
• E.On Targets Acciona In Endesa Takeover Battle
• Ex-Van Der Moolen Specialists Get 27 Months
• Bribery Charge Added To Ex-Comverse Chief's Rap List
• Ex-FDA Head To Plead Guilty To Lying About Stocks
• Hedge Fund Managers Indicted For $2M Scheme
• NASD, NYSE Continue Quest For Harmonization
• More Execs Depart In Wake of Backdating Fallout
• Union Withdraws Securities Suit Against Cintas Corp.
• SEC Warns Hackers Prey On Brokerage Accounts
• Prosecutor: Ex-U.S. Foodservice Exec Organized Fraud
• Former Fleet Specialist Starts NYSE Fraud Trial
• Securities Litigation Sparks Fears For U.S. Businesses
• Dolan Family And Cablevision Face More Suits
• Suit Claims Drug Maker Withheld Facts About Heart Drug
• Skilling Appeals Conviction, Cites "Honest Services" Statute
• M-Flex Sues To Quell Hedge Funds' Support For Deal
• LeClair Ryan Opens N.Y. Office, Hires 3 New Partners
• SEC Links Real Estate Co. To Ponzi Scheme
• Attorney General Can Investigate UnitedHealth's Options
• Sovereign CEO Ousted Amid Shareholder Frustration
• PainCare Settles Class Action
• Ex-Patterson-UTI Exec Sentenced To 25 Years In Prison
• Ex-Millennium Trader To Pay $570,000 In SEC Suit
• McAfee Execs Ousted Over Options Scandal
• CNET CEO Abdicates In Face Of Options Probe
• Delcath Resolves Dispute With Key Shareholder
• Firm Accuses Former Analyst Of Trademark Infringement
• Exec Pleads Guilty In $30M Ponzi Scheme
• TXU Shareholders Appeal Class Action Dismissal
• Former Comverse Execs In Plea Bargain Talks
• Sphinx Funds Object To Refco Plan, Cite $263M Deal
• Shareholders Scrutinize RIM Over Options Backdating
• More Expensive Litigation Prompts More Insurance: Report
• Former Cendant Chief Faces Third Trial
• Judge Delays Sentencing Computer Associates Ex-CEO
• Dorsey & Whitney Adds Former Federal Prosecutor
• Charges Against Ex-Fleet Specialist Trader Dropped
• Marvell Restatement Inspires Class Action
• NYSE Fines Two Banks For Improper Stock Loans
• Amkor, Creditors Square Off Over SEC Filing
• Enron, Dynegy Reach $44M Settlement
• Refco Can Send $300M From BAWAG Pact To Lenders
• SEC Will Not Take Action Against Pequot
• Appeals Court Hears Arguments Over Broker Exemption
• Former Enron Prosecutor Joins Irell & Manella
• Apple Admits To Stock Options Backdating
• Former Prosecutor Pleads Guilty In Client Stock Scam
• Sun CEO Tells SEC To Loosen Disclosure Requirements
• Former Tyco Execs Seek Reversal Of Conviction
• Rogers Funds Reach Deal Over Refco LLC
• BP Drilled By Shareholder Derivative Suit
• Goldman Sachs Added To Fannie Mae Suits
• Dell's 401(k) Participants Sue Company
• HP's Former Chair Indicted In "Pretexting" Scandal
• Labor Department Tosses FLYi Whistleblower Case
• Oppenheimer Coughs Up $800K For Improper Reporting
• Judge Upholds Suit Against Ex-Kmart Execs
• Disclosing Corporate Governance Information Under The New Executive Compensation Regulations
• SEC Accuses Ex-Wall Street Broker Of Late Trading
• Ex-AIG Chief Granted Access To Memos
• Securities Star Bids Goodbye To Davis Polk
• Hedge Fund Manager Heads To Court Over Short-Selling
• SEC Played "Fast and Loose" With Facts: Judge
• Qwest's $400M Settlement Receives Final Approval
• Judge Refuses To Overturn Scrushy Conviction
• Judge OKs Fraud Suits In E-Trade, MarketXT Spat
• Bail Denied For Ex-Comverse CEO In Namibia
• 2nd Circuit OKs $750M Over WorldCom Fraud
• Supreme Court Will Not Hear Peregrine Case