Securities Archive » September, 2009

Securities - September, 2009

262 articles

• Stanford Blocked From $90M Defense Stash
• Proskauer Evades Securities Claim In Tax Shelter Suit
• Broadcom Ex-CFO's Remarks To See Light Of Day
• Agco To Pay $20M To Quell Iraq Kickback Claims
• Hodgson Russ Taps Fleming For NY Litigation Practice
• Judge Nixes Fund Manager's Suit Against Ameriquest
• 2nd Circ. Told Short-Selling Isn't Antitrust Immune
• Taro Sues Sun Over Withholding Troubles At Unit
• Tender Offer Puts Alliant Noteholders' Suit To Rest
• Meridian Loses Bid To Overturn Judgment In SEC Spat
• Curtis Snatches Ex-Allen & Overy Finance Partner
• 2nd Circ. Puts Debevoise Back On MetLife Case
• SEC Inspector General Calls For Stronger Enforcement
• Judge Warns Cuomo Over Atty. Fees In Investor Suit
• Elan Subpoenaed By SEC Over Drug Disclosures
• Hsu Gets 24 Years In Prison For Ponzi Activity
• SEC Seeks $25M From Ex-NFLer's Investment Partner
• Insurer Fends Off Genzyme's Bid For Coverage
• Dell Settlement Gets OK In Shareholder Derivative Suit
• EU Takes Aim At Carbon Credit Carousel Fraud
• Judge Tosses Securities Suit Against Credit Suisse
• SEC Settles River Stream Ponzi Suit For $8.7M
• The Impact Of Updated REMIC Regulations
• NYC Pension Funds To Lead Class In Juniper Action
• Former Enron Broadband Exec Gets 16 Months
• PCM Co-Founder Sues Bear Stearns Over Collapse
• BofA-Merrill Buyout Battle Gets Under Way
• Former Le-Nature's CEO Charged With $800M Fraud
• Aiding And Abetting Liability For Securities Fraud
• Ex-NFLer To Disgorge $19M Over SEC Fraud Claims
• US Sugar Workers Strike Deal In Buyout Dispute
• Underwriters Seek Dismissal Of Colonial Case
• Coughlin Stoia Seeks Lead In Manulife Investor Action
• JDS Uniphase Settles Putative ERISA Class Action
• Gen Re, AIG Ex-Execs Bury Hatchet With SEC
• Australian Towns Get OK To Pursue Lehman Claims
• Regions Execs Lose TRO Appeal In Investor Suit
• Q&A With Baker & Hostetler's Marc Powers
• MBIA Class Action Securities Suit Tossed
• BofA Attacks SEC Claims Over Merrill Bonuses
• Sanofi Wins Dismissal Of Securities Action
• SEC Won't Lay Down Sword In Merchant Capital Feud
• 8 Colonial Bank ERISA Actions To Be Consolidated
• Hedge Fund Accuses Investors Of Stock Manipulation
• Big Claims Pile Up Ahead Of Lehman Deadline
• Prosecutors Seek 30 Years To Life For Hsu
• Former Juniper GC Still On Hook In Backdating Case
• Stanford Bids To Protect Assets In Fraud Case
• Huntington Derivative Suit Gets The Boot
• 6th Circ. Sides With Aon In ATCO Coverage Spat
• Stock Promoter Dropped From CellCyte Fraud Suit
• Responding To Federal Criminal Trial Subpoenas
• Fund Manager Agrees To Disgorgement In Ponzi Case
• SEC Hires Policy Adviser For New Risk Division
• Judge Tosses AuthenTec Shareholder Action
• Ex-National Lampoon CEO Pleads Guilty In Fraud Case
• Madoff Judge OKs Forfeiture Law-Based Disbursement
• Europe Approves Plan For Stronger Finance Oversight
• SEC Hits Perot Investor With Insider Trading Suit
• Regulators Urge More Oversight For Life Settlements
• 9th Circ. Scraps Broadcom Co-Founder's Plea Appeal
• Former AIG Chief Seeks To Snuff Spitzer Fraud Case
• Ex-McDermott, Dorsey Attys Face Insider Trading Trial
• Linens 'N Things Noteholder Sues Over Losses
• Collins Capital Hit With Investor Action Over Madoff
• Enterprise Offers Note Swap For $2B In Teppco Debt
• Case Study: In Re MIVA Inc. Securities Litigation
• Creditors Lose Bid To Move Up $6.7M MarketXT Claim
• Regulators Push Corporate Governance Rule Changes
• Dem Fundraiser Pleads Not Guilty To Defrauding Banks
• Companies Must Rein In Executive Pay: Report
• BankAtlantic Shareholders Bid For Class Certification
• Exchange Offers Attractive But Risky, Attys Say
• NY Appeals Court Revives Credit Suisse Fraud Suit
• Rep. Frank Dials Back CFPA Proposal
• 9th Circ. Remands ShopNow.com Securities Spat
• Lead IRC Fraud Plaintiffs Ask For $90M Settlement OK
• Investor Suit Over $4.5B Blackstone IPO Tossed
• $11M BigBand Shareholder Settlement Gets OK
• Court Boots Finisar Backdating Case
• KPMG Fights For Docs In Fannie Mae Securities Suit
• Grand Jury Indicts Clinton Fundraiser
• Calif. Sues Beverly Hills Money Guru Tied To Madoff
• Mass. Regulator Fights SEC In Reserve Fraud Case
• Judge Pares Down Pegasus Securities Case
• Insider Trading Rap Sticks To NBTY Lawyer
• Obama OTC Derivative Plan Needs Changes: Schapiro
• Lancer Chief's Challenge To $62M Disgorgement Fails
• SEC Readies For BofA Trial After $33M Deal Scuttled
• New Capital And Surplus Minimums For Texas Insurers
• GAO Questions Recovery On AIG's Bailout
• WG Trading Receiver Makes Bid To Recover $150M
• Ex-Nixon Peabody Lawyer Sued For Insider Trading
• SEC Targets Regions Bank In Mutual Fund Fraud Case
• Raymond James Dodges $1.9B ARS Suit, For Now
• General Growth Securities Fraud Action Trimmed
• Investors Appeal Dismissal Of MF Global IPO Action
• Wachovia, Execs Hit With ERISA Class Action
• Energy Transfer To Pay $30M To End FERC Action
• Deloitte White Collar Pro Joins Barnes & Thornburg
• State Street, Pension Plans Reach $90M Settlement
• Isilon Settles Shareholder Action Over IPO For $15M
• Principal Sued Over Alleged Westgate Ponzi Scheme
• Banks Shoot To Kill Municipal Bond Antitrust MDL
• Challenges In Effective Insider Trading Compliance
• Starwood Sparks Trend In Mortgage REIT Market
• Sepracor Investor Sues Over Dainippon Takeover
• Parmalat Suits Against Grant Thornton, BofA Nixed
• Ex-Stanford Exec Pleads Not Guilty To Shredding Docs
• Thompson & Knight Hits Back At Sunwest Ponzi Suit
• Wachovia Fails To Escape RICO Suit Over Le-Nature's
• FBI, DOJ Reportedly Probing BofA's Merrill Purchase
• Alleged Texas Oil Fraudster To Pay More Than $1.2M
• Citing SLUSA, 6th Circ. OKs Toss Of Securities Suit
• DOJ Can't Maintain Charges Against BP Traders
• Hartford Settles Investors' Kickback Suit For $3.9M
• Ex-Morgan Stanley Director Gets 7 Years
• Hedge Accounting And OTC Derivatives Legislation
• Constellation Faces Class Action After Stock Dims
• Cuomo Said To Issue Subpoenas In Merrill Probe
• SEC Votes 5-0 To Propose Flash Order Ban
• State Regulators Push Senate To Overturn Stoneridge
• Calif. AG Eyes Credit Rating Agencies
• Derivatives Groups Say OTC Regs Will Drive Up Costs
• Star Receiver Goes For Brokers Over Commissions
• EBay, Investors Infringing Tech: Skype Founders
• Ex-McAfee GC Says Co. Scapegoated Him
• Ex-Mercury Execs Best SEC's Foggy Grant Claims
• SEC Creates New Risk Division Headed By Law Prof.
• Ind. Teachers Continue Fight Over MetLife Options
• Tele-Media Drops Deloitte From Adelphia Suit
• Ex-Lehman Broker Gets Probation In Insider Case
• Investors Settle Accredited Home Action For $22M
• SEC — Flexing FCPA Muscle
• Assistant US Attorney Joins Patterson Belknap
• SEC To Investigate Life Settlement Market
• Shareholder Wins Cert in Wells REIT Merger Spat
• SEC, FSA To Join Forces On Regulations
• Tweaks Bring FINRA Rules Into New-Media Age
• Investor Class Action Strikes At CardioNet's Heart
• Ex-PurchasePro CEO Slapped With $3M Fine
• CSK Auto Ex-CEO Slams 'Unjust' SEC Clawback Action
• Ex-Fannie Mae Exec Makes Bid To Compel FHFA Docs
• SEC Fights To Keep Own Atty Off Stand In Bravata Suit
• Changing Legal Fees Through Litigation Budgeting
• SEC Drills Into Alleged Oil And Gas Fraud
• 4th Circ. Says Newsletter Tip Broke Securities Laws
• Del. High Court Aids Stock Owners In Escheat Suits
• Barclays' Buy $5B Too Sweet: Lehman
• Public Defender To Rep Stanford In Fraud Case
• Stanford Insurers, Trust Co. Face $80M Investor Suit
• PayQuik Shareholder Rep Hits Citi Over $4M In Escrow
• Cadence Design Securities Action Gets The Boot
• Gen Re Ex-Exec Gets Probation For AIG Scandal Role
• DPAs In SEC Enforcement Investigations
• Obama Seeks New Momentum On Regulatory Reform
• Investors Drop Claims Against Son Of AIG Ex-CEO
• Conflicting Interests Put SPAC Mergers In Limbo
• Feds Seek Lower Sentence For Former Gen Re Exec
• Dana Settles With SEC In Accounting Fraud Probe
• Canadian Court Favors US Receiver In Stanford Case
• Judge Bashes $33M SEC Deal Over Merrill Bonuses
• Value Line Makes $48M Offer To Kill SEC Probe
• Ernst & Young Let Out Of Tremont Suit Over Madoff
• Seeking Sustainable Executive Compensation
• Lloyd's Bridles At D&O Claims In Stanford Fraud Suit
• Judge Tosses ARS Lawsuit Against Citigroup
• Former White House Counsel Lands At Jenner & Block
• Derivative Suit Filed In Wake Of Record Pfizer Payout
• SEC Watchdog Opens Inquiry Into $33M BofA Fine
• Prosecutors Targeting AIG's Cassano: Report
• Stanford Security Exec Indicted For Shredding Docs
• Cracking Down On Securities Fraud In Fla.
• LandAmerica Gives Fidelity A Tax Break In Stock Spat
• Stanford Victims Pillory Receiver, Call For Ch.11
• Barroway Topaz Opens San Francisco Office
• Trustee Flays K&L Gates Over $500M Le-Nature Scam
• Senators Slam SEC On Madoff Investigation Failures
• Shareholder Suit Targets $4B Disney, Marvel Deal
• Katten Scores White Collar Defense Pros From Hunton
• Judge Loses Patience With SEC In Albertson's Case
• CFTC Sues Trading Firm Over Forex Swindle
• The SEC Pleading Standard For Scienter
• 9th Circ. Revives Northrop Workers' ERISA Class Bid
• Titan Wealth, SEC Settle $3M Fraud Suit
• 8th Circ. Affirms H&R Block Securities Suit Dismissal
• Quest Investors Win Class Cert. In Backdating Suit
• Protests Over $2.6B Sepracor Deal Begin To Roll In
• SEC Again Defends $33M Deal Over Merrill Bonuses
• Injunction Bid Rejected In PetroMed Investors' Suit
• 2nd Circ. Nixes Pzena Shareholders' IPO Action
• CFTC Fines JPMorgan Unit Over Customer Funds
• BofA Loses Bid To Kill $550M Hedge Fund Fraud Suit
• Nelson Mullins Regains M&A, Securities Partner
• Ex-JDA Exec Fined For Insider Trading Over I2 Deal
• $5B Baker Hughes, BJ Services Deal Spawns Suits
• Madoff Feeder Fund Fairfield Settles For $8M
• SEC Says CellCyte Swindled Stem Cell Investors
• Unprecedented SEC Action Under SOX Section 304
• GeoStar Says Insurer's Misrepresentation Claims Fail
• Cuomo Says BofA Using Atty Privilege To Duck Probe
• Franklin Resources Execs Off Hook In ERISA MDL
• NYC Fund Manager Charged With $45M Ponzi Plot
• Maywood Ch. 11 Trustee Eyes Deal In NJ Fraud Suit
• $245M Atty Fee Bid In IPO Case Sparks Complaints
• SEC Seeks Default Judgment V. PR Firm Wall Street
• $2M Deal Sought In LJ International Securities Action
• Ex-Chief Assistant US Atty Returns To Kramer Levin
• Credit Union Sues CUNA Over Risky Investments
• Cbeyond Investors Seek OK On $2.3M Settlement
• Angel On Board: Challenges Of Early-Stage Funding
• SEC Wins Asset Freeze In Queen Shoals Ponzi Case
• Bankruptcy Judge OKs Luminent, HSBC Settlement
• Investors Slam Coventry, Execs With Fraud Suit
• Hain Celestial, SEC Settle Over Options Backdating
• Fraudster Can't Force NYU To Grant Degree: Judge
• Novartis Execs Best Derivative Shareholder Claims
• 2nd Circ. Nixes Doral Investors' PwC Fraud Claims
• Take-Two To Pay $20M In 'Hot Coffee' Suit
• Secure Energy Wins Ownership Info In Secrets Suit
• Sun Investors Say SEC Suit Running Co. Into Ground
• $7.5M Settles StarTek, Investors Securities Action
• Placing Deferred Associates In Public Interest Groups
• Investor Hits Proskauer With Suit Over Tax Shelter
• Morgan Stanley, Moody's, S&P On Hook In Fraud Suit
• SunTrust Retiree Benefits Actions Consolidated
• Attorney Sanctions Stand In ATSI Securities Suit
• Haynes & Boone Lands SEC Heavyweight
• BankAmerica Plaintiffs Seek OK To Pursue Accountant
• Class Cert. Recommended In Nortel ERISA Case
• Former Monster Exec Gets 2 Years, $6.3M Fine
• Derivative Actions And Notice Of Compromise
• Receiver Appointed In SEC's $50M Bravata Ponzi Suit
• In-House Report Says SEC Flubbed Madoff Probes
• NewAlliance IPO Investor Hit With Fraud Suit
• Vytorin Securities Suits Survive Dismissal Bids
• SEC's Expanded Arsenal: Control Person Liability
• 8th Circ. Gives Novastar Subprime Action The Boot
• Cincinnati Workers Seek Class Cert. In Anthem Suit
• Madoff Sons, Brother May Be Next Targets Of Trustee
• Stanford Receiver, SEC Clash Over $27.5M Fee Bid
• La. Retirement Fund To Lead Raymond James Action
• Countrywide Class Counsel Nets Reduced Fee Award
• Bondholder Seeks Cert. For UBS Securities Action
• VeriFone Settles SEC Case Over Inflated Income
• $70.5M Tyco ERISA Class Action Deals OK'd
• SEC Stalls On Answering Subpoena In Fannie Mae Suit
• Insurers Fail In Bid To Stop Sprint D&O Claims
• Nadel Investors Seek To Hasten Holland & Knight Suit
• SocGen Trader's Trial Delayed Pending Appeal
• King & Spalding Snags Corporate Atty From Latham
• Insurers To Pay Broadcom $118M In Backdating Deal
• Moody's, Deutsche Blast Billion-Dollar Subprime Suit
• CF Industries Sues Terra Over Failed Merger Bid
• Citigroup ERISA Action Fails To State Claim: Judge
• MetLife Sales Reps Not Investment Advisers: Judge
• Hsu Says He Isn't Liable For All Ponzi Losses
• Madoff Trustee Says Clawbacks May Target Charities
• Argus Settles Its Corner Of Madoff Litigation
• The SEC's Investigation Of GE Accounting
• Judge Consolidates Citigroup Subprime Cases
• Horizon Says Securities Class Claims Should Be Sunk