Securities Archive » November, 2009

Securities - November, 2009

229 articles

• SEC Says Construction Co. Rife With Accounting Fraud
• Investor Loses Appeal To Recover $10M From Madoff
• High Court Mulls Statute Of Limitations In Investor Suits
• Feds Accuse Former Ice Miller Atty Of Ponzi Scheme
• Reserve Fund Asset Distribution Plan Approved
• Starent Settles Shareholder Suit Over Sale To Cisco
• Supreme Court Turns Down Nacchio's Rehearing Bid
• Clarifying D&O Fiduciary Duty To Creditors In Calif.
• DynCorp Compliance Exec Fired After FCPA Revelations
• Supreme Court To Take Up 'Foreign-Cubed' Case
• 8th Circ. Revives ERISA Suit Against Wal-Mart
• 2nd Circ. Gives Ex-Lawmaker No Relief In Fraud Case
• Conn. To Join Ohio In Suing Credit Rating Agencies
• Deutsche, BNP Paribas Sue BofA Over $1.6B Portfolios
• AIG Buries Hatchet With Greenberg
• Insurer Securities Suit Against Fannie Mae Revived
• Fla. Bar Expels Rothstein, Eyes 4 Others In Firm
• Securities Act Claims Tossed In Fannie Mae Suit
• Former GlobeTel Exec Arraigned On Fraud Charges
• Fed Stiffens Stock Ownership Rule For Regional Boards
• Doc Request Blocked In Madoff Net Equity Fight
• Ex-Taro Exec, Son Hit With Penalties In SEC Case
• Ex-Fidelity Trader Found Liable For Insider Trading
• Investor Sues Holland & Knight Over Failed Restaurant
• Raft Of Dismissal Motions Filed In IndyMac MBS Case
• Akin Gump Atty Joins Galleon Founder's Defense Team
• Judge Won't Toss Firms' Contract Spat Over Xerox Fees
• Eye On The Restoring American Financial Stability Act
• Citi Aims To Kill Workers' Suit Over Subprime Losses
• McKesson Can Pursue Suit V. Iran Over Dairy Plant
• 2nd Circ. Affirms Fraud Penalty For Brightpoint Exec
• Apple Shareholder's Derivative Suit Rejected Again
• $70.5M In Deals Wraps Up Tyco ERISA Claims
• Galleon Case Could Up The Pressure On Hedge Funds
• Dow Corning Sues Merrill Over $166M In Failed ARS
• Ex-Atty's Sentencing Delayed In Insider Trading Case
• KPN, IBasis Settle Dispute Over Tender Offer
• Securities Lawyer Gets 7 Years For Fraud
• SEC Sues Real Estate Co. Over $25M House of Cards
• Xerox, ACS Shareholders' Pact Alters Merger's Details
• Venture Capital Pro Rejoins Pillsbury From Howard Rice
• House To Probe Derivatives Bill's Impact On Energy
• Institutional Investors As Class Representatives
• $125M Deal Awaits OK In Bristol-Myers Class Action
• CFTC Sues Pool Operator For Cheating Investors
• Feds' Suit Details Fallen Lawyer's Miami Vices
• Goldman Outrage Heralds Shareholder Activism On Pay
• Exchanges Want Clearinghouse Position Cap Scrapped
• Ohio AG Goes After S&P, Moody's, Fitch On ABS Ratings
• Investors Sue Rothstein For $100M Over Ponzi Scam
• Alfa, ING Keep Money In Enron Securities Dispute
• Santander Says It Performed Madoff Due Diligence
• Judge Won't Force Vivendi To Withdraw Paris Suit
• OppenheimerFunds Settles Ore. 529 Suit For $20M
• Post-Madoff SEC Report Targets Investigation Process
• Retalix Downs Investor Suit, Closes $33M Equity Deal
• AmeriFirst Trustee Refiles Law Firm Negligence Suit
• Quest Shareholders Drop Backdating Suit For $29M
• Wall Street Hype Vs. Outright Fraud: A Test Case Fails
• McCall Guilty Of McKesson-HBOC Fraud, Lapine Free
• Currency Trader Gets 24 Years For $18M Ponzi Fraud
• Del. High Court Affirms $10M Win For Italiana Coke
• Receiver Tapped In $14M Heartland Securities Case
• Judge Who Is Rothstein Receiver Accused Of Corruption
• SEC Hits Ex-Tvia Execs For Revenue Reporting Fraud
• Deloitte, Grant Thornton To Settle Parmalat Suit
• Merrill Moves To Dismiss ARS Complaint From MDL
• Targeting Manipulative Trading Of Electricity Contracts
• New UK Bill Would Let Public Take Banks To Court
• Treasury Secretary Aims To Refocus Financial Reform
• Stanford Victims Set Sights On Broker Pershing
• LMI Wants $50M Policy Out Of Stanford Defense Kitty
• ARS Investor Seeks To Dump FINRA As Arbitrator
• SEC Sues Big Apple Execs For CyberKey Fraud
• FINRA Fines MetLife Securities, Affiliates $1.2M
• Pension Trust Hits JPMorgan With ERISA Class Action
• Bracewell Snags Private Fund Expert From Skadden
• IPCS Settles With Shareholders Over Sprint Deal
• 2nd Plaintiff Joins Milberg Negligence Action
• Wells Fargo Agrees To Buy Back $1.3B In ARS
• SEC Investigates Insider Trading Of SVB Securities
• Rothstein Leaves Fla. Bar In Midst Of Ponzi Scandal
• Ex-Satyam Directors Try To Escape Investor Fraud Suit
• Sidley Lures Capital Markets Attorney In London
• Warranty Letters And D&O Defense Obligations
• Hyundai Heavy Wins $750M, Right To Buy IPIC Stake
• IPCS Shareholder Blasts Planned $831M Sale To Sprint
• Plaintiffs In BofA Securities Suit Get Access To Docs
• Obama's New Fraud Task Force To Span Government
• Intel Execs Face Shareholder Ire After AMD Deal
• Stanford Receiver Looks To Sell Sinking Investments
• $201M Offer For Silicon Storage Falls Short: Investor
• Ex-Mintz Levin, Choate Hall Partners Form New Firm
• Broadcaster Inc. To Reclaim Shares In Settlement
• Firms Urge Separate Counsel In Madoff Feeder Suits
• What Happens When Your Company Is 'In The Zone?'
• 11th Circ. Rejects HealthSouth Exec Sentence Again
• Judge Lets Texas Fund Arbitrate KeyCorp Unit Claims
• 5th Circ. Denies Stanford Receiver's Clawback Bid
• SEC PIPEs Suit Stands Against Hedge Funds, Manager
• SunOpta Settles Suit Over Stock Price Drop For $11M
• FTC Issues Compliance Guidelines For Oil Market Rule
• Regulating The Business Of Private Fund Advisers
• Schiff Hardin Pulls In Drinker Biddle Securities Partner
• SEC Sues Beazer CEO To Recoup Fraud-Derived Funds
• Horizon Sails Clear Of Investor Fraud Suit
• MetLife To Pay $50M To Resolve Policyholder Suits
• Congress Mulling Aiding And Abetting Legislation
• Shareholders Fire Off Suit Over Berkshire, BNSF Deal
• Investors Try To Resuscitate Morgan Stanley Suits
• Motorola Seeks Trading Info From Fired CFO
• Mayer Brown, Grant Thornton Take Aim At Refco Suit
• 3Com Hit With Shareholder Suit Over $2.7B HP Deal
• Marsh & McLennan Settles Shareholder Suit For $400M
• Md. High Court Ruling Allows Direct Shareholder Suits
• Sacramento Jumps Into Muni Derivatives Antitrust Fray
• Investors Seek Quick Win In $14M Heartland Suit
• FBI Arrests Madoff's Computer Programmers
• Insurer Fights Cox Communications Over $30M Policy
• Morgan Keegan Securities Suit Sent To State Court
• US Bank Sued Over $30M Loss On Securities Loans
• Banks Sue WestLB After $230M In Investments Go Sour
• Judge Hands Craigslist Evidence Win In EBay Suit
• Scottrade Seeks $13.8M For Hack Attack Losses
• FDIC Extends Rule Protecting Securities From Seizure
• Prosecutors Must Shift Tactics After Bear Loss: Experts
• SafeNet Settles SEC 'Non-GAAP' Suit For $1M
• Ex-Tyco Director Walsh Settles NJ Suit For $5.6M
• Former SAC Analyst Targeted In Galleon Probe
• Allied Evades Investors' Suit Over $77M Fraud
• FBI, IRS Seek Rothstein Ponzi Scheme Investor Info
• Boston Provident CFO Charged With Fraud
• Ex-Milberg Attorney Seeks To Toss Extortion Suit
• CalPERS Credit Rating Suit Remanded To State Court
• Dutch Co.'s $90M Fraud Suit Against State Street Nixed
• Ex-CyberKey Atty Settles Insider Trading Charges
• Stanford Mistress' Millions Targeted By Estate Receiver
• Vonage IPO MDL Plaintiffs Seek Approval Of $3.6M Deal
• SEC Nabs Cleary Gottlieb Partner For Director
• Investors Try To Drag Rothstein Firm Into Ch. 11
• Quest Energy Lashed With Investor Class Action
• Landry's Faces Shareholder Action Over $238M Deal
• ARS Investor Fights To Keep Citigroup In Court
• Wealth Management Exec's Claims Against SEC Nixed
• Secondary Liability Through The Back Door
• Dodd Draft Bill Proposes Bold Financial Overhaul
• Former Bear Stearns Execs Acquitted In Fraud Case
• Madoff-Era Bail Disputes Rife With Plot Twists
• Dooney & Bourke Founder Gets 1 Yr. For Oil Conspiracy
• SEC Chief Litigation Counsel Headed To DLA Piper
• Former AXA Broker Seeks $10M In Retaliation Case
• Jeweler Zale Hit With Another Investor Fraud Suit
• Marsh Settles ERISA Class Action For $35M
• Lawyer Ran Settlement-Based Ponzi Scheme: Feds
• Threshold Settles Shareholder Action For $10M
• Insider Trading In Light Of The Current Crackdown
• Developer Seeks To Toss $26M VesCor Capital Suit
• Ex-Judge Named Special Master In Fannie Mae Suit
• Understanding The 'Shareholder Bill of Rights'
• Ex-SEC Lawyer Confesses To Taking Dreier Money
• Nature's Sunshine To Pay $6M In Fraud Suit
• Investor Actions Roll In Over BNSF, Berkshire Deal
• Former Acting US Attorney Joins Cleary Gottlieb
• Dow Corning Smacks BB&T With ARS Suit
• Financial System Overhaul Slow, But Coming: Experts
• TD Bank Ordered To Hand Over Rothstein Records
• Jefferies Fund Manager Charged With Insider Trading
• Bankrupt Constar Off Hook In Securities Class Action
• Merix Securities Plaintiffs Win Class Certification
• BofA Shareholders Get Green Light To Query Firms
• Transmission Infrastructure By Public-Private Model
• Hong Kong Mulls Creation Of Class Action Regime
• Skype Founders, EBay Resolve Dispute Over Sale
• SEC Taps Adviser, Two Counsel For New Risk Division
• ERISA Plaintiffs Want Out Of Consolidated Madoff Suit
• Key Energy Seeks $1M From Insurer For Settlement
• Bank Of Montreal Trader Settles CFTC Fraud Suit
• Ex-GM Exec Pleads Guilty In $6.5M Kickback Scheme
• UK Fines UBS $13.2M Over Unauthorized Trades
• Ropes & Gray Atty Charged In Insider Trading Probe
• Former Asst. US Attorney Joins Sheppard Mullin
• Credit Suisse Win On Fraud Judgment Lien Reversed
• RadioShack, Employees Settle ERISA Action
• Pension Fund Fights SEC's Proposed VeriFone Deal
• Investors Slap Hansen Medical With Securities Action
• BearingPoint Disclosure Statement Gets Court OK
• Suit Claims Milberg Negligence Sank Securities Case
• Cincinnati Workers Granted Class Cert. In Anthem Suit
• Bad Faith Not Required To Break J&E Rule: 2nd Circ.
• Fowler White Lawyers Launch Securities Boutique
• Pension Fund Sues Over Berkshire, BNSF Deal
• Minority Investments By Private Equity Funds
• Coventry Sues Developers Diversified For $500M
• Value Line To Pay $45M Over Bogus Commissions
• Frank Asks SEC, CFTC For Input On Derivatives Bill
• JPMorgan Settles Ala. Muni Bond Claims for $700M
• Wachovia, Underwriters Assail Investor Class Action
• More Cases Stripped From Reserve Securities MDL
• New Rules For Online Proxy Materials?
• Judge Keeps Door Open On Citigroup Derivative Suit
• House Panel Tweaks, Clears Investor Protection Bill
• Q&A With Drinker Biddle's Bob Juelke
• Regions, Wyndham Take WexTrust-Tied Fight To Court
• Broker Sued Again Over Stanford Investments
• Final Approval Sought For $118M Broadcom Deal
• 9th Circ. Affirms Toss Of HP CEO Compensation Suit
• DLA Piper Nabs Baker & McKenzie Cross-Border Pro
• Jury Finds Former NYSE President Guilty Of Fraud
• ESOP Required Investment In Fannie Mae: Plan Leaders
• Madoff Accountant Pleads Guilty To Massive Fraud
• Shareholder Plaintiffs Drop Inphonic Securities Suit
• Ex-Qwest Accountant Slams SEC's New 'Evidence'
• SEC Drops Insider Trading Case Over J&J Deal
• Former SemGroup Exec Consents To Fine In SEC Case
• Former Enron Broadband CFO Evades Prison Time
• Investors Bash Reddy Ice Over Alleged Cartel Antics
• Grant Thornton KOs IMergent Securities Class Action
• Ocwen Drops Claims Against Citigroup In ARS MDL
• Who Can Enforce A Mortgage After A 'Landmark' Case?
• PMI Group Securities Action Survives Dismissal Bid
• GeoStar Seeks Immediate Axis Excess D&O Coverage
• High Court Aims To Define Mutual Fund Fiduciary Duty
• Pension Fund Looks To Lead Madoff Loss Suits
• BofA, Others Eye Settlements In SEC Muni Probe
• SEC Accuses 7 Of $8M Insider Trading Scheme
• Shareholders Drop AIG Execs From Fraud Suit
• Regulatory 'Round Holes' In OTC Derivatives Markets
• BearingPoint Shareholders Slam Ch. 11 Plan
• Investors Seek Class Cert. In Suit Against Stone Energy