Securities Archive » April, 2010

Securities - April, 2010

253 articles

• Massey Offers Victims' Families $3M Each
• Moore Capital Settles CFTC Trading Case For $25M
• FXRE Subsidiary's Ch. 11 Plan Sparks Derivative Suit
• MBIA Fraud Claims Against Countrywide, BofA Live On
• Wachovia Fights Ruling Sending $9M CDS Feud To FINRA
• Casino Co. Loses $18M Extortion Suit Against Milberg
• Lead Plaintiff Appeals Toss Of AIG Derivative Suit
• Morgan Stanley, UBS Pay $14M To Settle CFTC Oil Case
• Citigroup Bests Head Trader's CDO Fraud Allegations
• Powerful, Persuasive PowerPoint Presentations
• Criminal Probe May Force Goldman's Hand: Experts
• Jury Convicts Ex-Doral Treasurer In $4B Fraud
• Goldman Considering Settling SEC Case: Report
• Secure Energy's Trade Secrets Case Trimmed
• Appaloosa Can't Break Into Stuy Town Foreclosure
• More Short Sellers Join Securities Suit Against Porsche
• CellCyte CEO Fraud Claims Can Move Forward
• Lionsgate Scrambles To Repel Icahn Takeover
• Investment Firm, Trustee Deals In Dreier Ch. 11 Nixed
• WaMu Directors, Deloitte Off Hook For Calif. Claims
• Ex-Credit Suisse Broker's Bail Revoked
• Congresswoman Asks DOJ For Goldman Criminal Probe
• What's Wrong With Stock Option Backdating?
• Long Island Mayor Gets 8 Years In Securities Fraud
• Ex-MF Global Trader Indicted Over $141M In Losses
• Senate GOP Relents On Finance Bill Filibuster
• Judge Won't Boot Moody's, S&P from Rhinebridge Suit
• SEC, CFTC Seek Funds For Vast Enforcement Upgrades
• FDIC Gets OK To Dispose Of $1B In BofA Assets
• Lawyers Spar Over Bear Stearns Stockholder Suit
• Geomas Settles Cityhub Patent Theft Suit
• Barclays Off Hook In Investment Firm's Toxic Asset Suit
• Canadian Regulators Crush Lions Gate Poison Pill
• Another Suit Filed Over $11B Qwest-CenturyLink Deal
• Mayer Brown Not Liable For Refco Fraud: 2nd Circ.
• NJ Suit Over Merrill Stock Conversion Stays Alive
• Boston Scientific Stent Fraud Class Action Tossed
• Ruling Lets French Investors Stay In Vivendi Class
• American Eagle Gets Do-Over In $258M Citi ARS Suit
• Navigating The Rocky Shoals Of Rule 1017
• Grassley Asks SEC Why Porn Surfers Weren't Axed
• Legal Landmines Surround Goldman Execs At Hearing
• Vioxx Ruling A Boost For Securities Suits: Attys
• Class Suit Accuses Goldman Of Concealing SEC Probe
• Senate Finance Bill Strikes Out For Second Time
• Ex-Rothstein COO Charged In $1.2B Ponzi Scheme
• Epiq Directors Settle Derivative Suit Over Backdating
• High Court Nixes Class Arbitration In Stolt-Nielsen Case
• Avigen, MediciNova Settle Shareholder Suit Over Deal
• Partial Settlements Under Oregon Securities Law
• Class Plans Appeal To Stop Argentina Exchange Offer
• Massey Faces Derivative Action Over Fatal Mine Blast
• Enron Exec Loses Appeal In Insider Trading Case
• Investors Seek To Revive Suit Against Fremont Execs
• Finance Bill Fails In First Critical Senate Vote
• Arena Shareholders Sue Over $6.2B SandRidge Merger
• Market Timing Claims Settled For Over $300M
• Merrill Investor Appeals ARS Class Action Dismissal
• State Street Tries To Squash FW Webb Subprime Suit
• Feds Probe Middleman In Duane Reade Securities Case
• Ernst & Young Added To Lehman Shareholder Complaint
• Securities Class Action Against Wells Fargo Pared
• SEC Watchdog To Probe Timing Of Goldman Suit
• Federal Seeks To Toss Omega's $5M Coverage Suit
• Judge Tosses Citi Brokers' Suit Over Bonus Loans
• Forms SF-1 And SF-3 And Changes To Shelf Eligibility
• Jury Finds Maxim CFO Liable In SEC Backdating Case
• WebMD Affiliates Fail In Appeal Over Fraud Coverage
• Goldman Faces Shareholder Suits Over Abacus Deals
• Staffers' Porn Habits Could Put SEC On Hook: Attys
• SEC Accuses Private Equity Manager Of $3.1M Fraud
• Ratings Agencies Bowed To Wall St. Pressure: Report
• Goldman Director Gave Rajaratnam Insider Tip: Report
• UBS, E&Y To Pay $250M In HealthSouth Fraud Case
• Bid To Stop Vote On $1.4B Zenith-Fairfax Deal Rejected
• GAO Offers Guidance On SEC, CFTC Harmonization
• Investment Manager JML Ducks Madoff Investor Suit
• Ex-SEC Lawyer Gets 8 Years In Pump-And-Dump Plot
• Transaction Adjustments In Convertible Securities
• Frontier Hid Bad Commercial Real Estate Loans: Suit
• Texas Oilmen Bilked Investors Of $16.6M: SEC
• Group Asks SEC To Review CVS Stock Sales
• Changes At SEC Should Make It Quicker To Subpoena
• Banks Fined Nearly $2M Over Alleged ARS Misdeeds
• Buyers Beware: Relaxing Due Diligence Could Be Fatal
• Cadwalader Lands DLA Piper Hedge Fund Pro
• 2nd Circ. Deaf To Countrywide Remand Appeal
• Bear Stearns Fights Mortgage-Backed Securities Suit
• Ashland Takes Morgan Stanley ARS Case To 2nd Circ.
• Madoff Investors' Suit Against SEC Tossed
• Millennium To Pay $99M Over Lehman Swaps
• Obama To Wall St.: Stop Fighting Finance Reform
• Moody's Subpoenaed By Financial Crisis Panel
• $4.5M MediCor D&O Settlement Approved
• Ex-KB Home CEO Convicted In Backdating Case
• Ex-Lehman CEO Must Arbitrate Breach Claims: Court
• 6th Circ. Affirms D&O Ban For Ex-MCA Financial CEO
• Movie Ticket Trading Plan Moves Closer To Approval
• DOJ Seeks To Intervene In Bond Price-Fixing Suit
• Grocery Honcho Charged In $880M Ponzi Scheme
• Senate Panel Clears Strong Derivatives Bill
• BHP Digs Up Possible Dirty Dealings Amid SEC Probe
• McGinn Smith Execs Raided Investment Funds: SEC
• Ex-Maxim CFO Blames Top Exec In SEC Options Suit
• GOP Questions SEC About Timing Of Goldman Suit
• FINRA Issues Private Placement Offering Guidelines
• Refco Underwriters Settle Securities Suit For $53M
• Greenberg Atty Leads New Perkins Coie Dallas Office
• Lincoln National Can't Shake ERISA Suit
• An Eye On Acquiring Minority Interests
• Italian Bank Ties Citigroup Into $47M Fraud Suit
• Gryphon Prez Arrested For Alleged $17.5M Stock Scam
• Barclays Seeks Dismissal Of Shareholder Suit
• CFTC May Patrol Exempt Commercial Market Contracts
• Godwin Loses Bid To Toss AmeriFirst Malpractice Suit
• Schwab To Pay $200M To Settle Investor Action
• Judge OKs Terms In SEC's Schottenfeld Deal
• Westport, PSCC Fed $16M To Madoff Ponzi: Conn. AG
• BarrierMed CEO Settles SEC $11M Fraud Suit
• Goldman Enlists Ex-White House Counsel In SEC Fight
• Are The New US E-Proxy Rules Really More Effective?
• Ex-Homestore CEO Gets 54 Months In Prison For Fraud
• Ex-Collins & Aikman CEO Settles SEC Case For $7M
• Bank Claims Merrill Guilty Of Same Fraud As Goldman
• Lawmakers Ask SEC To Widen Goldman Probe
• Staples Settles Shareholder Backdating Claims
• SEC's Goldman Complaint Could Prompt Deluge Of Suits
• Ex-Watermark Affiliate Pleads Guilty In $6M Ponzi
• The Evolution Of FINRA E-Mail Disciplinary Cases
• Shareholder Suit Seeks To Halt MAM-Emera Merger
• Calif. AG Seeks To Force Moody's To Answer Subpoena
• High Court Remands Class Action, Citing Shady Grove
• Lawmakers Look To Use Goldman In Reform Push
• SEC Sat On Stanford Case For Years: Report
• Goldman Hints At Strategy Against SEC Claims
• SEC Takes Big Gamble With Goldman Suit
• Securities Case Filings Remain Steady In Q1
• Fremont Stock-Drop Class Action Gets Go-Ahead
• More Demanded Of Plaintiffs In Financial Crisis Suits
• Societe Generale Wants Shareholder Suit Nixed
• Tycom Pays $79M To Settle Securities Suit Over IPO
• Ex-Morgan Stanley Trader Cops To Stock Loan Fraud
• Endorsing Gartenberg In Jones V. Harris Associates
• SEC Charges Goldman With Fraud In Failed CDO
• House Bill Would Insure Ponzi Feeder Fund Victims
• Robbins Geller Tops Securities Settlements At $1.6B
• Judge Tosses American National Suit V. JPMorgan
• Travelers, St. Paul Dodge Bank's Madoff Coverage Spat
• Quadrangle Resolves SEC, Cuomo Probes For $12M
• UTStarcom Pays $1.5M To Settle SEC Action
• Pension Fund Seeks To Revive Amaranth Securities Suit
• CNX Investors Slam $960M Consol Stock Purchase Bid
• Whither The SEC? For Now, No Place New
• Republic Fraud Suit Against Bear Stearns Tossed
• Image Entry CEO Cops To $2M Fraud
• SEC Plans To ID Large Traders, Limit Options Fees
• SEC Suit Against Ex-Delphi Execs Heads For Trial
• Jury Convicts AmeriFirst Principal Of Fraud
• Longview Financial Blames Demise On Castle Arch
• Sens. Grill Holder On Securities, Health, Antitrust
• Lehman Examiner Names Auction Players In Full Report
• Utilicraft Founder Sues Freight Feeder Over Asset Sale
• Moody's, S&P Want Out Of Merrill Lynch ARS Case
• White House, Senate Square Off On Finance Reform
• Shareholder Suit Against Ex-HomeBanc Execs Tossed
• A&F Wants Federal Sanctioned Over Unpaid Costs
• Lincoln Takes Tough Stance In Derivatives Bill
• 10th Circ. Backs Fraud Judgment For Stock Promoter
• Top DOJ Bribery Prosecutor To Join Paul Weiss
• Outlook Is Dim For Securities Litigation: Lerach
• SEC Renews Bid For Judgment In Nacchio Case
• SEC Appeals Toss Of ESSI Exec Backdating Suit
• Former EBay Counsel Rejoins Bingham IP Group
• Senate Investigation Finds Fraud At WaMu
• WexTrust CEO Pleads Guilty In $255M Ponzi Scheme
• Financial Adviser Admits To Role In $11M Ponzi
• National Union Loses Bid To Evade $40M Cox Deal
• Ex-Northern Rock Execs Fined For Alleged Misreporting
• Double Derivative Claims Fall Flat Post-Merger
• Boston Sci Misled Investors After Guidant Deal: Suit
• MIG Appeals Loss In Paul Weiss Malpractice Suit
• Fla. Couple's ARS Suit Against Wachovia Tossed
• Lionsgate Asks Shareholders To Block Icahn Bid
• Trustee Accuses Bruno's Execs Of Trashing Company
• Hedge Funds Pull Plug On $554M Argentina Bond Appeal
• Bingham Snags Ex-FINRA Enforcement Chief
• Morgan Stanley Can't Exit Muni Bond MDL: Judge
• JHS, Hyde Park Sue To Escape GunnAllen Liability
• Indirect Deception: Eroding Fraud-On-Market Theory
• 11th Circ. Affirms $5M Ponzi Scheme Judgment
• Judge Trims $5.7B MBIA Swaps Case Against Merrill
• FRB Finds Banks Manipulate Debt At Quarter-End
• Haynes & Boone Scores SEC Heavyweight
• NY Man Gets 3 Months For Taking UBS Broker Tips
• Jailed Commodity Trader To Hand CFTC Over $30M
• Reed Says Rating Agencies Trying To Kill Reform Bill
• ERISA Helps Smith Barney Partly Escape Duty Claim
• Huron Asks To Stay $57M Earnings Suit For 2nd Time
• Another Weapon In The Midsize Firm Arsenal
• Stanford Hires Dershowitz As Defense Consultant
• Investors Sue Vanguard Over Offshore Gambling Cos.
• Petters Gets 50 Years For $3.7B Ponzi Scheme
• Mass. Targets Merrill Lynch $39M Securities Sale
• Court Won't Alter Stay In Infineon Shareholder Case
• Plaintiffs Seek To Revive Holland & Knight Ponzi Suit
• Bioenvision Shareholder Suit Rightly Nixed: 2nd Circ.
• Citi Subprime Class Action Barely Survives Toss
• Iqbal's Impact On SEC Enforcement Actions
• SEC Begins Testimony In Landmark Trial Over CDS
• 3rd Circ. Affirms Slimmer Case Against Ex-BMS Exec
• Geithner Urges EU To Revise Hedge Fund Rules
• Investors Seek To Revive $1.5B Lehman Minibond Spat
• CMA Capital, Owner Ran $4.5M Forex Ponzi: CFTC
• SEC Proposes New Rules For Asset-Backed Securities
• Morgan Keegan Hit With SEC, FINRA Fraud Claims
• Ex-Booz Allen Execs Fail In Bid For $60M From Sale
• Fujitsu Ex-Prez Threatens To Sue Over Lost $53M Deal
• Funds Sue Deutsche Bank For $22M In Swaps Spat
• SEC Names First-Ever COO For NY Office
• Sears Prevails In Kmart Real Estate Securities Suit
• A Second Look At FCPA And SOX
• Former Spirit Execs Sue Macquarie Over Capital Freeze
• Stanford Wins Latest Bid To Switch Attys In Fraud Case
• Residential, Underwriters Still Face MBS Class Claims
• Parallel Proceedings: To Stay Or Not To Stay?
• 2nd Circ. Hears Case Over FINRA Fining Authority
• Ex-Symbol Tech CEO Fights SEC Bid To Disgorge $66M
• Judge Puts Hold On Schottenfeld-SEC Galleon Deal
• NeoPharm Investors' Class Action Trimmed
• Moody's, Others Cleared In Merrill Lynch MBS Suit
• Gartenberg Ruling Knocks Out Ameriprise Fee Case
• Sunwest Receiver Goes After Broker Commissions
• Securities Fraud Complaint Against Paramount Tossed
• KPMG Nixed From Another Madoff-Related Feud
• Chinese Education Co. Didn't Mislead Investors: Judge
• Judge Tosses Gabelli Fund's Pyramiding Suit
• Are Coal Ash Management Controls On The Horizon?
• SEC Names 1st Chief Compliance Officer
• Chase Not Liable For Enron Filings: NY High Court
• MBIA Fails To Dismiss Mortgage-Backed Securities Suit
• Daimler Agrees To Pay $185M In FCPA Cases
• Plaintiffs Take MEMC Securities Suit To 8th Circ.
• $750M Shareholder Suit Against Marvel, Stan Lee Nixed
• Acorn Capital Head Indicted Over Ponzi Scheme
• JPMorgan Wins Judgment In ERISA Class Action
• Rising Star: Cahill Gordon's Adam Zurofsky
• SEC Mulls Revising Asset-Backed Security Rules
• Rising Star: Gibson Dunn's Aric Wu
• Schwab Unlawfully Changed Mutual Fund Terms: Judge
• Merrill Lynch ARS Class Action Thrown Out
• Suit Over Holland & Knight Role In Nadel Scheme Nixed
• New NY Civil Fraud Unit To Combat Financial Frauds
• Alternative Fee And Billing Arrangements: A Primer