Securities Archive » September, 2010

Securities - September, 2010

282 articles

• Securities Action Over Metaldyne Deal Gets The Boot
• Oppenheimer ARS Fraud Suit Dismissed
• Judge Issues Gag Order In Stanford Criminal Case
• Green Mountain Hid SEC Probe Before $250M Sale: Suit
• Doeren Mayhew Execs Can't Dodge $250M Ponzi Suit
• Another Inergy Investor Fights To Block $1.9B Merger
• Court Declares AIG's Bailout Doesn't Equal Default
• CNB Gets Another Would-Be ERISA Suit Dropped
• Consumers Urge High Court To Uphold AT&T Ruling
• AIG Reaches Agreement To Repay $182B Bailout
• Goldman's Tourre Moves To Toss SEC Claims
• SEC Fingers Ex-State Street Execs In Subprime Case
• Hedge Fund Manager Gets 6 Years In Petters Ponzi
• Another Look At Confidentiality Requests
• 2nd Circ. Throws Out DHB Shareholder Settlement
• Head Of Texas Firm Pleads Guilty To Securities Fraud
• Investor Suit Over Savient Gout Drug Reactions Fails
• Monsanto Loses Bid To Link Investor, Derivative Suits
• Regulators Tee Up First Dodd-Frank Rules
• 'Ordinary' Visteon Shareholders Fight Confirmation
• SEC Fines Ark $20M For Violating Client Covenant
• Broker Convicted Of Fraud Denied New Trial Bid
• Manatt Snatches White Collar Star From Covington
• Ex-Jefferies Fund Manager Denies Using Inside Tips
• BofA, Countrywide Dodge Subprime Securities Suit
• US Gov't, States Lose Asarco Cost Claims
• Apple Settles Options Backdating Litigation For $14M
• Penn Virginia Investor Seeks To Block $954M Deal
• SEC Case Against Integral Systems Execs Survives
• SEC Targets Mass. Investment Adviser For Fraud
• Pentagon Capital, SEC Prepare For 2011 Trial Date
• DOJ Deputy Chief Of Staff Returns To Covington
• SocGen Escapes Subprime Securities Class Action
• Honest Services Law 'Tainted' Black's Jury, Atty Says
• US Chamber Fights SEC Proxy Access Rule In DC Circ.
• Ambac Sues BofA, Countrywide For Mortgage Fraud
• Ex-Pegasus CFO Settles SEC $30M Fraud Suit
• SEC Backdating Suit Against Mercury Execs Pared
• The Proactive Approach To The Post-Dodd-Frank World
• 2nd Circ. Bars SEC Access To Galleon Wiretaps
• Westar Energy Exec Wants Records Expunged
• Morrison Ruling Applies To RICO Suits, 2nd Circ. Says
• Ex-Prosecutors Bring DOJ Tactics With Them To SEC
• Accusers Of Amaranth Win Class Certification
• 2nd Circ. Wrestles With Citi, S&P Stock Drop Suits
• 11th Circ. Nixes Ruling For Merchant Capital In SEC Suit
• Ex-Accesskey CEO Pleads Not Guilty To Stock Inflation
• Jones Day Snags Akin Gump Trial Vet In Houston
• Barnes & Noble Bests Burkle's Yucaipa In Proxy War
• FINRA Proposes All-Public Arbitration Panel Option
• SEC Goes After Theradoc Exec For Improper Transfers
• Nadel Wants 5-Year Sentence For His $162M Fraud
• Bringing FCPA Enforcement To Tobacco Merchants
• How To Structure An Airtight Class Action Deal
• 5th Circ. Orders Stanford Detained For 3rd Time
• SEC Will Have To 'Leverage' Resources: Schapiro
• SunOpta Settles SEC Investigation Over Statements
• Action Against AIG Over MBS, CDS Stays Alive
• Sallie Mae Dodges 1 Of 2 Securities Actions
• US Scraps Ex-Credit Suisse Broker Sentence Appeal
• Alleged Ponzi Schemer Released On $1M Bail
• GSK Drug Partner XenoPort Hit With Stock Drop Action
• Ex-Taylor Bean Chair's $2B Fraud Case Stays In Va.
• Charity Fingers SEC For $20M Lost In Madoff Scheme
• SIGTARP — A New Enforcer On The Block
• WaMu Judge Tells JPMorgan To Give Docs To Insurers
• 2nd Circ. Looks To NY Court In Argentina Bond Appeal
• 2 Nabbed For Insider Trading On Exxon-XTO Deal
• E&Y Sued Over Petters Feeder Fund Involvement
• Judge To Hear Gryphon Fraudster's Bipolar Claim: Atty
• Judge To OK Citi's $75M Subprime Deal With SEC
• Norges Bank Sues Citigroup Over $835M In Losses
• Calif. Reps Call For Probe Of Biovail-Valeant Deal
• A Review Of SEC Proxy Access Rules For Public Cos.
• Compensation Reform To Target Structure: Regulators
• Petters Co-Conspirator Fights 11-Year Sentence
• White Collar Defense Boom Lures Public Servants Away
• Convicted Ponzi Schemer Appeals 23-Year Sentence
• Aspen Tries To Duck Bill For Alleged $3M Stock Scam
• Enterprise Faces 2nd Shareholder Suit Over $9B Deal
• Bill Striking SEC FOIA Exemptions Heads To Obama
• Carlson Capital To Shell Out $2.7M Over Short-Selling
• Lincoln National Faces ERISA Suit Over Death Benefits
• Jeweler Admits To Securities Fraud, Conspiracy
• Investor Contracts Save Fund Manager In SEC Suit
• Ex-UBS Banker Cops To Possible Insider Trading
• House Lawmakers Call For Beefed-Up SIPC
• Nara Bancorp Prevails In $53M Derivative Action
• Senate Panel Clears 2 US Attys, 7 Judges
• Q&A With Latham & Watkins' Jeff Hammel
• Prosecutors Seek 20 Years For Ex-Parmalat Chief
• Planned Sentencing Changes Reward Better Compliance
• TARP Inspector To Review $3.5B GM-Americredit Deal
• Parkcentral Investors File Suit Over Fund's Collapse
• Man Accused Of $16M Ponzi Plot Against Christians
• Mark Cuban Wins Access To SEC Documents
• SEC Investigation Targets Vision Capital Advisors
• Cobalt Capital CEO Gets 3-Year Sentence For Fraud
• St. Jude Qui Tam Cases Spawn Derivative Suit
• Andrews Kurth Atty May Be Charged In Stanford Case
• DOJ Targets $268M Hedgeloan Securities Plot
• 6th Circ. Clears Ernst & Young Of Accredo Fraud Claims
• Another Ex-Delphi Exec Settles SEC Fraud Claims
• Shareholders Sue Arena Over Weight Drug Cancer Risk
• SEC Targets Lawyer Over Mak 1 Ponzi Scheme
• Geithner Optimistic On New Global Capital Rules
• DOJ, SEC Defend Pace Of Financial Fraud Prosecution
• Senate Repeals FOIA Exemptions For SEC
• SEC Accuses Atty, Fund Promoters Of $21M Fraud
• Sprint Seeks Ruling On Coverage For Securities Suit
• Accesskey Exec Accused Of Stock Inflation Scheme
• 7 Tips For Deposing A Class Rep
• Lancer Chief Challenges Bond Package In Fraud Case
• PotashCorp Goes To Court To Block $40B BHP Bid
• Netezza Shareholder Sues To Block $1.7B IBM Merger
• EU Approves Major Financial Regulatory Overhaul
• J&J Faces Shareholder Action Over Drug Woes
• Court OKs Schwab's $5.7M Deal With Investor Group
• Disney Secretary Admits To Insider Trading Scheme
• Underwriter, Traders Beat $1.3M Insider Trading Rap
• Madoff Victim Fights To Revive Claim Cut From Appeal
• AHLH Noteholders Enter Mediation With Lone Star
• Lehman To Settle With Societe Generale, Net $445M
• SEC's Mark Cuban Win Could Be Short-Lived
• Student Loan Investors Fight $600M Discover Buyout
• Cypress Investors Resist $163M Ramius Takeover Bid
• Skilling Ruling Doesn't Kill Dick's Fraud Suit, Feds Say
• Monster Exec's Appeal Could Affect Reporter Privilege
• Constellation Investors Take Another Shot At Fraud Suit
• CFTC To Roll Out First Dodd-Frank Rules Oct. 1
• Gryphon Head Says Bipolar Disorder Merits Trial Delay
• 7 Tips For Maximizing Your Time Before The JPML
• Fueling FCPA Enforcement
• Convicted Securities Fraudster Claims US Delayed Trial
• Convicted Securities Schemer Seeks New Trial
• Valeant, Biovail Settle Class Action Over $3B Merger
• 'Overbroad' Ruling On Bayou Fund Transfers Reversed
• Microtune Investor Fights To Block $166M Zoran Deal
• Jailed GM Fraudster Agrees To CFTC Trading Ban
• Proxy Firm Sides With Burkle In Barnes & Noble Fight
• Insurers Ditch Parmalat Securities MDL Against BofA
• Plaintiffs Bar Refuses To Admit Defeat Post-Morrison
• Fuwei Ends Investor Suit Over Chinese Assets For $2M
• The Value Of A Hotline In The Post-Dodd-Frank World
• Diamond Shareholder Looks To Block $378M PwC Deal
• SEC Proposes New Rules On Short-Term Debt Disclosure
• CME Group Fires Another Salvo In EFF Dispute
• Funds Accuse Merkin Of Funneling Assets To Madoff
• Countrywide Execs Must Face Trial In SEC Case
• Judge Boots Investor Class Action Against Deutsche
• GTSI Sues To Stop EyakTek's Planned Takeover
• Bristol-Myers, ZymoGenetics Hit With Suit Over Merger
• Morgan Stanley Execs Fight Suit Over $45B In Firm Pay
• Ex-Mercury CFO Pleads Guilty In Backdating Scheme
• HP's $1.5B ArcSight Deal Spurs Shareholder Suit
• Airgas Sues To Nix Rival's Takeover-Friendly Bylaw
• Warren Gets Top Spot At New Consumer Bureau: Report
• Slaine To Pay Nearly $1M To End UBS Trading Probe
• $2B Inergy Merger Would Shortchange Investors: Suit
• Senate Panel OKs Increased Access To SEC Records
• 8th Circ. Kills Suit Over Medtronic's Fidelis Disclosures
• IP Fraud Trial Against Headwaters Ends In $7M Verdict
• Dodd-Frank And The Future Of The Carbon Market
• CFTC Chair Touts 'Real Change' In New Swap Rules
• Dick's Execs Try To Nix Honest Services Fraud Claim
• U.S. Drops Case Against Last Nigerian Barge Defendant
• Basell Noteholders Sue BNY Mellon Over Lyondell Deal
• Forger Gets 5 Years For Petters Ponzi Scheme
• Air Products Nominees Win 3 Slots On Airgas Board
• Ex-SEC Employee Denies Role In Boiler Room Scam
• 'Foreign-Squared' Plaintiffs Ousted From Alstom Suit
• Fla. Man Pleads Guilty In $880M Ponzi Scheme
• 9th Circ. Limits Electronic Search In MLB Steroid Case
• Judge Tosses Most Of Subprime Suit Against ING
• Acura Accused Of Securities Fraud Over Acurox
• EU Targets Short-Selling, OTC Derivatives
• Wells Fargo Again Fends Off Baltimore Subprime Suit
• Standard Chartered Ducks Dubai Madoff Victims in US
• BCI Aircraft CEO Pleads Not Guilty In $50M Fraud Case
• Lehman Seeks Billions Over Payment Priority Flip
• 2nd Circ. Revives Class Action Over MF Global IPO
• Jailed Ex-Bancorp Exec Can Still Face SEC Charges
• CFTC Fines Vitol $6M For Market Disclosure Failure
• CDIB Accuses Morgan Stanley Of Subprime CDO Fraud
• Rigases' Conspiracy Case Back In District Court
• Petters Co-Conspirator Reynolds Gets 11 Years
• Fund Manager Committed Fraud In PIPE Deals: Judge
• Reserve Loses Bid To Stay Discovery In Securities MDL
• Ex-DHB CEO Convicted In $190M Stock Scheme
• Trader Seeks Dismissal Of Insider Trading Charges
• Fairfield Greenwich Can't Appeal Preemption Rulings
• Ex-Lampoon CEO Prison-Bound
• Madoff Judge Approves $35M For Baker Hostetler
• Harvard Prof's Proxy Access Case Against EA Revived
• When Cloud Computing Meets E-Discovery Obligations
• Acura Hit With Securities Suit Over Acurox Claims
• Citi Urges Judge To Approve $75M Deal With SEC
• Ex-Canopy CTO Pleads Guilty To Role In $93M Scheme
• Shareholders Sue Over $9B Enterprise Deal
• Petters Co-Conspirator Catain Gets 7 1/2 Years
• New Securities Suits Dip As Financial Crisis Fades
• King & Spalding Snags McDermott Private Equity Pro
• Promoter Of $100M Ponzi Scheme Enters Guilty Plea
• Ex-IBM Exec Gets 6 Months For Role In Galleon Ring
• Judge OKs $2M Deal In Stolt-Nielsen Securities Suit
• BofA Seeks Interlocutory Appeal Over Merrill Merger
• SunTrust, Morgan Stanley, Merrill Dodge Securities Suit
• Financial Reform 101: For Small Cos.
• Judge Nixes Ohio Funds' Claims Against Gen Re
• American Apparel Hit With New Investor Class Action
• Gemstar Exec Loses Bid To Revive Stock Fraud Suit
• Feds Widen Bribe Probe Of HP-Russia IT Deal
• Texas Ponzi Victims Can't Pursue Claims As Class
• Alleged Ponzi Schemer's Atty To Leave Case
• Money Manager Starr Pleads Guilty To Fraud Scheme
• No 'Free' Offense For Investment Fraudster: US Attys
• Ex-Prosecutor Joins Baker Hostetler In Cincinnati
• Ex-Mercury CFO To Plead Guilty In Backdating Case
• EBay Overturns Craigslist Poison Pill Plan
• SEC Clears Ferris Baker Watts Ex-GC In Fraud Case
• BK Investors Want It Their Way In $4B Sale To 3G
• Barnes & Noble Hits Back At Burkle's Bid For Power
• Bank VP 7th To Plead Guilty In Muni Bond Probe
• Probe Into BCI Investments Leads To More Charges
• Judge Won't Block $1.2B Dollar Thrifty-Hertz Deal
• Investment Fraudster To Serve 9 Years, Pay $30M
• Oil Exec's Assets Frozen In $17M Fraud Suit
• Genzyme Shareholder Sues Over Sanofi Bid Rejection
• Alleged Hedge Fund Fraudster Asks For Acquittal
• PMI Settles Shareholder Suit For $31M
• US Atty Taps Old Pro To Head SDNY Civil Fraud Unit
• Aiding And Abetting Liability: Don't Hold Your Breath
• Coke Bottler Settles Suit Over $12B Merger
• UK Watchdog Fines Goldman $31M Over SEC Info
• Trader Detained For Pretrial Release Violation
• Ex-National Lampoon CEO Sentenced To 45 Months
• Law Firms Should Focus On Top-Line Revenue: Report
• Refco Insurer Drops D&O Spat After Settlement OK'd
• SciClone Hit With Shareholder Suit Amid DOJ, SEC Probe
• BNY Mellon Back On Hook Over Lehman Losses
• Fund Manager To Serve 2 Years, Pay $3M For Fraud
• NewAlliance Investors Sue Over $2B First Niagara Deal
• Nadel's Wife Must Divulge Her Assets To Receiver
• Distinguishing Present From Future Under Safe Harbor
• Schwab Faces Another Action Over Bond Fund
• Syndicated CEO, Atty Can't Dodge $26M Bribery Suit
• 2 Firms Top Corp. Counsel's Securities Short List
• Lance Shareholder Sues Over Snyder's Merger
• Minority Freeze-Out Transactions Revisited
• Allergan Board Must Pay For $600M DOJ Deal, Suit Says
• SEC Fines Rating Agency Lace For Misstatements
• General Growth Reaches $5.8M ERISA Settlement
• CNG Hit With Class Action Over SEC Nondisclosure
• Petters Creditor Loses Bid To Oust Trustee
• Goldman Sachs Seeks To Toss Basis' $1.6B Suit
• Merkin To Pay $12.7M To Fund Over Madoff Loss
• Investment Firm Barred From Trading In Ponzi Suit
• Burkle Appeals Barnes & Noble Poison Pill Ruling
• Chesapeake Energy Securities Action Survives
• ADC Seeks To Settle Suits Over $1B Sale To Tyco
• Equity Holder Plan Values Tronox At $1.25B
• Keeping FINRA And The SEC From De-Friending You
• Whistleblower In $4B Ponzi Scheme Case Gets 1 Year
• BlackRock To Judge Insurers' Commercial Mortgage Risk
• In-House Counsel Predict Rise In Securities Spending
• SEC Settles Insider Trading Suit Over Pharma Deal
• SEC Orders Muni Advisers To Register By Oct. 1
• Madoff Victims Decry Bid For $35M In Attys' Fees
• SEC Ends Probe Of KB Home Accounting, Disclosures
• South Beach — Death And Taxes Assured
• Pitcairn Enters Ch. 11 To Fend Off Investor Takeover
• Ex-VeraSun Execs Cleared In Shareholder Suit
• SEC Probes 'Quote Stuffing' For Link To Market Crash
• Porsche Says Morrison Ruling Blocks Hedge Fund Suit
• Firm To Investigate 3G's $4B Deal For Burger King
• Shareholder Seeks To Block $943M 3M, Cogent Deal
• 5th Circ. Sides With JPMorgan In Dispute Over Merger
• Texas Man Cops To $485M Oil, Gas Ponzi Scheme
• 5 Cases Impacting Investors In Public Cos.
• Suit Over Deloitte Audit Of Adelphia Statements Nixed
• Skilled Healthcare Settles Securities Action For $3M
• SEC Accuses Halek, CBO Of $22M Oil Scheme