Securities Archive » January, 2011

Securities - January, 2011

282 articles

• Trade Group Asks SEC For Answers On Expert Networks
• Maxwell Tech To Pay $14M Over FCPA Allegations
• Broker Manipulated Rice Futures, Trader Class Says
• UK Bribery Act Faces 2nd Delay
• Nutter Atty To Aid Mass. In SEC Goldman-Cahill Probe
• Tourre Loses Bid To Delay Depositions In SEC Fight
• Bankrupt Vertical Founder Sent Into Liquidation
• Velvel Loses Latest Appeal Bid Against Madoff Trustee
• WaMu Underwriters Can't Shake Securities MDL
• Guggenheim Imposters Charged For Investment Scam
• Implementing The SEC Whistleblower Program
• VeriFone Investor Can See Info Despite Suit: Del. Court
• McKinsey Cries Foul Over Rajaratnam Subpoena
• Conn. Bank Hits Countrywide With Subprime Action
• Feds Call Dismissal Bid By Madoff Aides 'Frivolous'
• Judge Hits Minn. Ponzi Mastermind With $85M Penalty
• Hearst To Buy Lagardere Magazines For €651M
• Ex-Sky Capital Brokers Cop To $140M Fraud Scheme
• Investors Hit Icahn Over 70 Cents-Per-Share XO Offer
• COFC Correct Venue For FDIC Contract Suit: Fed. Circ.
• SEC Fights Tourre's Bid To Delay Depositions
• French Regulator Had No Evidence To Indict: Lagardere
• NovaMed Investors Move To Block $214M HIG Merger
• 'CHiPs' Star Escapes Jail Time For Penny-Stock Scam
• Akin Gump, Sydow Clash Over Stanford Suit's Venue
• Disney Secretary's Boyfriend Gets 2 Years In Fraud Plot
• Rothstein Partner Settles With Bankruptcy Trustee
• Convicted Lancer Fraudster Remains On Hook
• Ala. High Court Upholds $3B Scrushy Fraud Verdict
• Ky. Bank To Take Merrill Lynch ARS Suit To 2nd Circ.
• Dean Execs Defeat Shareholder Suit Over Milk Monopoly
• US Says Deleted Texts Held No Evidence In FCPA Case
• Another AIPC Exec Strikes Deal In SEC Fraud Suit
• Judge Likely To Rule On Airgas Poison Pill Feb. 8
• SEC Study Urges Unified Website For Investor Info
• Goldman's Tourre Seeks Deposition Delay In SEC Suit
• Ore. Hits Countrywide With $14M Subprime Suit
• NY AG's Office Beefs Up Fraud-Fighting Units
• Ex-Bank Exec Cops To Insider Trading Scheme
• 'CHiPs' Star To Get Lower Sentence In Fraud Case
• Dechert Tapped For Probe Of Ex-HP CEO's Exit Deal
• Aspen Exploration Owners Plead Guilty In $56M Fraud
• World Fuel Defendants Can't Duck Insider Trading Suit
• SC Sues BNY Over $200M In Subprime, Lehman Losses
• Smart Technologies Faces Class Action Over $660M IPO
• Culture Shock: Private Equity Under The Microscope
• Financial Crisis Was Preventable, Report Says
• Pulsar Re Says Lehman Looted $450M Ahead Of Ch. 11
• Stanford Ruled Incompetent To Stand Trial
• CDR Asks Judge For 15-Month Delay In Bid-Rigging Trial
• Dell Worker's Insider Trading Suit Counterclaim Nixed
• MissPERS Seeks Return To $950M RBS Securities Suit
• Money Manager Indicted Over Regulator Death Threats
• Ex-Lancer Exec Loses Bid To Nix $200M Fraud Case
• Lack Of Communication May Cripple Say-On-Pay
• CFTC Uses New Forex Authority To Sue 14 Dealers
• 2 Ex-Galleon Traders Plead Guilty As Trial Nears
• House Panel Absolves Lawmakers In Fundraising Probe
• Asset Managers Face New CFTC Disclosure Rules
• 8th Circ. OKs Online Research Fees For Attys
• Nadel Receiver Reaches Deal With Calif. Investor
• Madoff Investors Slam SEC, Sue Agency For Negligence
• Wiretaps, Electronic Searches And The 4th Amendment
• UK Fines Barclays $1.8M For Mixing Client Funds
• Manhattan DA Wants To Give Martin Act More Bite
• Air Products Challenges Airgas' Poison Pill
• Jailed Qwest Telecom CEO Settles With SEC
• Duane Reade Execs Win Bid To Bar New Loss Models
• Dorsey Wins $2M From ClearOne For Perjury Case Fees
• SEC Seeks Truth About Ill. Pension Reform Savings
• Ex-Thornwater Exec Pleads Guilty In $140M Fraud Case
• FASB Backtracks On Fair Value Accounting
• Watchdog To Probe SEC's Lease Policies
• Canada Help In US Fraud Case Holds Up: 9th Circ.
• Merrill Lynch Settles SEC Fraud Charges For $10M
• Investors Say Coinstar Pumped Up Redbox Prospects
• Man Claims Insanity In $15.8M Ponzi Scheme Case
• Venture Financial Strikes Deal In ERISA Action
• Retirees Can't Sue Over Enron Losses, JPMorgan Says
• SEC Passes Say-On-Pay Rule In Tight Vote
• House Reps Tussle Over Funding For Finance Regulation
• ISS' Updated Proxy Voting Recommendation Policies
• Sidley Snags Global M&A Pro From Jones Day
• Investors Hit Countrywide With Subprime Fraud Suit
• SEC Orders Ex-SpatiaLight CEO To Pay $3.3M
• Ex-New York Financial Head Cops To $1.6M Fraud
• Bear Stearns Securities Action Survives Dismissal
• Cahill Adds Asst US Atty To White Collar Group
• Ex-Innospec CEO Settles SEC Claims Over Iraq Bribery
• SEC Calls For Uniform Fiduciary Duty Standard
• Urban Outfitters Chair Sued Over Short Swing Profits
• Dodd-Frank: Rating Agencies And The ABS Market
• Former Madoff Worker Hits Back At Atty Fee Freeze
• High Court Won't Review $65M RBC Securities Verdict
• Terra Ex-Controller Gets 2 Years For Bribery Scheme
• Allergan Investor Suit Over Botox Deal Put On Hold
• Ex-HP CEO Fights To Keep Accuser's Letter Private
• Ex-World Fuel Exec Settles SEC Insider Trading Suit
• Ex-Lehman Execs Want Savings Plan Action Tossed
• Morgan Stanley Banker Linked To Galleon Case
• Office Assistant Pleads Guilty In $8M Ponzi Scheme
• Court Refuses To Give Lancer Insider Settlement Docs
• Toyota Calls For Toss Of Investor Suit Over Recalls
• French Court Convicts Ex-Vivendi CEO For Fraud
• British Waste Exec Gets 2 Years For Insider Trading
• The Rise Of 3rd-Party Litigation Funding
• Funds Frozen In Seattle Genetics Insider Trading Case
• Tribune Co. Blasts Noteholder Doc Request
• SEC Sues West End Investment Firms For Fraud
• 10th Circ. Affirms Grant Thornton Win In IMergent Suit
• 9 Mistakes Companies Make In Consumer Class Actions
• SEC Adviser Oversight Rules Fall Short: Report
• 2 Ex-IKB CEOs Off Hook in Rhinebridge Class Action
• 2nd Circ. Probes Toss Of AOL-Time Warner Merger Row
• HP Derivative Case Stayed For Probe Of Ex-CEO's Exit
• SEC OKs Disclosure Rules For Asset-Backed Securities
• CFTC Seeks To Streamline Agricultural Swaps
• MF Global Strikes $90M Deal In IPO Action
• Feds Accuse Life Insurance Bond Co. Of $670M Fraud
• Merrill Moves To Nix Funeral Investment Suits
• Ex-Taylor Bean Chief Chases Docs In $2B Fraud Case
• Nearing Trial, Lancer Insider Seeks Settlement Info
• Conexant Faces Shareholder Suit Over $284M Merger
• Tearful Chiesi Pleads Guilty To Insider Trading
• Judge Denies Class Cert. In RBS Subprime Action
• FCPA Can't Save $149M Alcatel-Lucent RICO Suit
• J.Crew Settles Shareholder Action Over $3B Sale
• Trustee Sues JPMorgan Affiliate For Mortgage Records
• D&O Insurance, An Overview: Part 2
• Puerto Rico Bank Popular Hit With Shareholder Suit
• Morgan Stanley Employee Class Claims Fall Short
• Openness, Oversight Key To Carbon Markets: Report
• 9th Circ. Revives 24 IPO Suits Against BofA, Others
• Fund Ex-Manager Nabbed For Alleged $3.5M Fraud
• 2nd Circ. Revives Parmalat Venue Dispute
• NextStep Founder Gets 16 Years For $6M Ponzi Scheme
• Ex-Lancer Exec Can't Shake $200M Fraud Case
• SEC Unveils Rules For Documenting Derivatives Market
• High Court Refuses To Hear Stanford's Bail Appeal
• Tronox Wins OK For Environmental Settlement
• CORRECTED: Mixed Verdict For Delphi Execs In Fraud Case
• Barclays To Pay Up To £67M In Investor Advice Probe
• White House Embarks On Regulatory Overhaul
• Case Study: Matrixx Initiatives Inc. V. Siracusano
• German Firms Sue Citigroup Over $150M In Losses
• SEC Rankles Financial Firms With FCPA Probe
• SEC Hits Former MediCor CEO With Fraud Suit
• Hedge Funds Appeal $4B WaMu Securities Win
• Ex-Ropes & Gray Atty Cops To Galleon Trading Plot
• Money Manager Threatened To Kill 47 Regulators: FBI
• AIG Unveils Plan To Pay Back Rest Of $182B Bailout
• SEC Blasts Hedge Fund Adviser Over $53M Self-Dealing
• Dorsey Nets Porter Wright Securities Litigation Head
• Advanced Tech To Pay $19M Over Illegal Stock Sales
• FirstEnergy, Allegheny End Securities Suit Over Merger
• Directors And Officers Can't Hide In Del.
• Judge Orders Hedge Fund Manager To Pay $1.4M
• CytoCore Exec Settles Insider Trading Allegations
• CFTC Eyes Black Diamond Execs Over $35M Ponzi Plot
• SEC Drops Suit Against Dead Madoff Feeder
• Moody's, Fitch, S&P Escape Securities Action
• Health Food Co. NutraCea, Execs Settle Fraud Suit
• Ex-Perot Trader Faces 10 Years For Securities Fraud
• Ex-Lawyer Can't Evade Disbarment Over $20M Fraud
• Feds Wait On High Court For Conrad Black Retrial
• DOL Asks 6th Circ. To Revive KeyCorp ERISA Action
• Ex-Home Diagnostics CEO Charged With Insider Trading
• US Wants Stanford Evaluated In Government Facility
• Highlights: 2010 Dodd-Frank Initiatives
• NY Pension Fund, BofA Settle Subprime Suit For $4.25M
• Judge OKs $7.2B Picower Settlement In Madoff Case
• Judge Guts Royal Bank Of Scotland Securities Action
• CFTC Adopts Proposed Position Limit Rule
• Wall Street Faces New FINRA Disclosure Rules
• Insider Trading Case Over Tech Cos. Sent To NY
• NIC, Execs To Pay SEC $2.8M Over CEO Perks
• Morgan Stanley Seeks Dismissal Of Doc Demand Suit
• SEC Renews Push For Wiretaps In Galleon Fraud Suit
• CFTC Delays Rules To Curb Banks' Voting Power
• Judge Keeps McGinn Smith Exec's Trust On Ice
• La Madrid To Pay $7M For Hedge Fund Fraud
• Jury Inches Closer To Verdict For 2 Ex-Delphi Execs
• Ex-KB Home CEO Drops Appeal In Backdating Case
• Radical Bunny Managers Want SEC Fraud Case Nixed
• Norwegian Investors Hit Citi With Securities Suit
• D&O Insurance, An Overview: Part 1
• Latham Adds Broker-Dealer Partner In NYC
• Senators Prod CFTC To Tighten Energy Position Limits
• SEC Triumphs In Canadian Trading Case
• CMBS Specialist Boosts Sidley's Finance Practice
• Lawmakers Probe $3.3B Loan Deal With BofA, Ally
• CFTC Accuses Calif. Man Of $14M Ponzi Scheme
• Schwab Units Strike $119M Deal In YieldPlus Case
• Criminal Charges Fly Against Former Pegasus Execs
• Investors Ask 2nd Circ. To Revive Moody's, S&P Claims
• 8th Circ. Grills SEC In ESSI Exec Backdating Suit
• Ex-PGR Analyst Pleads Guilty To Insider Trading
• Khuzami In Hot Seat Over $75M Citi Settlement
• Does Securities Enforcement Make Corps. Stronger?
• Forex Dealer Accuses CFTC Of Flubbing Hedging Ban
• Justices Mull Drug Disclosures In Matrixx Fraud Case
• Securities Group Of The Year: Paul Weiss
• Charity Sues Accountants Over $10M Bloom Fraud
• PwC Beats Reconsideration Bid In Lipper Case
• SEC Sues 4 In Galleon Insider Trading Case
• WexTrust Ponzi Defendant Asks To Ditch Attys
• With UK Deal, US Gains Access to Lehman Audits
• HealthSouth Wins Appeal In Search For Scrushy Assets
• 3 Plead Guilty To UK Insider Trading Plot
• BofA Spared Costs In $144M Investor Fraud Suit
• 3 Ex-AOL Execs Fail To Exit SEC Fraud Suit Over Ads
• Fortis Dutch Fraud Suit Could Enable Non-US Claims
• The SEC's Willingness To Spare Cooperators
• Qualcomm's $3.2B Bid For Atheros Too Cheap: Septa
• Sprint Nextel Loses Bid To Toss Merger Suit
• Ex-Telco Exec Settles SEC Kickback Suit
• High Court To Take Up Halliburton Fraud Case
• Baker Botts Partner To Head PCAOB
• CalPERS Probe Hints At SEC's New To-Do List
• Securities Groups Of The Year: Ropes & Gray
• Regulator Bends Rules For Hermes In Face Of Takeover
• Stanford's Trial Delayed Over Mental Competence
• Tronox Asks Court To Sign Off On Truce With SEC
• SEC Comes Down On $60M Ponzi Scheme
• CFTC Preps Vote On Derivative Swaps Position Limits
• WaMu Investors Win Class Cert.
• UBS Tip Recipient Cops To Insider Trading
• Ex-Madoff Aide Wins Release After Judge Cuts Bail
• MBIA, RBC Drop Subprime CDS, Restructuring Suits
• What Did You Know, When Did You Know It?
• SEC Questions Goldman On Facebook Offering
• Ambac Execs Can't Shake ERISA Action
• Bond Insurer Hits Goldman With $120M Abacus Suit
• Broker Gets 32 Months For Swindling Clients
• Fla. Penny Stock Pump-And-Dumpers Cut Deal
• Verenium Beats $3.8M Stock Conversion Suit
• Securities Group Of The Year: King & Spalding
• Ex-Equipment Finance Execs Settle Fraud Suit
• Ex-Westar Exec Loses Bid To Clear Record
• Locke Lord Nabs Katten Muchin Corporate Pro
• A Look At Australia's New PPSA
• Judge Shuts Door On Medtronic ERISA Action
• Madoff Trustee Wins OK For $500M Union Bancaire Deal
• Securities Group Of The Year: Gibson Dunn
• Judge Scraps Barclays Securities Class Action
• SEC Backs Off Indicted Richards Layton IT Guy For Now
• 9th Circ. Overturns Win For Accused Korean Embezzler
• Danica Named Lead Plaintiff In Transocean Suit
• Shareholders Join Suits In XenoPort Stock Price Case
• Anadarko, KMG Can't Escape Tronox Securities Case
• 2nd Circ. Targets AXA Tactics In Retaliation Suit
• Feds Defend Use Of E-Mails In $200M Lancer Case
• Morrison Shortens The Long Arm Of The Law
• Galleon Defendants Can't Shake Insider Trading Case
• 2nd Circ. Spares UBS From $40M Arbitration Claim
• La Madrid Brothers Cop To $30M Hedge Fund Fraud
• Del. High Court Affirms Dismissal Of PwC Fraud Suit
• DOJ Wins Access To Docs In CDR Bid-Rigging Suit
• LaserCard Shareholder Sues To Block Sale
• Securities Group Of The Year: Cravath
• Madoff Investor's Suit Over $6.6M Divorce Deal Revived
• Goldman's Facebook Stake May Force SEC's Hand
• Judge OKs $3.25M Class Deal In Orion IPO Suit
• DC Circ. Rules Against Broker In NM Kickback Case
• US Says High Court Ruling Can't Kill $200M Lancer Case
• Oracle Derivative Suits Survive Venue Fight
• Networking Insider Trading Defendants Win Bail Deals
• A 'Storm Warning' For The Reinsurance Industry
• Prosecutors Seek 1-Year Sentence For Ex-Mercury CFO
• Malaysian Telecom Cos. Eye Alcatel Over Bribes
• Alcatel-Lucent Settles SEC Bribery Case For $45M
• K&S Claims It Overpaid Rohm & Haas For Morton Salt
• BofA Pays $3B To Freddie, Fannie In Subprime Deal
• Judge Denies Bail In Marvell Insider Trading Case
• Ex-Madoff Operations Chief Seeks To Toss Indictment
• Law360's Securities Groups Of The Year
• Pimco Settles Short-Seller Action For $92M
• DOJ Knocks SEC, CFTC Derivatives Proposals
• Rattner Settles Pension Kickback Claims For $10M
• The Global Squeeze On Insider Trading
• Judge Lifts Litigation Hurdle To Porsche-VW Merger
• Feds Lose Bid To Revoke Ken Starr's Bail