Securities Archive » February, 2015

Securities - February, 2015

478 articles

• Manager Took From Uber Fund To Pay Twitter Investors: SEC
• $118M Rennert Verdict Serves As Costly Cautionary Tale
• SEC's $300M Wyly Judgment Is Only Half The Battle
• Texas High Court Won't Rehear Exxon Bonus Plan Suit
• Bank Regulators Watching NY's Money Laundering Crackdown
• Dole Expert Must Have 'Body And Brain,' Del. Chancery Says
• Ontario Regulator Bans Ex-Media Mogul From Executive Roles
• Planemaker Bombardier Closes Upsized $868M Equity Offering
• 4th Circ. To Eye Insider Trading Plea After Newman
• 2nd Circ. Won't Put UBS On Hook For $2.3B In Trader Losses
• BofA Looks To Nix $600M Ambac Suit Over Countrywide RMBS
• SEC Enforcement Bound By 180-Day Deadline, DC Circ. Hears
• Revolving-Door Roundup: Paul Weiss, DLA Piper, Cadwalader
• SEC Settles With Japanese Banker In $2B Olympus Scandal
• SIFMA Tells 5th Circ. Repose Law Kills FDIC's $2B RMBS Suit
• Venable Atty's Lapses In Bebo Suit Cost $5M, Suit Says
• Rennert Hit With $118M Verdict Over MagCorp Bankruptcy
• Best Buy Tells 8th Circ. Investor Class Must Go
• Feds Nab 'Billionaire' In $2.5M Wire Fraud Ponzi Scheme
• Bankia Will Cap Compensation For IPO Bust At $350M
• SEC Sues Over $23.5M Wings Network Ponzi Scheme
• 2 Delaware Cases May Slow Appraisal Arbitrage Momentum
• Dropped Herbalife Insider Case Leaves Questions Unanswered
• Wyly Brothers Ordered To Pay $299M To SEC In Fraud Case
• Judge Unseals Warrant That Drove Chiasson's Arrest
• Davis Polk, BigLaw Brethren Rack Up Billables On MBS Deals
• Bharara Sued Over Insider Trading Raid On Hedge Fund
• NY AG Whistleblower Plan May Make SEC Up Bounty Game
• DOJ Grabs Headlines With $2.6B MBS Deal, But Little Else
• St. Jude Medical Puts Up $50M To Settle Investor Suit
• Mayer Brown Adds Ex-Morgan Lewis Atty To Securities Group
• 3rd Circ. Keeps Carlyle Investor Battle In Delaware Court
• Ex-McGinn Smith Brokers Punished In $125M Scheme
• CFTC Suit Claiming Atty Aided Investment Scam Can Proceed
• $400M Pfizer Class Action Settlement On Track For Approval
• RBS Bid To Escape MBS Suit Is Improper, NCUA Says
• Mexican Airline Withheld Info Ahead Of $2B IPO, Suit Says
• JPMorgan, Deutsche Ordered To Give Argentine Bond Docs
• Wachtell Ducks Icahn's Malpractice Claim Over Deal Fees
• Ex-Logica Manager Pleads Guilty To Insider Trading
• Yates: A Welcome End To Prosecutorial 'Fishing' Expedition
• OSG Investors Agree To Settle Suit Over $435M Tax Debt
• Activist Investors Seeking REIT Spinoffs After IRS Change
• 2nd Circ. Wary Of CarVal's Quest For Lehman Customer Status
• Ex-Milbank Atty Gets 15 Months For Investment Fraud
• Biofuel Execs Can't Waive Atty-Client Privilege, US Says
• Fontainebleau Reaches $115M Deal With Resort Investors
• Lenity And Deference On A Collision Course
• NY AG To Push Whistleblower Rewards Program
• Ex-Dewey Execs, DA Trade Barbs Over Trial Evidence
• Attorneys React To High Court's Sarbanes-Oxley 'Fish' Ruling
• High Court SOX Fish Ruling Cuts Hole In Prosecutors' Net
• SEC Cites 'Misleading' Life Partners Release In Trustee Bid
• Law Profs Blast Bharara's Appeal Of Newman Decision
• 5th Circ. Reverses Poultry Co.'s $30M Tax Deficiency
• Objector Says LBO Antitrust Attys Want To Relitigate Fee Fight
• Receiver Says 11th Circ. Erred In Nadel Clawback Ruling
• ACA Backers Take Heart In High Court's SOX Ruling
• Nelson Mullins Picks Up Securities Litigator
• Cadwalader Taps US Atty To Anchor NC White Collar Group
• Morgan Stanley To Shell Out $2.6B To End MBS Probe
• General Cable Sets Aside $24M After FCPA Investigation
• SEC Admin Judge Defers Ruling In Insider Trading Case
• Deutsche Bank Recruits DOJ Vet For GC Post
• GOP Sen. Probes FINRA On Risk Data Plan
• Lawsky Says Final BitLicense Coming Soon With Few Changes
• Recent Lessons In Anti-Money Laundering Compliance
• Forum Selection Pays Off For Big-Ticket Deal Makers: Report
• Cooperator In Galleon Insider Trading Probe Avoids Prison
• Ex-Dude Ranch Owners Can't Dodge Cap. Gains Tax: 7th Circ.
• GOP Bill Aims To Block DOL's Financial Adviser Regs
• NJ-Based Finance Whiz Admits To Stealing Investment Funds
• Fla. General Partners Denied Madoff Loss Coverage
• Activist Reignites Calls For Shakeup At Electra PE
• NY Weighs Holding Top Execs Responsible For AML Controls
• FINRA Fines First New York For Rep's Japan Insider Trading
• Expect More Data Analytics, 'Hard Punches' From The SEC
• SEC Mulling Bank Secrecy Act Cases Against Broker-Dealers
• Justices Say SOX Shredding Provision Doesn't Apply To Fish
• RMBS Suit Over $613M In Bad Nomura Loans Nixed For Now
• U. Of Phoenix Parent Drops $13.1M To Settle Backdating Suit
• Wal-Mart Uses SEC Criticism In 3rd Circ. Gun Sales Appeal
• Attorneys React To SEC's FCPA Action Against Goodyear
• Goodyear FCPA Fine Spotlights Dangers In Overseas M&A
• NY High Court Reverses Atty Censure Related To Fraud Case
• Investors' Attys OK Staggered Payout In LBO Antitrust Suit
• CFTC Asks 7th Circ. To Uphold BC Capital Asset Freeze
• $4.4B Rise In Legal Costs Slashed Big Banks' Q4 Earnings
• EXCLUSIVE: Faruqi Accuser Rejected $425K Settlement
• Ex-Regions Exec Agrees To Settle SEC Loan Reporting Claims
• Ex-Brokers Seek IBM Trading Suit Toss After Newman Ruling
• Yellen Takes Tough Line On Bank 'Living Wills'
• Activist Hedge Funds Swell Sixfold To $120B In Past Decade
• Aviva Investors Fined £18M Over Cherry-Picking Controls
• Yellen Pushes Back Against 'Audit The Fed' Movement
• Goodyear Pays $16M To Settle SEC's FCPA Charges
• Emerging Trends In Corporate Sustainability Reporting
• How Financial Firms Can Meet Cybersecurity Expectations
• Dole Owner Defends $1.6B Take-Private Deal
• SEC Denies Accused LinkedIn Scammer Penalty Relief
• Investors Say American Apparel Brass' 'Blind Eye' Hurt Co.
• Del. Supreme Court Nom Comes From Line Of Eminent Attys
• Real Estate Rumor Mill: Moinian, Equinix, Greystar
• Amtrak Share Valuation Suit Filed Too Late, Judge Rules
• Ex-Oriole Says Feds Hiding Evidence In Insider Trading Case
• Ex-Flow Traders Worker Ducks Prison For Source Code Theft
• Legislation To Increase NY Fed Oversight Reintroduced
• SEC Considers FINRA Plan On Debt, Equity Research Rules
• Ex-Quiznos Execs Can't Skirt Discovery Stay In Investor Row
• High Court Won't Hear AmeriFirst Sentence Appeal
• Ex-L&L Energy CEO Sentenced To 60 Months In Prison
• FX Investors Seek Shorter Stay Than DOJ In Antitrust Suit
• Gabelli Also Limits SEC Relief Sanctions, 11th Circ. Told
• Goldman Sachs Says It Could Face Suit Over RMBS Sales
• Oregon Attys Dodge Conflict Row Over Securities Action
• SEC Says Energy Investing Biz Misused $1M For Legal Bills
• Obama Backs Upping Retirement Advice Fiduciary Standard
• HSBC Legal, Regulatory Set-Asides Now Top $2B
• High Court Denies Cert. In Ameriprise Insider Trading Case
• Citi Tells 2nd Circ. $25M CDO Complaint Filed Too Late
• Allergan Fuels Tension Over Schedule 13D Disclosure
• 2nd Circ. Lays Out New Rules For Restitution
• SEC Accountants Dig Deep For Financial Fraud
• SEC Pledges To Explain Use Of 'Bad Actor' Waivers
• Ex-Faruqi Associate Seeks $1.4M In Atty Fees For Assault Case
• Lockheed Strikes $62M Deal In Retirement Losses Saga
• Testimony In NML's Argentina Bond Fight Ordered Unsealed
• 11th Circ. Denies TD Bank Stay For $74M Ponzi Suit Order
• AIG Shareholder, Gov't Face Off Again Over Bailout Terms
• 6 Contractors Paid Off Petrobras, Brazil Says
• SEC's Stein Sees 'Red Herring' In Anti-Waiver Reform Args
• Impax To Settle Investors' Quality-Control Suit For $8M
• Rothstein Funder Gets 3.5 Years For Role In $1.2B Ponzi Scheme
• Young Scammer Must Pay $415,000 For Facebook Ad Theft
• SEC Tries To Save Wells Fargo Trading Case Post Newman
• Defense Bar Backs 2nd Circ. Newman Insider Trading Reversal
• SEC's Piwowar Questions Use Of In-House Courts
• FINRA's Blockbuster 2014 Has Attys Wondering About Sequel
• SEC's Gallagher Blasts DOL Push For Fiduciary Standard
• 2nd Circ. Rejects Time-Based Damages For Madoff Victims
• BGC Finally Wins GFI Support For $778M Takeover
• In-House Counsel's Dirty 'Little' Secret: Data Leakage
• Katrina Loan Fraudster Hit With 9-Year Prison Sentence
• White Says SEC To Target Market Structure, Fiduciary Rule
• SOX Section 304 Enforcement At The SEC's Whim?
• Ex-Shaw Exec, Brother-In-Law Charged With Insider Trading
• Morgan Stanley SOX Whistleblower Sues Over Retaliation
• Mark Cuban Asks 2nd Circ. To Deny Bharara's Newman Appeal
• Wyly's Payments To Ex Ruled Alimony, Axed From Ch. 11
• Minn. Supreme Court Sets New Standard For Fraud Claims
• Chancery Won't Block Windstream Shareholder Meeting
• Tech VC Firm Nixes Trustee's Massive Fraud Suit
• UCB Exec Told Workers To Fudge Debt In $1B Fraud, Jury Told
• Biotech CEO Admits Using Father-In-Law To Hide Sham Trades
• FINRA Fines Spike To $135M In 2014 Despite Drop In Cases
• Lehman Brothers Creditors Getting $2.2B Payout
• Forex Fraudster Hit With 97 Months, $3.9M In Restitution
• 'Bad Actor' Waivers Likely Back On Agenda At SEC Talkfest
• Orrick Finance Whiz Takes Top Legal Job At Muni Bond Board
• BGC Says It Is Nearing Accord For $778M GFI Tender Offer
• Chiasson Calls Bharara 'Petulant Rooster' In Appeal Brief
• Hedge Fund Owner Asks 8th Circ. To Undo $95M Judgment
• SEC Sued Again Over 'Unconstitutional' In-House Case
• SEC Wins Partial Judgment Against Atty In NFLer Stock Scam
• Former Merck Analyst Cops To Insider Trading
• Investors Smear Young Conaway's Sunken Treasure Defense
• UK Regulator To Probe Competition In Investment Banking
• SEC Won $7.5M Forfeiture On Recycled Claims, DC Circ. Told
• Follow Law360 At 'The SEC Speaks In 2015' Conference
• UK Watchdog Backs Specifying Commission, Research Funds
• Broker, Exec Pay $1.5M To SEC Over Alleged CDO Bid-Rigging
• More Litigation Is Not The Answer To Corporate Misconduct
• Minority Powerbrokers Q&A: Brownstein's Marc Lampkin
• Duke Expects To Pay $100M To Resolve Coal Ash Spill Probe
• Fight Over DOL Fiduciary Standard Rule Heats Up
• Ocwen Partner Hit With Shareholder Suit Over Ally's Troubles
• TD Bank Appeals Order To Pay $67M Over Rothstein Scheme
• Morgan Stanley Looks To Quash Suit Over $511M In RMBS
• Feds Grant 3 Extensions On Bank Failure Plans
• The Compliance Issues Putting GCs In Regulators' Crosshairs
• Petropavlovsk Stockholders Counter Creditor Rescue Plan
• DOJ Asks Court To Pause Discovery In FX Antitrust Suit
• Feds Urge 2nd Circ. To Uphold Ex-Jefferies Rep's Conviction
• NJ Nabs $346 Million In Settlements And Judgments In 2014
• Milbank Adds Ex-Allen & Overy Securities Ace In Hong Kong
• Feds Halt $4M Ponzi Scheme Promising 'Limitless' Returns
• Ex-Concert Promoter Pleads Not Guilty In $300M Fraud Case
• A Look At SEC's Hedging Disclosure Proposal
• Amira Faces 2nd Suit Alleging It Inflated Revenue Prior To IPO
• Nixon Peabody, Mintz Levin Seek Exit From Malpractice Row
• Caterpillar Reveals Grand Jury Probe Over Cash Movement
• Feds Say 'Spoofing' Law Isn't Vague In 1st Prosecution
• UK Asset Managers Need Better Insider Trade Controls: FCA
• European Commission Unveils Capital Markets Union Plan
• Merrill Lynch Escapes Arbitration Appeal At NJ High Court
• A Troubling Disregard For FCPA's Business Nexus Element
• Jailed DHB Founder Sues Atty In $246M Malpractice Suit
• Lucchese Fraudster Asks NJ Judge To Recuse Himself
• Newman Sends Insider Trading Shock Waves Beyond SDNY
• Lehman Reaches $125M Deal With Bermuda Insurance Unit
• SEC Didn't Justify $248M Payout In Fraud Case, Judge Says
• $7M Facebook Malpractice Row Against Law Firm Revived
• Schwab Settles NY Fraud Case Over Auction Rate Securities
• Citibank Wants To Pay Some Argentine Bonds In Debt Row
• Cayman Bank Seeks Ch. 15 Protection After SEC Freeze
• Shady Trader Impersonated Boss When SEC Called, Feds Say
• EU Plan To Regulate Financial Benchmarks Advances
• China Integrated Investors Win Cert. In Market Fraud Action
• Execs Of Bankrupt 'Life Of Pi' Effects Studio Accused Of Fraud
• Holder Sets 90-Day Limit To Pursue Bankers In Market Crisis
• FINRA Says NY Brokerage Sat On 'Spoofing' Suspicions
• Mass. Snowfall Delays Raj Rajaratnam's 2nd Circ. Appeal
• ISS, Glass Lewis Back Petroceltic In Fight With Activist
• French Heiresses Must Face $150M Suit Over Madoff Accounts
• Brown Rudnick Picks Up 2 From Nixon Peabody
• Ex-Wife Of Former L'Oreal Prez Gets Two Years For Fraud
• Auto Supplier Lear Lifts Buyback To $1B As Activist Circles
• Activist Seeks CEO Ouster, Board Shakeup At Tempur Sealy
• Citigroup Fallout And SEC's Strategic Resource Allocations
• Minority Powerbrokers Q&A: Bird Marella's Ekwan Rhow
• SEC Says Ex-BankAtlantic CEO's Bid For Retrial Lacks Merit
• JPMorgan Investors Seek Class Cert. In 'London Whale' Suit
• Barclays Cannot Escape NY AG's Dark Pool Suit, Judge Says
• Stanford Receiver's 1st Win Sparks Hope For More Recoveries
• Citigroup, Goldman, UBS Pay $235M To End MBS Class Action
• Phony Hedge Fund Manager Bilked Investors, NYAG, SEC Say
• Chancery Won't Allow Early Appeal In $1.6B Dole Deal Case
• Ex-Ky. Lawyer Wants High Court To Review $37M Fraud Case
• What We Can Learn From SEC's Oppenheimer Dissent
• SEC's Aguilar Calls For Municipal Securities Rule Overhaul
• Law Profs, Others Back Wal-Mart Investor In Gun Sale Fight
• Virgin Islands-Based Finance Guru Hit With 6-Year Sentence
• HP Was Right To Keep Autonomy Probe To Itself, Judge Told
• Bharara Foes Pounce On Newman Ruling In SDNY
• Ex-Wells Fargo Banker, Others Jailed For $11M Insider Plot
• Tech Co. Axcelis Reshuffles Board As Proxy Fight Looms
• CORRECTED: 7th Circ. Weighs Penalties Against Chinese Trader
• SEC Commish Says Congress May Need To Solve Waiver Spat
• Fee-Shifting Foe Urges Del. Lawmakers To Pass Amendment
• Barrack Rodos Sued For Breaching Deal With Pa. Consultant
• Shareholder Suit Targets Exelis, Harris Over $4.75B Deal
• Jury Says Ex-Diplomat Must Return Stanford Ponzi Funds
• Takeaways From 2014's Top 10 Extraterritoriality Cases
• SEC Commish Raises Heat On FINRA Risk Data Plan
• Ex-Goldman Sachs Programmer Sues FBI Agents Over Arrest
• Stanford Receiver's $1.1M Trial Against Ex-Diplomat Wraps Up
• Del. Justices Uphold Appraisal In $512M 'American Idol' Deal
• Chancery Won't Shift $25M Rural/Metro Fee Award Onto RBC
• Ex-SEC Commissioner, Columbia Law Prof Goldschmid Dies
• Rothstein Wife's Ex-Atty Disbarred In NY For Hiding Assets
• CFTC Atty Makes Case Against High-Speed Trading Tactics
• 1st Weeks Of The Year Provide A Taste Of Proxy Season
• Iceland's Top Court Sentences Kaupthing Ex-Brass For Fraud
• Rejecting $960M Deal, GE Sues AIG For Securities Fraud
• SEC Bars, Fines US Auditor Of Chinese Chicken Co.
• Rockford Litigation Fund Fraud Suspect Close To Guilty Plea
• GE Moves To Allow Large Shareholders To Nominate Directors
• SEC Accuses CEO, Ex-Skadden Atty Of Hiding Insider Sales
• 2 Developments May Change Shareholder Proposal Responses
• Dusting Off FIRREA: Old Statute Is Now Potent Weapon
• 3 Brown White Attys Launch New Litigation Firm Kaedian
• SEC Charges Ga. Man With Insider Trading Over NCR Merger
• MD Sass CEO Must Face Claims Over Eastman's Sterling Buy
• Canadian Mining Investors Can't Duck Pump-And-Dump Suit
• Del. Justices Weigh Row Over $512M 'American Idol' Deal
• TD Bank Has 2 Weeks To Pay Rothstein Ponzi Investors $67M
• Ex-Diplomat Says He Was Duped In Stanford Ponzi Scheme
• CFTC Budget Woes Met With Republicans' Tiniest Violin
• SEC Admin Judge Will Apply Newman To Insider Trading Case
• CVR Reveals SEC Probe As Wachtell Malpractice Battle Rages
• Commissioners Blast SEC For 'Failure' Of Internal Processes
• Winstead Adds Jackson Walker Corporate Pro As Shareholder
• Allergan Shareholder Withdraws Suit Over Spurned Valeant Bid
• EBay Plans $5B PayPal Dowry As Part Of Spinoff
• Electra To Trim Annual Fee After Foiling Activist Campaign
• US Hasn't Linked $107M In Trusts To Nigerian Corruption: Atty
• SEC Fines 2 Ex-CFOs In Software Co. Accounting Fraud Case
• Activist Peltz Urges DuPont Investors To Back Board Picks
• Teva Probe Reveals 'Likely' FCPA Transgressions
• SEC Doesn't Want In-House S&P Case To Wait For Court Fight
• Food Exporter Amira Inflated Revenue To Boost IPO: Suit
• FINRA Scoops Up New Data Analytics Head From SEC
• HUD Secretary Defends FHA Premium Cuts
• Minority Powerbrokers Q&A: Munger Tolles' Bart Williams
• Investor Matchmaking: How It Works And Key Considerations
• Not Necessarily A New Era Of Ratings Scrutiny
• GCs Name Best Of The Best Attorneys
• News Corp. Seeks To Crush Investors' Poison Pill Suit
• Aleynikov Opens New Front In Del. In Goldman Sachs Fee War
• Morgan Stanley Looks To Toss FHFA's Buyback RMBS Suits
• 11th Circ. Won't Revive Nadel Ponzi Scheme Clawback Suit
• Stanford Receiver Blames Ex-Diplomat For Missing Red Flags
• Citibank Escapes Korean Co.'s $73M Derivatives Fraud Suit
• No Quick Appeal For Greenberg, Hunton In Stanford Suit
• 5 Firms Boast The Most Client-Savvy Attorneys
• DuPont Wants Lawsuit Related To Monsanto IP Fight Tossed
• GCs Name Favorite Securities, Capital Markets Lawyers
• 9th Circ. Won't Revive $80M Wells Fargo Investor Suit
• Vector Capital To Buy Saba Software In Take-Private Deal
• SEC's Ceresney Isn't Sweating 2nd Circ.'s Newman Ruling
• FINRA Gives Rundown Of Algorithmic Trading Plans
• GCs Give Top Marks To 7 Standout Associates
• GCs Name Cream Of The Crop Litigators
• Ex-ConvergEx Unit CEO Admits Wrongdoing In Fraud Deal
• Investor Suits Over Millennial Media's $152M IPO Consolidated
• 2nd Circ. Rejects Charles Schwab Bid To Revive Libor Appeal
• UBS Confirms US Tax Evasion Investigation
• State Pensions Seek To Unify Petrobras Securities Suits
• Sens. Draw Lines On Small Bank Regulatory Relief
• Newman Slams Bharara Challenge To 2nd Circ. Insider Ruling
• Ex-Wells Fargo Analyst Says Newman Kills SEC Insider Charge
• Harman Investors Urge DC Circ. To Revive Class Action
• Jiau Takes Insider Trading Conviction Back To 2nd Circ.
• Del. Confirms Robust D&O Protection Despite Co. Demise
• 4th Circ. Reminds Whistleblowers Of Their Role And Rights
• Beware The Volcker Rule's Anti-Evasion Provision
• Wyo. Fund Exec's Guilty Plea In Doubt After Newman
• Investor Can't Escape $300M Deutsche Bank Suit
• MF Global Trustee Can Keep Audit Docs Under Wrap
• Stanford Receiver Says Ex-Diplomat Can't Keep Fees
• Icahn Hit With Insider Trading Suit Over Short-Swing Profits
• Wells Fargo Shakes Final Claims Over $168M Ponzi Scheme
• 'Big Short' Money Manager Appeals $3M SEC Sanction
• 11th Circ. Affirms FCPA Conviction Of Ex-Haiti Official
• Dershowitz Didn't Do Work On Conviction Appeal, Suit Says
• Deal Bringing Morgans Debt-Swap Suit Near To End Gets Nod
• The Case For Professionalizing Pro Bono Services
• Caesars' Skipped Payment Not A Default, Swaps Panel Rules
• NJ-Based Financial Whiz Charged With Stealing $1M In NY
• Fed's Powell Calls 'Audit The Fed' Movement 'Misguided'
• SAC's Martoma Cites 'Racial Bias' In 2nd Circ. Appeal
• SEC Proposes Rules For Corporate Hedging Disclosure
• Regency Faces Another Suit Over $11.2B Sale To ETP
• FINRA's Risk Data Plan Limits Investor Choice: Think Tank
• Madoff Trustee's Latest Payout Pushes Recovery Past $7B
• Oil Field Co. Exec. Settles SEC Row Over $100M Fraud
• SEC Denies Permanent Relief From Sweep Program Rule
• SEC Disputes Rajaratnam Appeal Of $93M Fine In 2nd Circ.
• Ex-Merck Analyst To Plead Guilty To Stock-Tipping Scam
• New Support For Joint Representation Of Co. And Directors
• Manitowoc Tweaks Governance Provisions In Truce With Icahn
• 1st Circ. Backs Dismissal Of Abiomed Heart Pump Fraud Suit
• Top 10 Anti-Corruption Developments So Far This Year
• Newman Fails For Wells Fargo Insider-Trading Plea, Feds Say
• Libor Plaintiffs OK'd To Join Antitrust Appeal In 2nd Circ.
• Stanford Receiver Faces Uphill Battle In 1st Insider Trial
• SEC, Auditors Sidestep Legal Rift In Chinese Big 4 Deal
• SEC Tells 2nd Circ. Dodd-Frank Guards Inside Whistleblowers
• Corporate Defaults Have Skyrocketed In 2015, S&P Finds
• Millennium Bank Ponzi Schemer Hit With 21-Year Sentence
• Faruqi Trial Jury Took Command Of Complex Legal Concepts
• Investors Ask 11th Circ. To Revive Fraud Suit Against HMA
• Wal-Mart Investor Pushes For Oversight Of Gun Sales
• SEC's Oppenheimer Dissent Shows Cracks In Waiver Reform
• Faruqi Back To Business As Usual After 'Minuscule' Verdict
• Positron Loses SEC Appeal Over FINRA Daily List Ruling
• Goldman Sachs, Life Insurers Strike Deal In Junk MBS Suit
• Broadwind, Execs Settle SEC Accounting Claims For $1.7M
• Autonomy Ex-CFO Says HP Execs Lied About Fraud
• JPMorgan Shakes Investor Suit Over $40M Ponzi Scheme
• IAC Urges Dismissal Of Ex-MySpace Owner's Collusion Suit
• DuPont Rejects Activist Trian's Board Picks
• 2nd Circ. Says $7M For Duane Reade Investigation Too Much
• SEC Gives Nod To Linn Energy's $4.3B Berry Petroleum Deal
• Riverbed Tech Shareholders Sue Over 'Self-Serving' $3.6B Sale
• Sandell Urges Brookdale REIT Spin-Off, Board Shake Up
• High-Frequency Trading Cases Slow To Take Shape
• SEC, Big 4 Chinese Units Settle Overseas Audit Scuffle
• Price-Fixing And Insider Trading Are Unconstitutional Crimes
• Can Chinese New Year And The FCPA Co-Exist?
• Cooperating SAC Manager Ducks Jail Time For Insider Trading
• BofA Cripples Prudential's $2B RMBS Suit
• Ex-NFLer Can't Shake SEC Claims Over Pump-And-Dump
• $7.7B MBS Suit Against RBS Shows Signs Of Life
• Squire Patton Boggs Slams GetFugu's Sham-Suit Claim
• Greenberg, Hunton Can't Buck Stanford Fraud Class Action
• Both Sides Claim Victory After Faruqi Trial Wraps
• 4th Circ. Boots Ex-Taylor Bean Exec's 30-Yr Sentence Appeal
• Assault Suit Hurt Faruqi Even Before Verdict, Attys Say
• Faruqi Case Seen As An Outlier In Today's BigLaw Culture
• Banks Say Investors Can't Show Libor Conspiracy
• SEC's 180-Day Rule Just An Internal Deadline, DC Circ. Told
• Feds Charge Rothstein Adviser Linked To $1.2B Ponzi Scheme
• GE Capital Can't Merge Suits Over $3.6B Petters Ponzi Plot
• Ex-Barclays Rep, 3 Others Settle SEC Insider Suit For $1.7M
• Ticked Off Movado Investors Sue Over Stock Plunge
• LSE Puts Russell On Selling Block Months After $2.7B Buy
• Top Dems Ask Fed For Info On Rate Decision Leak
• SEC Says Calif. Adviser Used Investor Funds For Settlement
• Faruqi, Monteverde Partially Liable In Sex Assault Case
• Rule Change Helps GDF Suez Energy Beat Manipulation Suit
• THQ Execs Erase Shareholder Suit Over UDraw Sales
• SEC Won't Let Barred Hedge Fund Manager Return To Old Job
• Beware Blurry Edges Of HSR's Investment-Only Exemption
• US Financial Watchdogs Tweak SIFI Designation Process
• CFTC Actions The Energy Industry Should Look For In 2015
• Dealing With Political Disclosure Efforts: Some Tips
• Minority Powerbrokers Q&A: Pillsbury's Brian Wong
• Paul Weiss Snags Lead Gupta Prosecutor For NY Office
• UBS Faces Fresh Probe For Allegedly Aiding Tax Evasion
• 1st Circ. Shoots Down Smith & Wesson Derivative Suit
• SEC Commissioners Blast Decision Not To DQ Oppenheimer
• Telestone Hit With Derivative Suit Following SEC Investigation
• Principal Life Tax Dispute With IRS Sent To Trial
• NY Releases Revised BitLicense Proposal
• Xenia Hotels REIT Goes Public After Spinoff From Inland
• Cloud Computing Co. Brass Ducks Pair Of NY Investor Suits
• Rothstein Investors Aim To Collect On $67M TD Bank Verdict
• Attys, SEC Slog Long Road To Debt Tender Offer Reform
• JPMorgan Says Bankruptcy Kills $3.7B Petters Ponzi Suit
• $1.25M Accentia Shareholder Settlement Wins Green Light
• Adviser Can't Halt Ne-Yo's Fraud Suit Over Sports Drink Co.
• FINRA Eyes New Rules On Fired Brokers, Military Sales
• SEC Cybersecurity Findings May Establish De Facto Standard
• Aluminum Buyers Say Forex Case Backs Their Antitrust Suit
• US Bank Reaches $18M CFTC Deal For Peregrine Victims
• NJ Hedge Fund Swindled $2M From Hotel Developer, Suit Says
• SEC Sanctions Investment Advisers Over Dummy Offices
• SEC Approves Accounting Oversight Board's $251M Budget
• Zoetis Hands Ackman 2 Board Seats To Head Off Proxy Fight
• SEC, Computer Co. CEO To Settle Accounting Charges
• EU Securities Regulator Publishes Market Abuse Guidance
• ICAP Vows Fight With EU After $17M Libor Fine
• The Year Of FCPA Liability For Financial Firms?
• Avoid Spoliation Anxiety With Litigation Readiness Plans
• SEC Vet Takes Investment Division's Reins As Acting Chief
• WaMu Trust Defeats Challenge To Ch. 11 Warrant Deal
• UBS, Others Can't Nix ResCap Suits Over Bad Mortgage Loans
• BP May Face Enforcement Action In CFTC Pipeline Probe
• Insurer Looks To Revive CDO Suit Against Credit Suisse
• Regency Hit With Class Action Over $11.2B Sale To ETP
• Securities Group Of The Year: Skadden
• After S&P Deal, Wary CMBS Raters Could Sap Industry Profits
• Attorneys Weigh In On DOJ's $1.38B Settlement With S&P
• Ex-Santander Aide Indicted In NY For Insider Trading
• $1.38B S&P Settlement Cements FIRREA As DOJ Darling
• SEC Sues Pa. Man For Nationwide Merger Insider Trading
• Deals Rumor Mill: RadioShack, AT&T, Staples
• Ex-Diamond CFO Pays $125K To End SEC Walnut Fraud Case
• Alibaba Securities Suit Highlights New Litigation Trend
• Fannie, Freddie Profit Suit Ruled Too Similar To Axed Case
• Most Brokers, Advisers In SEC Study Were Cyberattacked
• MGM Fights Class Cert. Bid In CityCenter Investor Row
• Judge Denies Jiau's Motion For New Insider Trading Trial
• Big Banks $500B Short Of Global Capital Proposal, S&P Says
• Oil Traders Seek End To Crude Futures Class Action
• Staples Merger Chatter Reaffirms Starboard's Top-Dog Status
• SEC Says Sales Agent Can't Stay Investment Scheme Suit
• CFTC Wins Penalties, Trading Ban In Forex Suits
• Aruba Networks Shareholder Suit Ruled Baseless
• Manatt Nabs Pepper Hamilton Capital Markets Pro For NY
• 5 Tips For Lasting Law Firm Success
• Revlon's Shareholder Protections May Be Purely Cosmetic
• Minority Powerbrokers Q&A: Sanford Heisler's Ross Brooks
• S&P, DOJ Ink Landmark $1.38B Settlement Over Rosy Ratings
• S&P Paying $125M To End CalPERS Suit Over $1B Losses
• Justice Dept. Drops News Corp. Phone Hacking, Bribery Probe
• Wyly Judge Won't Revisit $175M Alternate Payout In SEC Case
• SEC's Suit Against Newman, Chiasson Placed On Hold
• D&O Developments To Watch In 2015
• Feds' Moody's Probe Marks Closing Of Financial Crisis Book
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