Securities Archive » August, 2015

Securities - August, 2015

500 articles

• 3 Lessons From The Rise And Fall Of Dole's GC
• MGM Investors Seek OK For $75M CityCenter Settlement
• SEC Abusing Power, Aspiring Dark Pool Market Tells 8th Circ.
• 2nd Circ. Solidifies Argentina Bank's Creditor Shield
• Prudential Investors Win Cert. In Unpaid Policy Suit
• Canadian Man Denies Role In $300M Penny Stock Scheme
• Madoff Trustee Scraps With Cohmad Agent Over Bank Docs
• SEC Wants Campaign Cash Reporting Suit Voted Down
• FinCEN Rule Loops Advisers Into Anti-Laundering Crusade
• NY Court Nixes Norex's Siberian Oil Field Suit
• Hungarian Telecom Ex-Brass, SEC Trade Blows In FCPA Suit
• SEC's 7th Circ. Win Won't End War On Admin Courts
• Court Says No Evidence Highland Misled Fund Investors
• China Stock Market Probe Elicits 'Confessions'
• Futures Watchdog Proposes New Cybersecurity Rules
• Bear Stearns Tells 2nd Circ. $200M Complaint Missed Deadline
• SAC Slams Class Cert. Bid In Insider Trading Suit
• TV Station Sale Undervalues Spectrum License, Investors Say
• Wal-Mart Can't Hide From Mexican Bribery Suit, 8th Circ. Told
• SEC Presses 2nd Circ. To Deny 'Big Short' Adviser's Appeal
• Epic Research Investors Claim CEO Lied About Credentials
• Investors To Get $87M More From Madoff Feeder Funds
• SEC Upholds Stock Suspensions Over Ebola Claims
• Rules Of The Road For Directors Serving Two Masters
• Argentine Central Bank Escapes Bondholder Suit At 2nd Circ.
• Litigation Risk For HFT Facilitators Fades Fast
• 5 Insights From 3M General Counsel Ivan Fong
• New FINRA Rule May Spark Pushback From EB-5 Agents Abroad
• BP Tells 5th Circ. ERISA Suit Got Unfair Wave-Through
• JPMorgan Investor Appeals Axing Of Claims Over $2B In Fines
• 2nd Circ. Revives Some Of China North Investor Suit
• Capella Co-Founder Says PE Firm Cut Him Out Of $900M Sale
• The Dewey Trial Report: Bad Press And 'Awesome' Bosses
• Wyly Wants SEC's $300M Win Nixed Over Tax Ruling
• Exchange-Traded Products Need Reining, SEC Warned
• Some AIG Docs Protected In MF Global Fight, Judge Rules
• As Dewey Trial Nears End, Defense Has Reason To Hope
• 3rd Circ. Says Qualcomm Shareholder Vote Was Authorized
• Madoff Trustee Defends $213M Clawback Suit Against Legacy
• 'Flash Crash' Trader Can't Stall Extradition Case, Court Says
• Pier 1 Hit With Shareholder Class Action Over Rosy Forecasts
• Reed Smith Adds Former BNY Mellon Counsel In NY
• New Case Clarifies Del.'s Conflicts Committee Approach
• An Important Reading Of High Court's Advisory Fee Opinion
• Ex-Weil Shanghai M&A Pro Joins O'Melveny In Southern Calif.
• Shareholder Slams Sanctions Bid In Las Vegas Sands Suit
• 'Flash Boys' Suits Lose Luster After Exchange Case Tossed
• Morgan Stanley Hit With $20M Retaliatory-Firing Suit
• Allied Nevada Gets Nod To Poll Creditors On Ch. 11 Plan
• Newman, Chiasson Fight SG's Supreme Court Cert. Bid
• Dole Ruling Weaves A Cautionary Tale For Take-Private Deals
• SEC Appeals Latest Loss Over Admin Judges To 2nd Circ.
• Ex-Telecom Heads Can't Nix SEC's Witness In FCPA Case
• UBS To Pay $1.7M To Settle US Sanctions Law Violations
• Ex-BankAtlantic CEO Refused Retrial In SEC Fraud Suit
• CFTC Can Restart Claim Against Convicted Ex-Sentinel CEO
• Ex-Dewey Chair, CFO Move To Toss Fraud Charges
• Lumber Liquidators Investors Say Ex-Exec Led China Deals
• CFTC Ratchets Up Retail Forex Protections After Swiss Shock
• SEC Official Calls For Transparency On Bank Waivers
• Debevoise's DQ Sought In $610M Culligan Buyout Row
• Merck Can't Dodge Fraud Case Over Vytorin Trials
• Terrorism Financing Gaining Ground As Bank Litigation Risk
• Etsy Investors Slam IPO Fraud Suit's Removal To Fed. Court
• CORRECTED: Thornburg Trustee Scores $45M In MBS Suit
• 5th Circ. Won't Rehear Tax Suit Over $84M Oil Co. Stock
• Dewey Prosecution Rests, DiCarmine Is 'Awesome,' Jury Hears
• Texas AG's Defense Lawyer Quits After Not Guilty Plea
• A Likely Fatal Blow To Republicans' Pay-To-Play Challenge
• Dole CEO, GC Ordered To Pay $148M For Merger Fraud
• DC Circ. Conflict Minerals Ruling Is Business As Usual
• SEC's 'Regulation A+' Should Get An F, States Tell DC Circ.
• Chelsea Therapeutics Class Action Left Intact, With Warning
• DA Looks To Drive Home Hard Numbers In Dewey Trial
• 5th Circ. Revival of MBS Suit Flouts High Court, Banks Say
• Barclays, Exchanges Get High-Frequency Trading Suits Nixed
• Ex-TV Display Co. CEO Charged With Hiding Assets From SEC
• Ex-Telecom Heads Want Witness Nixed in FCPA Suit
• 2nd Circ. Urged To Revive Suit Over Internet Ad Co.'s IPO
• Oil Startup Dodges Investor Suit Over Drilling Woes In Africa
• $2.4B BofA Pact Stiffed Ohio Firm On Fees, 2nd Circ. Hears
• Corruption Still Chilling US Business In Asia, Report Finds
• Moneyman-Turned-Pastor Wins Bail In $30M Trading Bust
• Remy Investors Launch Fight Against $950M BorgWarner Sale
• Solazyme's Brass Hid Biofuel Project Woes, Investor Says
• Target Says SEC Won't Penalize It For 2013 Data Breach
• Facebook IPO Underwriters Get Help From SEC In 2nd Circ.
• China Probes Top Brokerages Amid Market Plunge
• 5 Takeaways From Former SAP Exec's FCPA Case
• Locke Lord Blasts Sanctions Bid In Mortgage Scheme Row
• Pay-To-Play Ruling Sticks Advisers With Tough-To-Follow Rule
• Ex-Merrill Lynch Broker Must Repay $1.4M For Insider Trading
• Gupta Again Takes Insider Trading Conviction To 2nd Circ.
• Dewey GC Tells Of PR Nightmare In Firm's Final Months
• MedCap Receiver Reaches Deal With Debtor In Ponzi Fallout
• Lehman Can't Sue UK Biz But $41M Swaps Still Fair Game
• Beazley Says Ace Must Defend Nasdaq In Facebook IPO Suit
• CORRECTED: SEC Says IBM Insider Trading Case Should Go On
• AIG Reaches Settlement In $60M Fraud Suit
• 2nd Circ. Says NY Incorrect Venue For Citi Euro Note Suit
• Price Impact Analysis — Where The Halliburton Court Erred
• Ex-JP Morgan Analyst, Friends Charged With Insider Trading
• Bank Chief Needn't Profit To Be Liable For Tips, SEC Says
• SEC Scores TRO In $136M Wash. EB-5 Fraud Case
• Husch Blackwell Says $625M RICO Suit Is 'Conclusory'
• Young Conaway Sunken Treasure Suit Salvaged
• Citibank Denied Rehearing In AIB's Suit Over Rogue Trader
• El Pollo Loco Execs Dumped Stock At Inflated Price, Suit Says
• Freddie Mac, Principal Seek To Update 2nd Circ. Libor Brief
• GOP Challenge To SEC Pay-To-Play Rule Nixed By DC Circ.
• A Look At The Modern Business Judgment Rule
• Morgan Stanley Hit With $20M Whistleblower Fraud Suit
• Wyly Can't Relitigate SEC Suit's Findings In Bankruptcy
• SEC Sues Wash. Regional Centers Over $136M EB-5 Fraud
• Rio Tinto OK'd To Get E&Y's Info In Mining Bribery Row
• Ex-Kleenmaid Director Pleads Guilty To Loan Fraud
• SEC Spots Vast Problems In Retail Structured Product Sales
• Ex-TMST Exec Can't Duck SEC Suit Over 2007 TV Interview
• Dewey GC Says She Didn't Tell Investors Of Pay Woes
• Madoff Investors Win Approval To Divvy Up $623M Settlement
• Etsy Says Investor's IPO Fraud Suit Belongs In Fed. Court
• 7th Circ. Rejects Bid To Challenge SEC In-House Court
• FINRA Exam Gives Handy Map To Spot Conflicts In Broker Pay
• Terex Investors Say $2.5B Konecranes Merger Falls Short
• India's SEBI Approves Merger With Commodities Regulator
• Investors Target $55B Charter-TWC Deal, Related Offering
• Hausfeld Appointed Co-Lead Counsel In Forex OTC Actions
• Ironridge Refused Subpoena For SEC Enforcement Docs
• Avon FCPA Pension Suit Heads to Mediation
• Dewey 'Secret Seven' Pull Back Curtain On Firm In Crisis
• SEC Wants Summary Judgment For Convicted Ponzi Plotters
• Facebook IPO Underwriters Want A Say In Nasdaq Settlement
• Charles Schwab Pays $2M FINRA Fine On Net Capital Shortfall
• Telecom Ex-Brass, SEC Square Off In FCPA Suit
• OSI To Settle 'Naked' TSA Scanner Investor Suit for $15M
• How Regulation A Can Help M&A Practitioners
• 7th Circ. Revives Claims Against RBS In Securities Row
• Berkeley Dean Supports High Court Petition Over 'Puffery'
• Law360 Pro Bono All Stars Show Dedication To Helping Others
• Amgen Can't Make Journalist Testify In Shareholder Suit
• DC Circ. Says Alleged Fraudster Can Pursue Bad-Atty Claim
• SEC's 'RoboCop' Drags Agency Into 21st Century
• Savient Investors Lose Suit Over Pre-Bankruptcy Statements
• Nasdaq Floats 'Kill Switch' For Options Market With SEC
• 3 DC Circ. Rulings Shaping The SEC's Dodd-Frank Powers
• 20 Firms Show How To Win Big And Do Good
• RBS Can't Use 2014 High Court Ruling To Escape MBS Suit
• Providence Investors Look To Block Stock Issue
• Receiver Fights To Preserve Winston & Strawn Malpractice Suit
• Ex-Rabobank Traders Press 5th Amendment Dismissal Bid
• Wider CMBS Spreads Shouldn't Hurt Deal Flow
• The Dewey Trial Report: Rebuttals, Write-Offs And Red Ink
• The Political Implications Of UK's Tom Hayes Verdict
• 2nd Circ. Returns To The 'Mess' Of Argentina Bond Classes
• CFTC Wants $9M From Forex Fraudsters
• SEC Gets Fugitive Ex-VC Exec's Assets Frozen
• 3 Ethical Traps For 'Gladiator' Litigators
• Chinese Tech Co. Warns Securities Probe May Yield Delisting
• Pryor Cashman Hit With $37M Malpractice Suit Over Bank Deal
• Barclays Investors Win Class Cert. In Libor-Rigging Suit
• Oil Tycoon's Family Must Pay Gift Tax On $84M Co. Stocks
• Texas Fines Citi For Securities Sales Rep Registration Lapse
• Ex-Wilmington Trust Exec Pleads Not Guilty In Fraud Case
• Investors Tell 2nd Circ. Libor Antitrust Ruling Is Indefensible
• Texas Court Knocks Out $36M Ethanol Investor Group Win
• Dewey Prosecutors Wind Down Case With Accounting Review
• SEC Appeals 2nd In-House Court Setback To 11th Circ.
• NetTALK Execs Can't Claim Disputed Shares In Control Fight
• 6th Circ. Tosses Suit Over Tainted Chicken At KFC China
• 1st TARP Fraud Defendant Gets 30 Months
• MF Global Creditors To Recover 95% With Final Payout
• Delay Of $7.5M Disgorgement Unwarranted, SEC Tells DC Circ.
• Kinder Morgan Slips $70B Investor Suit In Delaware
• Rennert Loses Bid For New Trial In MagCorp Bankruptcy Row
• Fairway IPO Suit Should Be Tossed, Magistrate Judge Says
• Akorn Again Hit With Fraud Suit Over Post-Merger Accounting
• Libor MDL Judge Throws Unprepared Lawyer Out Of Court
• Ex-Massey CEO Can't Split Up Mine Explosion Trial, US Says
• IPO Investors Decry Facebook 'Windfall' In Nasdaq Deal
• Oaktree Sues Warburg Pincus For Rural/Metro Value Inflation
• 4 Real Estate Crowdfunding Risks For Investors
• Reed Smith Nabs Energy Derivatives Specialist From Latham
• Beware False Positives In Statistics-Based SEC Actions
• Ex-Brokers Look To Ctrl+Alt+Delete IBM Insider Trading Case
• Kraft Says CFTC Overreaching In Wheat-Manipulation Row
• UBS Investor's State Claims In $11M Loss Preempted: Judge
• BNY Mellon Failed As Trustee Of $2B In MBS, FDIC Suit Says
• Ex-Miami Official Says Defenses Should Remain In SEC Suit
• Imperva Brass Push Chancery To Ax Claims Over Startup Deal
• SEC Accuses Felon Ex-Accountant Of Breaking Industry Ban
• Wells Fargo Bailed On Dewey Early, Lost Nothing, Jury Hears
• SEC Names New Executive In Corporate Finance Office
• SEC Judge Won't Move Admin Case To Ga. For Ironridge
• Allied Nevada Strikes Peace Deal To Get Ch. 11 Plan Backing
• Indicted Ex-Fox Rothschild Atty Says Merger Info Was Public
• CFTC Floats Changes To Cleared Swap Data Reporting Rules
• Biogen Lied In Rosy Growth Forecast, Investor Suit Says
• Challenge To SEC In-House Case Paused Pending Appeal
• Global Regulators Propose Unique Tagging For Derivatives
• Ex-Employee Suing Syringe Maker Apologizes For Accusations
• LRR Energy Hit With 2nd Suit Over $539M Sale To Vanguard
• Citi Euro Note Plaintiff Says NY Forum Should Prevail
• Top 5 Ways To Help A Law Professional Land A Job
• NY Appellate Court Upholds ACA's $120M Goldman Fraud Suit
• Ex-Massey CEO Wants Wide Swath Of Evidence Off-Limits
• Freddie Mac Wants Va. Fraud Claim Back In Libor MDL
• Citi Pays $15M SEC Fine Over Compliance, Surveillance Flaws
• Revised FCPA Resource Guide Leaves Major Gaps
• Citi To Pay Additional $4.5M In NY Fee Refund Deal
• SEC's Dating Advice For Internet Platforms And Its Impact
• The Future Of Securities Class Action Litigation
• CFTC Issues First-Ever Registration Exemption To ASX Clear
• 5th Circ. Delays Ruling On Firms' Ponzi Suit Immunity
• PTAB Nixes Claims In Securities Transactions Patent
• SEC's Conflict Minerals Rule Sets Up 1st Amendment Clash
• SEC Strikes Series Of FCPA Firsts With BNY Mellon Deal
• Bio-Rad Investor Accuses Board Of Rampant Malfeasance
• 10th Circ. Affirms Dismissal of Zagg Securities Suit
• Dewey Staffer Says She Didn't Think Book-Cooking Was Illegal
• GlobalSantaFe Investors Argue To Revive Transocean Action
• Texas AG Re-Indicted In Securities Fraud Case
• US Decries Ex-Terra Exec's Bid For New Bribery Trial
• Hemispherx Can't Duck Suit Over $2.1M Exec Bonuses
• Trading Tech Co. Says Chinese Securities Probe Advancing
• Avon Pays $62M To End Investors' FCPA Suit
• Ultra Music Founder's Estate Says Partners Siphoned Funds
• Las Vegas Co. Fights $1.9M Tax Bill Over Stock Deal
• Allied Nevada Rips Objections To Ch. 11 Exec Bonuses
• SEC Nabs Bracewell Partner To Lead Texas Regional Office
• Promontory Agrees To NY Ban For Standard Chartered Failings
• Jury Clears BNY Unit In $460M Trial Tied To Refco Fraud
• BNY Mellon To Pay $14.8M To Settle FCPA Internship Case
• SEC Loses Bid To Revive Conflict Minerals Disclosure Rule
• The Compliance Officer Sanctions Debate Heats Up
• Pfizer Limited In Bid For Brualdi Firm Records, Master Says
• Mass. Atty Avoids Prison For Trading On Golf Buddy's Tips
• Slim CFTC Staffing Delays Enforcement Reviews, Report Says
• Calif. Adviser CEO Ordered To Pay $2.6M For Shorting Clients
• Citi, Paul Weiss Take Sting Out Of SEC's $180M Settlement
• AIG Says Pimco's Calif. Suit Is Time-Barred Under IndyMac
• Chinese Mobile Co. NQ Hit With Investor Fraud Suit
• Hedge Fund Mgr. Acquitted In Carter's Insider Trading Case
• Hogan Lovells Adds Former Acting US Atty In LA
• Futures Traders Folded Into Forex OTC Litigation
• Commerzbank Calls Morgan Stanley Appeal 'Alive And Well'
• Dewey Defense Grills Cooperator Over Shifting Claims
• Madoff Trustee Fights Dismissal Of Feeder Clawback Suit
• K&L Adds Former Assistant US Attorney To Dallas Office
• Barnes & Thornburg Want Duplicative Malpractice Suit Nixed
• Broadcom Shareholders Sue To Stop $37B Sale To Avago
• Plains Faces Securities Suit Over Calif. Pipeline Spill
• How Much Money Does It Take To Make A Lawyer Happy?
• ATP Oil Execs Again Slip Suit Over $1.5B Note Exchange
• Drugmaker Retrophin Sues Ex-CEO For $65M
• CORRECTED: Facebook Execs Seek To Intervene In Nasdaq IPO Settlement
• Judge In SEC's Amerindo Case Calls Recusal Bid Sour Grapes
• BNP To Pay $115M In Forex Class Settlement
• The Citco Settlement And What Lies Ahead For PwC
• Banks Paid Out $132B In Post-Crisis Mortgage Deals: Report
• Success Trade To Pay $27M To Settle SEC Ponzi Allegations
• Surging Market Gave HK Securities Watchdog Surplus In Q2
• Citi Units To Pay $180M To Settle Hedge Fund Fraud Charges
• The Management-Friendly Nature Of Delaware Courts
• Kinder Morgan Pays $27.5M To Settle Payout Manipulation Row
• Tilton, SEC Spar In 2nd Circ. Over Agency's In-House Court
• CFTC Wins Injunction Against Accused 'Flash Crash' Firm
• Supreme Court Urged To End Circuit Splits Over ERISA
• Investors Settle Appraisal Of Zale Shares After Signet Deal
• CORRECTED: Chancery Sanctions Kramer Levin In TransPerfect Case
• Jury Deadlocks On Ex-Real Estate CEO In $300M Ponzi Case
• Investors Urge DC Circ. To Keep Harman Securities Suit Alive
• UBS Pays FINRA Fine After Muni Bond Tax Surprise
• Jacoby & Meyers Looks To Revive Nonlawyer Investment Suit
• Judge Unmasks Potential Target In Libor-Rigging Probe
• Porsche's Supervisory Board Cleared In Axed VW Deal
• The Dewey Trial Report: Conspiracy, Cover-Ups And The CFO
• Freddie Mac Can't Join Libor Antitrust Appeal, Judge Says
• Judge Raises Hurdle For DOJ FCPA Conspiracy Charge
• Norton Rose Atty Tapped Vice Chair Of Canada Market Agency
• Letters Rile Judge In Rio Tinto's Mine Rights Bribery Suit
• Investors To Ask For Approval Of $90M Regions Settlement
• NetTALK Says Stock Restrictions Could Cause Bankruptcy
• TD Bank To Get $10M Up Front In Rothstein Trustee Deal
• CFTC Commissioner Mark Wetjen To Resign
• IPC Healthcare Investor Challenges $1.6B TeamHealth Deal
• TrueCar, Goldman Sued Over IPO Investors' Losses
• History Says Newman Is Faithful To Dirks
• Goldman To Buy GE Capital's $16B Online Bank
• China Financial Regulators Should Share Info More, FSB Says
• SAC's Martoma Seeks 2nd Circ. Delay Until Newman Decided
• A Challenge To CFPB's Constitutionality Continues
• Open Questions In The Wake Of Tibble V. Edison
• SEC To Review Investment Adviser's In-House Court Win
• Skadden Atty Appointed Custodian To Sell TransPerfect
• Ironridge Global Dodges Securities Manipulation Suit
• Dewey Cooperator Tells Of Fraud Cover-Up Inside Firm
• Ex-Wilmington Trust CFO Pleads Not Guilty To Fraud Charges
• Fla. Investment Adviser Cops To $9M Facebook Stock Fraud
• SEC's $20M Muni Bond Case Puts Pressure On Pricy Markups
• Ex-Massey CEO Asks Judge To Split Trial, Drop Charges
• States Lose Bid To Stay $17M DBSI Trustee Suit
• Feds Say Accused Press Release Hackers Are Flight Risk
• $272M Deal In Goldman RMBS Saga Hits Judge's Desk
• CFTC Grants Temporary Relief To Overseas Swap Dealers
• Lumber Liquidators Exec Says Class Doesn't Implicate Him
• SEC Mulling Appeal Of Latest Loss In Admin Court Challenge
• Jailed Ponzi Schemer Gets 2 More Years For Contempt
• Facebook IPO Buyers On Board With Nasdaq Deal, Judge Told
• Mass. Lawyer In Insider Trading Ring Seeks To Avoid Jail
• Ex-UBS Trader Takes Fight Over Libor Charges To 2nd Circ.
• Forex Settlements Hit $2B As Goldman, 4 Others Reach Deals
• Merge Healthcare Investors Try To Block $1B IBM Takeover
• Ex-Santander Exec. Hit Again With SEC Insider Trading Claims
• SEC Settles With 3 Md. Men Over Real Estate Investment Fraud
• OSG Investors Land $16M Deal In Tax Liability Fight
• Trader Jailed For Threats Calls Probation Slip-Up Harmless
• Is 'Peppercorn' No Longer Sufficient To Settle M&A Suits?
• Mass Mutual, Deutsche Unit Settle RMBS Suit
• Insurers, Foreign Firms Hit With UK Exec Liability Rules
• SEC Hits Edward Jones For $20M For Muni Bond Overcharges
• Auditor Liability In A Post-Omnicare World
• Ex-JPMorgan Banker's Dad Cops To Insider Trading Scheme
• Secret Prosecutions And The Erosion Of Justice
• Del. High Court Must Resolve 'London Whale' Issue: 2nd Circ.
• BofA Beats $100M ARS Investments Suit
• SEC Says TelexFree Player Moved Assets, Should Be Jailed
• Citco To Pay $125M To Exit Madoff Feeder Suit
• Record Dark Pool Fine Shows Risks Of Business Experiments
• Lumber Liquidators Wants A Peek At Docs In Investor Suit
• EB-5 Investor Program Faces Fraud Risks, GAO Warns
• SEC Gives Fla.'s 'Foreclosure King' The Boot
• Final Dewey 'Secret Seven' Member Says CFO Ordered Fraud
• North Hills Fraudster Mark Bloom Gets 3 Years In Prison
• First Solar Can Appeal Over 9th Circ.'s Loss Causation Rift
• Foreclosure Firm Fires Back In Mortgage Services Failure Suit
• SEC Administrative Court Has A Constitutionality Problem
• SEC Settles With Fund Manager Convicted In Petters Ponzi
• UK Regulator Scores $11.8M In Fines In Stock Layering Case
• Whistleblower GC Pushes To Keep Bio-Rad In Bribery Suit
• AbbVie Investor Renews Push To See Books In Failed Merger
• Sprint Investors Score $29M Fee Award After Settlement
• US Seeks Appeal Of Greenberg's AIG Bailout Win
• SEC Gets Ex-Oil Exec's Assets Frozen In $68M EB-5 Row
• Kutak Rock Moves To Exit Trustee's $10M Malpractice Suit
• Wal-Mart Urges 8th Circ. Not To Revive Mexican Bribery Suit
• Tax Court Asked To Revive 401(k) Plan DQ'd For Slow Payouts
• Ex-NFL Player's Brief In Fraud Suit Was Improper, Court Told
• Hot CMBS Deals Market Pushes Down Delinquency Rate
• SEC Admin Judges 'Likely Unconstitutional', NY Judge Says
• ITG Hit With Record $20.3M SEC Fine Over Misused Client Data
• The Vanishing FCPA 'Facilitating Payments' Exception
• BofA Cut Its Losses In Dewey's Final Month, Jury Hears
• Insider Trading Hack Exposes Big Hole In Security Plans
• Abengoa Hit With Investor Suit Over Inflated Cash Flow
• Robbins Geller Gets $60M In $400M Pfizer Class Action Deal
• Deutsche Bank Investors Want 2nd Shot Under Omnicare
• Ex-DLA Piper Atty To Head Fox Rothschild's Chicago Office
• Greenberg Traurig Adds Ex-Kaye Scholer Securities Partner
• Futures Traders Seek Consolidation Into Forex OTC Suit
• Investment Adviser WPN Ordered To Pay $15M In ERISA Suit
• Kuwait Co. On Hook For $17.8M After Botched Software Deal
• Deutsche Bank, Others Push Judge To Nix Silver Fixing MDL
• DC Circ. Denies Fund's Bid To Overturn SEC Accounting Order
• Mobile Security Firm Faces Shareholder Suit After Hack
• Alleged Facebook IPO Fraudster Fights SEC $5.7M Penalty Bid
• Strike Suit Certainty Remains The Status Quo In Nevada
• Kingate Can't Duck $825M Madoff Clawback Suit
• 8th Circ. Says ERISA Bars Benefit Plan's Coverage Fight
• US Charges 9 In Brazen Hacking, Insider Trading Scheme
• Optimizing Damages Adjustments In Securities Class Actions
• Citigroup To Pay $13.5M To End CSO Hedge Fund Suit
• 5th Circ. Revives Gov't's MBS Suit Against Goldman, Others
• Blankenship Ordered To Hand Over Docs In Mine Blast Case
• HP Revamps Bid To Seal Docs After Judge's Cheeky Denial
• Court OKs $36M Settlement By Northern Trust In ERISA Suit
• Goldman Says It Made No Misrepresentations In MBS Deal
• Sen. Warren Raises Concerns Over Banks' Messaging System
• SEC Slams Miami's, Ex-Official's Fraud Defenses
• SEC Plans To Move Forward On Ex-S&P Exec's In-House Trial
• Genworth Hit With Derivative Suit Amid Deception Claims
• Ex-NFL Player Urges Doc Turnover In Atty Investment Row
• Investor Advocates Blast Arbitration In DOL Fiduciary Rule
• Dewey Billing Chief Says CFO Ordered Invoice Fraud
• Horse Racing Co. Says License Refusal Voided Stock Transfer
• Baker & McKenzie Lands Ex-Int'l Trade Prosecutor In DC
• SEC's Aguilar Calls For Clearer Enforcement Orders
• ADT Investors Appeal Stock Repurchase Suit To 11th Circ.
• KCG Expects To Pay SEC $1M Over Order Handling Violations
• China Regulator Vows To Curb Margin Trading, Short Selling
• 2nd Circ. Raps Argentina Bond Row Judge For Flouting Ruling
• SEC Fines Guggenheim $20M Over Exec's Undisclosed Loan
• SEC Inspector General Probes In-House Judge Bias Charges
• Bouchard Bucks The Trend In His 1st Appraisal Ruling
• SEC's Friendly Fire Against CCOs — And How To Avoid It
• Dell Takes Aim At Muddled Vote In Shareholder Appraisal Fight
• SEC Helps Venture Capital Firms Enter The Internet Era
• Ex-Oil Exec Says She Was Unaware Of Losses In EB-5 Row
• Zynga Inks $23M Investor Settlement Over Pre-IPO Claims
• SEC Seeks To Back Former Bio-Rad GC In Firing Suit
• Freddie Mac Wants In On 2nd Circ. Libor Antitrust Appeal
• Marathon Hearings May Bring Changes To DOL Fiduciary Rule
• Energy Co. Shareholders Renew Effort To Block Parallel Suit
• Associated Bank Back In Court Defending $79M Ponzi Suit
• Ex-Taylor Bean Head Asks Justices To Hear $2.9B Fraud Rap
• Motorola Solutions To Repurchase $2B Shares In Auction
• Securities Boutique Can't Dodge Missing Funds Suit: Investors
• Madoff Trustee Says Accountant Owes $20M For Aiding Fraud
• Luca Oil Co. Hit With $748M Investor Breach Of Contract Suit
• Investor Forum-Shopping Ponzi Suit, Drilling Cos. Claim
• Ex-Goldman Exec In $50M Laundering Rap Blames Husband
• Banks Oppose Exchange Claims In OTC Forex Action
• Libor Plaintiffs Want To Hear From 8 Ex-Barclays Workers
• China's Anti-Corruption Wave Snags Top Securities Official
• Neustar Inks $2.6M Deal To End Investors' FCC Contract Row
• Ex-Commodity Pool Exec Cops To $1.3M Investor Scam
• OSG Investors Pitch $16M Settlement In Securities Action
• Is America's Competitive Advantage Worth More Than $2,000?
• Newman Not An Ideal Case For Defining Tippee Liability
• RMBS Investors Say Wells Fargo, Deutsche Still On Hook
• Ex-Rabobank Traders Shouldn't Depose Hayes Witness: Feds
• SEC Judge May Temper Agency Focus On Compliance Pros
• 11th Circ. Vacates Sentence Of Convicted Stockbroker
• Gardere Nabs Ex-Locke Lord Litigator Who Served Gov. Perry
• US Bank Sued Over MBS Trust Losses
• SEC Dings Ex-Compliance Chief Over Spotty Work
• 7th Circ. Apologizes For Losing Track Of Case For 5 Years
• Ex-Fund Manager Gets 4 Months For Obstructing SEC Probe
• Vereit Aims To Shed $2.2B In Property After Scandal
• Winston & Strawn Wins Stay In $107M Malpractice Suit
• Dark Pool Operator Sued Over Expected Record SEC Payout
• SEC Accuses Miller Energy, Execs Of Accounting Fraud
• Credit Suisse Must Face Insurer's $250M RMBS Suit
• CFTC Fines Morgan Stanley Over Dodd-Frank Violation
• Samsung Activist Cuts Stake As $8B Cheil Deal Goes Unabated
• Know Your Limits! Avoiding Litigation Over Equity Grants
• Dewey Trial Ahead Of Schedule Despite Juror's Illness
• M&T Says Talks Over A US Mortgage Settlement Have Begun
• PE Firm American Capital Creates $450M CLO Equity Fund
• Looking Closer At The Pay Ratio Rule — And How To Comply
• Ex-Wilmington Trust Brass Charged With Hiding Shaky Loans
• Gupta's Insider Trading Loss Not Up For Debate, Rakoff Rules
• The Latest From Judge Rakoff On The Petrobras Scandal
• Velti Investors' Baker Tilly Securities Suit In Trouble
• SEC Pay Ratio Rule Appears Bound For Courtroom Showdown
• Dodd-Frank Whistleblower Debate May Be High Court Bound
• New Claims Against Oil Co.'s CEO Already Settled: 3rd Circ.
• 24 Banks Facing Class Action Over Treasury Manipulation
• Ratings Agencies Off Hook In Bear Stearns Fund Suit
• SEC Judge Won't Sanction Ex-Wells Fargo Compliance Officer
• Schulte Picks Up Private Equity Pro From Sutherland
• Madoff Criminal Saga Wraps With Sentencing Of Accountant
• SEC Passes New Swap Dealer Registration Rules
• Internal Whistleblowers Have Full Protections, SEC Says
• 2 Challenges To SEC In-House Courts Backed By Ga. Judge
• Wall St. Reform Group Backs $1.3B BofA Fine In 2nd Circ.
• On Deck Accused Of Misleading Investors In $230M IPO
• Divided SEC Passes Controversial CEO Pay-Ratio Rule
• Takeaways From Delaware's 'New Low' In Flawed Valuation
• Pimco Founder's Parental Advice Wasn't Illegal, Judge Says
• Judge Trims Libor Claims Against Banks In NY Lawsuits
• Libor Judge Calls Out Forex Judge On Antitrust Logic
• SEC's Hot-Button Pay Ratio Rule Gets A Vote
• Morgan Keegan Asks 11th Circ. To Reinstate Arbitration Award
• Proskauer, Chadbourne Want 5th Circ. To Nix Ponzi Row
• Trader Leans On Rakoff Ruling In Insider Trading Defense
• JPMorgan Ranked Most Systemically Important Bank
• Dewey Prosecutors Struggle To Pin Down Ex-Chairman Davis
• Barclays Libor Judge Asks UK Court To Compel Testimony
• Scarinci Hollenbeck, Ballon Stoll Share NYC Space
• Ex-State Street Execs Blast SEC's Shifting Push For Sanctions
• MSRB Eyes Changes To Market Transparency Plan
• 8th Circ. Nixes Row Over $333.2M BofA Merger Settlement
• SEC's Gallagher Blames Dodd-Frank For Politicizing Agency
• Ex-Massey CEO Can't Ban Explosion Evidence In Trial: Feds
• PetroChina Dodges Class Action Over Corruption Claims
• Lehman Gets Green Light For $1.89B Creditor Distribution
• GE Slips Suit Alleging Role In $3.6B Petters Ponzi Plot
• Judge Reopens SEC Fraud Case Against Miami Official
• Locke Lord, Winston Face Sanctions Call In Mortgage Row
• Funds Seek DirecTV Stock Appraisal After $48.5B AT&T Deal
• Winston & Strawn Wants Freeze On $107M Malpractice Suit
• China Stock Exchanges Crack Down On Short Selling
• 3rd Circ. Expands Exception To Shareholder Proposal Rule
• Private IPOs And Unicorns May Trigger HSR Act Filings
• CFTC Wins Round Against Intrade In Illegal Trading Suit
• 8th Circ. Denies Ex-Atty's Appeal In Investment Fraud Case
• Prosecutors Face High Bar In Fraud Case Against Paxton
• SEC Settles With Houston Man Over $114M Ponzi Scheme
• Texas' Paxton Just The Latest AG Embroiled In Scandal
• SEC Hits Pimco With Wells Notice Over Fund Valuations
• Insurers Want Out Of Suit Over Nasdaq's Facebook IPO Deal
• SEC Subpoenas Flowserve Over Possible FCPA Violation
• Telecom Investor Aims To Stop Exercise Of 10M Shares
• Oil Drilling Investor Class Alleges $5M Ponzi Scheme
• Ex-Dewey Billing Director Describes Making False Invoices
• UK's Guilty Verdict In Libor Trial Bodes Well For DOJ
• Goldman Sachs Eyes $5.9B For Upcoming Legal Expenses
• SEC Won't Back Down After Latest In-House Court Setback
• Ex-Delta Petroleum Exec Asks Justices To Clarify Causation
• 1st UK Conviction Gives More Ammunition To Libor Plaintiffs