Securities Archive » September, 2016

Securities - September, 2016

500 articles

• Johnson Should Pay Taxes On $17B Inversion, Investors Say
• Promoter Puts His Shrink On Stand In Bid For Leniency
• Sam Wyly, SEC Strike $198M Deal Over Fraud Claims
• $413M Och-Ziff Fine Puts Hedge Funds On FCPA Alert
• Prosecutor Says Don't Hesitate To Prod Gov't On FCPA Cases
• Reinsurer Execs Conspired With Platinum Partners, Suit Says
• BP Urges 9th Circ. Not To Revive Shareholders' Pipeline Suit
• 1961 Kelley Drye Winged Foot Memo Is Privileged, Judge Says
• Rumored Reduction In Deutsche Bank Fine Has Critics Howling
• In The Hot Seat: Wells Fargo Shows 3 Deadly Sins Of SOX
• Walgreen Escapes Most Of Investor Suit Over Alliance Buy
• Trucking Deal Fraud Claims Rightly Axed, Del. Justices Say
• Chesapeake Asks 2nd Circ. To Rehear $439M Bond Case
• Caterpillar Beats Suit Over $580M Post-Merger Loss
• Huff Challenge To Longview Energy Shutdown Tossed In Del.
• Federal-Mogul Investors Launch Challenge To Icahn Takeover
• Directors Can't Escape Louisiana Pension Funds' Suit
• GlaxoSmithKline To Pay $20M SEC Fine Over China Bribery
• GOP Senator Seeks Law To Force SEC To Credit Exchanges
• Nutmeg Investors Taste Partial Victory In Receiver Suit
• Teva Knocks Out FCPA Probe Retaliation Suit
• CFTC Says Commodities Trader 'Big A' Owes $3.2M For Fraud
• DC Atty Again Targeted For Sanctions In Chiquita MDL
• Hedge Fund Can't Beat SEC's Suit Over Hacked Releases
• Banks Press Lehman For Billions Of Dollars In RMBS Claims
• Ex-Broker Gets Prison In Simpson Thacher Trading Plot
• TransPerfect Co-CEO Urges Del. High Court To Stop Sale
• 11th Circ. Won't Rethink Lender Exec's MBS Fraud Verdict
• Charitable Donations And FCPA Risks: Lessons From Nu Skin
• White Collar World Eagerly Awaits Salman Decision
• Sentencing In Promoter's $207M Fraud Gets Combative
• Oral Advocacy And 'Vocal Fry'
• $200K Fee Request Questioned In Mooted Class Case
• Gaming Co. To Pay $500K SEC Fine For Firing Whistleblower
• SEC, DOJ Accuse Ex-Drug Exec Of Insider Trading Scheme
• MaxPoint Investors Cite Boost From 'Vivendi' Decision
• SFX Inc. Judge Nixes Equity Committee, OKs Creditor Poll
• DOJ Clears 2 Texas Cos. For Self-Reported FCPA Violations
• Barclays Wants Second Shot At Exiting Libor Suit
• Bankrupt Firm's Execs Can't Dodge Breach Of Duty Suit
• Oil Co. Sold $35M In Unregistered Securities, SEC Says
• SEC Says Stockbroker Fleeced Mutual Fund Investors
• Feds Say T-Note Options Trader Lost $14M To Fake Profits
• Colony Capital Investor Sues To Block NorthStar Merger
• Lehman Brothers' Next Creditor Payout Set For $3.8B
• SEC Watchdog Sees Room For Improvement In Rule Reviews
• House Science Chair Asks SEC Head To Explain Exxon Probe
• Investors Split On SunEdison Venue At JPML
• CFTC Fines Ex-Delta VP $5.25M Over Insider Trading
• IPayment Investors Accuse Noteholders Of Board Scheme
• OCC Releases Final Big Bank Recovery Plan Guidelines
• Greenberg Says Rivalry Within AIG Behind $200M Capco Deal
• Och-Ziff Inks $413M FCPA Deal, Unit Pleads Guilty
• CFTC Amends Interest Rate Swaps Clearing Rule
• CST Brands Investor Slams $4.4B Takeover By Couche-Tard
• Inadequate Data Breach Disclosure Could Be Risky Business
• Grant & Eisenhofer Can't Add To Fees From Fannie Mae Suit
• Robbins Geller Seeks Top Counsel Spot In LendingClub Suit
• UBS Unit Can Try To Appeal Master Order In $2B Loan Case
• Navistar To Pay $9.1M To Resolve Shareholder Suit
• GEO Group Wants Out Of Private Prison Stock-Drop Suit
• TerraForm Settles Suit Over Now-Junked $2B SunEdison Deal
• Och-Ziff Nears $400M Deal, Guilty Plea For Unit In FCPA Row
• USAE Exec Blames Default Judgments On Atty Misconduct
• Redbox Parent Shareholder Suits Merged In $1.6B Buyout Row
• Lynn Tilton Justifies Latest Suit Over SEC In-House Rules
• Williams Tells Del. Justices ETE Could Have Saved $38B Deal
• State Law Applies To Trucking Merger, Del. High Court Told
• Norberg Named As New SEC Whistleblower Chief
• Senate Ag Committee Sends CFTC Nominees Forward
• 11th Circ. Axes SEC Win in BankAtlantic Fraud Case
• Calif. Suspends Biz With Wells Fargo Over Accounts Scandal
• SEC Reluctantly Adopts New Clearing Agency Standards
• Jones Day Snaps Up Winston & Strawn Executive Pay Pro
• Former REIT Exec Denies Covering Up $12M Earnings Error
• Greenberg Scolded For Lack Of 'Direct Answers' At Fraud Trial
• Investors Seek Final OK For $58M HSBC, Citi Libor Deals
• Vt. Ski Resort Owner Seeks Atty Fees Amid SEC EB-5 Probe
• US Bank Trusts Settle RMBS Suit With Ex-GE Loan Originator
• EC Probes Deutsche Börse-London Stock Exchange Merger
• Gerova CEO Found Guilty Of $20M Pump-And-Dump Scheme
• SEC Credits Big Data In $15M UBS Deal Over Sales Staff
• Former Brooklyn Federal Prosecutor Joins K&L Gates
• The Courtroom Where It Happened: Hamilton As A Lawyer
• Jones Day Adds Ex-Credit Suisse Compliance Pro In Miami
• Yellen Says Fed, FDIC Ready To Act If Living Wills Are Weak
• Chancery Tosses Challenge To AOL's $238M Millennial Buy
• Och-Ziff Brass Escape Derivative Suit Over FCPA Probes
• FINRA Fines NY Firm Over $2.5B Venezuelan Bond Sales
• AB InBev Pays $6M Over FCPA, Whistleblower Violations
• Dudenhoeffer's Applicability To Privately Held Stock
• Why Have Lawyers Forgotten About The Middle Class?
• Wells Fargo CEO To Forfeit $41M Amid Internal Probe
• Locke Lord Nears Gutting Ex-Clients' Fiduciary Breach Suit
• And Now A Word From The Panel: 3 Alternatives To MDLs
• Paylocity Investors Defend Challenge To Fee-Shifting Bylaw
• Pa. Bank Fined By SEC Over Faulty Loan Accounting
• Royal Bank Of Scotland To Settle MBS Suits For $1.1B
• SEC, IRS Tell Court To Nix Latest Wyly Estate Ch. 11 Plan
• Wells Fargo To Pay $400K To Settle CFTC Reporting Claims
• IRS Floats Guidance On Qualification Requirements For RICs
• Greenberg Downplays AIG Losses At Fraud Trial
• 7th Circ. Agrees First Convicted Spoofer Must Stay In Jail
• Ex-RMBS Trader Pays SEC $100K Fine For Misleading Sales
• Brazilian Antitrust Regulator Looking At Top Exchange
• Malaysian Pols Not Done With Goldman For 'Wolf' Funding
• Merge Healthcare Says $1B Sale To IBM Passes Muster
• CFTC Chair Tackles Stress Tests At Clearinghouses
• Argentina Holdouts In 2nd Circ. Target Bank Trustee Loot
• SEC Seeks Bank Records In Life Time Fitness Insider Probe
• Ex-Milberg Atty Tagged In Kickback Plot Settles Madoff Suit
• Vivendi Loses Appeal In $49M Shareholder Suit At 2nd Circ.
• 3rd Circ. Won't Revisit Citigroup FINRA Arbitration Win
• Viacom Investors Blast Redstone Deposition Challenge
• SEC Hits Bankrupt KiOR With Fraud Suit Over $150M IPO
• Canadian Regulators Target Cybersecurity Disclosures
• Supreme Court Won't Stay In-House SEC Suit Against Tilton
• DOJ Official Says Cos. Must Help Early In Civil Cases
• Ex-Shearson Workers Press Case For Arbitration In 2nd Circ.
• 5th Circ. Says BP Employee Stock Suit Fails Justices' Test
• The Meaning Of 'Affiliate' In Class Action Settlements
• Weatherford Pays $140M SEC Fine Over False Tax Accounting
• Investor Slips Cher's Suit Over Underperforming Funds
• Feds Say Ex-Microcap Co. CEO Bilked Investors Out Of $23M
• Genworth Shareholders Win $65M In Fees In Securities Suit
• Wells Fargo Hit With Securities Suit Over Fake Accounts
• Fed's Stress Test Relief Unlikely To Stave Off Challenge
• Santander Brass Hit With Derivative Suit For Lax Controls
• Metal Co. In $200M Award Row Says Wanted Docs Are Secret
• EverBank Investors Sue To Stop $2.5B Sale To TIAA
• SEC Can't Police $207M 'Ponzi Scheme,' Ad Co. Says
• No Stay For Jailed Ex-Adviser As SEC Seeks $2.6M Judgment
• Gerova CEO's 'Gleeful' Call Places Him In Fraud, Feds Tell Jury
• El Pollo Loco Investor Says Execs Dumped $130M In Stock
• Pimco Co-Founder Can Depose CEO In $200M Suit: Judge
• Tilton Unlikely To Prevail In High Court Quest, SEC Says
• Fiat Chrysler Hit With Investor Suit Over Inflated Sales
• NY Man's Estate Can Claim $5M Loss From Ponzi Scheme
• Willkie Farr Snags Ex-Cadwalader Corporate Chair
• CBL Faces Grouped Suits Over Loan Fraud Probe, Insider Info
• Protection For Bondholders During Collateral Release
• SEC Adds 30 Days For Comment On Disclosure Requirements
• Kelcy Warren Claims Cancer Center CEO Committed Fraud
• SEC Drops Claims TMST Mortgage Execs Hid $428M Loss
• Aviva Unit Pays SEC Fine Over Cross-Trading Allegations
• Deutsche Won't Get German Bailout In $14B US RMBS Tiff
• 4 Ways To Help Your PE Clients Comply With SEC Rules
• Alere Hit With New Complaint Over $5.8B Abbott Merger
• China OKs Credit Default Swaps For 1st Time
• Silver Investors Say Forex Ruling Proves Standing
• Merrill Lynch Pays $15.5M In 'Mini-Flash' Crash Fines
• Total SA Seeks Exit From Traders' Market Manipulation Suit
• Harris Corp. FCPA Declination Is First Of Its Kind
• You Don't Need A Data Breach To Face Regulatory Scrutiny
• Influential Women In Securities Law: Sharon Y. Bowen
• Tesla Investors May Get Chance To Halt SolarCity Deal Vote
• Paving Stone Co. Head Gets 10 Years For $26M Ponzi Scheme
• 2nd Circ. Flubbed 'London Whale' ERISA Suit, Workers Say
• Google Blasts Ex-MySpace Owner For 'Harassing' Motions
• Ex-NY Gov. Settles As SEC Sues Defunct Movie Studio Execs
• DC Circ. Urged To Rethink SEC In-House Constitutionality
• 2nd Circ. Won't Revive High-Speed Trading Cases
• Chancery Urges Charney To Lawyer Up In Hedge Fund Fight
• Texas High Court Won't Hear Horse Track Stock Sale Dispute
• Top Fed Official To Discuss Evolution Of Bank Stress Tests
• Madoff Feeder Fund Managers Escape Investor Class Action
• CFTC Must Defend Use Of Deutsche Bank Monitor, Judge Says
• Investors Blast Barclays' 2nd Circ. Case Use In Libor Row
• Extraterritorial Reach Of US Securities Laws Post-Morrison
• Rothstein Feeder Fund Agrees To Hutchison & Steffen Deal
• These Firms Lead The Pack in Handling Securities Suits
• Wells Fargo CEO Steps Down From SF Fed Advisory Council
• Ruckus Investor Seeks Chancery Look At $1.2B Brocade Buy
• FASB Chairman Grilled Over R&D Write-Off Requirement
• Books-A-Million Slams Investor Challenge To $21M Takeover
• Tile Shop Directors Sued Over Ties With Chinese Supplier
• Canadian Regulator Seeks Input On Commodity Pool Rules
• Asset Managers Say Watchdog's Proposals Not Needed
• Online Brokerage Founder Fights Contempt Bid In Fraud Suit
• CFTC Alleges Forex Trader Fraudulently Lured Customers
• 2017 Trial Date Set For KIT Digital CEO, Former Backer
• Commodities Firm, CEO, Ex-Officer To Pay $1.5M CFTC Fine
• Jay Peak CEO Barred From Using EB-5 Program
• FDIC Wants Bond Payout After $210M Taylor Bean Misdirect
• 3 Questions To Answer Before Disclosing A Data Breach
• Quinn Emanuel Brings In Veteran GC To Lead Moscow Team
• Fla. Man Settles Fraud Charges Over Blank Check Co. Scheme
• 7 SEC Actions PE Attys Should Know Inside And Out
• Prevent Merger Benefits From Becoming Disabling Conflicts
• Outerwall Investor Wants Records After $1.6B Apollo Deal
• Are Loyal Customers Happy Shareholders?
• Merion Tells Chancery Fidelity Underpaid $1.2B For LPS
• $12.2M Fund Sale Approved In SEC's Aequitas Ponzi Case
• Aozora Looks To Revive Toxic CDO Suit Against Credit Suisse
• Senate Grilling Just The Beginning For Wells Fargo
• 30 States Seek High Court Review Of Del. Seizure Practices
• More Charged In Pump-And-Dump Scheme For Shell Cos.
• Chancery OKs $24M Settlement In Caris Stock Option Dispute
• Breitling Energy Affiliate Agrees To Judgment In Favor Of SEC
• Norstra Hit With $3.1M Default Judgment In SEC Fraud Suit
• SEC Pushes For Full $26.9M Repatriation In EB-5 Case
• Convicted Fraudster Seeks Reduction In 20-Year Sentence
• Securities Regs Can't Stop At Nat'l Borders, SEC Head Says
• Judge Nixes Some Forex Claims But Finds Banks Conspired
• Hedge Fund Seeks Appraisal Of $2.2B Diamond Resorts Deal
• UBS Urges Court Not To Revive Enron Investors' Suit
• $30M Settlement With Fifth Street Fund Investors Gets OK
• Banks Lose Bid To Strike Lenders' Libor Class Claims
• Judge Won't Reconsider News Corp. Hacking Suit Dismissal
• Prison For Middleman In Simpson Thacher Inside Trading Plot
• CFTC Sues Fla. Co. For Role In Metals Scheme
• Volkswagen Faces $9.1B In Investor Claims In German Court
• SDNY's 1st Post-Newman Insider Trading Conviction
• SEC Charges Omega Advisors Founder With Insider Trading
• Rainmaker Q&A: Orrick Herrington's Hilary Winter
• Nu Skin Settles With SEC In China Charity-Donation Probe
• Tilton's Latest Suit Over SEC In-House Rules Draws Request
• SEC Probing Exxon Mobil's Accounting Practices
• Madoff Accountants Say Trustee Can't Reargue Dismissal
• $7.1M Sanctions Upheld In TransPerfect CEO Battle
• CORRECTED: Zenergy Pump-And-Dump Conspirators Must Pay Up: Court
• Tesla Investors Seek Faster Review Of SolarCity Motions
• Mutual Funds Vet Brings Kramer Levin Team To Perkins Coie
• Wal-Mart Investors Granted Cert. In Mexico Bribery Suit
• The 6 Firms GCs Want To Hire For Securities Suits
• Polaris Misled Investors On Effects Of Recall, Suit Says
• Lehman Ends $1B Spat Over GreenPoint RMBS
• SEC Hands Out $4M Award To 34th Whistleblower
• Raymond James Wants Jay Peak EB-5 Claims Nixed
• Overhauling Law Firm Records Departments For A New Reality
• Coalition Says Public Backs More Corporate Disclosure
• Royal Bank Unit Aided $123M ATM Ponzi Scheme, Suit Says
• Ex-Akebia Manager Pleads Not Guilty To Insider Trading
• BNP Paribas To Offer Minibond Blockchain Platform
• Abacus Class Impossible To Rebut, Goldman Tells 2nd Circ.
• Barclays Says 2nd Circ. Terrorism Ruling Dooms Libor Suit
• HK Watchdog Seeks To Ease Derivative Position Limits
• BNY Mellon Asks 2nd Circ. To Deny Argentina Trust Payout
• What's In Your Obligations Inventory?
• New York Sets Uncomfortable Cybersecurity Precedent
• Rainmaker Q&A: Dechert's Mark Thierfelder
• US Chamber, Others Say DOL Fiduciary Rule Is Overreach
• SEC Warns Auditors To Keep Things Strictly Professional
• Redstone Wants To Block Deposition In Del. Investor Suits
• Gerova Jury Hears Fraud Victims' Massive Losses
• Former SEC Commissioner Joins Falcon Cyber As Partner
• WebSpectator Investors Sue To Remove Board Members
• Russian Bank To Pay $5M In CFTC Deal Over Futures Trades
• Quinn Emanuel Agrees To Duck Out Of Elan Investor Suit
• Shareholder's Suit Against USA Tech Is Old News, Judge Says
• Ex-Kaye Scholer Atty In Shkreli Fraud Case Wants More Info
• Atty Says He Was 'Merely A Pawn' In Pump-And-Dump Suit
• KIT Digital Ex-CEO Urges Dismissal Of Accounting Fraud Suit
• Receiver In Jay Peak Case Has Doubts About Asset Offer
• FireEye Asks Calif. High Court To Boot IPO Suit From State
• Cravath Guiding Telia In Possible $1.4B Uzbek Bribery Deal
• Ticketing Website Execs Want Shareholder's Suit Tossed
• Deutsche Bank Gets Swap Dispute Moved From Texas To NY
• Ernst & Young Pays $9.3M Over Auditors' Cozy Relationships
• Tilton Can't Get Quick Win In $200M SEC In-House Suit
• Broker Slams Investors' Subpoenas In Libor Action
• Real Estate Fund Says $1B Ponzi Suit Belongs In Fed. Court
• Judge OKs $486M Celebrex, Bextra Securities MDL Deal
• CFTC Wins Injunction In Futures Trading Software Suit
• Negligence-Based Theories And A Cautionary Tale For GCs
• Tesla Says 4 Del. Suits May Hamper $2.6B SolarCity Bid
• Hellas Trustee OK'd To Target PE Firms In $565M Bond Fight
• Feds Smoke Out Marijuana-Related Company Stock Fraud
• Data Firm Shareholder Says Board Sneaked Stocks To CEO
• Market Makers Take Another Stab At Exchange Fee Challenge
• AMD Investor's Challenge To CEO Stock Awards Tossed
• Deutsche Bank Won't Agree To $14B RMBS Deal With DOJ
• Twitter Hit With Shareholder Suit Over User-Activity Reports
• Tesco Ends Final Securities Suit Over $425M Overstatement
• Shareholders Lose Appeal Of Allied Nevada Ch. 11 Plan
• SEC Member Invites Comments On Regulation NMS Review
• Accused Investor Wants Answers From Insider Trading Witness
• German State To Sue Volkswagen For €4M Stock Loss
• Rainmaker Q&A: Bernstein Litowitz's Blair Nicholas
• Phil Mickelson On Witness List In Insider Trading Case
• FINRA Bars Ex-Brokerage CEO Over Theft From Clearing Firm
• Ex-Logitech Execs Say SEC's Inflated Earnings Suit Fails
• Former Calif. Atty Pleads Guilty To $2.5M Investment Scheme
• The Rogue Insider: Protecting Against Trade Secret Theft
• Goldman Says Not A Scintilla of Fact In Exec Pay Suit
• Monster Investor Challenges $429M Randstad Purchase Deal
• Higher One Escapes Shareholder Suit Over Compliance
• 3 Firms To Lead Class In $2.5B Junk Bond Fund Loss Suit
• CFTC Chair Seeks To Delay Drop In Swap Threshold
• Feds Blast Santander Group's Bid To Preserve $234M Tax Win
• CFTC Nominees Poised For Approval After Senate Hearing
• Robbins Geller, Labaton To Lead Joined Target Investors Suit
• Chesapeake Strikes Out In $439M Bond Buyout Appeal
• Bankrate Execs Can't Shake SEC Accounting Fraud Suit
• NRG Class Action Filed Over Yieldco Stock Control Maneuver
• Ex-Norton Rose White Collar Pro Joins Quinn Emanuel
• SEC's Spread Bet Argument Fails In Insider Trading Dispute
• SEC Judge Challenges Tossed After 11th Circ. Decision
• SEC Seeks Early Win Against Texas Oil Exec In Fraud Case
• Actuarial Consultant Wants Out Of $157M Embezzlement Suit
• Industry Report Questions Legality Of Fed Stress Tests
• Energy-Focused PE Firm Settles With SEC For $3.5M
• CFTC Raises The Bar For Clearinghouses
• Warren Calls Lack Of Financial Crisis Suits 'Abysmal Failure'
• 3 Steps To Successful Judgment Enforcement
• How To Use Nonleading Questions On Cross-Examination
• Pimco Says Co-Founder Gross Hiding Evidence In $200M Suit
• Ex-AIG CFO Slams State's Fraud Case At Trial
• Defense Slip Lets In Co-Conspirator Info At Gerova Trial
• Broker Reaches Deal With SEC In Tech Startup Scheme
• SEC Chief Flags Challenges In Algorithmic Trading Regs
• 1st Circ. Says UPS Retiree's Family Can't Collect Benefits
• SEC Welcomes Whistleblower Attys, Enforcement Chief Says
• New Small Biz Group To Fight Leverage Restrictions On BDCs
• Jury Finds Commodities Pool Chief Committed $2.7M Fraud
• AIB Says Del. Precedent OKs Sending Fund Suit To Bulgaria
• SFX Entertainment Appeases Creditors With New Ch. 11 Plan
• SAC Backs Push For Quinn Emanuel DQ In Elan Investor Suit
• Lloyds Cites Sokolow Decision In Bid To Escape Libor Suit
• Ex-Simpson Thacher Clerk Gets Prison For Insider Trading
• Och-Ziff Unwinds Class Cert. Order Hours After Judge Errs
• Valeant Says Investors' Suit Is Based On Hindsight
• House Committee Gets Legal Support For AG Subpoenas
• Bitcoin Buyers Ask To Serve Mt. Gox CEO Using Ex-Attys
• SEC Beats Miami In $38M Bond Rating Fraud Trial
• FINRA Fines Ameriprise For Missing Fraudulent Transfers
• Chancery Revisits DFC Global Appraisal, Bumps Up Shares
• Reed Smith Nabs Paul Hastings Atty For Corporate Group
• Government's Brief In Salman Urges A Bright-Line Test
• Reducing Settlement Delays In Loan Trading Market
• Secretly Guiding A Jury's Emotions
• Drinker Biddle Adds Corporate Partner From Baker Botts
• Dodd-Frank Repeal Bill Passes Out Of House Committee
• Lawyers Duck Securities Claims In Buyout Malpractice Suit
• Pair Linked To $900M Ponzi Scheme Get Prison Terms
• Feds Detail Gerova $20M Pump-And-Dump Scheme To Jurors
• DOJ Says Fla. Schemer Took $33M From Investors, SC Gov't
• Gilead Attacks Post-Merger Claim to $50M Cancer Drug Bonus
• NY AG Says Ex-AIG CEO Orchestrated Fraud, As Trial Begins
• Atty Must Serve 2 Years, Pay $14M For Assisting Mob Family
• AgFeed Judge Again Throws Out Claims Against Ex-CEO
• Spectra Energy Says Investors' Suit Over $3B JV Falls Short
• NY Cybersecurity Rules Could Push Other Regulators
• NY Judge Narrows Investor Claims In Libor MDL
• SEC Fines Harris Unit Ex-Boss For $9.6M Bribery Scheme
• Investors Say Koch Trying To Delay Oxbow Trial
• 'Stock Whiz' Pays $1.5M To Settle Newsletter Fraud Claims
• Judge Says Govt. Not Liable For Federal Workers' Ponzi Loss
• Feds Charge Ex-Spurs Star's Investment Adviser With Fraud
• FINRA Says Fla. Brokerage Turned Blind Eye To Laundering
• Rainmaker Q&A: Baer & Troff's James Baer
• 7th Circ. Judge Questions Ruling In Sentinel CEO's Case
• ETE Urges Del. Justices To OK $38B Williams Deal Breakup
• Why Good Corporate Governance Is Essential For SPVs
• Ex-Rothstein Atty Seeks Less Time For Ponzi Scheme Role
• Should Public Cos. Voluntarily Adopt Proxy Access?
• Should Your Law Firm Move To The Cloud?
• Quinn Emanuel May Face DQ Action In SAC Capital Suit
• After 11 Years And 3 AGs, Ex-AIG CEO Finally Faces Trial
• SEC Urged To Protect Investors From Corporate Tax Dodging
• FINRA's Capital Acquisition Broker Rules Face Tough Sell
• Golden Investors Target $136M Utz Deal In Del. Class Suit
• Nev. Stock Promoter Cops To $33M Pump-And-Dump Scheme
• TD Bank Hit With NJ Suit Over Role In $8.5M Ponzi Scheme
• Judge Won't Reconsider Globus Securities Suit Dismissal
• SEC Wants Firms To Watch Reps With Troubled Pasts
• Battery Co. Shareholder Claims Family Swayed Stock Award
• Class Member Objects To Fee Request In $1.6B HSBC Deal
• Kirby McInerney Named Lead Counsel In NJ Securities Row
• Rainmaker Q&A: Schulte Roth's David Nissenbaum
• SEC Fines Investment Adviser $2.8M Over Annuities Scheme
• Ex-Duane Reade CEO Appealing $6.2M Restitution Order
• Investors Sue Breitling, CEO Over Alleged Royalty Fraud
• JPMorgan Whistleblower Suit Revived Again By 2nd Circ.
• 3 Indicted In $6.5M Diamond Investment Scheme In Texas
• SE Asian Capital Market Regulators Push Bond Market Growth
• Chinese Fuel-Storage Co. CFO Seeks Dismissal In Fraud Suit
• Chamber Calls For Financial Stability Board Restructuring
• Justice Ginsburg Seeks SEC Response To Tilton's Stay Bid
• Rise In Whistleblower Claims Likely With New CFTC Rules
• Extraction Payment Rule May Lead To More FCPA Scrutiny
• What Mutual Fund Advisers Can Learn From AXA Trial Win
• From The Partner's Desk: Paving Your Path To Partnership
• Williams Investor Slams Board's Costly ETE Takeover Defense
• Mortgage Co. Investors Slam Award In Greenberg Fraud Row
• Limits On Citrix Directors' Stock Awards OK'd In Settlement
• Investors Seek Appraisal Of $13B Columbia-TransCanada Deal
• First Convicted 'Spoofer' Denied Bail During Appeal
• Del. Hemispherx Settlement Delayed By CEO's Fla. Case
• Peru Says Tweak To $1.6B Arbitration Claim Dooms Gramercy
• State Securities Suits Are Mounting, Cyan Tells High Court
• Crowe Horwath Can't Dodge FDIC Negligence Suit
• BOKF Settles Beef Over Bond Offering For Senior Centers
• Cisco Says No US Charges In Russia Bribery Probe
• Latest Tilton Suit Says SEC Railroads In-House Respondents
• SEC Says Texas Oil Co. Deceived Investors To Raise $5.6M
• House Approves Scaling Back Adviser Reporting Rules
• SEC Says Contractor Failed To Account For $61M FCA Fine
• Sorrento Therapeutics Investor Says Board Looted Company
• SFO Charges 3 Ex-Tesco Directors With Fraud
• Stifel Reaches SEC Deal On Eve Of $200M CDO Trial
• Removing Securities Act Cases: MoneyGram Bucks The Trend
• AstraZeneca And The SEC's Focus On Life Sciences
• How We Can Diversify The Legal Profession And Why We Must
• Edison Workers Urge Full 9th Circ. To Revive ERISA Suit
• TC Pipeline Investors Try To Keep $446M Deal Suit Alive
• Jailed Hedge Funder Needs More Attitude Adjustment: Judge
• Tesla Shareholder Seeks To Speed SolarCity Merger Challenge
• Molycorp Settlement Near In Colo. Class Securities Suit
• Pryor Cashman Must Face Malpractice Suit, NY Court Told
• 2 Firms To Pay SEC Fines Over Wrap Fee Compliance Failures
• Hong Kong Exchange Signs Memorandum With Shandong
• NJ Bank Looks To Crush Shareholder Suit Over Director Pay
• House OKs Bills Trimming SEC Rules On Small Businesses
• Halcon Resources $2B Ch. 11 Confirmed, Next-Day Exit Seen
• Investor Class Suit Over Cancer Co. IPO Goes To Fed. Court
• SEC Judge Rebukes Tilton's 'Fishing Expedition'
• 3rd Circ. Asked To Rehear Toss Of FINRA Arbitration Suit
• Ex-Ropes & Gray Atty Jailed For Insider Trading Disbarred
• Martha Stewart Says Suits Over Omnimedia Sale Have To Go
• 2nd Circ. Grants Stay In Barclays Dark Pool Case
• Divided CFTC Recognizes Japanese Swap Margin Rules
• 2nd Circ. Affirms Toss Of 'London Whale' ERISA Suit
• Intercept's $55M Payout In Stock-Drop MDL Gets Final OK
• Attys Seek $36M In Fees For Barrick Investor Settlement
• Scope Of The Jury Trial Right In Civil FIRREA Actions
• Former REIT CFO Charged With Fudging Earnings Metric
• Ex-Exec Charged In $7B Ponzi Scam Can Appeal Industry Ban
• Executives Face SOX Disgorgement Uncertainty After Jensen
• SEC Urges Contempt For Wyly Executor Over $101M Penalty
• 11th Circ. Nixes ADT Investors' Securities Fraud Suit
• Balking Hercules Stockholders Offered $47.5M Ch. 11 Deal
• Stanford Receiver, Investors Seek OK Of $120M Willis Deal
• Barclays Wins Stay Of Dark Pool Suit To Appeal Class Cert.
• SolarCity Seeks $663K In Fees After Investor Suit Dismissal
• $30.4M Tibco-Vista Merger Class Award Gets Del. Court OK
• Israeli Mogul Says Stock Buy At Heart Of $503M Suit Is Fake
• Drinker Biddle Hires Ex-SEC Enforcement Atty In Chicago
• IBM Beats Shareholder, ERISA Suits Over $4.7B Divestiture
• Volcano Investors Appeal 'Radical' Chancery Court Ruling
• Retirement Systems Battle For Lead In Volkswagen Suit
• House Votes To Restrict Donations In DOJ Settlements
• PE Banker Reaches SEC Deal Over $95M Fraud
• HK Regulator Bans Ex-HSBC Staff From Securities For Life
• CFTC Charges Assistant Trader With Making False Reports
• CFTC And Mexican Regulators Sign Pact On Info-Sharing
• Rainmaker Q&A: Kasowitz Benson's Aaron Marks
• White House Threatens Veto Of GOP Securities Bills
• 2 SEC Actions Highlight Private Equity Target Areas
• Wells Fargo Fires Back In Bid To Beat RMBS Suits
• St. Jude Sues Over 'Defamatory' Cardiac Device Report
• 11th Circ. Won't Rethink Challenge To SEC In-House Judges
• Auto Salvage Co. Can't Duck $200M Award Row, Refiner Says
• The Trader-Based Approach To Insider Trading Enforcement
• Leveraging Trial Strategies To Improve Your Negotiating Skills
• $3.5M Fees Sought In Sterling Chemical Class Settlement
• No Early Discovery In $13B TransCanada Deal Suit
• SDNY Cybercrime Chief Joins Sullivan & Cromwell
• MoneyGram Investor Suit Belongs In Fed. Court, Judge Says
• SEC Judge Finds Texas Auditor Failed Independence Standard
• Deutsche Defends Claim It Didn't Know Securities Were Bad
• Palantir Says Investor Stole Ideas For Own Patent Applications
• Bank's Role In Ponzi Scheme Not Covered, 11th Circ. Told
• SEC Sues Penny Stock CEO Over Promotional Campaigns
• ITT Tech Shuts Down After Feds Demand $152M Deposit
• Judge Draws Map For Tallying UBS Liability In $2B Loan Case
• MF Global Blasts Customer Attys' $47M 'Free Ride' Fee Bid
• Judge Tosses Suit Over Failed American Apparel Takeover
• SEC Rejects Ex-E&Y Partner's Oversight Board Challenge
• Old Skills, New Tricks: Opportunities For Law Librarians
• Sizmek Investor Challenges $122M Vector Capital Merger
• Wastewater Co. Investors Sue In Del. To Oust 'Paranoid' CEO
• Ex-NJ Investment Pro Gets 46 Months For $1.5M Fraud
• Jay Peak Owner Slams SEC's 'Bluster' In EB-5 Fraud Case
• Ex-Siemens Director Must Face Fraud Charge: German Court
• Hunton & Williams Pushes Immunity In Stanford Investor Suit
• Ex-SEC Whistleblower Chief Heads To Phillips & Cohen
• Lessons From Recent FINRA Cycle Exams
• The Importance Of Supplemental Juror Questionnaires
• In Congress: Welcome Back To More Of The Same
• Influential Women In Securities Law: Elizabeth P. Gray
• CytRx Shareholders Get Del. Stock-Pump Suit Moving Again
• Kraft Must Wait To Appeal Wheat Futures Manipulation Ruling
• $50B Oil Co. Case Doomed By 'New' Testimony, Russia Says
• Ex-Harman Tax Exec Gets 8 Months For Insider Trading
• Horsehead Ch. 11 OK Leaves Shareholders Out In The Cold
• Biotech Co. Escapes Stock Promotion Scheme Class Action
• Feds Expanding Insider Trading Law, Salman Tells High Court
• Delaware Raises Bar For Challenges To Noncontroller Deals
• Ex-Morgan Stanley Reps Sued Over $190M Venezuelan Trades
• Profs Say Petrobras Holds Burden Of Proof In Cert. Appeal
• Jay Peak CEO Settles $50M EB-5 Investment Swiping Case
• Jury Must Decide Timeliness In NCUA MBS Suit, Says Judge
• Atty 'Disingenuous' In Energy Co.'s Suit, Court Told
• SEC Case Against Texas AG May Be Stretch, Judge Says
• Will 'Dr. Bull' Affect Actual Jurors?
• High Court Gives Extra Time For Best Buy Cert. Petition
• Horsehead Denies Loan-To-Own Claim On Eve Of Ruling
• Pfizer Stockholder Denied Request To Inspect Co. Records
• Pain Therapeutics Gets Nod On $8.5M Remoxy Class Deal