Securities Archive » January, 2017

Securities - January, 2017

500 articles

• Gorsuch Likely To Restore Scalia-Era High Court Balance
• Gorsuch's Credentials Could Prove Troubling To Opposition
• Attys In $428M Williams Merger Row Fight Dupe-Suit Claims
• Jury Largely Clears Ex-JP Morgan Analyst In Tipping Trial
• 3 Gorsuch Opinions You Need To Read Right Now
• Hedge Fund Blasts Lehman's 'Zombie Position' In $265M Suit
• Jeter Wants Underwear Co. Sanctioned For Late Legal Fees
• Dentons Knew About Damages Claims, USAE Investors Say
• Trump Nominates Judge Gorsuch For High Court Seat
• Dewey Exec Wants Ex-Firm Head On The Witness Stand
• Cancer Drug Co. Founder Accuses Brace Of Takeover Plot
• ODN Directors Say Stock Redemption Suit Short On Facts
• 5th Circ. Says Ex-Stanford Workers Can't Arbitrate
• Fla. Judge Orders SEC To Tighten Adviser Fees Suit
• Directors Financial, Banks Drop Libor Rate-Rigging Row
• Oil E&P Co. Says Accountant's Finding Is No Arbitral Award
• Charges Against Broker Dismissed In $17M Stock Scheme
• UBS, Credit Suisse Can Argue They Did Enough In RMBS Suit
• Ubiquiti Networks Hit With New Complaint Over 2011 IPO
• 2 More Directors Leave The SEC, Making 3 In Week
• Ex-Cypress CEO Calls Out Exec's Role In $1.3B Lattice Deal
• Dechert Sees White Collar Pro Return From Manhattan DA
• GOP Set To Halt SEC's Extraction Payment Disclosure Rule
• Ex-E&Y Partner Brings Oversight Board Challenge To DC Circ.
• Fed Eases Stress Test Reviews For Midsize Banks
• Feds Say Leaks Didn't Hurt Gambler's Insider Trading Case
• Prosecution Of Corporate Execs: The Latest Developments
• A Derivatives Trader's Compliance Checklist
• 2 Recent Decisions Provide Stock Promotion Guidelines
• Dems Boycott Vote On Trump's HHS, Treasury Noms
• Fund Manager Fights SEC Claims Over 'Death Put' Scheme
• Lehman Begins $265M Court Fight With Hedge Fund Mgr.
• NY Fines Deutsche Bank For Letting Russians Launder $10B
• Trump Fires Acting AG For Defiance On Immigration Ban
• Stanford Trustee Can't Toss Ex-Diplomat's Ch. 7 For $1.2M
• Biotech Hit With Securities Class Action Over Sham Merger
• ARIAD Investor Slams $5.2B Takeda Deal For Unfair Process
• CFPB May Be Vulnerable To Trump's 'One-In-Two-Out' Rule
• Nominee For HHS Sec Bought Discounted Biotech Stock
• IBM's $1B Med Imaging Buy Beats Investor Challenge In Del.
• HSBC Balks At NCUA Bid For Atty Docs In $2B MBS Suit
• Implant Sciences Investors Can Sue In NY Amid Ch. 11
• Tesla Seeks Toss Of Class Hit On $2.6B SolarCity Merger
• Bitcoin Users Should Expect More IRS And DOJ Scrutiny
• Chipmaker Lattice Hit With Shareholder Suit Over $1.3B Sale
• Wells Fargo Not Liable For $168M Ponzi Scheme: 11th Circ.
• Ex-VC Exec Seeks Stay In SEC's Insider Trading Case
• Senate Dems Win Delay In Mnuchin Committee Vote
• Merkin Loses Bid To KO Clawback In Madoff Bankruptcy Case
• Facebook Hit With Shareholder Suit Over Video Metrics
• Bail-Jumping Former Analyst Found Guilty Of Insider Trading
• Business Groups Mischaracterizing Fiduciary Rule, DOL Says
• Dewey Trustee Relents On Bid To Destroy Records
• Love And Law In The Age Of Trump
• Dueling Shareholder Actions Could Raise Due Process Issues
• Trump Signs 'One In, Two Out' Order On Rulemaking
• What Every Co. Should Learn From Yahoo's Mega-Breach
• The State Of The Litigation Finance Industry In 2017
• Del. Bill To Limit Reach Of Escheat Laws Sent To Gov.
• Health Insurer Investors Sue Over $800M Sale To WellCare
• Fla. Man Charged With Running $18M Investment Scheme
• Goldman Coder Ruling Stands In Lieu Of Clear Data Theft Law
• Jury Selection Drags On For Dewey Execs In Round 2
• State Street Faces Investor Suit After $65M Fee Scheme Fine
• Accused ForceField Promoters Deny Roles In $131M Scam
• Equus Says Stock Award Plan Fully Detailed In Statements
• Foley & Lardner Adds 2 Ex-McGuireWoods Securities Partners
• ADT Insider Trading Jury Hears Ex-Analyst's Phone Calls
• Feds Crack Down On 'Hamilton' Ticket Resale Ponzi Scheme
• Policy Doesn't Cover $17M Ponzi Loss, 5th Circ. Told
• Robbins Geller To Lead Action Over $1.4B Genesys Deal
• Peregrine Victims Want A Second Shot At Recouping Losses
• Level 3 Investor Says Board Held Back Info On $34B Merger
• Dechert Adds Ex-US Atty From Cahill Gordon
• SEC's First Chief Operating Officer Leaving Commission
• IMX Equity Panel Denies Ch. 11 Sabotage Claim By Lenders
• SEC Bars Accounting Firm For Faulty Chinese Fuel Co. Audit
• Indian Regulators Set Listing Rules For Exchanges
• GOP Says SEC Inaction Doesn't Block Pay-To-Play Review
• Miami Budget Director Denied $38M Bond Rating Fraud Retrial
• Nyca Partners Closes $125M Fintech Fund
• 11th Circ. Ruling May Affect Criminal Securities Fraud Cases
• Del. Clarifies Derivative Standing Rules For Partnerships
• Ex-Jefferies Trader Beats All But 1 Charge In Fraud Retrial
• Western Union Hit With Investor Suit After Fraud Disclosure
• Cornerstone Investor Attys Get $4.9M In Merger Settlement
• BT Group Hit With Securities Suit Over Italy Unit Scandal
• Shkreli, Ex-Katten Atty Gear Up For Severance Fights
• 2nd Circ. Drills DOJ On Use Of Compelled Libor Testimony
• Tilton Fights To Keep Zohar Suit Out Of SEC Case
• NY Judge Signs Off On Braskem's $632M Corruption Fine
• Pump-Dump Fraudsters Pay SEC $9M, Firm Still Faces Suit
• Sessions Says He Will Enforce FCPA, Review Health Mergers
• Sorrento Directors Say Investor Suit Inadequately Pled
• CFTC's General Counsel To Step Down
• Analyst Peeked At Secret Files Before ADT Buyout, Jury Told
• Chancery Rejects Early Appeal In Fee-Shifting Bylaw Case
• Del. Justices Uphold Toss Of Salix-Valeant Merger Appeal
• TMST Execs Slam SEC Over Trial Tactics, Demand Delay
• Trump, GOP Allies Aim To Kill Dodd-Frank By Year's End
• Investment Firm's Tie-Up With Parent Unfair, Shareholder Says
• Citigroup Pays $18 Million SEC Fine For Overbilling Clients
• CORRECTED: Michael Piwowar Named SEC Acting Head, Agency Awaits Nominee
• Aetna Merger Suit Defeat Caused $1.7B Loss: Shareholders
• When SEC Knocks: 8 Immediate Actions For Every Company
• JCI Shareholders Lose Injunction Bid In $17B Inversion Suit
• SEC Charges Ex-Och-Ziff Execs Over African Bribery Scheme
• Stanford Ponzi Receiver Doubles Down On Clawback Claim
• 6 Ways To Get More From A Limited Budget For Trial Graphics
• Securities Group Of The Year: Williams & Connolly
• Ex-Assistant US Atty, SEC Atty Joins Hinshaw & Culbertson
• Time To Update Risk Factors In Your Annual Report
• Shareholders Spar Over CorpBanca Share Purchase Pact
• Ex-JPMorgan Analyst's 'Bogus' Emails Hid Trades, Jury Told
• Top Del. Republican Urges TransPerfect Co-CEOs To Settle
• Implant Sciences Equity Holders Say Adviser Is Conflicted
• DOE Nominee Perry Named In Suit Over ETP-Sunoco Merger
• Del. Justices Seek Details In $13B Salix Merger Appeal
• Navistar Shareholders Look To Seal Deal In Securities Suit
• Health Care Firm Must Set Aside $71M In Merger Proceeds
• Securities Group Of The Year: Weil Gotshal
• SEC Moves Forward With Suit Against Ex-Navistar CEO
• Axis Fights Coverage Under Policy Tilton Bought During Probe
• Northrop Workers Want Experts, Audits Barred In ERISA Suit
• SEC Gets Adviser To Admit $1.3M Stock 'Cherry-Picking' Plot
• New DOL Exemption Can't Save Fiduciary Rule: Biz Groups
• SEC Sues General Cable Execs Over Accounting Fraud
• Libor MDL Dismissals Should Not Be Rehashed, Banks Say
• Sen. Feinstein Introduces Bill To Nix EB-5 Investor Program
• Fidelity Unit Fined $65M By The Fed, FDIC And OCC
• Hong Kong Urges Public Companies To Improve Disclosures
• Madoff Investor Loses Appeal To Unblock $11B Suit
• Goldman Says 9th Circ. Ruling Shows Abacus Class Fails
• More Time Warner Investors Sue For Info On $109B AT&T Deal
• Carefully Tailored ERISA Claims After Amgen V. Harris
• Significant 2016 Decisions Affecting Private M&A: Part 2
• 2nd Circ. Asked To Restore JPMorgan Silver Futures Suits
• SEC Says EB-5 Fraud Defense Doesn't Pass 'Red Face Test'
• Thompson & Knight Seeks OK Of $26M In Life Partners Ch. 11
• Qualcomm Hit With Shareholder Suit Over FTC, Apple Claims
• SEC Enforcement Chief Heads Back To Debevoise
• CORRECTION: Shareholder Suit Claims Bank Had Hidden Fraudster Ties
• Nutrisystem Rule For Director Ousters Struck Down In Del.
• Mnuchin Says Bank Size Should Not Determine Gov't Scrutiny
• Deutsche Must Pay $110M In Swaps Suit, NY Court Affirms
• Investor RMBS Claims Against Deutsche Bank Escape The Ax
• Bombay Stock Exchange Opens IPO, Aiming To Raise $182M
• Asset Freeze Imposed On Atty Accused In $9.6M EB-5 Suit
• Bail-Jumping Ex-Analyst Ruled Fit For Insider Trading Trial
• And Now A Word From The Panel: A Year Of Vanishing MDLs
• Morgan Stanley, Citigroup Pay SEC Fines Over Forex Platform
• Cisco Scores 'Unicorn' AppDynamics In $3.7B Deal
• SEC Imposes 5-Yr Ban On Unregistered Broker In $5M Scheme
• Securities Group of 2016: Robbins Geller
• SEC Fines Accountant For Trading On Health Care Deal Tip
• Near-$1B Deal Shows New Rules 'Will Not Chill' CMBS Market
• Ex-Goldman Coder's Theft Conviction Reinstated
• Significant 2016 Decisions Affecting Private M&A: Part 1
• FCPA Expectations Under President Trump
• SEC HomeStreet Action Broadly Interprets Dodd-Frank
• FBI Exceeded Warrant In PE CEO's Fraud Case, Agent Says
• Ex-JPMorgan Analyst Testifies Colleague Admitted Tipping
• SEC, Nursing Home Owner Resolve Bond-Pilfering Claims
• OSI Settles Investor Suit Over TSA Nude Body Scanner Issues
• Mallinckrodt Hit With Securities Suit After $100M FTC Deal
• Bio-Rad CEO Tells Jury Ex-GC 'Came Unglued' After DOJ Fee
• Delayed Fiduciary Rule Faces Host Of Obstacles To Repeal
• Jury Selection Kicks Off In Dewey Retrial
• Oil Tanker Holding Co. Agrees To Pay $5M SEC Penalty
• JPMorgan, BofA Escape Securities Class Actions In 7th Circ.
• Ninth-Justice Argument Rejected In Stanford Ponzi Case
• Volkswagen's $1.6B Dealership Settlement Gets Final OK
• KaloBios Investors Take $1.5M Deal But Still Target Shkreli
• Del. Top Court Reverses Toss Of $11B Regency Merger Suit
• Qualcomm Shareholder Appeals Chancery Ax Of Antitrust Suit
• REIT Faces Another Suit Over $41M Hotel Loan Write-Down
• MF Global Insurers Ordered To Drop Bermuda Proceedings
• Best Buy Investors Want To Show Price Impact Evidence
• Tilton Tasks Justices With Constitutional Review Of SEC Court
• 6 Reasons Why A Wholesale Dodd-Frank Repeal Is Unlikely
• SEC Pays $7M To Whistleblowers For Investment Scheme Tips
• EB-5 Investors Try To Keep Mortgage Holder In $50M Suit
• Daimler Looks To Put Brakes On US Emissions Fraud Claims
• Solera Further Clarifies Landmark Corwin Decision
• Dealing With Confidential Witness Recantation Statements
• Securities Group Of The Year: Paul Weiss
• Insider Trading Defendant Busted After Skipping Trial
• SEC Unlikely To Escape Partisan Chokehold Under Trump
• Lynn Tilton Calls Zohar Funds Lawsuit 'Tactical Game'
• Wyly Urges 2nd Circ. To Hear Arguments In $299M SEC Appeal
• Rimon Snags Ex-Reed Smith FinTech Partner In DC
• Atty Cops To Posing As Securities Pro In Pump-And-Dump Plot
• CFTC Names Giancarlo As Acting Chairman
• Chancery Tosses Claims Over Alleged UPS Cigarette Scheme
• Bankruptcy Veteran Joins Broad And Cassel's Miami Office
• Morgan Stanley Aims To Trim Calif.'s Great Recession Suit
• Proxy Worker Gets Probation In Shareholder Bribe Scheme
• IMX Equity Panel Offers Fee Cap For Ch. 11 Lender Suit
• FHFA Supplants Fannie Mae Shareholders In Deloitte Suit
• Societe Generale Owes $50M For Lying About $780M In RMBS
• Fla. Atty Cops To Avoiding Taxes On Stock From Clients
• Investors, Banks Trade Shots In Libor Case
• Fiat Chrysler Investors Sue Over Emissions, Recall Missteps
• Agile Lied About Birth Control Patch Study, Investor Says
• SEC Claims Assisted-Living Owners Mixed Bond Accounts
• Cosmetics Co. Merger Suit Settled With $5.6M For Investors
• Credit Suisse, UBS Can't Ditch Credit Unions' RMBS Claims
• Securities Group Of The Year: Bernstein Litowitz
• Morgan Stanley, UBS Must Provide ISDAfix Gov't Probe Docs
• Coin.mx Trial Date Slips After 'Disappointing' Gov't Tactic
• Life Settlements Industry: 2016 In Review
• Herbalife In SEC Hot Seat Over China Anti-Corruption Stance
• Hong Kong Warns Against Rule-Breaking In Growth Market
• ConAgra Opinion May Repair Ascertainability Circuit Split
• SEC Inks Cooperation Deal With Hong Kong Regulators
• Investor Sues For More Info On $85.4B AT&T-Time Warner Deal
• Another Jurisdiction, Another Disclosure Settlement?
• How Litigation Funding Is Bringing Champerty Back To Life
• Bio-Rad CEO Tells Jury He Backdated Fired Exec's Review
• FBI Agent Says Ex-JPMorgan Analyst's Calls Led Pals To Buy
• 9th Circ. Won't Revive HP Investors' Suit Over CEO Ethics
• Peoria Firm Graves Can't Nix Stock-Buy Malpractice Suit
• Rolling Back Regulation In The Age Of Trump
• In The Polarized Era Of Trump, BigLaw Searches For Balance
• The Lawyer Who Will Shape Trump's Presidency
• Most Influential Judges On Trump's Supreme Court Short List
• AbbVie Fires Back At Investors' Suit Over Failed Merger
• GoPro Wants Securities Suit Tossed As Fraud By Hindsight
• IMX Lenders Oppose Equity Holders' Standing Request
• Bear Fund Liquidators Again Target S&P, Others Over RMBS
• Del. Libel Claims Go Forward In Board 'Fight Letter' Suit
• CFTC's Enforcement Head To Leave Agency
• Dallas Court Blocks Suit Over Pay For Paxton Prosecutors
• Revolving-Door Roundup: Cleary, MoFo, King & Spalding
• House, SEC End Health Care Insider Trading Subpoena Row
• BioScrip Investors Try To Save Suit After Targeting New Board
• 5 Takeaways From Mnuchin's Treasury Confirmation Hearing
• Fitbit Still Can't Shake Shareholder Suit
• 7th Circ. Upholds Sentinel CEO's 14-Year Prison Term
• Chancery Nixes Claims Over $10M Payout For Ex-Mattel CEO
• SEC Says Co. Broke Accounting Rules, Foiled Whistleblowers
• The Need For A Limitations Period On SEC Disgorgement Claims
• No Pre-Sentence Jail For Leader Of $11M Investing Fraud
• Jason Galanis Pleads Guilty In $60M Tribal Bond Scheme
• Jury Finds Ex-Visium Manager Guilty Of Hedge Fund Fraud
• Canadian Regulators Adopt Derivatives Clearing Reforms
• Warren Probes Industry Support For Fiduciary Rule Rollback
• Attracting And Retaining The Millennial Lawyer
• Blank Rome Gains Cross-Border Transaction Partner In NY
• Accused Fraudster's Suicide Doesn't Void Ponzi Deal: 6th Circ.
• Dell Says Chancery 'Abused Discretion' In Buyout Appraisal
• CFTC Fines Citigroup $25M For Spoofing
• Expect Continued Aggressive Enforcement Under Bharara
• Ex-JPMorgan Analyst Tipped Pals To Tech Deals, Jury Told
• SAC Trader, Feds Feud At 2nd Circ. Over Salman Impact
• TransPerfect Workers To Push Del. To Curb Chancery Power
• EB-5 Update Could Pump The Brakes On Investor Numbers
• Fraud Conviction Stands, But Atty Wins $13M Penalty Review
• Bio-Rad's Ex-GC Testifies CEO Resisted FCPA Investigation
• Class Seeks Del. Supreme Court Rescue In Lululemon Case
• Dershowitz Scraps With Justice Strine Over TransPerfect Sale
• Indicted CEO Can't Escape Securities Fraud Charges
• Oil Co. Directors Say Nigerian Assets Bought In Good Faith
• Jury Blocks Stanford Receiver's $88M Clawback Claim
• Med Device Co. Pays $14M Over Accounting, FCPA Violations
• Del. Justices Kick Wal-Mart Investor Suit To Chancery
• Finance Pros Tell Fund Fraud Jury Visium Quotes Were Off
• Swaps Trading Is On New CFTC Chair's Radar
• Investor Gets 20 Months For Trades On GC Wife's Inside Info
• 2nd Circ. Revives $140M FDIC Mortgage Securities Suit
• Israel Issues Its Largest-Ever Euro Bond On London Exchange
• Stoel Rives Seeks Dismissal Of Claims It Aided Ponzi Plot
• NJ Atty Escapes Default In Energy Co.'s Malpractice Suit
• Calif. Businessman Ran Fraudulent EB-5 Scheme, SEC Says
• GM Pays $1M Fine Over Ignition Switch Accounting
• SEC General Counsel To Leave Agency This Month
• Calif. Law Firm Could Owe $13M For Pump-And-Dump Scheme
• Barnes, Partner Say They Didn't Intend To Harm Nutmeg Group
• DOL Says Fiduciary Rule Can Discourage Class Waivers
• Pay-To-Play Lessons From This Week's SEC Settlements
• Credit Suisse Finalizes $5.28B MBS Settlement
• Texas Atty Loses 2nd Bid To Ditch SEC's Ponzi Scheme Suit
• Judge Rejects Newman Plea For Insider Trading Convictions
• Level 3 Shareholders Sue To Stop $34B CenturyLink Deal
• It's Time To Change The Law Firm Business Model
• State Street To Pay $65M For Execs' Commission Fraud
• Community Health Execs To Pay $60M Over Investor Suits
• Thesys Selected To Run Consolidated Audit Trail System
• Bio-Rad Fired GC For FCPA Leak, Jury Told At Trial's Start
• Ex-Coin.mx Worker Pleads Guilty In Bitcoin Fraud Scheme
• Ex-Cravath Atty, Hedge Fund Runner Get 2nd CFTC Seat Try
• Southport, US Bank Hit In Asset Misappropriation Scheme
• Allergan Pays $15M For Failing To Disclose Merger Talks
• Energy Transfer Investor Seeks To Stop $21B Sunoco Merger
• Pipeline Co. Investors Sue Over $257M-Plus Calif. Spill
• Zohar Funds Sue Lynn Tilton's Patriarch Partners
• Samson Resources Cleared For $60M Ch. 11 Rights Offering
• SEC Fines Pershing Square, Others For Pay-To-Play Violations
• Linkwell Investor Says Sidley Can't Dodge 'Covert' Merger Row
• Deutsche Bank Finalizes $7.2B MBS Settlement
• Visium Trial Witness Describes Illegal Health-Sector Trades
• Tragic Juror Issues Delay Litvak Deliberations
• Mary Jo White Says SEC Must Remain An Independent Agency
• SEC Ban On Convicted Atty Wrongfully Retroactive: DC Circ.
• The International Scope Of SEC's Whistleblower Program
• Real Estate Rumors: Leser, Bed Bath & Beyond, HA Langer
• Elliott, Bluescape Mull NRG Energy Proxy Fight
• Gambler Says FBI Leaks Ruin Insider Trading Case
• CFTC Says HK Co. To Pay $150K For Reporting Violations
• Palm Beach Companies Urge Court To Toss $50M EB-5 Suit
• SEC Settles With BlackRock Over Whistleblower Waivers
• Hague Convention's Impact On Secured Transactions
• Dewey Execs Blast DA's Bid To Limit Star Witness Questions
• Cuomo Taps Cravath Partner For Seat On NY High Court
• Amended Rule 37(e): 1 Year Later
• Supreme Court Rejects Banks' Appeal In Libor Rigging Suit
• How Jed Rakoff, One-Man Circuit Split, Saved Bharara's Bacon
• Moody's To Pay $864M To US, States Over Crisis-Era Conduct
• Ex-Title Agent Pleads Guilty In $6M Fake Mortgage Scam
• Fla. Man Admits To $29M Ponzi Scheme, Development Fraud
• Fund Manager Pleads Guilty To $23M Commodities Fraud
• 6th Circ. Affirms Whistleblower Can't Sue Morgan Stanley
• Cost-Benefit Bill Frees Industry By Tying SEC Down
• One Williams Suit Tossed In Two-Edged, $428M Merger Fight
• Chile's SQM To Pay More Than $30M For FCPA Violations
• High Court To Hear CalPERS' Argument Over American Pipe
• Dewey Execs Trying To Mislead Jury, Prosecutors Say
• Laser Maker's CEO, Attys Face Suit Over Share Increase
• SEC Whistleblower Prodded On Misconduct At Fraud Trial
• High Court Libor Appeal Tests Bedrock Of Rate-Fixing Suits
• Jason Galanis To Plead Guilty In $60M Tribal Bond Scheme
• SEC Fines Morgan Stanley $13M For Overcharging Fees
• Investors Left In Dark About $912M Cardinal Sale, Suit Says
• Avoiding The Hidden Costs Of Bargain-Priced E-Discovery
• Why Anti-Corruption Due Diligence Is Important In M&A
• Dabbing Into The Financial Side Of Marijuana
• Senate Dems Want Foreclosure Victims To Challenge Mnuchin
• NY Fund Manager Shells Out $8M To SEC Over Ponzi Scheme
• 9th Circ. Revives Shareholder Suit Over UDraw Sales
• Supreme Court To Review Limitations On SEC Disgorgement
• Investors Say Forex Ruling Leaves Banks Luckless On Libor
• FINRA's Most Significant 2016 Enforcement Actions
• Citadel To Pay $23M To Settle SEC's Order Routing Claims
• Dewey's Zach Warren Freed Of Charges Over Firm's Collapse
• Warburg Pincus Can't Beat Rural/Metro Investors' Fraud Suit
• Fifth Street Investors Seek OK Of $14M Class Action Deal
• Zimmer Biomet To Pay $30M For Breaching FCPA Deal
• Del. Theranos Suit Docs OK'd For Use In Other Actions
• Investors Accuse Trading Co. Execs Of Rampant Misbehavior
• HSBC Inks $45M Deal To Settle Euribor Investor Claims
• Ex-Citigroup Currency Trader Cops To Forex Manipulation
• Feds Want Leader Of $11M Fraud Jailed Ahead Of Sentencing
• BNY Mellon Fined $6.6M By SEC For Loan Asset Omissions
• House Passes Bills Aimed At SEC, CFTC Rulemakings
• SEC To Focus On 'Robo-Advisers,' Senior Abuse In 2017
• SEC Whistleblower Enticed Visium Fraud Trial Target To Talk
• Platinum Execs Hid Funds After Raid, Feds Say
• SEC's Universal Proxy Proposal Draws Wide-Ranging Critique
• Expect More Companies To Disclose Trump In Risk Factors
• A Record FCPA Year For Pharma
• FINRA Fines TD Bank Unit Over 3M Undocumented Emails
• Davis Wright Guides $83M CMBS Refi On Silicon Valley Hotel
• Ex-US Attorney For Colorado Joins WilmerHale
• Trump's HHS Choice Inks Ethics Deal With Gov't Watchdog
• Munsch Hardt Adds Corporate Partners In Dallas
• SEC OKs Fund Commissions To Help Brokers With DOL Rule
• Ex-Pillsbury Partner, 2 Others Form Corporate Boutique
• Carson Can't Guarantee HUD Funds Won't Go To Trump
• Citi Pays Overcharged Customers $23M After NY AG Probe
• NY Bankruptcy Court Finds MF Global Insurers In Contempt
• Brokerage's Reporting Policy Lands It In Hot Water With FINRA
• ITG Pays $24M To SEC Over Handling Of Foreign Shares
• Considerations For The 2017 Proxy Season: Part 2
• The Serious And Immense Impact Of A Medical Device Hack
• Saving Lawyers 1 Breath At A Time: Mindfulness In The Law
• Novo Nordisk Accused Of Fixing Prices To Hide Sales Slump
• Possible Settlement Reached In $136M EB-5 Fraud Suit
• BP Employees Seek Another Chance At ERISA Suit
• CFTC Hits JPMorgan With $900K Penalty Over Clearing Fees
• Visium GC Rips Lax Compliance At Outset Of Fund Fraud Trial
• Williams Says ETE Didn't Meet Obligations In $38B Merger
• Morgan Stanley, Others Say $2B RMBS Fight Lacks Standing
• Ex-Barclays Director Gets 5 Months For Tipping Off Plumber
• Total Can't Duck FERC With SEC Judges Ruling, 5th Circ. Told
• Funds Get OK On $4.2M Northern Trust Negligence Settlement
• SEC Fines Army Contractor Over Faulty Accounting
• SEC Cost-Benefit Review Bill Advances In House
• Fisker Trustee Can't Knock Down Investor Claims
• Grocer Not Covered For Shareholder Fight, 8th Circ. Affirms
• CFTC Gets Default Judgment Against 'Flash Crash' Firm
• PNC Bank Cleared Of Alleged Role In $70M Ponzi Scheme
• Md. Atty Gets 150 Days For Covering Up Family's $20M Fraud
• House Again Passes Angel Investors Bill To Help Startups
• Biotech Co. Hid Cancer Drug Concerns, Investors Say
• Long-Arm Jurisdiction In A Post-Daimler Era
• Considerations For The 2017 Proxy Season: Part 1
• Understanding How Blockchain Could Impact Legal Industry
• The Prudential Need For Insurer Access To Information
• Rep. Asks SEC To Probe Trades Of Trump HHS Nominee Price
• Atty's $5M From Ponzi-Scam Defendant A Loan, 9th Circ. Told
• Chinese Beauty Retailer Ditches Securities Class Action
• Amgen Beats Decade-Old Investor Suit Over Off-Label Scheme
• Occam Merger Plaintiff Seeks Unheard-Of $3M Award
• NJ Investment Manager Denies KIT Digital Fraud
• DHS Seeking Comments On Potential EB-5 Program Updates
• Gilead Calls $50M Cancer Drug Bonus Demand 'Absurdity'
• Feds Charge 4 In Foreign Bribery Plot To Sell $800M Complex
• Mayer Brown Adds PE Partner From Deacons In Hong Kong
• BP Investor Attys Seek $24M From $175M Deepwater Deal
• 9th Circ. Won't Rehear Investor Suit Over Arena's Diet Drug
• NY High Court Says Oral Contract OK For Securities Trades
• 3 More Ex-Currency Traders Charged With Forex Rate Rigging
• Massad Says 'Discontent' Shouldn't Mean Dodd-Frank Repeal
• Lehman Bros., US Reach Deal In $67M Foreign Tax Credit Row
• Prison Looms As 2nd Circ. Denies 'Mini-Madoff' Aide Bail
• Forex Fraudsters Shell Out Nearly $12M In CFTC Case
• DTCC Embraces Bitcoin Technology For Credit Default Swaps
• Canadian Regulators Seek Input On Banning Embedded Fees
• 2 More Energy Execs Cop Pleas In Venezuela Bribery Scheme
• Ex-E-Commerce CEO Admits To $5.3M Investment Scheme
• Investor Says $428M Williams Merger Fee Suit Is No Copycat
• The Incoming SEC Chairman As I Know Him
• 'Fair Value' Takeaways From Merion V. Lender Processing
• Port Authority Misled Investors On Project Risks, SEC Finds
• Amgen Argues Decade-Old Derivative Suit Still Lacks Facts
• 1st Circ. Won't Revive Spinal Therapy Co. Investor Suit
• Stanford Receiver Tells Jury Investor Should Repay $90M
• Justices Want SG's Take On ERISA Fiduciary Breaches
• The Firms That Dominated In 2016
• Obama Leaves Behind Mixed Legacy On Bank Regulations
• Adviser, Atty Settle SEC Charges Over Referral Scheme
• Hong Kong Derivatives Trading Sets Record High In 2016
• SEC, Timbervest Disagree Over Due Process, Industry Bars
• Hotel Mortgage-Holder Wants Out Of $50M EB-5 Suit
• Alleged Law Firm Hackers Hit With SEC Injunction
• Paylocity Seeks Del. High Court Fee-Shifting Bylaw Review
• DreamWorks Tries To Sink Challenge To $3.8B Comcast Tie-Up
• Dewey Judge Seeks DA Input On Cooperator Deal Testimony
• Law360 Names Practice Groups Of The Year
• SAC Trader, Gov't Disagree Over Salman In 2nd Circ. Case
• Film Financier Gets $23M Fraud Suit Paused For Criminal Case
• US Asks 2nd Circ. To Revive Alstom Exec's FCPA Charges
• Mondelez Pays SEC $13M To End Indian Unit Bribery Probe
• Justices Refuse Booz Allen Retiree's Stock Sale Suit
• SEC Judge Says PwC Auditor Must Face Fund Fraud Suit
• Del. Judge Urged To Reverse Course For Conoco Fraud Row
• SEC Trims 'Big Short' Adviser's Fine, Denies ALJ Challenge
• Investors Target Contraception Maker Over Stock Drop
• Curbing The Power Of Pari Passu Clauses
• 2 More SEC Whistleblower Actions And Lessons Learned
• FCPA Predictions For 2017
• In Congress: Obamacare, The Cabinet
• CFTC Settles For Small But Personal Fine In Corzine Deal
• A Map Of Kirkland's Conflict Maze In Turkish Trader Case
• Exec Of Oil Field Co. Charged With $100M Fraud Scheme
• Bond Trader Can't Block 'Important' Testimony In Retrial
• Virtus Can't Appeal Claims Over F-Squared, Judge Says
• SEC Judge Says 10th Circ. Ruling Doesn't Warrant Dismissal
• Stern & Montana Attys Join Morrison Mahoney In New York
• SEC Pushes For Quick Win In $21M EB-5 Fraud Case
• Del. High Court Allows Law Profs' Brief In DFC Appraisal
• 4th Circ. Upholds IRS Rejection Of $118M Tax Deduction
• BlackRock, Others Seek Nod For Sampling In HSBC Suit
• Stanford Says Trump Justice May Be Key To Ponzi Appeal
• Appeals Court Denies GSP 2nd Shot At KPMG In $525M Fraud
• Puda Coal, Ex-Chair Should Pay $228M For Fraud, Judge Says
• 11th Circ. Won't Rehear Ex-BankAtlantic CEO Fraud Suit
• Motley Rice Named Lead Counsel In Wells Fargo Account Suit
• Whistleblower Who Tipped SEC To Scheme Gets $5.5M Bounty
• Former FINRA Senior Counsel Joins K&L Gates
• US Chamber Protests Posed Commodities Rules For Banks
• Chancery Confirms Fate Of Fee-Shifting Bylaws
• The Duty To Supplement Expert Reports: Part 2
• SLUSA Continues To Stir Jurisdictional Questions
• 5 Insights From General Electric's Alex Dimitrief
• Class Fights Toss Of Challenge To $50M Bank Stock Award
• Staar Surgical Investors Snag Class Cert. In Stock-Drop Suit
• Ex-Jefferies Trader Abused Trust, Gov't Says In Fraud Retrial
• 9th Circ. Stands By Citigroup Ruling Over Fake FINRA Atty
• 4th Circ. Affirms 30-Year, $19M Sentence In Racketeering Case
• Western Refining Investor Files Suit Over $6.4B Tesoro Merger
• Chancery Throws Out Challenge To $6.5B Solera Merger
• Viacom Class Calls For Arguments In Redstone Ouster Suit
• White Urges SEC Head To Work On Accounting Standards
• Currency Trading Firm Drops IPO Plans Amid Crackdown
• Family Holds Key to Springing Jailed Hedge Funder: Judge
• Another Year Of Enforcement At FERC And CFTC
• Snapchat Lying To Investors To Boost IPO, Ex-Worker Says
• Dewey Execs Say Cooperator's New Plea Changes Retrial
• $16.5M Centaur Ch. 11 Clawback Spurs High Court Petition
• Feds Name FBI Agent Who Leaked Insider Trading Case Info
• OTC Exemption Lets More Cos. Join Venture Market, For Now
• Latham Snags Former Assistant SG For Appellate Practice
• Identiv Again Escapes Investor Suit Over Reporting Flaws
• Trump's HHS Pick Must Face Ethics Inquiry, Democrats Say
• Turkish Trader Wants To Retain Kirkland Despite Conflicts
• The Duty To Supplement Expert Reports: Part 1
• Bar Against Securities Abuse Issued In $350M EB-5 Fraud Row
• Corzine To Pay CFTC $5M Over MF Global Meltdown
• United Case Highlights Achilles' Heel Of Fraud Prevention