Securities Archive » December, 2018

Securities - December, 2018

317 articles

• 5 Most-Read Legal Industry Guests Of 2018
• Feds Blast Ex-Platinum Execs' Misconduct Claims
• SEC's 1st Robo-Adviser Fines Hit Wealthfront, Hedgeable
• Winner's Playbook
• UBS Agrees To Pay States $68M Over Libor Rigging
• SEC Resolves Numerous In-House Proceedings Post-Lucia
• CFTC, Ex-UBS Trader Unveil $100K Spoofing Settlement
• 10 Most-Read Securities Law360 Guests Of 2018
• Low-Level Tippee Gets 3 Months In BofA Insider-Trade Case
• High Court's Tibble Opinion Matters Now More Than Ever
• Venable Adds Veteran Trial Atty As Partner In LA Office
• Microcap Co. CEO Gets Over 4 Years For Securities Fraud
• Stericycle Reaches $45M Settlement In Securities Suit
• SEC Inspectors To Keep Cryptocurrency A Priority Next Year
• FINRA Offers Cybersecurity Tips For Remote Broker-Dealers
• Goldman Must Share Some Proof Of 'Boys' Club' In Bias Suit
• Libor Prosecutors Told To Sift Their Work From Paul Weiss'
• Judge Raps Quinn Emanuel Trial Preparedness In Fraud Case
• Judge Tells Sears It Sold Too Many Notes, Undoes Sale
• Convicted Ex-Barclays Trader Told To Pay Up In Euribor Case
• Bipartisan Bill Targets McKinsey Conflicts In Puerto Rico
• Newfield Shareholder Sues To Block $5.5B Encana Deal
• Reps Float Bill Exempting Crypto From Securities Laws
• Feds Can Appeal Georgeson Advisers Double Jeopardy Ruling
• Swedish Stock Sale Fight Shouldn't Be In Mass., Judge Rules
• Fidelity Says Ex-VP Using Info He Stole To Aid Morgan Stanley
• Ex-Silicon Valley Exec Gets 3 Years For $1.5M Investor Fraud
• Investor Suit Against Apparel Retailer J.Jill Doesn't Fit: Judge
• Dental Supply Co. Was In On Price-Fixing, Investors Say
• Merrill Lynch To Pay $6M Over Improper IPO Share Sales
• Caribbean Court Sides With Sinovac In Board Dispute
• EU Watchdog Accuses 4 Banks Of Sovereign Bond Cartel
• Tips For Using Private Co. Stock As Acquisition Currency
• SEC Offers Relief For Insurers Registering Contracts
• Broker-Dealer Admits It Ignored Signs Of Scott Tucker's Fraud
• Del. Justices Question Chancery's Oxbow Carbon Sale Order
• SEC Opens Door To Forgiving Disqualified Swap Reps.
• After 109 Arbitration Hearings, Broker Beats $40M FINRA Suit
• Bitcoin Felon Looks To Ditch Winklevoss Bros.' Fraud Suit
• HIG, Bain Escape 6 Of 8 Claims In Surgery Center Buy
• Ex-Goldman Sachs Banker Cops To Insider Trading
• Aralez Ch. 11 Inches Forward With 'Weird' Sale Proposal
• 2 More Ex-Wilmington Trust Execs Get Years Behind Bars
• Del. Chancery Strikes Charters' Fed. Court Provisions
• $480M Wells Fargo Investor Deal OK'd, Attys Get $96M
• Vullo To Depart As NY's Top Banking Regulator
• Tire Distributor ATD's Debt-For-Equity Ch. 11 OK'd In Del.
• Peru Says $1.8B Land Bond Claim Must Be Nixed
• SEC Adopts Rule Allowing Reporting Cos. To Use Reg A
• Claims That UBS Misused Bloomberg's Data To Proceed In NY
• More Unregistered Brokers Sold Woodbridge Securities: SEC
• Just 1 Claim Spared In TCF Auto Loan-Backed Securities Suit
• NJ High Court To Review Merck Shareholder's Doc Request
• Thornton, Lieff Dig In Against Ex-Judge In $75M Fee Fight
• Entwistle & Cappucci To Lead Tribune Stock-Drop Suit
• MetLife Will Pay Pension Benefits, $1M Fine After Mass. Probe
• 3 D&O Questions Regarding Event-Driven Securities Litigation
• Mass. Judge To Hear Expert In $1.75M Acacia Atty Fee Fight
• How BIS Will Review Emerging Technology Export Controls
• Receiverships May Be Particularly Useful For New Industries
• Tips For Compliance With 2019 Shareholder Guidelines
• Red Hat Shareholder Sues To Stop $34B IBM Sale
• McKinsey, Jay Alix Tiff May End Careers, Ch. 11 Judge Warns
• SEC Finalizes Rules For Disclosure Of Hedging Policies
• Investors Say Digital Video Co. Sale Squeezed Them Out
• SEC Seeks Comment On Easing Quarterly Reporting Rules
• Ex-Panasonic Subsidiary Execs Reach Deal After FCPA Row
• NJ Fraudster Can No Longer Delay Foreclosure, 3rd Circ. Says
• Where 5 Top MDLs Stand At The End Of 2018
• Chancellor Probes Age Claim In Suit Over $283M NCI Merger
• Top SEC Inspections Atty Promoted In Compliance Office
• IPass Keeping Investors In Dark On Tech Merger, Suit Says
• TD Ameritrade Clients Too Disparate For Class Fraud Suit
• Highland Capital Says Mutual Fund Suit Meritless
• Telecom Servicer Dycom Faces 2nd Suit Over Permitting Woes
• Film Scammer Ducks More Prison As Judge Cites Cooperation
• Sears Gets Approval For $60M Home Improvement Biz Sale
• Deloitte, Sidley Austin Want Investors' Ponzi Suit Tossed
• Attys In $29M Och-Ziff Securities Settlement Seek $8.6M Fees
• The Moments That Mattered Most For Legal Ethics In 2018
• Exxon Insists Bid To Halt NY AG Climate Probe Is Valid
• The Continuing Shift Of Merger Litigation To Federal Courts
• Cooley Adds Financial Regulation Atty To Boston Office
• The Year #MeToo Rocked In-House Law Departments
• Ex-SocGen Exec In Libor-Rigging Row Disputes Fugitive Label
• Facebook Data Suit Paused To Allow Chancery Records Trial
• Bank Exec Seeks Time Served After FATCA Conviction
• Fordham Prof. Seeks $575K Fee For Goldman Pay Objections
• DOJ Faults McKinsey Disclosures In Westmoreland Ch. 11
• SEC Fines Santander Unit $1.5M Over Auto Loan Accounting
• Ex-Pres Of Energy Co. Gets 3.5 Years For $2.3M Lease Scam
• BNY To Pay $54M To Settle Claims It Mishandled ADRs
• Facebook Says Cambridge Analytica Episode Is Old News
• UBS Fined $15M For Weak Money Laundering Detection
• Stock Fraudster Finally Appears In Court After 5 No-Shows
• Malaysia Hits Goldman, Bankers With Criminal 1MDB Charges
• Ex-Linkwell Execs Face Sanctions For Deposition No-Shows
• Credit Suisse Loses Bid To Send Ala. Inverse VIX Suit To NY
• Health Care Co. Hid $1B Tax Debt Before Merger: Investors
• Apparel Retailer J. Jill Says Investor Suit Lacks Substance
• Investors Sue Over Fake Crypto Investment Club Scheme
• A Series Of 1st-Time Crypto Actions For The SEC
• Judging A Book: Mills Reviews 'Mississippi's Federal Courts'
• Wilmington Trust Execs Get 6-Year Prison Terms For Fraud
• Rent-A-Center's $11M Deal With Investors Gets Initial OK
• 2nd Circ. Affirms Gerova Fraudster's 78-Month Sentence
• Neiman Marcus Accuses Marble Ridge Of Smear Campaign
• Ex-Apollo Exec Can't Gag His Former Atty In SEC Probe
• PayPal Dodges Stock-Drop Suit Over Data Breach
• Sears, Cyrus Blast Swap Bidder's Objection To Notes Sale
• Molina Escapes Investor's Suit Over Growth Misstatements
• Ex-CEO Says He Earned Laser Co. Stock By Saving The Firm
• $4.9M State Street Settlement Gets Initial OK From Judge
• Adviser Who Took $1.2M From Athlete Agrees To SEC Deal
• $385M Fitbit Insider Trading Suit Kept Alive In Chancery
• Fintech Conference Founder Wants Sanctions For Ex-Atty
• Investors Accuse Calif. Company Of Concealing Crypto Focus
• How To Work With Regulators During Internal Investigations
• Ex-NJ Fire Chief Convicted In $10M Ponzi Scheme
• The 6 Biggest Law Firm Mergers Of 2018
• Professional Athletes Should Beware Financial Fraud
• Merely A Setback For CFTC Market Manipulation Cases
• Toys R Us Wins Ch. 11 Clearance For $760M Sale Of Asia Biz
• Arent Fox Nabs Ex-Shearman Atty For DC Tax Practice
• Judge Denies Firm's Bid To Cut Kickback Claims In Report
• Former OU Football Player Gets 5 Years For $900K Fraud
• The Subtle Art Of Fred Fielding
• NJ Health Care Co. Execs Indicted In $300M Investment Fraud
• Vereit Insurers Must Cover SEC Probe, Class Action Costs
• Levi & Korsinsky To Lead Glencore Investor's FCPA Suit
• Costco Execs Face Stock-Drop Suit Over Internal Controls
• Bojangles' Investor Seeks More Details On Chain's Acquisition
• 6 Things That Rocked The Legal Industry In 2018
• Shareholder's Suit Over Terror Financing Gets Second Wind
• Rimon Lands Private Funds Atty From VLP In California
• Eletrobras Investors Get OK For $15M Bribery Settlement
• 'Put Up Or Shut Up' In Fraud Suit, Fiat Chrysler Tells Investors
• The Biggest Securities Decisions Of 2018
• Ex-Atty, Stock Promoter Admit To Pump-And-Dump Scheme
• Steptoe Adds Blockchain Atty To Ranks In Chicago
• How Life Sciences Cos. Can Prepare For Legal And PR Crises
• Tenaris, Execs Sued By Investors Over Bribery Scandal
• Ohio's Risky Foray Into Bitcoin: Part 2
• Algerian Jail Was Enough For Swiss Banker, Judge Rules
• Pa. Man Admits to Conspiring to Collect Bogus SEC Fees
• SEC Settles Fraud Claims With Developers Over EB-5 Offering
• AriseBank Execs Settle SEC's ICO Scam Claims For $2.7M
• ARRIS Stockholder Seeks To Halt $7.4B CommScope Buy
• SEC Mostly Victorious In Suit Over Sloppy Action Reports
• A Look At New IRS Guidance For Discounting Unpaid Losses
• Greenberg Traurig Launches Video Game, Esports Group
• UBS Balks At Whistleblower Case's $3.2M In Attys' Fees
• Investor Seeks Halt Of $1.9B Apptio-Vista Deal For More Info
• Nixon Peabody Snags Corporate Pro For San Francisco Office
• FCA Vows To Retry UBS Insider Dealing Case After Hung Jury
• DOJ Urges Prison For Convicted Wilmington Trust Execs
• Ex-Biotech Exec Avoids Prison For Lying To SEC
• 10 Tips For Law Firms To Drive Revenue Via Sports Tickets
• Ohio's Risky Foray Into Bitcoin: Part 1
• Inside Key ABA Guidance On Attorneys' Cybersecurity Duties
• Trump Taps Treasury Official To Lead CFTC In 2019
• SEC Enforcement Actions Rebound After Slow Year
• Barclays Prevails In Hedge Fund's Breach-Of-Contract Suit
• Xura Breach Claims Advance In $643M Chancery Merger Suit
• 2nd Circ. Gives Goldman 2nd Shot At Class Cert. Appeal
• Minn. Biz Co-Founder Gets 12 Years For $30M Stock Fraud
• Final Parties In Aussie Benchmark Suit Want Dismissals Redo
• Ex-OptimisCorp Figures Fight Axing From Chancery Suit
• VW Slams Bondholder's Bid To Redo Emissions Fraud Suit
• Venezuela Breached Deal Over $1.2B Award, Crystallex Says
• Ex-Deutsche Traders Fight Convictions, Cite Gov't Misconduct
• Fraudster's Ex-Wife Must Share Emails In Atty Tryst Case
• Accountant Seeks No Prison Time For $18M Tax Return Fraud
• ImmunoCellular Investors Seek OK Of $1.1M Stock Hype Deal
• Food Co. Self-Reports Oversight Pitfall, Escapes SEC Fine
• Pa. Judge Won't Stay Derivative UHS Overbilling Claims
• SEC's Clayton Says Proxy Reform Is A Top Priority In 2019
• Modernizing The Variable Contract Disclosure Regime
• GNC Investors Can't Revive Securities Suit In 3rd Circ.
• A New, Focused Regulatory Agenda For The SEC
• Endo Must Face Stock-Drop Claims In Opioid Safety Suit
• Opening Comments: A Key Strategic Decision In Mediation
• FCA's Bailey Sees US Crackdown On ICO Market As Model
• 3 Broker-Dealers Fined $6M By SEC For Bad Blue Sheet Data
• Deutsche Bank, Investors Seek Quick Wins In RMBS Suits
• Co. Can't Duck Claims $17M 'Tokens' Were Unregistered Stock
• Chancery OKs $92.5M Deal To End $4.4B Starz Merger Suit
• 2nd Circ. Gives IBM Workers A Second Chance At ERISA Row
• SEC Slams Man's 'Unfocused' Bid To Nix $11.5M Fraud Suit
• NY Investment Adviser Cops To 18-Year, $9M Ponzi Scheme
• Ex-Stillwater Chairman Says $2.2B Offer Couldn't Be Ignored
• Neiman Marcus Accused Of Funneling $1B To LBO Sponsors
• Keryx Investor Sues In Chancery For Akebia Merger Records
• Unregistered Brokers Took $10M In Rigged Investments: SEC
• Medical Device Exec Beats Charges Of Tipping Orioles Player
• Ex-Fisker Auto Board Member Wants Investor Suit Trimmed
• Nissan, 2 Former Execs Indicted For Understating Ghosn Pay
• Hong Kong, China Exchanges Expand Mutual Access Program
• BioChemics Receiver Taps Sunstein, Nields For IP Work
• Best Buy Investors Fight To Keep Stock-Drop Suit Alive
• Ex-Director Of Health Care Co. Charged In Stock Fraud Plot
• Fla. Atty Guilty Of Laundering, Fraud In 'Shell Factory' Ring
• Ex-ConvergEx Exec Gets 1 Day In Prison
• Investor Says PDC Energy's Board Ignored Enviro Laws
• Tishman, Lehman Wins Upheld In Archstone Buyout Row
• 2018 In Review: Significant White Collar Developments At DOJ
• Couple Seeks 9th Circ. Redo On $35M EB-5 Fraud Judgment
• Walters Case Commands Tougher Cure For Gov't Misconduct
• Top 10 Whistleblowing And Retaliation Events Of 2018
• Judge Favors Spector Roseman To Lead Stock Drop Suit
• Investor Seeks Records In Case Against Chinese Music Giant
• Student Loan Co. CEO Arrested On Charges Of $28M Fraud
• 2 Firms Nab Lead In 'Channel-Stuffing' Derivative Suits
• Aegean Marine Announces Tentative Creditor Settlement
• FINRA Exams Suggest Work To Be Done Tailoring Trades
• Chinese Cos. Eluding US Scrutiny, Hurting Investors: SEC
• Execs Urge No Or Little Prison In $200M Del. Bank Fraud Case
• Authentix Shareholders Challenge Nixed Appraisal Rights
• 2nd Circ. Asked To Hear Appeal Of $300M Fees In Forex Deal
• Colo. Atty Gets 2 More Years For Hiding Cash From Gov't
• Impax Says Investors' Drug Price-Fixing Suit Still Fails
• Bank Slams Bid To Shelter Owner In Jay Peak Fraud Case
• Receiver In $7.4M Fraud Case Wants Stalking Horse Bid OK'd
• Bulk Of TD Bank Investors' Fraud Claims Survive Bid To Toss
• Health Hires: Hooper Lundy, King & Spalding, Williams Mullen
• Synergy Pharma Looks To Ditch Suit Over Side Effects, Loan
• Data-Driven Lawyer: Morgan Lewis' J. Kyle Poe
• Companies and Investors Trust These Securities MVPs
• Will High Court Avoid Deadlock In Lorenzo?
• Blockvest Ruling Reminds Token Issuers To Push Back
• Del. Justices Uphold Fresenius' $4.3B Akorn Merger Drop
• Trump Picks Kirkland's William Barr For AG
• S&P Analyst, Jeweler Can't Dodge Insider Trading Charges
• Bitcoin Market 'Hijacking' Caused $4B Value Drop, Suit Says
• $10M Pa. Investor Suit Adds To Bankrupt OneJet's Woes
• Wall St. Lobby Fights State Action On 'Best Interest' Standard
• SEC Gives Up On Litvak Suit After Feds Drop Charges
• Raydon Sued Over Employee Plan's $60.5M Share Buy
• Banks Look To Sink Millennium Trustee's $35M Clawback Suit
• Solar Co., Investors Seek End To Suit After Chancery Prod
• Saul Ewing Attorney Selected As Master In Del. Chancery
• Genocea Beats Investor Claims It Hid Truth About Herpes Drug
• Ill. Woman Gets 4 Years For $5M Ticket Fraud Scheme
• Investor Attys In Santander Accounting Row Deal Seek $3.2M
• Ex-Chimera CEO Pleads Guilty In Stock Inflation Scam
• Former Bank IT Contractor Shared Insider Info, SEC Says
• Miami Investment Firms' CEO Arrested On Fraud Charges
• Mass. Priest Can't Escape SEC's Short-Selling Suit
• AmTrust Says Switching Auditors Doesn't Equal Fraud
• Why We Need Anti-Money Laundering Whistleblower Awards
• Proxy Firms Should Be Regulated, Senate Panel Hears
• Ex-Sears CEO's Fund Submits $4.6B Ch. 11 Purchase Bid
• Odebrecht Says Bond Fraud Suit Can't Continue Further
• Breaking Down SEC's Risk-Based Exam Initiatives For Funds
• Lyft Unveils Confidential SEC Filing Amid IPO Race With Uber
• Ridgeview Capital Founder To Cop To Sham Trade Scheme
• REIT Blasts Investor's 'Meritless' Bid To Block Merger
• Axis Needn't Cover Patriarch In SEC Probe, 2nd Circ. Affirms
• Former SEC Asset Management Co-Chief Joins Dechert In DC
• Shareholder Sues SendGrid Over $2B Twilio Deal
• In-House Counsel's Role As Whistleblower
• Data-Driven Lawyer: Ogletree's Evan Moses
• 3 Men Connected To Global Pump & Dump To Plead Guilty
• Greenberg Traurig Wants Part Of Stanford Ponzi Claim Axed
• Feds Must Show Equifax Insider 'Used' Breach Info To Trade
• Techie, Pastor Ask 2nd Circ. To Ax Bitcoin Fraud Convictions
• Deutsche Bank Settles BlackRock RMBS Suits
• Motorcoach Co. Must Face Fraud Suit Over Bus Startup
• Cboe Investors Just Want Names In VIX Manipulation MDL
• 5th Circ. Affirms SEC Win Over $4M Scam Oil, Gas JV
• Petrobras Takes Immunity Fight In EIG Suit To The High Court
• Fresenius Hits Akorn 'Disaster' In $4B Del. Merger Appeal
• Investor Loss Info Barred From Lender's Looming SEC Trial
• Tesla Faces Securities Suit Over $1.8B Bond Offering
• Foreign Banks Challenge Jurisdiction In Forex Rig Suit
• Assessing A New Path To Compliance For ICO Issuers
• Data-Driven Lawyer: Kilpatrick Townsend's Kate Gaudry
• A Closer Look At New Calif. Pension Fund Climate Law
• Aralez Ch. 11 Sale Problems Put Case On Path To Mediation
• Rent-A-Center Investors Seek OK On $11M Stock Drop Deal
• Laser Co. Says CEO's Sale Of Shares Will Sink Capital Efforts
• TerraVia Says Investors' Stock-Drop Action Baseless
• Derivative Suit Over Allstate Claims Surge Put On Hold
• Fla. Broker To Serve 6½ Yrs For $16M Precious Metals Fraud
• 4 FINRA Attys Take Regulatory Expertise To King & Spalding
• 2nd Circ. Nixes $8.9M Restitution From Gambler Billy Walters
• Crypto Addresses As OFAC Identifiers
• Banco Popular Investors Fight To Seek Info In NY Over Sale
• 4 Firms Vie To Lead Adient Investors' Stock-Drop Suit
• Singapore Regulator Releases Guide For Token Offerings
• Data-Driven Lawyer: Littler's Scott Forman
• Energy Broker Fights 'Misguided' CFTC Insider Trading Suit
• EU Mulls Post-Brexit Clearinghouse Supervision Changes
• Carlton Fields Picks Up K&L Gates Litigator In Miami
• A Welcome DOJ Shift On Cooperation Credit
• Fund Manager's Firms Ordered To Pay $23M In Restitution
• SEC Seeks Quick Win On Parts Of General Cable Fraud Suit
• Justices Eye Scope Of Liability In SEC Copy-Paste Case
• CFTC Told It Can't Prove Rigging Without Artificial Prices
• Chancery OKs $18M Ameritrade Class Deal In Scottrade Suit
• Marriott Hit With Multiple Suits After Massive Data Breach
• US Bank Gets Fees Claims Stayed In Royal Park RMBS Suit
• Aegean Marine Defends Stalking Horse Agreement With Rival
• Investor Flags Antibiotics Co. Melinta's $75M Stock Sale
• Aralez, Proposed Buyer Pan Creditors' Ch. 11 Sale Challenge
• Novan Can Duck Claims It Misled Investors, Magistrate Says
• VW Slams Investors' Antitrust Stock-Drop Suit
• GreatBanc, Homebuilder Sued Over Employee Stock Deals
• Futures Exchange Takes CME Antitrust Fight To 7th Circ.
• Creditor's Lack Of Purpose Buries Metal Miner's Ch. 7 Case
• Judging A Book: Ginsburg Reviews 'The Curse Of Bigness'
• Extreme Networks Reaches $7M Deal In Stock-Drop Suit
• $182.5M Euribor Deal Won't Get OK'd Without Atty Fee Info
• 5 Things You Should Know About New Rule 23 Amendments
• Data-Driven Lawyer: DLA Piper's Eric Falkenberry
• MVP: Sullivan & Cromwell's Robert Giuffra Jr.
• The Data-Driven Lawyers Of 2018