Securities Archive » December, 2019

Securities - December, 2019

272 articles

• Ex-Calif. Oil Boss Charged Over Alleged $15M Ponzi Scheme
• Hottest Legal Industry Guest Topics Of 2019
• BlackRock Can't Get Chancery To Nix PennyMac Investor Suit
• 10 Most-Read Securities Law360 Guests Of 2019
• 5th Circ. Again Backs $133M Stanford Ponzi Scheme Deals
• CFTC Sues Ex-HSBC Exec Over Price-Manipulation Scheme
• Baker Donelson Says It Doesn't Belong In Timber Scam Suit
• Beyond Chevron: The Fight To Kill Agency Independence
• Crypto Startup Plans Token IPO That Could Raise $150M
• Quinn Emanuel Seeks Out Of Repping Odebrecht In Bribe Suit
• ECB Head Warns Of Libra Stablecoin Risks In Letter To EU
• Judge Sinks Challenges To Trump's '2-For-1' Reg Order
• Litigation Funder Burford Capital Sees Investor Suit Dropped
• The Biggest Delaware Cases Of 2019
• Feuerstein Kulick Guides $275M Curaleaf Loan Deal
• Nasdaq Wins $78M For Fund Co.'s 'Blatant' Contract Breach
• Texas Justices Say No 'Good Faith' Without 'Diligent' Probe
• The Biggest Stories In Florida Legal News Of 2019
• Top 10 Whistleblowing And Retaliation Events Of The Year
• Penny Stock Cos. Exit Suit After Their Founder Ghosts Atty
• Climate Concerns Driving Expanded Role For Enviro Attys
• 3rd Circ. OKs Nonconsensual Ch. 11 Liability Releases
• NJ Broker To Pay $250K Over Agent Who Stole Millions
• Exxon's Victory In New York Climate Suit May Set A Precedent
• UK Litigation Roundup: Here's What You Missed In London
• 5th Circ. Says Ponzi Claims Against Pershing Came Too Late
• 5 Takeaways From Alstom Exec's FCPA Prosecution Tell-All
• SEC Push To Expand Access To Private Offerings Could Grow
• Celgene Can't Shake Shareholder Suit Over Drug Trial
• Revolving-Door Roundup: Boies, Willkie Farr, Paul Hastings
• VW Exec's Case Shows How To Take The 5th After A Plea
• The Biggest Property And Casualty Insurance Rulings Of 2019
• Delaware Courts Tackle Unique Records Requests In Q4
• Morgan Stanley Blasts Outside Attys' Fee Bid In Wage Suit
• 'Prolific' Cooperator In Corruption Cases Gets 10 Months
• Mayer Brown Expands Team With LNG Pro In Houston
• Netgear Spinoff Wins Toss Of Stock-Drop Suit, For Now
• The Role Of Litigation Finance In The Next Recession
• Underwriters Look To Escape SunEdison Investor Claims
• Robinhood To Pay $1.25M For Violating FINRA Trade Rule
• Green Dot Hit With Stock Suit Over 'Self-Sabotaging' Strategy
• 5th Circ. Says Judge Botched Divvy Of $10M Atty Fee Award
• GE Wants Remaining Claims Over Performance Issues Axed
• A Timeline Of Libra's Bumpy 2019
• CBD Co.'s Atty Sanctioned In SEC Illicit Stock Sale Suit
• Ex-Nomura Trader 'Admitted He Lied,' SEC Says
• DOJ Found New Ways To Coax Corporate Compliance In 2019
• The Biggest Securities Cases Of 2019
• Binary Options Boss Gets 22 Years For $145M Fraud
• Carlyle-Backed Atotech Confidentially Files US Public Offering
• New York Cryptocurrency Regs Will Boost Market Broadly
• SEC Says Israeli Gov't Contractor Execs Must Face Fraud Suit
• Austria Rejects German Financial Transaction Tax Plan
• The Biggest White Collar Cases Of 2019
• 5 Trends That Rocked The Legal Industry In 2019
• SEC Says Disbarred NY Attys Must Face PixarBio Merger Suit
• Ex-WorldCom CEO Secures Early Release From Prison
• MetLife To Pay SEC $10M Over Annuity Accounting Errors
• BofA Says La. Never Plugged Holes In Bond Price-Fixing Suit
• Blockchain Of Things To Pay SEC $250K For Unregistered ICO
• Boston Scientific Can't Nix $275M Merger With Device Maker
• Grubhub Investors Sue For Records On Fake Websites
• Judge Trims Fat From Fatburger Parent's IPO Fraud Suit
• Ex-Legal Chief Says Cognizant Withholding Defense Atty Fees
• SEC Proposes Letting More Investors In On Private Offerings
• CFTC Offers No-Action Relief To Ease Libor Transition
• SEC Audit Enforcement Trends Hint At 2020 Priorities
• Kodak Drops Some Claims In Aluminum Price-Fixing Suit
• Robbins Geller Seeks $132M For $1B REIT Settlement
• Ex-Financial Adviser Gets 3.5 Years For Ecuador Oil Bribe Plot
• Oracle Dodges Suit Over Improper Sales Practices
• Feds Say Ex-Palo Alto IT Worker Led $7M Insider Trading Ring
• Key Developments In 2019 Anti-Corruption Enforcement
• US Bank Says $29M Tribal Bond Fraud Not Its Problem
• Lek Securities Settles FINRA Market Manipulation Claims
• Apple Dubs Investors' Suit A 'Sprawling, 190-Page Riddle'
• Ex-Theranos CEO Says Indictment 'Flunks The Constitution'
• NY Suit Against Tilton To Go Forward After Failed Appeal
• Justices Told SEC Will Be Fine With Curbed Disgorgement
• Bitcoin 'Inventor' Can't Skirt Hefty Sanctions, Estate Says
• Judging A Book: Hinojosa Reviews 'Crimes And Punishments'
• Bausch Launches $1.25B Bond Offering To Pay For Settlement
• Banks Settle Fannie, Freddie Bond Price-Fix Suits For $337M
• Pension Fund Fights To Keep Lead Role In Boeing Action
• Main Street Gained Valuable Access To Private Markets In 2019
• Sidley Austin, Deloitte Deal Over Ponzi Claims Wins Final OK
• Xerox Investors Sue Carl Icahn Over $33B HP Takeover Bid
• Ecuador Oil Co. Wants Payout From Feds' Bribery Case
• IRS Proposes Broadening Executive Pay Deduction Limits
• Liberty Property Trust Omitted Key Numbers, Investor Claims
• HSBC Bank USA To Settle Commerzbank RMBS Suit
• SEC Settles 1MDB Claims With Former Goldman Sachs Exec
• Pension Prods Goldman Sachs For Records On 1MDB Scandal
• ProPay Asks Mass. Judge To Toss Revised TelexFree Suit
• Securities Org. Queries Conflicts, Blockchain In Debt Raising
• Bausch Will Pay $1.2B To End Valeant-Era Stock Suit
• More Joint SEC-CFTC Actions Raise Concerns Over 'Piling On'
• Digital Asset Regulation Poses Challenges For Insurers
• Trivago Escapes Investors' Appeal Of Loss In Stock-Drop Suit
• Acosta Parent's Ch. 11 Plan Confirmed In Under 2 Weeks
• Goldman Banker Denies 3 New Insider-Trading Counts
• European Crypto Mining Co. Latest To Shutter Over AML Regs
• Levi & Korsinsky Loses Lead Counsel Role In Honeywell Suit
• Neal Gerber Grabs Mayer Brown Partner In Chicago
• Ex-Barclays Traders Fight Asset Seizure In Euribor Case
• USCIS Must Rethink Terminating Co.'s EB-5 Investment Status
• Del. Vice Chancellor Flags Possible Crimes In Estate Case
• NJ Business Relocation Grants Are Tax-Exempt, 3rd Circ. Told
• Another Investor Says Canopy Skewed Canadian Pot Demand
• Endo's $82.5M Deal In Suit Over Opioid Drug Gets Final OK
• Investors Fight Performance Sports Execs' Bid To Nix Suit
• Shareholders Sue Cardinal Health Execs Over Opioid Crisis
• Oil Execs To Pay $3M To Settle SEC's Insider Trading Suit
• CBD Co. Says It Never Misled Investors About Energy Drink
• Managing Financial Product Data In Antitrust Cases
• Chicago Exchanges Urge 7th Circ. To Uphold Antitrust Win
• Shareholder Committee Nixed In RAIT Funding Ch. 11 Case
• Fuel Card Co. FleetCor Settles Stock-Drop Suit For $50M
• Investor Sues To Block Foamix-Menlo All-Stock Merger
• Scammer Who Hyped Caffeinated-Snack Venture Gets 4 Years
• Global Securities Watchdog Eyes Highly Leveraged Funds
• Expedia Seeks Pause On Chancery Suit To Probe $2.6B Deal
• Ex-Braskem Exec Granted $30M Bail In Bribery Case
• Labaton Will Lead Midstream Co. Investors' Take-Private Suit
• Eventbrite Seeks Out Of Investors' Suit Over IPO
• Voting Records Support Concerns Over Proxy Firms' Influence
• Shopin CEO Cops To $42.5M Fraudulent Crypto Offering
• Investor Wants To Block $9.7B Novartis-Medicines Co. Deal
• NYSE Amends Plan To Allow Capital Raising In Direct Listings
• Rabobank Sues Ex-Trader For Exit Package Over Libor Fight
• Del. Justices Dismayed By Lack Of Record In Forum Dispute
• Former NY Attys Want Out Of SEC's PixarBio Merger Suit
• Judge 'Alarmed' By Tilton Sale Allegations In Zohar Ch. 11
• BakerHostetler Says Pharma Execs Can't Sue For Illegal Gains
• SEC Targets Shopin CEO Over Fraudulent $42.5M ICO
• CBD Co. Can't Escape Securities Class Action
• Insider Trading Bill Would Clarify, Expand Years Of Case Law
• Strategies To Maintain Privilege In Crisis Response Scenarios
• Weight Watchers Investors Push To Keep Stock Suit Alive
• Suspicious Crypto Activity Reports Up After FinCEN Guidance
• NY Financial Regulator Moves To Streamline BitLicenses
• Och-Ziff Wants Details On Investors' Restitution Claim
• UBS Can't Ditch Feds' Crisis-Era RMBS Fraud Suit
• Exxon Win Casts Doubt On Climate Securities Fraud Suits
• Investors Hit Mobile Game Co. SciPlay With Stock-Drop Suit
• 3 Men Accused Of Running $722M Crypto Ponzi Scheme
• SEC Investigating 'Sham Letters' That Favored Proxy Regs
• Expert Tells Chancery ETE Gained Big On $11B Regency Deal
• Israeli Gov't Contractor Settles SEC Fraud Suit Over Merger
• 2nd Circ. Won't Revive Chicken Co. Antitrust Follow-On Suit
• US Strengthened And Expanded Economic Sanctions In 2019
• 3 Firms Vie To Lead Chemours Stock-Drop Suit
• Slack's Direct Listing Tests Limits Of Securities Act
• Bitcoin 'Inventor' Fights Atty Fee Bid Over Sanctions
• Colombian Hotel Developer Seeks Out Of $5.4M Fraud Suit
• Exxon Defeats NY Fraud Claims In Landmark Climate Trial
• AT&T Argues No Liability In SIM Swap Crypto Theft Case
• Ex-NY Rep. Chris Collins Settles SEC Insider Trading Claims
• Family Pushes To Displace Lead In Boeing Stock-Drop Suit
• 'Imaginary' Vote Concerns Raised In $1.9B Mindbody Deal Suit
• SunEdison Directors Dodge Whistleblower Retaliation Claims
• Justices Won't Review ERISA Suit Against Ex-SunEdison Unit
• Arnold & Porter Nabs Ex-Kirkland Corporate Atty
• CFTC Says 'Futures Trader' Netted $828K With Detailed Lies
• Jefferies To Pay $3.9M In Latest SEC Deal Over ADRs
• Sinclair Execs Must Face Suits Over Botched Tribune Deal
• How To Ward Off Nonclient Suits Over Lawyers' Speech
• Energy Transfer Investor Says Pa. Coerced Into OKing Pipeline
• SEC Wins Asset Freeze In $23M Memorabilia Fraud Suit
• Cannabis Co. Sued For $150M Over Effort To Devalue Rival
• Milberg Seeks To Save $12M Bond Fees Fight
• Equity Bancshares Seeks End To 'Extend And Pretend' Claims
• Allergan Aims To Sink Suit Over Generics Antitrust Claims
• Tilton Accuses Zohar Funds Of 'Blatant Forum Shopping'
• State Protections For Vulnerable Investors Advance In 2019
• Ex-Health Care Co. Exec Pleads Guilty To Wire Fraud
• High Court Asks DOJ For Views On $3B Madoff Clawback Suit
• Beneficiaries Denied Cert. In Northern Trust Fiduciary Suit
• Fitbit Investor Sues Over $2.1B Sale To Google
• Carbonite Investor Wants To Halt $1.42B OpenText Merger
• Nvidia Rips Morgan Stanley Analyst's Role In Stock-Drop Suit
• SEC Rejects NYSE's Plan To Expand Direct Listings
• 10th Circ. Upholds Reduced $5M Disgorgement In Kokesh
• Nikko Trims ERISA Stock Option Suit But Can't Shed It Fully
• Cyan Ruling Sends Oil Co. Stockholders' Suit To State Court
• Ericsson To Pay $1B To Settle Foreign Bribery Allegations
• Robbins Geller To Lead Canada Goose Stock-Drop Suit
• Indicted Ex-Longfin CEO Reaches Deal With SEC From India
• DeVry Investors' $27.5M Stock-Drop Deal Gets Final OK
• SEC Scores Early Win In Mass. Biotech CEO Fraud Suit
• Gas Carrier Dynagas Seeks Toss Of Investor Distributions Suit
• NY Exxon Climate Fraud Trial Decision Due In Days
• Firms Win $1.7M In Fees In $6.9M Retirement Benefits Suit
• Exit Of SEC's Jackson Would Create Wall Street Free-For-All
• Investors Sue Glencore For 'Billions' Over SFO Bribery Probe
• Twitter Investor Files Stock-Drop Suit Over Ad Revenue Slump
• Ripple Reiterates That Calif. Securities Suit Was Filed Too Late
• Oracle Shareholders Get Rare Doc Rights In $9.3B Tie-Up Row
• Ex-Celadon Execs Face Criminal Charges, SEC Fraud Claims
• Analysts Plead Not Guilty To Doctor's Office Ad Fraud Scheme
• House Passes 1st Explicit Ban On Insider Trading
• Ex-SEC Atty Returns To Thompson & Knight As Trial Partner
• NY AG Claims Fund Manager Engaged In $13M Fraud
• Patriot National Trustee Seeking $6.2M From Founder
• Marijuana Magnate To Pay $4M In SEC Stock Boosting Suit
• Crypto Co. Failed To Disclose Risks, Must Face Investor Suit
• RAIT Financial's $174M Ch. 11 Sale OK'd Despite Challenge
• Investors Say Aveo Pharma Can't Shake Stock-Drop Suit
• What Is A 'Reasonably Useful Form' For Production Of ESI?
• Key Takeaways From CFTC's Compliance Officer Guidance
• Ex-Iconix CEO Calls $11M Accounting Fraud Rap 'Baseless'
• Cloud Peak's Ch. 11 Plan Confirmed With Release Changes
• Crypto Investors Seek $2.9M Judgment In ICO Fraud Suit
• 5 Tips For Maximizing Insurance Claims In A Hard Market
• Saudi Aramco Prices Record-Breaking $25.6B IPO
• SFO Launches Bribery Probe Into Mining Giant Glencore
• VirnetX Investor Says CEO Using Co. As 'Personal Piggy-Bank'
• Crypto Exec Kelly Loeffler Appointed To Ga. Senate Seat
• Del. Justices Mull Bylaws, Deadlines In BlackRock-Saba Row
• Ex-US Atty For Southern Florida Heads To Greenberg Traurig
• Snapchat Takes Class Cert. Fight In IPO Suit To 9th Circ.
• Chinese Power Co. Is Latest To Delay London Stock Listing
• IPO Benefits And Challenges For Early-Stage Biotech Cos.
• Robbins Appears Poised To Lead Vape Co. Stock-Drop Suit
• Roan Investor Seeks Docs On $1B Sale To Citizen Energy
• PE Firm, Execs Can't Exit SEC Suit Over $17.8M Stock Scheme
• US Feared As Losing Ground Amid Global Fintech Advances
• Bank Regulators' Proposals Won't Erase Madden Uncertainty
• Trust Beneficiaries Say BNY Mellon Can't Nix Self-Dealing Suit
• DOJ Criminal Chief Says Hoskins Case Isn't A 'Blank Check'
• Curo Can't Ditch Investor Suit Over Canada Products
• DOJ Atty Says FCPA Trial Prep Shifting Despite Alstom Win
• Redstone, Viacom Board Pushed 'Unfair' CBS Deal, Suit Says
• In Redo, Ex-JPMorgan Banker Gets 2 Years For Insider Trading
• Investor Says Hemp Co. Lied About Business Plans
• Woodbridge Trustee Sues Sidley, 9 Other Firms For $500M
• Ill. Jury Convicts Father, Son Over $1.3M Investment Scheme
• Fintech Lender SoFi Gets Virtual Currency License In NY
• Acosta Inc. OK'd For Quick Trip Through Del. Ch. 11
• Firms Vie To Lead Match Group Stock-Drop Suit
• Fiat Chrysler Hit With Investor Suit Over UAW Bribes
• Acquitted Ex-Trader's $112M Suit Has No Legs, Citi Says
• 3rd Circ. Affirms Hedge Funder's Conviction In $4M Fraud
• And Now A Word From The Panel: It's Nothing Personal
• Evolving Deference Principles May Affect Tax Matters
• Patent Decision Highlights Cross-Appeal Considerations
• Kosovar Man Who Aided $19M Galanis Fraud Gets 18 Months
• Butler Snow Says Timber Scam Suit Belongs In Arbitration
• Longfin Investors Want Redo Of Network 1 Claims Decision
• Ubiquiti And Investor Reach $15M Settlement Agreement
• Ex-Shkreli Employee Says Counterclaim Ignores Court Ruling
• What NY And Mass. Exxon Climate Suits Mean For Other Cos.
• City National Will Pay $6.3M In DOL's Self-Dealing ERISA Suit
• 2nd Circ. Upholds Fraud Convictions, Cuts $18.5M Restitution
• SEC Case Opens Door For Investor Whistleblowers
• More Qatar Money, More Problems, Barclays Exec Tells Jury
• US Seeks To Extradite Ex-Autonomy CEO In Fraud Case
• Highland Capital's Ch. 11 Kicked To Texas
• Jailed Ex-Atty To Pay $116K For Using 'Front Man' In Fraud
• Ex-Boies Schiller Atty Joins DLA Piper's New York Office
• Judge Orders Kentucky Oil Fraudster to Pay $1.5M
• Feds Hit With 1st Challenge Over EB-5 Program Changes
• Fugitive Russian Gold Exec Asks NY Civil Court To Clear Him
• Ex-CFTC Chair Giancarlo To Join Willkie As Senior Counsel
• Former Drinker Biddle Atty To Lead SEC's Cyber Unit
• FSOC Should Overhaul Approach To Examining Systemic Risk
• TelexFree Ponzi Victims Seek To Revive Bank Claims
• Hoskins Asks Judge To Toss Bribery, Laundering Convictions
• Proteon Therapeutics Investor Seeks To Halt $42M Merger
• Boustani Acquitted In $2B Mozambique Loan Fraud Case
• Exxon Wants Mass. Climate Change Suit In Federal Court
• Acosta Seeks Speedy $3B Ch. 11 Debt Rework In Del.