Securities Archive » November, 2020

Securities - November, 2020

293 articles

• Chancery Finds Chinese Co. Defaulted In $5.8B 15-Hotel Sale
• Trial For Ex-Giuliani Associates Delayed Again
• Chancery Keeps Probe Of $99M Anthem Escrow Hold Moving
• FanDuel, PE Firms Want Merger Suit To Follow Scottish Law
• Wall Street Group Backs SEC's Audit Trail Security Proposal
• Cboe Investor 'Reluctance' Questioned In 7th Circ. VIX Fight
• Judge Trims Contract Suit Against Facility Management Co.
• Mayer Brown Boosts Capital Markets Team With Ex-SEC Atty
• First American Hit With Derivative Suit Over Data Breach
• Mindbody Deal Case Provides Conflict Takeaways For Boards
• Fed Extends Several COVID-19 Emergency Lending Facilities
• 7 Tips For Predeposition Meetings Under New Federal Rule
• How To Prepare For Congressional Investigations In 2021
• Securities Group Of The Year: Bernstein Litowitz
• What To Expect From Federal Agency Leadership Changes
• UK Trading Firm Says COVID-19 To Blame For Oil Price Crash
• Benchmark Body Pushes Ahead With Dollar Libor Phaseout
• Law360 Names Practice Groups Of The Year
• The Firms That Dominated In 2020
• 2nd Circ. Revives Chinese Education Co. Investor Suit
• Norwegian Cruise Rips Investors' Virus Sales Fraud Claims
• Coke Bottler Accused Of 'Glaring' ERISA Breach In 401(k) Suit
• Real Estate Rumors: LibreMax, Mattos Family, Morgan Stanley
• FINRA Fines Wells Fargo Over Time Stamp Issue
• Judge Won't Order Ch. 11 Freeze On Crypto Firm's Assets
• The Ill-Fated Emergence Of The Bitcoin Balance Sheet
• Judge Axes Fla. Fund Investor Suit Over Failed Service
• Cannabis Developer To Pay SEC $192K Penalty In Fraud Suit
• Ethics Reminders As Employees Move To Or From Gov't
• Expect 2021 SEC To Turn Hawkish On Auditor Enforcement
• 4 Key Insurance Appeals To Watch In December
• Yellen At Treasury Could Set Stage For More Active FSOC
• CFTC Seeks Default Judgment Of $3.9M Forex Scam
• Bondholders Can't Claim 'Hope' Of PR Retirement Funds
• 2nd Circ. Reverses 1-800-Flowers Investor's $4.9M Win
• NY Judge 'Surprised' By Fee Application In Libor Rigging Case
• Commissioner Blasts CFTC's 'Incomplete' Oil Crash Report
• Luckin Coffee, Banks Seek Nix Of Shareholder Securities Suit
• Coinbase Ending Margin Trading Based On CFTC Guidance
• Chancery Slams Gilead Stonewalling Over Records Demands
• How Firms Can Prep For A More 'Aggressive' SEC
• SEC Proposes Easing Stock Sales Rules For 'Gig' Workers
• CEO Presses Removal Of Judge Who Worked At Debevoise
• Del. Solera D&O Decision May Have Limited Impact
• Northwest Hardwoods Plans Speedy Trip Through Ch. 11
• Robbins Geller To Lead FirstEnergy Shareholder Suit
• A Key To Helping Clients Make Better Decisions During Crisis
• OCC Hits JPMorgan With $250M Fine Over Fiduciary Biz
• Biotech Co. Defeats Investor Suit Over Short-Seller Reports
• SEC Urges China-Based Issuers To Beef Up Risk Warnings
• Investor Sues Fla. Fund That SEC Says Stole $2M
• Aurora Cannabis Urges NJ Court To Toss Securities Suits
• Stericycle Investor Seeks Atty Sanction After Objector Claim
• Indicted Ex-Goldman Banker Denies Role In 1MDB Scandal
• Forex Rigger Katz On Track For $400-Per-Hour Consult Gig
• IAnthus, Cannabis PE Firm Want Securities Suit Tossed
• SEC Fights To Call Spartan 'Shell Factory' At Trial
• Regal Cinemas' Owner Nabs $450M Loan To Outlast COVID-19
• Ex-Fed Chair Yellen Is Biden's Pick For Treasury Secretary
• Judge Nixes Suit For Crypto Co. Investor's $728K Atty Fees
• Judge Backs Sanctions For AWOL EB-5 Fraud Suit Defendant
• 1st Circ. Backs Convictions For Pharma Inside Traders
• Chancery Nixes Metals Co. Dispute Revived By Del. Justices
• Investor Says Oil & Gas Co. Hid Losses To Boost Stock Value
• What To Expect From DOJ Enforcement Under Biden
• Ethics Considerations For Law Firms Implementing AI
• Feds Say No Privilege For Ex-Theranos CEO In Fraud Case
• Pandemic Puts Lumber Giant Northwest Hardwood Into Ch. 11
• SEC Official Calls On Firms To Empower Compliance Chiefs
• Pomerantz, Abraham Fruchter To Rep Forescout Investors
• Judge Gives Initial OK To Correvio Pharma $1.75M Class Deal
• Pot Co. Liberty Health Agrees To Settle $1.8M Securities Row
• OCC Pitches Rule Requiring Banks To Provide 'Fair Access'
• SEC Fights Abramoff Ally's Bid To Nix Bitcoin Fraud Suit
• SEC's Clayton Leaves Behind Market-Friendly Legacy
• FCA Says Undisclosed Info Won't Upend Insider Dealing Case
• AstraZeneca Affiliates Duck $275M Merger Payment Suit
• Cooperation In KPMG Case Spares Ex-PCAOB Staffer Prison
• Marriott Investor Looks To Save Data Breach Suit
• $1.6M Securities Fraud Suit On Ice Amid Atty Ethics Claims
• Taxation With Representation: Wachtell, Kirkland, Latham
• Ex-Finance Pro's No-Prison Sentence Caps BofA Insider Case
• Tech Cos. Could Face Stiffer SEC Enforcement Under Biden
• Picking The Right Location And Tools For Virtual Courtrooms
• UK Broker Sued For Fees Tied To Adviser's Capital Fraud
• Contractor Fights Investors' Claims Over COVID Test Kit Deal
• OECD Lauds Past Decade Of FCPA Enforcement, With Caveats
• PayPal 'Soft-Pedaled' Data Breach Disclosure, 9th Circ. Told
• Lawyer Gets 10 Years For Role In $72M Fraud Scheme
• Investors Claim 'Madoff Level' Fraud At Bankrupt Crypto Firm
• Dividends Can't Be Taxed As Employment Income, ECJ Says
• Pomerantz Fights Robbins Geller's Lead Atty Win In Zoom Suit
• SEC Hires FINRA Vet, Promotes Another For NY Broker Exams
• 3M Wins 3rd Circ. Ruling To Send PFAS Suit To Minnesota
• Debevoise Work In 1980s No Reason To Recuse, Judge Says
• Ex-UBS Compliance Pro, Trader Appeal Insider Dealing Convictions
• Exelon Wants Investor Suit Over Bribe Investigation Tossed
• Coronavirus Litigation: The Week In Review
• SEC Seeks Default Against Crypto Fraud Conspirators
• Impressed Judge Set To Approve $23.6M Forex-Rigging Deal
• 5 Red Flags For Pandemic-Related Investment Scams
• SEC Chair Says Climate Disclosures Aren't One-Size-Fits-All
• Beware Atty Ethics Rules When Reporting COVID-19 Fraud
• Santander Consumer Sued In Del. Over Public Stock Buyback
• MiMedx Execs Convicted In SDNY's 1st Virus-Era Fraud Trial
• Virus Sparks Asia Testimony Row In WeWork Chancery Case
• SEC's Hinman Offers Parting Words On Corporate Disclosures
• PG&E Judge Asks, 'What's Wrong With Negotiation?'
• FINRA Slams Broker's Bid To Block Virtual Hearing
• GPB Capital Mismanagement Suit Survives In Chancery
• SEC Enforcement Against Public Cos. Hits 6-Year Low In 2020
• Jury Mulls Fraud Case Against Ex-MiMedx Execs For 3rd Day
• Looking For Judicial Activists? Check The Footnotes
• M&T Asks High Court To Tackle 'Nightmare' Disclosure Ruling
• Ex-Merrill Lynch Trader Denies Guilt In Slimmed Spoof Suit
• Ex-Informant Ruling Guides On Challenging SEC Enforcement
• Ex-Pot Co. Execs Can't Sue Over 'Seller's Remorse,' Firm Says
• Best Practices For Legal Technology Adoption
• SEC Says Judge Who Worked At Debevoise Shouldn't Recuse
• 3 Associates Of Rapper TI To Pay SEC $103K In ICO Scheme
• SEC Chair Praised And Rebuked In Last Senate Appearance
• Trump Taps Acting Comptroller To Lead OCC For 5-Year Term
• Nuverra Creditor Can Pursue Recovery Alone, 3rd Circ. Told
• Deutsche Boerse Values ISS At $2.3B As It Buys 80% Stake
• Dunkin' Investor Sues To Freeze Arby's Owner's $11.3B Buy
• 11th Circ. Questions Atty's Challenge To SEC Subpoenas
• Trump's Fed Pick Falters In Push For Senate Confirmation
• Judge Who Worked At Debevoise Asked To Quit Fraud Case
• Airbnb Says US Sanctions Cop Is Probing Its Cuba Operations
• 'Real Housewives' Alum Freed From Prison Due To Virus Risk
• What The Biden-Harris Win Means For Securities Regulation
• Feds Reel In Ponzi Suspect After Underwater Escape Attempt
• The Pandemic's Long-Term Impact On Law Firm Operations
• Treasury Stance On Ransomware Payment Could Hurt Targets
• In Dismissal Bid, Quantstamp Says Its Coins Aren't Securities
• How Biden Might Dismantle Trump-Era Regulations
• Bernstein, Saxena Tapped To Rep FirstEnergy Investors
• Ex-Rite Aid VP Rejects SEC's Insider Trading Allegations
• Judge Sends Investor Suit Against Vape Co. To Arbitration
• SEC Whistleblower Tips Eclipse Records Amid COVID-19
• Chancery Asked To Scrutinize Brookfield's $9.25B GGP Buy
• High Court Won't Review Puerto Rico Pension Bond Suit
• Ryanair Investors Seek Class Cert., Lead For Robbins Geller
• Jury Mulls Case Against Ex-Execs As SDNY Navigates Virus
• BitMEX Hit With 2nd Racketeering And Manipulation Suit
• Lack Of Access To Remote Court Proceedings Is Inexcusable
• Qudian, Investors Strike $8.5M IPO Suit Settlement Deal
• SeaWorld Sues In Chancery To Bar Ex-Worker Stock Claims
• Ponzi Ruling Complicates Texas Fraudulent Transfer Litigation
• Ex-Deutsche Traders Say Gov't Didn't Prove Spoofing Fraud
• Feds Sharpen Spoofing Claim Against Ex-Merrill Lynch Trader
• Judge Tosses Ex-Manager's Securities Suit Against CBD Seller
• SEC Chairman Jay Clayton To Step Down At End Of Year
• Investors Say Wells Fargo Loaned Billions To Risky Clients
• Alibaba Hit With Investor Suit Over Ant Group's Frozen IPO
• SEC Imposes First Fines In Exchange-Traded Product Probe
• Biogen Investors Say Co. Misled Them On Alzheimer's Drug
• Jury Convicts Investment Co. Boss On Fraud Charges
• Attys Ask To Drop Ex-NFL Team Investor Over Fee Dispute
• 2nd Circ. Affirms Nix Of BofA, Citizens Bank $102M Ponzi Suit
• Why Attacks On Trump's Election Lawyers Are Problematic
• M&A Poised For Growth In The Biden Era
• Kraft Heinz Investors Fight Bid To Nix $15.4B Impairment Suit
• Key Takeaways From SEC's Fixed Income Trading Proposal
• Ex-Skyworks Engineer Cops To SEC's Insider Trading Claims
• UK Litigation Roundup: Here's What You Missed In London
• Wells Fargo Ex-CEO To Pay SEC $2.5M Over Sales Scandal
• Former NY Gov. Beats Ex-AIG Exec's Defamation Suit
• Coronavirus Litigation: The Week In Review
• Trump Bars Investments In Cos. That Aid Chinese Military
• Boeing Dodges Retirement Savers' Inflated-Stock Claims
• Uber Execs Hit With Derivative Suit Over Scandal-Scarred IPO
• DC Circ. Unlikely To Revive Cato's SEC Gag Rule Challenge
• Kodak Says Ex-Execs Made $5.1M On Forfeited Stock Options
• No Bail For Ex-JPMorgan Trader's Forex-Rigging Appeal
• Beam Financial Users Sue After Months Of Withdrawal Delays
• Kik Ruling Is A Step Toward Securities Law Clarity For Crypto
• Avoiding 6 Common E-Discovery Production Pitfalls
• WPX Shareholder Sues To Block $12B Merger With Devon
• Texas Energy Fraudster Gets 10 Years, Must Repay $10M
• Grubhub Looks To Toss Investors' Claims That Execs Hid Info
• DLA Piper Atty Wants Out Of Suit Over Alleged Ponzi Ties
• Funds Slam Southwest's 2nd Bid To Ground Safety Lapse Suit
• New Vivus Ch. 11 Plan Offers Stockholders Drug Royalties
• Biden Taps Obama-Era CFTC Head For Financial Reg Review
• Twitter Investors' Securities Fraud Suit Meets Skeptical Judge
• Broker Sues FINRA To Block 'Unfair' Virtual Hearing Via Zoom
• GOP Senator Urges End To Fed's COVID-19 Lending Facilities
• Citi Fined $475K By FINRA But Scores Cooperation Points
• SEC Unit Finds Compliance Flaws At Advisers' Branch Offices
• SEC Wants $15M From Sanofi Insider Trading Suspect
• Facebook Ruling Highlights Risks Of Flawed Board Processes
• Court Says Commission-Based Wedbush Advisers Can Get OT
• Zendesk Escapes Securities Claims Over 2016 Data Breach
• Cos. Look To Lower $14M Award To SEC In FCC Scheme
• SEC Actions Likely To Spur Further Private Markets Growth
• Law Firm Biz Development Tips For The Pandemic Era
• Markets Emerge From Tumultuous Election On Solid Ground
• Stamps.com Investors Win Class Cert. In Securities Fraud Suit
• High Court Won't Wade Into IBM Benefits Case Again
• Freight Co. YRC Asks 2nd Circ. To Snuff Investors' Fraud Suit
• Chancery Won't Pause Vaxart Insider-Trading Suit In Del.
• SEC Whistleblower Is Broke, Unrepresented With $2.75M Tab
• Biotech Co. Investors Battle To Lead COVID-19 Vaccine Suit
• What Really Caused Carnival's COVID-19 Stock Drop?
• Rulings Show Limits Of Federal Agency Vacancy Law
• Judge Tosses 3 WWE Saudi Arabia Derivative Suits
• What Biden's Win Means For SEC Enforcement, Leadership
• Biden Win May Lead To First Black Female Justice
• High Court Expansion Unlikely After Tight Election
• Biden's Win Means Big Business For BigLaw
• Biden Beats Trump At The Polls As Court Battles Continue
• Firm Should Be DQ'd, Sanctioned For Threats, Court Told
• Chamber Urges SEC To Protect Cos. From COVID-19 Suits
• DC Circ. Keeps Broker's Lifetime FINRA Ban Intact
• Advance Auto Investors Win Class Cert. In Stock Suit
• Madoff Client Seeks To Nix Trustee's Ch. 11 Clawback Appeal
• SEC Commish Says Climate Change A 'Grave' Systemic Risk
• Investors Defend $1.4T Crypto Price-Rigging Conspiracy Suit
• National Lampoon's $3M Fraud Suit Against Ex-Prez No Joke
• HP Misled Investors After Hewlett-Packard Spinoff, Suit Says
• SEC Expands Pfizer Bribery Inquiries Into China
• Taxation With Representation: Simpson, Cleary, Ropes & Gray
• NY Ruling Underscores Federal, State Arbitration Law Conflict
• Feds Won't Pressure Banks To Use Leading Libor Alternative
• Receiver, Calif. Co. Reach $7M Deal In EB-5 Fraud Suit
• Ex-BigLaw Bankruptcy Atty Mulls Guilty Plea In Extortion Rap
• Welding Equipment Co. Workers Get ERISA Class Certified
• Cannabis Cos. May Want To Consider Redemption Provisions
• Pipeline Co. Sues Insurer For $5M D&O Coverage
• Traders Settle SEC Hack Suit For Less Than Alleged Wins
• Online Pharmacy, Ex-Exec Sue Polsinelli Over SEC Probe Fees
• Inovio Defends Virus Vaccine Claims In Bid To Nix Stock Suit
• Ex-Amazon Finance Worker's Spouse Cops To Insider Trading
• Nissan Says US Pay Scandal Suit Must Be Trimmed
• Nine West Trustees See More Claims Cut In Ch. 11 Fraud Suit
• Coronavirus Litigation: The Week In Review
• SEC Sues Ex-Pharma Co. CFO For Insider Trading
• Apple Dodges Part Of Investors' IPhone Sales Suit
• NYSE Owner Prices $900M Offering As Part Of Ellie Mae Buy
• Oil Services Co. Settles SEC's $141M Fraud Claims
• BigLaw Must Drop The Billable Hour To Improve Diversity
• FINRA Fines Wells Fargo $300K On Tip From Senior Citizen
• Robbins Geller Nabs Lead In Zoom Shareholder Litigation
• SBA Survey Unfairly Targets COVID-19 Relief Borrowers
• FDIC Slams UBS Over Libor-Rigging Claim
• Windstream's GC, Uniti Beat Fraud Claims Over Spinoff Risks
• Mitchell Silberberg Nabs Fox Entertainment's Top Labor Atty
• Uncertain Election Leaves Capital Markets In Flux
• Trump Unleashes Barrage Of Lawsuits In Battleground States
• SEC Slams Atty's Sanctions Bid In $48M Fraud Suit
• Acquitted Ex-Forex Traders Press DOJ Ahead Of Civil Trials
• Irish Court Rejects Perrigo's Bid To Quash $1.92B Tax Bill
• Boeing Supplier's Buyer Didn't Fend Off Sale Risks, Court Told
• Fund Manager Used 'Dr. Cash' Moniker To Bilk $4M, Feds Say
• SDNY Ruling Affords Forum, Arbitration Clause Drafting Tips
• SEC's Final Accredited Investor Rule Vs. Public Suggestions
• Trader And Co. Must Pay $900K In CFTC Ponzi Scheme Suit
• Senate Majority Still In Doubt As Races Tighten
• Biden Campaign Plays Down Trump High Court Threat
• Trump Vows To Contest Uncounted Ballots At High Court
• The BigLaw Attorneys Battling Over An Undecided Election
• Don't Look To Bush v. Gore For 2020 Blueprint
• Senate — And Pandemic Relief — Still Hanging In The Balance
• 9th Circ. Says FOIA Info Can Count As Corrective Disclosure
• Twitter Board Inks $47M Deal Resolving User Metrics Suits
• Telegram To Pay $625K In Fees After Dropping Crypto TM Suit
• JPMorgan Expects Fine For 'Deficiencies' In Internal Controls
• Block.one Seeks Out Of Proposed Securities Suit
• China Freezes Fintech Giant Ant's Record-Smashing IPO
• Texas Man Pleads Guilty To $13M Securities Fraud
• Class Attys Seek $18.5M In Fees For Libor Deals With 7 Banks
• Securities Litigation Implications Of COVID-19 Impairments
• Feds Say ICO Fraud Necessitates 'Substantial' Prison Time
• SEC On Fast Track For Record Whistleblower Awards In FY 21
• 8 Tips For Effective Oral Advocacy In Virtual Court Hearings
• Investors Want Bancor Crypto Securities Suit Kept In US
• Ex-UBS Trader To Get Early Release On Libor Conviction
• From The Front Lines: The Attorneys Protecting This Election
• Raytheon Investors Sue Company Over DOJ Probe
• SEC's Record 2020 Enforcement Haul Soars On Disgorgement
• Divided SEC Eases Limits And Rules On Private Offerings
• Fifth Third Eyes Exit From Investor Suit
• 2 Firms Tapped To Lead Carnival COVID-19 Investor Suit
• Blue Apron Cooks Up $13M Deal With Investors In IPO Suit
• Stakeholder Capitalism Needs Gov't Oversight To Work
• Feds Aim To Nix Ponzi Schemer's Bid To Escape Sentence
• Bitcoin Exchange Customers Seek Class Cert. In Fraud Suit
• Justices Decline To Review HSBC Banker's Fraud Conviction
• Big Banks Can't Shake Philly, Baltimore Rate-Rigging Suits
• A GC's Blueprint For Improving Legal Industry Diversity
• Mall Owner CBL Properties Seeking $1.5B Debt Trim In Ch. 11
• Unilever Gets Nod For UK Restructuring Amid Pandemic