Securities Archive » August, 2021

Securities - August, 2021

328 articles

• Anti-Holmes Bias, Abuse Focus In 1st Day Of Jury Selection
• Stocks Tainted Judge In $2.7B IP Ruling, Cisco Tells Fed. Circ.
• CP Touts $31B Bid To KCS Shareholders After Rival Hits Snag
• 2nd Circ. Revives Madoff Trustee's Citi Clawback Action
• 3rd Circ. Won't Revive SunCoke Energy Merger Class Claims
• SEC Cyber Actions A 'Wake-Up Call' For Brokers, Advisers
• NortonLifeLock Beats Investor Suit Over Board Diversity
• Disbarred Atty Slapped With Contempt Over 2003 Judgment
• Ex-Netflix Engineer, Brother Cop To Insider Trading
• Robinhood Seeks To Nix MDL Over 'Meme Stock' Restrictions
• How SEC's Policy Pivot Supports Whistleblowers
• Supreme Court Lawyer Dan Geyser Joins Haynes And Boone
• A Look At Global Tax Enforcement Developments: Part 1
• Pot Co. IAnthus Dodges Investor Suit, For Now
• Hochul Names Ex-Obama Adviser To Be Top NY Financial Cop
• Law360 MVP Awards Go To 182 Attys From 77 Firms
• What The Judiciary's Font Recommendations Can Teach Us
• EB-5 Sector In Flux Amid Calif. Lawsuit, Stalled Congress
• Vaccines, Tuition, Race: The Litigation On Law Schools' Radar
• How Firms Can Help Law Schools Leap Into The Future
• Meet The Lawyers On Deck At The Elizabeth Holmes Trial
• 4 Ideas For Updating Law Schools Post-Pandemic
• Holmes' Mental State Key To Fraud Defense, Legal Pros Say
• Holmes' Health Docs Allege Balwani Abused, Controlled Her
• Rosen, Pomerantz OK'd To Rep Aurora Cannabis Investors
• Fla. Atty Gets 5 Years For Raising Millions For Ponzi Scheme
• SEC Panel Maps Overhaul Of SPACs, Executive Trading Plans
• SEC Grants Whistleblower Award To Compliance Pros
• Chinese Cos.' US IPOs Plunge Amid Regulatory Crackdowns
• Nikola Founder, Feds Clash Over Investor Fraud Forum
• Highland Capital Investor Seeks Pause Amid Ch. 11 Appeal
• Forex-Rigging Case Tainted By Judge Error, 2nd Circ. Told
• Seagal Ordered To Satisfy SEC Crypto-Touting Settlement
• New Shadow Trading Enforcement Lessons For Private Funds
• Bernstein Litowitz May Seek $4.6M For Bank Merger Suit Deal
• SEC Seeks Public Input On 'Gamification' Of Online Trading
• Dechert Adds Ex-Prosecutor And Ex-Paul Hastings Atty In SF
• Investors Seek OK Of $66.4M CannTrust Deal
• Santander US Names New Chief Risk Officer
• Ex-Theranos CEO Elizabeth Holmes' Top 5 Pretrial Battles
• 49 Law Firms Push Back Against Litigation Targeting SPACs
• Ill. Judge Has Issues With Feds' Engine Revenue Fraud Case
• Elizabeth Holmes Mental Health Docs May Be Unsealed Soon
• SEC Seeks Early Win In Insider Trade Suit Against HK Couple
• Crypto Status Remains Unclear Despite SEC Assurance
• Sen. Toomey Calls For Public Input On Crypto Legislation
• OneJet's Ex-Broker Wants To Keep CEO Out Of Investors' Suit
• Lawyers Seek $3.6M Cut Of $14M John Hancock 401(k) Deal
• Chancery Tosses Class Suit Over $3B Zimmer Biomet Cashout
• SEC Settles With Ark. Broker Over Muni Bond Tender Offer
• 2nd Circ. Hands Goldman Cert. Fight Back To NY Judge
• How Social Movements Are Affecting Corporate Governance
• CytRx Investor Seeks Records To Investigate Share Increase
• Trustee Tells High Court Not To Review Revived $31M Suit
• SEC Taps Longtime Investor Advocate As Adviser To Gensler
• Roku Is Sued For Board Details On Execs' 2019 Equity Awards
• Judge Rips Defaulted Defendants In Sanctuary Belize Case
• Theranos Judge Cuts Potential Jurors For Anti-Holmes Bias
• EQT Says Conflict, Not Bias, Drove Black Ex-Exec's Firing
• Real Estate Rumors: Related, ZG, Starwood
• Steps For Complying With FinCEN's New AML Priorities
• Real Estate Investor Asks 9th Circ. To Revive $92M RICO Suit
• $14M Securities Settlement Approved For REV Investors
• 2nd Circ. Rejects Danske Investor Suit Over Estonia Scandal
• Tech Platform HeadSpin's Ex-CEO Accused Of Investor Fraud
• $325M Award Against Argentina Resurfaces In DC
• $100M Deal In Merger Suit May Set Table For Hefty Fee Award
• Frost Brown Atty Joins $4B Investment Firm Winthrop As CCO
• SEC Prevails On $30M Sports Betting Ponzi Scheme Claims
• Kraft Heinz Gets Workers' ERISA Stock Drop Suit Tossed
• Chancery Stays PrivatBank Suit Pending Ukraine Action
• Fla. Judge OKs $1.3M Clawback From Alleged Ponzi Investors
• Biz Groups Back State Suit Discovery Stays, High Court Told
• Insurer Can't Escape Coverage Suit Over Stock Buyback Row
• Avenatti Gains Edge As Feds Show Hand In Mistrial
• Hemp Co. CEO's Brother To Pay $150K In SEC's Fraud Case
• Judge Freezes Assets Tied To Alleged $110M Ponzi Scheme
• Esperion Class Attys Nab $6M In Fees From $18M Settlement
• Court Blocks Crypto Transfers Linked To Bitcoin SV Attack
• Pot Co. Investor Wants Owner Sanctioned In Defamation Suit
• Pension Fund Sues In Chancery For $5.3B Cloudera Sale Info
• SEC Cyber Disclosure Actions Point To Merciless Scrutiny
• SEC Nabs $6M Settlement In Earnings Management Sweep
• BofA, Others Tell Court To Toss NJ Bond Marketing Claims
• Ex-Greensill Risk Chief Lands At New Firm, Recounts Collapse
• 2 Firms Seek $1.5M For COVID-19 Vax Developer Suit In Del.
• Bofl Investors Win Cert. In Suit Following 47% Stock Drop
• How The 'Rocket Docket' Continues To Roar Through COVID
• UK Antitrust Watchdog Probes S&P's $44B Bid For IHS Markit
• SEC Chief Enforcement Counsel Steps Down After A Decade
• Insider Trading Claim Dropped From $535M Wayfair Note Suit
• Ex-Giuliani Associate To Cop Plea In Campaign Finance Case
• Ex-FinCEN Heads Ask Justices To Restrain SEC's AML Powers
• Pot Co. IAnthus' Lenders Seek More Time To Close Debt Plan
• Texas Panel Revives Winstead's Bid To Ditch Malpractice Suit
• CFTC's Digital Asset Authority Misunderstood, Commish Says
• Wendy's Offers A Cautionary Tale On US Mediation Privilege
• Fox Rothschild, DLA Piper Near Settling Ponzi Scheme Claims
• Green Dot Investors Want Do-Over For Lead Plaintiff Pick
• Direct Selling-Focused SPAC Files For $200M IPO
• Evaluating Challenges To SEC's ESG Disclosure Proposal
• Ex-CEO's Trial Lawyer Calls Distraction Allegation False
• Tradeweb Taps Ex-Bloomberg Pro As Global Compliance Chief
• Jackson Taps Ex-Fidelity, Lincoln Financial Atty As GC
• DLA Piper Seeks $350K For Tyrogenex Suit Deal In Chancery
• PayPal Hit With Investor Suit Amid Investigation, Stock Drop
• Ex-US Rep. Rebuts Claim From Venezuelan Oil Co. Unit
• Ackman Smacks Back At SPAC Suit With 'SPARC' Plug
• Holmes Can't Stop Ex-Theranos Lab Director From Testifying
• SEC Says Texas Adviser Defrauded Investors Out Of $58M
• SEC Accuses Ga. Adviser Of Running $110M Ponzi Scheme
• Compliance And Risk Hires: From MUFG To Blue Cross
• 2 Asset Managers Nix Plans For ETFs Exposed To Ether
• A-Rod Trims Ex-In-Law's Claims Ahead Of $50M RICO Trial
• 2nd Circ. Partially Upholds Tribune Advisers' MDL Dismissal
• 5 Best Practices For Attys Helping To Craft ESG Policies
• CAI Investor Asks Court To Halt $1.1B Mitsubishi Merger
• Duane Morris Seeks $500K Booty For Sunken Treasure Deal
• Jeffer Mangels' Hospitality Chair Sees A Tale Of Two Cities
• Gunster Expands With 5 New Associates
• SEC Accuses Tech Startup Duo Of $13M Fraud Scheme
• Topps' SPAC Deal Is A Goner After MLB Decision To Cut Ties
• UK Lawyers Prep For More SPAC Work After Rules Change
• Feds Accuse Pharma Co. Manager's Wife Of Insider Trading
• Possible Conn. WWE Stockholder Suit Deal Pauses Del. Cases
• Bank's Execs Admit Lying About Money In Asset-Shift Scheme
• Jay Peak Receiver Slams Quiros' Appeal Of $32.5M Settlement
• Financier Omar Amanat Gets 5 Years For Fleecing Investors
• US Says $380M Award In 1MDB Fraud Case Is Fair Game
• Recent Crackdown Highlights SEC's Growing Crypto Scrutiny
• SEC Sues Ohio Company Over COVID-19 Product Claims
• Pot Co. Neptune Adds Sports Promotion Co. GC As Top Atty
• SoFi Wealth Pays $300K To Settle SEC's Conflict Claims
• OptimisCorp Seeks Suit Halt Amid Bid To DQ Plaintiffs, Bayard
• Why A Missed Email Could Cost You Your Case
• KCS Delays Stockholder Vote On $34B Canadian National Bid
• Trulieve, Harvest's $2.1B Deal Gets Canadian Court's Blessing
• CFTC's Quintenz Says He's Leaving In 2 Weeks
• Ex-SEC Chair Clayton Joins Fintech Fireblocks As Adviser
• Just Eat, Cruise Biz Referred To FCA Over Enviro Disclosures
• Ex-Westinghouse Exec Charged Over Failed Nuclear Projects
• Ex-Netflix Software Engineers Accused Of Insider Trading
• SEC's 'Shadow Trading' Suit Dives Into Murky Area Of Law
• Enphase Beats Investor Suit Over Inflated Finances, For Now
• SEC-Approved Nasdaq Diversity Rule Challenged In 5th Circ.
• Pot Co. Canopy Says Investors' 3rd Try At Suit Isn't The Charm
• RICO, Conspiracy Charges Stick In Feds' JPMorgan Spoof Suit
• Perrigo Rebuts Investors, Court Over Tax Accounting Rule
• Bitcoin 'Mixing' Service Operator Cops To Money Laundering
• Vroom Execs Botched Inventory, Duped Investors, Suit Says
• Shareholders Sue Biopharma Co. Over Alzheimer's Drug Trials
• Netherlands Joins Global Crackdown On Binance
• Chicago Merc Gets $15.7M From Intercontinental In TM Trial
• CME Denies Rumored $16B Cboe Takeover Bid
• Bernstein Litowitz Balks At Counsel Order In McDonald's Suit
• Walmart Snags Ex-DOJ Atty To Head Up Global Compliance
• 2nd Circ. Ruling May Help Foreign Nationals Fight Extradition
• Justices To Hear 'Pivotal' Case On Discovery Stays This Fall
• Feds Tell 2nd Circ. Alstom Exec's FCPA Acquittal Was Faulty
• Couple Wants Early Win In SEC's Insider Trading Suit
• SEC Sues Exec For Trading On 2016 Pfizer Merger News
• Investors Allege Ackman's SPAC Dodged Registration Rules
• SEC Strikes $9M Deal With Adviser Over Short-Selling Lapses
• Mobile CEO Can't Use 'Gamesmanship' To Ax $1.6M Fraud Suit
• FINRA Aims To Keep Pace With Cloud's Explosive Growth
• Courts Should Consider Extended Models In M&A Valuation
• Chancery Dismisses Challenge To $2.8B Genomic Health Sale
• European Fintech Bitpanda Hits $4.1B Value In Series C Round
• 5th Circ. Says CEO Must Pay Wells Fargo, Trustmark $58.7M
• These Law Firms Have The Most Diverse Equity Partnerships
• Robbins, Friedlander Seek To Lead $1.8B Biotech Sale Suit
• 7th Circ. Ruling Highlights ERISA Contradiction
• Stamps.com To Pay $100M To End Securities Fraud Suit
• Sanctuary Belize Receiver Seeks $2M From Bahamas Deal
• GOP Reps. Call For Industry Input On Crypto Regulations
• Breon Peace Brings Defense Prowess To Top Role At EDNY
• FINRA Warns Firms Of Third-Party Compliance Risks
• Ex-Theranos CEO Holmes Wants To Go Maskless During Trial
• SEC Calls 'Supercomputer'-Driven Investments A $12M Fraud
• SEC Accuses Florida Film Co. And CEO Of $1.2M Stock Fraud
• Developer Denies Using Ex-General's Name To Raise Money
• SEC, European Central Bank Boost Security Swaps Oversight
• Law360's Diversity Snapshot: What You Need To Know
• Pearson To Pay SEC $1M To Settle Claims Over Cyber Breach
• Robbins Geller To Lead Credit Suisse Investor Class Action
• Tyson Pays $1.5M CFTC Fine Tied To Soybean Position Limits
• SEC Says Hemp Co., PE Firm Reaped $11M Through Scalping
• Crypto Co. Fights To Keep Ellenoff Malpractice Suit In Play
• Biden's US Atty Picks Bring Sorely Needed Diversity
• High Court Asked To Strike Down Bankrupt Lab's $31M Suit
• Nasdaq Diversity Rule To Bring Change, Or Shame, To Cos.
• Ex-Oilfield Co. CEO Pleads Out In $100M Fake Revenue Case
• NY Finance Pro Bilked Retirees In Ponzi-Like Scam, Feds Say
• VW Investors Ask 2nd Circ. To Revive Car Conspiracy Suit
• 3 Firms Seek Fee For Mooted ViacomCBS Board Suit In Del.
• 5 Reasons Lawyers Often Fail To Secure Litigation Funding
• Cuomo Ally To Depart As Top NY Financial Regulator
• Chancery Keeps Alive Fraud Claims In $525M Online Co. Sale
• Lannett Investors Nab Cert. In Suit Over Price-Fix Probes
• Kraft Heinz Must Face Investors' $15.4B Impairment Suit
• Despite Giuliani's Assertion, Lawyers Cannot 'Throw A Fake'
• Ex-Merrill Lynch Adviser Gets 3 Years For $3M Scheme
• Ballard Spahr Adds 'El Chapo' Prosecutor To NY Office
• Cos. Must Consider Legal Risks Of Buy-Now, Pay-Later Tech
• It's Time To Upgrade Our Attorney Licensure Rules
• Prepare For More Audits Of Tax Info And Withholding Filings
• NJ Bank Hit With $1.4M Suit Over Fraudulent Wire Transfers
• Counsel Leadership Fight On Tap In Chancery Facebook Suit
• Biden Bets On An Insider To Steady A Roiled SDNY
• Chancery Orders Injunction Hearing On CytRx Vote Coercion
• Mayer Brown Adds Skadden M&A Vet In New York
• Del. Judge Keeps Refiner's Securities Coverage Dispute Alive
• Hong Kong Sees More Listing Inquiries Amid US-China Spat
• Goldman Sachs, Investors Spar Over Cert. Again At 2nd Circ.
• Another Ex-Boies Schiller Atty Joins King & Spalding In LA
• Hochul Vows 'Turnover' In First Remarks After Cuomo Resigns
• K&L Gates Adds Former Red Hat Atty To Public Cos. Practice
• Kaufman Borgeest Adds Experienced Atty Duo In California
• Investor Challenges Mudrick Plans For $1.3B Topps SPAC
• Entrepreneur From Taiwan Gets 6 Years For $3M Fraud Spree
• Data-Based Predictions On Case Timelines After Pandemic
• BitMEX Resolves CFTC, FinCEN Probes With $100M Deal
• Embezzler's Retirement Funds Can Be Seized, 4th Circ. Says
• Biden Names US Atty Picks For SDNY, EDNY, 6 Other Offices
• Robinhood To Buy Shareholder Comms Platform For $140M
• Ex-Theranos CEO Must Unseal Mental Health Docs
• Chancery Lets Dell Stockholders Add Goldman Sachs To Suit
• Embracing ESG
• 2 Firms Will Lead Consolidated McDonald's Suit In Chancery
• 5 Potential Speed Bumps For Clean Energy Investment
• Cannabis Corner: From Wall St. Cop To Curaleaf Compliance
• $16M Deal Over Baxter Forex Controls Gets Final OK
• How SPACs Are Evolving, And What To Expect Next
• 1st Circ. Agrees Atty's Botched FCPA Defense Merits New Trial
• Insurance Investor Breached $30M Settlement, Judge Says
• Former SEC Director Leaves Coinbase Role After 4 Months
• Switch Inc. Ditches The Last Of Its 2017 IPO-Related Litigation
• Class Wants Goldman Named In $24B Dell Stock Swap Suit
• Embattled Atty Among 4 Charged With $140M Microcap Fraud
• FTC Urges Enforcement Of $120.2M Sanctuary Belize Ruling
• Pomerantz, Robbins Geller Ask to Lead E-Cig Investor Suit
• Retail Bond Committee Denied In Puerto Rico Bankruptcy
• SEC Settles With Crypto Exchange Poloniex For $10M
• Robbins Geller Scores Lead Role In Green Dot Investor Suit
• Ponzi Investors Ink $54M Deal In Suit Against Comerica
• Family Fights For Coverage In Denmark's $2B Tax Fraud Suit
• Linklaters Pulls In FCPA Ace From Quinn Emanuel
• Court Asked To Bar Atty From Testifying In Straight Path Case
• Retention Is Key To Meaningful Diversity At Law Firms
• Riley Safer Adds Experienced IP, White Collar Partners
• SEC's 1st Action Over 'DeFi' Tech Nets $13M Settlement
• DraftKings Says SEC Is Probing Short Seller's Allegations
• New McDonald's Suit Widens Stockholder Sex Scandal Probe
• Holmes Wants Ex-Theranos Lab Director Excluded From Trial
• SEC Approves Nasdaq Board Diversity Proposal
• Atty's Role In Straight Path Deal Suit In Chancery Clarified
• Binance.US CEO Quits As Co. Cuts Derivatives Products In HK
• Insurer Escapes Lionbridge's Suit Over Kirkland, Akerman Tab
• Human Rights-Focused Lending Models Can Curb Trafficking
• Ex-Private Equity Exec Gets 5 Years For Raiding Insurers
• 8th Circ. Says Court Hastily Invoked Ch. 11 'Mootness' Rule
• Polsinelli Trims But Can't Beat Pharma Co.'s Malpractice Suit
• Robinhood Backers Prep Sell-Off That Could Raise $3.4B
• SEC Fines LaCroix Parent Co. For Undisclosed CEO Perks
• 2nd Circ. Says Ex-SocGen Exec Is No Fugitive, Can Fight Case
• SEC Whistleblower Actions Create Agency Rift, Halt Lawsuit
• Investors Say They Have 'Smoking Gun' In Auction-Fixing Suit
• Fed's Waller 'Highly Skeptical' Of Need For Digital Dollar
• Cannabis-Focused SPAC Files for $100M IPO
• Russia Seeks To Maintain Stay Of $50B Award Dispute
• Gensler Is Ready To Make SEC The Crypto Cop. But How?
• US Says $1.2B Looted In 1MDB Scandal Has Been Returned
• Biotech Board Chair Ran $2.2M Penny Stock Fraud, Feds Say
• 5 Firms Seek $44M Atty Fees In GCI Liberty Suit In Chancery
• Deals Rumor Mill: Pershing Square, UnitedHealth, Westpac
• Firms' Human Capital Disclosures Vary Amid Vague SEC Rules
• Potter Anderson To Rep Morgan Lewis In McDonald's Suit
• 3 Firms Mold $2B Deal For Climate Insurance Risk Biz
• 10 Steps To Building An ESG Board Committee: Part 2
• Odonate Therapeutics Can't Beat Investor Suit Over Drug Trial
• WilmerHale Attys Helped Lose Theranos Data, Judge Says
• Businessman Charged With $250M PDVSA Bribery Scheme
• Banks Fight Class Cert. Bid In Stock Loan Antitrust Suit
• 2 Firms Seek To Lead GW Pharma Suit Over $7.2B Deal
• PetroSaudi Unit Says US Still Can't Seize $380M Award
• Ex-Payroll Co. CEO Gets 12 Years For $100M Bank Fraud
• Prospects Look Strong For UK Class Actions
• VW Rips Bondholder's 9th Circ. Rehearing Bid In Fraud Suit
• Biofuel Co. Hit With Investor Suit Over Financial Reports
• Deal Struck To End Expedia Suit In Chancery Over $2.6B Deal
• Equity Holdouts Lose $18M Claim In Ruby Tuesday Ch. 11
• Compliance Pros Say Pandemic Had Little Effect On Culture
• Avoiding Unauthorized Practice Of Law In Remote Work
• Foster Garvey Adds Ex-Dunn Carney Securities Co-Head
• Barley Snyder Adds Atty To Biz Practice In Pa.
• Ex-Merrill Lynch Traders Convicted Of Manipulating Market
• 10 Steps To Building An ESG Board Committee: Part 1
• SolarWinds Urges Toss Of Investor Suit Over Cyberattack
• Dropbox IPO Settlement Gets Initial Greenlight
• Bond Investors Seek 2nd Circ. Redo In Market-Rigging Suit
• Gensler Calls For Amped-Up Regulation Of Crypto 'Wild West'
• Investors' Suit Still Too 'Vague,' Pot Co. Tells Calif. Judge
• Renovate America Files $750K Ch. 11 Deal With Former Officer
• Activision Blizzard Investor Says Co. Hid Calif. Investigation
• Senate Bill Would Expand Student Loan Bankruptcy Discharge
• US Treasury's Financial Crimes Unit Names New Acting Head
• Pomerantz, Rosen Boost Pitch To Lead Aurora Cannabis Suit
• Firms Seek Fees For Biogen's 'Egregious' Tactics In Docs Suit
• Sullivan & Cromwell Partner Joins FTX.US As GC
• Hunter Biden's 'Blind' Art Sales Show Ethics Purity Challenges
• Trevena Settles Opioid Substitute Stock-Drop Suit For $8.5M
• 3 Firms Vie To Lead Investor Suit Against Mass. Biotech Co.
• Traders Urge Ill. Jury To Reject Feds' Market Spoofing Claims
• SEC To Review Controversial Whistleblower Rule Changes
• Alphabet Board Beats Investors' Child Privacy Suit, For Now
• Ripple Exec Seeks Binance Docs To Fend Off SEC's Claims
• Chinese Car Seller Execs Must Face Related-Party Deals Suit
• Impax Inks $33M Deal With Investors In Price-Fixing Suit
• SEC Loses Jury Trial Against Spartan In 'Shell Factory' Case
• Ex-FTE CFO Accused Of $28M Theft Freed On $250K NY Bond
• Attys Nab $5M After Trader's Spoofing Suit Settlement
• SEC Accuses Ga. Firm Of Fleecing 3 Investors Out Of Millions
• Ex-Mortgage CEO Says Trial Atty Distracted By Custody Fight
• SEC Fines Ernst & Young $10M Over Bid To Nab Big Client
• Insurers Avoid Covering $177M Award To Jarden Stockholders
• WSJ Publisher Asks To Unseal Elizabeth Holmes Docs
• Investor Drops Profiteering Claims Against Blockchain Execs
• Ripple's Discovery Wins Over SEC Offer Defense Strategies