Securities Archive » December, 2021

Securities - December, 2021

262 articles

• The Most-Read Legal Industry Guest Articles Of 2021
• The Most-Read Securities Law360 Guest Articles Of 2021
• Holmes Jury Asks To Rehear Ex-CEO's 2013 Investor Call
• No Proof Bitcoin 'Inventor' Owed Friend, Juror Tells Law360
• 1st Circ. Resurrects Stock-Drop Suit Over Carbonite Product
• Investor Balks At Reddit-Based Brief In Ackman SPAC Spat
• Goldman Takes 3rd Shot At Nixing Cert. For Investor Class
• Werner Enterprises Founder To Pay $486K Antitrust Penalty
• Ill. Firm Accused Of Shorting Workers In $2.5B Stock Deal
• Vaxart Can't Ditch Claims Co. Lied To Investors About Vaccine
• Feds Fine Bilgari $1.3M Over Cracker Barrel Stock Buy
• Moderna Faces Complaint To SEC Over Vax Patent Row
• Expect More Auditor Enforcement Actions From SEC In 2022
• Del. Court Urged To Order Dentons' Release of Seized Stock
• Fund Manager's Late Appeal Pandemic Excuse Rejected
• DOL Warns Retirement Managers About Private Equity's Risks
• Feds Fear Boat Caper If Russian Trader Released
• A Law Firm Leader's Guide To Seeking Effective Feedback
• How SEC Proposal Would Change Stock Buyback Landscape
• Attys Get $19M In Cognizant's $95M Bribery Deal
• UK Litigation Roundup: Here's What You Missed In London
• Biggest Illinois Decisions Of 2021
• Elon Musk Can't Shake Tesla Critic's Defamation Fight
• January 1MDB Trial Slated To Proceed, Despite Virus Surge
• Ga. Judge Challenges FTC Evidence In $43M Deception Suit
• IAnthus, Gotham Green Want Investors' Latest Pot Suits Axed
• Holmes Judge Nixes Jury Request To Take Instructions Home
• Facebook Beats Cambridge Analytica Stock Suit For Good
• SEC Taps Law Prof, Ex-Ropes Atty For Key Regulatory Spot
• Natixis Can't Sink Suit Alleging 401(k) Mismanagement
• Ohio Utility Gets Investor Suit Over $60M Bribery Plot Tossed
• JPMorgan, Traders Finally Get OK On $60M Spoofing Deal
• Prudential Says Refiled ERISA Class Action Still Falls Short
• China Mobile Eyes $7.6B Shanghai Listing After US Delisting
• Early Asset Forfeiture Is Key Part Of Criminal Defense Plans
• What M&A Activity Looks Like Right Now
• Kraken Says Staked Buy Is One Of Crypto's Largest Deals
• Ex-GPB Capital CEO Sues In Chancery For Legal Fees
• Web3 Biz Multichain Hits $1.2B Valuation With Fresh Funding
• NatWest's Trading Unit Pleads Guilty To Spoofing Markets
• Electric Truck Co. Nikola To Pay $125M To End SEC Probe
• Dechert Adds 3 Ex-Milbank Attorneys To Finance Team In NY
• DLA Piper Hit With $180M Malpractice Suit From Investor
• StarKist Says 9th Circ. Can't Overlook Judge's Stock Conflicts
• SEC Fights Hemp Co.'s Bid To Dismiss $11M Scalping Suit
• Chamber Backs Home Depot In Massive ERISA Class Action
• Doormaker Slams Bid To Duck $10M Of Settlement Coverage
• $200M JPMorgan Fine Signals Broader Regulatory Crackdown
• SEC Fines PE Firm $4.5M For Fee Overcharges
• Firm, Employees Agree On Divvying Chubb Defense Funds
• SEC's Return To No-Action Letters Will Bring Transparency
• Ex-Yukos Investors Want $50B Russia Award Case To Proceed
• University Of Chicago Prof. Charged With Insider Trading
• DeFi Exec Says SEC's Subpoenas Broke Agency Rules
• SenseTime Restarts IPO Plans After Being Blacklisted By US
• Extradited Russian Charged In $82.5M Insider Trading Scheme
• Embracing ESG: Whirlpool CLO Talks Structural Improvement
• SEC Republican Commissioner Roisman To Step Down
• 2nd Circ. Revives Investor Suit Against Hain Celestial
• Holmes' Fate In Jury's Hands As Criminal Fraud Trial Wraps
• Investing Portal Settles Out Of SEC's 1st Crowdfunding Case
• SDNY Judge Says Feds Misled Her In Hedge Fund Case
• Polygon To Launch $200M Venture For 'Web3' Social Media
• Film Scammer Who Lied On Probation Gets Prison Reboot
• Fla. High Court Is Wrong To Ban CLE Diversity Requirements
• How US Is Leading On Cryptocurrency Scrutiny
• Hong Kong's New SPAC Regulations To Go Live In January
• Robbins Geller Seeks $4.5M Fee In Investor Deal Intervention
• Chancery Denies Fast-Track of Krispy Kreme Takeover Suit
• The Biggest D&O Liability Insurance Rulings Of 2021
• PNC Ducks Suit For Good Over Alleged Role In $75M Scheme
• The Biggest Texas Rulings Of 2021
• IPO Stampede Powered Record Capital Markets Activity In '21
• JPMorgan Fined $200M For Not Retaining Staff's Texts, Emails
• Feds Portray Holmes As Mature Liar As Fraud Trial Nears End
• SEC's Stunning Trial Loss Rattles Its Insider Trading Strategy
• CoreLogic CEO Sued In Del. Over 'Conflicted' Role In $6B Sale
• Trump's Social Media SPAC Exec Accused Of 'Brazen' Fraud
• OCC Urges Largest Banks' Top Brass To Address Climate Risk
• Alden Global Affiliate Sues Lee Enterprises Over Board Slate
• Chancery Tosses Suit Targeting $16B Kraft Heinz Value Plunge
• Judge Gives Initial OK For $90M Deal To End Juul, Altria Suit
• NY Case Shows Insurance Possibility For SEC Disgorgements
• Fla. Developer Denies Defrauding $100M From EB-5 Investors
• Lawyers Must Prepare For Contract Tech Co. Consolidation
• Illumina Investor Eyes Bail Amid Insider Trading Appeal
• Virus-Sick Suspect Who Talked To FBI Can't Block Statements
• Texas Bank To Pay $8M Fine Over Money Laundering Lapses
• US Broadened Reach Of Targeted Sanctions In 2021
• Biden Taps 2 For CFTC, Behnam Confirmed As Agency Chair
• Holmes' 'Risky' Decision To Testify Could Save Her, Attys Say
• SEC Seeks To Stabilize Money Market Funds, Swaps Trading
• SEC Takes Aim At Corporate Insider Abuses In New Proposals
• Jury Hands SEC Win In Fraud Trial Against Investor Recruiter
• 11th Circ. Won't Revive $4.4B RICO Suit For Yacht Builder
• RR Donnelley Dumps Atlas For Chatham's $2.3B Bid
• Fraudulent Hotel Biz Ran $15M Ponzi Scheme, SEC Says
• Ex-OppenheimerFunds Analyst Admits Making Inside Trades
• Ex-McKinsey Partner Pleads Guilty To Insider Trading
• Cannabis Investor Sues Mich. Firm In Del. Over Option Block
• 5 Alt Data Best Practices After SEC Enforcement Action
• BigLaw's Big Guns Of Revenue Keep Growing
• SEC Handed Rare Midtrial Defeat In Insider Trading Case
• SEC Returns To Written 'No Action' Letters In Policy Flip
• Treasury Seeks AML Info Ahead Of Yellen Report To Congress
• Puma Biotech Investors Ink $54M Deal Over Drug Statements
• Morgan Stanley, 3 Others Ink $104M Deal In Rigging Case
• Solana Ventures Spearheads $150M Blockchain Gaming Fund
• CBD Co. Sued By Ex-CEO Over Surprise $5M Tax Bill
• Odebrecht Bribe Laundering Probe Nets Another Plea
• Investor Can't Serve Crypto Execs Via Twitter, Court Says
• Bitcoin Investment Firm Valued At $7B In Funding Round
• Milling Co. Can't Slip ERISA Suit Over $244M Stock Sale
• SEC Wants Claims In 1st Crowdfunding Case Kept Alive
• Boardroom Considerations Ahead Of Expected M&A Surge
• How Firms Can Adapt Amid COVID's Shifting Legal Needs
• TD Ameritrade Clients Can Bring Short Sale Tax Suit As Group
• 'Outrageous' Forex Fraud Lands Trader 2-Year Sentence
• 5 Firms Vie To Lead Insider-Trading Suit Over Archegos Crash
• Despite DOL Proposed Rule, ESG Investing Faces Barriers
• Prestige Draws Young Attys, But Keeping Them Takes Work
• Full 5th Circ. Reopens Challenge To SEC Judges' Removability
• SenseTime Delays Hong Kong IPO After US Investment Ban
• Food Packaging Co. CEO Asks Chancery To Stop Ouster Bid
• Crypto Giant Binance To Shutter Singapore Platform
• SEC's Republican Members Rip Gensler Rule Review Agenda
• 12 AGs Back DOL's Proposed ESG Retirement Investing Rule
• Ideanomics Agrees To Governance Reforms After Investor Suit
• Bitcoin Miner Claims Investors' Suit Copies 'Unverified' Report
• NY Adviser Hit With Fraud Verdict For Hiding Dad's SEC Ban
• FINRA Strikes $3M Deal With Wells Fargo Units
• Embracing ESG: Synchrony Counsel Talk Role Of Legal Teams
• Blue Bell Challenges Insurers' Refusal To Defend Listeria Suit
• DC Circ. Judge Wary Of Scope Of Panel's Trump Doc Request
• K&L Gates Grabs Polsinelli Venture Capital Atty For SF Office
• SEC Sued For Docs On Ex-Officials' Potential Crypto Conflicts
• Prestige Leaders: A Look At Our New Law Firm Ranking
• The 2021 Law360 Pulse Prestige Leaders
• Prestige Leaders: Sizing Up Firms By Revenue
• Chancery Won't Let Polychain's 'Sweeping' Redactions Stand
• Holmes Jury Instructions Fight Touches On Celebrity, Balwani
• Chatham Says RR Donnelley Isn't Being Fair In Bidding War
• Ex-Giuliani Ally Wants Campaign Finance Convictions Tossed
• DOJ Levies Rare Commodities-Based Insider Trading Charges
• No More Prison For Trader Who Helped Feds In Insider Bust
• Investor Class Cert. Win Offers Post-Goldman Insight
• Facebook Whistleblower Saga Caps Historic Year For Tipsters
• Investors Reach $90M Deal To End Juul, Altria Marketing Suit
• Del. Justices Pull Energy Co. From 'Procedural Black Hole'
• Republican Senators Bash DOL's ESG Retirement Proposal
• Corruption, Cybercrime In Crosshairs For DOJ Crime Chief
• Crypto Company B2C2 Appoints Justice Dept. Veteran As GC
• SEC Says 'Bond' Figure Helped Stock Fraudsters Score $77M
• Pomerantz, Levi & Korsinsky To Co-Lead Del. StoneMor Suits
• Mayer Brown Nabs Ex-Jones Day Securities Litigator In Texas
• Short Sale Verdict Shows Need For Better Portfolio Disclosure
• Dechert Grabs Large Share Of 2021 Single-Family CMBS Deals
• Ex-Merrill Adviser Asks To Block JP Morgan's Client Poaching
• Chancery Probes Contract Risks In $130M Merger Hack
• SEC Hits Ex-Snap Inc. Engineer With Insider Trading Suit
• SEC's Chair Expresses Concern Over SPAC Deals
• What Shifting Crypto Policy Means For Banks, Market Players
• Biden Seeks Higher Penalties For Attys Enabling Corruption
• Faegre Drinker Grabs Benefits Expert From Jackson Lewis
• Conflict Causes Judge Switch In Southern Copper Suit In Del.
• SEC Fights Alleged Penny Stock Fraudster's Dismissal Bid
• 3rd Fla. Federal Judge Recuses Himself In Battle Over Fees
• NASCAR Site Investors Sue For Info On $131.5M Sale Plan
• Ex-OmniView CEO Gets 11 Years For Penny Stock Fraud
• For Junior Lawyers, Authenticity And A Solid Pitch Are Key
• JPay Founder, Money Manager Charged In $4M Trading Fraud
• Crypto CEOs Press Lawmakers For Clear, But Narrow, Regs
• Fannie, Freddie Investors Win Class Cert. For Stock Profit Suit
• Theranos Closings Near As Elizabeth Holmes Rests Defense
• Texas Land Co. Sued For Docs On Director's Equity Share
• PwC, Big Banks Roped Back Into TelexFree Ponzi Case
• Reps. Explore Curbing Tax Tactics Shown In Pandora Papers
• Goldman Investors Again Win Cert. After High Court Review
• Honeywell Investors Strike $10M Deal In Asbestos Suit
• New DOJ Crime Chief Talks 'Carrot And Stick' Enforcement
• Canadian Pot Co. Permanently Dodges 'Vague' Investor Suit
• Del. Justices Urged To Give Standing For SmileDirectClub Suit
• A Compliance Primer For Attorneys Outsourcing Legal Work
• Former FDIC Policy Executive Joins Davis Wright Tremaine
• Ex-GGP Investors Tell Del. Justices Brookfield Dividend Unfair
• Ill. Trader Pleads Not Guilty To Fraud That Led To $30M Loss
• Holmes Defends Theranos' 'Aggressive' IP Protection At Trial
• Fla. Investor Recruiter Takes On SEC Fraud Claims At Trial
• Yacht Builder Asks 11th Circ. To Revive RICO Suit
• Experian Predicts 'Cyberdemic' To Continue Through 2022
• FINRA Fines Wells Fargo $2.25M Over Customer Data Issue
• Quinn Emanuel, Others Get $9.4M Atty Fee In Securities Suit
• Biden's OCC Pick Omarova Bows Out Amid Senate Opposition
• Why Boards Shouldn't Reject Investors' Misconduct Claims
• Venezuela's $1.4B Fight Ripe For Appeal, 3rd Circ. Told
• Pot Co. Aurora Looks To Dodge New Sham Sale Class Action
• Woodbridge Investor To Face $37M Bankruptcy Clawback
• Robbins Geller, Friedlander & Gorris To Lead Biotech Sale Suit
• Lewis Brisbois Adds Corporate Law Partner In DC
• US Treasury Proposes Rule To Crack Down On Shell Cos.
• When And How To Depose Fact Witnesses Remotely In 2022
• Alphabet Investors Sue Over 'Billions' In Antitrust Liability
• FinCEN Eyes Rules To Curb Money Laundering In Real Estate
• 4th Circ. Slashes DOL's $6.5M Win In ERISA Suit
• SEC Hits Dialysis Co., Execs With Accounting Fraud Claim
• Del. Justices Pick Contract Over Bad Math In $750M Merger
• Krispy Kreme Sued In Del. Over JAB Holding's Stock Gobbling
• Ex-Directors In Woodbridge Ponzi Scheme Settle For $3.7M
• How Crypto Industry Can Fight Regulatory Overreach In Court
• Cannabis Co. Investors Want $7M Deal To End IPO Suit
• Day Pitney Taps Ex-Robinson & Cole Group Chair As Counsel
• JP Morgan Ruling May Have Broad Insurance Implications
• SEC Inks Deal With Salesman Involved In $7M Investor Fraud
• Embracing ESG: PayPal CLO Talks Gauging Impact And Intent
• OCC Report Warns Banks Of Growing Cyber, Climate Risks
• Bitcoin 'Inventor' Hit With $100M Jury Verdict
• Trump's Social Media SPAC Merger Probed By SEC, FINRA
• Latham Adds Mayer Brown Partner To DC, NY Practices
• Hedge Fund Priest Seeks Total Victory Over SEC Stock Suit
• SEC Seeks Docs In Probe Of $11.75B Lucid Motors SPAC Deal
• Holmes Attys Rip 'Confusing' Jury Instructions On Fraud
• JPMorgan Beats 'Frivolous' Suit Claiming Trust Fraud
• Hunton Nabs Ex-Shearman Derivatives Attorney
• Kentucky Pension Fund Says It Can't Be Sued In Delaware
• Lightspeed's Statements Were Light On Facts, Investors Say
• GOP Senator Decries Gensler's Crypto Stance As Vague
• Don't 'Fix' Misrepresentation Class Claim Pleading Standards
• Electric Truck Co. Must Face Claims It Inflated Biz Prospects
• Lighting Co. Investors Seek $15.7M Deal In Stock-Drop Suit
• More Chinese Companies Expected To Follow Didi's Delisting
• Hughes Hubbard Adds Former US Attorney To DC Shop
• 3rd Circ. Preview: BLM Masks, $1.4B Award Fight End 2021
• Former SBA General Counsel Joins Womble Bond As Partner
• In Farewell, Fed's Quarles Warns Of Risks In Crisis Lending
• Ex-Informant Says Florida Court Can't Hear SEC Suit
• Tax Accounting Firm Wants Out Of Ponzi Scam Suit
• Asset Manager Defiance Launches 1st ETF Focused On NFTs
• SEC Finalizes Rule Aiming To Keep Foreign Issuers In Check
• Robinhood Tells Court Mass. Regulator Exceeding Authority
• Concentrix Corp. Sued In Chancery Over Board Removal Rule
• Compliance Lessons For PE Sponsors Amid SEC Scrutiny
• Former Pharma CFO, Ex-Girlfriend Accused Of Insider Trading
• Investors Sue In Chancery For Bitcoin Miner Layer1's Books
• SEC Says Latvian Citizen Was Serial Crypto Fraudster
• Real Estate Fraudster Gets 5 Years In $58M Rip-Off Of Clients
• Quinn Emanuel Snags SS&C Technologies Holdings' CLO
• Blank Rome Hires Deals Atty Away From German Co.
• Performance Sports Investors Score $13M Deal In Fraud Suit
• Banking Giants Fined €344M Over EU Forex Cartel
• 4th Circ. Won't Revive DXC Technology Investors' $2B Suit
• Gensler Eye To Eye With Clayton On SEC Role In Crypto Regs
• Clover Health Sued In Del. Over Merger Disclosure Failures
• Judge Told SEC's Penny Stock Fraud Suit Is Time-Barred
• StarKist Tells 9th Circ. Judge's Conflicts Doom Class Cert.
• Crypto Scam Suspect Wants Jail Calls With Wife Out Of Trial
• Freight Co.'s Ex-CFO Gets 2 Years For Accounting Scheme
• Crypto.com To Pay $216M For Pair Of Derivatives Exchanges
• Chancery Tosses Most Counts Aimed At Vaccine Firm Insiders
• Delaware Justices Grill Great Hill, Plimus On Atty Fee Duel
• SEC's Robo-Adviser Focus May Foreshadow Crackdown
• Judge Orders Deadlocked Bitcoin Jury To Keep Deliberating
• Match Agrees To Pay Tinder Founders $441M To End Trial