Securities Archive » September, 2023

Securities - September, 2023

500 articles

• CFTC Fines Goldman Sachs $3M Over Disruptive Trades
• CFTC Fines Goldman, JPMorgan, BofA Swap Dealers $53M
• Banks Must Continue Fighting Hedge Fund's Spoofing Claims
• Deutsche Bank ESG Fine May Be Preview Of SEC Climate Rule
• CFTC Says Forex Pool Bilked $7.1M From Participants
• SEC Fines Newell Brands, Ex-CEO Over Accounting 'Scrub'
• FTX Customers Can't Hide Behind Law Firm, Trustee Argues
• Chemical Co. To Pay Feds $218M To End Bribery Claims
• Upstart Holdings Can't Escape AI-Based Lending Claims Suit
• SEC Fines Osaic Adviser Units Over Custody Rule Violations
• 6th Circ. Won't Revive Terminix 'Super Termite' Investor Action
• CFTC Accuses Seychelles Company Of Crypto Fraud
• Investors Drop Case Against Terraform Over Crypto Collapse
• Pro Say: A Cheat Sheet For The New Supreme Court Term
• CFTC Draws Internal Rebuke Of In-House Courts
• Ex-CBD Co. CEO Can't Get SEC Investor Fraud Suit Tossed
• Guess To Pay $30M To Settle Claims Harassment Was Ignored
• Circle Cautions Court On SEC's Binance Stablecoin Claims
• EV Car SPAC To Pay SEC $11M For Alleged Bogus Revenues
• SEC Fines Advisers For Undisclosed Conflicts Of Interest
• How Gov't Agencies Will Fare In The Event Of A Shutdown
• Avoiding The Ethical Pitfalls Of Crowdfunded Legal Fees
• 'False' Info Led To Pfizer Insider Trading Case, Court Told
• Tornado Cash Saga Presents Thorny Issues For Fintechs
• SEC Sues FTX Auditor For Violating Independence Rules
• 'Administrative State' Attacks Soar To High Court Crescendo
• RTX Misled Investors About Jet Engines, Pension Fund Claims
• JPMorgan Says Couple's $20M Suit Is 'Investor's Remorse'
• SEC Sues 'Downstream Promoters' Of Crypto Fraud CoinDeal
• Interactive Brokers, Others Fined $100M Total Over Texting
• Three Arrows Capital Co-Founder Arrested In Singapore
• DE Shaw Fined $10M For Impeding Potential Whistleblowers
• First-Time Advocates Dominate High Court's Fall Schedule
• 5 Supreme Court Cases To Watch This Fall
• Justices To Review Circuit Split Over Corp. Disclosure Duty
• SEC Fines 2 Cos. $1.1M Over Paid Touts Of Reg A Offerings
• Gemini Confirms $282M Withdrawal, Denies Winklevoss Link
• CFTC Says Dealer's $21M Fraud Ripped Off Retirement Savers
• Libor-Rigging Deals Totaling $52M Get Final OK
• SEC Fines Citi Units $1.9M For Reg BI Disclosure Lapses
• OCC Has Eye On Bank Risk Management In 2024 Exam Plan
• Clear Channel To Pay $26M FCPA Fine Over Chinese Bribes
• Crypto Users Take Landmark 'Scam Token' Loss To 2nd Circ.
• SEC's 'Shadow Trading' Test Case Fails Miserably, Court Told
• Under Armour Execs Escape Derivative Suit Called 'Not Ripe'
• EB-5 Investors Should've Understood Deal Terms, Judge Says
• SEC Fines Siblings For Insider Trading Over Storage Co. Deal
• Telecom Execs Fudged Revenue By $42M, Feds Charge
• Celsius Judge Questions Value Of Token Offer In Ch. 11 Plan
• ComEd Pays $46M To Settle SEC Bribery Allegations
• Chancery OKs Extra Voting Clout For Some Carvana Shares
• Energy Trading Cos. Must Review Electronic Comms Policies
• CFTC Fines Quant Trader For Trading Against His Own Firm
• US Crypto Needs Regulatory Clarity In Order To Thrive
• Adviser Says SEC Stretching Law Too Far With Annuity Case
• Xerox Buys Out Activist Carl Icahn's Stake For $542M
• Ex-Goldman Analyst Fed Stream Of Tips To Friends, Gov't Says
• Schulte Roth Forms Firmwide Special Situations Group
• What SEC Actions Against NFTs May Mean For Issuers
• NJ Broker-Dealer Accused Of Failing To Stop Impostor's Fraud
• Cuomo, Kenneth Cole Back Iconix Founder's Leniency Bid
• SBF Faces 'Long Sentence,' Could Be Flight Risk, Judge Says
• Ex-Slync CEO Sues Co. In Del. For $67M In Fraud Case Fees
• Lawmakers Target SEC Crypto Policy Amid Gensler Testimony
• How Looming Gov't Shutdown Could Put IPO Recovery On Ice
• Retirement Services Co. To Face Jury Trial In ERISA Class Suit
• SEC Doles Out $1.5M In Fines Over Insider Reporting Failures
• Schulte Roth Sues SPAC For $1.9M After Scuttled $2.6B Deal
• Dems Urge SEC To Keep Scope 3 Disclosures In Climate Rule
• SEC Settles Fraud Claims Against Cybersecurity Co.
• SEC Pursues Crypto Case In-House Despite High Court Battle
• SEC Prevails Over Prolific Trader In Unregistered Dealer Suit
• Splunk Investors' $30M Deal Over Growth Strategies OK'd
• Weber Dodges Investors' IPO Fraud Suit Over Pandemic Sales
• Hydrogen Auto Co. Hyzon Motors Settles SEC Suit For $25M
• Ex-Bear Stearns Trader-Turned-Gov't Witness Avoids Prison
• Ex-Cay Clubs CFO Tells Fla. Judge Fraud Was Only $3.4M
• IcomTech Ex-CEO Pleads Guilty To Crypto Ponzi Scheme
• Twitter User Can't Nix SEC Suit Over Penny Stock Ploy
• Takeaways From Recent Corporate Cooperation Rulings
• Witness Logistics Delay Ex-Cognizant Execs' Bribery Trial
• Blockchain Firm Ripple Hires Obama Alum To Head Up Policy
• 2 Cases May Expand CFPB's Reach On Deceptive Practices
• IsoEnergy And Consolidated Uranium To Merge In $668M Deal
• Why Calif. Applying Del. Caremark Standard Is A Big Deal
• Ex-Winston & Strawn Corporate Duo Rejoin Holland & Knight
• Gov't Shutdown Would Block New IPOs, SEC's Gensler Says
• Jury Rules For SEC In $144M Penny Stock Fraud Case
• FTC Says Celsius Founders Can't 'Jettison' Its Crypto Suit
• NY Judge Trims Investor Suit Against Tenet Fintech, Execs
• Axsome Beats Securities Suit Over Migraine Drug, For Now
• AssetMark To Pay $18M Over SEC Financial Conflict Charges
• SEC Says Purported Real Estate Investor Ran $17.5M Fraud
• Music Co. Fights Firm's Bid To End Ex-Fugees Rapper's Suit
• BlockFi's Ch. 11 Plan Confirmed With Opt-Out Releases Intact
• Pilgrim's Pride Says No Meat On Investors' Price-Fixing Claim
• SEC Fines Asset Manager For Undisclosed Business Interests
• Prosecution Seeks To Delay Ex-Cognizant Execs' Bribery Trial
• Accounting Board Fines BDO $2M Over Missed Red Flags
• Crypto Law Firm Wants 9th Circ. To Push SEC On Ether Rules
• Sports NFTs Not Securities, DraftKings Argues In Exit Bid
• SEC Says Diamond Seller Used Investor Funds To Gamble
• Feds Say Race Played No Role In Charging Ozy Media Boss
• Kodak Scores Exit From Investors' COVID Supply Deal Suit
• Astellas Sued In Del. Over Millions In Drug Milestone Payouts
• Airbit Founder Gets 12 Years As Feds Eye More Crypto Scams
• SiriusXM Enlists Debevoise To Weigh Liberty Biz Combo Offer
• Don't Believe SEC Witnesses In $144M Fraud Case, Jury Told
• Bittrex To Move Ahead On Ch. 11 With DOJ Objection Dropped
• Polsinelli Adds Private Equity Pro In Houston From Willkie
• SEC Suspends Ex-Marcum Partner, Ga. CPA For Audit Failures
• The 2023 Law360 Pulse Social Impact Leaders
• Why Law Firm ESG Is Likely Here To Stay
• Shareholder Says Austin Property Owner Misused Millions
• Platinum Co-Founder Gets Overvaluation Verdict Pared To $2.8M
• Telecom Co. GTT Avoids Penalty In SEC's Accounting Case
• Estee Lauder Agrees To Pay $975K To End ERISA Suit
• Biden Impeachment Probe May Turn On Definition Of 'Benefit'
• What Large Language Models Mean For Document Review
• Proskauer, VC Settle Over Alleged $636M Copy-Paste Error
• Trader Fights Extradition For Alleged $100M 'Pump-And-Dump'
• Jail Is No Place To Prep For Trial, Bankman-Fried Tells Judge
• JPMorgan To Pay $75M To US Virgin Islands Over Epstein Ties
• Pentwater Appeals $267M Atty Fee Award In Dell Case In Del.
• 11th Circ. Backs Office Depot In Ex-Employee Retaliation Suit
• 'Man On The Run' Takes 1MDB Scandal To The Big Screen
• Finance Firm Wants Ex-Exec Sanctioned For Discovery Leak
• Fresh Round Of Objections Hits Celsius Ch. 11 Plan
• KPMG Executives Want Out Of Credit Suisse Shareholder Suit
• UK Financial Adviser Must Face CBD Takeover Suit In NY
• Coinbase's CLO On Fighting For Crypto's Future In The Courts
• NJ Firm, Owner Settle SEC's $1M Cherry-Picking Claims
• Podcast Host Hit With SEC Suit Over 'Cash Flow' Scheme
• SEC Fines Mass. Firm $1M Over Convertible Bond Disclosures
• CFTC Puts Clamps On CPA Connected To $58M Forex Fraud
• SEC Says Small Adviser Falsely Claimed To Manage Trillions
• Trusts Lose Class Cert. Bid In BNY Mellon Fund-Selection Suit
• Catching Up With Delaware's Chancery Court
• Schulte Roth Adds Ex-SEC Atty From Perkins Coie In NY
• Match Group Says Investors Claim Nothing But Puffery
• SEC Says CBD Exec Defrauded Hospital Of $13M During COVID
• Participating In Living History Makes Me A Better Lawyer
• Ex-Schnader Corporate Pro Joins Fox Rothschild In NY
• SEC Fines Deutsche Bank Unit $25M For ESG, AML Violations
• How Attys Can Weather The Next Disaster Litigation Crisis
• Envision Inks $177M Deal In Billing Practices Securities Suit
• SEC Fines Broker-Dealer For Slacking On Reg BI Compliance
• SEC Suit Accuses 4 Of Taking Part In $196M Ponzi Fraud
• Investor Seeks Bank Docs Over 'Red Pants' Chair's Jet Use
• 4 Takeaways For Benefits Attys After Judge Clears ESG Rule
• Goldman Sachs To Pay $12M For Trade Data Reporting Gaffes
• Objector Says $919M Tesla Pay Suit Settlement 'Fell Short'
• Alphabet Wants Investor Suit Over DOJ Action Tossed
• Aircraft Co. Misled Investors With Flight Test Videos, Suit Says
• Kwok Operatives 'Materially Altering' NJ Mansion, Feds Claim
• SEC Case Receiver Sues Atty To Undo 'Fraudulent Transfers'
• PE Adviser To Pay $1.6M To Settle SEC Conflict Allegations
• Judge Delivers Clarity In Ambac RMBS Suit Against US Bank
• Fortis Alleges SentinelOne Merger Failures In Chancery
• Binance Says SEC Can't Subvert Congress With Securities Case
• Chevron Doctrine Supporters Flock To High Court In Key Case
• Stratasys Investor Raises Alarm About Desktop Metal Deal
• Proxy Season Takeaways Indicate ESG Initiative Shifts
• Vexatious Vs. Virtuous: Del. Chancery Battles Dip In Decorum
• Ex-Cadwalader Partner Joins Jones Day Corporate Practice
• Fenwick, Celebrities Seek To Toss FTX Investors' Suit
• Texas Man Pleads Guilty In Loan Scheme With Ex-Payroll CEO
• 2 Litigators Rejoin Greenberg Traurig In Ariz. From DLA Piper
• Private Equity Owners Can Remedy Law Firms' Agency Issues
• Labaton Sucharow Will Lead Norfolk Southern Investor Suit
• CFTC Denies Betting Site's Election Gambling Proposal
• Citadel Securities To Pay SEC $7M In Short-Selling Case
• HSF-led US Investment Firm Extends Share Buyback By $25M
• Texas Judge Won't Block Biden Admin's ESG Investing Rule
• Bankman-Fried Will Stay In Jail Ahead Of Trial, 2nd Circ. Rules
• DOJ Tackling Voluntary Self-Disclosure In M&A, Official Says
• Cities Score Class Cert. In Rate-Rigging Suit Against Banks
• Pomerantz To Be Lead Counsel In Mallinckrodt Investor Suit
• SEC Investor Panel Backs Tougher Human Capital Disclosures
• FDIC's Hill: We Can't Do Everything, Everywhere, All At Once
• Adviser To Pay $1.5M To End Claim He Stole From MLB Client
• Former Texas Oil Co. CEO Ducks SEC Fraud Claims For Now
• Investment Firms Can't Escape Unregistered Crypto Action
• FTX Opens New Ch. 11 Clawback Suit In Del. Seeking $157M
• Celsius Reaches Ch. 11 TRO Deal With Crypto Staking Firm
• Bankman-Fried's Expert Witnesses Rejected By Judge
• Atty Advice Relevant In Securities Fraud Cases: Colo. Panel
• Stanley Black & Decker Overplayed COVID Boost, Suit Alleges
• Chancery Shoots Down Gun Co. Co-Owner's Deal Challenge
• Mass. Judge Tosses Desktop Metal Securities Suit For Good
• Covington Client Can Stay Anonymous During SEC Appeal
• Haynes Boone Brings On Troutman Pepper Litigator In Calif.
• E-Discovery Co. CS Disco Sued For Misleading Its Investors
• Murdaugh Admits $9M Fraud So Victims Can 'Begin To Heal'
• SEC Dings Atty For Role In Promoting $1.5M Crypto Offering
• SEC Says Adviser Lost Crypto Account Keys, Hid Investments
• Feds Nab Plea Over Inside Info Stolen From BigLaw Associate
• Polsinelli Adds 2 Corporate Attorneys In St. Louis From BCLP
• Ex-Allianz Exec Says $6B Fraud Charges Too Thin On Detail
• Senate Hearing Hints At Brewing Divide Over AI Regulation
• Southwest Flies From Investors' Safety Lapse Suit, For Now
• Convicted Ex-JPMorgan Spoofer To Appeal 6-Month Sentence
• CFTC Has No Jurisdiction In Archegos Case, Judge Says
• 7th Circ. Unsure About Reviving Ethanol Manipulation Claims
• Newmont Hit With Shareholder Suit Over $19.5B Acquisition
• Feds Say $13M Ponzi Scheme Targeted Tongan Community
• BlockFi Whittles FTX Ch. 11 Claim From $5B To $500M
• Swap Dealer Fined By CFTC Admits Disclosure Failures
• Investors Say They Need Cadwalader Files For Fraud Defense
• Bittrex Drops Ch. 11 Bid For Sanctions Against Fla. Agency
• Celsius Approved To Pay Ch. 11 Fees For Employee Witnesses
• MJ Capital Board Member Gets 9 Yrs For $190M Ponzi Scheme
• Fluor Inks Deal To End Claims Board Covered Up Bad Bidding
• Mass. Robinhood Ruling Will Affect Broker-Dealers Nationwide
• Seward & Kissel Shuffles In Enforcement, Litigation Leaders
• Ex-Gartner GC Joins RPCK To Lead Social Enterprise Group
• Del. Justices Urged To Reverse AmerisourceBergen Dismissal
• NJ Judge Tosses Proposed Cannabis REIT Investor Suit
• Aerospace Exec Says He Was Fired After Probing Finances
• How To Protect Atty-Client Privilege While Using Generative AI
• Hayes Says Jurors Were Misled In Libor-Rigging Trial
• SEC Can't Nab Partial Win In Penny Stock Fraud Suit
• PNC Employees Ink $6.1M Deal In 401(K) Suit
• Kraft-Heinz Shareholder Class Counsel Get $90M In Fees
• SEC Finalizes Truth-In-Advertising Rule For ESG Funds
• SEC Enforcers Say They Look Beyond Labels In Crypto Cases
• SEC Urged To Drop 'Irreparable' Predictive Data Rule Proposal
• SEC Says Advisers Misled Charter School, Real Estate Fund
• SEC, Adviser's Estate Reach Terms To End $29M Ponzi Suit
• Scalia's Son To Make High Court Debut In Whistleblower Case
• Archegos, Hwang Can't Beat SEC's Market Manipulation Suit
• MSG Announces Post-Spinoff Stock Sale And $50M Buyback
• Celsius Is In Settlement Talks On Ch. 11 TRO Changes
• Ex-Congressman Gets Nearly 2 Years For Insider Trading
• Texas Atty Blamed 'Brain Fart' For False Statement, SEC Says
• SEC's 'Swing Pricing' Plan Gets Slammed At House Hearing
• SEC Sues NY Investment Firm Tied To Russian Oligarch
• When Should A Chief Compliance Officer Get Sanctioned?
• How New Lawyers Can Leverage Feedback For Growth
• Doc Becomes 3rd Of 5 In Alexion Insider Case To Admit Guilt
• Berry Corp. Investors Ink $2.5M Deal Over Deception Claims
• 'Lottery Lawyer' Asks To Delay Start Of 13-Year Sentence
• Treasury Issues Recommended Net-Zero Emissions Principles
• Prime Core Gets OK To Seal Customer Names In Ch. 11 Filings
• Crypto Co. Wants Citadel Securities' Trade Secrets Suit Axed
• Bankman-Fried's Parents Profited Off FTX Fraud, Suit Claims
• Feds Call Ex-Cognizant Execs' Experts Irrelevant To Trial
• 2nd Circ. Unlikely To Free Bankman-Fried After Diary Leak
• Fla. CBD Biz, Investor Can't Score Wins In Fraud Suit
• CBRE To Pay $375,000 For SEC Whistleblower Rule Violation
• Big Banks Financed Vale's Pollution Of Brazil, Suits Say
• Investors' Suit Over Norfolk Southern Derailment Lands In Ga.
• Ex-BigLaw Atty Loses Bid For New Crypto Laundering Trial
• Energy Co. Shareholder Gets OK For $151M Freezing Order
• NY Regulator Looks To Beef Up Crypto Listing Standards
• AMC Stock Plunge Cuts Counsel Fee In Reverse-Split Dispute
• Wells Fargo Beats $800M Investor Suit Over 2018 Fund Purge
• Tesla Board Escapes Investors' Toxic Workplace Suit, For Now
• Raymond James Rep Didn't Report AML Red Flags, SEC Says
• Disbarred Colorado Atty Pleads Guilty In Investment Scheme
• Chancery Denies Fee Shifting For Data Co.'s Delays
• Boeing Can't Ditch 737 Max Securities Fraud Suit, Judge Says
• Ex-Cigna Employee To Settle SEC's Insider Trading Claim
• Kohlberg Pushes Back In Chancery On Akademos 'Washout'
• JPMorgan Can't Ax Ex-Worker's $1.4M Arbitration Award
• Catching Up With Delaware's Chancery Court
• NFL QB And Influencers To Settle In FTX Collapse Suit
• A Cautionary Tale Of Flawed Debt Accounting And SEC Fines
• Judge Says No 'Alarm Bells' Over $175M Genesis-FTX Deal
• Libel Suit Against NY Atty Settled Just Before Trial
• ESG Around The World: Australia
• Lumen Hit With Securities Suit Over Toxic Cable Disclosures
• Lyft Pays $10M To Ditch SEC's Stock-Sale Reporting Claims
• Home Point Cuts $5M Deal With Investors Jilted After IPO
• Covington Won't Appeal Order In SEC Suit, But Its Client Might
• SEC Tells 5th Circ. Kroger Vote Moots Conservative Proxy Suit
• Fox Watches More Defamation Cases Pile Up In Chancery
• Gemini Slams DCG For Gaslighting Genesis Creditors
• Teva Faces Massive Investor Suit Over Opioid Scandal Fallout
• SEC Says Diamond-Nuclear Battery Investment Was A Fraud
• SEC Fines Ex-Tech Worker For Inside Trades Amid Deal Talks
• Del. Court Urged To Sanction 'Egregious' Data Co. Doc Moves
• ​​​​​​​Latest ERISA Standard Ruling Could Lead To More Dismissals
• Ex-Wells Fargo Exec Avoids Jail For Role In Fake Accounts
• SEC Says Binance.US Dodging Inquiry Into Customer Assets
• Conn. Adviser To Pay SEC $3.5M In Cherry-Picking Case
• TelexFree Victims Gave 'Incomplete' Docs, Wells Fargo Says
• Ex-Exec Must Repay Tool Co. For Home Loan, NC Suit Says
• Lionbridge Insurer Not Stuck With Entire $13M Litigation Tab
• Ex-Alexion Vice President Admits To Insider Trading Charges
• Del. Corporate Law Overhaul Delivers On Flexibility For Cos.
• Chancery Denies Bid To Fast-Track Marqeta Buyback Suit
• Teacher Gets 9 Yrs. For $2M Ponzi Scheme With Mother-In-Law
• Corporate Compliance Lessons From FirstEnergy Scandal
• Clover Top Pot Biz Investors Fight To Keep Malpractice Claims
• Duane Morris Adds Trial Pros From Maynard Nexsen In Atlanta
• UK Litigation Roundup: Here's What You Missed In London
• What Makes NFTs Securities? SEC Cases Point To Marketing
• Ex-MoviePass Execs Beat Some Claims In SEC's Fraud Suit
• SEC Looks Ready To Greenlight 'Greenwashing' Rule
• FTX Says BlockFi Trying To Dodge Claims In Ch. 11 Plan
• 2nd Circ. Won't Unfreeze Accounts Linked To $36M Scheme
• Republicans Rip 'Extreme' Bank Capital Plan As Dems Waver
• Tech Co. Matterport Sued Over 'Carte Blanche' Charter Section
• Vaccine Maker Beats Investor Suit Over Private Investment
• First Post-Cochran Suit Against SEC In-House Courts Dropped
• Ex-Morgan Stanley Broker's $8.8M Recruiting Loan Case Axed
• Archegos Duo Can't Subpoena Fraud Victims, Feds Say
• Myovant, Sumitomo Deal Hurt By Skadden Conflict, Suit Says
• Compliance Hires Roundup: Regions Bank, Enbridge & More
• Sbaiti To Lead Barclays Unregistered Securities Investor Suit
• Latham, V&E Advise Vital Energy On $1.2B Oil Field Expansion
• Ex-Pfizer Worker To Stand Trial In Paxlovid Insider Case
• AmeriLife Hires Ex-MetLife Compliance Executive
• Private Fund Advisers Should Prep Now For New SEC Rules
• Asset Manager Considerations For Soliciting Calif. Pensions
• Twitter Legal Fees Suit Offers Crash Course In Billing Ethics
• Alexion Inks $125M Deal In Investors' Suit Over Sales Tactics
• Biscayne Capital Exec Pleads Out In $155M Fraud Case
• SEC Proposes Security, Access Improvements For EDGAR
• SEC's Gensler Warns Of Potential AI-Driven Financial Crisis
• 2nd Circ. Dismisses 'Untimely' Rio Tinto Investor's Appeal
• Hilton, Fallon, Bieber Want Out Of Bored Ape NFT Suit
• Old Offer To Drop Chancery Case Roils Bioverativ Settlement
• Cardinal Health, Investors Get Final OK For $109M Settlement
• Manufacturer Orgs. Sue SEC Over Private Biz Disclosure Rule
• Shareholder Seeks Cigna Records On Claim Denial 'Algorithm'
• Kirkland Lands $28M In Fees In Crypto Broker Voyager Ch. 11
• Chancery Tosses Some Claims In Parts Firm Merger Suit
• Carlyle Says 'Ungrounded' $344M Del. Tax Suit Should Go
• Prime Trust Parent's Sale Plan To Wrap Ch. 11 By December
• Cloud Co.'s Lack Of Tax Expertise Hurt Investors, Suit Says
• FTX Gets Go-Ahead To Sell $100M In Crypto A Week
• EB-5 Center 'Misunderstands' Approval Rule, Feds Argue
• The Long Reach Of Proposed Security-Based Swaps Rule
• New McGuireWoods Team To Help Clients Navigate DEI
• Integra Downplayed FDA Factory Warnings, Investor Suit Says
• Challenge To Private-Funds Rule Could Test SEC's Authority
• SEC Fines Celeb-Backed NFT Project In Latest Crackdown
• Regulators Must Avert Overreach When Targeting AI
• Firm Says Ex-Army Col. Stiffed It On $140K Tab In FCPA Case
• Calif. Lawmakers Pass Pioneering Carbon Disclosure Bill
• NYC Pensions Say Fox 'Chose To Invite' Defamation Suits
• Sorrento OK'd For Alternative $110M Ch. 11 Stock Sale
• Adviser To Sport Stars Settles SEC's Registration Claim
• Shareholders Seek To Oust Nursing Home Majority Owner
• DeSantis Says Immunity Bars Suit Over Fla. City Utility Board
• SEC Fines Gov't Services Co. Over 'Related Persons' Issues
• Phone Co. Should Face Investor's Revived Suit, Judge Says
• SEC Says Investment Co. Didn't Reveal Marine Financing Risk
• Starbucks Judge Blasts Challenge To Its Diversity Policies
• Bankman-Fried Can't Get Out Of Jail To Prep For Trial
• Organizations Urge Texas Courts To Curb 'Judge Shopping'
• Judge Says Bitcoin 'Inventor' Could Be Sanctioned For Delays
• PacWest Investor Says Bank Understated Rate Hike Exposure
• SEC's Gensler Calls On Congress To Fund AI, Crypto Efforts
• Deutsche Bank Can't Undo $95M Verdict Over Ponzi Scheme
• SEC Sues Virtu Over Information Security Safeguards
• Data Co. Says 2nd Circ. Goldman Ruling Backs Its Decert. Bid
• SEC Fines Marcum Partner Over Audit Quality Failures
• Chancery Upholds Bumble's Extra Votes For 'Principals'
• SEC Hits Health Care Co. And Owner With $2.7M Fraud Suit
• Redbox Class Suit Brands Apollo Global Sale Terms Unfair
• BigLaw Associate's Ex Faces January Insider Trading Trial
• Former FTX GC Taps Crisis Experience To Build New Boutique
• Ga. Panel Considers Indemnity In $43M Family Trust Row
• Former Acting OCC Head Rejoins O'Melveny As Fintech Pro
• 2 Accused Of Fraud Tell Jury Stock Enterprise Seemed Legit
• OneCoin Co-Founder Gets 20 Years For $4B Crypto Fraud
• SEC Fines 9 Investment Firms Over Marketing Rule Violations
• SBF Cites 5th Amendment In Bid To Stall FTX Customers' Suit
• Wells Fargo Investors Beef Up Diverse Hiring Suit On 2nd Try
• Can 'Green Tech' SPAC Deals Buck The Overall Downturn?
• Sculptor Capital Investor Sues Board Over $639M Rithm Deal
• Former Exec Escapes Investor Challenge To $1.1B 'Sham' Deal
• SEC Says Ripple Appeal Has 'Industry-Wide Significance'
• SEC Fines Real Estate Adviser For Compliance Shortfalls
• Voyager Reaches Post-Confirmation Intercompany Claim Deal
• Catching Up With Delaware's Chancery Court
• Mark-To-Market Appropriate For Crypto Traders, Tax Attys Say
• FTX Sues To Claw Back $100M From Virgin Islands Firm
• ABA's Money-Laundering Resolution Is A Balancing Act
• Secret Phones, Code Names Behind Stock Scheme, Jury Told
• Pool Supply Co. Investors Say COVID Panic Inflated Sales
• Wachtell Says Arbitration 'Clear' Route For Twitter's Fee Suit
• Longtime Sidley Partner Charles Douglas Dies At 75
• How Del. Cos. Weighed Officer Exculpation This Proxy Season
• Insurance Agent Says SEC's $1M Real Estate Fraud Suit Fails
• DOL's Revised Fiduciary Rule Sent To White House
• Chancery Pauses Western Union-Convera Fight For DQ Motion
• FDIC Admits It Flubbed Some Of Its First Republic Oversight
• Fed Official Says Stablecoin Policy Isn't 'Hurdle' To Banks
• SEC Throws In Towel On Case That Led To High Court Loss
• Feds Say Bogus Fund Chief Scammed $5M With AI Trading Lie
• 3 Firms Guide AI Co.'s Plans To Go Public Via SPAC Merger
• Utah Trader Admits To $2M SEC, CFTC Bitcoin Trading Claims
• Biotech Firm Accused Of 'Gaslighting' In $41M Share Award Suit
• Rosen Law Firm Will Lead Polished.com IPO Class Action
• EV-Maker Lucid Pans Securities Suit Over Production Targets
• CFTC Enforcement Cases May Force DeFi To Comply Or Leave
• Argentina Owes YPF Investors $16B, NY Judge Says
• Wells Fargo Investors Land Final Approval Of $1B Deal
• Katz SPAC Sues Medical Imaging Co. To Close $151M Merger
• 2 High Court Cases Could Upend Administrative Law Bedrock
• SEC Fines Another Firm For Impeding Whistleblowers
• Aequitas Ex-CEO Gets 14 Years For $300M Ponzi Scheme
• Chancery OKs $9.25M Deal To End HF Foods Derivative Suit
• Errant Lead Plaintiffs DQ'd, Likely Killing $10M Settlement
• SEC Won't Penalize Crypto Co. For Unregistered Accounts
• Former DOJ Atty Joins Duane Morris White Collar Team In DC
• Indian National Accuses Fla. Immigration Atty Of EB-5 Scam
• Former Biotech Execs Avoid Prison In Stock Tip Case
• Feds Say Mass. Cop Can't Undo ADI Insider Trading Verdict
• Future Of NFTs Uncertain As SEC Takes Hawkish Approach
• 2nd Circ. Says REIT Can't Open 'Backdoor' To Suing Advisers
• Facebook Jurist 'Blown Away' By Record Reply To $725M Deal
• Quantum Computing Poses Cyber Risk, Fed Official Warns
• SEC Says Data Co. CEO Misused IPO Funds On Family, Others
• Crypto Org. LBRY Books 1st Circ. Challenge To SEC Win
• NextEra Top Brass Sued Over Alleged 'Political Misconduct'
• $173M Exelon, ComEd Investor Deal Gets OK With Fee Delay
• CFTC Lands $1.7B Settlement For Mirror Trading Bitcoin Case
• Old Dominion Beats Ex-Worker's 401(k) Mismanagement Suit
• CFTC Says Energy Trader Spoofed Crude Oil Market Again
• Ex-Traders At 7th Circ. Deny Knowing Spoofing Was Criminal
• CFTC's Pham Wants Pilot Program For Digital Asset Rules
• Federal Law Blocks Fraud Suit Over Empower's Sales Tactics
• Chancery Rules Out Order To Close In $2.6B Casino SPAC Suit
• 'You Can't Fake Funny': Brief Says Musk Skit Tanked Dogecoin
• SEC Nets $2.1M Judgment In Crypto Pyramid Scheme Case
• Conservative Groups Back Brokerage's Call To Muzzle FINRA
• Del. Justices Mostly Back Chancery On 'Incurable Voidness'
• IRobot Tanked Stock Price To Save Amazon Deal, Suit Says
• Regulators Should Unmask DeFi Operators, Global Body Says
• Shell Oil Judge Recommends Certifying Classes In 401(k) Suit
• SEC Unit Discloses How It Picks Which Advisers To Examine
• Law Firm Professional Development Steps To Thrive In AI Era
• 5 Takeaways From SEC's First Marketing Rule Action
• Securities Firms Sichenzia Ross, Carmel Milazzo To Merge
• Chancery Sends Back Snap Settlement Over Class Concerns
• Ex-3rd Circ. Judge Joins Blank Rome From Schnader Harrison
• Schnader Harrison Securities Chair Joins Ballard Spahr
• NC Law Firm Wants Ex-Shareholder's Suit Sent To Arbitration
• Colo. Pot Biz Investors Fight Bid To Cut Claim From Fraud Suit
• Attys Vie To Lead Investor Suit Against AI-Based Drugmaker
• Russian Gets 9 Years For Largest-Ever Insider Trading Case
• Previewing Big Changes To NY's Finance Cybersecurity Rules
• Ex-FTX Exec Cops Plea, But Not Cooperating Against SBF
• ARK 21Shares, VanEck File For ETFs Holding Ether
• $167.5M CBS Class Settlement OK'd In Del. Viacom Deal Suit
• Ex-OpenSea Employee Will Serve Sentence Amid Appeal
• SEC Fines Fluor $14.5M Over Unreported Project Costs
• SBF Can't Go Free While Appealing Detention, 2nd Circ. Says
• Cadwalader Files Off-Limits In $5M Investor Fraud Case
• Fired Wells Fargo Exec Fights To Keep Retaliation Suit Alive
• Judge Declines To Release Man In NJ Deli Fraud Scheme
• Accounting Board Updates Standards For Crypto Holdings
• Ex-Glass Co. CFO Looks To Shatter SEC Suit Over SPAC Deal
• Brewery Investors Accuse Ex-Leaders Of Fraud, Flubbing Sale
• Genesis Global Gets 30 More Days To File Ch. 11 Plan
• Pomerantz Seeks To Lead Mallinckrodt Investor Suit
• FTX Examiner Report OKs $111M In Professional Fees
• Texas Tells 5th Circ. SEC Can't Act As National Conscience
• HP Investor Attys Get $1.9M Fee For Supply Glut Deal
• Weber Stockholder Sues In Del. For Docs On $3.7B BDT Buy
• Trade Group Says SEC Overstepped In Annuities Sales Suit
• Split SEC Approves Broker Fees For Market Surveillance Tool
• Prison Worker Admits To Bribe Scheme Linked To Rajaratnam
• Grayscale Urges SEC To Approve Bitcoin ETF Post Appeal Win
• Celsius Founder's Assets Frozen Amid Fraud Case
• Lessons From High-Profile Witness Tampering Allegations
• Citadel Securities, FINRA Attys Join McGuireWoods In NY
• Crypto Coder Denies Aiding North Korea In Alleged $1B Plot
• Nutter Adds Ropes & Gray Associate To Boston Office
• Feds Want 30-Year Sentence For OneCoin Co-Founder
• Understanding China's Crypto-Blockchain Dichotomy
• Biden's 3 Fed Picks Clear Final Hurdles As Senate Confirms
• SEC's New Rules Likely Will Affect Cyber, D&O Insurance
• Norton Rose Adds Ex-K&L Gates Corporate Atty In LA
• If Binance Criminally Charged, Crypto Exchanges May Exit US
• Malaysia Says Feds Flouting Deal To Return Ex-Goldman Exec
• Muni Bond Cop Objects To Judicial Sideswipe In FINRA Case
• FINRA's Crypto Team Tells Firms To Focus On Disclosure
• Striking Down SEC Courts Would Hurt States, Justices Told
• Steel Connect Sued In Del. Over Supermajority Control Deal
• Wells Fargo Must Produce Docs in TelexFree Suit, Judge Says
• SEC Fines 5 Investment Firms Over Custody Rule Violations
• 1 Year Sought For Ex-Wells Fargo Exec In Fake Account Case
• Proterra Sued For Allegedly Hiding Post-SPAC Merger Risks
• Trump-Linked SPAC Scores Merger Deadline Extension
• Ripple Says SEC's Appeal Rooted In 'Dissatisfaction,' Not Law
• Emergent Gets Investor Suit Over COVID Vaccine Trimmed
• Bankman-Fried Jail Appeal 'Trivializes' Diary Leak, Feds Say
• How Regulation E Could Complicate Crypto Compliance
• Chancery Upholds Part Of Indiana Steel Co.'s $7M Fraud Suit
• Hedge Fund Compliance Head Joins Lowenstein Sandler
• Ex-CFTC Whistleblower Chief Joins Phillips & Cohen
• Software Engineer Admits Raking In $2M Via Insider Trading
• Ex-SEC Enforcement Atty, SVB Counsel Joins Venable In LA
• Covington Ruling Strengthens SEC's Enforcement Powers