Securities Archive » December, 2023

Securities - December, 2023

312 articles

• Bankman-Fried Inks Pact With FTX Debtors Over Embed Deal
• SEC Fines Energy Co. $5M For Faking Inflated Revenue
• Ex-Mozambique Finance Minister Can't Duck Tuna Bond Case
• Investor Sues Illumina, Ex-Execs Over Unwound Grail Deal
• The Most-Read Securities Law360 Guest Articles Of 2023
• SEC Doles Out More Than $28M To 7 Whistleblowers
• SEC Reaches $1.7M Deal With Purported DAO Over Crypto Bonds
• The Most-Read Legal Industry Law360 Guest Articles Of 2023
• Private Equity Veteran Joins Blank Rome In Houston
• The 5 Biggest First Circuit Rulings Of 2023
• SEC Says Sanctions Not Warranted After Judge's Threat
• SEC Faces Renewed Petition Over 'Gag Orders'
• Miami Firm Faces Sanctions Bid After Trial Delay
• Becton Investors Seek OK Of $85M Deal Over Alaris Recall
• ABA Tax Tells IRS To Narrow Digital Asset Reg Definitions
• FINRA Gives Prometheum Final OK For Crypto Trades
• SEC Rebounds From Rare Trial Loss With $240K Fine
• Developer Wins Mich. High Court Review Of Securities Test
• Texas Judge Trims Bitcoin Miner Investor Suit
• Vericity Investor Sues In Del. For Books On $170M Buyout
• Deutsche Bank Must Face Trader's Malicious Prosecution Suit
• NY Atty Freed After Deal To Hand Over Docs In $5.2M Suit
• NJ Court Won't Rethink Quashing J&J's Law Firm Subpoenas
• SEC's Accredited-Investor Report Could Signal Tighter Rules
• How SEC And NY Cyber Reporting Rules Affect Key Industries
• Barnes & Thornburg Adds Exec Compensation Partner In DC
• Synchrony Financial Shareholder Attys Ask For $885K Fee
• Feds Urge Justices To Affirm 2nd Circ. In SEC Disclosure Suit
• Deals Rumor Mill: Warner Bros, Blue Origin, Chuck E. Cheese
• Attorneys' Busiest Times Can Be Business Opportunities
• Bribery Bill Fills Gap In Foreign Corruption Enforcement
• Exxon, Chevron Top 2023's 10 Largest M&A Deals
• The Spiciest Quotes Heard In Mass. Courtrooms In 2023
• NC Man Admits To Role In New Jersey Deli Fraud Scheme
• 5th Circ. May Not Be Done Axing SEC Rules
• 6th Circ. OKs $7.5M Award Against Ex-Merrill Lynch Broker
• Judge Quickly Rejects SBF's Bid To Delay Sentencing Hearing
• Golden Heaven Sued Over Its Amusement Park 'Hellscapes'
• Ill. Atty Beats Insider Trading Conviction Over Chegg Buy
• The Top Bankruptcy Cases And Issues Of 2023
• Reinsurer Maiden Holdings Beats Investor Suit On $309M Loss
• NY Judge Says She Correctly Cut Virgin Galactic Investor Suit
• Feds Will Retry Securities Fraud Case Over COVID-19 Test Kits
• SomaLogic Founder Sues In Del. Chancery To Block $1B Deal
• In The World Of Legal Ethics, 10 Trends To Note From 2023
• Del. Dispatch: The 2023 Corporate Cases You Need To Know
• Ex-Gibson Dunn Visiting Atty Sentenced To 2 Months In Prison
• Advance Auto To Pay $1.7M To End 401(k) Management Suit
• Judge Nixes Counterclaims In Cannabis Contract Breach Row
• Del. Courts Saw APE Wars, Fox Fury And A Barr Fight In 2023
• AmeriServ Board Suit Tossed Amid Olshan Discovery Spat
• Seafood Co. Wants $500K In Fees After 'Bad Faith' ESOP Suit
• Meta Calls Investor's Social Ills Suit 'Antithetical' To Del. Law
• Choppy Conditions Tripped Up Capital Markets Again In 2023
• 5th Circ. Axes SEC's Stock Buyback Rules
• Indicted Stimwave CEO Hit With $41M Civil Suit From SEC
• Purported VC Exec Gets 8 Years For $6M Pre-IPO Share Scam
• Building Co., Advisers Defend $75M Payout In $1.4B Merger
• Regulators Urged To Monitor DeFi Like Traditional Finance
• Insurance Co. Investor Seeks $3.5M Fee For Chancery Deal
• SEC Urges 5th Circ. To Deny Appeal In Nasdaq Diversity Case
• 1st Circ. Sends Flood Coverage Row To Mass. Justices
• Justices Urged To Weigh If Syndicated Loans Are Securities
• Acadia Investor Says Officers Overhyped Drug's Prospects
• Realty Income's $9.3B REIT Buy Challenged By Shareholder
• DraftKings' Control Makes Sports NFTs Securities, Judge Told
• Pot Co. IAnthus Reports Settlement Deal With Shareholders
• 2nd Circ. Backs Madoff Trustee's $19M Clawback Award
• Funko Says Its Inventory Comments Did Not Defraud Investors
• Volume-Based Transaction Pricing Proposal Raises Questions
• FTX Inks Deal With Bahamas Liquidators On Customer Claims
• Paul Weiss, Kirkland Steer $179M Buy Of Bitcoin Mining Sites
• SEC, NY Cybersecurity Rules Create Complexity For Insurers
• Ex-LinkedIn Podcast Head Cops To Granting Fake Invoices
• How Attorneys Can Be More Efficient This Holiday Season
• Top 10 Whistleblowing And Retaliation Events Of 2023
• 2nd Trader Avoids Prison In Covington Info Theft Case
• Tennessee Alleges BlackRock's ESG Goals Mislead Investors
• MDL Judge Refuses To Certify Class In Rate-Swaps Suit
• SEC Sues To Stop 'Staggering' Nigerian Fintech Fraud
• Judge Says Loan Co. Head Poses Clear Threat To Public
• Crypto Co. DCG Wants $1.1B Subsidiary Bankruptcy Suit Axed
• SEC Cites Dodd-Frank In Defense Of Private Funds Rule
• Mango Markets Trader Must Face Fraud Case, Judge Rules
• Investors Say Carvana Special Committee 'Took A Back Seat'
• Latham-Led Gas Producer Enters US Market Via Direct Listing
• Fraudster Gets 1½ Years For Role In $40M Settlement Scheme
• IEA Seeks Summary Judgment In Ares, Oaktree Merger Suit
• FTX Ch. 11 Plan Proposes To Pay Customers Cash, Not Crypto
• Feds Defend Chevron Deference In Second High Court Case
• Nikola Founder Gets 4 Years After Proclaiming Innocence
• Understanding Advance Notice Bylaws Is Key For All Parties
• Atty Insider Trading Cases Highlight Ongoing Ethics Woes
• Vice Chancellor Says Funko Must Face 'Double-Dipping' Suit
• Catching Up With Delaware's Chancery Court
• Briton Extradited To NY On Charges In $99M Wine Fraud
• Feds Seek 8 Months For Ex-Gibson Dunn Visiting Atty
• 3 Defense Takeaways From The Bankman-Fried Trial
• Children's Book Writing Makes Me A Better Lawyer
• Energy Co. Investors Get Final OK For $8.2M Deal In IPO Suit
• 5th Circ. Backs Toss Of Investor Suit Against Oil Field Co.
• SEC Rips 'Nonsensical' Bid To End Fugitive's Wife's Tax Levy
• Conn. Fund Manager Stole $3.4M From Investors, Feds Say
• FTX's $24B Tax Bill Could Wipe Out Any Creditor Recovery
• Allstate Retirees Lose Appeal Despite Judge's Stock Holding
• Pot Co., Insurer Settle Coverage Dispute Over Deal Fallout
• Boston Scientific Reaches $38.5M Deal To End Investor Suit
• 7 Biggest Massachusetts Top Court Rulings Of 2023
• Parsing 2023's Energy Markets Enforcement
• Bannon Ally Wants 'Fatally Deficient' Fraud Charges Tossed
• A Review Of 2023's Most Notable Securities Litigation
• Our Favorite Colorful Chancery Court Quotes Of 2023
• Rosen Law Firm To Lead CS Disco Inc. IPO Class Action
• SEC Turns Away Coinbase's Bid For Crypto Rulemaking
• 5th Circ. Backs Insurer's Defeat Of 401(k) Exit Fee Suit
• Taxation With Representation: Latham, Freshfields, Debevoise
• Crypto Firm SafeMoon Files Ch. 7 After Exec Indictments
• Corp. Accountability At Stake In Macquarie Suit, Justices Told
• Arrow Financial Execs Accused Of Hiding Weak Controls
• Berkshire Hathaway Loses Round In Del. Pilot Travel Fight
• Match.com Case Could Test Del.'s Vaunted MFW Standard
• Trump-Tied SPAC Loses Millions More In PIPE Financing
• Commodities Firm Pays $106M To Settle Brazil Bribery Claims
• Feds Seek Up To 2 Years For Merck Merger Tippee
• SEC Says Ch. 11 Windfalls Not Open To Whistleblower Awards
• Sens. Blast SEC For Likely Delay On Human Capital Proposal
• Penny Stock Maven Charged With Stock 'Scalping' Scheme
• Judge Says SEC Annuity Suit Doesn't Supersede State Law
• SolarWinds Tells Judge SEC Overstepped With Cyber Suit
• Ex-Amazon Coder Pleads Guilty In $12M Crypto Hacking Case
• Musk's Challenge To SEC Twitter Probe Faces Skeptical Judge
• ESG Investing Caught In Culture War Crosshairs In 2023
• 2 More Real Estate Execs Charged In $26M Investment Scam
• Fugitive Collectibles Impresario Found Liable By NY Jury
• Celsius Founders Can't Shed FTC Crypto Fraud Claims
• Del. Justices Spike EpicentRx Appeal For Target Co. Docs
• Credit Suisse To Pay SEC $10M Over Barred Advisory Work
• SEC Tackles Treasury Market Risk With New Clearing Mandate
• 11th Circ. Says Hologram Backer Owes Harassment Sanctions
• Inside CFTC's Latest Push To Regulate Carbon Markets
• US Trustee Asks Court To Reject Prime Core Releases
• Dexia, Banca Intesa Win €55M Venice Swaps Appeal
• Peloton Board Nomination Bylaw Is Unfair, Investor Says
• Insurer Warns Of 2024 Geopolitical Challenges For Companies
• Charity Can't Revive FCA Claim Over Climate Risk Disclosure
• How Clients May Use AI To Monitor Attorneys
• Mozambique Says President's Docs Not Needed For Fair Trial
• Drink Co. Ex-CEO Won't Be Harmed In Equity Sale, Judge Says
• AstraZeneca Urges Chancery To Toss $3B Viela Bio Sale Suit
• Fla. Judge Won't DQ Duane Morris In Suit Over $35M Scheme
• SEC's Short-Selling Rules Targeted In New 5th Circ. Challenge
• Amazon Board Says Deal With Bezos' Co. Was In Good Faith
• GOP Reps Seek IG Probe Of SEC Market Surveillance Tool
• Morgan Lewis, FTX Affiliate Scolded For Poor DIP Bid Prep
• Feds Want 11 Years For Nikola Founder's Stock Fraud
• Beyond Meat Looks To Chuck Suit Over Production Woes
• Investor Sues Cannabis Website Over Inflated User Counts
• Battery Developer Says 'Vague' Statements Aren't Fraud
• 8 Ways To Negotiate Improved Disgorgement Outcomes
• FTX Says It Doesn't Have To Pay $24B Tax Bill To IRS
• Foley & Lardner Adds Fund Pros From Choate In Boston
• How The NY AG Leads Investigations In Civil Securities Fraud
• Sirius XM Investors Reach Deal In Suit Over 'Slow Roll' Buy-Up
• Crypto Platform KuCoin To Pay $22M, Exit NY To End Suit
• SiriusXM Agrees To Merge With Liberty Media Tracking Stock
• Elon Musk Must Face Trimmed Investor Suit Over Buyout
• Rocket Mortgage Says Reddit 'Frenzy' Dooms Class Cert. Bid
• BlockFi Bankruptcy Attys Request Roughly $40M In Fees
• Conn. Adviser Settles SEC's $6.9M Free-Riding Scheme Suit
• Quinn Emanuel DQ, Dogecoin Sanctions Nixed In Musk Suit
• Wells Fargo Investors Say Diverse Hiring Suit Passes Muster
• Kristen Bell's Baby Co. Gets OK For $65M Ch. 11 Sale
• Biden Would Veto Rulemaking Bill Citing 'Unnecessary Delays'
• Treasury To Propose Adviser, Real Estate Corruption Rules
• Amazon Investor Sues In Del. To Probe Antitrust Issues
• GM Misled Investors On Safety Of Driverless Tech, Suit Says
• Seyfarth Deepens Securities Bench With 4-Atty Stroock Team
• ESG Around The World: Singapore
• Sanofi Tells 3rd Circ. Post-Ch. 11 Drug Sales Triggered Deal
• Tool Co. Ends $45M Suit Over Loan And 'Phantom Stock'
• Top Court Won't Hear Hedge Fund Priest's Appeal In SEC Case
• Buchalter Brings On Ex-Ballard Spahr Corporate Pro In LA
• The Pop Culture Docket: Judge D'Emic On Moby Grape
• Catching Up With Delaware's Chancery Court
• Cigna Opts For $10B Buyback As Humana Deal Rumors Fizzle
• Circuit-By-Circuit Guide To 2023's Most Memorable Moments
• EU Policymakers Clear Way For Passing Of Landmark AI Act
• Estee Lauder Inflated Growth Potential, Investor Suit Says
• Calif. Privacy Board Wary Of Overbroad AI Regulations
• McKinsey Rival Wants Out Of Exec's Defamation Countersuit
• Binance Investors Want To Depose Ex-CEO 'Before He Flees'
• Madoff Trustee Seeks $45M NY Bankruptcy Court Distribution
• Ex-CEO Admits Securities Fraud In Fake COVID Test Case
• Nikola Investors Fight Call For Del. SPAC Fraud Suit Toss
• SEC Taps New Attys To Respond To Judge's Sanctions Threat
• Tesla Investor Sues For Docs On Musk 'Glass House' Outlays
• Judge Grants SEC Receiver For GPB Capital Amid CEO Case
• GOP Sens Demand FDIC Chair Quit After Workplace Reports
• Ex-JPM Traders' Appeal Can't Stop Spoofing Suit, CFTC Says
• Pomerantz To Lead Maui Fire Suit Against Hawaii Utility
• US Chamber Looks To Kill SEC Buyback Rules At 5th Circ.
• Ex-Lumentum Exec Gets 2 Years, Stiff Fine In Insider Case
• SEC Defends Fraud Allegations Against Texas Oil CEO
• SmileDirectClub To Wind Down After Sale Efforts Collapse
• UK Litigation Roundup: Here's What You Missed In London
• Performing Music Makes Me A Better Lawyer
• Off The Bench: NCAA Pay Plan, Title IX Claims, Graffiti Smear
• The Shifting Landscape Of Securities Class Action Fees
• CFTC Wins $61M Order Against Fla. Forex Trading Firm CEO
• Binance Founder Must Remain In US Until Sentencing
• Musk Asks Justices To Let Him Nix SEC Deal Over Tesla Tweets
• Missouri's 'Games' Can't Save Anti-ESG Rules, SIFMA Says
• OCC Flags AI As 'Emerging' Risk In Banking System
• Chinese Tutoring Co. Escapes Investor Suit Over Reg Reforms
• E-Commerce Co. Nogin Can Access $19.2M Of DIP Funds
• EV Co.'s SPAC Suit Gets Initial OK For $1.9M Settlement
• SEC Sues 4 Cos. Linked To Alleged $89M Pre-IPO Fraud
• Athletes, YouTubers, Banks Want Out Of FTX Litigation
• Kwok Investors Want Feds To Release $302M In Seized Crypto
• Antiques Exec Had Ex-Mistress Haul Bag Of Cash, Jury Hears
• Reverse Proffers In Federal Criminal Cases Can Be A Win-Win
• Binance Seeks To Arbitrate Fraud Oversight Investor Suit
• Ex-Apple Legal Bigwig Dodges Prison In Insider Trading Case
• Democratic AGs Say National Banks Bucking Investigations
• The SEC's Cooled Down But Still Spicy Private Fund Rules
• Cellphone Co. To Settle Investor's Revived Suit
• BofA CEO Shrugs Off Mortgage Fears In CFPB Funding Case
• Cancer Test Co. Overpromised Insurer Coverage, Suit Says
• Feds Charge NJ Man With $89M Pre-IPO Investment Fraud
• Feds Say No Reliable Proof For FTX's $0 Tax Estimate
• 2nd Circ. Drops Fraud Charges Against Ex-KPMG Exec
• SEC's Climate Proposal Leads Rules Lined Up For 2024 Votes
• FTX Says Ch. 11 Plan Coming Before Year's End
• FINRA Fines SoFi, 3 Others Over Securities Lending Claims
• Investors Slam Baker Donelson's Discovery Bid In Ponzi Suit
• SEC Wins $26M From Crypto 'Mining' Firm
• Bitzlato Exec Pleads Out To $700M Dirty Crypto Exchange Rap
• Del. Justices Urged To Reverse $1.2B Galaxy-BitGo Deal Spike
• Core Scientific Securities Litigant Can't File Ch. 11 Class Claim
• Liquidator Wants To Grill Mark Cuban On Voyager Deal
• Prime Core Wants $10M Loan To Fund Ch. 11 Wind-Down
• Breaking Down High Court's New Code Of Conduct
• Weber Stockholder Claims $3.7B Go-Private Deal Burned Him
• Battery Co. Hid Revoked DOE Grant From Investors, Suit Says
• High Court's Chevron Review May Be A Crypto Game-Changer
• How One Word Turned A Guilty Verdict Into A Mistrial
• Wood Pellet Co. Leaders Face Investor Suit Over ESG Claims
• SEC Chair Warns Businesses Against AI Washing: 'Don't Do It'
• Ex-CEOs Must Face Claims They Pilfered Bioscience Co.'s IP
• Big Bank CEOs Bemoan Basel III Ahead Of Senate Grilling
• Solar Tech Lender Gets OK For Quick Ch. 11 Exit
• Split 9th Circ. Won't Revisit Meta Investor Suit In Data Scandal
• SEC, Terraform Clash Over Jury's Role At Upcoming Trial
• Investors Sue Smith & Wesson Brass Over Assault Rifle Biz
• LinkedIn, Zoom May Be Enforcers' Next Recordkeeping Target
• Floor & Decor Insider Trading Case Moves Ahead In Del.
• Virtu Attacks SEC's 'Hypothetical' Information Security Suit
• Trump, SBF Trials Spotlight Nonverbal Signaling, Prof Says
• Investor Fights For New Shot At Cannabis Co. Accounting Suit
• Export-Import Bank Slammed As Major Fossil Fuel Financier
• Judge Drops EY's German Unit From Wirecard Investor Suit
• Crypto Project Says SEC's Actions Warrant A Case Dismissal
• Aspiring Antiques Bigwig Took $6M And Fled, SEC Tells Jury
• Drug Co. Aceragen OK'd For Chancery-Overseen Liquidation
• Legal Profession Gender Parity Requires Equal Parental Leave
• Justices Weigh Limits Of Possible Ruling Against SEC Courts
• Sidley Austin's Woodbridge Work Not Free Speech, Panel Told
• Energy Investment Co. Sues Del. Investor Protection Agency
• Feds Say Ex-Lumentum Exec Should Serve Up To 6 Years
• SEC Head Accountant Flags Cash Flow Statement Concerns
• Kraft Heinz Fraudulently Won Insider Trade Suit, Investor Says
• CFTC Offers Advice For Tackling Carbon Credit Fraud
• FirstEnergy Lands Stay In Investor Suit Over Bribery Scandal
• Binance's Compliance Chief Is Optimistic About Monitorship
• AMC Stockholder Appeals Chancery 'APE' Stock Split Deal
• Pomerantz To Lead Comerica Investors In Card Oversight Suit
• Rivian Investors Seek Class Cert. In Suit Against EV Maker
• SEC Fines Adviser Over Custody Rule Violations
• Ex-FBI Trainee Cops To Trading On Covington Insider Info
• Gensler Says Coordination Possible With EU On Climate Regs
• Activist Short-Sellers Are The Dark Knights Of Wall Street
• Kristen Bell's Baby Co. Eyes $65M Early-Bidder Ch. 11 Sale
• Chinese Co. Investors Ink $4.5M Deal In IPO Disclosures Suit
• Ex-JPMorgan Banker Admits To $2.4M Embezzlement Scheme
• Core Scientific Seeks Court Nod On $77M Bitcoin Mine Buy
• SEC Tells 5th Circ. Buyback Rules Not Fixed Before Deadline
• JPMorgan Slams Indicted Execs' Subpoenas As Overly Broad
• Texas Land Co. Investors See Share-Expansion Suit Tossed
• Catching Up With Delaware's Chancery Court
• Guilty Verdict Turns Into Mistrial In Securities Fraud Case
• Investors Score Class Cert. In $480M Subway 'Exodus' Suit
• Justices Call O'Connor 'American Hero,' 'Perfect Trailblazer'
• Summit Investor Wants To Block $3.2B Deal Over Sparse Data
• Wells Fargo Ex-CEO Says Bank Stiffing Him On $34M In Pay
• SIFMA Slams States' Bid To Rewrite Broker Conduct Rules
• Former Clerks Say Justice O'Connor Still Worth Emulating
• Beauty Tech Co. Hid Compliance Issues, Shareholder Says
• Therapy Co. SPAC Investors Fight Del. Stock-Drop Suit Toss
• K&L Gates Adds ETF Firm GC To Asset Management Practice
• UiPath Brass Puffed Up Co. To Enrich Themselves, Suit Says
• Investors Say Boeing Can't Ditch Retooled 737 Max Fraud Suit
• Colo. Accuses Vacation Home Venture Of Duping Investors
• Judge's Name Botch, Age Not Grounds To Vacate, Says Judge
• 9th Circ. Ruling May Expand Short-Swing Profit Exemption
• New Regs Will Strengthen Voluntary Carbon Offset Market
• Judge Threatens SEC With Sanctions In Crypto Case
• 4 Decisions For Which Justice O'Connor Will Be Remembered
• How FinCEN's Proposed Rule Stirs The Pot On Crypto Mixing
• Off The Bench: NBA Sales, More Crypto Woes, Favre Appeal
• Justice O'Connor Shattered Barriers, Built Bridges
• Sandra Day O'Connor, First Woman On Supreme Court, Dies
• Writing Thriller Novels Makes Me A Better Lawyer