Securities Archive » November, 2024

Securities - November, 2024

339 articles

• Ex-Wamco Exec Charged In 'Criminal Cherry-Picking Scheme'
• Native Corp. Faces Default In $3.4M Stock Scam Suit
• SEC Secured Historic $8.2B Enforcement Haul In 2024
• Grayscale Seeks Win In Rival's $2M Unfair Practices Suit
• Lampert, Sears Stockholders Set Appraisal Share Faceoff
• Microsoft-Activision Atty Snubs $15M Class Fee In Del. Suit
• Broker Appeals For Pause of FINRA's 'Unconstitutional' Case
• Beyond Meat Told It's Likely To Beat Production Woe Suit
• How Crypto Cos. Can Take Advantage Of 'Mini-IPOs'
• $65M Deal In Texas Drilling Suit Gets Final OK
• Self-Driving Truck Co. Founder Sues To Regain Share Control
• Cadwalader Adds Hughes Hubbard Investigations Co-Chair
• NC Biz Owner Settles SEC's $28M Fraud Claims
• Fla. Judge Won't Toss Banker's Suit Over $1.7M Stolen Funds
• Macy's Delays Earnings Report After $154M Employee Error
• SDNY's Williams To Resign Before Trump Takes Office
• Split DC Circ. Punts On FINRA's Constitutionality
• Fox Corp., Class Battle Over Multibillion Del. Defamation Suit
• Private Cos. Seek Pre-IPO Share Sales Amid Liquidity Crunch
• Democratic SEC Member To Step Down Amid GOP Takeover
• Capital One 'Abuses' Cast Pall Over Discover Deal, Dems Say
• Class Attys Ask Court For 28% Of $2.2M Bowling Settlement
• Crypto Lobby Asks Trump, Congress To Prioritize Rulemaking
• Bondi Vowed Trump Payback. Ex-Colleagues Aren't Worried.
• Nvidia Supreme Court Case May Not Make Big Splash
• Glenn Agre Gains Longtime Foley & Lardner Litigator in NY
• Walmart Class Attys In $123M Opioid Deal Seek $24.6M Fee
• Fed Bans Ex-CEO Of Bank Felled By Crypto Scam
• Shipman & Goodwin Atty Dodges DQ In Waste Permit Case
• Taxation With Representation: Stradley Ronon, Davis Polk
• UPS To Pay SEC $45M For Improperly Valuing Freight Biz
• Adviser Charged With $2.1M Sports Star Investment Fraud
• Circus Arts Make Me A Better Lawyer
• High Court Quietly Pulls Meta Case Without A Ruling
• FDIC's 'Hot Money' Revamp Gets Bank, Fintech Cold Shoulder
• Dorsey's Fintech Co. Beats Investor's Cash App Suit, For Now
• US Strikes At Last Of Russia's Major Non-Sanctioned Banks
• SEC Denied Civil Penalties Over Pot Pill Exec's 'Inexperience'
• Chinese Co. Says It Didn't Agree To Class Arb. In $100M Claim
• FirstEnergy Investors Slam Ex-Execs' Info 'Bogeyman' Story
• Children's Place Investor Drops Suit After Counsel Rule Qualm
• Franchise Group Lenders Want End To Debtor's Ch. 11 Rights
• Forex Trader Gets 23 Years For $93M Investor Fraud
• Fed's Bowman Sees The Bright Side In Chevron's Demise
• SEC Seeks More Data On Nasdaq Plan To Speed Up Delistings
• Tempur Gave UK Co. 'Total Autonomy' Post-Merger, CEO Says
• Weed Co. Must Pay $5M To Entrepeneur In Investor Dispute
• Trump Selects Ex-Fla. AG Pam Bondi As New AG Pick
• How D&O Coverage Can Aid Against Increased AI Scrutiny
• Grayscale Says Rival In $2M Suit Misled Bitcoin Investors
• Dentons Atty Owed No Duty In $54M Currency Deal, Jury Says
• Crypto Cos. Add New Play In Their Offense Against SEC
• House Panel Seeks Info On DOL Agreements With Law Firms
• 3 Ways To Train Junior Lawyers In 30 Minutes Or Less
• New SEC 'Dealer' Rule Tossed In Win For Hedge Funds, Crypto
• SEC Chair Gensler To Step Down When Trump Takes Office
• Gaetz Ends AG Bid, Citing 'Distraction' To Trump Transition
• Chewy Investors Sue BC Partners In Del. Over PetSmart Deal
• How To Safely Leverage AI In The Digital Assets Industry
• SEC Cooperators More Likely To See Pay Reprieve In 2024
• Musk, Ramaswamy Say High Court Rulings OK Federal Cuts
• Lululemon Execs Hit With Derivative Suit Over DEI Program
• Adani Group Chairman Charged In Sprawling Bribery Case
• Ex-Pharma CEO Demands Legal Fees For SEC Probe
• 5 Charged For 'Scattered Spider' Phishing Hacks, Crypto Theft
• FDIC Says BofA Deliberately Underpaid For Deposit Insurance
• Ex-Wells Fargo Adviser Admits To Stealing $3M From Clients
• Bumble Brass Fumbled App Revamps, Investor Suit Says
• Xerox Faces Investor Suit Over 'Reinvention' Strategy
• Advance Notice Bylaw Measures Fuel Chancery Battle
• Scotts Miracle-Gro Leaders Sued Over Post-Pandemic Glut
• Wells Fargo Must Turn Over E-Docs In TelexFree Litigation
• $2.6M Deal Proposed To End Chancery Lottery.com Suit
• Hinshaw Brings On Ex-JPMorgan Counsel From Ballard Spahr
• $3B TD Bank AML Settlement Is A Wake-Up Call For All Banks
• Firms For Ohio Funds Aim To Steer ZoomInfo Investor Suit
• What Trump Presidency May Mean For Climate Reporting
• Biden Bank Regulators Punt Big-Ticket Rulemakings To Trump
• Archegos Founder Gets 18 Years For Massive Market Fraud
• Cleary Hires Milbank Atty For Capital Markets Team
• Bankman-Fried Tech Deputy Who Parsed Code Avoids Prison
• Pfizer Unit Can't Get $75M Left In Insider Trading Deal Fund
• Ex-OpenSea Staffer Says Insider Trading Verdict Must Fall
• 11th Circ. Weighs Whether Tornado Cash Sanctions Overreach
• Calif. Judge Says Crypto DAOs Are Entities That Can Be Sued
• Blood Vessel Maker Faces Investor Suit Over FDA Findings
• 10th Circ. Mulls Constitutional Challenge To Securities Orgs
• Ex-Fed Examiner Cops To Insider Trading, Settles With SEC
• Jury To Decide If Gemini's Bitcoin Statements Were False
• Dentons Atty Owed No Duty In $54M Currency Swap, Jury Told
• SEC's $196M Win Revived After Judge Fixes 'Scrivener's Error'
• 2 Firms To Rep Starbucks Investors Over 'Triple Shot' Strategy
• AI School Tech Founder Stole $10M From Investors, DOJ Says
• Shaq Reaches $11M Deal With Astrals NFT Buyers
• Cravath-Led Robinhood To Acquire TradePMR In $300M Deal
• Undefined Terms Cinch Cloudera's Win In 'Cloudy' Fraud Suit
• SEC Action Indicates Continued Focus On ESG Disclosures
• Cuban Bank Can't Block Fund's €72M Debt Claim
• FDIC's Gruenberg To Exit On Eve Of Trump's Inauguration
• The Bar Needs More Clarity On The Discovery Objection Rule
• SEC Says Bogus Heir Of Nigerian Billionaire Ran IPO Scheme
• SEC Says Calif. Atty, His Wife Stole $2.2M To Buy House
• Target Downs Investor Suit Over Inventory Glut For Good
• Judge Won't Release Kraken To Appeal Order In SEC Suit
• Justices Urged To Pass On 3rd Circ. CFPB Loan Trust Case
• Ex-AutoZone CEO Must Face $1M 'Short-Swing' Profit Suit
• Industry Group Wants Trump-Era SEC Proxy Rules Reinstated
• J&J Posts $1.17B Bond For Del. Merger Milestone Appeal
• Ex-Crypto CEO Bribe Case Unsealed As Firm Inks $10M Deal 
• Hacker's Wife Gets 18 Months For Laundering Stolen Crypto
• Mutual Fund Manager Owes SEC, CFTC $11M After Trial
• StraightPath Execs Must Face $386M IPO Fraud Charges
• SEC Sued Over FINRA's One-Day Bond Reporting Timeline
• Webtoon Brass Hit With Derivative Suit Over Post-IPO Plunge
• Chancery Consolidates 2 Musk, Derivative Damage Suits
• Operator Of Darknet Crypto Laundering Tool Gets 3 Years
• Former GE Exec Guilty Of Faking Docs In $1.1B Power Deal
• Ozy Media CEO Turns To 2nd Circ. Over Judge's Investments
• The AI Consumer Class Action Threat Is Not A Hallucination
• What's Next For The CFTC After The Election
• Big Banks Still Need To Beef Up Controls, Fed Report Says
• Jordan Says DOJ, FTC, CFTC Teed Up Actions Ahead Of Trump
• Trump's SDNY Pick A Familiar Face In Wall Street's Legal Wing
• SEC-Sanctioned Accounting Firm Sued Over Pre-IPO Work
• Venezuelan Lawyer Relied On Ex-Dentons Atty In $54M Swap
• SEC Says Risky Bond Recommendations Violated Reg BI
• 7th Circ. Takes Issue With Atty's Insider Trading Acquittal
• Kalshi Fires Back At CFTC's 'Futile' Election Betting Appeal
• Healthcare Co. PACS Made False Claims Before IPO, Suit Says
• GOP Sens. Decry 'Lack Of Urgency' On FDIC Misconduct
• Semiconductor Co. ASML Faces Suit Over Trade Downturn
• Del. Dispatch: Clarifying Charter Amendment Vote Obligations
• EV Carmaker Lucid Sued In Del. For Inflated Biz Claims
• Dogecoin Buyers Drop Bid To Revive Suit Against Musk
• SEC's Top Cop Says Election Hasn't Slowed Enforcers Down
• Hedge Fund Group Urges Trump To Reject 'Punitive' Policies
• Now 'Back To Stability,' Mass. US Atty Office Set To Ramp Up
• What's Still Up In The Air After Ruling On Calif. Climate Laws
• Investor Drops Stock Pumping Suit Against UPS
• Secure Software Co. Investor Sues In Del. For Deal Docs
• Being A Navy Reservist Makes Me A Better Lawyer
• Chinese Self-Driving Startup Pony Revs Up $180M IPO
• Bitfinex Hacker Gets 5 Years For Laundering Stolen Crypto
• Pinterest Investor Attys Get $2.5M More After Deal Monitoring
• Student Loan Servicer Wants CFPB Deal Paused Amid Appeal
• Ex-JP Morgan Rep To Stop Soliciting Clients Amid Arbitration
• Judge Presses SEC Over 'Rogue Employee' In PE Fund Fight
• Supposed AI Fund's Manager Accused Of Wire, Securities Fraud
• Hasbro's Excess Toy Inventory Tanked Stock, Suit Says
• MDL Counsel Present Deal With FTX Estate To Fla. Court
• Crypto And Private Fund Groups Push SEC On Dealer Rule
• Man Found Guilty Of Scamming NBA Players Seeks New Trial
• Split 5th Circ. Affirms SEC's Kroger Proxy Decision
• XL Fleet SPAC Suit Tentatively Settled For $4.75M In Del.
• Red State AGs Sue SEC Over Crypto Policy
• Trump Names Solicitor General, SDNY Picks
• Trump Taps His Criminal Defense Lawyer For Deputy AG
• Sports Media Co. Can't Sink SEC's $22M Fraud Suit
• Robbins Geller Tapped To Lead Software Co. Investor Suit
• Gaetz's Slim Legal Resume Raises Concerns Over AG Role
• Australia Bill Seeks To Expand Rules On Reporting Ownership
• BCLP Brings On SEC Enforcement Atty In Atlanta
• Navigating DOJ's Patchwork Whistleblower Regime
• 'We'll Leave It To Others': SEC's Gensler Hints At Exit
• ADM Compliance Head To Depart Amid Co. Accounting Woes
• So You Want To Move Your Law Practice To Canada, Eh?
• UPS Execs Swept Growth Issues Under Rug, Investor Says
• A Look At Similarities Between SOX And SEC's Cyber Rule
• Tempur Sealy Has 'Keys' To Merger, Mattress Firm CEO Says
• Saxena, Cohen Milstein To Lead Sprout Social Investor Suit
• 2 Firms Tapped To Lead French Fry Maker Investor Suit
• Republic Bank's 'Dysfunction' Enabled Its Failure, FDIC Says
• Investors Ask FCC To Review $2.4B Paramount-Skydance Deal
• 'Gist' Of Trump Media Story Was True, News Outlets Say
• FTX Prosecutors Tout Tech Chief's 'Outstanding Cooperation'
• Gaming Co. Sued In Chancery To Block Controller Moves
• PrivatBank Says Ukraine Ruling Doesn't Bar Looting Suit
• Caitlyn Jenner's Crypto Venture Hit With Investor Suit
• Judge To Confirm Ambri Ch. 11 Wind-Down Plan
• Justices Puzzled By Nvidia's Position In Investor Case
• Biotech Brass Misled Investors About Cancer Drugs, Suit Says
• SEC's Uyeda Says Limits On Private Funds Need Review
• Trump Rollback Of Biden Enviro Policies: What To Expect
• Connecticut Banking Dept. Can Fine Legal Funder, Judge Says
• Class Actions At The Circuit Courts: November Lessons
• Fla. Judge Tosses Law Firm Investor's Derivative Suit
• Trump Taps DOJ Critic Matt Gaetz For Attorney General
• 5 Areas Congress May Investigate After GOP Election Wins
• Online Car Financing Co. Vroom Crashes Into Ch. 11
• Gibson Dunn 'Titan,' Ex-Solicitor General Theodore Olson Dies
• Ex-FDIC Head Urges Banks To 'Push Back' Against Examiners
• Trump Taps Elon Musk To Head New 'Gov't Efficiency' Dept.
• FTX Targets Scaramucci, PACs, Law Firm In Wave Of Suits
• Celsius' Mashinsky Must Face Full Indictment, Judge Says
• Businessman Blames Dentons For Failed $54M Currency Swap
• 'Pig Butchering' Crypto Ploy Launderer Cops To $73M Scheme
• Fed Bans Ex-Bank Leaders Over Alleged COVID Relief Fraud
• Deloitte Must Face Certified Class Over Nuclear Audit Reports
• SEC Quietly Shelves Private Fund Rules After 5th Circ. Loss
• SEC, SolarWinds Walk Away From Settlement Talks
• Elanco Pays $15M SEC Fine To Settle Sales Incentive Claims
• Weedmaps Execs Named In Derivative Action Over SEC Fine
• Tempur Sealy Merger 'Surprisingly Bold,' Competitor Testifies
• Peru Agrees To Pay Hedge Fund $40M To Settle Bond Dispute
• Hertz Investors Urge Chancery Not To Toss Stock Warrant Suit
• Truth Social Sponsor's Shares Mostly Gone, Del. Court Told
• Chipotle's Portions Are Eating Away Profits, Investor Suit Says
• Trump's 2nd Term May Be A Boost To Banking Industry
• Trump's 'Pro-Business' Agenda Could Be A Boon For M&A
• Former FTX Top Atty Joins Lowenstein Sandler In NY
• Deloitte In-House Atty Joins Foley & Lardner In LA
• Why K-Cup Claims Landed Keurig In Hot Water With SEC
• FTX Sues Binance, Former CEO Zhao Seeking $1.8B Clawback
• High Court Turns Away Appeal From 'Insider' Hedge Fund
• Legislation Most Likely To Pass In Lame Duck Session
• 'Extraordinary Person' Gets 12½ years For Crypto Laundering
• Telefónica Venezuela Unit To Pay $85.3M To End FCPA Probe
• Insurer Ignored Sex Harassment And Rampant Fraud, Suit Says
• Fla. Apparel Distributor Sues Gap Over $378M Bait-And-Switch
• Meet The Attys Arguing Nvidia Securities Case At High Court
• Up Next At High Court: Self-Deportation Deadlines & Murder
• Invesco To Pay SEC $17.5M Over Misleading ESG Statements
• Shaq Reaches Settlement With Astrals NFT Buyers
• NFT Buyers Drop OpenSea Suit In Face Of Arbitration Demand
• SEC Sues Ex-Fed Examiner For Insider Trading On Bank Stocks
• Pot Co. Employees Accuse Billionaire Owner Of Fraud
• Investors Duped By Opportunity Zone Promises, Colo. Says
• Predicting Shareholder Activism Trends In New Trump Admin
• What Trump's 2nd Presidency Could Mean For Crypto Sector
• FTX Investment Firm Seeks Return Of $11M In Crypto Assets
• Putting NYDFS AI Cybersecurity Guidance Into Practice
• Promoting Diversity In The Selection Of ADR Neutrals
• Ex-Celsius CEO OK'd To Seek Testimony From Abroad
• Super Micro Top Brass Face Suit Over Governance 'Red Flags'
• Ill. Judge Anticipates 'Massive' Outcome Investor Restitution
• Chancery Mulls Stay, Toss Of SPAC Suit Pending NJ Ruling
• JPMorgan Sues Adviser Who Jumped To Morgan Stanley
• Vanguard Investors Ink $40M Settlement In Tax Liability Suit
• Car Dealer To Pay $5.8M To Investors Over Pot Stock Scheme
• FINRA Orders Ga. Broker To Pay $2M Over Trading Strategy
• Truth Social Tipper Gets 28 Mos. In Trump SPAC Insider Case
• Fed Chair Powell Says He Won't Step Down If Trump Asks
• Colo. Says Man Sold $3M In Unregistered Securities
• Investors Accuse Truth Social SPAC's Ex-CEO Of Stock Theft
• FINRA Grants Client Poach Injunction To TD Bank
• Playing Ultimate Makes Us Better Lawyers
• 'Where Have You Been?' Conn. Judge Asks About Late DQ Bid
• Shook Hardy Adds Former Assistant Illinois AG
• BCLP Adds Former AUSA, FINRA Lawyer In San Francisco
• Dissecting New Circuit Split Over SEC's Proxy Adviser Rule
• Investors Want Final Approval Of $3.6M Global Payments Deal
• Former Delaware DOJ Attorney Joins Chancery As Magistrate
• Trump's SEC Expected To See 'Dramatic' Enforcement Change
• FTX Exec Looks To Avoid Prison For 'Smallest Share' Of Crime
• LGBcoin Trustee Can't Get SEC Subpoena Stayed Amid Appeal
• 9th Circ. Says No New Trial For Tesla Investors' Suit
• SEC Moves To Ax Key Defenses In Kraken Crypto Fraud Row
• SEC's Gensler Faces Group's Call To Resign After Trump Win
• Customers Look To Preserve Lead Class Action Against AT&T
• Automation Co. UiPath Beats Some Shareholder Claims
• Stifel Balks At CFTC Offer To Settle Text Messaging Case
• Justices Eye Narrowing Disclosure Rules In Meta Investor Suit
• Tempur Sealy, Mattress Firm Ask Court To Pause FTC Case
• Insurers Urge Del. Justices To Reverse Drug Co. Policy Ruling
• Coinbase, CFTC Reach Discovery Agreement For SEC Case
• FINRA Fines Firm Over Lax Real Estate Investment Diligence
• E-Discovery Quarterly: Recent Rulings On Metadata
• Extradited Fund Manager Denies Stealing $3.4M In Conn.
• Ex-GE Exec Called 'Innocent Victim' In $1.1B Forgery Trial
• Parsing SEC's Emerging Trend Of Section 204A Enforcement
• What Trump's Return Means For Bank Regulation: 5 Questions
• Trump's Win Expected To Pare Back Gensler's SEC Agenda
• Trump Has Official Immunity. What About His Aides?
• How Trump Can Quash His Criminal Cases
• An Early Look At Trump's Supreme Court Shortlist
• GOP's Senate Win Hands Future Of The Judiciary To Trump
• The Firms With An Inside Track To A New Trump Admin
• Trump Media Reports $19M Quarterly Loss On Election Day
• SEC Beats Stockbroker Challenge To BSA Enforcement
• FTX Says Convicted Former Exec Must Cough Up $99M
• Lululemon Brass Face Derivative Suit Over Inventory Issues
• SEC Risk Alert Flags Investment Fund Oversight, Disclosures
• Groups Lose Early Bid To Undo Calif. Climate Disclosure Laws
• Binance Says New SEC Complaint Suffers Same Old Flaws
• Bright Health Beats Investor Suit Over COVID-19 Costs
• Alerus Financial Can't Escape DOL's Stock Valuation Suit
• SEC Rulemaking Radar: The View From Election Day
• Why Secured Lenders Must Mind The Gap In UCC Searches
• New Fortress Energy Faces Investor Suit Over Outlook
• Glazer Sues In Del. For Appraisal In $7.2B Squarespace Deal
• Emerging Cos. Pro With SEC Background Returns To Latham
• On The Ground: How Attorneys Safeguarded The Election
• UK Stock Pumper Admits To $100M Market Manipulation Rap
• Full 4th Circ. Asked To Hear Fraud Witness, Jury Issues
• SEC Must Prep For Legal Challenges To Regs, Watchdog Says
• Security Tech Co. Evolv Misled Shareholders, Suit Claims
• Robinhood Users Denied Class Cert. In Order Flow Suit
• BofA Unit Escapes Trading Firm's Spoofing Suit For Now
• Binance Says Lawsuit Can't Connect It To Terrorism Finance
• Ex-Dentons Atty Botched $54M Currency Deal, Jury Told
• SEC Dings Adviser For Improper Athlete-Endorsed Ads
• FINRA Fines Morgan Stanley $1M For Controls Violations
• Late New Evidence Can't Revive Investor Suit, Judge Says
• Errors Lower Fee Award For Athira Pharma Investors' Counsel
• Crypto Industry Hopes Election Will Bring SEC Shake-Up
• Nextdoor Inc. Investors Sue After De-SPAC Stock Drop
• Coinme Crypto ATMs Suspended By Conn. Banking Chief
• Vista Equity Sued In Del. Over Ad Tracking Co. Insider Trades
• Recent Developments In Insurance Coverage For FCA Claims
• A Look At Grewal's Record-Breaking Legacy After SEC Exit
• Haynes Boone Hires 3 More RE Attys From Holland & Knight
• Womble Bond Hires Nelson Mullins Corporate Partner
• Feds Slam Ozy Media CEO's 'Last-Ditch' Effort To DQ Judge
• Striking A Balance Between AI Use And Attorney Well-Being
• Vitamin Shoppe Owner Hits Ch. 11 After Take-Private Deal
• US IPO Activity Hits Standstill As Election Takes Center Stage
• Insurance Industry Impacts If DOL Fiduciary Rule Is Revived
• Justices Won't Take Up ESOP Trustee's Push For Arbitration
• 'Mutant Ape' NFT Developer Avoids Prison For 'Rug Pull'
• Meet The Attys Arguing Meta's High Court Disclosure Suit
• USCIS Moves To Toss Regional Centers' EB-5 Guidance Fight
• 'Razzlekhan' Asks For Time Served For Role In Crypto Hack
• Manufacturer Says Atty Turned Tiff Into 'Slow Motion Disaster'
• Crypto Co. Gemini Teed Up For CFTC Trial After Appeal Denied
• 2nd Circ. Won't Revive Warner Bros. Discovery Merger Suit
• Crypto Co. CoinShares Appoints Citadel Alumna As GC
• Law Profs Urge Del. Reversal Of Chancery's Moelis Ruling
• Del. Chancellor To Issue Musk Pay Suit Ruling By Year's End
• Cross River Bank Drops Contract Suit Against Fintech Biz
• Blockchain Gaming Co. Immutable Says SEC May Bring Suit
• Rent The Runway Wants Redo On Investor Suit Exit Bid
• 4 Appellate Arguments Benefits Attys Should Watch In Nov.
• Blockchain Coinvestors SPAC To Dissolve With No Biz Combo
• Up Next At High Court: Fed Funds And Securities Risks
• Capital One Says CFPB Eyeing Case Over Savings Accounts
• Empathy In Mediation Offers A Soft Landing For Disputes
• A Look At The Increased Scrutiny Of Cash Sweep Programs
• Up To $755M Added To AZ Scuttled-Drug Damage Claim In Del.
• Being An Artist Makes Me A Better Lawyer