Securities Archive » December, 2024

Securities - December, 2024

275 articles

• Ex-Pharma Exec Charged With $38M Insider Trading Scheme
• Fugees Star Says He's Not Like Madoff As Sentencing Nears
• House Report Says Gaetz Paid For Sex, Accepted Gifts
• SEC's Dealer Rule Loss Is A Lesson To Regulators, Atty Says
• TD Bank, Boeing And Medicare: Compliance Headlines In 2024
• Argentina Asks Justices To Review Bondholders' $310M Win
• Binance Investors Seek To Update Suit After Federal Charges
• A Look Back At 2024's Major Securities Litigation Moments
• Suit Slams SEC's Use Of 'Career Death Penalty'
• Crypto Trading Co. To Pay SEC $123M Over Terraform Claims
• Wells Fargo, LPL Financial Fined $3.6M For Bad Trading Data
• Deutsche Bank Unit To Pay SEC $4M For Untimely SARs
• SEC Sues Silver Point Over Atty's Receipt Of Nonpublic Info
• Edward Jones, Others To Return $8.2M To Mutual Fund Clients
• SEC Fines Entergy $12M Over Alleged Accounting Errors
• How White Collar Enforcement May Shift In Trump's 2nd Term
• COP29 Offers Pathway To A Global Carbon Market
• Trump Transfers $4B Equity Stake In Media Startup To Trust
• New Trump Admin May Bring Financial Oversight Turbulence
• The Justices' Securities Rulings, Dismissals That Defined '24
• Fixing Up Cars Makes Me A Better Lawyer
• Aviation Co. AAR To Pay $55M Over Alleged Bribery Schemes
• Atkins-Tied Crypto Group Lays Out Its Priorities For New SEC
• SEC Nabs $5M Judgment In Elder Fraud Case Against Adviser
• Ex-Biopharma Exec Settles SEC Insider Trading Claim
• CFTC Urges 7th Circ. To Uphold $231M Crypto 'Ponzi' Penalty
• 'Hawk Tuah' Memecoin Promoters Sued Over Crypto Flop
• UBS Unit To Pay $3.5M Over FINRA Preferred Stock Claims
• Father-Son Duo Admit To $100M Fraud Targeting NJ Deli
• Mining Co. Wants Out Of Investor Suit Over Turkey Landslide
• Biotech Co. Hid Eye Drug's Safety Risks, Investor Says
• The Spiciest Quotes Heard In Mass. Courts In 2024
• Medical Device Investors Get Final OK On $15M Deal
• 2024 Has Been A Momentous Year For ESG
• Making The Pitch To Grow Your Company's Legal Team
• The Story Of 2024's Biggest Bank Regs, And Their Fate In 2025
• Musk Pay Fight Shows Investor Approval Isn't Universal Cure
• Genworth Can Get Docs Explaining Atty's Role Amid Sale Row
• Data Privacy Landscape After Mass. Justices' Wiretap Ruling
• Compliance Lessons From Raytheon's FCPA Settlement
• Del. Justices Affirm Toss Of Co.'s Suit Against Gusrae Kaplan
• Pharma Trial Consultant To Pay SEC $3M Over Insider Trading
• Ex-US Rep. Urges 2nd Circ. To Nix Insider Trading Conviction
• Split 9th Circ. Backs 46-Month Prison Term For Stock Pumper
• Charles Schwab Says Ex-Employee Stole Client Info
• OCC Orders 'Comprehensive' Remedial Action For USAA Bank
• BiT Global Loses Bid To Block Coinbase Delisting In $1B Suit
• Vaxart Investors Win Class Cert. Over COVID Shot On 2nd Try
• FDIC Moves Closer To Suing Ex-Brass Of Silicon Valley Bank
• NFL Union Rips DraftKings' Dismissal Try In Licensing Suit
• Divided SEC Approves PCAOB's $400M Budget
• EY Accused Of Aiding Energy Firm's SPAC Fraud
• Justices Rightly Corrected Course In Nvidia And Facebook
• Gov't Scrutiny Of Workplace Chat Apps Set To Keep Growing
• Insurance Co. Buyer Accuses Seller Of Fraud In Chancery Suit
• Del. Dispatch: The 2024 Corporate Cases You Need To Know
• The Biggest 1st Circ. Rulings Of 2024
• Top 10 Whistleblowing And Retaliation Events Of 2024
• GOP Hill Leaders Pledge To Prioritize Crypto Bills Next Year
• BDO Asks 2nd Circ. To Rethink AmTrust Investor Suit Ruling
• CORRECTED: Ineligible Calif. Securities Atty Accused Of Tax Crimes
• Del. Justices Won't Revive Investors' $2.4B EV SPAC Deal Suit
• TelexFree Victims Seek Class Cert. Over Ponzi Losses
• Broker, AML Chief Settle SEC Suspicious Activity Claims
• SEC, CFTC Members Eye Crypto Coordination Under Trump
• Alcohol Co. Sued Over Biz Hangover After COVID Lockdowns
• SEC Says Express Didn't Disclose $1M In Ex-CEO Perks
• Hunton Adds Ex-Flagstar Atty To NYC Office
• Drug Co. Investor Sues In Del. Over $140M Insider Windfall
• Asset Manager Gets 2½ Years For Role In $1.2B PDVSA Scheme
• When US Privilege Law Applies To Docs Made Outside The US
• Express Inc.'s Post-Sale Ch. 11 Liquidation Plan Approved
• Changes To Expect From SEC Under Trump Nominee
• Executive Orders That Could Affect Financial Services In 2025
• Circuit-By-Circuit Guide To 2024's Most Memorable Moments
• BNY Scores Exit In Mutual Fund Conflict Of Interest Suit
• Ginkgo Bioworks Investors Get Final OK Of $17.8M Settlement
• Split SEC Will Require Certain Filings Be Made Electronically
• Texas Bitcoin Mining Enterprise's Investors Accuse It Of Fraud
• 'Plans Do Matter,' Tempur Sealy Says In Final Merger Hearing
• Judge OKs Par Funding Receiver's Plan To Distribute $110M
• Chinese Fintech 9F Partially Beats Investors' IPO Suit
• Global Payments' $3.6M Investor Deal Gets Judge's Final OK
• Becton Dickinson To Pay SEC $175M Over Pump Claims
• Anchorage Digital Awarded BitLicense From NY Regulator
• SEC Says Colo. Nonprofit Flouting Probe Into Potential Fraud
• SEC Wants Out Of PE Firm's 'Fishing Expedition' Suit
• Investment Pro Denies $600M 'Cherry-Picking' Fraud Charges
• 'Minimal Participant' Bar Is Tough To Clear For Whistleblowers
• Ozy Media CEO Gets Almost 10 Years For Investor Fraud
• 2024 IPO Market Trends, And What To Expect Next Year
• Justices Won't Hear 3rd Circ. CFPB Student Loan Trust Case
• Coinbase Faces $1B Antitrust Suit Over Crypto Rival's Delisting
• Medical Device Co. Brass Hid SPAC's True Value, Suit Says
• Canadian Gold Mining Co. Beats Investor Suit Over M&A Plans
• Advocacy Group Has Change Of Heart On SEC Reg Challenge
• Labaton Keller To Lead ZoomInfo Investor Class Action
• SEC Sued In 9th Circ. To Move On Accredited Investor Petition
• Del. Chancellor Positions Musk Pay Fight For Likely Appeal
• SEC's Corporation Finance Director Gerding To Step Down
• Pharma Co. Brass Face Investor Suit Over Drug Trial Probe
• Insurer Argo Beats Investor Suit Over Reserve Estimate Risks
• $15M Deal To End Hemisphere Media Merger Suit OK'd In Del.
• Auto Mogul Must Turn Over Note Info In $127M Collection Row
• Silvergate Bank Slams Stockholder's Bid To Take Over Ch. 11
• Impact Of Corporate Transparency Act Ambiguity On Banks
• A Look At SEC, CFTC's Record Year For Whistleblower Awards
• What 2024 Trends In Marketing, Comms Hiring Mean For 2025
• Mich. Cos. Accused Of $1.5M Dispensary Investment Scam
• Expect Continuity In 2025 Anti-Money Laundering Policy
• Cantor Fitzgerald To Pay SEC $6.75M Over SPAC Disclosures
• Payments Co. Marqeta Faces Investor Suit Over Growth Woes
• Incora's Opt-Outs Not Like Class Actions, US Trustee Says
• SEC Fines Investment Co. For Adviser's Cherry-Picking Scheme
• Bitcoin Investor Gets 2 Years For Tax Fraud In Landmark Case
• SEC Will Be GOP-Only Without Crenshaw's Vote, Groups Warn
• Ch. 7 Trustee Must Explain $200M Holdback Bid, Court Told
• Pharma Co. Says Federal Court Must Weigh Atty Fee Bid
• Fla. Judge Awards $114M To Crypto-Forex Exchange Investors
• TD Bank Sued Over AML Controls After Ex-Employee's Arrest
• 5 Notable Anti-Money Laundering Actions From 2024
• Alpine Ruling Previews Challenges To FINRA Authority
• Holland & Knight's Latest Corporate Atty Joins From WilmerHale
• Group Running Makes Me A Better Lawyer
• 5th Circ. Tosses SEC's OK Of Nasdaq's Board Diversity Rule
• PE Fund Made Investments In 'Worthless' Startup, Suit Says
• SEC Must Revisit $23M Demand In Collectibles Fraud Case
• Ex-Telecom CEO Charged With Insider Trading On His Own Firing
• Palo Alto Networks Seeks Exit From Investors' 'Vague' Suit
• Tesla Stockholder Contests $345M Musk Pay Fight Fee In Del.
• CFTC Wraps With Last Defendant In IcomTech Crypto Ponzi
• Trump Media Fights Stay Of Fla. Suit In Investor Dispute
• SEC Sues Disbarred Calif. Atty And Son For Securities Fraud
• DC Judge Enforces $325M Arbitral Award Against Argentina
• Nigerians Impersonated US Brokers For $3M Scam, Feds Say
• Strategies For Home Equity Investment Providers In 2025
• How White Collar Defense Attys Can Use Summary Witnesses
• Del. Bar Urged To Push Back On Musk's Chancery Criticism
• Ozy Media Ex-CEO's Atty Seeks More Time Or OK To Quit
• Connell Foley Faces DQ Bid In Investment Firm's Bias Suit
• 6 Changes I Would Make If I Ran A Law School
• Former SEC Unit Chief Joins Gibson Dunn In NY
• The Current State Of Play Around Corporate Transparency Act
• CFPB's Chopra Won't Head For Exit Ahead Of Trump's Arrival
• Justices' Cold Feet On Nvidia, Meta Leaves Attys Guessing
• Md. Jury Convicts Ex-Biotech Execs On Some Fraud Counts
• Bristol-Myers Said To Renege On $450M Milestone Promise
• Robinhood Seeks Arb. For Remaining Meme Stock MDL Suits
• SEC Says Ex-Rep Defrauded Investors With Short-Term Bets
• SEC Outlines Municipal Adviser Exam Process
• Chancery Awards Ajamie $13M In Cell Partnership Fight
• Pastor Targeted Churchgoers In $6M Crypto Fraud, CFTC Says
• 4th Circ. Casts Doubt On Broker's FINRA Challenge
• SEC Says Xtreme Fighting CEO And GC Defrauded Investors
• Crypto Groups Rally Against Reappointing SEC's Crenshaw
• Implications Of NY Climate Case For Generating Facilities
• Using Data To Inform Corporate Disclosure Decisions
• How White Collar Attys Can Use Mythic Archetypes At Trial
• Soft Landing For Pilot As Billionaire's Insider Case Wraps
• Firms Still Have The Edge In Lateral Hiring, But Buyer Beware
• Trump Media Investors Urge Stay Denial In Del. Suit
• Akin Gump 'Totally Messed Up' With Texts, Vaxart Judge Says
• Blockchain Co. IP Fight With Investment Firm Teed Up For Trial
• Morgan Stanley Pays SEC $15M Over Theft By Ex-Reps
• Satellite Co. Sued In Del. For Docs After $450M Merger
• Feds Says Colo. Man's Investing Scheme Fleeced Pro Athletes
• MIT Grads Say $25M Crypto Fraud Charges Not Rooted In Law
• SocGen Unit To Pay FINRA $950K Over Fingerprinting Lapses
• 5th Circ. Crypto Ruling Shows Limits On OFAC Authority
• Facebook Execs Deny Email Breach Harm In Del. Hearing
• EV Carmaker Lucid Wants To Shed More Of Inflated Biz Suit
• SEC's Trading And Markets Director Zhu To Leave Agency
• Risk Disclosure Issue Remains After Justices Nix Meta Case
• Feds Seek 2-Year Sentence In Landmark Crypto Tax Case
• Think Like A Lawyer: 1 Type Of Case Complexity Stands Out
• SEC Says Market Forecaster Ran Biotech Pump-And-Dump
• Allianz Exec Avoids Prison For $7B Investor Fraud
• Life Insurance Investments Aren't Securities, 9th Circ. Told
• How Paul Atkins' Last SEC Term Might Shape Agency's Future
• Boeing Shareholder Attys Intervene In Parallel Chancery Suit
• Barclays Investors Get Initial OK For $19M Overissuance Deal
• Two Firms To Rep CVS Investors In Benefit Unit Losses Suit
• Merrill Lynch Can't Beat Stock Loan Class Cert. Bid
• FTX Says Three Arrows Can't Add $1.5B To Ch. 11 Claims
• CFTC Tells DC Circ. Election Bets Turned Kalshi Into 'Casino'
• $29.75M Deal Proposed To End Del. Latch Inc. SPAC Suit
• FTX Exec's Sentencing Shows Pros And Cons Of Cooperation
• SEC Custody Rule Creates Crypto Compliance Conundrum
• Senate OKs Bill To Ease SEC Reporting Regs On Rural Telcos
• AI Hype Won't Wash With Canadian Securities Regulators
• Nelson Mullins Latest Firm To Add Gov't Investigations Talent
• 4 Big Developments In ERISA Cases From 2nd Half Of 2024
• Freshfields Adds 2 Corporate Laterals In Silicon Valley
• Think Like A Lawyer: Note 3 Simple Types Of Legal Complexity
• 9th Circ. Open To Reviving Snap Stock Suit Over Privacy Tools
• Jane Street Ends Trade Secret Fight With Rival Investing Firm
• Trump Taps Musk Ally David Sacks As 'AI & Crypto Czar'
• Man Cops To $3.5M 'Cryptojacking' Scam Against Cloud Cos.
• CFTC Flags AI Compliance Obligations In New Advisory
• Software Co. Five9 Sued After Surprise Guidance Slash
• Investors Sue Pegasystems In Corporate Espionage Case
• SolarEdge's CEO, CFO Can't Escape Securities Lawsuit
• SEC Says Binance's Platform Is 'Integral' To Securities Claims
• DOL Says Court Erred In Tossing ESOP Claims Against Exec
• Gov't Efficiency Push Is A 'New Day,' House Speaker Says
• FINRA Fines Firm $900K Over SPAC Underwriting Fee Issues
• Abbott Accused Of 'Last-Ditch Effort' To Halt Formula Suit
• Sports Collectibles Exec Gets 51 Months For Investment Fraud
• FTX Clawback Deal With Ex-Alameda Co-CEO Gets Court Nod
• What Insurers Need To Know About OFAC's Expanded FAQs
• McKinsey Unit To Pay $123M Over South Africa Bribe Scheme
• Rethinking Clawback Policies For 2025 Compensation Season
• Gardening Makes Me A Better Lawyer
• Federal Embrace Of Crypto Regs Won't Lower State Hurdles
• Target Can't Escape Investors' Pride Month Merch Suit
• Rep. Hill Vows To Tackle Crypto 'De-Banking' In Next Congress
• 'Side Deal' Unlikely To Ax Fees In $10M Morgan Stanley Deal
• SEC Scores $13M Default Judgment In Data Co. Insider Action
• GAO Finds Limited Oversight, Data On Crypto In 401(k)s
• Mich. Justices Doubt Shareholder Agreement Bars Debt
• PCAOB Boots Audit Firm, Partners Over Altered Documents
• CFTC Hits $17.1B Enforcement Record With FTX-Linked Deals
• 5th Circ. Probes $8M Payout For Allegedly Undelivered Services
• Starbucks Brass Face Derivative Suit Over 'Reinvention' Flop
• Developer, Michigan Differ On State, Federal Securities Tests
• SEC Prioritized Enforcement Sweeps As Cases Slowed In '24
• Uber Investors' Attys Awarded $58M In $200M IPO Suit Deal
• SEC Taps New Co-Leaders For Crypto Enforcement Unit
• Wells Fargo Wants Suits Over $300M Scheme Tossed
• Equitable Mootness Insights From Greenlit Ch. 11 Plan Appeal
• Viks' Bid To Duck Bank May Hinge On Norway Orders
• Del. Justices Skeptical $2.4B SPAC Deal Misled Investors
• Litigation Inspiration: Reframing Document Review
• Legal Clouds Part For 2 Who Assisted In Cannabis Fraud Case
• Pot Co. Investors Get Another Shot At Securities Suit
• Crypto Groups Hail Trump's SEC Pick Paul Atkins
• Steptoe Vet Will Lead Troutman Pepper's Sanctions, Trade Group
• Calif. Trading Instructor Gets Prison For $2M Investment Fraud
• Top Ex-SEC Officials Warn Of Enforcement Upheaval
• Investor Attys Seek $6.6M Cut Of $20M Metal Price-Fixing Deal
• Crypto Co. Hut 8 Wants Out Of Merger Disclosure Investor Suit
• Customers Bancorp Hid AML Shortcomings, Investor Suit Says
• Coinbase Says It Won't Use Firms That Hire Crypto Enforcers
• Del. Justices Mostly Uphold Mindbody Merger Suit Ruling
• Unit Of World's Largest Bank Avoids SEC Penalty In Cyber Case
• SEC Says Biopharma's Cooperation Helped It Avoid Penalty
• ZoomInfo Brass Face COVID Customer Loss Derivative Suit
• Chancery Orders Revenue Trust For Healthcare Co. 'Poaching'
• Judge Denies News Orgs. Bid To Unseal FTX Customer Names
• 2 Cases Show DAOs May Face Increasing Legal Scrutiny
• Attys For Sears Ex-CEO, Appraisal Camp Clash In Chancery
• 4 Mass. State Court Rulings You May Have Missed In Nov.
• Former FirstEnergy CEO Rips SEC's 'Belated' Suit Against Him
• Fla.'s 'Mother Teresa' Gets 20 Years For Ponzi Scheme
• Robotics Co. Hit With Investor Suit Over Accounting Errors
• 'Bitcoin Jesus' Calls $48M Tax Dodging Case Unconstitutional
• Judge Suspects Citigroup 401(k) Suit May Unnerve Fiduciaries
• Celsius Founder Cops To Fraud That Sunk $25B Crypto Lender
• Norton Rose Names US Corporate, M&A And Securities Head
• Metropolitan Commercial Bank Aided Voyager Fraud, Suit Says
• SEC, Ill. Lender Reach $4M Deal Over Failure To Register
• SEC Crypto Cases To Face Review Under Trump
• Investor Alleges Medical Device Co. Misled On FDA Clearance
• Bipartisan Bill Calls For AI Studies From Financial Regulators
• Chancery OKs $21M Deal To End Gene Co. Class Suit
• SEC Taps Former Crypto Chief To Head Litigation Efforts
• Top Promoter Of $58M IcomTech Crypto Ponzi Gets 10 Years
• Funds Get $30M Payout From SEC's Fight With Fugitive Trader
• JPMorgan, Tesla Agree To End $162M Suit Over Musk Tweet
• How Boards And Officers Should Prep For New Trump Admin
• Chancery OKs $345M Fee Award For $55B Musk Pay Fight
• Freshfields Lands Onetime SEC Acting Enforcement Head
• EB-5 Visa Scam Suit Against Fla. Immigration Atty Ends
• Australia Passes Public Country-By-Country Reporting
• Ex-Palo Alto Engineer Fights Fraud Conviction At 9th Circ.