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Banking - November, 2006
142 articles
- Kroes To Exchanges: Shape Up Or Face Regulation
- The "Tools At Hand" Fail To Get The Job Done: The Court Of Chancery Denies Request Of Hedge Fund To Inspect Books And Records
- Former Broker Still Unhappy With Merrill's Offer
- SEC Keeps Brokers In Line With New Soft Dollar Rules
- Court Chastises Bond Lawyer In Ruling
- FMF's Shareholders Garner $28M CAN Settlement
- Grasso Appeals For Jury Trial
- French Court Seals Ex-BAWAG CEO's Fate
- SEC Sues Men Indicted In Life Insurance Scheme
- Smith Barney Sex Discrimination Case Grows
- SEC, CFTC Talk Collaboration
- Sky Capital Files $300M Complaint Against NASD
- Refco Trustee Wants Certain Attorneys' Fees Held Back
- Judge: Hedge Fund Manager To Be Jailed For Contempt
- Korean Court Mulls Arrest Of Ex-Official
- JP Morgan Appeals $3.5M Transaction Fee Decision
- Judge Denies Insurers' Motion To Dismiss Katrina Suits
- NYSE, NASD Agree To Create Single Regulator
- Court Bounces Judge Behind 6-Year Contempt Term
- Cytosol Accosts Chubb For Insurance Money
- NASD Arbitrators Award Investment Banker $250K
- Supreme Court To Hear Wachovia Case
- Northwest Flies High With $779M Refinancing
- Trading Cos. Settle Suit Over Singapore Employees
- Ackermann To Pay €3.2M To Settle Mannesmann Case
- Lone Star Gives Up On Bank Sale
- J.P. Morgan Coughs Up $2.2M To Settle EEOC Case
- Muslim Charity Takes On Comerica
- Refco Unit Bids To End Dispute Over $201M Loan
- Parmalat Cases Stayed
- Fannie Mae To Share Patented Lending Technology
- Global Power Scores $85M DIP Loan
- Broker Agencies Tussle Over Electronic Trading Tool
- FBR Squares Dispute With CompuDyne
- E.U. Probes Austrian Aid To BAWAG
- JPMorgan Settles Disability Claims
- Appeals Court Upholds Most Of Decision In Fraud Case
- AMEX, SEC Close To Settlement: Sources
- Upcoming Trial Adds To Deutsche Bank's Woes
- Bank of America Dodges $1.6B Bullet
- Refco Unit Trustee Wants To Distribute $1.3B
- Ex-LendingTree Exec Settles Insider Trading Charges
- Morgan Stanley Settles Allegations It Led Firm To Ruin
- Fired Trader Seeks C$100M From Bank of Nova Scotia
- Canadian Investor Pleads Guilty To Money Laundering
- Senate Wants Answers On Hedge Fund Regulation
- Ex-Capital One CFO Settles Insider-Trading Charges
- Brokers May Testify In State Agency Bribery Trial
- Lone Star, KEB Indicted In Stock Manipulation Probe
- Judge Thaws Frozen $91M For Castro's Victims
- U.S. Trust Deal Brokered By Wachtell, Howard Rice
- Interstate Bakeries Seeks More Time To Appoint Board
- Biovail CEO Tries To Muscle Back Into Bankruptcy Case
- Case Moved On Merrill V. Dabit Precedent
- E.U. Mulls Legality Of BAWAG Bailout
- FBI Seizes Investment Broker Records Across The U.S.
- Firm Can Keep $120M Investment In Distressed Co.
- Cox Says SOX Updates On The Horizon
- The Potential Applicability Of Fraudulent Transfer Law To Contemporary Business Transactions
- Korean Court OKs Arrest Of Two Lone Star Execs
- Bank of America Unhappy With Adelphia's Ch.11 Plan
- Index War Escalates With Suit Against ISE
- FSA Subpoenaed Regarding GIC Bid-Rigging Probe
- Spitzer Files Market-Timing Suit Against Hedge Funds
- Former Exec Settles Pay Dispute With Fannie Mae
- Legal Woes Pile Up For Refco Ex-CEO Bennett
- Second Lien Group Takes Issue With Dura's DIP Loan
- KPMG Tax Shelter Trial Stalls Over Legal Fees
- Ex-Deutsche Bank Exec Accused Of Stealing $13M
- Stock Analyst Arrested In $5M Fraud Scheme
- Holders Name 13 Private Equity Firms In Antitrust Suit
- Grasso Seeks To Postpone Day Of Reckoning
- Democrats Push For Retail Bank Legislation
- Critics Deny Collusion Among Private Equity Firms
- Judge Hits Plaintiff With Landmark $1.2M Sanction
- Parella Weinberg To Acquire Restructuring Firm
- Judge Upholds Arbitration Award Against Cigna/ACE
- Refco FX Accused Of Not Returning Investment Profits
- Internet Advocacy Group Asks SEC To Stay NYSE Fees
- KeyBank Exec Charged With Embezzling $29M
- Washington Mutual Pays $47M To End Comerica Suit
- Finova Asks To Reenter Chapter 11
- Appeals Court Dismisses Retaliation Suits Against Citibank
- Wells Fargo Subsidiary May Get Dropped From Suit
- Judge Sides With Cybersettle In Patent Dispute
- Appeals Court Reinstates AmEx Securities Suit
- Bayou Settles With Investor Over False Profits
- Family Sues Wal-Mart, MetLife Over Denial Of Benefits
- New Zealand Takes Action Over Interchange Fees
- New York Court Bounces Suit Against Deutsche Bank
- Supreme Court Pressed To Take On IPO Case
- Judge Rejects Banks' Appeal In Parmalat Matter
- Former Stockbroker Sentenced To Prison For Theft
- Trustee Objects To Certain Refco Claims
- SEC: Hedge Fund Operator Ripped Off Millions
- NextCard Execs Settle Charges With SEC
- Hospital Co. Settles Shareholder Suits Over Merger
- Judge Approves Credit Card Cos. Settlement
- Hartford Units Put Up $55M To Settle SEC Charges
- OFHEO Forced To Turn Over Fannie Mae Documents
- Sky Capital's Parent Opens Probe After FBI Visit
- Judge Tosses Lloyd's Of London Investor Class Action
- UnionBanCal Scrutinized For Mutual Fund Payments
- Privacy Ombudsman Appointed In Refco Case
- Off the Sled, And Out Of Court As Well?
- Global Power's Bid To Retain Advisors Put On Hold
- Discrimination Suit Against Merrill Expands
- SEC Names New Deputy Secretary
- NASD Fines Chase, MetLife $1.66M
- SEC Settles Off-Shore Short-Selling Case
- Bank Of New York Reaches Agreement With SEC
- E.U. To Continue Visa Probe, Despite Settlement
- German Regulators Investigating General Re Subsidiary
- DOJ Turns Its Eyes On Merrill In Private-Equity Inquiry
- Citigroup Settles 26 WorldCom Securities Lawsuits
- Lawyer-Turned-Fugitive's Conviction Affirmed
- In $25.1M Deal, Bisys Buries Hatchet With SEC
- Spitzer Says Grasso Owes NYSE $112.2M
- JPMorgan Wants Adelphia's Chapter 11 Plan Clarified
- Former China Construction Bank Head Jailed
- Barclays Forks Over $144M In Enron Settlement
- Korean Court Denies Warrants For Private Equity Execs
- Merrill Lacks Black Brokers, CEO Testifies
- ISE Files Suit To List Dow Jones, S&P Options
- UBS Bond Traders Depart Amid Treasury Securities Probe
- Cyberonics Shareholder Pushes For Annual Meeting
- Commerce Bancorp Probe Draws To A Close
- Ombudsman Assigned, Refco Seeks To Sell Client Lists
- Judge Denies USA Capital Trustee Bid For Ch. 7
- Private Equity Firms' Success Brings Antitrust Exposure
- 401(k) Sponsor Sues AIG Over Plan Embezzlement
- NLRB Demands Response From Rogue Investment Firm
- Companies List Overseas To Cut Costs, Compliance
- Qwest Faces $278M Suit Over Dutch JV
- Court Gives Centrix Green Light To Find Buyer
- Korean Prosecutors Look To Arrest Private Equity Chief
- Judge Greenlights JPMorgan Pension Case
- Former Loan Co. CEO Pleads Guilty To Fraud
- Real Estate Worker Admits Guilt In $40M Scheme
- Deutsche Bank Still Involved In 10 Enron Suits
- Disability Insurer Settles With Spitzer
- Merrill Exec Addresses Discrimination Allegations