Securities Archive » July, 2006

Securities - July, 2006

113 articles

• Latham & Watkins Nets Federal Prosecutor
• Auditors Told To Look Out For Backdating
• CEOs Shed Stock After Bad News: Report
• Court Bounces Slew Of Claims Against Smith Barney
• Wall Street Sues Utah Over Naked Short-Selling Law
• Ex-Telecom Exec Settles IPO Spinning Case
• Shareholders Take Aim At HCA Buyout Deal
• WorldCom's Ebbers Loses Bid To Scrap Conviction
• SEC Settles Case Over Insider Trading On FDA Decision
• SEC Adds Defendants To Insider-Trading Suit
• Judge Goes Easy On Bankers In $20M Fraud
• Ex-Suncoast Chief Liable For Kickback Scheme
• Fairfax Hits Hedge Funds With $5B Suit
• Judge Rules D.C. Bank May Have Lied To Shareholders
• Delphi Creditors Aim To Use SEC Data In GM Lawsuit
• Ex-Qwest CFO May Get Easier Rap For Helping Feds
• Shell Earmarks $500M For Possible Settlement
• Freddie Mac Settlement Gets Preliminary Approval
• SEC Bans Former Conseco Heads From Accounting
• New Executive-Pay Rules Pass Second SEC Vote
• HealthSouth Gets New General Counsel
• Banks Lose $99M To Global Crossing Investors
• Skilling Request To Toss Convictions Denied
• Langone Appeal Denied In Spitzer Suit
• SEC Expands Probe Into $46M Payments To Delphi
• Securities Class Actions At Decade Low, Survey Finds
• Hedge Funds Can't Go Unregulated, Cox Says
• SEC Investigates Par Pharmaceutical
• Lawsuits, Investigations Unaffected By HCA Sale
• Guilty Verdicts In $550M Fraud Case
• On Eve Of Hearing, Langone Lashes At Spitzer
• Former Investment Advisor Ordered To Pay $30M
• Another Exec Fined In HealthSouth Scandal
• Solvent Refco Unit Agrees To Pay $127.5M
• Class Action Against Marsh & McLennan To Proceed
• Waddell & Reed To Pay $50M In Market-Timing Probe
• Van Der Moolen Washes Its Hands Of Stock Fraud
• Par Pharmaceutical Hit With Securities Suits
• Cognos Emerges Unscathed From SEC Review
• SEC To Question Morgan Stanley Exec
• Barclays Cleared In Enron Suit Due To Loss Causation
• Homestore Execs Not Out Of The Woods Yet
• Rogers Funds Agree To $2.3B Refco Unit Settlement
• SEC To Name New Chief Accountant
• Endocare Settles Fraud Case With SEC, DOJ
• SEC Files First Complaint In Stock Options Scandals
• SEC Likely To Spare Secrecy Of Katie Couric's Riches
• Court Rejects "They Should Have Known" Defense
• Hedge Fund Managers Deregister With SEC
• Senate Panel To Discuss Hedge Fund Regulation
• Encore Medical Shareholders Target $870M Merger
• Great Lakes Bancorp Agrees To $20M Settlement
• Ex-SEC Attorney Sues Agency For Documents
• Allianz Settles Shareholder Suits Over RAS Merger
• Casey Sworn In As SEC Commissioner
• Derivative Suit Targets Ulticom Execs
• SEC: Ponzi Scheme Defrauded Jehovah's Witnesses
• NASD Smacks Three Brokerage Giants With Fines
• Backdating More Widespread Than Previously Thought
• Federal Preemption Of State Payment Requirements In Securities Class Actions
• Embattled Milberg Weiss Tapped As Lead Counsel
• Ex-Van Der Moolen Specialists Convicted Of Fraud
• Court Approves $36.6M PNC Financial Settlement
• Refco, Bennett Defrauded Austrian Affiliate, Suit Claims
• Royal Bank Of Scotland Nearing Enron Settlement
• Backdating Charges Imminent, SEC Says
• Parmalat Case Sours For Citigroup
• Former Merrill Lynch Analyst Enters Guilty Plea
• Class Action Adds To Drug Maker's Troubles
• $250M Award Against Prudential Slashed On Appeal
• Legality Of Spring-Loading Still Up In The Air
• Body Armor Company Shot With $35M Settlement
• British Enron Trio Depart For Texas Trial
• U.S. Attorney Creates Backdating Taskforce
• KPMG Sued By Former Employees Over Legal Fees
• Leading Firm Fashions Stock Options Task Force
• Report Dismisses Small Biz Complaints Over SOX
• NYSE Fines Van Der Moolen $3.5M For Misconduct
• France Moves Toward Allowing Class Action Suits
• Hospice Co. Pays $13M To Settle False Claims Probes
• SEC Bids To Tighten Naked Short-Selling Rules
• Prosecutors Fight Skilling's Bid For Acquittal
• HealthSouth Bigwig Loses Appeal In Fraud Case
• Judge Pries Deeper Into Lord Black's Puzzling Finances
• SEC Broadens Stock Options Probe
• DLA Piper Lures Compensation Expert
• Lawmakers Debate NatWest Three Extradition
• Bear Stearns To Settle Sterling Foster Suits
• House To Vote On Credit Rating Agency Reform
• CalPERS Sues UnitedHealth Over Options Backdating
• Nicor Inc. Settles Fraud Charges For $10M
• Nacchio Pre-Trial Hearing Delayed Over Security Issues
• Extradition Day Arrives For U.K. Bankers
• Hedge Fund Manager Pleads Not Guilty
• Judgment In SEC Case Against Former Conseco Bigwigs
• Gabelli Finds Funds For DOJ Settlement
• The Incentive To Commit Securities Fraud Under Automatic Trading Plans
• SEC, PCAOB Delay Stock Options Guide For Auditors
• Berlusconi Faces Trial In Media Fraud Case
• Glassman Blasts SEC For Wasting Time
• SEC To Vote On New Soft Dollar Guidelines
• Cautious Support For E.C. Regulation Of Securities Trading
• New Lawsuits Target Bayou Investors
• Fannie Mae Insurer Hit With Suit
• Greenberg Lashes Back At AIG
• Merrill Lynch To Pay $29.5M To Enron
• Hollinger V. Hollinger Heats Up In Chicago
• Backdating Probe Expands To Directors
• Wachovia Forks Over $25M In Research Scandal
• Creditor Holds Up Deal With Refco Unit
• British Business Leaders Brassed Off Over Extradition
• Lay Dies, But Case Will Likely Go On
• Judge OKs Shareholder Suit Against Viacom