Securities Archive » October, 2006

Securities - October, 2006

158 articles

• Comcast To Contribute To TCI's Shareholder Settlement
• CalPers Seeks To Block McGuire Retirement Package
• Complaint Against Delphi Could Implicate GM
• Stolt Asks Court To Stay Civil Case
• Fund Exec Accused Of Improperly Charging Investors
• Cendant Ex-Chairman Guilty In Massive Fraud
• Rep. Frank Questions Transatlantic Regulation
• SEC Begins Informal Inquiry Into RIM Stock Options
• SEC Probing JP Morgan, Bisys Connection
• Canadian Court Freezes Ex-Hollinger Exec's Assets
• Class Action Against Savient Dismissed
• Delphi Settles Securities Fraud Charges
• Taro CFO Resigns Amid Restatement Probe
• SEC Eyes UBS In U.S. Bonds Probe
• Scandals Catapult Lawyers To Corner Offices
• Options Backdating Fallout Could Widen: Study
• SEC Readying To Charge Delphi Executives
• Plaintiffs Firms Bare Teeth Over Merck Shareholder Suit
• At Behest Of Grassley, GAO To Probe SEC
• Former Pimco Chief Settles Timing Suit With SEC
• States Seek Seroquel Information From AstraZeneca
• Court Refuses To Delay Vote On HCA Deal
• Securities Suit Against Yukos Thrown Out
• Hunton & Williams Expands White Collar Practice
• ECB To Launch Hedge Fund Analysis
• NYSE Specialist Found Guilty Of Improper Trading
• SEC Probes Mutual Funds Over Kickback Scheme Ties
• BAWAG Indictments Handed Down In Austria
• Deutsche Bank Chief's Retrial Begins
• Options Scandal Has Cost Billions: Study
• Firm Takes On NASD Reporting System
• Goldstein Once Again Takes On SEC Rule
• Shareholders Sue Voyager Execs Over Failed IPO
• NASD Hits Broker With Its Largest Fine Ever
• Dewey, Orrick Merger Would Create Strong Securities Practice
• AmeriDebt Founder Accused Of Stashing Cash
• Ex-NYSE Manager Faces Jail In Hong Kong For Fraud
• Another Guilty Plea In $7M Insider Trading Scam
• Bank Fraudsters Ordered To Pay More Than $30M
• Last Call For $39M Merrill Lynch Settlement
• DOJ Demands More Than $12M From Lay's Estate
• Hackers Set Their Sights On Brokerage Accounts
• Grasso Appeals Ruling In Compensation Case
• Fannie Mae Issues Report On Restitution
• Asserting the Fifth Amendment in Civil Securities Litigation
• Ex-Comverse CFO Pleads Guilty, Settles With SEC
• Ex-Refco Financial Chief Indicted On Fraud Charges
• SEC Threatens Inspire With Civil Action
• SEC To Begin Distributing WorldCom Settlement
• Appeals Court: Ex-Director Owes Corning Legal Fees
• Fifth Circuit Denies Rehearing In Nigerian Barge Case
• Skilling Sentenced To 24 Years, Pleads Innocence
• Ex-Execs Want Delphi To Cover Legal Costs
• Former Sunbelt Exec To Head Back To Jail
• Ex-MassMutual Head Wins $50M
• Court Scolds SEC Over Handling Of Document Request
• The Stock Option Backdating Scandal: Lessons For Privately Held Companies
• Linklaters Poaches 16 Lawyers From White & Case
• Second Citibank Commodities Desk Head Pleads Guilty
• SEC Alleges Men Bilked Elderly In CD Scam
• Clorox To Face Shareholder Derivative Action
• SEC Drops Probe Into Former Hollinger Directors
• Gibson Dunn Nets High-Profile U.S. Attorney
• Court Dismisses Barclays Suit Against Arthur Andersen
• SEC Ends Uncertainty Over Best-Price Tender Offers
• SEC To Levy Fraud Charges Against Ex-Delphi Execs
• Senators Demand UnitedHealth Options Documents
• Grasso Must Return About $100M To NYSE
• Former Homestore CEO Handed 15-Year Jail Term
• SEC Accuses Ex-Riverstone Execs Of Fraud
• Backdating, Restatement Trigger Sepracor Suit
• SEC Combs E-mails For References To Debevoise Partner
• Merger To Bolster Reed Smith's Securities Practice
• Lay's Name Cleared, Skilling's Fate Unknown
• SEC, Fed Push Forward With Banking Rules
• SEC Probing Insider-Trading In Corporate Takeovers
• Morgan Stanley To Pay $1M For Broker's Fraud
• South Korea Investigators Raid Citigroup Unit
• Ex-i2 Exec To Pay $2M To Bury Hatchet With SEC
• Novell's Board, Top Execs Hit With Backdating Suit
• Suit Charges Agway Trustees Improperly Invested Assets
• Suit Accuses Legg Mason Of False Statements
• Grassley Calls For Improved Hedge Fund Disclosure
• E.On Targets Acciona In Endesa Takeover Battle
• SEC Penalizes Brokerage Firm For Fund Trades
• Insufficient Records, Supervision Costs Firm $850,000
• Ex-Van Der Moolen Specialists Get 27 Months
• Eleventh Circuit's Scienter Ruling To Affect Plaintiffs
• Ex-FDA Head To Plead Guilty To Lying About Stocks
• Former Execs Defy SEC In Backdating Probe
• Bribery Charge Added To Ex-Comverse Chief's Rap List
• Prosecutors Blast Evidence In Scrushy Retrial Bid
• UnitedHealth CEO Ousted Over Options
• Former Fleet Specialist Starts NYSE Fraud Trial
• More Execs Depart In Wake of Backdating Fallout
• Hedge Fund Managers Indicted For $2M Scheme
• Prosecutor: Ex-U.S. Foodservice Exec Organized Fraud
• Union Withdraws Securities Suit Against Cintas Corp.
• NASD, NYSE Continue Quest For Harmonization
• SEC Warns Hackers Prey On Brokerage Accounts
• M-Flex Sues To Quell Hedge Funds' Support For Deal
• Dolan Family And Cablevision Face More Suits
• Skilling Appeals Conviction, Cites "Honest Services" Statute
• Securities Litigation Sparks Fears For U.S. Businesses
• SEC Links Real Estate Co. To Ponzi Scheme
• Suit Claims Drug Maker Withheld Facts About Heart Drug
• LeClair Ryan Opens N.Y. Office, Hires 3 New Partners
• McAfee Execs Ousted Over Options Scandal
• Ex-Patterson-UTI Exec Sentenced To 25 Years In Prison
• Attorney General Can Investigate UnitedHealth's Options
• Ex-Millennium Trader To Pay $570,000 In SEC Suit
• CNET CEO Abdicates In Face Of Options Probe
• PainCare Settles Class Action
• Sovereign CEO Ousted Amid Shareholder Frustration
• Firm Accuses Former Analyst Of Trademark Infringement
• Delcath Resolves Dispute With Key Shareholder
• TXU Shareholders Appeal Class Action Dismissal
• Former Comverse Execs In Plea Bargain Talks
• Exec Pleads Guilty In $30M Ponzi Scheme
• Sphinx Funds Object To Refco Plan, Cite $263M Deal
• Charges Against Ex-Fleet Specialist Trader Dropped
• Dorsey & Whitney Adds Former Federal Prosecutor
• Judge Delays Sentencing Computer Associates Ex-CEO
• More Expensive Litigation Prompts More Insurance: Report
• Former Cendant Chief Faces Third Trial
• Shareholders Scrutinize RIM Over Options Backdating
• Amkor, Creditors Square Off Over SEC Filing
• Refco Can Send $300M From BAWAG Pact To Lenders
• Marvell Restatement Inspires Class Action
• Enron, Dynegy Reach $44M Settlement
• NYSE Fines Two Banks For Improper Stock Loans
• Sun CEO Tells SEC To Loosen Disclosure Requirements
• Appeals Court Hears Arguments Over Broker Exemption
• Former Prosecutor Pleads Guilty In Client Stock Scam
• Former Enron Prosecutor Joins Irell & Manella
• SEC Will Not Take Action Against Pequot
• Apple Admits To Stock Options Backdating
• Labor Department Tosses FLYi Whistleblower Case
• HP's Former Chair Indicted In "Pretexting" Scandal
• Judge Upholds Suit Against Ex-Kmart Execs
• Oppenheimer Coughs Up $800K For Improper Reporting
• Goldman Sachs Added To Fannie Mae Suits
• Dell's 401(k) Participants Sue Company
• Disclosing Corporate Governance Information Under The New Executive Compensation Regulations
• BP Drilled By Shareholder Derivative Suit
• Former Tyco Execs Seek Reversal Of Conviction
• Rogers Funds Reach Deal Over Refco LLC
• SEC Accuses Ex-Wall Street Broker Of Late Trading
• Securities Star Bids Goodbye To Davis Polk
• SEC Played "Fast and Loose" With Facts: Judge
• Ex-AIG Chief Granted Access To Memos
• Hedge Fund Manager Heads To Court Over Short-Selling
• Judge Refuses To Overturn Scrushy Conviction
• Qwest's $400M Settlement Receives Final Approval
• Supreme Court Will Not Hear Peregrine Case
• Bail Denied For Ex-Comverse CEO In Namibia
• 2nd Circuit OKs $750M Over WorldCom Fraud
• Judge OKs Fraud Suits In E-Trade, MarketXT Spat