Securities Archive » November, 2006

Securities - November, 2006

140 articles

• SEC Keeps Brokers In Line With New Soft Dollar Rules
• Xilinx Cheers As SEC Drops Informal Backdating Probe
• Committee Calls For Easing Oversight Regulations
• 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
• HP Accused Of Insider Trading Over Spying Debacle
• Judge Gives OK To Delphi Settlement With SEC
• Interstate Fights To Control Board Of Directors
• Study Speculates On Backdating In Canada
• Scrushy Settles Claims Over Bonuses, Legal Fees
• Sky Capital Files $300M Complaint Against NASD
• SEC, CFTC Talk Collaboration
• SEC Sues Men Indicted In Life Insurance Scheme
• UnitedHealth Shareholders: Freeze McGuire Assets
• FMF's Shareholders Garner $28M CAN Settlement
• Court Chastises Bond Lawyer In Ruling
• French Court Seals Ex-BAWAG CEO's Fate
• Ex-Shell Boss Asks Appeals Court To Subpoena SEC
• Korean Court Mulls Arrest Of Ex-Official
• Judge: Hedge Fund Manager To Be Jailed For Contempt
• Compensation Consultant Targeted In Backdating Suit
• 2008 Date Set For Milberg Weiss Kickback Trial
• World Health To Settle Class Action For $2.7M
• NYSE, NASD Agree To Create Single Regulator
• Court Bounces Judge Behind 6-Year Contempt Term
• Ackermann To Pay €3.2M To Settle Mannesmann Case
• SEC Questions Ford's Business In Iran, Sudan, Syria
• Ex-Cendant Exec Faces Civil Suit, Prison Sentence
• More Execs Look For Work In Wake Of Options Scandal
• Lone Star Gives Up On Bank Sale
• E.U. Probes Austrian Aid To BAWAG
• Ruling Favors Scrushy In Probe Into Juror Behavior
• Appeals Court Upholds Most Of Decision In Fraud Case
• AMEX, SEC Close To Settlement: Sources
• FBR Squares Dispute With CompuDyne
• Ex-LendingTree Exec Settles Insider Trading Charges
• Orthopedic Company Comes Under SEC Scrutiny
• New Cyberonics Chairman Probed For Backdating
• Refco Unit Trustee Wants To Distribute $1.3B
• Executive Compensation Disclosure
• Cheesecake Execs Agree To "Clawbacks"
• Senate Wants Answers On Hedge Fund Regulation
• Private Funding For Class Actions Clears In Australia
• Western Digital Discloses Options Backdating Suits
• Clear Channel Faces Static From Shareholder
• Shareholders Get $52M Settlement From Liberty Media
• Ex-Capital One CFO Settles Insider-Trading Charges
• Lone Star, KEB Indicted In Stock Manipulation Probe
• Ford Restatements Catch SEC's Attention
• CA Sues Ex-CEO To Recover Attorneys' Fees
• Drinker Biddle Merger Creates Strong Securities Practice
• Case Moved On Merrill V. Dabit Precedent
• Two More Enron Execs Sentenced To Jail Time
• Judgment Entered Against Ex-Adelphia Exec
• SEC, FCC Investigate HP Over Spying Scandal
• Korean Court OKs Arrest Of Two Lone Star Execs
• Cox Says SOX Updates On The Horizon
• Index War Escalates With Suit Against ISE
• Spitzer Files Market-Timing Suit Against Hedge Funds
• Skilling and Government Reach Pact On Pension Suit
• Dell Reveals SEC Formal Probe, Delays Report
• Nvidia Falls Prey To Shareholder Action Over Options
• SEC Adopts Amendments to Tender Offer "Best Price Rule"
• Legal Woes Pile Up For Refco Ex-CEO Bennett
• San Diego Settles SEC Claims Of Misleading Bond Investors
• Enron Accountant Sentenced To 66 Months In Jail
• Stock Analyst Arrested In $5M Fraud Scheme
• Former Volkswagen Exec Charged In Corruption Scandal
• Holders Name 13 Private Equity Firms In Antitrust Suit
• KPMG Tax Shelter Trial Stalls Over Legal Fees
• Immune Response Settles Shareholder Suits
• Former Sun-Times Execs Settle Shareholder Suit
• Ex-CA Sales Chief Slapped With 7 Years In Prison
• Grasso Seeks To Postpone Day Of Reckoning
• Internet Advocacy Group Asks SEC To Stay NYSE Fees
• Shareholders Hit Drink Maker With Derivative Action
• Delaware Supreme Court Adopts "Caremark" Standard In Assessing Director Oversight Liability
• Supreme Court Rejects Qwest On Privileged Documents
• IBM General Counsel Jumps Ship To Apple
• KB Home In Shakedown Over Options Backdating
• Wells Fargo Subsidiary May Get Dropped From Suit
• Boeing Deal Stalled In Wake Of Milberg Weiss Scandal
• Supreme Court Pressed To Take On IPO Case
• South Korea Braces For U.S. Law Firm Invasion
• Appeals Court Reinstates AmEx Securities Suit
• Congress To Tackle Executive Compensation
• Bayou Settles With Investor Over False Profits
• New York Court Bounces Suit Against Deutsche Bank
• Privilege Concerns Over Disclosures To Independent Auditors
• Rambus Grabs General Counsel From Xilinx
• Ex-HP Ethics Chief Pleads Not Guilty In Pretexting Case
• SEC: Hedge Fund Operator Ripped Off Millions
• NextCard Execs Settle Charges With SEC
• Shareholders Rebel Against Connetics
• Former Stockbroker Sentenced To Prison For Theft
• Hospital Co. Settles Shareholder Suits Over Merger
• Jury Convicts Former U.S. Foodservice Exec
• Off the Sled, And Out Of Court As Well?
• Bradley Pharmaceuticals Derivative Action Dismissed
• Another Ex-Homestore Exec Goes Down In Fraud Fallout
• Sky Capital's Parent Opens Probe After FBI Visit
• OFHEO Forced To Turn Over Fannie Mae Documents
• UnionBanCal Scrutinized For Mutual Fund Payments
• Hartford Units Put Up $55M To Settle SEC Charges
• Martha Stewart's Co. To Settle ImClone Suit For $30M
• Appeals Court Bats Down Challenge To Lay Verdict
• Judge To Consider If Jurors Broke Rules In Scrushy Case
• NASD Fines Chase, MetLife $1.66M
• Bank Of New York Reaches Agreement With SEC
• SEC Settles Off-Shore Short-Selling Case
• SEC Names New Deputy Secretary
• Gateway Sued For Rejecting Allegedly Profitable Deal
• In $25.1M Deal, Bisys Buries Hatchet With SEC
• St. Paul Travelers Moves To Settle Derivative Suits
• German Regulators Investigating General Re Subsidiary
• McKesson Executives Dodge Conspiracy Bullet
• Citigroup Settles 26 WorldCom Securities Lawsuits
• Lawyer-Turned-Fugitive's Conviction Affirmed
• ISE Files Suit To List Dow Jones, S&P Options
• CV Therapeutics Offers $13.5M In Settlement Agreement
• UBS Bond Traders Depart Amid Treasury Securities Probe
• SEC Enforcement Cases Down In 2006
• Korean Court Denies Warrants For Private Equity Execs
• SEC Picks Another Latham Partner For Leadership Role
• 401(k) Sponsor Sues AIG Over Plan Embezzlement
• Warner Chilcott Hit With Suit Over IPO Prospectus
• Enron Task Force Chief Joins Latham & Watkins
• Ex-Computer Associates CEO Gets 12 Years
• Last Securities Lawsuit Against Cray Dismissed
• Ombudsman Assigned, Refco Seeks To Sell Client Lists
• Ex-Comverse General Counsel To Plead Guilty
• Interstate Bakeries To Settle SEC Investigation
• Cyberonics Shareholder Pushes For Annual Meeting
• Companies List Overseas To Cut Costs, Compliance
• Deutsche Bank Still Involved In 10 Enron Suits
• Ex-McAfee Treasurer Settles Fraud Charges
• Krispy Kreme Agrees To Shell Out And Settle Suits
• Ruling Scales Down Whistleblower Claims
• Korean Prosecutors Look To Arrest Private Equity Chief
• Debate Over Class Actions In France Moves Forward