Securities Archive » September, 2007

Securities - September, 2007

161 articles

• Smart Online Settles SEC Action
• Oracle, Qualcomm Get New General Counsels
• Hydro-Quebec Targeted In Market Manipulation Probe
• Former SEC Attorney Joins Nutter McClennen
• Mutuals.com, Execs Settle With SEC For $5M
• Tyco Shareholders Balk At $600M Attorneys' Fee
• Immucor Lays SEC, Shareholder Actions To Rest
• PMA Capital Pays $15M To Settle Public Offerings Suit
• Foreign Plaintiffs Tossed From Rhodia Securities Case
• Study Shows Firms Should Litigate FINRA Cases
• Freddie Mac Settles With SEC For $50M
• Backdating Suit Against Amkor Dismissed
• SEC Claims Fund Manager Lied To Investors
• Morgan Stanley Pays $12.5M To Settle FINRA Claims
• Judge Allows Comverse CEO's Defenses To Survive
• Suit Against Isolagen, Underwriters Moves Forward
• Swiss Bank Settles With Parmalat For €21M
• Muni Bond Brokerages Settle With SEC
• SEC Probes Credit Agencies Over Subprime Loans
• Hedge Fund Group To Examine Investor Protection
• FINRA Rules Limit Dismissal Motions In Arbitration
• Investor Seeks Docs On American Home's Collapse
• CME, CBOT Shareholders Settle For $475M
• Mutual Benefits Trio Jailed For 5 Years
• SEC, Federal Reserve Bless Bank Exemptions
• EDS Settles With SEC Over Accounting Practices
• Hedge Fund May Appeal KPMG Dismissal
• Take-Two Wants Dismissal Of Plaintiffs' Take Two
• Fairfax Financial Plaintiffs Argue Against Dismissal
• SEC Won't Extend Section 404 Deadline Again
• Brokers Dodge Most Customer Complaints: Study
• SEC Charges 14th Trader In Stock-Loan Kickback Scam
• Dutch Pension Fund Files Amended Suit Over Vioxx
• Enron Barred From Accessing $136M In CalPX Case
• SEC Roundtable To Re-Examine Shareholder Suits
• Scholastic Hit With Proposed Shareholder Class Action
• Q&A With Loeb & Loeb's Eugene Licker
• Bisys Shareholder Appeals Fee Award
• EU Cos. Want Inclusive SEC Accounting Standards
• Prosecutors Calculate Sentence For Ex-Brocade CEO
• Lawyers Accused Of Impropriety In KPMG Case
• Parmalat Units Take Claims To Appeals Court
• Objectors Make Last Stand Against DHB Settlement
• Senators Back FERC In Turf War Over Amaranth
• Former SEC Regional Director Joins WilmerHale
• Chief Justice Re-Joins Stoneridge Securities Case
• AIG Broker Kickback Suit Gets The Boot
• SEC Adopts Temporary Investment Adviser Rule
• Suit Over Cerberus-Affiliate Merger Resolved
• Plaintiff Wants Out Of Insurer Kickbacks MDL Suit
• Pepper Hamilton Adds Securities Partner In Boston
• SEC Takes A Look At Hedge Funds
• SEC Charges 28 In Wall Street Kickback Scheme
• Apple CEO Subpoenaed In SEC Backdating Action
• Judge Lifts Stay On SEC Suit Against Conrad Black
• Analysts Say Overstock Suit Threatens Free Speech
• SEC Approves New Rules For Banks
• Energy Firms On High Alert In Wake Of Subpoenas
• Shareholder Sues BAE Over Alleged Saudi Bribes
• Milberg Weiss Partner Cops To Plea
• Auditors Get Slaps On Wrists Over NCFE
• Melvyn Weiss Indicted Over Kickback Scam
• Defining "Protected Activity" Under SOX
• Kerkorian Left Empty-Handed In DaimlerChrysler Case
• Evergreen Agrees To $32.5M Settlement With SEC
• Senate Committee Mulls Attorney-Client Privilege Bill
• SEC Rebuts Collins & Aikman Execs' Dismissal Bid
• Gilat To Pay $20M To Settle Securities Class Action
• Lone Star, Accredited Home Lenders Settle
• CFTC, Congress Seek Answer To "Enron Loophole"
• HSBC Settles SEC Case Over Rogue Pension Fund
• Swiss Re Pays Up To Silence Short Sales Suit
• Funds Sue Wachovia Over Le-Nature's Debacle
• Lerach Pleads Guilty To Conspiracy In Kickbacks Case
• Rite Aid Prevails In Insider Trading Suit
• Judge Stays AIG Derivative Suit
• Former Investment Adviser Sentenced To 87 Months
• Encysive Wins Dismissal Of Securities Suit
• Q&A With Baker Donelson's Matthew S. Heiter
• Q&A With Jeffer Mangels' Steven Insel And Jeffrey Riffer
• Court Revives Claims Against NYSE In Trading Scandal
• Tower Auto Plaintiffs Seek Class Certification
• Aegis Says Ex-CEO's Suit Will Hurt Chapter 11 Case
• NASDAQ Loses Appeal In WorldCom Investor's Suit
• Judge Revives Claims In Converium Suit
• Judge Puts Squawk Box Trial On Hold
• "Scheme Liability" Awaits High Court Scrutiny
• N.Y. Subpoenas Energy Cos. Over CO2 Disclosures
• Prudential Broker Must Pay In Market Timing Case
• Brokerage, Futures Merchant Settle CFTC Fraud Case
• SEC Drills Energy Co. Over $19M Investment Scheme
• Mayer Brown Asks Court To Toss T.H. Lee Suit
• Conrad Black Slams Government Forfeiture Request
• Lerach To Plead Guilty, Could Face Jailtime: Report
• Refco Wins Dismissal, But Not Safe Yet
• UnitedHealth Fights Probe By Minnesota AG
• Securities Filings To Jump, Settlements To Fall: Report
• Chamber Seeks Tougher Naked Short-Selling Rules
• Comverse CEO Fires Back At Shareholders
• GAO Report Slams SEC Procedures: Report
• SEC Targets Hedge Fund Manager Over Short Sales
• Full Steam Ahead For e-MedSoft Discovery: Plaintiffs
• Appeals Court Keeps Lake Shore Assets Frozen
• Judge Mulls Summary Judgment For Comverse CEO
• Westar, Terax Exec Accused Of Widespread Fraud
• SEC Charges Firms Over Unregistered Audit Reports
• SEC Makes $69M Payment In Market Timing Case
• Shorting Into Offerings: Amended Rule 105
• Smart Online Bribed Investors, Brokers: SEC
• Court Orders Bond Trader To Cough Up $8.21M
• SEC Ensnares More Ex-Nortel Execs In Fraud Suit
• Parties Split On SEC's Oil Reserves Reporting Rules
• Allenergy Resolves Spat With Investors
• Securities Suit Against Hornbeck Offshore Dismissed
• New Century Examiner Gets More Time For Probe
• SEC Aims To Keep Interview Notes In Daisytek Case
• China Sunergy Hit With Class Action Over IPO
• Biovail Settles With BofA, Trader In Conspiracy Case
• Judge Removes Claims In Appaloosa's Adelphia Suit
• Ex-AIG Head To Collaborate In SEC Reinsurance Probe
• Ex-Comverse CEO Loses Fight To Protect Assets
• Investor Blames Bank Of New York For Sentinel Mess
• Drinker Biddle Nabs 12 Lawyers From Miller Alfano
• Steptoe Nabs New Securities Partner In Calif.
• Appeals Court Revives $1.2B IPO Antitrust Case
• Daisytek CFO Pushes For Dismissal Of SEC Case
• Securities Fallout From The Subprime Lending Crisis
• Judge Says Counsel Can Be Deposed in Tyco Case
• Judge OKs Settlement In Drug Securities Case
• SEC's Proposed Amendments To Regulation SHO
• Ex-Trader Pleads Guilty In KPMG Tax Shelter Case
• Glaxo Investors Vie For Lead Plaintiff Role
• Committee Recommends Tossing Take-Two Claims
• Xethanol Loses Bid To Toss Securities Action
• Summary Judgments Issued In Cendant-CSI Case
• Two Firms Pay $500K To Settle SEC Allegations
• Enron CEO's Appeal Questions Feds' Tactics
• SEC Merit Pay Statistically Biased: Arbitrator
• Barnes & Noble Settles Backdating Suits
• Adelphia Seeks To Halt Deloitte Suit
• Delphi Files Long-Awaited Ch. 11 Plan
• 1st Amendment Bars Ratings-Based Claims: Moody's
• Judge Refuses To Rethink Parmalat Units' Cases
• Refco Execs Demand Insurer Cover Their Legal Bills
• 20 Class Actions Score $125M From Lynch
• Morgan Stanley VP Pleads Guilty To Insider Trading
• Judge OKs Insider Trading Settlement In Drug Case
• U.S. Won't Rubber Stamp Hedge Funds Under Ch. 15
• JPMorgan, Plaintiffs Ask Judge To Stay Discovery
• CNET Backdating Probe Dropped By SEC
• Saks Settles SEC Suit Over Accounting Practices
• Steptoe Adds White Collar Defense Team
• AXA Advisors To Pay $3.8M Over Brokerage Fees
• SEC Asks Court To Press For Foreign Witnesses
• Boston Stock Exchange, SEC Settle For $1.75M
• SEC's New Rule: Implications For Fund Managers
• SEC Targets Universal Express For Injunction Violation
• Bausch & Lomb Settles Suits Over Proposed Merger
• JPMorgan Exec Loses Bid To Rehear Clawback Ruling
• Advisor Balks At Subclass In Bayou Class Action
• Judge Tunes Out Iridium Creditor Claims