Securities Archive » November, 2007

Securities - November, 2007

154 articles

• New SEC Rule, New Procedures For Banks
• Private Equity Firm Faces Class Actions Over IPO
• Judge Rejects Tyco Exec's Plea To Toss SEC Suit
• HSBC Denies Overvaluing Bonds, Files Counterclaims
• Bear Stearns Broker Pleads Guilty To Insider Trading
• Lord Black's Attorneys Seek Reduced Sentence
• Feds Launch Probe Into Sanmina-SCI Stock Options
• Objections To Dana's Reorganization Plan Pile Up
• N.Y. Broker Fined $400K For Market Timing Violations
• Florida Firm Snaps Up Former Regulator
• Court Nixes Bid To Boot Lead Avandia Plaintiff
• High Court Throws New Query Into Arbitration Case
• SEC Deputy Enforcement Head Steps To Simpson
• Judge OKs Settlement In EDS Shareholder Suit
• After Restatement, Leap Wireless Hit With Suit
• Wachovia Fined For Missing Conflict Disclosures
• Ravelston Sentenced In Conrad Black Scandal
• SEC Votes To Shield Online Shareholder Forums
• Subprime Fallout
• NatWest 3 Plead Guilty To Wire Fraud, Will Pay $7.3M
• Fighting Fraud Suit Pays Off For JDS Uniphase
• Controversial Proxy Access Plan Adopted By SEC
• Regulators Drop CSC Backdating Probe
• Ousted Director Says Novartis Inflated Famvir's Value
• Citing Tellabs, Court Tosses BearingPoint Case
• SEC's Acceptance Of IFRS: A Significant Step
• Judge Quashes Yukos Investors' Suit Against Russia
• DOJ Drops Probe Of Former Top Delphi Officials
• Class Action Filed Over Virgin's IPO
• Wachovia Broker Fined Over Trades In Gas Merger
• Ex-Broadcom Exec To Plead Guilty: Report
• Broker Pleads Not Guilty In TXU Insider-Trading Case
• Marketing Co. Lied About NASDAQ Plans: Ninth Circuit
• GlobeTel Execs Hit With SEC Fraud Suit
• Supreme Court Hears Arguments In ERISA Case
• DOJ Fights Body Armor Firm's Bid To Settle Suits
• Court Affirms Dismissal Of Adecco Securities Action
• Judge Pushes Back WalMart Exec's Resentencing
• Middlegate VP Cleared Of SEC's Charges
• Ex-Bear Stearns Trader Settles Insider-Trading Claims
• Pillsbury Nabs Milbank Capital Markets Partner
• Deutsche Bank Denied Arbitration In Tax Shelter Case
• Lead Plaintiff Named In Optionable Litigation
• Coughlin Stoia Wants $700M From Enron Deal
• SEC Corporation Finance Gains Two New Directors
• Merrill's Claims To Remain In Fee Spat With Franklin
• Shareholders Seek To Sharpen Claims Against Apple
• Sycamore Hit With Wells Notice From SEC
• Circuit Affirms Motorola's $1B Award Against Uzans
• Circuit Revives Class Action Against LaSalle Bank
• Judge Denies Rigas' Bid For New Trial
• SEC Charges Firm With $250M Fraud
• GlobeTel Agrees To $2.3M Settlement
• Countrywide Execs Get Three Years Probation
• Former Qualcomm Unit Fraud Case To Proceed
• DOL Proposes Changes To ERISA Settlement Rules
• N.Y. Court Tosses Derivative Suit Against Tyco
• Energytec CEO Hit With Wells Notice From SEC
• United Rentals Sues Cerberus Over Repudiated Merger
• Judge Orders Auditor To Provide Docs In Winstar Case
• Shell Suit Restricted To U.S. Purchasers: Judge
• Judge Tosses Bed Bath & Beyond Derivative Suit
• Investors Sue Morgan Stanley Over Banned Broker
• Jury Finds In Favor Of SEC In CEO Fraud Case
• Kanjorski Bill Could Curb Mortgage Market Abuses
• Insider Trading Is Back
• Apple Wins Dismissal Of Options Backdating Suit
• Italian Senate Votes To Open Door To Class Actions
• SEC Enforcement Actions Up 14% From Last Year
• Ex-Monster CEO's Backdating Suit To Go Forward
• Fannie Mae Accounting Still Fuzzy: Analysts
• SEC Eases Requirements For Private Stock Purchasers
• Tyco Execs' Appeal Of Convictions Shot Down
• Regulators' Impatience With Noncompliance Grows
• Intelligroup Class Actions Meets Demise
• SEC Proposes Improved Mutual Fund Disclosures
• Wyeth Hit With Securities Suit Over Menopause Drug
• Judge Tosses Shareholder Suit Against Apple
• Judge Delays Former Bayou Exec's Sentencing
• CFTC Expands Foreign Merchant Exemptions
• Court Says Mortgage Pool Investors Can't Foreclose
• Judge OKs Forfeiture Suit Against Enron's Lay
• SEC Will Allow Use Of International Accounting Rules
• SEC's Cox Wants Proxy Access Issue Resolved
• U.S. House Adopts Attorney-Client Protection Act
• Cornerstone Settles, Enjoined From Trading
• Mass. Regulators File Suit Against Bear Stearns
• SOX Rules Hit Small Firms Hard: Study
• Sanofi Slapped With Securities Suit Over Obesity Drug
• CFTC's Sommers Stands Up Against FERC
• Subprime Cases May Cost D&O Insurers $3B: Broker
• Ex-Bear Stearns Trader To Cop Guilty Plea
• JPMorgan Faces $1B Suit For "Derailing" Amaranth
• Overstock Investor Fights Suit With Fraud Claims
• Weiss, Firm Ask Court To Move Trial Cross-Country
• CFTC Commissioner Condemns SEC Merger
• Appeals Court Upholds Attorney's Conviction
• Investors Sue Medtronic Over Defibrillation Device
• ProQuest Loses Bid To Toss Class Action
• Telstra Strikes $4.4M Deal On Shareholder Suit
• Judge Gives Green Light To AHM's Fraud Suit
• Fraud Claims Against aaiPharma Auditor Jettisoned
• DOJ Prosecutors Stand By Nacchio Conviction
• Namibia Delays Comverse CEO's Extradition Hearing
• SEC Fails First Test Of Section 5 Claim
• Wal-Mart CEO To Be Deposed In Doc-Shredding Case
• Plaintiffs Cut Settlement Deal With Cheese Maker
• The Kozeny Saga Continues
• PAAMco Head Indicted For Stealing $200M
• Smart Online CEO, Brother, Brokers Indicted
• Ex-VP Settles SEC's RenRe "Cookie Jar" Suit
• Coral Energy Traders Settle False-Reporting Claims
• Vioxx Deal To Affect Other Merck Litigation: Experts
• Private Equity Firm Must Pay Arbitration Award: Court
• Arbitration Proceeds Against Ex-UBS Advisers
• Merrill Lynch Confirms SEC Subprime Probe
• Judge Won't Toss Brooks Backdating Class Action
• Q&A With Robins Kaplan's Thomas B. Hatch
• SEC Settles Short-Selling Case With Offshore Cos.
• Creditors Help Calpine Against Pension Fund Claims
• Gunning For WaMu, Cuomo Subpoenas Mac And Mae
• Supreme Court Considers Arbitration Case
• Former Freddie Mac Chief Settles With OFHEO
• Panel OKs Mortgage Reform Bill, To Banks' Chagrin
• CFTC Sums Up Fraud Claims Against Equity Financial
• Judge Names Lead Plaintiff In Biotech Suit
• Hedge Fund Pays $1.2M To Settle Short Selling Claims
• FINRA Expels Brokerage Firm For Laundering
• E-Trade Faces Suit Amid Problems In Mortgage Market
• Schering-Plough Officers Settle Shareholder Suit
• Conrad Black Won't Get Retrial
• SEC Tosses Part Of NASD Ruling In Muni Bond Case
• OSHA To Investigate Wal-Mart Whistleblower's Claims
• Supreme Court To Tackle Federal Arbitration Act
• Judge Tosses Claims Against E&Y In Scottish Re Suit
• Arcelor Shareholders Sue Over Buyout Offer
• With CEO Heads Rolling, Lawyers May Be Next
• SEC Must Return Interview Notes In Daisytek Case
• New Paul Hastings Lawyer Bridges Europe And China
• SEC Staff On Executive Compensation Disclosure
• High Court To Analyze Municipal Bond Issue
• Appeals Court Remands Fiduciary Duty Case
• Cohen Milstein Expands With London Office, Partners
• SEC Launches Merrill Lynch Probe: Report
• Openwave Options Backdating Case To Move Forward
• Delphi Amends Settlement With ERISA Plaintiffs
• New Criminal Suit Says Ponzi Schemers Lied To SEC
• Chinese Solar Co. Hit With Suit Over IPO
• Good News And Bad News For Corporate Managers
• Tyco Plaintiffs' Attorneys Want $460M In Fees
• Judge Reluctantly Allows FERC's Amaranth Action
• Wave Of Subprime Litigation On The Horizon: Experts
• AHM Hires Firm Over Trustee's Protests, Settles Suit
• RAC To Pay $3.6M To Settle Public Offering Suit