Securities Archive » February, 2008

Securities - February, 2008

173 articles

• Risks, Safe Harbors For Private Offerings
• Covad Directors Settle Derivative Suit For $7M
• Lord Black To Don Prison Garb By Monday
• Coughlin Stoia Accused Of Misconduct In Coke Case
• Judge Chucks Securities Action Against Guidant
• N.Y. High Court To Hear Tyco Execs' Appeals
• Unauthorized Futures Trades Cost Firm $141.5M
• Damages Expert For Milberg Weiss Pleads Guilty
• BoFA Unit Gets Wells Notice In Bond Bidding Probe
• Panera Cafe Faces Possible Shareholder Class Action
• Yahoo Faces Shareholder Suits After Microsoft Bid
• Black Asks Court To Delay Imprisonment For Fraud
• Firms, FINRA Settle Over Improper Fund Sales
• Bally Settles Fraud Case Without Paying Fine
• Faro Tech. Strikes $7M Class Action Settlement Deal
• Swiss Re Didn't Disclose Risky Credit Swaps: Suit
• Pfizer Wins Dismissal Of Securities Suit Over Drug
• Wachovia Also Part Of Municipal Bond Probe
• Judge Denies Four Milberg Motions To Dismiss
• EU Guidelines Aim To Stabilize Financial Markets
• $20M Securities Scam Results In 18-Year Jail Term
• Ropes & Gray Boasts New Office In Chicago
• Former UBS Exec Pleads Guilty On Eve Of Trial
• UBS Shareholders Vote Against Subprime Audit
• Office Depot Faces SEC Probe Over Analyst Calls
• Ex-McAfee Exec To Lodge Arbitration Claims
• SEC Reaches Deal Over Delphi Audits
• Hedge Fund Sues Rival For 'Corporate Espionage'
• GAO Says Hedge Funds Still Warrant Scrutiny
• 7th Circuit Reverses Course In Market Timing Case
• Report Identifies Possible Executive 'Gift Loophole'
• Ex-Children's Place CEO Sues Over Annual Meeting
• Hedge Fund Manager Gets 5 Years For Fraud
• New Trial Order Upheld In BNY Ponzi Scheme Case
• UBS Hit With $275M Suit Over Subprime Deals
• Judge Bounces Suit Against SEC-Backed Program
• Lantronix Investors' Suit Against CSFB Halted
• Implications Of LaRue For 401(k) Plan Participants
• Dechert Snags Partner From Ropes & Gray
• Nasdaq Challenges AMEX With SPAC Proposal
• BofA Inside-Trader Gets 7 Months
• M&A Reverse Breakup Litigation
• Jury Finds General Re, AIG Execs Guilty Of Fraud
• SEC Files Suit Against GMC Holding, CEO
• Shareholder Sues Fifth Third Over Merger
• Jailed Stock Options Administrator Settles Charges
• Dishy News Story Prompts Trial Delay In Fee Dispute
• AIG Tries To Block Greenberg's Access To Papers
• Day Of Reckoning Comes For U.K.'s NatWest Three
• Money Manager Fined For Misappropriating Funds
• For The 2nd Time, Judge OKs $35M Veritas Deal
• Yahoo Slapped With 2nd Suit By Miffed Shareholders
• Case Removed From Tyco MDL
• KLA-Tencor Execs Spared Grilling By Ex-CEO
• CEO Liability In Subprime Litigation Tough Call
• Oppenheimer To Pay $4M In Market Timing Case
• Milberg Weiss Prosecutor Joins Goodwin Procter
• Subprime Litigation Likely To Surpass S&L Suits: Study
• Former U.S. Attorney Joins Greenberg Traurig
• Parmalat Inks €79M Settlement With Italian Bank
• Comverse Backdating Suit Partly Survives Dismissal
• Orion Energy Faces Class Actions Over Down Forecast
• Buchanan Ingersoll Snaps Up Securities Veteran
• As SEC Seeks $7M Penalty, Broker Seeks New Trial
• CFTC Broadens Lawsuit Against Lake Shore
• Lax Oversight Enabled Fraud At SocGen: Report
• Panel Validates Firing Of Securities Firm Counsel
• High Court Clears Way For Individual Pension Suits
• More Charges Filed In Ernst & Young Tax Fraud Case
• Third Refco Executive Pleads Guilty To Fraud
• CBOE Rule Change Increases Fines For Minor Slips
• Ex-Lancer Group Hedge Fund Manager Indicted
• SLUSA As A Defense In Excessive Fees Litigation
• SEC To Focus On Subprime Issues In 2008
• Jailed MBC Trio Accused Anew Of Securities Fraud
• Trader Errors Spur $2.85B Credit Suisse Write-Down
• Court Orders Credit Suisse To Turn Over Documents
• Funds Accuse Countrywide Of Shielding Executives
• Ernst & Young Settles Cendant Case For $298M
• No Shares, No Derivative Suit: Calif. Court
• Kickback Scandal Leads To New Push For Reform
• Reed Smith Adds Fifth New Partner In Two Weeks
• Ex-Refco CEO Faces Civil Suit From SEC
• Facing March Trial, Ex-Refco CEO Pleads Guilty
• LLC Members Can Bring Derivative Suits: N.Y. Court
• SEC Settles Late Trading Case With Ex-Trautman CFO
• American Funds Settles "Shelf Space" Suit: Report
• Focus Turns To Phone Call In Bear Stearns Probe
• U.S. Private Equity Firms Hit With Bid-Rigging Suit
• $60M Barclays Fraud Case Moves To Federal Court
• CB&I Settles Securities Class Action For $10M
• For Proxy Season, A Look At SEC's Disclosure Review
• Only Shareholders Can File Derivative Suits: Court
• Wells Notice Sent To UBS Over Muni Bonds
• SEC Rule Amendments Will Add New Liquidity
• New Disclosure Rules Proposed For Foreign Cos.
• Goldman Sachs, UC Strike $11M Deal In Enron Suit
• Japan's Antitrust Revisions To Clarify Stock-Buy Rules
• Openwave Backdating Claims Fall Short, Again
• Man, Not Fund, Becomes Lead BigBand Plaintiff
• Intel Shareholders Blame Execs For Antitrust Woes
• PwC Settles SmarTalk Case For $30.5M
• SEC Pushes For Plainer Disclosure Talk
• Yahoo's Snub of Microsoft Elicits Shareholder Suit
• Lawyer Says Buffett Knew About Deal With AIG
• Court Selects New Lead Plaintiffs In Bear Stearns Case
• Securities Arbitration Perceived As Unfair: Study
• SEC Strikes Deal With R&G Financial: Report
• Class Denied, Expert Tossed In Variable Annuities Suit
• Legal Battle Brews Over SEC Stance On Proxy Access
• Coughlin Stoia To Lead Subprime Suit Against S&P
• Judge Puts Dana-SPX Spat On Hold
• Hedge Fund Sues Transmeta, An Acquisition Target
• Credit Suisse Confirms Subprime Subpoenas
• Ex-Enron Broadband CFO Gets Conviction Tossed
• CBOE, CBOT Eye Deal On Voting Rights: Report
• SEC Proposes Reporting Guidelines For Sudan Act
• RAND Study's Impact On Broker-Dealers, Advisers
• SEC Bars Ex-PwC Accountant For One Year
• SEC Nabs Trader Who Got Inside Tip On Chemed
• National Century Execs Lied To Investors: Testimony
• McDermott Launches International Subprime Group
• Lumenis Settles Shareholder Class Action For $20M
• Pepper Hamilton Lures Assistant U.S. Attorney
• Lerach Sentence Not Good News For Weiss, Firm
• Lerach Sentenced To Two Years Behind Bars
• Saudi Prince Can't Send Profits Home Yet: Judge
• Litigation Targeted Mortgage Cos. In 2007: Report
• Michigan Sues Tyco, PwC Over Pension Funds
• Financial Security Assurance Gets Wells Notice
• HCC Paying $10M To Close Door On Backdating Suit
• Massachusetts Court Disbars Two Lawyers
• Feds Probe Merrill's Mortgage-Backed Securities
• Shareholders Hit NEGI With Derivative Class Action
• Sovereign Wealth Funds Raise Questions At SEC
• SEC Settles With Lawyer Accused In Pump-And-Dump
• Court Proposes Resolution To Bayer-Schering Dispute
• New York State Can't Enforce $1M Judgment: Court
• Subprime Suits May Cost Insurers $3.6B: Report
• Martek Biosciences Settles Securities Case For $6M
• Greenberg Traurig Opens Shanghai Office
• Judge Tosses State Street ERISA Case
• Enron Prosecutor Joins Holland & Hart
• DOJ Questions Exchange-Owned Futures Clearing
• Court Tosses Omnicom Shareholder Suit
• Ex-KPMG Director Settles In Peregrine Case
• SEC Denies Lehman Bid Over Global Warming Review
• Wireless Co., Hedge Fund Battle Over Shares
• Korean Businessman To Pay $50M For Stock Scandal
• Amgen Shareholder Anemia Drug Suit To Proceed
• Court Won't Open Lawyers' Files To Ex-Westar Exec
• Sallie Mae May Face Class Action By Investors
• Dow Jones Insider Trading Case Settled For $24M
• SEC To Mull Over Qwest Fraud Case Strategy
• The FCPA: The Next Corporate Scandal?
• AmeriFirst Exec In Contempt For Selling Picture
• Mich. Couple Ordered To Pay $3.14M In Fraud Case
• Ritchie Capital To Pay $40M For Late Trading Scheme
• IP Attorney Disbarred For Insider Trading
• Judge Allows Supplemental Briefs In Enron Suit
• Ex-ConAgra Exec Settles With SEC
• Ex-Credit Suisse Banker Convicted Of Conspiracy
• Former FINRA Counsel Returns To Pepper Hamilton
• SEC Opens Insider Trading Probe In SocGen Scandal
• Locke Lord Throws Hat Into Subprime Legal Ring
• Platforms Wireless Can Rebrief SEC Claims: Judge
• Biovail Faces Grand Jury Probe On Cardizem Launch
• Employee Shareholders Claim U.S. Sugar Hid Buyout
• Merrill Coughs Up $13.9M Over CDO Investments
• Lerach's Motion To Seal Documents Faces Opposition
• SEC Launches Study Of New SOX Exemption Rules
• Korean Court Finds Lone Star Funds, Exec Guilty
• Offshore Hedge Fund, Receiver Settle For $19M