Securities Archive » May, 2008

Securities - May, 2008

161 articles

• SEC One Step Closer To Filling Job Vacancies
• $117.5M Mercury Backdating Deal Inches Forward
• Following Lerach, Weiss To Head To Prison
• CFTC Needs More Staff, Chairman Says
• In Rare Move, CFTC Reveals Oil Price Probe
• Adams And Reese In Brawl Over WorldCom
• 8th Circ. Puts Kibosh On NVE Shareholders' Fraud Suit
• Diebold Loses Bid To Toss ERISA Class Action
• Ex-CIBC Supervisors Settle SEC Market Timing Cases
• Treasury Dept.'s New Foreign Investment Regulations
• FTC, Private Investigators Settle In HP Spying Scandal
• SEC Sanctions Broker-Dealer In Auction Rate Case
• Bear Stearns Shareholders Sign Off On Merger
• Two Indicted For Insider Trading On Mergers
• SEC Probes Three Credit-Rating Giants Over Errors
• Whole Foods CEO Regrets Posts But Slams Media
• Bear Stearns To Hand Over Records To SEC: WSJ
• Former SEC Counsel Joins Alston & Bird
• Wall St. Firms Sued For Short-Selling Taser Stock
• Senate Committee To Consider SEC Nominees
• Applied Micro: End Of SEC Probe Imminent
• Backdating Suit Against Asyst Tech Dismissed
• Ex-Connetics VP Settles Insider Trading Charges
• Milberg Weiss Kickbacks Hurt Class Members: Study
• SEC Secretary Of 2 Years Returns To Private Sector
• Citing Philanthropy, Weiss Asks For Leniency
• VAALCO Energy Settles Proxy Fight With Hedge Fund
• 3rd Circuit Rejects Isolagen Appeal As Premature
• SEC Adds 4 More European Regulatory Allies
• Amtrak Cheated Public Shareholders: Suit
• Ex-Baker & McKenzie Lawyer Hit With 2nd Indictment
• Insider Trading Claims Against Tellabs CEO Tossed
• SEC Probe Of Ex-AIG Exec Also Looks At Capco Deal
• UBS Scores Win In $475M Subprime Contract Suit
• Milberg Fights Criminal Forfeiture In Kickback Case
• Fight Continues Over 7th Circ. Mutual Fund Fee Ruling
• Judge Holds Amaranth's Feet To Fire Of CFTC Claims
• The SEC's Mandatory Interactive Data Format
• Congress Wary Of DOJ's Corporate Monitoring Info
• SEC Moves Toward Adopting High-Tech Filing Rule
• Ex-Bayou Boss Settles With SEC In Hedge Fund Fraud
• Survey Shows Companies Slow to Embrace E-Proxy
• Feds Indict Eight More In Stock-Loan Kickback Case
• Icahn Forces Biogen's Hand In Document Spat
• Investors Sue Computershare Over Stock Certificates
• Pension Fund Sues AIG Over Risky Investments
• Refco, Multi-Bank Settle Spat Over Alleged Deposit
• Investors Push Senate To Enact Climate Change Bill
• Securities Attorney Arrested On Wire Fraud Charges
• To Preserve Privilege, Shun Voluntary Disclosure
• Former AIG Head Gets Tap On Shoulder From SEC
• Ex E-Commerce Exec Settles Insider Trading Charge
• Judge Denies Amicus Brief In $1B Enron Litigation
• New Bill Would Crack Down On Plaintiff Kickbacks
• Ex-Assent Exec Gets Probation For Insider Trading
• Pension Funds Blamed For Commodity Price Spikes
• Proposed Rules Will Expand CFIUS Scrutiny, Control
• SEC Freezes Hedge Funder's U.K. Assets In Fraud Suit
• Brooks Automation Settles SEC Backdating Suit
• Municipal Bond Exemptions OK: Supreme Court
• EnerNOC Shareholders Fire Off Derivative Suit
• 7th Circuit Says Mutual Fund Fees Are Not Too High
• Sentinel Execs Settle Fraud Suit For $10.7M
• Supreme Court Rejects Cendant CEO's Appeal
• SEC Charges Time Warner Execs Over $1B Scam
• Circuit OKs Dismissal Of BofA Securities Claims
• Michigan Makes Play To Lead Bear Stearns Case
• Downey Financial Faces Suit Over Subprime Mess
• Rigases' Attorney Asks Judge To Rethink Sentence
• Nacchio Fights U.S. Bid For Full 10th Circuit Review
• Judge Denies New Trial To General Re, AIG Execs
• Ex-PurchasePro CEO Found Guilty Of Securities Fraud
• FINRA Fines 3 Firms $1.6M For Reporting Omissions
• Congress Approves Plan to Close Enron Loophole
• Judge Tosses Claims In Eight Suits In IPO Litigation
• $40M Unum Class Action Settlement Gets Judge's OK
• Judge Keeps Countrywide Suit Alive
• Willbros Enters $10.3M SEC Deal Over Bribery, Fraud
• Nutraceutical Stock Promoter To Pay Over $2M
• 2nd Circuit Weighs In On Class Action Fairness Act
• Companies Get Off Cheap In Options Cases: Study
• SEC Charges Broadcom Execs In Backdating Scheme
• SEC Settles With Former Foodservice Exec
• Plaintiffs Gearing Up For Big Battle Over Muni Bonds
• SEC Eyes Computer-Coded Filing Requirements
• Ex-Gemstar CEO Indicted For Obstructing SEC
• Shareholders Eye $21M Payout In Veritas Fraud Suit
• Fund Plotted With Rival To Take Over Board: VAALCO
• Sentencing Ends Beacon Rock Market-Timing Case
• Judge OKs $18.3M Rambus Backdating Settlement
• Obama Garners Endorsement Of Three Ex-SEC Chiefs
• CNET Loses Appeal In Board Nomination Dispute
• Clear Channel, Banks Clear Air With $17.9B Deal
• Bryan Cave Welcomes Partners In D.C., New York
• SEC Amendments Expand Use Of Forms S-3 And F-3
• Ex-Hedge Fund Manager Settles Insider Trading Suit
• Brocade CEO Acted Within Employment Scope: Judge
• Iomega Shareholder Challenges Planned EMC Merger
• Craigslist Swipes Back At EBay With Antitrust Suit
• JP Morgan Gets Wells Notice In Municipal Bond Probe
• Willkie Farr Welcomes Three Former SEC Officials
• 9th Circuit Upholds Dismissal Of Fraud Suit
• Fighting FINRA Pays Off: Sutherland Study
• SEC Accuses Doctors Of Insider Trading
• Ryan Ruling Considers Confidentiality Issues
• Ruling Imperils Directors' Advancement Of Fees
• Litigators Urge Clarity Over Punitive Damage Rules
• Alcoa Hit With Derivative Suit For Alleged Bribery
• GunnAllen Pays $750K To Settle FINRA Action
• SEC Rebuffed In Backdating Case
• Policy Proxy Bids Waste Company Time: Experts
• Subprime May Cost State Street Almost $8B
• SEC Continues TVI Probe
• Dorsey Partner Fired Amid Insider Trading Probe
• Bear Stearns Class Action Seeks To Block Buyout
• Firm Files FINRA Suit Over Auction-Rate Securities
• FedEx Driver Policy Prompts Shareholder Suit
• Federal Prosecutor Indicts Brooklyn Mortgage Brokers
• Marvell To Pay $10M To End SEC's Backdating Case
• Terex Corp. Discloses SEC, DOJ Subpoenas
• Congress Examines Regulation Of Investment Banks
• Ex-Bear Stearns Trader Sentenced Over Scheme
• Bear Stearns Investors Retract Calls To Block Buyout
• Ex-Dynegy Lawyer Asks Judge To Step Down
• UBS To Repay $35M To Mass. For Auction Rate Sales
• SEC Accuses Ex-Telecom Execs Of FCPA Violations
• Judge Trashes Requests For Extra Attorneys' Fees
• SEC's Atkins To Leave At End Of Term
• Baker Donelson Adds Securities Shareholder
• Patton Boggs Scores Middle East Bigwig
• Parmalat Demands $2.2B In Citigroup Suit
• Panel Awards $12M To Ex-AllianceBernstein Broker
• Microsoft Withdrawal Gives Yahoo Plaintiffs Ammo
• Auction Rate Securities Need Individual Scrutiny: NERA
• Del. Court Reads Advance Notice Bylaw Narrowly
• Apollo Group Settles Shareholder Derivative Suits
• Dispatch Takes Issue With Bank's $7B Deal
• SEC Sues GlobeTel, Claiming $120M Fraud Scheme
• Kaye Scholer Scores U.S. Attorney
• Bill Seeks An End To Enron Loophole
• Ex-Heller Securities Partner Joins Gibson Dunn
• Parent Cos. May Be Liable In Fraud Suits: 11th Circ.
• K&L Gates Adds Fried Frank Managing Partner
• N.Y. Regulatory Task Force To Probe Subprime Players
• U.S. Asks For En Banc Hearing In Nacchio Case
• SEC Takes Aim At Swap Agreements
• Parmalat Settles With Investors For $40M
• Lawmakers Urge Probe Into Lerach Kickback Claims
• Damages Expert For Milberg Pleads Guilty To Perjury
• Suit Claims Sprint Mismanaged Retirement Plans
• Invitrogen Scientist Settles Insider Trading Case
• Citi Muni Fund Is Hit With Class Action
• Zyprexa Securities Suit Dismissed As Time-Barred
• Former Nortel VPs Strike Deal With SEC
• Lehman Hit With Patent Suit Over Trading Technology
• BofA Unit To Pay $9.8M In SEC Settlement
• McCann Erickson Pays $12M To Settle Fraud Charges
• Class Action Seeks To Halt Mars-Wrigley Merger
• Closing Down 'Litigation Kennels'
• Disclosing Risks Of Climate Change In SEC Filings
• CFTC Sues Sentinel Over Alleged Misuse Of Funds