Securities Archive » July, 2009

Securities - July, 2009

246 articles

• SEC Bid To Amend Musicland Suit Denied
• New Criminal Charges For WexTrust Ponzi Schemers
• Say-On-Pay Bill Passes House Along Party Lines
• Fraud Suit Against US Pension Trust Heads To Trial
• SEC Wants Kmart Ex-CEO Conaway To Pay $22.6M
• Court Finds 6-Year Prison Term Not Right For Nacchio
• CalPERS Denied Bid To Appeal Lead Plaintiff Status
• Sentinel Trustee's BoNY Suit Lacks Standing: Judge
• Ex-Seidman Partner Pleads Guilty To $20M Fraud
• Boies Schiller Snags SEC's Miami Office Director
• IGT Faces Investor Ire Over Financial Statements
• Drinker Biddle Adds Alston Investment Attorney In DC
• Nadel Investors Seek Cert. In Holland & Knight Suit
• Wells Fargo Objects To GM's Bid To Dump Leases
• Another SEC Setback On PIPES, Insider Trading
• SEC Wants Same Judge To Hear CSK Auto Cases
• Top TARP Banks Paid Out $32.6B In Bonuses: Cuomo
• SEC Says Satellite Co. Bosses Covered Up For Felon
• Senate Probes Financial Giants Over Mortgage Crisis
• Realty Finance Co. Wins Dismissal Of Suit Over IPO
• Top House Dems Unveil OTC Derivatives Principles
• Brokerage Legent Loses Bid To Toss Margin Fraud Suit
• Insurers, Others Weigh In On US Model BIT Reform
• Attys To Appeal Injunction In Hagens Berman Spat
• Ex-Dollar General CFO Appeals SEC Relief Injunction
• American Home Bid To Revive Lehman Suit Fails
• Stay Rejected In Albertsons Insider Trading Cases
• McDermott Fires Back In Malpractice Suit Over Stocks
• Concert Promoter Appeals $5M Ponzi Case Judgment
• Will There Be An Onslaught Of ARS Litigation?
• GE Shareholder Actions Over Finance Unit Linked Up
• No Class Cert. For Deutsche Fraud Suit: 9th Circ.
• Former Del. Chancellor To Join Paul Weiss As Partner
• Class Cert. Denied In BankAtlantic ERISA Suit
• SIPC Trustee Sues Ruth Madoff For $45M
• Judge Blasts SEC For Pursuit Of Merchant Fraud Suit
• Insurers' $19M D&O Suit Against Printer Co. Tossed
• Q&A With Baker & Hostetler's John Carney
• Ex-Wachovia VP To Pay Fine In Manipulation Deal
• NJ Goes After Merrill Lynch Over $300M Stock Sale
• Stanford Receiver Presses On With Clawback Push
• House Bill Calls For Greater Proxy Transparency
• Case Study: South Cherry Street V. Hennessee Group
• SEC Sues 4 Over $197M Mortgage Lending Scheme
• BofA Settles Parmalat Action With $100M Payout
• CFTC Chief Backs Position Limits On Energy Futures
• KV Pharmaceutical Moves To Toss Securities Action
• SEC Wins TRO, Asset Freeze In $50M Ponzi Case
• Merrill, UBS Fined Over Closed-End Fund Sales
• Q&A With Choate Hall's Michael Gass
• Potential Changes To SEC Disclosure Rules
• SiRF Settles Centrality Deal Stock Suit For $2.9M
• Adelphia Auditor Fails To Get Punishment Tossed
• Thomas Weisel Announces FINRA ARS Probe
• SEC, 'Chinese Warren Buffett' Reach Interim Deal
• Tyco Moves To Toss Market Maker's Fraud Case
• SEC Makes Naked Short-Selling Rule Permanent
• Sun Capital Granted Temporary Relief From Receiver
• Medarex Investor Sues Over $2B Bristol-Myers Sale
• Schumer Urges SEC To Look Into Flash Trading
• Pension's Suit Over Activision Merger Tossed Again
• 2nd Circ. Nixes Bids To Pursue CA Derivative Claims
• WG Trading Principals Charged With $554M Fraud
• Pleading Scienter In Securities Fraud Class Actions
• Lockheed Loses Bid To Oust ERISA Class Counsel
• CIT Group Puts Pressure On Bondholders
• Merck, Schering Settle Investor Action Over Merger
• Receiver, Stanford Execs Fight Over $50M D&O Policy
• Class Status Denied In Suit Over Midland Annuities
• Say-On-Pay Bill Headed To House Floor: Rep. Frank
• DOL Should Up ERISA Fund Guidance: Attys
• MBNA Shareholder Derivative Suit Settled For $7M
• Greenberg Traurig Snags Ex-SEC Atty From Dorsey
• SEC Approves Exemptions For 2 CDS Clearinghouses
• Specter Calls To Lower Civil Pleading Standard
• Another Settlement Offer Filed In Amaranth Case
• Forex Liquidity CEO In Contempt Over $7M Assets
• Adelphia Lenders Can Depose Rigas, Son: Judge
• A Bear Market Lesson About Bullish Projections
• Cendant Loses Appeal Of $98M Judgment
• Bristol-Myers Settles Plavix Securities Suit For $125M
• Former PEMGroup Head Pang Faces Criminal Charges
• Scottrade Seeks To Reopen Modern Energy Suit
• Obama Unveils Rules For Systemic Risk Regulation
• Dozens Arrested In NJ, NY Money Laundering Probe
• Boies Snags DOJ Atty Who Probed Enron Scandal
• Suit Against McGuireWoods Stays In Kansas
• 2nd Circ. Says Hacking May Be 'Deceptive' Under 10b
• SDNY Securities Fraud Chief Joins Fried Frank
• 1st Circ. To Revisit SEC Case V. Columbia Execs
• 2nd Circ. Affirms Class In Flag Telecom Suit
• Q&A With Faegre & Benson's Robert Schnell
• Obama's Broker-Dealer Reform Package
• Ex-Nixon Peabody Litigator Crane Joins K&L Gates
• SEC Seeks $4M Clawback From CSK Auto Ex-CEO
• SEC Proposes Bar On Pay-To-Play Pension Schemes
• CFTC, SEC Eye Joint Regulation Of OTC Derivatives
• 2nd Circ. Backs Dismissal Of Medis Securities Suit
• Q&A With Troutman Sanders' David Dantzler
• Stanford Receiver Tries To Unload Private Equity
• Colonial BancGroup Derivative Suit Gets The Boot
• Grupo Unit Appeals $1.4B Ruling In Asarco Case
• Ex-Credit Suisse Broker Cops To $1B ARS Fraud
• Insurance Linked Securities In A Challenging Market
• Kmart Shareholder Class Action Booted
• SEC Hits Perry With Merger Arbitrage Fine
• DC Circ. Tells SEC To Re-Examine Annuity Rule
• DOJ Seeks DTCC Info In Credit Default Swap Probe
• Obama Sends Rating Agency Reform To Capitol Hill
• Ex-CEO Of Steve Madden Joins McCarter & English
• WG Trading Exec Pleads Guilty In $554M Fraud Case
• Forex Capital Found Not Liable For Broker's Fraud
• SEC Slaps Morgan Keegan With ARS Suit
• Q&A With Katten's David Kistenbroker
• Obama To Tap Sommers For 2nd CFTC Term
• Class Wins Cert. In Syntax Securities Fraud Action
• Confidentiality Requests In Light Of SEC V. Cuban
• Motown Bigwig Takes Aim At Willkie Farr
• SEC Fights Stanford Receiver's Clawback Efforts
• NL Industries Hit With $178M Verdict In Stock Suit
• Morgan Stanley To Pay Penalty Over SEC Claims
• Qualcomm Exec Traded On Nokia Deal Inside Info: SEC
• TD Ameritrade To Buy Back $456M In ARS
• Some Claims Nixed In Maxim Backdating Suit
• Investors Say CIT Lied About Risks
• Hedge Fund Hit With Suit Over Madoff Investments
• Investors Sue Caraco Over Plant Inspections, Raids
• Spansion Balks At Bid For Equity Holders Committee
• Finance Sector Main Target For Securities Suits: Study
• NY AG Targets Charles Schwab Over ARS
• Micron Suit Over DRAM Price-Fixing Rejected
• Hedge Fund Manager Tom Gets Year In Prison
• PwC To Pay $23M To Settle Lancer Fraud Claims
• Matrixx Hit With Shareholder Action Over Zicam
• No Free Lunch: Coughlin Stoia's Free 'Monitoring'
• Appeals Court Favors Putnam In Pension Fund Suit
• I-Flow Share Transfer Improper: Calif. High Court
• Duane Morris Malpractice Suit Moves Ahead In NJ
• Receiver Moves To Reassign Case Against Thompson
• Insider Trading Suit V. Billionaire Mark Cuban Booted
• Plaintiffs Sanctioned In National Century Suit
• Bingham Grabs Cox For Orange County Office
• Madoff's Accountant Pleads Not Guilty To Charges
• Whistleblowers May Do Better Under Obama
• SumTotal Settles Shareholders' Fiduciary Duty Suit
• EU Vs. US — Reforming The Securitization Market
• Malpractice Suit Against 3 Law Firms Gets 2nd Life
• SEC Wants Munis To Feel More Like Stocks
• Provident Creditors Seek Hearing In SEC Ponzi Suit
• DOJ, Financial Data Co. Confirm CDS Antitrust Probe
• Delphi Bondholders Object To Proposed Asset Sale
• Accredited Settles Investor Securities Suit For $22M
• Receiver Goes After Stanford Investors' Profits
• Q&A With Sheppard Mullin's John P. Stigi III
• Implications Of Amending NYSE Rule 452
• Fugitive Ex-Credit Suisse Broker Arrested
• CalPERS Sues Rating Agencies Over $1B In Losses
• Lloyds, Credit Suisse Sanctioned In Discovery Spat
• Israel's Jail Time Upped For Getaway Stunt
• 2nd Circ. Upholds Dismissal For Bayou Advisers
• Insider Trading Charge Stands For Bear Stearns Exec
• Asset Freeze Continues Against Embattled Financier
• Novell Shareholders Leave Backdating Suit To Board
• White House Unveils Hedge Fund Regulation Bill
• Provident Creditors Fight To Be Heard In Ponzi Suit
• SEC Seeks To Enjoin Fund Over Ties To Ponzi Case
• SEC Targets 11 With Insider Trading Claims
• Hedge Fund Paramount's Assets Frozen In Fraud Suit
• SEC Considers New Rules For Credit Rating Industry
• $56M Deal Gets Initial OK In Peregrine Securities Case
• Thompson & Knight Aided 'Ponzi-Like' Scheme: Suit
• Art Dealer Arrested, Indicted Again On New Charges
• Citigroup Ordered To Pay $2.3M Over ARS
• Former Tyco Execs Settle SEC Fraud Charges
• CDO's Credit Default Swap Suit V. Wachovia Trimmed
• Hunton Litigation Team Moves To Winston & Strawn
• CSC Off Hook In ERISA Stock-Drop Class Action
• Firms Vie For Lead In Oppenheimer Muni Bond MDL
• Anadarko, Kerr-McGee Sued Over Tronox Spinoff
• SEC Says Charter Plan Protects Chair From Liability
• 3rd Circ. Nixes Equity's Appeal Of CFTC Fraud Case
• Atty Says Ex-Stanford Exec Plans To Plead Guilty
• NJ Asks To Seek Remand Of Lehman Case In 3rd Circ.
• Ex-Mayer Brown Bigwig Convicted In Refco Fraud
• Ex-CEO Loses Bid to Exit Energytec Ponzi Suit
• Counsel Fees Cut In Warner Chilcott Securities Action
• Treasury Offers Bank Warrants For Bargain: Report
• Investors Say Manulife Lied About Risk Management
• Accused Fraudsters Told To Pay $30M In SEC Suit
• Ameriprise To Pay $17.3M To Settle REITs Dispute
• SEC Puts Calif. IOUs Under Federal Securities Law
• Madoff Trustee Reports $1B Recovered
• Hedge Fund Hit For Pumping $2B Into Ponzi Scheme
• Stanford To Stay Behind Bars Until Trial, Judge Rules
• Morgan Stanley Plaintiffs Ask Judge To Rethink Halt
• PIMCO Loses Bid To Decertify Class In Antitrust Action
• Q&A With Choate Hall's Brian Davis
• Q&A With Katten's Bruce Vanyo
• Q&A With Edwards Angell's Stephen Huggard
• IRA Holders Sue Conn. Bank Over $60M Madoff Loss
• 1 Juror In Refco Atty Trial Claims Threat By Another
• US Moves To Block Broadcom Execs' Subpoenas
• Euro Regulators Propose Short Sale Disclosure Rules
• National Insurance And Financial Regulatory Reform
• The SEC's Latest Stab At Disclosure Rules
• Clients Accuse Highland Of Spreading Lies
• Quality Stores LBO Payouts Exempt From Suits: Court
• Feds Say Dreier Deserves 145 Years Behind Bars
• SEC Seeks Fines In Hedge Fund Kickback Case
• Six At Sky Capital Charged Over $140M Fraud
• Bill Aims To Hand Carbon Market Oversight To CFTC
• NY Reaches Deals With Credit Suisse, Merrill Over ARS
• CFTC Considers Limits On Energy Trading
• Accused Ponzi Schemer Pang Asks To Toss SEC Suit
• SEC Accuses Texas Co. Of $485M Ponzi Scheme
• Stanford Calls On Judge To Rethink Detention Order
• Advisory Jury Finds For Starr In $4.3B AIG Stock Spat
• SEC Accuses Geotec, Execs Of Fraud Scheme
• EU Outlines Potential Derivatives Reforms
• Salesmen Ordered To Forfeit $5M From MBC Plot
• Fed Would Be Independent Risk Regulator: Vice Chair
• Blank Rome Adds Securities Partner From Clifford
• HealthSouth Tries To Get Scrushy To Pay Up
• Geithner Trots OTC Reform Plan Before House
• Insurance Brokers Accused Of Aiding Stanford Plot
• Discovery Over For Credit Suisse In Ponzi Case: Judge
• Another D&O Insurer Spurns GeoStar
• Debevoise Atty To Join SEC Enforcement Division
• Class Certified In 401(k) Fee Case Against Edison
• Former HealthSouth CFO Headed To Prison
• Class Leads Picked For BofA-Merrill Buyout Battle
• Nadel Investors Defend Suit Against Holland & Knight
• Perfect Storm: Law Firm Insolvencies, Jewel V. Boxer
• Dusting Off SEC Cooperation Rules For Individuals
• Future Of Advancement And Indemnification Rights
• UK Fund Group Wants Tighter Post-Madoff Rules
• SEC Signs Off On NYSE Broker Vote Ban
• Fund Adviser, Cuomo Settle Pension Probe For $2M
• Drinker Biddle Snags DOJ Vet For White Collar Group
• Adelphia Trust Must Produce Deloitte Suit Testimony
• Stanford Financial Ex-CFO To Cop To Charges: Atty
• SEC Suit Over $44M Scheme Still In Play
• Ex-Beazer Accounting Officer Hit With SEC Fraud Suit
• Shareholders Seek To Reclaim Cityhub Search Patent
• Hagens Berman Takes 2 Ex-Attys To Court
• Trial Ordered Over JPMorgan Role In Enron Dispute