Securities Archive » January, 2010

Securities - January, 2010

239 articles

• Carbon Market Still Growing Despite Uncertainties
• Former SEC Atty Found Guilty Of Pump-And-Dump Plot
• Vivendi To Appeal Verdict That It Misled Investors
• Sunwest CEO Agrees To Pay Investors $4.2M
• PCAOB's Future In The Supreme Court's Hands
• IMS Health Settles Shareholder Suits Over Merger
• Ex-Willbros Execs Get Prison Sentences In Bribery Plot
• Roth Dodges Some Claims In Mortgage Stock Fraud MDL
• Deals Near In Case Against Ex-Collins & Aikman Execs
• Drug Charges Against Ex-Broadcom Exec Tossed
• Big Apple Fund Gets Another Bite At Apple Inc.
• UBS Blocks Swiss Investors' $40M FINRA Claim
• CFTC Fines Canadian Cos. Over Gas Futures Trading
• Thornburg Officers Dismissed From Subprime Suit
• Reed Smith Adds 2 Corporate Partners In NYC
• SEC Gets OK For Expanded Charges In Galleon Case
• Madoff Trustee, Levys Strike $220M Clawback Deal
• Addressing Coverage For SLC-Incurred Legal Costs
• Aviva Class Flays Objector To $570M Settlement
• Citigroup Stock Plan Plaintiffs Appeal To 1st Circ.
• Greenberg Snags Wollmuth Maher Securities Partner
• PXRE Securities Suit Dismissed With Leave To Amend
• CFTC Chairman Calls For Regulation Of OTC Dealers
• SEC Backs Climate Change Guidance For Public Cos.
• Canadian Securities Class Actions Take Slight Dip
• Credit Suisse To Pay Texas $1.4M In ARS Fines
• Trustee Slams WaMu Investor's Committee Request
• Citi, Others Let Off Hook In ARS Antitrust Actions
• CME Defends Decision To Deny Rival's Trades
• Ex-Attorney Rothstein Cops To $1.2B Ponzi Scheme
• SEC Sues East Delta, Execs Over Market Manipulation
• Mining Exec Forged Documents: SEC
• Lloyd's Told To Pay Stanford Execs' Defense Costs
• In-House Counsel Name Favorite Litigators
• New Castle Exec Waives Indictment In Galleon Case
• TARP Inspector General Reveals AIG Bailout Probe
• Shareholder Suit Over Cadbury-Kraft Deal Dismissed
• Actrade Settlement Nixed Over CEO's Alleged Pilfering
• Black Box Proposes Settlement In Backdating Suit
• In-House Counsel Name Favorite Securities Lawyers
• 2nd Circ. Won't Revive Morgan Stanley Conflicts Suit
• Mills Ex-Exec Fights $203M Securities Deal
• Case Study: NACCO Industries V. Applica
• Reed Smith Snaps Up Howrey Securities Partner
• Calif. Hedge Fund Bigwigs Reach Deal In Galleon Case
• BofA Unit Exits $550M Hedge Fund Suit
• WilmerHale Nabs SEC Trading And Markets Honcho
• PwC Escapes Freddie Mac Securities MDL
• AIG Looks To Dismiss Lawsuit Over Madoff Losses
• FINRA Issues Online Media Rules For Securities Firms
• Porsche Hit With $1B Suit Over VW Takeover Bid
• The Importance Of Janus V. First Derivative Traders
• Changes To $9.5M Atmel Backdating Settlement OK'd
• Kasowitz Benson Scores Former US Attorney In Fla.
• Ex-EMC VP To Pay Fine For Insider Trading
• Greenberg Nabs McDermott Will, Goodwin Procter Attys
• W.Va. Teacher Gets AIG Action Sent Back To State
• Goffer, 6 Others Indicted In Galleon Insider Trading Suit
• DC Bank Execs To Pay Atty Fees In Proxy Battle Feud
• Shareholders Slap Motorola With Fraud Action
• Ready Or Not: 10+2 Enforcement Begins
• Insurance Suit Against Milberg Back In District Court
• Sun Investors Lose Bid To Join Securities Suit
• Sidley Lures MoFo Atty To New Silicon Valley Office
• New Trial Granted In Failed Startup's Contract Fight
• Following Outcry, Goldman Sachs Cuts Bonuses By $6B
• Ex-Fund Manager Settles SEC Insider Trading Case
• Sequenom To End Shareholder Suits With $45M Deal
• WaMu Creditors Scoff At Shareholders' Committee Bid
• Gibson Dunn, PwC Cayman Off Hook In Refco MDL
• Ex-Skylynx CEO Pleads Guilty To $20M Stock Fraud
• Madoff Trustee Taps Kugler To Pursue Canadian Assets
• Six Flags Investors Escape Disclosure Requirement
• Obama 'Too Big to Fail' Plan Could Drown In Details
• Algonquin Fund Gets New Shot At $7.6M Judgment
• Assurant Makes $3.5M Deal With SEC
• Cedar Fair Investor Sues Over $2.4B Sale To Apollo
• Securities Firm Labaton Opens Del. Office
• NYBOT, ICE Off Hook In Member's Securities Suit
• Mishcon Opens NY Office With Sheppard Mullin Attys
• Court Cans Janus Investor Derivative Suits
• $6.7M Ends Adelphia Investors' Feud With Rigases
• Ex-Kmart CEO's Fraud Verdict Affirmed
• Ex-Evergreen Exec Settles SEC Insider Trading Claims
• The Economy Takes Its Toll On The Jury System
• McDermott Brings SEC Officials On Board
• Securities Cases Of The Decade
• Former DA Morgenthau Takes New Job At Age 90
• SEC Seeks To Beef Up Claims In Galleon Case
• Gen Re To Pay $90M To Settle 'Sham' Claims
• 3 Reach Deals In Broker-Dealer Bribery Case
• Couple Sues Ruden McClosky For Securities Fraud
• Cozen O'Connor Nabs TARP Official
• CMD Resolves Shareholder Suits Over Sale To ON
• 11th Circ. Tosses Backdating Class Action V. Jabil
• Katten Lures Sonnenschein White Collar, Health Attys
• Radian Scales Back Policy Rescission Fight
• Cuomo's Schwab ARS Suit Sent Back To NY Court
• DOJ Joins $119M GlobeTel Fraud Case
• New DOJ Position To Oversee Discovery Initiatives
• Gulfport Wins Dismissal Of Suit Over Rights Offering
• Options Backdating Payouts Approach $600M In 2009
• Recent Trends In Shareholder Derivative Litigation
• $572M Held In Argentine Bond Default Suit
• Mayer Brown Slams Ex-Refco Employee's RICO Claims
• State Street Hit With Shareholder Suit Over '09 Losses
• Dreier Clients Go After 'Stolen' $6.3M Settlement
• Supreme Court Declines To Hear QSI Payout Case
• Merrill Fights To Block La.'s ARS Arbitration Bid
• SEC, EWealth President Settle $7M IPO Fraud Suit
• $37M Settlements End AHM Securities MDL
• Weil Gotshal Nabs DOJ Fraud Section Chief
• Deutsche Bank To Buy Back $7.8M In ARS Deal
• No Fraud In Arete $4.5M Securities Suit: 5th Circ.
• 5th Circ. Affirms Bar On Stockbroker For Market Timing
• General Growth Counsel Returns To DLA Piper
• Gibson Dunn Malpractice Suit Sent To Arbitration
• Q&A With Becker & Poliakoff's Victor DiGioia
• Shell Gas Trader Off Hook In CFTC Manipulation Suit
• 'Zubulake Revisited: Six Years Later'
• CFTC Proposes Cap On Energy Speculation
• Ex-Mayer Brown Partner Gets 7 Years For Refco Fraud
• 'Chinese Warren Buffett' Arrested At Toronto Airport
• Talbots Hit With Shareholder Suit Over Aeon Deal
• KV To Settle Claims Against Citigroup In ARS MDL
• SEC Enforcers Armed With New Cooperation Tools
• Shareholders Fight Amgen's Stay Bid
• Accused Ponzi Lawyer Waives Potential Atty Conflicts
• House Bills Would Highlight Lobbying Spending
• Ex-Symbol CEO Wants No-Show Default Judgment Nixed
• KPMG Tries To Shake Action Over New Century Audit
• Understanding The Risks Of Dual Representation
• Panel Calls For Clearer TARP Wind-Down Strategy
• Switch & Data Fires Back At Shareholder Complaint
• Obama Issues Plan To Pay Taxpayers Back For TARP
• Bill Proposes Hefty Tax For TARP Firm Bonuses
• SEC Proposes Rule Banning Unfiltered Access
• SEC Names Picks To Steer New Enforcement Units
• Judge Rules Against Clawbacks In Reserve Fund Suit
• Trading Ring Scheme Defendants Must Face Trial
• SEC, Mobile Ready CEO Reach Insider Trading Deal
• Judge Axes Shareholder Action Over $5B DRS Merger
• ESSI Board Member's Backdating Suit Heads To Trial
• Banks Execs In Hot Seat Over Financial Collapse
• Law360 Securities Editorial Advisory Board
• Judgments Finalized In M&A Stock Tip Scheme
• Ex-Qwest CEO's Bid For New Trial Rejected
• Testing For Materiality In Volatile Markets
• Ambac Hits Credit Suisse Over $44M In MBS Payouts
• 2nd Circ. Remands Love Funding Champerty Suit
• Lancer Jury Can Presume Lost Docs Are Relevant: Judge
• Shareholder Suit Over Dow, Rohm & Haas Deal Tossed
• BofA Hid Merrill Losses Prior To Merger: SEC
• House Subpoenas NY Fed 'Backdoor Bailout' Docs
• Funds Want Expedited Hearing Over Goldman Exec Pay
• Smurfit-Stone Workers Bring ERISA Class Action
• Barclays Off The Hook In $60M Mortgage Fraud Suit
• Another Defendant Dropped From AIG Fraud Case
• Merrill Lynch Insider To Pay Fine For Illegal Trades
• Covered Bond Legislation In Australia And The US?
• SEC Sues Father-Son Team With Nadel Ties
• Atty's $12M Contract Claim Against Labaton Kept Alive
• Sterling Financial Socked With ERISA Class Action
• WaMu Wants Equity Committee Disbanded
• CORRECTED: SEC Ends $3B Fraud Case Against National Century Execs
• Stone Energy Looks To End Investor Suit For $10.5M
• Forex Receiver Wants Owner To Pay $3M In Damages
• Fed Warns Of 'Stigma' In Appeal Over Bailout Docs
• SEC Loses Bid To Add Loss Claims To BofA Suit
• NY Fed Increases Primary Dealer Standards
• SEC OKs New Safeguards For Investment Advisers
• Former Indevus VP Agrees To Insider Trading Deal
• Cuomo Scrutinizes Bailed-Out Banks' 2009 Bonuses
• LLCs Are Citizens Of Main Business State: 4th Circ.
• Chadbourne Gets $500M Malpractice Suit Tossed
• Pension Fund Sues To Block Novartis, Alcon Deal
• NY Fed GC Defends Geithner's Role In AIG Bailout
• RJ Reynolds Loses Bid To Decertify ERISA Class
• SEC Case Against US Pension Trust Moves Toward Trial
• Antigua Money Minister Was In Stanford's Pocket: SEC
• Rothstein's Atty May Have Conflicts Of Interest: US
• High Court Seeks White House's View On Janus Suit
• Ex-Broadcom CFO Appeals $118M Backdating Deal
• D&O Treatment Of Climate Change Liabilities
• Goldman Pay Suit Could Signal New Wave Of Litigation
• Congress To Probe NY Fed's Role In AIG Disclosures
• Feds Appeal Broadcom Dismissal, Drop Drug Charges
• Ex-Homestore CEO Faces 5 Years In Prison After Plea
• Q&A With Ungaretti & Harris' Gary Levenstein
• Shareholders Appeal NeuroMetrix Fraud Dismissal
• Money Manager Coughs Up $41M In SEC Ponzi Case
• Italy Extends Intesa Antitrust Probe Into February
• Putnam Mutual Funds Suit Precluded By SLUSA: Court
• Colonial Bancorp Judge Won't Extend Automatic Stay
• McKinsey Ex-Director Cops To Fraud In Galleon Case
• Shareholders Sue Goldman For Billions Over Exec Pay
• Ponzi Mastermind Gambled Away $28M: SEC
• Asset Managers Not Factoring In Climate Risks: Survey
• Greenberg Adds Latham, Kirkland Attys In Chicago
• Former Brocade VP Gets 2 Months In Backdating Suit
• Q&A With Neal Gerber's David Stone
• Kohlberg Hit With 2 Securities Class Actions
• Ex-CEO Appeals $118M Broadcom Backdating Deal
• Vedder Price Snags Curtis Securities Litigator
• Overhauling Exec Comp, Corporate Governance Rules
• Morgan Stanley Settles Contract Spats For $7M
• Insurer Must Defend In Stanford Ponzi Scheme Cases
• Fla. Ex-Lawyer To Admit Running $1.2B Ponzi Scheme
• DLA Piper Snags Business Duo From Goodwin Procter
• 3rd Circ. Nixes $370M Bentley Fraud Accessory Suit
• Former World Health Execs Settle Civil Fraud Claims
• Perot Investor To Disgorge $8.6M In Insider Trading Suit
• Charter General Counsel Heads To Thompson Coburn
• CMD Shareholder Sues Over Acquisition Price Offer
• Adelphia Ex-Counsel Ordered To Testify In Fraud Suit
• Ex-Deloitte Partner Liable For Insider Trades: Court
• SEC Taps PwC Exec To Head Inspections Unit
• IndyMac Ex-CEO Fights For Chance To Appeal
• Fox Keeps Up Fight For SEC Madoff Docs
• Back To The Future: Is Disbanding OCIE The Answer?
• Bank Takes WexTrust Liquidation Beef To 2nd Circ.
• H&R Block, NY Settle Fraudulent IRA Marketing Suit
• Securities Litigation Grows More Slowly Than Expected
• 2nd Circ. Turns To Mass. High Court In Derivative Suit
• Broadcom To Pay $160.5M To Settle Backdating Suit
• Ex-Comverse Execs Settle Backdating Spat For $62M
• DOL Moves To Resolve ERISA Suit Against TEOHC
• MBIA Wins Most Defense Claims In Insurance Dispute
• XTO Energy Shareholder Sues Over $41B Exxon Deal
• Investors Seek Class Status In Lehman Fraud Suit
• SOX Gives Whistleblowers De Novo Review: 4th Circ.
• 9th Circ. Slams Injunction Blocking Sunwest Lenders
• Credit Suisse Faces $24B Suit Over Resort Losses
• The Case For 'Client-Directed Voting'
• Securities Cases To Watch In 2010
• Securities Legislation To Watch In 2010
• Securities Lawyers' Wish List For 2010
• Securities Defense Firms Of The Year
• Plaintiffs Securities Firms Of The Year