Securities Archive » December, 2010

Securities - December, 2010

256 articles

• Securities Regulation To Watch In 2011
• Defense Bar Is Big Winner In 2010 Securities Rulings
• Madoff, Credit Crisis Drove Securities Deals In 2010
• Securities Cases To Watch In 2011
• Q&A With Paul Weiss' Daniel J. Kramer
• Considering New Expert Disclosure Requirements
• Ideation Investor Sues Over SearchMedia Merger
• SEC Sues InterMune Options Buyers Over Inside Tips
• Marshall & Ilsley Shareholders Sue Over $4B BMO Deal
• Calif. Tech Consultant Pleads Guilty In Trading Probe
• MBIA Gets OK To Use Stats In Countrywide Fraud Suit
• WaMu Bondholders Take JPMorgan Suit TO DC Circ.
• Baldwin Sues Costner Over $52M Deal With BP
• Insurers Keep JPMorgan Bond Fraud Suits Alive
• 2nd Circ. Sinks Website Exec's $2B Suit Against SEC
• Ohio Teachers Sue Wachovia Over $24M Sigma Loss
• 3 Traders Face Penalties Over Odyssey, Liberty Plots
• Marsh Can't Shake $17.5M Fraud Suit
• SEC's Heightened Adviser Registration Requirements
• Hedge Fund Manager Targeted Over Stock Deal
• Ex-UBS Banker Gets Time Served For Insider Trading
• JP Morgan Settles Fla. Securities Claims For $25M
• American Apparel Denies Withholding Financial Info
• Forex Trader Gets 15 Years For $37M Ponzi Scheme
• NJ Investment Firm Accused Of $40M Ponzi Scheme
• Imax Investors Lose Class Bid In Securities Action
• GlobeTel Strikes Deal With SEC In $119M Fraud Case
• Judge Won't Split Discovery In SemGroup Action
• Ex-UBS Banker Pleads Guilty To Insider Trading Scheme
• Pegasus Hedge Funds, Execs Settle SEC Fraud Claims
• Obama Inks $250B Short-Term Funding Bill
• Ghost Of Arthur Andersen Haunts Ernst & Young
• Odyssey Settles Shareholder Suits Over Gentiva Merger
• Oppenheimer Can't Shield Internal Docs: Mass. Judge
• Former Madoff Aide Jailed After $5M Bail Revoked
• Magma Fails To Boot Genesis' $5M Coverage Suit
• Latin Node Faces Bribery Charges Over Telecom Deal
• SEC Unveils New Registration Rules For Muni Advisers
• Judge Freezes Ga. Fund Manager's Assets In Fraud Suit
• Whistleblower Groups Say SEC Reward Plan Falls Short
• 9th Circ. Upholds Fraud Ruling For Ex-US Wireless CEO
• Former Terex CFO Beats SEC Fraud Accusations
• Senate Sends Short-Term Spending Bill To House
• Deutsche Bank To Pay $553M For Tax Shelter Plot
• ICP Bid To Toss CDO Fraud Case Falls Short
• Investor Says Alternate Energy Inflated Stock Price
• Receiver Seeks $12.5M From Ex-Stanford Brass
• Tenn. Court Bars Creditors' Breach Of Duty Claims
• Judge Delays Shareholder Vote In $1B Oracle-ATG Deal
• Prosecutors Want 2nd Mental Exam On Stanford
• Lancer's Garvey Makes 2nd Bid To Toss Fraud Case
• Morgan Stanley Hit With Investment Advice Suit
• SEC Launches Probe Into Hurd's Exit From HP
• Ex-HR Co. Worker Can't Avoid $13M Hit In SEC Suit
• Winston & Strawn, Starr Sued By Ex-William Morris CEO
• Baker & McKenzie Snags Lead Madoff Prosecutor
• Ambac Shouldn't Maintain Investments, Trustee Says
• SEC Accuses Ex-Carter's Exec Of Insider Trading
• Shareholder Targets $960M Dell-Compellent Deal
• Limited Partners In Bankrupt Madoff Funds Ask To Sue
• BNY Mellon Sues Santander Over Debt Interest Rate
• Case Study: US V. Woolf Turk
• States Accuse BofA Of Deceptive Mortgage Practices
• Merkin's Madoff Feeder Fund Faces Another Suit
• Ex-Jefferies Fund Chief Gets 6 Years For Trading Scam
• Suits Pile Up Over JPMorgan, HSBC Silver Claims
• 7th Circ. Won't Revisit Conrad Black Convictions
• Picower Widow To Give Back $7.2B In Madoff Profits
• Overstock Accuses Goldman, Merrill Of Short Sale Plot
• Banks Ask 9th Circ. To Review Revival Of IPO Suits
• Senate Scraps $1.1T Spending Bill
• 5th Circ. OKs Freeze On Stanford Brokers' Assets
• Viacom Breached $175M Harmonix Merger Deal: Suit
• SEC Hits Alternate Energy With Fraud Suit
• Judge Freezes Assets Related To Pepsi-WBD Deal
• PepperBall, Exec Beat $4.8M Securities Fraud Suit
• Plaintiffs Blast $137M BofA Deal In Muni Bond MDL
• US Answers Mandell Dismissal Bid With New Charges
• Ex-Winston Atty Targeted For Role In Ponzi Scheme
• SEC Accuses Wachovia Brokers Of $8M Fraud Scheme
• GOP Report Blames Financial Crisis On Mortgage Losses
• $10M In Clawbacks OK'd In Westgate Fraud Suit
• Ex-Frontier CEO Says US Misused Depositions
• Materiality And Statistical Significance Explained
• 5 Strategies For Avoiding Wiki Situations
• BofA Fights $590M Ruling Over Lehman Seizures
• Feds Charge 4 Consultants In Insider Trading Probe
• CFTC Unveils Revised Swap Exchange Facility Rules
• Goldman Bests Investor's $15M Suit Over Madoff Losses
• Pfizer Wins OK For $75M Deal In Shareholder Suits
• Ohio AG To Head Enforcement At New Consumer Bureau
• 2 Firms Strike Deals In NY Pension Corruption Probe
• 4 More Madoff Associates Deny Fraud Charges
• Hebrew Boys Get Decades For Unholy $80M Scheme
• Lancer Exec Says High Court Ruling Bars $200M Case
• SEC Advances Rules On OTC Derivatives Market
• In-House Lawyers Attack SEC Whistleblower Program
• Teva's $70M ARS Suit V. Deutsche Tossed For Good
• Senate Unveils $1.1T Omnibus Spending Bill
• SEC Accuses Nev. Lawyer Of $7M Merger Fraud
• 3rd Circ. Won't Revive Cephalon Shareholder Case
• Australia Gives Blessing To $8.2B ASX-SGX Merger
• Union Fund Targets LPS Directors Over Robo-Signing
• SEC Wants The Scoop On Private Investment Advisers
• Q&A With Pillsbury's Bruce Ericson
• Accesskey, Ex-CEO Face Fines In Stock Fraud Case
• 11th Circ. Kills Office Depot Shareholder Fight
• Ex-Gryphon Workers Strike Deal In SEC Fraud Case
• Judge OKs $27M Deal In Cooper Securities Action
• Audit Board Proposes $15M In Broker-Dealer Fees
• Sidley Snags 3 Howrey Securities Litigators
• New York Life Sued Over Alleged Madoff Losses
• Plaintiffs Seek Class Cert. In Credit Suisse Suit
• Madoff Recovery Efforts Net Law Firms $44M
• Prosecutors Fight Dismissal Bid By Adelphia Execs
• Goldman Appeals Loss In $21M Bayou Arbitration Case
• Death Knell Of Placement Agent Outcome-Based Pay
• Credit Suisse Escapes Claims In National Century MDL
• Ex-GE Capital Exec Gets 10 Years In Fraud Case
• Court OKs Visteon's $2.3M Deal With Shareholders
• 8th Circ. Shuts Down Medtronic ERISA Action
• Calif. Regulator Blocks PacifiCare Dividend
• Madoff Son's Suicide Won't Stop Suits, Trustee Says
• PE Firm Founder Sues Madoff Feeder Fund
• RAE To Pay DOJ $1.7M In Chinese Bribery Case
• Feds Unhappy With Madoff Employee's Bail Proposal
• Ex-Quest Exec Appeals 16-Year Fraud Sentence
• Judge Nixes Shareholder Suit Over Morgan Stanley Pay
• 'Unfocused, Numb' Stanford Seeks Competency Hearing
• Ex-Accesskey CEO Pleads Guilty To Securities Fraud
• Contemplating Future Regulation Of Carbon Markets
• Ex-Canopy CEO Admits To Wire Fraud In $93M Scheme
• Ex-Vitesse Semiconductor Execs Charged With Fraud
• TV Producer RHI Aims To Cut Debt In Half In Ch. 11
• 9th Circ. Overturns Ex-McAfee CFO's Fraud Conviction
• RAE Pays SEC $1.2M To Settle China Bribe Claims
• Goldman's Tourre Says SEC Case Has 'Fatal Defects'
• Insurer Can't Shake Coverage Bid For Bondholder Suit
• 2 Accused In Sequenom, EXAS Insider Trading Case
• Ameriprise Fee Class Action Finally Flatlines
• Judge Nixes Final Claim In State Street ERISA Suit
• Merrill Lynch Squandered Funeral Investments: Suit
• Vivendi To Pay $88M To Settle Brazilian GVT Probe
• The Price Isn't Right: Event Studies In M&A Suits
• Pfizer Pulls Hypertension Drug Thelin From Market
• Tri-Star CEO Admits To Kickback Scheme
• Madoff 'Criminal Soul Mate' Hit With $60B Fraud Suit
• Lionsgate Slams Icahn Before Shareholder Meeting
• Colo. Co. Says SEC To Blame For $19M In Madoff Losses
• 3 Ex-UBS Execs Indicted In Muni Bond Fraud Suit
• SEC Targets Inside Traders Over Pepsi-WBD Deal
• Broker-Dealers Have No Duty To Noncustomers
• Feds Fight Ex-Frontier CEO's Bid To Nix Fraud Charges
• Lehman's ADR Procedures Bid Inspires Objections
• 2nd Circ. Clarifies RICO Ruling At US' Request
• Semtech To Pay $20M To Settle Backdating Suit
• CFTC Delays Vote On Swap Exchange Facility Rule
• Ponzi Schemer Nadel Fights For Right To Appeal
• Madoff Trustee Wants $1B From Citigroup, Other Banks
• Parmalat Founder Gets 18 Years For Fraud
• Q&A With Debevoise's Colby Smith
• Aldus Equity, Top Lobbyist Settle Pay-To-Play Probe
• SEC, CFTC Lay Out Concerns About Tech, Resource Gap
• EU Pushes Prison For Major Financial Violations
• House Weighs $30M Cap For Fast-Tracking IPOs
• Judge OKs Excess Insurer's Suit Against SafeNet
• Madoff Trustee Seeks $635M From UK Unit, UBS
• Marsh Wants Bail Terms Eased In $20M Fraud Case
• Implications Of Genzyme: Loss Under A D&O Policy
• Atty Calls SEC Ethics Actions Too Severe, Unfair
• Petters Victim Asks High Court To Rule On Restitution
• MBIA Targets Morgan Stanley In Latest MBS Suit
• Q&A With McDermott's Rick Firestone
• Japan Seeks Criminal Charges In Wal-Mart Unit Probe
• CORRECTED: Reddy Ice Cartel Action Survives Challenge
• CRE Capital, Owner To Pay $26M In Forex Ponzi Suit
• Madoff Trustee Strikes $550M Settlement With Shapiro
• Judge Again Denies Bid To Dismiss Ivy ERISA Suit
• Pride Int'l Unit Settles Bribery Claims For $56M
• Another Firm Says It's Not Target Of US Trading Probe
• Investors Tell High Court Janus Is Liable For Funds
• Stanford Still Wants Out Of Prison As Trial Nears
• Richards Layton IT Guy Accused Of Insider Trading
• SEC, DOJ Sue MediSys Over Alleged Kickback Schemes
• Bryan Cave, AmEx Tax Shelter Case Pared Down Again
• US Won't Seek Prison For KB Homes Backdater
• BofA To Pay $137M In Muni Bond Bid-Rigging Probe
• CFTC Loses Bid For Quick Win In Capital Blu Fraud Suit
• Refco MDL Special Master Says Many Claims Should Go
• 2nd Circ. Questions ARS Harm In Butler Appeal
• SEC Pushes To Beef Up Broker-Dealer Custody Rules
• The End Of Class Actions? Not Likely
• Pfizer Proposes $75M Fund To Settle Shareholder Suits
• NJ Woman Gets 6 Years For $50M Ponzi Scheme
• Colo. Fund Manager Gets 40 Years For Ponzi Scheme
• Huron To Pay $38M To End Inflated Earnings Suit
• Ex-Madoff Employee Needs Co-Signers To Make Bail
• DOJ Touts Nationwide Investment Fraud Sweep
• UBS Insider Trader Wants Time-Served Sentence
• UBP To Pay $470M-Plus To Avoid Madoff Litigation
• US Urges High Court To Tackle Loss Causation Rule
• Investors Renew Class Action Against Lehman Directors
• Lionsgate Accuses Icahn Of Double-Crossing
• Ex-KBR Exec Pleads Guilty To Nigeria Bribes
• Janus Ruling Hinges On Who 'Makes A Statement'
• SEC Wields The SOX 304 'Clawback' Provision
• High Court May Overhaul Class Standards In Wal-Mart
• FINRA Hits Citi With $2.4M Ruling Over Mat Five Fund
• Shareholders Say WaMu Can't Hide Behind Privilege
• US Says Ex-KB Homes Exec Deserves Harsher Sentence
• Atty Input Sought On Del. High Court's Airgas Ruling
• AirTran Shareholder Challenges $1.4B Southwest Buy
• Feds Subpoena Researcher In Insider Trading Probe
• Class OK'd In Securities Suit Against Homebuilder
• Sky CEO Wants Charges Tossed, Cites F-Cubed Ruling
• SEC Advances Proposals For Swaps Oversight
• 15-Year Sentence Reinstated For National Century Exec
• Early Effects Of SEC's Climate Disclosure Release
• SEC Drops Case Against 2nd Smart Online Exec
• Healthways To Settle ERISA Class Action For $1.25M
• 9th Circ. Revives 2 Dozen Suits Over IPOs
• SEC Defers Five Dodd-Frank Offices Over Budget Issues
• Bentley Receiver Asks High Court To Hear Ponzi Suit
• RSL Investors Lose Bid To Go After Lehman Insurer
• WaMu Adviser Defends Pivotal Deal In Ch. 11 Plan
• AIG Ordered To Cough Up Docs In CDS Dispute
• Managers Of Bogus Hedge Fund Cop Guilty Plea
• Tyco Scores Partial Win In Suit Against Ex-CEO
• JPMorgan Cries Fraud, Sues Lehman Over $25B Loan
• Shareholder Sues To Block $5B Bid For Del Monte
• Judge Lets $600M Citigroup Unit Sale Move Ahead
• Feds Seek To Preserve Arrest Record Of Westar Exec
• $6.4B Suit Implicates JPMorgan In Madoff Fraud
• Conversion Evidence Battle Ends In DOJ's Favor
• Takeaways From SEC Comments On New Oil, Gas Rules
• 8 Years In Prison Enough For Smart Online Exec: SEC
• Investors Sue Principal Over Fund Redemption Dates
• Funds Defend Securities Suit In WaMu Bankruptcy
• SEC, CFTC Hit MexGroup With 1-2 Punch
• Public Records Requests Aren't Discovery: 7th Circ.
• Ex-NYC Council President Cops To Tax Charge
• Isilon Shareholder Sues To Block $2.25B EMC Merger
• Judge Won't Toss $20M Bayou Award Against Goldman
• Federal Wins Dismissal Of $5M Omega Coverage Suit
• Fraudster Asks High Court To Overturn Conviction
• Day Pitney Atty Wins Exit From UBS Trading Case
• CFTC OKs Proposed Rule Regulating Swaps Market
• LTX-Credence Shareholders Sue To Stop Verigy Merger
• Smurfit-Stone Employees Consolidate ERISA Actions
• Hedge Funder Snared In $35M Black Diamond Fraud
• 2nd Circ. OKs 5 Years, $30M For Mortgage Fraudster
• Merrill Shakes Some Claims Over $237M ARS Bonds
• Icahn Again Extends Lionsgate Tender Offer
• Money Manager Starr's Sentencing For Fraud Delayed
• Ladish Shareholders Sue To Block $778M Allegheny Buy
• The SEC's Lessons For Medical Consultants