Securities Archive » November, 2013

Securities - November, 2013

330 articles

• Inflated Share Suit Against CNL Lifestyle Tossed By Judge
• ISDA Bashes Quinn's Bid To Dodge DQ In Swaps Rigging Suits
• ResCap Settlement Allowing $1.2B In FHFA Claims OK'd
• Barclays Must Pay $2.1M To Trader Fired Amid Libor Scandal
• SAC's Steinberg Knew About Dell Source, Witness Testifies
• Dodd-Frank Does Not Entitle Whistleblowers To Jury Trial
• Deutsche Bank Tells Appeals Court $330M MBS Suit Untimely
• Ex-Paron Exec To Fight $1.5M CFTC Fine In 9th Circ.
• KPMG Says It Was Victim Of ShengdaTech Fraud
• Credit Union's $78M Claims Against ResCap OK'd By Judge
• Violin Memory Hid Troubles Before $146M IPO, Suit Claims
• 2nd Circ. Upholds $80M Fairfield Sentry Settlement
• Female Powerbrokers Q&A: Sidley's Sara Brody
• Female Powerbrokers Q&A: Morgan Lewis' Grace Speights
• CORRECTED: Judge Won't Dismiss Whitman From Suit Over HP's Autonomy Buy
• Insurers Too Late With BofA MBS Appeal, 9th Circ. Hears
• D.C. Circ. Affirms SEC Fine For Scofflaw Broker's Boss
• 7 Rulings Hospitality Attys Are Thankful For In 2013
• Securities Act Trumps APA For Appeals Timing: Texas Court
• Key Witness Takes Stand Against SAC's Steinberg
• Fla. Law Firm Pays $1M To End Nadel Receiver's Suit
• SEC Accuses 2 Investment Firms Of Disclosure Violations
• Senate Dems Push Obama For Tough CFTC Chairman Pick
• PVR Faces Fresh Class Action Over $5.6B Regency Merger
• SEC Charges Detroit Money Market Fund With Fraud
• Sovereign Bancorp Seeks To Recoup $234M In Taxes From IRS
• FHFA Holds Fannie, Freddie Loan Limits Steady For Now
• UBS Can't Stop Highland Transfers In $686M Fraud Suit
• How STARS Cases Apply Economic Substance Doctrine
• Weatherford Units Plead Guilty In $253M Bribery, Export Pact
• Lessons From Patton Boggs Defamation Case
• Aeropostale Opts For Poison Pill Amid Investor's Sale Push
• SEI Fined $1.5M In UK For Client Money Breaches
• FHFA Wants Fannie, Freddie To Wrap Up Mortgage Cases
• Quinn Emanuel Battles DQ Bid In Swaps Antitrust Row
• Female Powerbrokers Q&A: Mayer Brown's Libby Raymond
• Female Powerbrokers Q&A: Reed Smith's Colleen Davies
• $68B Calif. High-Speed Rail Plan Goes Back To Drawing Board
• Banks Face Patchwork Volcker Rule If Agencies Fail To Agree
• Recovery Now Available To Madoff Feeder Fund Victims
• Penny Stock Cos. Agree To $1.4M Deal With SEC
• Madoff Trustee Asks 2nd Circ. To Allow 6-Year Lookback
• GE, JPMorgan Can't Kill Investors' $2B MBS Trust Suit
• Morgan Stanley Urges 2nd Circ. To Ax Pair Of ERISA Suits
• Defendant In BigLaw Insider Trading Case Mulls Settlement
• ADT Agrees To $450M Share Repurchase Deal With Corvex
• Ponzi Schemer Rothstein Ordered To Appear At Atty's Trial
• Ex-Bank of Choice CEO Settles Securities Fraud Charges
• Judge Limits $951M Deutsche Bank MBS Case To Bad Loans
• Reinsurer Spearheads Push For MFC Board Shake-Up
• MoFo Adds Another Corporate Finance Partner To DC Office
• CommonWealth Investors Launch New Bid To Oust Board
• Boeing Wants Robbins Geller Sanctioned In Witness Scandal
• Credit Suisse Settles For $3.4M With WG Trading Receiver
• Female Powerbrokers Q&A: Hogan Lovells' Janet McDavid
• Female Powerbrokers Q&A: DLA Piper's Lisa Haile
• BGC Suit Over Data Theft Barred By Prior Arbitration
• Wife Can't Block Seizure Of Fraudster's Accounts: 2nd Circ.
• Credit Suisse Criticized As Banker Gets 30 Month Sentence
• Watch Out For Custody And Compliance Rule Sanctions
• Investors Hit Barclays, UBS, Others With $100M Libor Suit
• Judge Won't Recuse Himself From Lancer Clawback Suit
• Top Fed Official Wants Rules To Extend To Shadow Banking
• Merrill Lynch, BofA Beat $143M CDO Suit In 2nd Circ.
• Liquidity Coverage Ratio: What It Means For End Users
• SEC's Support Sought On User Fees For Investment Advisers
• Texas High Court Nixes Suit Over $25M Plastics Co. Sale
• 2nd Circ. Won't Revive Subprime Class Action Against ING
• NY Court Cuts Down $100M Fraud Suit Over Tech Co. Buy
• Jaguar Mining Board Says Claims Over $1B Deal Not Valid
• Texas Justices Won't Review Thompson & Knight Fraud Suit
• Female Powerbrokers Q&A: Norton Rose's Jane Smith
• Female Powerbrokers Q&A: Jones Day's Mary Ellen Powers
• JPMorgan GC Blasts Use Of Overlapping Enforcement Actions
• State-Mandated Student Pro Bono Programs Are Inefficient
• Lehman Brothers Sues LCOR For $83M Over Swap Termination
• Cooperator Links Steinberg Analyst To 'Corrupt Network'
• Madoff Trustee's $800M Deal With Major Investor Scrapped
• UBS Avoids Fines In EU Libor Investigation
• International Anti-Corruption Efforts Are Here To Stay
• Best Practices For Valuing Preferred Stock
• Almunia Says 'Fresh News' Coming Soon On Libor Probe
• Managers Of Busted $2.5B Hedge Fund Fight Class Cert.
• SEC Sues Another Tipper In Galleon Insider Trading Scheme
• 2nd Circ. Says No Coverage For DLA In $14M Apple REIT Row
• 5 Questions For Former US Sen. Ted Kaufman
• Ex-Wilson Sonsini Atty Disbarred Over $37M Trading Scheme
• Former Valerus Exec Must Arbitrate Stock Redemption Suit
• FDIC Will Give Full Outline Of Big Bank Wind-Down Plans
• SEC Accuses Madoff-Linked Investment Advisers Of Fraud
• Senate Panel Approves Yellen For Fed Chair
• How To Draft A Regulation G-Compliant Disclosure
• Female Powerbrokers Q&A: Weil's Mindy Spector
• Female Powerbrokers Q&A: Hunton & Williams' Sandy Collins
• Fla. Atty Pleads Guilty In $137M Investment Fraud Scheme
• BofA, Ex-Exec Say 'Hustle' Verdict Doesn't Warrant Fines
• Clearinghouse Safety Key To Derivative Reform: Fed Gov.
• Hologic Opts For Poison Pill After Icahn Discloses Stake
• $13B JPMorgan Deal Leads To New Investor Suit In Calif.
• Hertz Sued Over Misleading Financial And Spinoff Statements
• Halliburton High Court Case To Test Plaintiffs Attys' Moxie
• SAC Manager Sought 'Illegal Edge' In Trading, Jurors Hear
• Ropers Majeski Accused Of Malpractice In Securities Dispute
• Is This The End For Fraud-On-The-Market Doctrine?
• How Some Attorneys Succeed Where The 'Elite' Fail
• American Superconductor To Pay $10M To Exit Securities Suit
• Investors Sue Memory Co. Over Lost Facebook, Apple Deals
• Corzine, MF Global Managers Appeal Customer Payout Ruling
• Dewey Execs Shouldn't Duck Securities Fraud, Insurer Says
• Costa Hit With Shareholder Suit Over $270M Sale To Essilor
• Female Powerbrokers Q&A: Morgan Lewis' Jami McKeon
• Female Powerbrokers Q&A: Sidley's Sara Gourley
• FCPA Is 'Fertile Ground' For Whistleblowers: SEC Official
• Trader Gets 2 1/2 Years For $1B Apple Stock Fraud Scheme
• Securities MVP: Goodwin Procter's Brian Pastuszenski
• Ex-GE Execs Tell 2nd Circ. Bid-Rigging Charges Were Late
• Ex-Madoff Controller Testifies Against Former Co-Workers
• $13B JPMorgan Deal Raises Stakes For DOJ In Criminal Probe
• Regulators Likely To Use $13B JPMorgan Deal As Template
• S. Korean Co. Hits Big Banks With New Forex Class Action
• Judge Urged To Nix BofA's $8.5B 'Frankenstein' MBS Deal
• FATCA Compliance Uncertainties Keep Lawyers Up At Night
• FCPA Crackdown Relies On Business Attys, Deputy AG Says
• Thompson Hine Lures Securities Pro To NYC Office
• Deals Rumor Mill: JPMorgan, Devon Energy, Verizon
• Ex-Judge Sues Dallas Rehab Hospital Over Stock Issue Plan
• JPMorgan Agrees To $13B Mortgage Settlement
• Ex-CFTC Official Says Parallel Proceedings Will Increase
• Life Settlement Co. Takes Securities Case To Texas Justices
• A Balanced Proposal For Equity-Based Crowdfunding
• SEC Examiner Arrested Over Prohibited Stock Holdings
• Expect More Big FCPA Cases In 2014: DOJ, SEC Officials
• Female Powerbrokers Q&A: Miller Canfield's Megan Norris
• Expert Deposition Tips For Young Lawyers
• Female Powerbrokers Q&A: Buchanan's Wendy Newton
• ICE Nabs Singapore Exchange After Sealing $11B NYSE Buy
• Opt-Out Strategy Embraced In Securities Settlements: Report
• BP Opposes Class Cert. In Deepwater Securities Suit
• SEC Whistleblower Program Gaining Momentum
• 2nd Circ. Won't Rehear Rajaratnam Appeal
• Alito Slams NY Judge On Race-Based Class Counsel Decisions
• JPMorgan, DOJ Agree To $13B RMBS Settlement
• J&J Rips Derivative Suit Over Ex-CEO's $30M Salary
• Inland Dodges Shareholder Stock Inflation Suit
• BNY Forex Judge Finds Lieff Cabraser, Others Misbehaved
• Securities MVP: Cleary Gottlieb's Lewis Liman
• Cole Investors Sue To Block $11B ARCP Merger
• NY Regulators Turn Their Attention To Bitcoin
• BofA Investors Urge Judge To Greenlight $8.5B MBS Deal
• Senate Panel Sets Thursday Vote On Yellen For Fed Chair
• 9 Firms Surge Onto GC All-Stars List
• Skadden The Firm Most Loved By General Counsel
• Quinn Emanuel Faces DQ Bid In CDS Antitrust Row
• 9 Top Firms Tumble From List Of GC Favorites
• MF Global Ordered To Pay $1.2B To Commodities Customers
• GCs Name Most Arrogant Law Firms
• More Firms Get Serious About Keeping GCs Happy
• When It Comes To Law Firms, Size Doesn't Matter, GCs Say
• Female Powerbrokers Q&A: Irell & Manella's Andra Greene
• Female Powerbrokers Q&A: Thompson & Knight's Emily Parker
• Activist Threatens Legal Action, Proxy Fight For ValueVision
• High Court Thinking On 1st SOX Whistleblower Case
• Plains Faces 2nd Shareholder Class Over $1.4B Buyout
• Prosecutors Can't Stay Civil Suit Against SAC Exec
• JPMorgan Inks $4.5B RMBS Deal With Institutional Investors
• Kid Brands Escapes Securities Suit Over Duties Scandal
• Arsenal Accused of Securities Fraud in Capitalization Deal
• SAC Analyst To Say He Hid Insider Trading From Authorities
• Securities Class Actions On Life Support In High Court Case
• Hedge Fund's Fraud Allegations Revived Against JPMorgan
• Fairholme Changes The Game For Fannie And Freddie
• Securities MVP: Kasowitz's Marc Kasowitz
• CFTC Closes Loophole On Cross-Border Swaps Trading
• Silver Lake Can't Go Solo In Antitrust Suit Against PE Giants
• Female Powerbrokers Q&A: Quarles & Brady's Kim Johnson
• Female Powerbrokers Q&A: Duane Morris' Dominica Anderson
• Ex-Level Global Manager Cops To $2.5M Insider Trading Plot
• Reed Smith Reels In 2 Finance Aces From Thompson & Knight
• Takeaways From Stryker's FCPA Settlement
• How Cuban Scored A Home Court Win Against The SEC
• Roto-Rooter's Medicare Fraud Headache Continues To Grow
• $31.6M Deal In Diebold Investor Suit OK'd By Judge
• Securities MVP: Sullivan & Cromwell's Robert Giuffra
• SEC's White Says More Trials In Agency's Future
• Longtop Investors Awarded $882M In Auditing Fraud Action
• Doc Block: Ex-SAC Trader Slams Feds In Discovery Row
• Rajaratnam's Tax Shelter Helper Wants Award Payment Help
• SAC Exec To Testify At Steinberg's Insider Trading Trial
• GAO Says Biggest Banks Benefited Most From Bailout
• Fla. High Court Suspends Ex-Rothstein Partner For 91 Days
• Ex-OSG Execs Again Urge Judge To Ax Investor Claims
• Mendocino County Sues BofA, Others Over Libor Losses
• $4.5M In Attys' Fees OK'd In Winstar Fraud Settlement
• Investors Seek To Revive $331M UBS Fraud Suit
• Burkle Loses Bid For New Morgans Hotel Board Election
• Fed Will Turn Up Heat On Big Banks, Yellen Says
• 2nd Circ. Nixes Restitution For Late Guidepoint Blackmailer
• How To Apply Blue Sky Laws To Securities Offerings
• Cracker Barrel Shareholders Snub Activist's Proxy Bids
• Yellen And The New Fed
• AK Steel Exec Pay Suit Nixed Over Standing Issue
• Securities MVP: Davis Polk's Charles Duggan
• SEC Falls Short In Bid To Revive Claims Against Hedge Fund
• NJ Men Cop To Insider Trading With Celgene, Stryker Stock
• Despite Revival, CMBS Market Still Not Out Of The Woods
• Attys Play Monday Morning Quarterback For Athlete IPOs
• Yellen May Be Forced To Defend Fed's Role As Regulator
• Ambac, Investor MBS Suits Deserve The Ax, Nomura Atty Says
• SEC Says Court Can't Block Probe In Arjent Fight
• Say No More — For Now
• CFTC Can Use Whistleblower Fund For Travel Expenses: GAO
• High Court Mulls Scope Of SOX's Whistleblower Protections
• Massad Faces Rough Road Atop Resource-Strapped CFTC
• SEC Inks 1st Individual Deferred Prosecution Agreement
• Broker Sues US Bank Over $200M Peregrine Theft
• Kim Rothstein Gets 18 Months For Hiding $1M In Jewelry
• NY Tax Code Changes Shouldn't Be Retroactive, Panel Told
• Madoff Employee Gave Fake Docs, Accountant Says
• MF Global Must Face Suit Over $1.6B In Missing Funds
• Pressured By Stockholders, Struggling Solta May Seek Sale
• Securities MVP: Bernstein Litowitz's Max Berger
• Tesla Fires Burned $6.5B In Stock Value, Investor Says
• Dodd-Frank Whistleblower Can't Get Jury Trial, Judge Says
• Nomura Says Suits Over $2.8B In MBS Were Filed Too Late
• Compliance Lessons From SAC Capital
• Bear Stearns Liquidators Allege Ratings Agencies Ran Scam
• SEC's White Says $600M SAC Insider Trading Deal Was Fair
• Are Condo Hotels Making A Comeback?
• Bob Evans' Largest Shareholder Preps For Proxy Fight
• Obama To Tap Ex-Cravath Partner To Lead CFTC
• MoFo Nabs Ex-SEC Deputy Director From O'Melveny & Myers
• Transocean OKs $1B Dividend, Trims Board To End Icahn Row
• Foundation Eyes KPN Exit After Blocking Slim's $9.7B Bid
• BofA Says Feds' $850M MBS Fraud Case Falls Short
• Stiefel Labs, Ex-CEO Cleared Of $2M Securities Fraud Claim
• Libor Ruling To Spur More Rate-Fixing Suits
• Feds' Defenses Trimmed In Starr's $55.5B AIG Bailout Suit
• Quinn Emanuel Adds Ex-Cleary White Collar Pro In DC
• SAC Capital Cops To Insider Trading, Judge Mulls $1.2B Deal
• Attys Warn Of Blowback As Feds Demand More Admissions
• 2nd Circ. Revives Lawsuit Over PwC Valuation
• Law360 MVP Awards Go To Legal Top Guns From 58 Firms
• XL Can't Escape Sirius XM's Coverage Suit, Judge Says
• Edison Workers Want Another Shot At $373M Pension Suit
• Wealthy Saudi Family Sues Arcapita Over $3.5M Investment
• Deutsche Bank Triumphs In $8B UK Suit Over Margin Calls
• 'Shadow Banking' Watchdogs Eye Asset Managers
• Fed Moves To Shed Some Light On Stress Tests
• Court OKs Libor Claims Against Barclays, Deutsche Bank
• McCarter & English Adds Securities Ace To Newark Office
• Fannie, Freddie Riches Could Slow Housing Finance Reform
• Water Purifier Co. Execs Ran $9M Investor Scam, SEC Says
• Goldman Sachs Being Investigated In Global Forex Probe
• Wyeth, Elan Investors Slam $1.2B SAC Plea Bargain
• SEC Bans NY Accounting Firm Sherb Over Chinese Audits
• Amarin Accused Of Pumping Up Stocks Before FDA Snub
• The Downside Of SEC's New General Solicitation Rules
• FCPA Risks For Franchisors
• Successful Law Firms Retrench During Downturns
• A Touch Of Solace For Broker-Dealer Compliance Personnel
• Feds, Steinberg Want Jurors Questioned On $1.2B SAC Pact
• RBS To Pay $150M In Mortgage-Backed Securities Settlement
• Complying With Rule 144 For A Valid Resale
• Deutsche Boerse Pays $152M To Settle Iran Sanctions Probe
• No Vote For CBOT Traders On Grain Price Rule, Judge Hears
• Lehman Sues Credit Suisse Over $1B In Bankruptcy Claims
• CFTC's Position Limits Could Put Energy Cos. In Costly Bind
• Ex-Exxon VP Isn't Owed Stock Bonus, Texas High Court Told
• Analyst To Plead Guilty In SAC Insider Trading Case
• Activist Shareholders Check Into Lodging Markets
• ADM Ends Internal FCPA Probe As Settlement Talks Continue
• CFTC Sues Investment Manager Over $350M Trades Scheme
• Wells Fargo Pays $335M To Settle Fannie, Freddie MBS Claims
• Why High Stakes Legal Failures Happen
• Early Steps — And Missteps — In Internal Investigations
• TD Ameritrade, SocGen Broker-Dealers Face $1.8M In Fines
• Stec Directors Say Calif. Law Bars Suit Over $340M Merger
• $1.2B SAC Insider Trading Deal Gets Past 1st Judge
• SEC Taps Ex-Prosecutor To Head Chicago Office
• High Court LCD Case Could Change Game For AG Suits
• Ecolab Hit With $15M Suit Over Chemical Co. Merger
• Regulators Pushed CME To Alter Grain Price Rule, Judge Told
• High Court SOX Case To Put Labor Department In Spotlight
• 6th Circ. Rejects $500M LexisNexis Class Arbitration
• US Bank Can't Escape Suit Over $215M Peregrine Fraud
• MF Global Gets Nod To Repay Commodities Customers In Full
• Judge Hints $1.2B SAC Deal Will Face Close Scrutiny
• SEC Nets 1st Fine Of Municipal Bond Issuer
• 2nd Circ. Scraps Investor Suit Against Freddie Mac
• Deals Rumor Mill: NYSE Euronext, One Equity Partners, KKR
• Gupta Challenges $14M Insider Trading Fine In 2nd Circ.
• Investor Sues Boeing For Dreamliner Records In Chicago
• CFTC Votes To Consider New Position Limits On Derivatives
• Prominent CFTC Commissioner Chilton To Step Down
• Money Laundering Charges In FCPA Cases Bring Unique Risks
• Weatherford To Pay $250M To Settle US Corruption Probes
• Investment Advisers Act: The Whistle Heard Round The World
• Chief Justice Roberts Turns Up The Heat On Cy Pres Pacts
• Hedge Fund Chief Asks 2nd Circ. To Nix Conviction
• Feds Back SAC's Cohen Into Corner With $1.2B Plea Deal
• SEC Denied Quick Win In IBM Insider Trading Case
• Sidley Adds Ex-Kaye Scholer Funds Chairman In LA
• $13B JPMorgan Settlement To Resolve Soon, Holder Says
• DOJ Says BCI Aircraft Exec Deserves Prison For $50M Scheme
• Barclays, Citigroup Hit With Forex Class Action Amid Probe
• $1.2B SAC Deal Shows NY Prosecutor At The Top Of His Game
• Narrow Reading Dulls SOX Retaliation Rules, Justices Told
• Corzine, Execs Blast MF Global Trustee's Negligence Suit
• Banks In MBS Row Want Loss Causation Defense Heard In Va.
• Hogan Lovells Plucks REIT Pro From SEC Real Estate Group
• BofA Beats Claims That It Hid AIG's Impending $10.5B Suit
• HSBC Latest To Be Ensnared By Global Forex Probe
• Yucaipa Makes $265M Bid For Morgans Hotel Group
• Justices Won't Touch Facebook's $9.5M 'Beacon' Privacy Deal
• Deals Rumor Mill: BlackBerry, Anadarko, Telefonica
• Takeaways From Diebold's FCPA Settlements
• BlackBerry Scraps Sale Plans In Favor Of $1B Investment
• SAC Capital To Plead Guilty To Insider Trading, Pay $1.2B
• 2nd Circ. Upholds Stay In $1.4B Argentina Debt Appeal
• SEC Sides With Barclays In Oil Trustee's $143M Fee Appeal
• US Bank Hits Citigroup With $157M Suit Over Bad Mortgages
• Syringe Maker Faces Securities Suit Amid Whistleblower Row
• Elan Investors Say SAC Should Admit Insider Trading In Plea
• Private Equity Gets The FCPA Limelight
• Skadden Atty Says Hedge Fund's Malpractice Suit Is Too Old
• Investors Duped Of Millions In Texas Gas Venture, SEC Says
• JPMorgan Subpoenaed Over Asian Hiring Practices
• Citigroup Latest To Reveal Cooperation In Forex Probes
• SEC Continues To Target Cybersecurity Disclosures
• Ariad Opts For Poison Pill After Hedge Fund Buy-In