Securities Archive » December, 2017

Securities - December, 2017

331 articles

• Ex-Katten Attorney Convicted Of Aiding Shkreli Fraud
• Ex-Katten Atty's Trial Heads To Jury For The Holidays
• Senate Approves Final 2 SEC Commissioners
• 5 Most-Read Legal Industry Articles Of 2017
• Attys Say Fees Still Owed In $12B Student Loan Trust Fight
• Jury Gives Ex-UBS Analyst Nearly $1M In Whistleblower Row
• UK Litigation Roundup: Here's What You Missed In London
• Ex-Katten Atty Cites 'Walls' Of Doubt As Trial Nears End
• 8th Circ. Affirms 8-Year Sentence For Securities Fraudster
• Shire FCA Deal Doesn't Cover 'Unique' Claims, Relator Says
• Judge OKs Marvell's $72.5M Stock-Drop Deal With Investors
• Longtime SEC Enforcer Will Join Private Practice
• Calif. Bank & Trust Beats Suit Over Depositor's Ponzi Scheme
• Firms Get $7.4M In Fees For $44M Medicare Fraud Settlement
• Loose Lips Still Sink Ships: Inadvertent Tipping In 2017
• SEC Calls For Receiver In Del. Ch. 11, Citing Ponzi Claim
• Spoliation Scrutiny: Disparate Standards For Distinct Mediums
• What To Expect From Blockchain In 2018
• Tesla Says Dell Ruling Boosts Its Defense In SolarCity Case
• MVP: Paul Weiss' Audra Soloway
• Citing Ponzi Guilty Plea, SEC Strikes $363K Deal With Broker
• SEC Charges Calif. Businessman In $1.2B Ponzi Scheme
• Treasury, FHFA Allow Fannie And Freddie To Retain Capital
• Armstrong Creditors Want More Info On Suspect Transfers
• Puerto Rico Pension Fund To Resume Bond Interest Payments
• $50M Ponzi Suspect Pleads Guilty To Fraud After Email Threat
• Feds To Retry Ex-Biotech Exec After Mistrial In Fraud Case
• CFTC Settles With Metals Co. Accused Of Hyping Shady Deals
• Ex-Bankrate CFO Charged Over 'Cookie Jar' Accounting
• Greebel 'Greased Wheels' For Shkreli, Feds Say At Closing
• Nutraceutical Investors Demand Appraisal After $446M Buy
• Goldman Adds Ex-Sullivan & Cromwell Partner As Co-GC
• Biggest Texas Cases Of 2017
• Performance Sports Wins OK For Ch. 11 Plan After $575M Sale
• Cobalt, Angolan Oil Co. Reach $500M Deal For Drilling Blocks
• Texas' Top Criminal Court To Hear Paxton Prosecutor Pay Row
• XL Group Narrows Claims In Trading Coverage Fight
• Tilton Asks To Send Del. Suit To NY, But Funds Seek Remand
• Ex-Exec Sentenced To 5 Years For $5.3M Investment Fraud
• MVP: Weil's Jonathan Polkes
• Wash. Investment Adviser Raided His 3 Funds, SEC Says
• SEC's F-Squared Trial Win Offers A Cautionary Tale
• Delaware Litigation 2017: Assessing Trends At Year-End
• FCPA Enforcement Picks Up In 2nd Half Of 2017
• Hearing The Need For More Women's Voices In The Courtroom
• Dutch Investor Group Sues Lloyds, UBS Over Rate Rigging
• With Another Flap, Greebel Fraud Trial Heads To Closings
• Calif. Man Gets 4 Years Beyond Feds' Recs For $18M Scam
• Latham Snags 2 Kirkland Commercial Litigation Attys
• Cryptocurrency Tezos Dodges Asset Freeze Despite 'Turmoil'
• Woodbridge Ch. 11 Hits Noteholder, Trustee Resistance
• Shareholders Say Buyer Controlled Deal In $2.8B Rouse Sale
• Big Banks' Living Wills Pass Muster With The Feds
• Marvell Investors Seek OK For $72.5M Stock-Drop Deal
• Jury To Begin Weighing Fate Of Turkish Banker
• Judge Won't Let Prison Co. Break Out Of Investor Suit
• Charney May Owe Standard General $19.5M, Judge Says
• Adviser Accused Of Conning Pro Athlete Can't Slip SEC's Suit
• 2nd Circ. Says No Jurisdiction In 140-Year Peru Bonds Suit
• SEC Temporarily Halts Trading On Red-Hot Blockchain Co.
• Ex-Broker Cops In NJ To Accepting Kickbacks For Stock
• Probe Initiated After $6B Puerto Rico Gov't Stash Revealed
• How Not To File A Successful Rule 29 Motion
• Pa. Justices Revive $1.5M Barrack Rodos Fee-Sharing Suit
• Va. Pastor, Wife Convicted Of $2M Investment Scam
• Wendel Rosen Awarded $151K In EB-5 Fraud Scheme Suit
• NY SEC Boss Joins Finn Dixon, To Be Replaced By Ropes Atty
• MVP: WilmerHale's Matthew Martens
• My Strangest Day In Court
• Bitcoin Futures: A Closer Look At CME's Contract Design
• 2nd Circ. Revives 'Flash Boys'-Inspired Suits
• Del. Class Suit Targeting Citigroup Board Failures Tossed
• Ross Stores Insider Trading Charges Have To Go, Judge Told
• Del. High Court Affirms Toss Of Williams Co. Stock Suit
• Turkish Banker Denies Being At Meeting Described By Zarrab
• Ex-Biotech Exec Denies Tie To Mass. Securities Scheme
• Greek Shipping Co. Hit With Suit Over Reverse Stock Split
• Trustee Ready To Distribute $584M To Madoff Customers
• Hong Kong's Embrace Of Multi-Class Shares Not Absolute
• Judge Pivot On Time Limits Hands Win To Accounting Firm
• Paragon Offshore Ch. 11 Trustee Seeks $1.7B Del. Clawback
• SEC Nominees Push Forward After Senator Lifts Hold
• Dentons Predecessor To Pay Bulk Of $12.2M USAE Deal
• SEC Reaches $50M Deal Settling Saddle River Ponzi Suit
• SunEdison Yieldco Settles Investor MDL For $57M
• Morgan Lewis Must Turn Over Docs In Fraud Row, Execs Say
• MVP: Davis Polk's Charles Duggan
• Pomerantz, Rosen To Lead Blue Apron Stock-Drop Suit
• Orrick Bolsters White Collar Group With Morvillo Team
• The Landscape Of Financial Exploitation Rules: Part 2
• 40 Years Of FCPA
• How 2 Devices And 1 Domain Changed My Practice In 2017
• ERISA Litigation Trends In 2017
• Tilton Says Zohar Funds Tried To Preempt Her Claims
• Trustees Seek Help In Splitting $4.5B JPMorgan RMBS Deal
• Broker With Criminal Past Fights Detention On Ponzi Charges
• $75M Alliance HealthCare Merger Elicits Appraisal Suit
• EU Mulling Crackdown On Retail Sales Of Risky Investments
• Fed Vice Chair Recuses Himself From Wells Fargo Matters
• Global Watchdogs To Test Incentives For OTC Central Clearing
• Del. High Court Affirms $2M Legal Fees To Ex-Optimis CFO
• Pa. Man Cops To Celator Insider Trading Scheme
• Calif. Investment Adviser Gets 3½ Years For Bilking Clients
• Houston Software Co. CEO Pleads Not Guilty In $32M Fraud
• Dell Ruling Bridges Philosophical Gap In Del. Appraisal Law
• SEC Settles With 2 Over $370K Insider Trading Scheme
• Toss Of Duke Energy Investor Suit Upheld By Del. Justices
• Funds' Swaps Suit Against Vereit, Schorsch Largely Survives
• Final GOP Tax Bill Settles On 21% Corporate Rate
• A Chat With Orrick COO Laura Saklad
• Alternative Fees: My Experience At Bartlit Beck
• MVP: Jenner & Block's Adam Unikowsky
• Jurors Should Have An Active Role In Trials
• SEC's Reversal On ALJs Could Affect Its Forum Choices
• The Landscape Of Financial Exploitation Rules: Part 1
• ESMA Greenlights Crude Oil, Other Derivatives Position Limits
• DOL Fiduciary Rule — Still Very Much Alive
• $6.5M Investor Deal Preceded Leidos High Court Cancellation
• PayPal Investor Suit Linked To FTC Inquiry On Thin Ice
• Texas Jury Partly Clears Ex-Servergy CEO At SEC Trial
• JPMorgan Dodges Suit Alleging Aid To $3.7B Ponzi Scheme
• Gov't Misconduct Claims Blocked From Ex-Katten Atty Trial
• Ex-Houston Tech Co. CEO Charged With $30M Investor Fraud
• Cobalt Hits Ch. 11, Seeks To Stall Securities Litigation
• Atty, Stock Transfer Agent Charged In Stock Fraud Scheme
• SEC Gets Extension Of Asset Freeze For Digital Coin Offerer
• MVP: Skadden's Jay Kasner
• McGuireWoods Grows DC Office With Ex-FINRA Exec
• Stanford Receiver Can't Renew Fight Over $88M Clawback
• TD Bank Investor Suits Joined, Lead Counsel Spot Still Open
• Ex-Deutsche Traders' Libor Trial Delayed By Taint Inquiry
• Del. Justices Reverse $7B Price Bump In Dell Deal Appraisal
• Del. Justices Revive $51M Bank D&O Incentive Suit
• ESMA Clarifies EMIR Rules On Clearing, Swap Reporting
• 40 Years Of FCPA: An Update From The DOJ
• Why Information Governance Is More Important Than Ever
• Diversity Poised To Take Center Stage In 2018 Proxy Season
• Ex-Banking Watchdog Defends Role In Lloyds-HBOS Merger
• 6th Circ. Revives $891M Hospital Chain Stock Fraud Suit
• BigLaw Is Behind The Automation Curve
• Musk's Control Of Tesla Takes Central Role In Chancery Suit
• Judge Won't Take Tilton's Taxes Off Table In $45M Bank Fight
• Uber Board Shirked Duty In OK'ing $680M Otto Buy, Suit Says
• SEC Seeks To Freeze Digital Coin Offerer's Assets
• SEC Filed $17M Stock Scheme Suit Too Late, NJ Judge Says
• Lucia Case Best Opportunity To Rule On ALJs, Attys Say
• Optimis Urges Del. Justices To Reverse $2M Ex-CFO Fee
• Morgan Lewis Wants Order On Privileged Material Clarified
• Ex-Katten Atty Trial Halted Over 'Career-Ending' Claims
• Ex-Deutsche Bank Trader's Libor Case Tainted, Judge Told
• Chinese Investor Sues Over Alleged $50M EB-5 Visa Scam
• Istanbul Ex-Cop Never Saw Turkish Banker During Stakeouts
• Yellen Expects Continuity In Fed Rules When She Departs
• Eaton Investor Beefs Up Claims In Suit Over Merger Tax Info
• The Future Of Bitcoin Futures
• SEC Names Longtime GOP Aide Head Of Accounting Unit
• Game Maker To Pay $4M To End Investor Claims Over IPO
• SEC Target's Filings Too 'Inept' To Be Atty's, Court Told
• US Stock Exchanges Get All Clear On MiFID II Equivalence
• 40 Years Of FCPA: Compliance, Past And Future
• 4th Circ. Deals Blow To Securities Fraud Plaintiffs
• Jury Sides With SEC, Finds Syringe Maker Juiced Stock
• SEC Knocks Trader's DQ Bid Over Alleged Privilege Breach
• Odebrecht Oil & Gas Secures US Bankruptcy Protections
• FXCM Owner Files Ch. 11 Prepack To Restructure Notes
• Biopharm Ex-CEO Used Travel Funds For Hooters, SEC Says
• Banc Of Calif. Says Board Never Heard Shareholder Claims
• Investors In PowerSecure Stock Suit Out Of Tries At 4th Circ.
• Split Del. Justices OK Denial Of $50M Drug Approval Bonus
• Exxon Agrees To Disclose Climate Change Risks To Investors
• Judge Won't Help Out Convicted Analyst's Firm On Legal Fees
• DLA Piper Adds Boston Partner To Transactional Practice
• 2nd Circ. Won't Rethink Denying Nomura, RBS Jury Trial
• Rosen Asks To Lead Tesla Shareholders In Stock-Drop Suit
• Onetime Fund Manager Stole $10M From Investors, Feds Say
• Ex-E&Y Partner Urges DC Circ. To Toss 'Tainted' Penalties
• 40 Years Of FCPA: Cross-Border Efforts And Growing Risk
• International ICOs May Not Be Safe From The SEC
• Judging A Book: Cooke Reviews 'Constance Baker Motley'
• Keeping Your Law Library Relevant In The Age Of Google
• GenOn Seeks OK Of Ch. 11 Plan As Gov't Raises Concerns
• 6 Things You Need To Know About Millennial Jurors
• Why Investors Are Taking The Leap To 3rd-Party Funding
• What Your Colleagues Think Of Litigation Finance
• Has Litigation Finance Shed Its Stigma?
• Chancery Tosses NRG Reclassification Suit On MFW Grounds
• Ex-Katten Atty's Expert Defends No-Work Consulting Deals
• SEC Chair Urges Main Street To Tread Cautiously With ICOs
• 4th Person Cops To $3.9M Insider Trading Scheme In NJ
• Advisers Owe $7.2M For Faking Out Lender To Joplin Biopic
• Bitcoin Futures Bring Digital Currencies To Wider Market
• SEC Sues Conn. Firm And CEO Over 'Mark-Ups,' Fees
• Futility Issue Frustrates Apple Investor Suit, Calif. Panel Says
• FDIC Says Judge Should Overlook Citibank Refusal To OK Suit
• Ameriprise, 2 Others To Pay $10M In SEC F-Squared Sanctions
• SEC Halts Food Review Co.'s $15M ICO For Not Registering
• Turkish Ex-Cop's Testimony Sparks Mistrial Bid By Banker
• DOJ Says Forex Traders' Rate-Rigging Was Felt In The US
• Litvak's Appeal Argument Met With Skepticism In 2nd Circ.
• Mizuho Picks Off Lead Plaintiff In Mt. Gox Collapse Suit
• Supreme Court Won't Review Lawyer's Stock Fraud Conviction
• NJ Bitcoin Investor Accuses UK Firm Of Ponzi Scheme
• Puma Biotech Investor Class Certified In Stock Drop Case
• 40 Years Of FCPA: A View From The Monitorship Trenches
• The Trump Administration's Move Against SEC Judges
• Wells Fargo Derivative Suit A Cautionary Tale For Directors
• The Law Firms Of The 2017 MVPs
• Law360 MVP Awards Go To Top Attorneys From 78 Firms
• UK Litigation Roundup: Here's What You Missed In London
• SEC Sues Immigration Atty Over EB-5-Related Commissions
• Mellon Sues Altaba To Boost Share Rate For $1.4B In Notes
• High Court To Revisit American Pipe In New Class Action Row
• Investor Hit With $38M Judgment For 'Smear' Campaign
• Innoviva Investor Wins Board Seats In Chancery Proxy Suit
• Ex-Amazon Finance Staffer Gets 6 Mos. For Insider Trading
• Ex-CEO Of Electronics Recycler Convicted Of $25M Fraud
• Energy Co. Derides Potential Investor Class Rep As Ignorant
• Jury Rejects SEC's Delta Petroleum Insider Trading Case
• Katten Atty Says He Never Saw Greebel Break The Law
• Court OKs $35M Atty Fees In Deutsche, JPMorgan Libor Deal
• Mass. Man Detained On Investment Fraud Charges
• Atty To Shell Out $11.7M For Class-Action Finance Fraud
• US Says It Needn't Show Deutsche Traders Duped Libor Body
• Turkish Banker Knew Of US Concern Over Iran Ties, Jury Told
• 40 Years Of FCPA: The Untold Story Of The Resource Guide
• Feds, SEC Say Broker Raised $2M In 25-Year Ponzi Scheme
• Trump Tweet Raises Concern Over Regulators' Independence
• Considerations Before Self-Reporting Under New FCPA Policy
• Target Date Funds: Economic, Regulatory And Legal Trends
• Fujitsu Agrees To $14M Deal Over Excessive Investment Fees
• VW Plea Deal Gives Investors Limited Win In Fraud Case
• Wall Street Giants Urge SEC To Take On Exchange Fees
• High Court Asked To Review Rail Stock-Options Tax Case
• Ex-Katten Atty Was Corporate Ace At Firm, Jury Hears
• Fed To Open The Door A Crack On Stress Testing
• US, Hedge Funds Spar Over Puerto Rico Oversight Law
• Puma Exec's Brother Traded On Cancer Drug Info, SEC Says
• Trusts Assert Control In $22M CFPB Student Loan Suit
• 40 Years Of FCPA: A Journey From Conviction To Dismissal
• Investors Blast BNY Mellon Bid To Sever Claims In RMBS Suit
• 4th Circ. Revives Ex-SEC Atty's Whistleblower Firing Suit
• Cypriot Real Estate Co. Awarded Rights To Kiev Shopping Mall
• 2nd Circ. Won't Rethink Men's Wearhouse Short-Swing Ruling
• SEC Wants Bankrupt Woodbridge Sanctioned Over Emails
• Green Building Materials Co. Execs Settle With SEC For $5.6M
• Attys Get $4.5M Of $22M Aegerion Drug Marketing Settlement
• Ex-NFLer Gets 40 Years For Investment Fraud
• My Strangest Day In Court: The Shkreli Trial
• What We Learned From Barclays Market Manipulation Case
• Prosecution In Greebel Case Rests After Hearing Last Witness
• Morgan Lewis Must Turn Over 'Oral Downloads' To SEC
• SEC Fines Hedge Fund Chief, Hubby Over Alleged Tip Sharing
• SEC Judge Delays Shkreli Hearing In Light Of 'Lucia' Move
• SEC Closes The Book On Sam Wyly Case With $198M Paid
• PayPal Investor Sues Over Likely Breach That Tanked Stocks
• Will The Supreme Court Review SEC's In-House Judges?
• Del. Justices Urged To Remand S. China Livestock Case
• Bankrupt Real Estate Firm Gets SEC Suit Halted
• SEC Says Excessive Trading By 2 NY Brokers Hurt Clients
• Del. Chief Justice Calls $428M Williams Suit An Investor Game
• Broker, SEC Settle Suit Over Unregistered PE Fund
• SEC Reinstates Former Dell CAO Barred For Cooking Books
• DeVry Ducks False Advertising Suit Over Job Placement Rates
• Atty Says SEC Probe Can't Link Him To $30M Ponzi Scheme
• ChinaCast Settles With Creditors, Ch. 11 Plan OK'd
• The Johnson Conviction And Fallout For Forex Market
• Hensarling Opens The Door For Housing Compromise
• Zarrab Concedes He Lied About Iran Sanctions Scheme
• D&O Insurance Coverage Tips For Financial Institutions
• US Firms Must Beware New EU Investment Disclosure Laws
• 40 Years Of FCPA: The Siemens Lesson — Tillerson Is Right
• Calif. Statute Of Limitations Sinks Deutsche Bank RBMS Suits
• Profs Fight For Clarity On Class Cert. In Securities Suits
• SEC 'Extremely Concerned' About Woodbridge Ch. 11 Case
• Investors Say AmTrust's Reported Metrics Weren't Opinions
• SEC Atty Joins Perkins Coie In Calif. As Partner
• Overseas Tipster Nets $4.1M SEC Whistleblower Award
• ITT Educational Execs Can't Ditch Investor Fraud Row: SEC
• Dodd-Frank Rollback Bill Moves Out Of Committee Unchanged
• 2nd Circ. Revives Alibaba Securities Class Action Over IPO
• Investor Sues HIG, Bain Capital Over $760M Facility Deal
• SEC Approves NYSE Plan To Delay End-Of-Day Material News
• KBR Moves To Nix Shareholder Suit Over Fraud Investigation
• 40 Years Of FCPA: The Rise In International Enforcement
• BNY Mellon Says Royal Park's Proposed Class Still Lacking
• Bringing Cayman Derivative Claims In NY Just Got Easier
• Why Stock Prices Of Insolvent Firms Can Still Be Positive
• Navigating Whistleblower Protections Across The Atlantic
• Targeted Bill Could Bring First Broad Changes To Dodd-Frank
• Level Global Exec Fights Insider-Trading Raid At 2nd Circ.
• Fisker Judge Won't Ax Suit Over Ch. 11 Spinoff Stock Sale
• Justices Won't Hear Banks' Appeal In FDIC's $140M MBS Suit
• SEC Adds Defendant To Hexing Adviser's $20M Ponzi Suit
• NYSE Seeks To Lower Required No. Of Investors For SPACs
• Zurich Wants Quick Win On Tech Data's SEC Investigation
• Investors Tell 1st Circ. Sarepta Hid FDA Testing Issues
• Court To Consider Expert In $6.5B Solera Appraisal Fight
• SEC Accuses Accounting Firm Of Fraud Over Microcap Audits
• LPL Asks Calif. Judge To Nix Stock-Drop Suit For Good
• SolarCity Investors Fight To Revive Suit At 9th Circ.
• Judge Vetoes Virtus Mutual Fund Investors' 2nd Jab At Cert
• FBI Pressured Witness With Surprise Visit, Greebel Atty Says
• SEC Settles With Convicted 'Fund Manager,' Associate
• Developer Woodbridge Hits Ch. 11 Amid SEC Probe
• Exchanges Set To Launch Bitcoin Futures Trading
• Top 10 Whistleblowing And Retaliation Events Of 2017
• 40 Years Of FCPA: Highlights From The 1st Corporate Trial
• Compliance Failures And The Resulting Risks For Directors
• SEC Enforcement: Past, Present And Future
• Tax Bill's Swift Passage May Create Legal Quandaries
• Citibank Reaches Deal To Exit Lehman's $1B Clawback Fight
• Quebecois Duo Hit With SEC Fraud Suit Over $15M ICO
• Fla. 'Spongebuddy' Co. Part Of Penny Stock Scam, SEC Says
• NY Atty Gets 3 Years For Role In Pump-And-Dump Scheme
• Walter Investment To Cut Debt By $800M With Ch. 11 Prepack
• Insurance Tech Co.'s Value Depleted By Controller, Suit Says
• Insurance Co. Sues To Not Cover Investment Co.'s SEC Probe
• Blackstone Unit Aims For $344.5M-Plus Stock Offering
• SEC Deal Bars Ex-Mayor In Ill. From Muni Offerings
• Wells Fargo Fires Back At Fund Advisers In RMBS Suit
• Fonterra Seeks Trading Halt After $125M Recall Award
• Chancery Tosses Shareholder Suit Over Oracle Merger
• Chancery Allows Tilton Ouster From Boards In Zohar Fight
• Nutmeg Group Says SEC Disgorgement Demand Is A Penalty
• ETE Refused $1.5B Williams Merger Termination Fee In Del.
• 40 Years Of FCPA: The Strange Case That Started It All
• Zarrab Considered Decision To Admit Guilt For 'Many Months'
• EDMC Seeks End To Marblegate's New Suit Over $15M Debt
• InSys Investor Suit Put On Hold As Criminal Action Plays Out
• Feds Want Shkreli To Forfeit $7.3M, Wu-Tang Clan Album
• The Derivative Risks Of Sexual Misconduct Allegations