Securities Archive » October, 2026

Securities - October, 2026

208 articles

• Justices Asked To Resolve Nonsignatory Arbitration Split
• Justices Urged To Hear Case Targeting FINRA Enforcement
• SEC Says Cleaning Tech Co.'s Revenue Woes Were Concealed
• SEC Official Tells Advisers Not To Wait For AI Guidance
• Apple Wants Fake Crypto Wallet Apps Suit Tossed
• CoinFund, Co-Founder Clash Over $230K Equity Cashout
• 5th Circ. Unwinds Cassava Class Over 'Meme Stock' Claims
• Catching Up With Delaware's Chancery Court
• SEC Says Ex-CEO's Hidden Stock Trades Are 'Undisputed'
• BofA Sued After $1.2B Fine For AML Compliance Gaps
• OCC Plan May Bring Data Sharing Flexibility, Diligence Issues
• Texas Court Revives REIT's Claims Over Short Seller Article
• Wells Fargo Beats Ex-CEO's $34M Back-Pay Lawsuit
• Gildan Carried On 'Channel Stuffing' Scheme, Investor Says
• Novig Sues Missouri To Shield Sports Contracts
• Del. Blocks Cloudflare Founder Control Recapitalization
• Nasdaq Sued Over Delisting Of Social Media Co.
• Extreme Networks Inks $51M Deal In Investors' Sales Dip Suit
• Nikola Ex-CEO Says FBI Agent's Tweets Spooked Witness
• Target Says It Warned Investors About Pride Merch Backlash
• Super Micro Board Sued Over Alleged China Diversions
• Could A Criminal Sentencing Case Upend Loper Bright?
• 5 Prediction Market Queries For Every League, Athletic Dept.
• EpicentRx, Ex-Secretary Clash In Del. Over 5th Contempt Bid
• Planning For D&O Exclusions As Risks Mount For Banks
• Why The SEC Proposed Rescinding Its 'Pay-To-Play' Rule
• Expect These Post-Midterm Probes If The Hill Changes Hands
• Winklevosses' Crypto Co. Gemini Can't Ditch CFTC Settlement
• Market Surveillance Co. Taps Ex-CFTC Counsel To Lead Policy
• Fund Firms Lose $10M Fee Bid After Short-Swing Trial Win
• Fed's Bowman Says Regulators Must Focus On Material Risks
• Boeing Beats Investment Fund's 737 Max Fraud Suit For Good
• Ohio Justices Say There Is No Limit On Refiled Actions
• Estée Lauder's $210M Investor Settlement Wins Final OK
• Texas Appeals Court Says Perot VC Suit Belongs In Biz Court
• Agtech Biz Fights Founder's Receivership Bid In Del.
• White House Crypto Aide Exits Role
• NYC Comptroller Urges Anthropic To Ease Risks Before IPO
• Banks, Credit Union Escape Pig Butchering Scam Suit
• SEC's Insider Trading Duty Rule May Face Loper Bright Test
• Fintech Regulator Outlook: Collaboration In North Dakota
• Exec Who Tried To Buy UK Soccer Club Cops To $500M Fraud
• SEC Says Immigration Attorney's Sanctions Bid Twists Record
• Atty Drops Securities Suit After Failed Class Counsel Bid
• 10th Circ. Backs Asset Freeze In SEC Case Against Biotech
• TD Bank Must Face Bulk Of Investors' AML Penalties Suit
• Conn. Committee Backs Monitored Return For Convicted Atty
• SEC Approves Trading On Apple, Tesla Performance Metrics
• Venture Global Beats Investor Action Over IPO Disclosures
• Brooklyn DA Busts Crypto Scam Targeting Russian Speakers
• Ex-BigLaw Atty Wants Firm Docs For Insider Trading Defense
• Jenzabar Investors Ask Del. Justices To Revive $55M Suit
• EV Charging Co. To Pay Investors $4M In Liquidity Woes Suit
• Manhattan DA Unveils Corporate Crime & Antitrust Task Force
• As Congress Stalls, SEC Hits Go On 'Innovation Exemption'
• What Lawyers Should Know Before Accepting Crypto Payment
• 4th Circ. Pauses Comcast DOL Appeal For High Court Case
• Dodgers Owner's Insurers Hid Affiliate Loans, Suits Say
• CFTC Outlines Creative Path To Crypto Oversight
• 2nd Circ. Says Voyager's Bank Didn't Know About Fraud
• Investors Claim Private Equity Fund Won't Redeem Cash
• Kalshi Seeks Full 6th Circ. Review Of Sports Contract Ruling
• Driven Brands Says Investors' Fraud Suit Is Hindsight-Based
• Del. High Court Upholds Forum Limit In Amazon Records Case
• Spirit Execs Seek To End Investor Suit Over 2nd Bankruptcy
• 2nd Circ. Seems Doubtful Of RTX Corp. Investors' Appeal
• 5th Circ. Backs Ginnie Mae On Reverse Mortgage Liens
• Bay Point Sues Del. Fund For Books And Records
• SEC Says Investment Co. Execs Faked Pre-IPO Scarcity
• Mayer Brown Adds Former CFTC Senior Counsel In NY
• Catching Up With Delaware's Chancery Court
• 11th Circ. Lowers Bar For Getting ERISA Claims Into Court
• Conn. Says CFTC Rehashing Failed Sports Contract Position
• CFTC Proposes Rules To Codify Prediction Market Authority
• Warren Presses Fed For Details Of Early SVB Report Access
• Symbotic Hid Contractor's Delays From Investors, Suit Says
• DraftKings Gets Hit With Seminole Tribe Sports-Betting Suit
• DOJ Aims To 'Attack Fraud From All Angles' Via New Division
• Hertz Settles Investors' Derivative Suit Over EV Fleet Losses
• SEC Proposes Restoring Funds' Ability To Cross-Trade Bonds
• 'A Moral Hazard': Kalshi Drug Trial Bets Spark Ethical Qualms
• Alight Seeks To Nix Investors' Deceptive Growth Claims Suit
• Where The 3 Prediction Market Appellate Rulings Diverge
• Del. Justices Back ATG In Empery Proxy Fight
• Trump Picks Panel To Consider Claims Against Fed's Cook
• Calif. Banking Brief: All The Notable Legal Updates In Q3
• Investor Says Power Tech Co. Hyped 'Sham' Data Center Deal
• Coinbase Tells 2nd Circ. Only CFTC Oversees Event Contracts
• Dodd-Frank Act Is Focus Of Latest Amici In NJ-Kalshi Case
• Judge Tosses Moderna Investor's RSV Vaccine Efficacy Suit
• Zoox Investors, Directors Clash Over Amazon Deal Class
• The Rise Of White Collar Sports Cheating Scandals
• GAO To Investigate CFTC Staffing Cuts After Warren Request
• Webull Sued By Investor Over Chinese Gov't Links
• Blue Owl Brass Sued Over BDC Liquidity Woes
• Ameriprise Says Data Breach Suit Leans On Speculative Harm
• 2nd Circ. Says Filed Rate Doctrine Bars Utility Bond Claims
• Nikola's Pardoned Ex-CEO Seeks To Flip Ch. 11 Claim Ruling
• New Fraud Division Flexes Might In Latest Enforcement Policy
• How AI Is Reshaping The Structure Of Crypto Venture Deals
• Suit Alleges Compass Sought 'Back Channel' In DOJ Review
• How States May Enter The Shareholder Proposal Landscape
• Mentalism Makes Me A Better Lawyer
• Humana Brass Face Derivative Suit Alleging Illegal Kickbacks
• Ex-Coal Exec's Bribe Sentencing Paused Amid Witness Claims
• Ex-Bank Chair Gets 5 Years For $23.6M Wire Fraud Scheme
• 5th Circ. Ponders Stanford Scheme Receiver's $30M Fee Bid
• States Urge Justices To Fix Prediction Markets' Legal 'Chaos'
• Trump 'Outsourced' White House Press Functions, Judge Told
• Feds Back High Court Review Of Robinhood Disclosure Suit
• Latch Investors Get Final OK For Derivative Suit Settlement
• SEC Says Adviser Cherry-Picked Best Trades For His Account
• ATG Hid Alliance In Chancery Proxy Fight, Del. Justices Told
• Excess Insurers Tell 4th Circ. Under Armour Owes Interest
• UWM Investor Sues To Halt $400M Stock Offering
• SEC Says Climate-Tied Investor Actions May Pose Legal Risk
• Crypto.com Beats Website Users' Tracking Suit, For Now
• Why And How To Build A Neurodiversity-Informed Practice
• Illinois Banking Brief: All The Notable Legal Updates In Q3
• How SEC Is Changing The Shareholder Proposal Landscape
• FDIC's Hill Says Supervision Rule Won't Tie Examiner Hands
• CFTC Eases Conversion Of Certain Contracts To Perpetuals
• CVS Can't Get Second Shot At Tossing Investors' AI Use Suit
• FINRA Says Broker Enabled 'Ramp-And-Dump' IPO Schemes
• Sprout Social Must Face Suit Over Troubled Acquisition
• SEC Says Fintech Inflated Revenue In $6.7M Seed Raise
• Vail Resort Board Sued For Alleged Ski Price Antitrust Lapses
• NC Biz Court Bulletin: Monopoly Suit Setback, Historic Deal
• Fed To Realign Bank Supervision Into 5 State-Based Regions
• Pension Funds Lead Securities Suit Over Zillow, Redfin Deal
• 7th Circ. Told Boeing Investors Fail 'Comcast' Cert. Test
• Calif. Tribe Says Kalshi Evades Tribal Sports Betting Bans
• Wells Fargo Hit With Target-Date 401(k) Fund, Fee Suit
• CaaStle Approved For $3.5M Settlement With Ex-Leadership
• Hertz Brass Sued Over EV Write-Downs, Stock Buybacks
• Exxon Investors Clear Class Hurdle In Permian Valuation Suit
• SEC's Shareholder Activism Role After The '26 Proxy Season
• NY Banking Brief: All The Notable Legal Updates In Q3
• Groq Investors Sue Over Nvidia's $20B 'Reverse Acqui-Hire'
• Justices Won't Hear Ex-Theranos Exec's Conviction Challenge
• Justices Seem To Support End To Intel 401(k) Fund Suit
• Feds Wrap Up Case In $53M Uranium Finance Theft Trial
• Coinbase Brass Beats Suit In Test Of Texas Incorporation Law
• Securities Roundup: 7 Rulings You May Have Missed
• FinCEN Nixes Plans For Crypto Mixer, Wallet Reporting Rules
• Wash. Bank Hid Fintech Loan Risks, Investor Says
• SEC Says Ex-Tech CEO Faked Consulting Deals For Family
• CFTC Floats Framework For Crypto Cos. Offering Leverage
• OKX Files For Tokenized Stock Trading Under SEC Exemption
• Catching Up With Delaware's Chancery Court
• Shareholder Says Dick's Misled Public On Foot Locker Woes
• BioXcel's Ch. 11 Stayed Securities Settlement, Judge Says
• State Watchdogs Bristle At Prediction Market Incursion
• Intel Case May Clarify Dismissal Standard For 401(k) Suits
• Novel Strategy Prompted ETF Guidance, Treasury Atty Says
• Prediction Market Case Tests Novel Insider Trading Theory
• Why Importers Should Assess IEEPA Refund Claims Now
• No Fee Sanction, But Reprimand For Eversheds In Del. Case
• Squire Patton Brings On Corporate Atty From Womble Bond
• Convicted Ex-Coal Exec Flags New Claim Against Key Witness
• High Court Won't Consider $30M Argentine Bondholder Claim
• O'Melveny Hires SEC Senior Enforcement Atty In DC
• SEC Censures JPMorgan Over Disqualified Swaps Trader
• CH Robinson To Acquire RXO In $5.8B Logistics Deal
• High Court Won't Hear Madoff Feeder Funds' Clawback Appeal
• Justices Deny Zillow's Bid To Revisit Goldman Ruling
• Justices Skip EIDP Retiree's Annuity Reduction Challenge
• Up First At High Court: Climate Torts & Munitions Disposal
• DOJ Won't Revive Powell Probe Over Fed HQ Project, AG Says
• Alphabet Hit With Investor Suit Over Gemini Release Lag
• Crypto Investors Denied Early Win Against Bitcoin Latinum
• Texas Justices Won't Review Nixed $64M Credit Suisse Verdict
• Stanley Black & Decker Can't Nix Investor Suit, Judge Says
• FirstBank Fights Class Cert. Bid In Epstein Victims' Suit
• Skechers Seeks To End Appraisal Claims After Settlement
• SEC Fines Latch $1M Over SPAC-Tied Revenue Misstatements
• SEC Denied $6M Disgorgement Over College Student's Fraud
• DOJ Envisions 'Full-Fledged Law Firm' To Combat Gov't Fraud
• SEC Renews Judgment Bid Against Crowdfunding Promoter
• Roberts Wants Less Talk. Supreme Court Attorneys Disagree.
• Ex-SEC Acting Enforcement Director Joins WilmerHale
• Parler Ex-CEO Wins $11M Over Ouster From Social Media Site
• Mich. Banking Brief: All The Notable Legal Updates In Q3
• How Wells Notice Ruling Signals Future Of SEC Enforcement
• 5 Supreme Court Cases To Watch This Fall
• 4 Argument Sessions Benefits Attys Should Watch In October
• Kraft Wheat Traders Lose Class Status, Keep Antitrust Claim
• Novartis Can't Dodge Hedge Fund Trade Secrets Suit
• Uranium Finance Jury Sees 'I Did A Crypto Heist' Chat
• SEC Fines Ex-NFL Player, Influencers Over 'White-Label' Firms
• SEC Floats Crypto Custody Rule Updates For Funds, Advisers
• $16B Ruling Faces High Court Sovereign Immunity Challenge
• Timeshare Co. To Pay SEC Nearly $1M Over Loan Disclosures
• SEC Changes Quorum Requirements As Peirce Exits
• Super Micro Fraud Suit Dismissed Over Vague Allegations
• Ex-SewerAI Shareholder Seeks Del. Appraisal Of $342M Deal
• NY, Wyo. To Collaborate For Faster Crypto Reviews, Exams
• Merrill Lynch To Pay $39M Over Retirement Cash Sweep Rates
• SEC Can Pursue $21M Pot Co. Stock Fraud Suit, Judge Rules
• SEC Says Adviser Took $1.2M From Pre-IPO Investment Funds
• Kalshi Looks To Shield Sports Offerings At 2nd Circ.
• Exit Interview: SEC's Hester Peirce On Crypto, Clarity And AI
• FinCEN Exemption Raises Statutory, Administrative Questions
• CFTC's New Award Policy Punishes Whistleblower Success
• Tech Co. AdHawk's Investors Sue Over $15M Merger Earnout
• Testing AI's Promise For Large-Scale Document Review
• Trump Announces Judicial Noms For 5th Circ., NC
• DOJ Outlines New Corporate Fraud Enforcement Priorities