 LPL Broker Charged With Securities Fraud
- Less than 24 hours ago we wrote a story about securities fraud and the need f...
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They're b-a-a-c-k! Mortgage bonds hitting the market
- Mortgage-backed bonds are hitting the market once again. But questions are alrea...
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Conceptus Investor Can’t Block $1.2B Bayer Acquisition
- A Delaware Chancery judge refused Friday to block Bayer AG’s imminent $1.2...
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Stock trader at RIA charged with front running
- The SEC claims a senior equity trader at an RIA made big bucks front running cli...
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JPML Head Says New Mix Of Cases Makes Panel More Picky
- The U.S. Judicial Panel on Multidistrict Litigation has rejected a higher percen...
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US-China Audit Truce Offers Weak Shield For Investors
- A Friday agreement allowing U.S. regulators to seek documents from Chinese accou...
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Spotlight On REIT Brokers Will Spur More Suits, Fines
- More states are likely to follow suit after Massachusetts fined several of the l...
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First Circuit Revives CVS Shareholder Fraud Class Action
- The First Circuit on Friday revived a CVS Caremark Corp. shareholder class actio...
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Fiduciary Duty To IPO Clients Hangs By Thread In NY Appeal
- In taking claims that Goldman Sachs Group Inc. fleeced a now-defunct toy maker b...
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US Bank Sued Over Robosigning, Mismanaged RMBS Trusts
- Banks and asset managers in Missouri, Arkansas and South Carolina have sued U.S....
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High Court's Morrison Ruling Keeps Attys Guessing
- Nearly three years later, the U.S. Supreme Court's landmark decision in Morr...
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SEC Charges Dallas Trader with Front-Running
- The SEC announced fraud charges and an asset freeze against Daniel Bergin, a sen...
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US Trustee, Banks Slam AMR Bankruptcy Exit Plan
- The U.S. trustee in AMR Corp.’s bankruptcy Friday objected to the airliner...
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SEC Ordered To Provide Docs To Ex-SAC Trader
- A federal judge on Friday said the U.S. Securities and Exchange Commission must ...
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Job cuts at the Advisor Group
- The Advisor Group, the IBD owned by AIG, laid off employees this week. Sources o...
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Highland Beats Investor Claims Over Leveraged Hedge Fund
- A Texas state judge held Highland Capital Management LP isn’t liable to in...
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Law360 Names 10 FCPA Powerhouse Firms
- Many savvy law firms boast their expertise in Foreign Corrupt Practices Act matt...
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N.Y. attorney general says more evidence banks violated mortgage pact
- New York Attorney General Eric Schneiderman said there is mounting evidence that...
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Citibank Seeks Clarity On Argentina Bond Injunction
- Citibank NA on Thursday asked a federal judge to clarify that it is not forced t...
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Burkle Made 'World War III' Threats, Morgans Investor Says
- An amended brief in the Morgans Hotel Group Co. saga on Thursday revealed new ti...
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Cerberus Settles Ex-Managing Director's Retaliation Suit
- Cerberus Capital Management LP on Friday settled a lawsuit lodged by a former ma...
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The Importance Of Morning Mist
- Morning Mist Holdings Ltd. v. Krys provides guidance to courts that need to dete...
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Judge Trims Suit Blaming BB&T For Insurer's Takeover
- A Florida federal judge Friday trimmed a suit brought by First Commercial Holdin...
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Jury Convicts 4 Bank Of Commonwealth Insiders In $71M Fraud
- A Virginia federal jury Friday convicted former Bank of the Commonwealth CEO Edw...
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SEC Charges Dallas-Based Trader With Front Running
- FOR IMMEDIATE RELEASE
2013-93
Washington, D.C., May 24,...
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CFTC Declines To Cap Its Powers Against Disruptive Trading
- The U.S. Commodity Futures Trading Commission on Friday said it has rejected sug...
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Smart Tech Gets Nod On $15M Deal With Investors Over IPO
- A New York federal judge on Thursday gave preliminary approval to Smart Technolo...
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Obama nominates Senate aides to serve as SEC commissioners
- Pending Senate approval, Kara Stein will replace Democrat Elisse Walter, and Mic...
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Ally settlement may be a boon for ResCap bondholders
- While bond insurers MBIA Inc and FGIC Corp receive the lion's share of Ally Fin...
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KPMG can't arbitrate claims by Madoff feeder fund investors - court
- A group of investors who lost $20 million in a fund that funneled money into Ber...
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