Topic
Securities
6,661 published works
White Collar Crime Prof Blog
PING: Morgan Stanley Still Having Problems with TechnologyURL: http://westpalmbeach.injuryboard.com/morgan-stanley-still-having-problems-with-technology.phpIP: 208.38.147.181BLOG NAME: West Palm Beach Personal Injury LawyerDATE: 08/27/2006 09:09:37 AMLaw Professor Peter Henning reports that Morgan Stanley could not locate emails requested by the SEC and has paid a fine of $15 million for their inability supply emails relating to IPO distributions and conflicts: “While the dollar amount in…
By Ellen Podgor
Morgan Stanley & Co. has had more than its fair share of problems producing e-mails in civil litigation and to the SEC. The company settled an SEC civil complaint (here)…
White Collar Crime Prof Blog
Blogging at the NACDL White Collar Crime Program in Philadelphia
By Ellen Podgor
Blogging in Philadelphia at the National Association of Criminal Defense Lawyers (NACDL) is guest blogger Stephanie Martz who serves as the director of NACDL’s white collar crime project.The morning began…
Wills, Trusts & Estates Prof Blog
Postmortem Sale of Securities
In Estate Planning and the Pending Deal: Lessons from the Merger Arbitrage Market, 31 ACTEC J. 338 (2006), Espen Robak (Senior Vice President in the New York City office of…
White Collar Crime Prof Blog
PING: CA2: Quattrone Conviction OverturnedURL: http://appellate.typepad.com/appellate/2006/03/ca2_quattrone_c.htmlIP: 204.9.178.8BLOG NAME: Appellate Law DATE: 03/20/2006 01:30:56 PM See WhiteCollarCrimeProf Blog for an extensive discussion or the opinion. Also see the Second Circuit Sentencing Blog.
By Ellen Podgor
The obstruction of justice and witness tampering convictions of former Credit Suisse First Boston tech investment banker Frank Quattrone were overturned by the Second Circuit in an extensive opinion (link…
Delaware Corporate & Commercial Litigation Blog
SOX After 3 Years
Prof. Larry Ribstein, who has written extensively on Sarbanes-Oxley, has an article that reviews the experience with SOX since its passage about 3 years ago. Here is the link: SSRN-Sarbanes-Oxley…
New York Attorney Malpractice Blog
Legal Malpratice and Securities Litigation
Here is a strange story from Christopher R. Jones of the PSLRA Nugget Blog about class-action plaintiffs who attempted to sue the class-action attorneys, only to have the entire case…
White Collar Crime Prof Blog
SEC Announces Principles for Imposing Penalties on Companies
By Ellen Podgor
SEC Chairman Christopher Cox has cobbled together a set of principles (here) regarding when the Commission will impose civil penalties on companies ("issuers") who run afoul of the federal securities…
CAFA Law Blog
Tennessee Federal Court upholds “carve out” under CAFA for securities litigation, holding that Section 1453(d) is not ambiguous.
Indiana State District Council of Laborers and HOD Carriers Pension Fund v. Renal Care Group, Inc., No. Civ. 3:05-0451, 2005 WL 2000658 (M.D. Tenn. August 18, 2005). Judge Aleta A.…
ContractsProf Blog
Unpaid $241k Tab at Topless Bar Leads to Breach of Contract Action (and Bad Publicity)
American Express filed a lawsuit this week against a chief executive of Savvis Communications, a publicly held telecommunications company. The complaint, which includes causes of action for breach of contract…
New Jersey Law Blog
Developments in Federal and State Securities Laws
Companies operating within the financial services industry as registered investment advisers must be cognizant of developments in federal and sate securities laws. Within the past year, the United States Securities…