Topic
Securities
6,661 published works
White Collar Crime Prof Blog
Plenty of Jobs in DC
By Ellen Podgor
Bruce Carton has an interesting post (here) on the Securities Litigation Watch blog noting a number of high-level openings in the securities field at the SEC and Department of Justice. …
CAFA Law Blog
Tennessee Federal District Court holds that shareholder class action for equitable relief under Delaware law is a securities action not subject to CAFA, and therefore, no federal jurisdiction exists.
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). U. S. District…
CAFA Law Blog
Louisiana Federal Magistrate Judge considers two major topics — whether addition of new defendants after CAFA’s effective date supports removal and whether the CAFA securities exemption applied
Robb et al. v. Stericycle, Inc. et al., No. Civ. A.05-1370, 2005 WL 2304457 (W.D. La. August 19, 2005). The plaintiffs filed their putative class action in Louisiana state court…
White Collar Crime Prof Blog
Grand Jury Investigation of Milberg Weiss Lawyers Heats Up
By Ellen Podgor
The grand jury investigation of leading lawyers from famed securities class action firm Milberg Weiss is expanding, according to a report in the Wall Street Journal (here). According to the…
California Employment Law Update
Employer Was Permitted To Report To NASD Reasons For Terminating Broker-Dealer
By Tony Oncidi
Fontani v. Wells Fargo Investments, LLC, 129 Cal. App. 4th 719 (2005) Wells Fargo terminated Marco Fontani, one of its NASDregistered broker-dealers. Following Fontani’s termination, Wells Fargo filed a Form…
California Employment Law Update
Employer Could Pursue Fraud Claim Against Bankrupt Former Employee
By Tony Oncidi
In re Cossu, 410 F.3d 591 (9th Cir. 2005) Jefferson Pilot Securities filed a claim in the bankruptcy proceeding of Claude Cossu, one of its former broker-dealers, who had failed…
White Collar Crime Prof Blog
NASD and NYSE Try to Come Up with Rules Regulating Entertainment for Mutual Fund Executives
By Ellen Podgor
A Wall Street Journal article (here) discusses recent efforts by the NASD and the New York Stock Exchange to come up with rules governing the amount and types of entertainment…
Delaware Corporate & Commercial Litigation Blog
More on U.S. Supreme Court’s Andersen decision
For an exchange among expert commentators on the recent U.S. Supreme Court's Andersen decision, regarding, among other things, the importance of document retention policies and the effect of not properly…
White Collar Crime Prof Blog
TIAA-CREF CFO Takes Unpaid Leave
By Ellen Podgor
As expected, TIAA-CREF CFO Elizabeth Monrad has stepped down temporarily from her position because of the Wells notice she received from the SEC about its current intention to file securities…
White Collar Crime Prof Blog
Welcome to the Business Law Prof Blog
By Ellen Podgor
Professor Dale Oesterle from Ohio State, one of the leading corporate, M&A, and securities law professors around, has joined the LawProfs Blog network with the Business Law Prof Blog. His…