Securities Lawyer Blog: Archives

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2010.03.08: Court Orders Former Kmart CEO to Pay $10 Million
2010.03.01: More Guilty Please? $1.9 Million Illicit Profits for Madoff's Chief Back Room Operator
2010.02.22: Talking Points Or Taking Points? Privilege Waiver on the Line.
2010.02.14: SEC Backs Off Broadcom Backdating Case -- $118 Million Later
2010.02.08: Merry or Merrill-y Go Round? SEC and BofA Settle, Again.
2010.01.29: What A Tangled Web They Weave -- Over $1 Billion in Losses
2010.01.22: $1.5 Million for Investor Literacy -- FINRA Foundation and the American Library Association Team Up
2010.01.15: "Extraordinary" -- Claims SEC In New Suit Against BofA in Merrill Deal
2010.01.08: SEC secures $8.6 Million Return After Insider Trading Settlement
2009.12.31: When Green Is Not Renewable - FINRA's Investor Alert on Green Scams
2009.12.22: SEC's Price for Inter-Broker's Bad Behavior? How About $25 Million.
2009.12.18: Court Issues Big Holiday "Bonus" for Broadcom's Former Execs
2009.12.11: Tech Wreck -- $1.2 Million Fine For MetLife Securities
2009.12.02: US Supreme Court to Hear Transnational Securities Case
2009.11.20: Auction-Rate "InSecurities" -- Wells Fargo's $1.4 Billion Buy Back
2009.11.13: SEC's First Enforcement Using Regulation G Targets SafeNet - Over $1 Million in Fines
2009.11.06: Publicity Stunted -- SEC Shuts Down Broker's Fake PR Blast
2009.10.29: Learning the Hard Way -- Inadequate Anti-Money Laundering Program Costs Scottrade $600,000
2009.10.21: Seriously Taxing -- Citigroup Fined $600,000 in Failure to Supervise
2009.10.19: A New Twist on Privilege Review - How About That Bank of America Waiver?
2009.09.25: Perot No-No -- $8.6 million Insider Trading Allegations Against Employee
2009.09.17: When No Deal is a Big Deal. Judge Rakoff Rejects the BofA / SEC Settlement.
2009.09.11: Thawing To Liquidity -- $128 Million in Auction Rate Securities Holdings Repurchased
2009.09.04: $118 Million Settlement in Broadcom's Stock Option Backdating Claims
2009.08.28: Quick Steps -- FINRA Streamlines Dispute Resolution on Promissory Notes
2009.08.21: School Daze - Ameritas Investment Corp. fined $100,000 & Broker Suspended in College Fund Planning Scheme
2009.08.14: SEC Files Fraud Suit in $197 Million Real Estate Mortgage Scheme -- Radical Bunny, LLC Principals in a Heap of Trouble
2009.08.12: Bank of America Settlement with SEC for $33 Million in Merrill Lynch Bonus Bungle Not a Done Deal
2009.07.30: Merrill Lynch, UBS slapped for unsuitable sales of closed-end funds -- a $5 million pay-out to customers and fines for supervisory failures.

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Mar 8, 10 09:46 AM Court Orders Former Kmart CEO to Pay $10 Million Last week, the Securities and Exchange Commission (SEC) announced that Kmart Corporation's former Chief Executive...

Mar 1, 10 10:40 AM More Guilty Please? $1.9 Million Illicit Profits for Madoff's Chief Back Room Operator Last week, the Securities and Exchange Commission (SEC) filed a complaint in the U.S....

Feb 22, 10 10:25 AM Talking Points Or Taking Points? Privilege Waiver on the Line. Client representation is front and center of the life of a lawyer and these days...

Feb 14, 10 02:50 PM SEC Backs Off Broadcom Backdating Case -- $118 Million Later The Securities Lawyer Blog has posted twice on the Broadcom backdating case -- and...

Feb 8, 10 08:49 AM Merry or Merrill-y Go Round? SEC and BofA Settle, Again. The Securities Lawyer Blog has followed the Bank of America's troubled settlement with the SEC...

Jan 29, 10 09:24 PM What A Tangled Web They Weave -- Over $1 Billion in Losses If Shakespeare were alive today, he might be seeking out an interview with Judge...

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