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The Motley Fool
November 28, 2011
John Reeves |
Judge Blocks Citigroup's Sweetheart Deal Judge Rakoff blocks a deal between Citi and the SEC.   |
On Wall Street
October 1, 2009
Thomas O. Gorman |
SEC v. Bank of America: Where to Go From Here? The SEC thought it had completed an investigation, brought an enforcement action and then settled it. |
Registered Rep.
July 15, 2010
Kristen French |
Goldman Sachs Agrees To Record $550 Million Abacus Settlement The settlement, which must still be approved by the court, represents the first case brought by the S.E.C.'s new structured and new products unit. |
PC World
June 28, 2001
Frank Thorsberg |
Microsoft Faces New Antitrust Trial Appeals court upholds monopoly finding, but sends case to new judge to consider penalties... |
Investment Advisor
September 2009 |
Broker/Dealer News Actions by the SEC and FINRA |
Investment Advisor
January 2010
Melanie Waddell |
SEC Proposes Two-Year Stay on Rule 151A The Securities and Exchange Commission agrees to a two-year delay of the effective date of Rule 151A, which would require that equity indexed annuities be regulated as securities. |
InternetNews
June 18, 2007
Roy Mark |
Court Takes IPO Underwriters Off the Antitrust Hook Wall Street investment firms that helped bankroll the high-tech IPO boom of the 1990s are immune from antitrust suits, the U.S. Supreme Court ruled Monday. |
PC World
June 28, 2001
Frank Thorsberg |
Both Sides Claim Antitrust Win; Now What? Pundits, participants assess the continuing question of punishment for Microsoft, which escapes breakup for now... |
Registered Rep.
July 20, 2009
David A. Geracioti |
The Auction Rate Securities Mess Still Lives This time it was TD Ameritrade, without admitting or denying guilt, who settled with the SEC "for making inaccurate statements when selling auction rate securities (ARS) to customers." |
InternetNews
June 30, 2004
Roy Mark |
Microsoft Prevails in Antitrust Appeal The U.S. Court of Appeals denies Massachusetts' challenge to the Department of Justice's landmark antitrust settlement with Microsoft. |
The Motley Fool
November 11, 2011
John Reeves |
Banks Promise Not to Commit Fraud ... Until Next Time Banks have been signing pledges that they do not follow through on. |
Investment Advisor
June 2007
Melanie Waddell |
SEC Won't Appeal Court Ruling The SEC has decided not to appeal the recent ruling which exempted brokers from being subject to regulation as investment advisors in fee-based brokerage accounts, on the basis that the SEC had exceeded its authority under the Investment Advisers Act of 1940. |
Registered Rep.
April 26, 2007
John Churchill |
To Appeal or Not to Appeal? SEC Feels Heat Over Pro-FPA Court Ruling The SEC is feeling lobbyist pressure from both sides as it prepares to either appeal or let stand the ruling by a Federal Court of Appeals that vacated the "Merrill Lynch" rule. |
CFO
November 1, 2009
Alix Stuart |
An Agency Ready to Roar? The SEC under new chief Mary Schapiro has gotten off to a slow start on the enforcement front, but attorneys expect a burst of energy in 2010. |
Financial Planning
July 1, 2011
Donna Mitchell |
Hot Topics FINRA steps in... $80 million settlement of two class-action suits by Securities America... Whistleblower payday... |
PC World
September 6, 2001
George A. Chidi Jr. |
DOJ Won't Pursue Microsoft Breakup Government seeks speedy resolution, asks instead for limit on conduct... |
Salon.com
September 26, 2000
Andrew Leonard |
Supremes put Microsoft case on slow track The high court's refusal to hear the Microsoft appeal puts the software giant's fate in friendly hands. |
Investment Advisor
May 2007 |
The U.S. Court of Appeals Decision A PDF of the U.S. Court of Appeals for the District of Columbia Circuit's ruling on the Financial Planning Association vs. The Securities and Exchange Commission. |
Registered Rep.
September 1, 2005
Karen Donovan |
Under Siege Executives of broker/dealer firms are not exaggerating when they say it seems like regulators are locked into a competitive battle to collect the most pelts on Wall Street. |
Investment Advisor
July 2007 |
Group Think The Financial Planning Association told the U.S. Court of Appeals for the D.C. Circuit... The Social Investment Forum reported that investors are filing a record number of social and environmental shareholder resolutions... etc. |
Investment Advisor
August 2006
Melanie Waddell |
The Playing Field: Will the SEC Appeal? Hedge fund advisor registration has been an extremely contentious issue. Some feel there will be grave consequences for the SEC and the investing public should the House bill requiring registration be shot down. |
Salon.com
June 16, 2000
Damien Cave |
Did Judge Jackson goof? By forcing Microsoft to comply with conduct remedies in 90 days, Jackson may have put the case exactly where he doesn't want it -- in the Court of Appeals. |
U.S. CPSC
September 7, 2005 |
Appellate Court Affirms Dismissal of Lawsuit Against CPSC The three judge panel unanimously ruled that the CPSC's action in settling the administrative lawsuit was unreviewable under the Administrative Procedure Act. |
InternetNews
April 8, 2010 |
FCC on Shaky Ground After Comcast Ruling Court's rejection of Federal Communications Commission's order rebuking Comcast for slowing traffic on its network calls into question the agency's authority in the Internet space. |
InternetNews
December 14, 2004
Roy Mark |
Court Rules RIM Infringed A federal appeals court ruled today that a district court properly determined that Research in Motion infringed on the patents on NTP, but still sent the case back to the district court for further review of damages. |
Commercial Investment Real Estate
May/Jun 2005
Gregg Ficks |
Retro Rejection Actions speak louder than words when landlords come before the bankruptcy court. |
The Motley Fool
April 26, 2006
Rich Duprey |
Investing in Presto's Dim Future The small-appliance maker may soon find itself in hot water with the SEC. Investors, take note. |
PC World
November 1, 2002
Garretson & Ferranti |
Antitrust Decision: A Long Time in the Making Relive some of the key moments in the long battle between Microsoft and the Department of Justice. |
National Defense
November 2011
Piazza & Ayers |
Regulators Flex Foreign Corrupt Practices Act Enforcement Muscles Continuing a trend that started late in the last decade, the Securities and Exchange Commission this year continues to raise the bar on the enforcement of the Foreign Corrupt Practices Act of 1977. |
Managed Care
December 2000 |
2 Federal Courts Differ Concerning External Appeals Almost 40 states have laws giving health plan members the right to seek external review of denials of coverage. Conflicting federal court rulings about states' authority to bind health plans to external review decisions have put their constitutionality in question... |
Registered Rep.
June 3, 2009
David Geracioti |
ARS Games -- SEC Blames Firms, Settles with BAC, RBC and DEUTSCHE When the auction rate securities market froze up in February 2008, angry clients blamed their financial advisors. |
The Motley Fool
June 26, 2006
S.J. Caplan |
Hedge Funds Rule! A federal court strikes down the new "hedge fund rule." The spotlight now shines on the current SEC chairman, Christopher Cox. |
Registered Rep.
October 4, 2006
John Churchill |
Citigroup Wins Long, Strange CAP Battle After going two for three in a unique tug of war involving both the arbitration and court systems, former Smith Barney broker James McCarthy is likely throwing in the towel in his three-year fight for the money left in his deferred-compensation plan. |
InternetNews
May 3, 2007
Roy Mark |
Court Rejects Vonage New Trial Bid A federal appeals court late Wednesday rejected Vonage's motion for a new trial in its bitter patent infringement feud with Verizon. |
Registered Rep.
August 7, 2008
John Churchill |
Citi Settles With SEC and Cuomo Over ARS Failure The firm has agreed to buy back auction rate securities sold to institutional and retail investors nationwide who've been stuck with the illiquid investment vehicles since February 12, 2008. |
BusinessWeek
May 20, 2010
Jesse Westbrook & David Scheer |
How Big a Hit Will Goldman Take? Congress and the public expect the SEC to extract a big fine |
The Motley Fool
March 10, 2004
Selena Maranjian |
Barring Bad Board Directors The SEC is cracking down, but enforcement is a problem. |
InternetNews
January 8, 2010 |
Microsoft Again Appeals i4i Patent Judgment Microsoft seeks rehearing by both the original appeals court panel as well as by all of the judges sitting together. |
InternetNews
May 15, 2006
Roy Mark |
High Court Bounces Buy It Now Injunction Justices rule eBay may continue to offer service and orders a new review of permanent injunction sought by MercExchange. |
Salon.com
June 28, 2001 |
Microsoft wins -- or does it? Experts and observers analyze the appeals court's ruling in the antitrust case... |
InternetNews
July 1, 2004
Erin Joyce |
For Free-and-Clear Microsoft, What's Next? A federal court decided Microsoft won't face new sanctions for abusing its monopoly in the U.S.; does that mean Redmond is free to monopolize? |
InternetNews
December 26, 2007 |
Court Hands Google Setback in AdSense Case Google faces infringement charges over it ad linking technology and other services. |
Salon.com
June 9, 2000
Damien Cave |
Will a Microsoft appeal go straight to the Supremes? Judge Jackson's attempt to expedite a final resolution to the antitrust trial could backfire. |
Investment Advisor
April 2009
James J. Green |
B/D Briefing: Calm Before the Storm? A new report found that the average securities class action settlement was halved in 2008, but the authors of Securities Class Action Settlements: 2008 Review and Analysis, caution that the reported decrease doesn't constitute a trend. |
BusinessWeek
September 17, 2009
Michael Orey |
Commentary: Do Shareholder Class Actions Make Sense? Not when they extract payments from innocent shareholders and let fraudsters off the hook. |
InternetNews
October 17, 2007
Stuart J. Johnston |
Microsoft Lawsuits to Continue Microsoft's past seems to be catching up as two lawsuits against it are cleared to proceed. |
InternetNews
May 2, 2007
Roy Mark |
Verizon Files to Block Vonage Remand Request Verizon today said Vonage is attempting to unfairly disrupt an appeals schedule set just last week with its Tuesday motion to vacate a lower court decision finding that Vonage infringed on Verizon's patents. |
Reason
August 2002
Sara Rimensnyder |
High Court How private are the private lives of judges? |
InternetNews
April 7, 2008
Stuart J. Johnston |
Judge in 'Vista Capable' Suit Says 'Stay' Microsoft has taken a beating in the courts lately. |
Registered Rep.
September 10, 2008 |
Bank of America to Buy Its ARs Back The nation's second-largest bank by assets settled an investigation by Massachusetts regulators, agreeing to buy back $4.5 billion worth of the securities. |
