Securities Business Torts

SEC Fraud SCOTUS Securities Fraud Enforcement Actions Insider Trading Class Action Fiduciary Duty RMBS Shareholders Compliance Settlement Fraud-on-the-Market Shareholder Litigation Enforcement Board of Directors Breach of Duty Securities Litigation Securities Exchange Act Halliburton Class Certification Securities Act of 1933 Securities Halliburton v Erica P. John Fund Investment Adviser CFTC Dodd-Frank Misrepresentation Derivative Suit Disclosure Requirements ERISA Banks Basic v Levinson Statute of Limitations DOJ Rule 10b-5 Hedge Funds Investors Ponzi Scheme Motion to Dismiss FINRA Whistleblowers EU Mergers Material Misstatements Mortgage-Backed Securities Section 11 Business Judgment Rule ESOP FIfth Third Bancorp v Dudenhoeffer Omnicare Omnicare v Laborers District Council Stocks JPMorgan Chase Mortgages Controlling Stockholders Directors Corporate Counsel Broker-Dealer Appeals Popular Bank of America Registration Statement Citigroup FHFA Dismissals Presumption of Reliance Rating Agencies Canada Goldman Sachs Corporate Officers FDIC Scienter Criminal Prosecution Disgorgement Executive Compensation FCPA Swaps Penalties Stock Drop Litigation Conflicts of Interest Illegal Tipping Pleadings Corporate Governance False Statements Pleading Standards US Bancorp White Collar Crimes Civil Monetary Penalty Deutsche Bank Professional Liability Sarbanes-Oxley Amgen Inc. v Connecticut Retirement Plans Chief Compliance Officers Investment Funds Morgan Stanley SLUSA UBS UK Investment Advisers Act of 1940 Misappropriation US v Newman Libor Standing Fannie Mae Mary Jo White Material Nonpublic Information Personal Benefit Pharmaceutical Industry Disclosure Freddie Mac High Frequency Trading NCUA Bernie Madoff Financial Conduct Authority (FCA) Jurisdiction Sanctions Audits D&O Insurance Investigations Portfolio Managers Registration Section 10(b) Aiding and Abetting Bylaws Employee Benefits Federal Reserve Municipal Bonds Neither Admit Nor Deny Settlements Pensions Personal Liability Proxy Statements Say-on-Pay C-Suite Executives Collateralized Debt Obligations DE Supreme Court ESMA Fifth Third Mortgage Company Gabelli v SEC Loss Causation Market Manipulation Minority Shareholders Misleading Statements Private Equity Standard of Review Statement of Opinion Books & Records Breach of Contract Brokers China Derivatives Fairness Standard FIRREA Insurance Industry Judge Rakoff Mutual Funds PSLRA Reporting Requirements Whistleblower Awards Countrywide Delaware General Corporation Law Discovery Rule Duty of Loyalty FERC Financial Services Authority Foreign Banks Hong Kong IPO Municipalities Underwriting Asset Management Barclays Duty of Prudence Evidence Going-Private Transactions OCC Summary Judgment Trustees 401k Acquisitions Chadbourne & Parke LLP v Troice Exculpatory Clauses Extraterritoriality Rules Fines Merrill Lynch Negligent Misrepresentation Oil & Gas SEC v Citigroup Shareholder Rights Administrative Hearings Auditors Bribery Custody Rule Financial Statements Fund Managers Preferred Shares Short Sales Unjust Enrichment Whistleblower Protection Policies Bad Faith Cross-Border Cybersecurity Due Diligence Injunctions Investment Company Act of 1940 PCAOB Preemption Public Offerings Repurchases Risk Management S&P Statute of Repose Volcker Rule Amgen CEOs Damages Demand Futility Fee-Shifting Foreign Exchanges Independent Boards Litigation Strategies Materiality Omissions Publicly-Traded Companies Retirement Plan Trusts Virtual Currency Wells Fargo 10b5-1 Plans Admissions of Liability Attorney's Fees Bear Sterns Bitcoin Burden of Proof Common Stock Confidential Information Covenant of Good Faith and Fair Dealing Deferred Prosecution Agreements Discovery Employer Liability Issues European Commission Federal Rules of Civil Procedure Fees Forum Selection Fraudulent Inducement Good Faith Internal Controls Internal Investigations JOBS Act Moody's Multidistrict Litigation No-Action Letters OCIE Policy Violations Private Securities Litigation Reform Act of 1995 Self-Dealing Shareholder Activism Swap Dealers Tender Offers Tolling Accounting Fraud Banking Sector Claim Preclusion Dark Pool Dilution Duty of Care False Claims Act (FCA) Financial Institutions Insolvency Interlocutory Appeals Investment Management IRS Japan Justifiable Reliance Lawson v FMR Material Disclosures NFA No-Action Relief Pay-To-Play Petition For Rehearing Putative Class Actions Rebuttable Presumptions SAC Capital Secondary Markets Shareholder Votes Valuation Anti-Money Laundering Arbitration Asset Valuations Attorney Generals Attorney-Client Privilege Australia Bonds Causation Commercial Bankruptcy Confidential Witnesses Conspiracies Corruption Credit Unions Entire Fairness Standard ETFs FBI Financial Adviser FinCEN Foreign Corporations FTC Healthcare Indemnification Independent Director Jury Verdicts MFW Morrison v National Australia Bank Municipal Securities Issuers Negligence NYSE Private Equity Funds Real Estate Market Recordkeeping Requirements Regulation M Revlon Standard Risk Assessment Stock Options Strict Liability Subprime Mortgages U.S. Treasury Venture Capital Anti-Retaliation Provisions Antitrust Litigation Blue Sky Laws BP Cease and Desist CFPB Chevron Deference Clawbacks Commodities Compensation Committee Consent Decrees Credit Ratings Creditors Data Protection Dole Food Energy Ethics European Banking Authority Financial Reporting Fitch GAAP General Solicitation Investment Fraud ISS Janus Capital Group Joint and Several Liability Lehman Brothers Loans Mark Cuban Moench Presumption Money Laundering Mortgage Loan Originators Municipal Advisers Nasdaq Nvidia Offerings Ontario Securities Commission Personal Jurisdiction Prejudgment Interest Reasonableness Factors Receivership Retaliation Royal Bank of Scotland Safe Harbors Social Media Strategic Enforcement Plan Stress Tests Trade Market Abuse U.S. Bancorp Affirmative Defenses AIFMD American Pipe & Construction Co. v. Utah Annual Meeting Bank Fraud Capital Markets Cease and Desist Orders Certiorari City of Pontiac Collateral Estoppel Commodity Pool Complex Litigation Conflict Mineral Rules Contract Interpretation Corporate Liability Cross-Border Transactions Defense Strategies Duty to Disclose EB-5 eBay EMIR Employee Stock Purchase Plans Equitable Tolling Exchange-Traded Products Facebook Falsified Documents Family Businesses FCMs FDA Federal Rule 12(b)(6) Financial Crimes Forfeiture Fraudulent Transfers FSMA Hewlett-Packard HSBC Kickbacks Life Sciences Major Swap Participants Martoma Merger Agreements Misallocation of Funds Municipal Securities Market Non-Prosecution Agreements Ontario Securities Act Patents Price-Fixing Proposed Regulation Prudential Public Disclosure Public Officials Raj Rajaratnam Reasonable Reliance Claims Regulation S-K Retirement Rule 10(b) Rule 11 Rule 23 Rule 506 Offerings Security-Based Swaps Sothebys Statement of Facts Stock Purchase Agreement Subpoenas Subsidiaries Target Company Tippees Too Big to Fail Visas AIG ALJ Allstate Alternative Trading Systems Anti-Dumping Duty Apple Appraisal Arbitration Agreements Asset-Backed Securities Assured Guaranty Corp. Bank of England Bank Secrecy Act Basel Committee Biotechnology Breach of Warranty Burger King Buy-Out Agreements Buyouts CFOs Clinical Trials Code of Conduct Comcast Comcast v. Behrend Cooperation Initiative Credit Default Swaps Credit Suisse Criminal Sanctions Crowdfunding Cyber Attacks Data Breach Dell DOL DuPont Earn-Outs EBA Enforcement Statistics Equity Compensation Expert Witness Fair Housing Act (FHA) False Advertising Family Members FATCA Federal Sentencing Guidelines Fidcuciary Liability Final Rules Financial Regulatory Reform FMR LLC Foreign Nationals Forum Forum Shopping Fraudulent Concealment Freeze-Out Mergers Frivolous Lawsuits Futures Government Investigations Hart-Scott-Rodino Act Heinz Hiring & Firing Housing Market Imports Incentive Compensation Income Taxes Inspection Rights Investment Banks Investor Protection Lenders Leveraged Buyout Limitation Periods Liquidation Liquidnet Lying Mandatory Victim's Restitution Act Market Participants MBIA Insurance Medicare MOFCOM Money Market Funds Monsanto Motion to Compel MSRB MTFs Negligent Supervision New Regulations Non-Enforcement Oppression Remedy Pension Funds Pharmacies Policy Exclusions Prescription Drugs Private Funds Private Placements Proposed Legislation Prospectus Proxy Voting Guidelines Prudential Regulation Authority Public Employees Public Policy Qualified Mortgage Rule Rajat Gupta Ratification RBS Real Estate Investments Regulation FD Rescission Reversal Reverse Mergers Revlon Sales SEC v Payton Sellers Sentencing SFO Shareholders' Agreements Short-Swing Trading SIPA Split of Authority Spoofing Standstill Agreements State Securities Claims Stock Trades Stock-for-Stock Merger Stockholders' Meetings Structured Financial Products SunTrust Supreme Court of Canada Symantec Third Point Transparency Trust Preferred Securities Twombly/Iqbal Pleading Standard Unions US Bank USCIS Vacated Waivers Wal-Mart Wall Street Waste Ways and Means Committee Wire Fraud Witness 16(b) Abuse of Discretion Accountants Accounting Accounting Controls Acquisition Agreements Actual or Constructive Knowledge Advertising Affiliates AIFM Algorithmic Trading Allergan Inc Amended Complaints Anti-Corruption Appraisal Rights Article III ASIC Asset Freeze ATMs ATP Tours AU Optronics Corp Auction Bad Actors Balance Sheets Bank Holding Company Bank of New York (BNY) Mellon Banking Crisis Benefit Plan Sponsors BlackRock Block Trades Boeing Bonuses Botox British Bankers' Association British Columbia Securities Commission Bundling Rules Burden-Shifting Business Development Business Development Companies Business Torts CAFA CalPERS Capital Requirements Caremark claim Cause of Action Accrual Celera Cell Phones Change in Control Change of Ownership Charles Schwab Charter Schools Circumstantial Evidence Citibank Civil Conspiracy Class Representatives CMS Collateralized Loan Obligations Commodities Exchange Act Contract Disputes Contract Drafting Contractors COOs Corporate Charters Corporate Fraud Corporate Sales Transactions Corporate Veil Corporations Code Countervailing Duties CPO Criminal Conspiracy CTA Customs Debt Debt Restructuring Debtors Deepwater Horizon Default Demurrers Derivatives Clearing Organizations Detroit Disqualification Distribution Rules Document Productions Document Requests DOE Due Care Duke Energy Economic Development Economic Downturn Edge Act Electronic Trading Email EMMA En Banc Review Eric Holder European Central Bank Exclusive Jurisdiction Exemptions Expert Testimony Exports Fair Market Value FATF Federal Contractors Federal Jurisdiction Fee Disclosure FFIEC Fifth Amendment Finders Foreign Investment Foreign Jurisdictions Foreign Official Form 10-K Form 8-K Form SD FTCA Gaming Gramm-Leach-Blilely Act Green Cards Guilty Pleas Hedging Herballife Hostile Takeover HUD ICAP Incentives Insurance Litigation Intent Interest Rates Internal Affairs Doctrine International Finance International Harmonization Investment Advisory Agreements Investment Companies IOSCO Issue Preclusion ITC Joint Venture Jury Trial Lawson Legal History Leverage Ratio Life Insurance LLC London Whale Long-Term Investment Funds Mail Fraud Managers Manufacturers Martin Act Medicaid Medical Devices Memorandum of Understanding MiFID II Mining Mismanagement Mobile Apps Mootness Municipal Bankruptcy Natural Gas NERA New Legislation Non-Compete Agreements Non-Judicial Settlement Agreements Non-Public Information Non-Solicitation Agreements Nonbank Firms NY Supreme Court Offshore Funds Opt-Outs OSC OTC Oversight Committee Patent Infringement Patent Litigation Permanent Injunctions Plastic Solar Cells PLSRA Poison Pill Pre-Merger Filing Requirements Preliminary Injunctions Price Manipulation Privacy Policy Private Right of Action Proposed Amendments Proprietary Trading Protected Activity Proxies Proxy Contests Proxy Materials Proxy Season Proxy Solicitations Public Schools Pump and Dump Purchase Agreement Pyramid Schemes Quid Pro Quo Ranieri Partners Real Estate Development Regulation D REIT Relation Back Doctrine Release Agreements Remand Remedies Removal Representations and Warranties Restricted Stocks Restrictive Covenants Restructuring Retailers RICO Russia Sale of Assets Scams Schedule 13D Section 10 of the Exchange Act Section 10(b)-5 Section 12 Section 162(m) Section 17(a) Section 220 Request Section 25401 Section 304 SEFs Serious Fraud Office Settlements Shareholder Demands Siemens SIFMA SIPC Solar Energy Solicitor General Special Committees Startups State and Local Government STOCK Act Stop Order Student Loans Subcontractors Subject Matter Jurisdiction Supervision Take-Private Transactions Tax Evasion The Clayton Act Trading Plans Transfers Twitter UCITS Unfair Dealing Unfair or Deceptive Trade Practices Warranties Warrantless Searches Wash Trades WTO Zero Tolerance Policies AbbVie Ability-to-Repay Abuse of Process Accounting Standards Accredited Investors Activision Activist Hedge Funds Actual Injuries Administrative Procedure Act Administrative Proceedings Admissions Advancement Adverse Employment Action Advisory Contracts Advisory Opinions Africa Aftermarket Purchases Aggregation Rules Alberta Securities Commission Algorithms Alibaba All-Party Consent Alternative Investment Funds Ambiguous Amended Regulation American Express American Rule Analytics Anti-Kickback Statute Anti-Monopoly Antitrust Conspiracies Antitrust Investigations Antitrust Provisions AOL Appointments Clause Arbitrage Articles of Incorporation Asset Diversification Asset Protection Assignments AT&T AT&T Mobility v Concepcion Attorney Malpractice Australian Securities and Investments Commission Auto Manufacturers Automotive Industry Avon Banging the Close Bank Holding Company Act Bank of Russia Bar Associations Barack Obama Beats Electronics Ben Bernanke Benchmark Pricing Benchmarks Beneficial Owner Best Management Practices Bids Big-Boy Letters Billing Biofuel Biopharmaceutical BIS BitLicense Board of Trustees Bond Financing Broken Windows Broker Commissions BSA/AML Building Permits Business Assets Business Court Business Formation Business Litigation Business Valuations But For Causation Buyback Programs Buyers C&DIs Cablevision CAFC Calculation of Damages Canadian Securities Administration Capital Estimation Tool Carried Interest Cartels Case Consolidation CCO CEA Certificates of Incorporation Certifications Chapter 11 Cherry Picking CIFG Assurance North America CIGNA CII Cisco Citizens United Civil Forfeiture Civil Penalty Fund Claims Limitations Period Clearing Agencies Closely Held Businesses Closing Documents Cloud Computing CMBS Collateral Collusion Commercial Leases Commerzbank Committee on Payments and Market Infrastructure (CPMI) Commodity Futures Contracts Community Banks Competition Competition Authorities Competitive Bidding Complaint Procedures Complex Corporate Transactions Condemnation Conditional Gifts Confidential Documents Conflicts of Laws Congressional Investigations & Hearings Consent Consideration Constructive Trusts Consultation Consumer Lenders Continuity of Enterprises Control Person Controlled Foreign Corporations Convictions Core Operations Doctrine Corporate Crimes Corporate Executives Corporate Gifts Corporate Investigations Corporate Issuers Corporate Management Corporate Misconduct Corporate Records Corporate Securities Act Corporate Taxes COSO Cost Allocation Counterclaims Court-Appointed Receivers CPAs CPOs CRA Credit Reporting Agencies Credit Reports Criminal Antitrust Litigation Cryptocurrency Cumis Counsel Custodians Custody Customer Funds Protection