Securities Business Torts

SEC Fraud Fiduciary Duty Securities Fraud Enforcement Actions Class Action SCOTUS Insider Trading Breach of Duty RMBS Shareholders Shareholder Litigation Board of Directors Settlement Securities Litigation Compliance Investment Adviser Fraud-on-the-Market Securities Exchange Act Enforcement Derivative Suit Class Certification Securities ERISA Securities Act of 1933 Halliburton Halliburton v Erica P. John Fund Misrepresentation Mergers CFTC Corporate Counsel Disclosure Requirements Dodd-Frank Motion to Dismiss Statute of Limitations Rule 10b-5 Appeals Business Judgment Rule FINRA Basic v Levinson Hedge Funds Controlling Stockholders Dismissals Investors Banks DOJ Broker-Dealer EU ESOP Stocks Whistleblowers FIfth Third Bancorp v Dudenhoeffer Material Misstatements Pleading Standards Popular Conflicts of Interest Omnicare Omnicare v Laborers District Council Ponzi Scheme Section 11 Directors Scienter Corporate Officers Canada JPMorgan Chase Rating Agencies Registration Statement Pleadings Stock Drop Litigation Mortgage-Backed Securities Disgorgement Executive Compensation False Statements Criminal Prosecution FCPA Acquisitions Citigroup Goldman Sachs Mortgages Aiding and Abetting Civil Monetary Penalty DE Supreme Court Presumption of Reliance US Bancorp Bank of America Corporate Governance FHFA Investment Funds Penalties Personal Liability Retirement Plan SLUSA Standing FDIC Swaps Delaware General Corporation Law Illegal Tipping Investment Advisers Act of 1940 Sarbanes-Oxley UK Chief Compliance Officers Deutsche Bank Standard of Review White Collar Crimes Duty of Loyalty Employee Benefits Misappropriation Morgan Stanley Mutual Funds Personal Benefit Pharmaceutical Industry Professional Liability Publicly-Traded Companies Sanctions Amgen Inc. v Connecticut Retirement Plans Bylaws Material Nonpublic Information Proxy Statements US v Newman 401k Demand Futility Misleading Statements UBS Books & Records Breach of Contract D&O Insurance Mary Jo White Minority Shareholders High Frequency Trading Municipal Bonds Section 10(b) Shareholder Rights Derivatives Disclosure European Securities and Markets Authority (ESMA) Financial Conduct Authority (FCA) Jurisdiction Loss Causation Market Manipulation Audits Duty of Prudence Federal Reserve Financial Adviser Insurance Industry Municipalities Private Equity Statement of Opinion Summary Judgment Collateralized Debt Obligations Say-on-Pay Burden of Proof C-Suite Executives DOL Due Diligence Fines Freddie Mac Hong Kong Negligent Misrepresentation Neither Admit Nor Deny Settlements Pensions Portfolio Managers PSLRA Registration Trustees Bad Faith Brokers Cybersecurity Fairness Standard Fannie Mae Fund Managers Going-Private Transactions Investigations Investment Company Act of 1940 Oil & Gas Omissions Reporting Requirements Auditors Extraterritoriality Rules FERC Fifth Third Mortgage Company Financial Services Authority Gabelli v SEC Judge Rakoff NCUA OCC Whistleblower Awards Attorney's Fees Bernie Madoff CEOs Discovery Rule Evidence Exculpatory Clauses Investment Management IPO Statute of Repose Underwriting Amgen Asset Management China Damages Discovery Duty of Care Entire Fairness Standard Excessive Fees FIRREA Forum Selection Merger Agreements Preferred Shares Repurchases Risk Management Shareholder Votes Tender Offers Unjust Enrichment Bribery Cease and Desist Chadbourne & Parke LLP v Troice Common Stock Confidential Information Countrywide Financial Statements Foreign Banks Injunctions Merrill Lynch Reversal Short Sales Whistleblower Protection Policies Administrative Hearings Cross-Border Custody Rule Defense Strategies Disclosure-Based Settlements European Commission Fee-Shifting Fees Internal Controls Municipal Securities Issuers OCIE PCAOB Preemption Private Equity Funds S&P SEC v Citigroup 10b5-1 Plans Anti-Money Laundering Attorney-Client Privilege Banking Sector Barclays Covenant of Good Faith and Fair Dealing False Claims Act (FCA) Federal Rules of Civil Procedure Fraudulent Inducement Good Faith Independent Boards Internal Investigations IRS Japan Litigation Strategies No-Action Letters Public Offerings Secondary Markets Self-Dealing Tolling Trusts Wells Fargo Appraisal Australia Bear Sterns Best Interest Contract Exemptions CFPB Dilution FDA Federal Rule 12(b)(6) Financial Institutions Foreign Exchanges FTC Independent Director Libor Materiality Moody's Multidistrict Litigation Nasdaq Negligence Pay-To-Play Policy Violations Private Securities Litigation Reform Act of 1995 Rebuttable Presumptions Retaliation Revlon Standard Shareholder Activism Swap Dealers Virtual Currency Volcker Rule Young Lawyers Appraisal Rights Benefit Plan Sponsors Commercial Bankruptcy Dark Pool Deferred Prosecution Agreements Duty to Disclose Employer Liability Issues ETFs FBI Financial Reporting GAAP Indemnification Insolvency Investment Fraud IRA JOBS Act Jury Verdicts Justifiable Reliance Loans Material Disclosures Material Misrepresentation Morrison v National Australia Bank Municipal Advisers NFA No-Action Relief Ontario Securities Commission (OSC) Personal Jurisdiction Putative Class Actions Recordkeeping Requirements Tippees Valuation Venture Capital Accounting Fraud Anti-Retaliation Provisions Arbitration Asset Valuations Attorney Generals Bank of New York (BNY) Mellon Bitcoin Bonds Capital Markets Claim Preclusion Commodities Confidential Witnesses Conspiracies Corporate Executives Corruption Data Breach Dell Ethics Failure To Disclose Failure To State A Claim Fiduciary Rule Final Rules FinCEN Foreign Corporations Healthcare Hiring & Firing Interlocutory Appeals Joint and Several Liability Lawson v FMR Limited Liability Company (LLC) MFW MSRB Ontario Securities Act Pension Funds Petition For Rehearing Prejudgment Interest Preliminary Injunctions Regulation M Risk Assessment Rule 23 Section 36(b) Stock Options Stock Purchase Agreement Strict Liability U.S. Treasury Administrative Proceedings Admissions of Liability AIFMD Blue Sky Laws BP Buyouts Causation Cease and Desist Orders Certiorari Clawbacks Closely Held Businesses Collateral Estoppel Compensation Committee Corporate Liability Corporate Sales Transactions Creditors Cross-Border Transactions Data Protection Dole Food EB-5 EMIR Energy European Banking Authority Facebook Fitch Foreign Investment General Solicitation Hewlett-Packard Internal Revenue Code (IRC) International Litigation Investment Companies Janus Capital Group Lehman Brothers Leveraged Buyout Mark Cuban Moench Presumption Money Laundering Mootness Municipal Securities Market NYSE Offerings Patents Real Estate Market Remedies Retirement Royal Bank of Scotland SAC Capital Safe Harbors Security-Based Swaps Sellers Shareholder Demands Social Media Subpoenas Subsidiaries Supplemental Disclosures Supreme Court of Canada Trade Market Abuse Transparency Trulia Wire Fraud Acquisition Agreements Affirmative Defenses American Pipe & Construction Co. v. Utah Annual Meeting Antitrust Litigation Apple Bank Fraud Biotechnology Breach of Warranty Buy-Out Agreements CFOs Charles Schwab Chevron Deference City of Pontiac Commodity Pool Complex Litigation Consent Decrees Credit Default Swaps Credit Unions Cyber Attacks EBA Employee Stock Purchase Plans Equitable Tolling Exchange-Traded Products Expert Witness Fair Market Value Family Businesses FCMs Financial Crimes Financial Markets Financial Sector Forfeiture Forum Shopping Fraudulent Concealment FSMA Gartenberg Factors Hart-Scott-Rodino Act HSBC Incentive Compensation Independent Directors ISS Life Sciences Limitation Periods Major Swap Participants MCDC Misallocation of Funds Mismanagement Nvidia Oppression Remedy Prescription Drugs Price-Fixing Prospectus Prudential Public Disclosure Public Officials Raj Rajaratnam Reasonable Reliance Claims Reasonableness Factors Receivership Regulation S-K REIT Rescission Revlon Rule 10(b) Rule 11 Rule 506 Offerings Sale of Assets Securities Act Securities Violations Shareholders' Agreements Sothebys Special Committees Split of Authority Statement of Facts Stock-for-Stock Merger Strategic Enforcement Plan Stress Tests Subprime Mortgages Target Company Twombly/Iqbal Pleading Standard Venue Visas Wal-Mart Waste AIG Algorithmic Trading Allergan Inc Allstate Alternative Trading Systems Amended Complaints Amgen v Harris Anti-Dumping Duty Bank of England Bank Secrecy Act Basel Committee Beneficial Owner Burger King Business Litigation Buyers Capital Requirements Caremark claim Citibank CMBS Code of Conduct Collateralized Loan Obligations Commercial Court Commodities Exchange Act Conflict Mineral Rules Contract Disputes Contract Drafting Contract Interpretation Corporate Taxes Corporate Veil Credit Ratings Credit Suisse Criminal Sanctions Debtors Default Disclosure Settlement Dismissal With Prejudice DuPont Earn-Outs eBay EMMA Enforcement Statistics Equity Compensation Expert Testimony Fair Housing Act (FHA) False Advertising Falsified Documents FATCA Federal Sentencing Guidelines Federal Tort Claims Act (FTCA) Fiduciary Liability Fifth Amendment Financial Regulatory Reform Foreign Issuers Foreign Nationals Form 10-K Form 8-K Forum Forum Non Conveniens Fraudulent Transfers FRCP 9(b) Freeze-Out Mergers Frivolous Lawsuits Futures Government Investigations Guilty Pleas Heinz Home Depot Honest Belief Defense Hostile Takeover Housing Market Imports Income Taxes Initial Public Offerings Inspection Rights Investment Banks Investor Protection Joint Venture Kickbacks Limited Partnerships Liquidation Liquidnet Lying Mail Fraud Mandatory Victim's Restitution Act Market Abuse Market Participants Martoma Medicare MiFID II MOFCOM Money Market Funds Monsanto Mortgage Loan Originators Motion to Compel MTFs Negligent Supervision New Regulations Non-Enforcement Non-Prosecution Agreements NY Supreme Court OTC Parent Corporation Patent Infringement Permanent Injunctions Pharmacies Plan Administrators Policy Exclusions Pre-Merger Filing Requirements Price Manipulation Private Funds Private Placements Private Right of Action Proposed Amendments Proposed Legislation Proposed Regulation Proxy Solicitations Proxy Voting Guidelines Prudential Regulation Authority Public Comment Public Employees Public Policy Purchase Agreement Pyramid Schemes Qualified Mortgage Rule Rajat Gupta Ratification Real Estate Investments Registered Investment Advisors Regulation FD Relation Back Doctrine Removal Representations and Warranties Restricted Stocks Reverse Mergers Rule 23(b)(3) Sales Schedule 13D SEC v Payton Section 220 Request Sentencing SFO Short-Swing Trading SIPA Spoofing Startups State of Incorporation State Securities Claims STOCK Act Stock Sale Agreements Stock Trades Stockholders' Meetings Structured Financial Products Subject Matter Jurisdiction SunTrust Symantec The Clayton Act Third Point Too Big to Fail Trust Preferred Securities Unfair or Deceptive Trade Practices Unions Unregistered Brokers US Bank USCIS Vacated Verizon Walgreens Wall Street Ways and Means Committee Witness 16(b) Abuse of Discretion Accountants Accounting Controls Actual Injuries Actual or Constructive Knowledge Administrative Procedure Act Adverse Employment Action Advertising Affiliates AIFM ALJ Amended Regulation American Rule Anti-Corruption Appointments Clause Arbitrage Arbitration Agreements Arbitration Awards Article III Articles of Incorporation ASIC Asset Freeze Asset-Backed Securities Assured Guaranty Corp. ATMs AU Optronics Corp Auction AXA Equitable Life Bad Actors Balance Sheets Bank Holding Company Act Banking Crisis Best Interest Standard Bids BlackRock Block Trades Boeing Botox British Bankers' Association British Columbia Securities Commission BRRD BSA/AML Bundling Rules Burden-Shifting Business Continuity Plans Business Corporation Act Business Development Business Development Companies Business Formation Business Torts CAFA Calculation of Damages CalPERS Cause of Action Accrual CCO Celera Cell Phones Change of Ownership Charter Schools Circumstantial Evidence Civil Conspiracy Class Representatives Clearing Agencies Clinical Trials CMS Collateral Comcast Comcast v. Behrend Commercial Leases Commerzbank Confidentiality Agreements Constitutional Challenges Contractors Cooperation Initiative COOs Corporate Charters Corporate Fraud Corporate Misconduct Corporations Code Counterclaims Countervailing Duties CPO Crowdfunding CTA Customer Protection Rule Customs Debt Debt Collection Debt Restructuring Debt Securities Declaratory Judgments Declaratory Relief Deepwater Horizon Defined Contribution Plans Demurrers Derivative Complaint Derivatives Clearing Organizations Detrimental Reliance Detroit Discounts Disqualification Distribution Rules Document Requests DOE Due Care Due Process Duke Energy Duty to Defend Economic Development Economic Downturn Edge Act EEA Electronic Trading Email EU Market Abuse Regulation (EU MAR) European Central Bank Exceptions Exclusive Jurisdiction Exemptions Expert Reports Exports FASB FATF Federal Contractors Federal Pleading Requirements Federal v State Law Application Fee Disclosure FFIEC Financial Crisis Financial Services Industry Finders First Derivative Traders FMR LLC Foreign Jurisdictions Foreign Official Forum Selection Clause Gaming Germany Gramm-Leach-Blilely Act Green Cards Gross Negligence Guidance Update Hedging Herballife High-Speed Trading Hong Kong Securities and Futures Commission (HKSFC) HUD Imputed Knowledge Incentives IndyMac Inflated Stock Purchase Price Institutional Investors Insurance Litigation Intent Interest Rate Swaps Interest Rates Internal Affairs Doctrine International Finance International Harmonization Investment Investment Advisory Agreements IOSCO ISDA Issue Preclusion ITC Jury Trial Kraft Lawson Legal History Leverage Ratio Life Insurance Loan Agreements London Whale Long-Term Investment Funds Managers Manufacturers Master Limited Partnerships MBIA Insurance Medicaid Medical Devices Membership Interest Memorandum of Understanding MiFIR Mining MLM Industry Mobile Apps Motion to Amend Municipal Bankruptcy Natural Gas Negotiations NERA New Legislation Non-Judicial Settlement Agreements Non-Public Information OCR Online Marketplace Lending Operating Agreements Opt-Outs Oversight Committee Patent Litigation Patent Trolls Payday Loans Penny Stocks Petition for Writ of Certiorari Plainly Material Standard Plastic Solar Cells PLSRA Poison Pill Policies and Procedures Predominance Requirement Privacy Policy Privately Held Corporations Prohibited Transactions Protected Activity Proxies Proxy Contests Proxy Materials Proxy Season Public Schools Puerto Rico Pump and Dump Quid Pro Quo Ranieri Partners RBS Real Estate Development Recess Appointments Regulation D Reimbursements Release Agreements Remand Restrictive Covenants Restructuring Retailers Retirement Plan Providers RICO Ripeness RMB Loans Rule 15c2-12 Russia Scams Section 10 of the Exchange Act Section 10(b)-5 Section 162(m) Section 17(a) Section 25401 Section 304 SEFs Self-Interest Serious Fraud Office Settlement Offer Severance Pay Shareholder Approval Siemens SIFMA SIPC Solar Energy Solicitor General Standstill Agreements State Law Claims Stock Deals Stock Prices Stop Order Strike Suits Subcontractors Supervision Swap Agreements Take-Private Transactions Tax Evasion Tenants Tortious Interference TPAs Trading Plans Transaction-Based Compensation Transfers Trump Administration Twitter UCITS Unfair Dealing Vendors Vicarious Liability Waivers Warranties Warrantless Searches Wash Trades Wrongful Termination WTO Wyndham Yahoo! Zero Tolerance Policies Zillow Zynga 1099-DIV 1099s AbbVie Ability-to-Repay Abuse of Process Accounting Accounting Standards Accredited Investors Activision Activist Hedge Funds Activist Investors Actual Damages Add-ons Admissible Evidence Admissions Advancement Adverse Interest Exception Advisory Contracts Advisory Opinions Africa Aftermarket Purchases Ageas Agency Deference