Securities Business Torts Finance & Banking

SEC Enforcement Actions RMBS Fraud Fiduciary Duty Securities Fraud Investment Adviser Insider Trading SCOTUS Settlement Compliance ERISA Class Action Enforcement Securities Act of 1933 CFTC Breach of Duty FINRA Securities Securities Exchange Act Banks EU Broker-Dealer Investors Misrepresentation Securities Litigation Hedge Funds ESOP FIfth Third Bancorp v Dudenhoeffer Rating Agencies Disclosure Requirements Ponzi Scheme JPMorgan Chase Mortgage-Backed Securities Dodd-Frank Omnicare v Laborers District Council Section 11 Citigroup Statute of Limitations Mortgages Retirement Plan Bank of America Material Misstatements Shareholders Conflicts of Interest Dismissals FHFA Registration Statement FDIC Investment Funds Omnicare Swaps US Bancorp Goldman Sachs Mutual Funds Stock Drop Litigation 401k Deutsche Bank DOJ Motion to Dismiss Popular Employee Benefits Criminal Prosecution Morgan Stanley Investment Advisers Act of 1940 Rule 10b-5 Board of Directors UK Appeals Financial Conduct Authority (FCA) Stocks Class Certification Collateralized Debt Obligations European Securities and Markets Authority (ESMA) Federal Reserve Penalties Shareholder Litigation UBS Chief Compliance Officers Disgorgement DOL Municipal Bonds Sanctions White Collar Crimes Civil Monetary Penalty Duty of Prudence False Statements Statement of Opinion Whistleblowers Canada Corporate Counsel Excessive Fees Freddie Mac Mary Jo White Fannie Mae High Frequency Trading OCC Derivatives Disclosure Financial Services Authority Fines Fraud-on-the-Market Fund Managers Investment Company Act of 1940 NCUA SLUSA Trustees Brokers FCPA FERC Insurance Industry Investment Management Judge Rakoff Market Manipulation Misappropriation Negligent Misrepresentation Neither Admit Nor Deny Settlements Pensions Private Equity Audits Bernie Madoff Breach of Contract FIRREA Foreign Banks Municipalities Personal Liability Pleading Standards Portfolio Managers Professional Liability Repurchases Underwriting Asset Management Burden of Proof C-Suite Executives Custody Rule European Commission Fees Halliburton Merrill Lynch Reporting Requirements S&P SEC v Citigroup Barclays Benefit Plan Sponsors Best Interest Contract Exemptions Directors Illegal Tipping Investigations Material Nonpublic Information Misleading Statements No-Action Letters OCIE Private Equity Funds Public Offerings Registration Risk Management Short Sales Aiding and Abetting Anti-Money Laundering Auditors Banking Sector CFPB Corporate Officers Countrywide Due Diligence Fifth Third Mortgage Company Financial Adviser Financial Institutions Halliburton v Erica P. John Fund Hong Kong IRA Libor Loss Causation Moody's Pharmaceutical Industry Policy Violations Sarbanes-Oxley Scienter Section 36(b) Standing Statute of Repose Swap Dealers US v Newman Virtual Currency Wells Fargo Whistleblower Awards Administrative Hearings Amgen Bitcoin Cross-Border Derivative Suit Duty of Care ETFs Fiduciary Rule Internal Controls IPO Municipal Securities Issuers Negligence NFA No-Action Relief Oil & Gas Preemption Recordkeeping Requirements Section 10(b) Summary Judgment Valuation Volcker Rule Bear Sterns Bonds Capital Markets Cease and Desist Chadbourne & Parke LLP v Troice Commodities Controlling Stockholders Dark Pool Final Rules Financial Reporting FinCEN Fraudulent Inducement JOBS Act Jurisdiction Loans Nasdaq Pay-To-Play PCAOB Pension Funds Personal Benefit Regulation M Tolling Trusts U.S. Treasury Unjust Enrichment Accounting Fraud Admissions of Liability AIFMD Asset Valuations Australia Bank of New York (BNY) Mellon Books & Records China Conspiracies Credit Default Swaps Cross-Border Transactions Deferred Prosecution Agreements EMIR Employee Stock Purchase Plans European Banking Authority Evidence Financial Statements Fitch FSMA FTC GAAP Gartenberg Factors HSBC Interlocutory Appeals Investment Fraud IRS Janus Capital Group Moench Presumption Money Laundering Municipal Advisers Omissions Real Estate Market Retirement Royal Bank of Scotland Social Media Trade Market Abuse Bank Fraud Cease and Desist Orders CEOs Chevron Deference Claim Preclusion Commercial Bankruptcy Commodity Pool Confidential Information Consent Decrees Covenant of Good Faith and Fair Dealing Credit Unions Cybersecurity Duty of Loyalty EBA Employer Liability Issues Energy Sector Equitable Tolling Executive Compensation False Claims Act (FCA) FBI FCMs Financial Crimes Financial Markets Financial Sector General Solicitation Good Faith Internal Investigations International Litigation Investment Companies Investor Protection Major Swap Participants Mergers Misallocation of Funds Morrison v National Australia Bank MSRB Offerings Pleadings Prudential Public Comment Publicly-Traded Companies Rule 506 Offerings Secondary Markets Security-Based Swaps Statement of Facts Strategic Enforcement Plan Stress Tests Strict Liability Subprime Mortgages Transparency Unregistered Brokers Venture Capital Wire Fraud Acquisitions AIG Algorithmic Trading Allstate Alternative Trading Systems American Pipe & Construction Co. v. Utah Amgen Inc. v Connecticut Retirement Plans Appraisal Attorney Generals Attorney-Client Privilege Bad Faith Bank of England Bank Secrecy Act Basel Committee Blue Sky Laws BP Breach of Warranty Bribery Business Judgment Rule CFOs Charles Schwab Citibank Clawbacks CMBS Collateralized Loan Obligations Commercial Court Commodities Exchange Act Conflict Mineral Rules Corporate Governance Corruption Credit Ratings Credit Suisse Damages DE Supreme Court Default EB-5 EMMA Ethics Exchange-Traded Products Exemptions Extraterritoriality Rules Failure To Disclose Fair Housing Act (FHA) Falsified Documents FATCA Federal Pleading Requirements Financial Services Industry Foreign Exchanges Foreign Investment Form 10-K Going-Private Transactions Hart-Scott-Rodino Act Housing Market Injunctions Internal Revenue Code (IRC) ISS Japan Joint and Several Liability Lehman Brothers Liquidnet Mandatory Victim's Restitution Act Market Abuse Market Participants Material Disclosures Material Misrepresentation MiFID II Money Market Funds Mortgage Loan Originators Motion to Compel MTFs Municipal Securities Market Negligent Supervision Non-Enforcement NY Supreme Court Ontario Securities Act Plan Administrators Pre-Merger Filing Requirements Prejudgment Interest Presumption of Reliance Price Manipulation Private Funds Private Placements Private Right of Action Proposed Legislation Proposed Regulation Prospectus Proxy Voting Guidelines Prudential Regulation Authority PSLRA Public Disclosure Putative Class Actions Qualified Mortgage Rule Reasonableness Factors Receivership Registered Investment Advisors Regulation FD REIT Relation Back Doctrine Risk Assessment Sales Sellers Shareholder Rights SIPA Structured Financial Products The Clayton Act Tippees Trust Preferred Securities Unfair or Deceptive Trade Practices Unions US Bank Accounting Controls Actual or Constructive Knowledge Administrative Procedure Act Administrative Proceedings Advertising Affirmative Defenses AIFM Amgen v Harris Anti-Retaliation Provisions Antitrust Litigation Apple Arbitration Arbitration Agreements Asset Freeze Asset-Backed Securities Assured Guaranty Corp. ATMs AXA Equitable Life Bank Holding Company Act Basic v Levinson BlackRock Block Trades British Bankers' Association BRRD Burger King Business Continuity Plans Business Development Companies Bylaws CalPERS Capital Requirements Caremark claim CCO Cell Phones Certiorari Collateral Comcast Commerzbank Complex Litigation Cooperation Initiative CPO Criminal Sanctions Crowdfunding CTA D&O Insurance Data Protection Debt Defined Contribution Plans Derivatives Clearing Organizations Detroit Discounts Discovery DOE Duty to Disclose Economic Downturn Edge Act EEA Enforcement Statistics EU Market Abuse Regulation (EU MAR) European Central Bank Exceptions Expert Testimony Facebook Failure To State A Claim False Advertising FASB FATF FDA Federal Tort Claims Act (FTCA) Fee Disclosure FFIEC Fiduciary Liability Financial Crisis Financial Regulatory Reform Finders First Derivative Traders Foreign Corporations Foreign Issuers Forfeiture Fraudulent Concealment Futures Germany Government Investigations Gramm-Leach-Blilely Act Guidance Update Hedging High-Speed Trading Hiring & Firing Incentive Compensation Income Taxes Insolvency Interest Rate Swaps Interest Rates International Finance Investment Advisory Agreements Investment Banks IOSCO ISDA ISDA Master Agreement Issue Preclusion Joint Venture Jury Trial Jury Verdicts Leverage Ratio Liquidation Litigation Strategies London Whale Long-Term Investment Funds Lying Mail Fraud Managers Martoma MBIA Insurance MCDC Memorandum of Understanding MiFIR Minority Shareholders Mismanagement Motion to Amend Municipal Bankruptcy New Regulations Non-Judicial Settlement Agreements NYSE OCR Online Marketplace Lending Oppression Remedy OTC Payday Loans Permanent Injunctions Personal Jurisdiction Petition For Rehearing Policies and Procedures Preferred Shares Price-Fixing Private Securities Litigation Reform Act of 1995 Prohibited Transactions Proposed Amendments Proxy Statements Public Officials Public Schools Puerto Rico Pump and Dump Purchase Agreement Pyramid Schemes Ranieri Partners RBS Real Estate Investments Reasonable Reliance Claims Rebuttable Presumptions Recess Appointments Regulation D Regulation S-K Request For Information Rescission Retailers Retirement Plan Providers Reverse Mergers RICO RMB Loans SAC Capital Scams Schedule 13D Section 10(b)-5 Securities Violations Securitization SEFs Self-Dealing Serious Fraud Office SFO SIFMA Solar Energy Spoofing Standard of Review Stock Options Stock Trades Supervision Tax Evasion Tender Offers Too Big to Fail TPAs Transaction-Based Compensation Transfer of Assets Trump Administration Twitter UCITS USCIS Vacated Visas Waivers Wall Street Warranties Warrantless Searches Wash Trades Zero Tolerance Policies 10b5-1 Plans 16(b) Ability-to-Repay Abuse of Process Accountants Accounting Accounting Standards Accredited Investors Acquisition Agreements Activist Investors Actual Damages Actual Injuries Add-ons Admissions Adverse Employment Action Advisory Contracts Advisory Opinions Affiliates Africa Ageas Aggregation Rules Algorithms Alternative Investment Funds Ambiguous Amended Regulation American Express Analytics Annual Meeting Anti-Corruption Anti-Terrorism Financing Arbitrage Article III Articles of Incorporation Ascertainable Class ASIC Asset Diversification Asset Protection Attorney's Fees Australian Securities and Investments Commission Australian Securities Exchange (ASX) Automatic Enrollment Bad Actors Balance Sheets Banging the Close Bank Holding Company Bank of Russia Banking Crisis Bar Associations Barack Obama BATS Exchange Beats Electronics Benchmark Pricing Benchmarks Beneficial Owner Best Interest Standard Bids Big-Boy Letters Biofuel Biotechnology BitLicense Board of Trustees Bond Financing Broker Commissions BSA/AML Bundling Rules Burden-Shifting Business Assets Business Court Business Development Business Formation Business Valuations But For Causation Buy-Out Agreements Buyers Buyouts C&DIs CalPERS v ANZ Securities Canadian Securities Administration Capital Estimation Tool Capital One Carried Interest Carve Out Provisions Causation Cause of Action Accrual CEA Certificates of Incorporation Certifications Charter Schools Check Cashing Cherry Picking CIFG Assurance North America Circumstantial Evidence Citizens United City of Pontiac Clear and Convincing Evidence Clearing Agencies Clinical Trials Closely Held Businesses Cloud Computing Collective Actions Collusion Comcast v. Behrend Committee on Payments and Market Infrastructure (CPMI) Commodity Futures Contracts Common Stock Community Banks Compensation Agreements Compensation Committee Competition Authorities Conduct and Effects Test Confidentiality Agreements Conflicts of Laws Congressional Investigations & Hearings Constitutional Challenges Constructive Trusts Consultation Consumer Financial Products Consumer Lenders Continuity of Enterprises Contract Disputes Contract Drafting Contract Terms Controlled Foreign Corporations Core Operations Doctrine Corporate Executives Corporate Issuers Corporate Misconduct Corporate Sales Transactions Corporate Securities Act Corporate Structures Corporate Veil Corporations Code Cost Allocation Court-Appointed Receivers CPAs CPOs CRA CRD IV Directive Credibility Credit Cards Creditors Criminal Conspiracy Cryptocurrency Custody Customer Funds Protection Customer Identification Program (CIP) Customer Protection Rule Customer Service Standard CVS Cy Pres Funds Cyber Attacks Cyber Incident Reporting Data Breach Data Mining Debt Collection Debt Enforcement & Recovery Act (DERA) Debt Restructuring Debt Securities Debtor-Creditor Debtors Defect Defense Strategies Deferred Stock Incentive Plans Defined Benefit Plans Delaware General Corporation Law Delegation Clauses Dell Demand Futility Denial of Benefits Department of Financial Services Deposit Accounts Depository Institutions Dilution Direct Access Partners Disability Benefits Discovery Rule Discrimination Discussion Draft Dismissal With Prejudice Disqualification Distressed Debt Distribution Rules Division of Economic and Risk Analysis (DERA) Domestic Injury DSIO DuPont Dutch Claim Code Duty of Trust Duty to Investigate E*Trade E-Commerce ECON Economic Development Economic Impact Analysis Educational Institutions Electricity Electronic Blue Sheets Electronic Reporting Electronic Trading ELTIF End-Users Energy Market Energy Policy Act EPA Equitable Relief Equity Markets Eric Holder EU Data Protection Laws European Court of Justice (ECJ) European Supervisory Authorities (ESAs) Eurozone Exchange Rates Exclusive Jurisdiction Exculpatory Clauses Expert Reports Expert Witness Extender Statutes Failure to Validate Fair Market Value Fairness Standard False Press Release False Reporting Family Businesses FBAR FBOs FCC FDCPA Federal Budget Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015 Federal Contractors Federal Housing Administration (FHA) Federal Prosecutors Federal Rule 12(b)(6) Federal Rules of Civil Procedure Federal Savings Associations Federal Sentencing Guidelines Fee-Sharing Fee-Shifting Feeder Funds FFI Fidelity Investments Fiduciary Exception Fifth Amendment Filing Fees Filing Requirements Financial Analysts Financial Products Finders Fees First Amendment First National Fiscal Year Flagstar Bank Flash Boys Florida Food Manufacturers Foreign Currency Form 8-K Form ADV Form D Filing Form SD Forum Forum Non Conveniens Forum Selection Clause Forward Contracts Founding Members Fourth Amendment Fraud and Abuse Fraudulent Conveyance Fraudulent Transfers Fraudulent Wire Transfers FRCP 9(b) Frivolous Lawsuits Frozen Assets FSA FSOC Fund Expenses Funding Funding Portal Funding Requirements G20 Gabelli v SEC Gaming GE Capital Retail Bank General Electric Genetically Engineered Seed Genzyme George Canellos Global Market Global Systemically Important Financial Institutions (GSIFI) Golden Leash Arrangements Governmental Liability Green Cards GSE Guilty Pleas Gulf Oil Spill Habeas Corpus Harbinger Capital Partners LLC Healthcare Hewlett-Packard HMRC Holding Companies Home Depot Home Equity Hong Kong Securities and Futures Commission (HKSFC) Hong Kong Stock Exchange Hotels HUD ICE Identity Theft IFRS IGAs Immigration Attorneys Indemnification Independent Boards Independent Expenditures Indictments IndyMac Inflated Stock Purchase Price Inflation Adjustments Information Security Infrastructure Insider Breach Insider Information Institutional Investment Institutional Investors Insurance Brokers Insurance Litigation Integration Intent Interest Income Interference Claims Interlocking Directorate Intermediaries Internal Audit Functions International Banks International Harmonization Investment Investment Firms Investment Partnerships iPhone ISDAfix iTraxx CDS indices Itt Educational Services Judicial Deference Justifiable Reliance KPMG Kraft Latin America Lawson Legal History Lenders Lending Leverage Capital Ratio Leveraged Lending Liens Life Insurance LIHTC Likelihood of Confusion Limited Liability Company (LLC) Listing Standards Living Will Loan Agreements Lock-Up Requirements Long Arm Statute Loss of Income Lost Profits Madden v Midland Funding Mandatory Clearing Requirements Manufacturers Margin Calls Market Timing Martin Act MassMutual Materiality McGraw Hill Medical Records