Securities Business Torts Finance & Banking

SEC RMBS Fraud Enforcement Actions SCOTUS Securities Fraud Insider Trading Fiduciary Duty Settlement Investment Adviser Enforcement Compliance CFTC Securities Act of 1933 Class Action ERISA Banks Mortgage-Backed Securities Securities Investors Securities Exchange Act EU FINRA Misrepresentation Ponzi Scheme Breach of Duty FIfth Third Bancorp v Dudenhoeffer JPMorgan Chase Broker-Dealer Mortgages Rating Agencies Securities Litigation ESOP FHFA Hedge Funds Dodd-Frank Bank of America Citigroup Omnicare v Laborers District Council Disclosure Requirements FDIC Material Misstatements Section 11 Statute of Limitations DOJ Registration Statement Swaps Goldman Sachs Omnicare US Bancorp Shareholders Deutsche Bank Stock Drop Litigation Morgan Stanley Motion to Dismiss Libor Conflicts of Interest Investment Funds Board of Directors Fannie Mae Popular UK Criminal Prosecution Employee Benefits Freddie Mac NCUA Penalties Rule 10b-5 UBS Chief Compliance Officers Federal Reserve Financial Conduct Authority (FCA) Investment Advisers Act of 1940 Stocks Whistleblowers Bernie Madoff Class Certification European Securities and Markets Authority (ESMA) Shareholder Litigation Collateralized Debt Obligations Disgorgement Dismissals Statement of Opinion 401k Canada Civil Monetary Penalty High Frequency Trading Mary Jo White Pensions Sanctions White Collar Crimes Appeals Corporate Counsel False Statements FIRREA Foreign Banks Municipal Bonds Mutual Funds OCC SLUSA Barclays Disclosure Duty of Prudence Financial Services Authority Private Equity Countrywide FERC Fines Judge Rakoff Neither Admit Nor Deny Settlements Retirement Plan Underwriting Audits Brokers Custody Rule FCPA Fraud-on-the-Market Market Manipulation Misappropriation Portfolio Managers Professional Liability SEC v Citigroup Asset Management Breach of Contract C-Suite Executives Derivative Suit Directors Fund Managers Halliburton Investigations Merrill Lynch Negligent Misrepresentation Registration Reporting Requirements Repurchases S&P Trustees Corporate Officers Derivatives Fifth Third Mortgage Company Insurance Industry No-Action Letters Pharmaceutical Industry Public Offerings Short Sales Standing Virtual Currency Volcker Rule Wells Fargo Whistleblower Awards Aiding and Abetting Bitcoin European Commission Fees Halliburton v Erica P. John Fund Illegal Tipping Investment Company Act of 1940 Misleading Statements Moody's Personal Liability Pleading Standards Policy Violations Risk Management Scienter Swap Dealers Administrative Hearings Auditors Banking Sector Chadbourne & Parke LLP v Troice Cross-Border DOL Due Diligence Financial Institutions Hong Kong Investment Management IPO Loss Causation Material Nonpublic Information Municipalities NFA No-Action Relief OCIE Oil & Gas Preemption Private Equity Funds Sarbanes-Oxley Section 10(b) Statute of Repose US v Newman Valuation Amgen Anti-Money Laundering Attorney Generals Bear Sterns China Conspiracies Controlling Stockholders Credit Unions Dark Pool Duty of Care ETFs Financial Adviser Financial Statements FinCEN Fraudulent Inducement JOBS Act Jurisdiction Negligence PCAOB Personal Benefit Real Estate Market Recordkeeping Requirements Regulation M Subprime Mortgages Summary Judgment Trusts U.S. Treasury Venture Capital Accounting Fraud Admissions of Liability AIFMD Asset Valuations Bonds Books & Records Capital Markets CFPB Claim Preclusion Commodities Credit Ratings Deferred Prosecution Agreements EMIR Employer Liability Issues European Banking Authority Evidence Financial Reporting Fitch Foreign Exchanges FTC HSBC Internal Controls IRS Janus Capital Group Loans Moench Presumption Money Laundering Municipal Advisers Pay-To-Play Royal Bank of Scotland Social Media Stress Tests Tolling Trade Market Abuse Unjust Enrichment Australia Bank Fraud Burden of Proof Business Judgment Rule Cease and Desist CEOs Chevron Deference Commercial Bankruptcy Commodity Pool Consent Decrees Corporate Governance Credit Suisse Cross-Border Transactions Employee Stock Purchase Plans Energy False Claims Act (FCA) FBI FCMs FSMA General Solicitation Good Faith Interlocutory Appeals Internal Investigations Joint and Several Liability Major Swap Participants Mergers Misallocation of Funds Mortgage Loan Originators Municipal Securities Issuers Nasdaq Offerings Proposed Regulation Prudential Reasonableness Factors Receivership Retirement Rule 506 Offerings Secondary Markets Statement of Facts Strategic Enforcement Plan Strict Liability AIG Allstate Alternative Trading Systems American Pipe & Construction Co. v. Utah Amgen Inc. v Connecticut Retirement Plans Antitrust Litigation Appraisal Asset-Backed Securities Assured Guaranty Corp. Bank of England Bank of New York (BNY) Mellon Bank Secrecy Act Basel Committee Benefit Plan Sponsors Blue Sky Laws BP Breach of Warranty Bribery Cease and Desist Orders CFOs Citibank Clawbacks CMBS Collateralized Loan Obligations Commodities Exchange Act Confidential Information Conflict Mineral Rules Corruption Crowdfunding DE Supreme Court Dilution EBA Equitable Tolling Exchange-Traded Products Fair Housing Act (FHA) Falsified Documents FATCA Final Rules Financial Crimes Foreign Corporations GAAP Going-Private Transactions Government Investigations Hart-Scott-Rodino Act Housing Market Injunctions Investment Banks Investment Companies Investment Fraud IRA ISS Japan Lehman Brothers Liquidation Liquidnet Mandatory Victim's Restitution Act Market Participants Material Disclosures MBIA Insurance Money Market Funds MSRB MTFs New Regulations Non-Enforcement NY Supreme Court Ontario Securities Act Pension Funds Pre-Merger Filing Requirements Presumption of Reliance Price Manipulation Private Funds Private Placements Prospectus Proxy Voting Guidelines Prudential Regulation Authority PSLRA Putative Class Actions Qualified Mortgage Rule RBS Regulation FD REIT Risk Assessment Sales Security-Based Swaps Shareholder Rights SIPA Structured Financial Products The Clayton Act Too Big to Fail Transparency Trust Preferred Securities Unions US Bank Wire Fraud Accounting Accounting Controls Acquisitions Actual or Constructive Knowledge Advertising Affirmative Defenses AIFM Algorithmic Trading Anti-Retaliation Provisions Apple Arbitration Agreements ATMs Bank Holding Company Basic v Levinson Best Interest Contract Exemptions BlackRock Block Trades British Bankers' Association Burger King Business Development Companies Bylaws CalPERS Capital Requirements CCO Cell Phones Certiorari Charles Schwab Comcast Commerzbank Complex Litigation Cooperation Initiative CPO Credit Default Swaps Criminal Sanctions CTA Cybersecurity D&O Insurance Damages Data Protection Debt Defined Benefit Plans Derivatives Clearing Organizations Detroit Discovery Rule DOE Duty to Disclose EB-5 Economic Downturn Edge Act EMMA Enforcement Statistics Eric Holder Ethics European Central Bank Excessive Fees Executive Compensation Exemptions Facebook Fairness Standard False Advertising FATF FDA Federal Rules of Civil Procedure Fee Disclosure FFIEC Fidcuciary Liability Financial Crisis Financial Regulatory Reform Finders Foreign Investment Forfeiture Form 10-K Fraudulent Transfers FTCA Futures Gabelli v SEC Germany Gramm-Leach-Blilely Act Hedging ICAP Income Taxes Insolvency Interest Rates International Finance International Litigation Investment Advisory Agreements Investor Protection IOSCO Issue Preclusion Joint Venture Jury Trial Jury Verdicts Lenders Leverage Ratio Litigation Strategies London Whale Long-Term Investment Funds Lying Mail Fraud Managers Martin Act Martoma Memorandum of Understanding MiFID II Minority Shareholders Morrison v National Australia Bank Motion to Compel Multi-Employer Pensions Municipal Bankruptcy Municipal Securities Market Negligent Supervision Non-Judicial Settlement Agreements Nonbank Firms NYSE OCR Omissions Online Marketplace Lending Oppression Remedy OTC Permanent Injunctions Personal Jurisdiction Petition For Rehearing Pleadings Preferred Shares Prejudgment Interest Private Securities Litigation Reform Act of 1995 Proposed Legislation Proprietary Trading Proxy Statements Public Disclosure Public Officials Public Schools Publicly-Traded Companies Puerto Rico Pump and Dump Pyramid Schemes Ranieri Partners Real Estate Development Real Estate Investments Reasonable Reliance Claims Regulation D Relation Back Doctrine Rescission Restitution Retailers Reverse Mergers RICO SAC Capital Section 10(b)-5 SEFs Self-Dealing Sellers SFO SIFMA Solar Energy Startups Stock Options Stock Trades Subpoenas SunTrust Supervision Tax Evasion Tender Offers Tippees Twitter UCITS Unfair or Deceptive Trade Practices USCIS Vacated Visas Waivers Wall Street Warranties Warrantless Searches Wash Trades Withdrawal Liability Zero Tolerance Policies 10b5-1 Plans 16(b) Ability-to-Repay Abuse of Process Accountants Accounting Standards Accredited Investors Administrative Procedure Act Administrative Proceedings Admissions Advisory Contracts Advisory Opinions Affiliates Africa Ageas Aggregation Rules Algorithms ALJ Alternative Investment Funds Ambiguous Amended Regulation American Express Amgen v Harris Analytics Annual Meeting Anti-Corruption Anti-Kickback Statute Arbitrage Arbitration Articles of Incorporation ASIC Asset Diversification Asset Freeze Asset Protection Attorney's Fees Attorney-Client Privilege Australian Securities and Investments Commission Bad Actors Bad Faith Balance Sheets Banging the Close Bank Holding Company Act Bank of Russia Banking Crisis Bar Associations Barack Obama Beats Electronics Ben Bernanke Benchmark Pricing Benchmarks Beneficial Owner Bids Big-Boy Letters Biofuel Biotechnology BitLicense Board of Trustees Bond Financing Broker Commissions Bundling Rules Burden-Shifting Business Assets Business Court Business Development Business Formation Business Valuations But For Causation Buyouts C&DIs Calculation of Damages Canadian Securities Administration Capital Estimation Tool Caremark claim Carried Interest Carve Out Provisions Causation Cause of Action Accrual CEA Certificates of Incorporation Certifications Charter Schools Cherry Picking CIFG Assurance North America Circumstantial Evidence Citizens United City of Pontiac Clearing Agencies Clinical Trials Cloud Computing Collateral Collusion Comcast v. Behrend Committee on Payments and Market Infrastructure (CPMI) Commodity Futures Contracts Common Stock Community Banks Compensation Committee Competition Authorities Conflicts of Laws Congressional Investigations & Hearings Consent Constructive Trusts Consultation Consumer Lenders Continuity of Enterprises Contract Disputes Contract Drafting Controlled Foreign Corporations Core Operations Doctrine Corporate Issuers Corporate Misconduct Corporate Sales Transactions Corporate Securities Act Corporations Code Cost Allocation Court-Appointed Receivers Covenant of Good Faith and Fair Dealing CPAs CPOs CRA Credit Reporting Agencies Credit Reports Creditors Criminal Conspiracy Cryptocurrency Custodians Custody Customer Funds Protection Customer Protection Rule CVS Cy Pres Funds Cyber Attacks Data Breach Data Mining Debt Enforcement & Recovery Act (DERA) Debt Restructuring Debt Securities Debtor-Creditor Debtors Default Defense Strategies Deferred Stock Incentive Plans Defined Contribution Plans Delaware General Corporation Law Delegation Clauses Dell Denial of Benefits Deposit Accounts Depository Institutions Direct Access Partners Disability Benefits Discounts Discrimination Discussion Draft Dismissal With Prejudice Disqualification Distressed Debt Distribution Rules Division of Economic and Risk Analysis (DERA) Document Productions DSIO DuPont Duty of Loyalty Duty to Investigate E*Trade E-Commerce ECON Economic Development Educational Institutions EEA Electricity Electronic Blue Sheets Electronic Reporting Electronic Trading ELTIF End-Users Energy Market Energy Policy Act Entrepreneurs EPA Equitable Relief Equity Financing Equity Markets EU Data Protection Laws European Court of Justice (ECJ) Eurozone Exchange Rates Exclusive Jurisdiction Exculpatory Clauses Expert Testimony Expert Witness Extender Statutes Extraterritoriality Rules Failure To Disclose Failure To State A Claim Fair Market Value False Press Release Family Businesses FASB FBAR FCC Federal Contractors Federal Housing Administration (FHA) Federal Pleading Requirements Federal Prosecutors Federal Savings Associations Federal Sentencing Guidelines Fee-Sharing Fee-Shifting Feeder Funds FFI Fifth Amendment Filing Fees Filing Requirements Financial Analysts Financial Markets Financial Products Financial Sector First Amendment First Derivative Traders Fiscal Year Flagstar Bank Flash Boys Foreign Currency Form D Filing Form SD Forum Fourth Amendment Fraud and Abuse Fraudulent Concealment Fraudulent Wire Transfers Frivolous Lawsuits Frozen Assets FSA FSOC Funding Funding Portal Funding Requirements G20 Gaming GE Capital Retail Bank General Electric Genetically Engineered Seed Genuine Issue of Material Fact Genzyme George Canellos Global Market Global Systemically Important Financial Institutions (GSIFI) Governmental Liability Green Cards GSE Guidance Update Guilty Pleas Gulf Oil Spill Habeas Corpus Harbinger Capital Partners LLC Healthcare Hewlett-Packard High-Speed Trading Hiring & Firing HMRC Home Depot Home Equity Hong Kong Securities and Futures Commission (HKSFC) Hotels HUD ICE Identity Theft IGAs Incentive Compensation Indemnification Independent Boards Independent Expenditures Indictments IndyMac Inflation Adjustments Infrastructure Insider Breach Institutional Investment Insurance Litigation Integration Intent Interlocking Directorate Internal Audit Functions International Banks International Harmonization Investment Partnerships iPhone ISDA iTraxx CDS indices Itt Educational Services Joint Audit Committee Justifiable Reliance Kickstarter KPMG Kraft Latin America Lawson Legal History Lending Leverage Capital Ratio Leveraged Lending Liens LIHTC Likelihood of Confusion Listing Standards LLC Loan Agreements Lock-Up Requirements Loss of Income Madden v Midland Funding Mandatory Clearing Requirements Manufacturers Margin Calls Market Timing MassMutual Material Misrepresentation Materiality McGraw Hill Medical Records MFW Middle East Midland Funding MiFID MiFIR Military Service Members Mineral Leases Mismanagement MLM MLM Industry MMF Mobile Apps Mobile Devices Monsanto Mortgage Loan Servicing Standards Mortgage Servicers Motion to Amend Motion To Intervene Natural Gas NCAs Negotiations Net Capital Rule New Amendments Non-Compete Agreements Non-Prosecution Agreements Non-Public Information Non-Solicitation Agreements Non-US Entities NRSRO NSA Nvidia Objective Standard Offering Documents Offshore Banks Offshore Funds Ontario Securities Commission (OSC) Oral Argument Over-the-Counter Sales Oversight Committee Partnership Interests Partnership-in-Fact Partnerships Patent Infringement Pay or Play Payday Loans Penny Stocks Peregrine Financial Group Perjury Petition for Writ of Certiorari PJM Plan Administrators Policies and Procedures Policy Exclusions Political Contributions Political Intelligence Portfolio Companies Prescription Drugs Price-Fixing Prison Privacy Policy Private Offerings Private Property Private Right of Action Professional License Profits Promissory Notes Proposed Amendments Provincial Capital Markets Act Proxy Advisors Proxy Season Proxy Solicitations Public Comment Public Employees Punitive Damages Purchase Agreement Putback Claims Qualified Retirement Plans Qui Tam Race Discrimination Raj Rajaratnam Rajat Gupta Rebuttable Presumptions Recess Appointments Regulation Regulation A Regulation S-K Regulation S-X Regulatory Standards Reimbursements Reinsurance Remand Remedies Reorganizations Representations and Warranties Reserve Residential Capital LLC Restrictive Covenants Restructuring Reversal Reverse Stock Splits Revlon Right of Redemption Right to Privacy Right to Remain Silent Ring-Fencing Risk Retention RMB Loans Rule Rule 10(b) Rule 105 Rule 144 Opinion Rule 23 Rule 9(b) Rule G-42