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Municipal Bonds Dept. of Justice

This Week In Securities Litigation

by Dorsey & Whitney LLP on

Merrill Lynch was at the center of actions brought by the SEC and FINRA this week. One action charged the firm with violations of the customer protection rule tied to using customer cash and failing to protect their...more

Your daily dose of financial news The Brief – 4.15.16

by Robins Kaplan LLP on

With regulators’ rejection of big-bank living wills still very fresh in mind, the Upshot suggests that keeping powerful banks “on their toes . . . may end up playing a surprisingly important role in keeping the financial...more

This Week In Securities Litigation

by Dorsey & Whitney LLP on

This week the SEC and the DOJ filed a settled FCPA action. The disgorgement paid by the issuer put the case at number ten on the list for the largest such amounts paid in an SEC FCPA case....more

Allegations Of Collusion Among Financial Institutions—Where We’ve Been, Where We Are, What We’ve Learned

by K&L Gates LLP on

Over the last 15 years, financial institutions have paid billions of dollars to settle claims that they colluded with each other. Below, we discuss four separate matters, beginning with the Nasdaq spread cases in the late...more

Antitrust Law: 2012 Highlights

by Morgan Lewis on

In 2012, the Antitrust Division (Division) of the U.S. Department of Justice won several significant convictions, both at trial and through guilty pleas, while the merger enforcement efforts of the Division and the Federal...more

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